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PDHonline Course M140 (3 PDH)
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Instructor: Lawrence J. Marchetti, P.E.
2012
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DOE-HDBK-1018/1-93
JANUARY 1993
DOE FUNDAMENTALS HANDBOOK

MECHANICAL SCIENCE
Volume 1 of 2
U.S. Department of Energy
FSC-6910
Washington, D.C. 20585

Distribution Statement A. Approved for public release; distribution is unlimited.
This document has been reproduced directly from the best available copy.
Available to DOE and DOE contractors from the Office of Scientific and
Technical Information. P.O. Box 62, Oak Ridge, TN 37831.
Available to the public from the National Technical Information Services, U.S.
Department of Commerce, 5285 Port Royal., Springfield, VA 22161.
Order No. DE93012178
DOE-HDBK-1018/1-93
MECHANICAL SCIENCE
ABSTRACT
The Mechanical Science Handbook was developed to assist nuclear facility operating
contractors in providing operators, maintenance personnel, and the technical staff with the necessary
fundamentals training to ensure a basic understanding of mechanical components and mechanical
science. The handbook includes information on diesel engines, heat exchangers, pumps, valves, and
miscellaneous mechanical components. This information will provide personnel with a foundation
for understanding the construction and operation of mechanical components that are associated with
various DOE nuclear facility operations and maintenance.
Key Words: Training Material, Diesel Engine, Heat Exchangers, Pumps, Valves
Rev. 0
ME
DOE-HDBK-1018/1-93
MECHANICAL SCIENCE
FOREWORD
The Department of Energy (DOE) Fundamentals Handbooks consist of ten academic
subjects, which include Mathematics; Classical Physics; Thermodynamics, Heat Transfer, and Fluid
Flow; Instrumentation and Control; Electrical Science; Material Science; Mechanical Science;
Chemistry; Engineering Symbology, Prints, and Drawings; and Nuclear Physics and Reactor
Theory. The handbooks are provided as an aid to DOE nuclear facility contractors.
These handbooks were first published as Reactor Operator Fundamentals Manuals in 1985
for use by DOE category A reactors. The subject areas, subject matter content, and level of detail
of the Reactor Operator Fundamentals Manuals were determined from several sources. DOE
Category A reactor training managers determined which materials should be included, and served
as a primary reference in the initial development phase. Training guidelines from the commercial
nuclear power industry, results of job and task analyses, and independent input from contractors and
operations-oriented personnel were all considered and included to some degree in developing the
text material and learning objectives.
The DOE Fundamentals Handbooks represent the needs of various DOE nuclear facilities'
fundamental training requirements. To increase their applicability to nonreactor nuclear facilities,
the Reactor Operator Fundamentals Manual learning objectives were distributed to the Nuclear
Facility Training Coordination Program Steering Committee for review and comment. To update
their reactor-specific content, DOE Category A reactor training managers also reviewed and
commented on the content. On the basis of feedback from these sources, information that applied
to two or more DOE nuclear facilities was considered generic and was included. The final draft of
each of the handbooks was then reviewed by these two groups. This approach has resulted in
revised modular handbooks that contain sufficient detail such that each facility may adjust the
content to fit their specific needs.
Each handbook contains an abstract, a foreword, an overview, learning objectives, and text
material, and is divided into modules so that content and order may be modified by individual DOE
contractors to suit their specific training needs. Each handbook is supported by a separate
examination bank with an answer key.
The DOE Fundamentals Handbooks have been prepared for the Assistant Secretary for
Nuclear Energy, Office of Nuclear Safety Policy and Standards, by the DOE Training Coordination
Program. This program is managed by EG&G Idaho, Inc.
Rev. 0
ME
DOE-HDBK-1018/1-93
MECHANICAL SCIENCE
OVERVIEW
The Department of Energy Fundamentals Handbook entitled Mechanical Science was
prepared as an information resource for personnel who are responsible for the operation of the
Department's nuclear facilities. Almost all processes that take place in the nuclear facilities involve
the use of mechanical equipment and components. A basic understanding of mechanical science is
necessary for DOE nuclear facility operators, maintenance personnel, and the technical staff to
safely operate and maintain the facility and facility support systems. The information in the
handbook is presented to provide a foundation for applying engineering concepts to the job. This
knowledge will help personnel more fully understand the impact that their actions may have on the
safe and reliable operation of facility components and systems.
The Mechanical Science handbook consists of five modules that are contained in two
volumes. The following is a brief description of the information presented in each module of the
handbook.
Volume 1 of 2
Module 1 - Diesel Engine Fundamentals
Provides information covering the basic operating principles of 2-cycle and 4-cycle
diesel engines. Includes operation of engine governors, fuel ejectors, and typical
engine protective features.
Module 2 - Heat Exchangers
Describes the construction of plate heat exchangers and tube and shell heat
exchangers. Describes the flow patterns and temperature profiles in parallel flow,
counter flow, and cross flow heat exchangers.
Module 3 - Pumps
Explains the operation of centrifugal and positive displacement pumps. Topics
include net positive suction head, cavitation, gas binding, and pump characteristic
curves.
Rev. 0
ME
DOE-HDBK-1018/1-93
MECHANICAL SCIENCE
OVERVIEW (Cont.)
Volume 2 of 2
Module 4 - Valves
Introduces the functions of the basic parts common to most types of valves.
Provides information on applications of many types of valves. Types of valves
covered include gate valves, globe valves, ball valves, plug valves, diaphragm
valves, reducing valves, pinch valves, butterfly valves, needle valves, check valves,
and safety/relief valves.
Module 5 - Miscellaneous Mechanical Components
Provides information on significant mechanical devices that have widespread
application in nuclear facilities but do not fit into the categories of components
covered by the other modules. These include cooling towers, air compressors,
demineralizers, filters, strainers, etc.
The information contained in this handbook is not all-encompassing. An attempt to present
the entire subject of mechanical science would be impractical. However, the Mechanical Science
handbook presents enough information to provide the reader with the fundamental knowledge
necessary to understand the advanced theoretical concepts presented in other subject areas, and to
understand basic system and equipment operation.
Rev. 0
ME
Department of Energy
Fundamentals Handbook
M ECHANICAL SCIENCE
M odule 1
Diesel Engine Fundam entals
Diesel Engine Fundamentals
DOE-HDBK-1018/1-93
TABLE OF CONTENTS
TABLE OF C ONTENTS
LIST OF FIGURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ii
LIST OF TABLES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv
REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
OBJECTIVES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vi
DIESEL ENGINES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Introduction . . . . . . . . . . . . . . . . . .
History . . . . . . . . . . . . . . . . . . . . .
Diesel Engines . . . . . . . . . . . . . . . .
Major Components of a Diesel Engine
Diesel Engine Support Systems . . . .
Exhaust System . . . . . . . . . . . . . . .
Operational Terminology . . . . . . . . .
Summary . . . . . . . . . . . . . . . . . . .
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FUNDAMENTALS OF THE DIESEL CYCLE . . . . . . . . . . . . . . . . . . . . . . . . . . . .

The Basic Diesel Cycles
The Four-Stoke Cycle . .
The Two-Stroke Cycle .
Summary . . . . . . . . . .
DIESEL ENGINE SPEED, FUEL CONTROLS,

AND PROTECTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
30
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21
21
22
25
28
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1
2
2
3
12
16
17
20
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Engine Control . . . . . . .
Fuel Injectors . . . . . . . .
Governor . . . . . . . . . . .
Operation of a Governor
Starting Circuits . . . . . .
Engine Protection . . . . .
Summary . . . . . . . . . .
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30
30
34
34
38
38
40
ME-01
LIST OF FIGURES
DOE-HDBK-1018/1-93
LIST OF FIGURES
Figure 1 Example of a Large Skid-Mounted, Diesel-Driven Generator . . . . . . . . . . . . . . 2
Figure 2 Cutaway of a Four-Stroke Supercharged Diesel Engine . . . . . . . . . . . . . . . . . . 4
Figure 3 Cross Section of a V-type Four Stroke Diesel Engine . . . . . . . . . . . . . . . . . . . 5
Figure 4 The Cylinder Block . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Figure 5 Diesel Engine Wet Cylinder Sleeve . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Figure 6 Piston and Piston Rod . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Figure 7 Diesel Engine Crankshaft and Bearings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Figure 8 Diesel Engine Valve . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Figure 9 Diesel Engine Camshaft and Drive Gear . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Figure 10 Diesel Engine Valve Train . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Figure 11 Diesel Engine Cooling System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Figure 12 Diesel Engine Internal Lubrication System . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Figure 13 Diesel Engine Fuel Flowpath . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Figure 14 Oil Bath Air Filter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Figure 15 Compression Ratio . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Figure 16 Scavenging and Intake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Figure 17 Compression . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Figure 18 Fuel Injection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Figure 19 Power . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Figure 20 Exhaust . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Figure 21 2-Stroke Exhaust . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
ME-01
Page ii
Rev. 0
DOE-HDBK-1018/1-93
LIST OF FIGURES
LIST OF FIGURES (Cont.)

Figure 22 2-Stroke Intake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Figure 23 2-Stroke Compression . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Figure 24 2-Stroke Fuel Injection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Figure 25 2-Stroke Power . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Figure 26 Fuel Injector Cutaway . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Figure 27 Fuel Injector Plunger . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
Figure 28 Simplified Mechanical-Hydraulic Governor . . . . . . . . . . . . . . . . . . . . . . . . . 35
Figure 29 Cutaway of a Woodward Governor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
Rev. 0
Page iii
ME-01
LIST OF TABLES
DOE-HDBK-1018/1-93
LIST OF TABLES
NONE
ME-01
Page iv
Rev. 0
DOE-HDBK-1018/1-93
REFERENCES
REFERENCES
Benson & Whitehouse, Internal Combustion Engines, Pergamon.

Cheremisinoff, N. P., Fluid Flow, Pumps, Pipes and Channels, Ann Arbor Science.
Scheel, Gas and Air Compression Machinery, McGraw/Hill.
Skrotzki and Vopat, Steam and Gas Turbines, McGraw/Hill.
Stinson, Karl W., Diesel Engineering Handbook, Diesel Publications Incorporated.
Rev. 0
Page v
ME-01
OBJECTIVES
DOE-HDBK-1018/1-93
TERMINAL OBJECTIVE
1.0
Without references, DESCRIBE the components and theory of operation for a diesel
engine.
ENABLING OBJECTIVE S
1.1
DEFINE the following diesel engine terms:
a.
b.
c.
d.
1.2
Given a drawing of a diesel engine, IDENTIFY the following:

a.
b.
c.
d.
1.3
Compression ratio
Bore
Stroke
Combustion chamber
Piston/rod
Cylinder
Blower
Crankshaft
e.
f.
g.
Intake ports or valve(s)

Exhaust ports or valve(s)
Fuel injector
EXPLAIN how a diesel engine converts the chemical energy stored in the diesel fuel into
mechanical energy.
1.4
EXPLAIN how the ignition process occurs in a diesel engine.
1.5
EXPLAIN the operation of a 4-cycle diesel engine to include when the following events
occur during a cycle:
a.
b.
c.
d.
e.
ME-01
Intake
Exhaust
Fuel injection
Compression
Power
Page vi
Rev. 0
DOE-HDBK-1018/1-93
OBJECTIVES
ENABLING OBJECTIVES (Cont.)

1.6
EXPLAIN the operation of a 2-cycle diesel engine, including when the following events
occur during a cycle:
a.
b.
c.
d.
e.
1.7
Intake
Exhaust
Fuel injection
Compression
Power
DESCRIBE how the mechanical-hydraulic governor on a diesel engine controls engine
speed.
1.8
Rev. 0
LIST five protective alarms usually found on mid-sized and larger diesel engines.
Page vii
ME-01
OBJECTIVES
DOE-HDBK-1018/1-93
Intentionally Left Blank
ME-01
Page viii
Rev. 0
DOE-HDBK-1018/1-93
DIESEL ENGINES
DIESEL ENGINES
One of the most common prime movers is the diesel engine. Before gaining an
understanding of how the engine operates a basic understanding of the engine's
components must be gained. This chapter reviews the major components of a
generic diesel engine.
EO 1.1
DEFINE the following diesel engine terms:

a.
b.
c.
d.
EO 1.2
Compression ratio
B ore
Stroke
Com bustion cham ber
Given a drawing of a diesel engine, IDENTIFY the following:

a.
b.
c.
d.
Piston/rod
Cylinder
Blower
Crankshaft
e.
f.
g.

Fuel injector
Introduction
Most DOE facilities require some type of prime mover to supply mechanical power for pumping,
electrical power generation, operation of heavy equipment, and to act as a backup electrical
generator for emergency use during the loss of the normal power source. Although several types
of prime movers are available (gasoline engines, steam and gas turbines), the diesel engine is
the most commonly used. Diesel engines provide a self-reliant energy source that is available
in sizes from a few horsepower to 10,000 hp. Figure 1 provides an illustration of a common
skid-mounted, diesel-driven generator.
Relatively speaking, diesel engines are small,
inexpensive, powerful, fuel efficient, and extremely reliable if maintained properly.
Because of the widespread use of diesel engines at DOE facilities, a basic understanding of the
operation of a diesel engine will help ensure they are operated and maintained properly. Due to
the large variety of sizes, brands, and types of engines in service, this module is intended to
provide the fundamentals and theory of operation of a diesel engine. Specific information on
a particular engine should be obtained from the vendor's manual.
Rev. 0
Page 1
ME-01
DIESEL ENGINES
DOE-HDBK-1018/1-93
Figure 1 Example of a Large Skid-Mounted, Diesel-Driven Generator
History
The modern diesel engine came about as the result of the internal combustion principles first
proposed by Sadi Carnot in the early 19th century. Dr. Rudolf Diesel applied Sadi Carnot's
principles into a patented cycle or method of combustion that has become known as the "diesel"
cycle. His patented engine operated when the heat generated during the compression of the air
fuel charge caused ignition of the mixture, which then expanded at a constant pressure during
the full power stroke of the engine.
Dr. Diesel's first engine ran on coal dust and used a compression pressure of 1500 psi to
increase its theoretical efficiency. Also, his first engine did not have provisions for any type of
cooling system. Consequently, between the extreme pressure and the lack of cooling, the engine
exploded and almost killed its inventor. After recovering from his injuries, Diesel tried again
using oil as the fuel, adding a cooling water jacket around the cylinder, and lowering the
compression pressure to approximately 550 psi. This combination eventually proved successful.
Production rights to the engine were sold to Adolphus Bush, who built the first diesel engines
for commercial use, installing them in his St. Louis brewery to drive various pumps.
Diesel Engines
A diesel engine is similar to the gasoline engine used in most cars. Both engines are internal
combustion engines, meaning they burn the fuel-air mixture within the cylinders. Both are
reciprocating engines, being driven by pistons moving laterally in two directions. The majority
of their parts are similar. Although a diesel engine and gasoline engine operate with similar
components, a diesel engine, when compared to a gasoline engine of equal horsepower, is
heavier due to stronger, heavier materials used to withstand the greater dynamic forces from the
higher combustion pressures present in the diesel engine.
ME-01
Page 2
Rev. 0
DOE-HDBK-1018/1-93
DIESEL ENGINES
The greater combustion pressure is the result of the higher compression ratio used by diesel
engines. The compression ratio is a measure of how much the engine compresses the gasses in
the engine's cylinder. In a gasoline engine the compression ratio (which controls the
compression temperature) is limited by the air-fuel mixture entering the cylinders. The lower
ignition temperature of gasoline will cause it to ignite (burn) at a compression ratio of less than
10:1. The average car has a 7:1 compression ratio. In a diesel engine, compression ratios
ranging from 14:1 to as high as 24:1 are commonly used. The higher compression ratios are
possible because only air is compressed, and then the fuel is injected. This is one of the factors
that allows the diesel engine to be so efficient. Compression ratio will be discussed in greater
detail later in this module.
Another difference between a gasoline engine and a diesel engine is the manner in which engine
speed is controlled. In any engine, speed (or power) is a direct function of the amount of fuel
burned in the cylinders. Gasoline engines are self-speed-limiting, due to the method the engine
uses to control the amount of air entering the engine. Engine speed is indirectly controlled by
the butterfly valve in the carburetor. The butterfly valve in a carburetor limits the amount of
air entering the engine. In a carburetor, the rate of air flow dictates the amount of gasoline that
will be mixed with the air. Limiting the amount of air entering the engine limits the amount of
fuel entering the engine, and, therefore, limits the speed of the engine. By limiting the amount
of air entering the engine, adding more fuel does not increase engine speed beyond the point
where the fuel burns 100% of the available air (oxygen).
Diesel engines are not self-speed-limiting because the air (oxygen) entering the engine is always
the maximum amount. Therefore, the engine speed is limited solely by the amount of fuel
injected into the engine cylinders. Therefore, the engine always has sufficient oxygen to burn and
the engine will attempt to accelerate to meet the new fuel injection rate. Because of this, a
manual fuel control is not possible because these engines, in an unloaded condition, can
accelerate at a rate of more than 2000 revolutions per second. Diesel engines require a speed
limiter, commonly called the governor, to control the amount of fuel being injected into the
engine.
Unlike a gasoline engine, a diesel engine does not require an ignition system because in a diesel
engine the fuel is injected into the cylinder as the piston comes to the top of its compression
stroke. When fuel is injected, it vaporizes and ignites due to the heat created by the
compression of the air in the cylinder.
Major Components of a Diesel Engine

To understand how a diesel engine operates, an understanding of the major components and how
they work together is necessary. Figure 2 is an example of a medium-sized, four-stroke,
supercharged, diesel engine with inlet ports and exhaust valves. Figure 3 provides a cross
section of a similarly sized V-type diesel engine.
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Figure 2 Cutaway of a GM V-16 Four-Stroke Supercharged Diesel Engine
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Figure 3 Cross Section of a V-type Four Stroke Diesel Engine
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The Cylinder Block

The cylinder block, as shown in Figure 4, is generally a single unit made from cast iron.
In a liquid-cooled diesel, the block also provides the structure and rigid frame for the
engine's cylinders, water coolant and oil passages, and support for the crankshaft and
camshaft bearings.
Figure 4 The Cylinder Block
Crankcase and Oil Pan

The crankcase is usually located on the bottom of the cylinder block. The crankcase is
defined as the area around the crankshaft and crankshaft bearings. This area encloses the
rotating crankshaft and crankshaft counter weights and directs returning oil into the oil
pan. The oil pan is located at the bottom of the crankcase as shown in Figure 2 and
Figure 3. The oil pan collects and stores the engine's supply of lubricating oil. Large
diesel engines may have the oil pan divided into several separate pans.
Cylinder Sleeve or Bore

Diesel engines use one of two types of cylinders. In one type, each cylinder is simply
machined or bored into the block casting, making the block and cylinders an integral
part. In the second type, a machined steel sleeve is pressed into the block casting to form
the cylinder. Figure 2 and Figure 3 provide examples of sleeved diesel engines. With
either method, the cylinder sleeve or bore provides the engine with the cylindrical
structure needed to confine the combustion gasses and to act as a guide for the engine's
pistons.
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In engines using sleeves, there are two

types of sleeves, wet and dry. A dry
sleeve is surrounded by the metal of
the block and does not come in direct
contact with the engine's coolant
(water). A wet sleeve comes in direct
contact with the engine's coolant.
Figure 5 provides an example of a wet
sleeve. The volume enclosed by the
sleeve or bore is called the combustion
chamber and is the space where the
fuel is burned.
In either type of cylinder, sleeved or
bored, the diameter of the cylinder is
called the bore of the engine and is
stated in inches. For example, the
bore of a 350 cubic inch Chevrolet
gasoline engine is 4 inches.
Most diesel engines are multi-cylinder
Figure 5 Diesel Engine Wet Cylinder Sleeve
engines and typically have their
cylinders arranged in one of two
ways, an in-line or a "V", although other combinations exits. In an in-line engine, as the
name indicates, all the cylinders are in a row. In a "V" type engine the cylinders are
arranged in two rows of cylinders set at an angle to each other that align to a common
crankshaft. Each group of cylinders making up one side of the "V" is referred to as a
bank of cylinders.
Piston and Piston Rings

The piston transforms the energy of
the expanding gasses into
mechanical energy. The piston rides
in the cylinder liner or sleeve as
shown in Figure 2 and Figure 3.
Pistons are commonly made of
aluminum or cast iron alloys.
To prevent the combustion gasses
from bypassing the piston and to
keep friction to a minimum, each
piston has several metal rings around
it, as illustrated by Figure 6.
Figure 6 Piston and Piston Rod
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These rings function as the seal between the piston and the cylinder wall and also act to
reduce friction by minimizing the contact area between the piston and the cylinder wall.
The rings are usually made of cast iron and coated with chrome or molybdenum. Most
diesel engine pistons have several rings, usually 2 to 5, with each ring performing a
distinct function. The top ring(s) acts primarily as the pressure seal. The intermediate
ring(s) acts as a wiper ring to remove and control the amount of oil film on the cylinder
walls. The bottom ring(s) is an oiler ring and ensures that a supply of lubricating oil is
evenly deposited on the cylinder walls.
Connecting Rod
The connecting rod connects the piston to the crankshaft. See Figure 2 and Figure 3 for
the location of the connecting rods in an engine. The rods are made from drop-forged,
heat-treated steel to provide the required strength. Each end of the rod is bored, with the
smaller top bore connecting to the piston pin (wrist pin) in the piston as shown in
Figure 6. The large bore end of the rod is split in half and bolted to allow the rod to be
attached to the crankshaft. Some diesel engine connecting rods are drilled down the
center to allow oil to travel up from the crankshaft and into the piston pin and piston for
lubrication.
A variation found in V-type engines that affects the connecting rods is to position the
cylinders in the left and right banks directly opposite each other instead of staggered
(most common configuration). This arrangement requires that the connecting rods of two
opposing cylinders share the same main journal bearing on the crankshaft. To allow this
configuration, one of the connecting rods must be split or forked around the other.
Crankshaft
The crankshaft transforms the linear motion of the pistons into a rotational motion that
is transmited to the load. Crankshafts are made of forged steel. The forged crankshaft
is machined to produce the crankshaft bearing and connecting rod bearing surfaces. The
rod bearings are eccentric, or offset, from the center of the crankshaft as illustrated in
Figure 7. This offset converts the reciprocating (up and down) motion of the piston into
the rotary motion of the crankshaft. The amount of offset determines the stroke (distance
the piston travels) of the engine (discussed later).
The crankshaft does not ride directly on the cast iron block crankshaft supports, but rides
on special bearing material as shown in Figure 7. The connecting rods also have
bearings inserted between the crankshaft and the connecting rods. The bearing material
is a soft alloy of metals that provides a replaceable wear surface and prevents galling
between two similar metals (i.e., crankshaft and connecting rod). Each bearing is split
into halves to allow assembly of the engine. The crankshaft is drilled with oil passages
that allow the engine to feed oil to each of the crankshaft bearings and connection rod
bearings and up into the connecting rod itself.
The crankshaft has large weights, called counter weights, that balance the weight of the
connecting rods. These weights ensure an even (balance) force during the rotation of
the moving parts.
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Figure 7 Diesel Engine Crankshaft and Bearings
Flywheel
The flywheel is located on one end of the crankshaft and serves three purposes. First,
through its inertia, it reduces vibration by smoothing out the power stroke as each
cylinder fires. Second, it is the mounting surface used to bolt the engine up to its load.
Third, on some diesels, the flywheel has gear teeth around its perimeter that allow the
starting motors to engage and crank the diesel.
Cylinder Heads and Valves

A diesel engine's cylinder heads perform several functions. First, they provide the top
seal for the cylinder bore or sleeve. Second, they provide the structure holding exhaust
valves (and intake valves where applicable), the fuel injector, and necessary linkages. A
diesel engine's heads are manufactured in one of two ways. In one method, each
cylinder has its own head casting, which is bolted to the block. This method is used
primarily on the larger diesel engines. In the second method, which is used on smaller
engines, the engine's head is cast as one piece (multi-cylinder head).
Diesel engines have two methods of admitting and exhausting gasses from the cylinder.
They can use either ports or valves or a combination of both. Ports are slots in the
cylinder walls located in the lower 1/3 of the bore. See Figure 2 and Figure 3 for
examples of intake ports, and note their relative location with respect to the rest of the
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engine. When the piston travels below the level of the ports, the ports are "opened" and
fresh air or exhaust gasses are able to enter or leave, depending on the type of port.
The ports are then "closed" when the
piston travels back above the level of
the ports. Valves (refer to figure 8)
are mechanically opened and closed to
admit or exhaust the gasses as needed.
The valves are located in the head
casting of the engine. The point at
which the valve seals against the head
is called the valve seat.
Most
medium-sized diesels have either
intake ports or exhaust valves or both
intake and exhaust valves.
Timing Gears, Ca mshaft, and

Valve M echanism
Figure 8 Diesel Engine Valve
In order for a diesel engine to
operate, all of its components must
perform their functions at very precise intervals in relation to the motion of the piston.
To accomplish this, a component called a camshaft is used. Figure 9 illustrates a
camshaft and camshaft drive gear. Figure 2 and Figure 3 illustrate the location of a
camshaft in a large overhead cam diesel engine.
A camshaft is a long
bar with egg-shaped
eccentric lobes, one
lobe for each valve and
fuel injector (discussed
later). Each lobe has a
follower as shown on
Figure 10.
As the
camshaft is rotated, the
follower is forced up
and down as it follows
the profile of the cam
lobe. The followers are
connected to the
engine's valves and fuel
injectors through
var ious types of
linkages called pushrods
and rocker arms. The
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Figure 9 Diesel Engine Camshaft and Drive Gear
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pushrods and rocker arms transfer the reciprocating motion generated by the camshaft
lobes to the valves and injectors, opening and closing them as needed. The valves are
maintained closed by springs.
As the valve is opened by the camshaft, it compresses the valve spring. The energy
stored in the valve spring is then used to close the valve as the camshaft lobe rotates out
from under the follower. Because an engine experiences fairly large changes in
temperature (e.g., ambient to a normal running temperature of about 190F), its
components must be designed to allow for thermal expansion. Therefore, the valves,
valve pushrods, and rocker arms must have some method of allowing for the expansion.
This is accomplished by the use of valve lash. Valve lash is the term given to the "slop"
or "give" in the valve train before the cam actually starts to open the valve.
The camshaft is driven by
the engine's crankshaft
through a series of gears
called idler gears and
timing gears. The gears
allow the rotation of the
camshaft to correspond or
be in time with, the
rotation of the crankshaft
and thereby allows the
valve opening, valve
closing, and injection of
fuel to be timed to occur at
precise intervals in the
piston's travel.
To
increase the flexibility in
timing the valve opening,
valve closing, and injection
of fuel, and to increase
power or to reduce cost,
Figure 10 Diesel Engine Valve Train
an engine may have one or
more camshafts. Typically,
in a medium to large V-type engine, each bank will have one or more camshafts per head.
In the larger engines, the intake valves, exhaust valves, and fuel injectors may share a
common camshaft or have independent camshafts.
Depending on the type and make of the engine, the location of the camshaft or shafts
varies. The camshaft(s) in an in-line engine is usually found either in the head of the
engine or in the top of the block running down one side of the cylinder bank. Figure 10
provides an example of an engine with the camshaft located on the side of the engine.
Figure 3 provides an example of an overhead cam arrangement as on a V-type engine.
On small or mid-sized V-type engines, the camshaft is usually located in the block at the
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center of the "V" between the two banks of cylinders. In larger or multi-camshafted Vtype engines, the camshafts are usually located in the heads.
Blower
The diesel engine's blower is part of the air intake system and serves to compress the
incoming fresh air for delivery to the cylinders for combustion. The location of the
blower is shown on Figure 2. The blower can be part of either a turbocharged or
supercharged air intake system. Additional information on these two types of blowers is
provided later in this module.
Diesel Engine Support Systems

A diesel engine requires five supporting systems in order to operate: cooling, lubrication, fuel
injection, air intake, and exhaust. Depending on the size, power, and application of the diesel,
these systems vary in size and complexity.
Engine Cooling
Nearly all diesel
engines rely on a
liquid cooling
system to transfer
waste heat out of
the block and
internals as shown
in Figure 11. The
cooling system
consists of a closed
loop similar to that
of a car engine and
contains the
following major
components: water
pump, radiator or
heat exchanger,
water jacket (which
consists of coolant
passages in the
block and heads),
and a thermostat.
Figure 11 Diesel Engine Cooling System
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Engine Lubrication
An internal combustion engine would not run for even a few minutes if the moving parts
were allowed to make metal-to-metal contact. The heat generated due to the tremendous
amounts of friction would melt the metals, leading to the destruction of the engine. To
prevent this, all moving parts ride on a thin film of oil that is pumped between all the
moving parts of the engine.
Once between the moving parts, the oil serves two purposes. One purpose is to lubricate
the bearing surfaces. The other purpose is to cool the bearings by absorbing the frictiongenerated heat. The flow of oil to the moving parts is accomplished by the engine's
internal lubricating system.
Figure 12 Diesel Engine Internal Lubrication System
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Oil is accumulated and stored in the engine's oil pan where one or more oil pumps take
a suction and pump the oil through one or more oil filters as shown in Figure 12. The
filters clean the oil and remove any metal that the oil has picked up due to wear. The
cleaned oil then flows up into the engine's oil galleries. A pressure relief valve(s)
maintains oil pressure in the galleries and returns oil to the oil pan upon high pressure.
The oil galleries distribute the oil to all the bearing surfaces in the engine.
Once the oil has cooled and lubricated the bearing surfaces, it flows out of the bearing
and gravity-flows back into the oil pan. In medium to large diesel engines, the oil is also
cooled before being distributed into the block. This is accomplished by either an internal
or external oil cooler. The lubrication system also supplies oil to the engine's governor,
which is discussed later in this module.
Fuel System
All diesel engines require a method to store and deliver fuel to the engine. Because
diesel engines rely on injectors which are precision components with extremely tight
tolerances and very small injection hole(s), the fuel delivered to the engine must be
extremely clean and free of contaminants.
The fuel system must, therefore,
not only deliver the fuel but also
ensure its cleanliness. This is
usually accomplished through a
series of in-line filters.
Commonly, the fuel will be
filtered once outside the engine
and then the fuel will pass through
at least one more filter internal to
the engine, usually located in the
fuel line at each fuel injector.
In a diesel engine, the fuel system
is much more complex than the
fuel system on a simple gasoline
Figure 13 Diesel Engine Fuel Flowpath
engine because the fuel serves two
purposes.
One purpose is
obviously to supply the fuel to run the engine; the other is to act as a coolant to the
injectors. To meet this second purpose, diesel fuel is kept continuously flowing through
the engine's fuel system at a flow rate much higher than required to simply run the
engine, an example of a fuel flowpath is shown in Figure 13. The excess fuel is routed
back to the fuel pump or the fuel storage tank depending on the application.
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Air Intake System

Because a diesel engine requires close tolerances to achieve its compression ratio, and
because most diesel engines are either turbocharged or supercharged, the air entering the
engine must be clean, free of debris, and as cool as possible. Turbocharging and
supercharging are discussed in more detail later in this chapter. Also, to improve a
turbocharged or supercharged engine's efficiency, the compressed air must be cooled after
being compressed. The air intake system is designed to perform these tasks.
Air intake systems vary greatly
from vendor to vendor but are
usually one of two types, wet or
dry. In a wet filter intake system,
as shown in Figure 14, the air is
sucked or bubbled through a
housing that holds a bath of oil
such that the dirt in the air is
removed by the oil in the filter.
The air then flows through a
screen-type material to ensure any
entrained oil is removed from the
air. In a dry filter system, paper,
cloth, or a metal screen material is
used to catch and trap dirt before
it enters the engine (similar to the
type used in automobile engines).
In addition to cleaning the air, the
intake system is usually designed
to intake fresh air from as far
away from the engine as
practicable, usually just outside of
the engine's building or enclosure.
This provides the engine with a
supply of air that has not been
heated by the engine's own waste
heat.
Figure 14 Oil Bath Air Filter
The reason for ensuring that an engine's air supply is as cool as possible is that cool air
is more dense than hot air. This means that, per unit volume, cool air has more oxygen
than hot air. Thus, cool air provides more oxygen per cylinder charge than less dense,
hot air. More oxygen means a more efficient fuel burn and more power.
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After being filtered, the air is routed by the intake system into the engine's intake
manifold or air box. The manifold or air box is the component that directs the fresh air
to each of the engine's intake valves or ports. If the engine is turbocharged or
supercharged, the fresh air will be compressed with a blower and possibly cooled before
entering the intake manifold or air box. The intake system also serves to reduce the air
flow noise.
Turbocharging
Turbocharging an engine occurs when the engine's own exhaust gasses are forced
through a turbine (impeller), which rotates and is connected to a second impeller

located in the fresh air intake system. The impeller in the fresh air intake system
compresses the fresh air. The compressed air serves two functions. First, it
increases the engine's available power by increasing the maximum amount of air
(oxygen) that is forced into each cylinder. This allows more fuel to be injected
and more power to be produced by the engine. The second function is to increase
intake pressure. This improves the scavenging of the exhaust gasses out of the
cylinder. Turbocharging is commonly found on high power four-stroke engines.
It can also be used on two-stroke engines where the increase in intake pressure
generated by the turbocharger is required to force the fresh air charge into the
cylinder and help force the exhaust gasses out of the cylinder to enable the engine
to run.
Supercharging
Supercharging an engine performs the same function as turbocharging an engine.
The difference is the source of power used to drive the device that compresses the
incoming fresh air. In a supercharged engine, the air is commonly compressed
in a device called a blower. The blower is driven through gears directly from the
engines crankshaft. The most common type of blower uses two rotating rotors
to compress the air. Supercharging is more commonly found on two-stroke
engines where the higher pressures that a supercharger is capable of generating
are needed.
Exhaust System
The exhaust system of a diesel engine performs three functions. First, the exhaust system
routes the spent combustion gasses away from the engine, where they are diluted by the
atmosphere. This keeps the area around the engine habitable. Second, the exhaust system
confines and routes the gasses to the turbocharger, if used. Third, the exhaust system
allows mufflers to be used to reduce the engine noise.
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Operational Terminology
Before a detailed operation of a diesel engine can be explained, several terms must be defined.
Bore and Stroke

Bore and stroke are terms used to define the size of an engine. As previously stated, bore
refers to the diameter of the engine's cylinder, and stroke refers to the distance the piston
travels from the top of the cylinder to the bottom. The highest point of travel by the
piston is called top dead center (TDC), and the lowest point of travel is called bottom
dead center (BDC). There are 180o of travel between TDC and BDC, or one stroke.
Engine Displacement
Engine displacement is one of the terms used to compare one engine to another.
Displacement refers to the total volume displaced by all the pistons during one stroke.
The displacement is usually given in cubic inches or liters. To calculate the displacement
of an engine, the volume of one cylinder must be determined (volume of a cylinder =
(r2)h where h = the stroke). The volume of one cylinder is multiplied by the number
of cylinders to obtain the total engine displacement.
Degree of Crankshaft Rotation

All events that occur in an engine are related to the location of the piston. Because the
piston is connected to the crankshaft, any location of the piston corresponds directly to
a specific number of degrees of crankshaft rotation.
Location of the crank can then be stated as XX degrees before or XX degrees after top
or bottom dead center.
Firing Order
Firing order refers to the order in which each of the cylinders in a multicylinder engine
fires (power stroke). For example, a four cylinder engine's firing order could be 1-4-3-2.
This means that the number 1 cylinder fires, then the number 4 cylinder fires, then the
number 3 cylinder fires, and so on. Engines are designed so that the power strokes are
as uniform as possible, that is, as the crankshaft rotates a certain number of degrees, one
of the cylinders will go through a power stroke. This reduces vibration and allows the
power generated by the engine to be applied to the load in a smoother fashion than if they
were all to fire at once or in odd multiples.
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Compression Ratio and Clearance Volume

Clearance volume is the volume remaining in the cylinder when the piston is at TDC.
Because of the irregular shape of the combustion chamber (volume in the head) the
clearance volume is calculated empirically by filling the chamber with a measured amount
of fluid while the piston is at TDC. This volume is then added to the displacement
volume in the cylinder to obtain the cylinders total volume.
An engine's compression ratio is determined by taking the volume of the cylinder with
piston at TDC (highest point of travel) and dividing the volume of the cylinder when the
piston is at BDC (lowest point of travel), as shown in Figure 15. This can be calculated
by using the following formula:
Compression Ratio
displacement volume clearance volume

clearance volume
Figure 15 Compression Ratio
Horsepower
Power is the amount of work done per unit time or the rate of doing work. For a diesel
engine, power is rated in units of horsepower. Indicated horsepower is the power
transmitted to the pistons by the gas in the cylinders and is mathematically calculated.
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Brake horsepower refers to the amount of usable power delivered by the engine to the
crankshaft. Indicated horsepower can be as much as 15% higher than brake horsepower.
The difference is due to internal engine friction, combustion inefficiencies, and parasitic
losses, for example, oil pump, blower, water pump, etc.
The ratio of an engine's brake horsepower and its indicated horsepower is called the
mechanical efficiency of the engine. The mechanical efficiency of a four-cycle diesel is
about 82 to 90 percent. This is slightly lower than the efficiency of the two-cycle diesel
engine. The lower mechanical efficiency is due to the additional friction losses and power
needed to drive the piston through the extra 2 strokes.
Engines are rated not only in horsepower but also by the torque they produce. Torque
is a measure of the engine's ability to apply the power it is generating. Torque is
commonly given in units of lb-ft.
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Summary
The important information in this chapter is summarized below.
Diesel Engines Summary

The compression ratio is the volume of the cylinder with piston at
TDC divided by the volume of the cylinder with piston at BDC.
Bore is the diameter of the cylinder.
Stroke is the distance the piston travels from TDC to BDC, and is
determined by the eccentricity of the crankshaft.
The combustion chamber is the volume of space where the fuel air mixture
is burned in an engine. This is in the cylinder of the engine.
The following components were discussed and identified on a drawing.
a.
b.
c.
d.
e.
f.
g.
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Piston and rod

Cylinder
Blower
Crankshaft
Fuel injector
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FUNDAMENTALS OF THE DIESEL CYCLE
FUNDAMENTALS OF T HE DIESEL C YCLE

Diesel engines operate under the principle of the internal combustion engine.
There are two basic types of diesel engines, two-cycle and four-cycle. An
understanding of how each cycle operates is required to understand how to
correctly operate and maintain a diesel engine.
EO 1.3
EXPLAIN how a diesel engine converts the chemical energy

stored in the diesel fuel into mechanical energy.
EO 1.4
EXPLAIN how the ignition process occurs in a diesel engine.
EO 1.5
EXPLAIN the operation of a 4-cycle diesel engine, including

when the following events occur during a cycle:
a.
b.
c.
d.
e.
EO 1.6
Intake
Exhaust
Fuel injection
Compression
Power
EXPLAIN the operation of a 2-cycle diesel engine, including

when the following events occur during a cycle:
a.
b.
c.
d.
e.
Intake
Exhaust
Fuel injection
Compression
Power
The Basic Diesel Cycles

A diesel engine is a type of heat engine that uses the internal combustion process to convert the
energy stored in the chemical bonds of the fuel into useful mechanical energy. This occurs in
two steps. First, the fuel reacts chemically (burns) and releases energy in the form of heat.
Second the heat causes the gasses trapped in the cylinder to expand, and the expanding gases,
being confined by the cylinder, must move the piston to expand. The reciprocating motion of
the piston is then converted into rotational motion by the crankshaft.
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To convert the chemical energy of the fuel into useful mechanical energy all internal combustion
engines must go through four events: intake, compression, power, and exhaust. How these
events are timed and how they occur differentiates the various types of engines.
All diesel engines fall into one of two categories, two-stroke or four-stroke cycle engines. The
word cycle refers to any operation or series of events that repeats itself. In the case of a fourstroke cycle engine, the engine requires four strokes of the piston (intake, compression, power,
and exhaust) to complete one full cycle. Therefore, it requires two rotations of the crankshaft,
or 720 of crankshaft rotation (360 x 2) to complete one cycle. In a two-stroke cycle engine
the events (intake, compression, power, and exhaust) occur in only one rotation of the crankshaft,
or 360.
Timing
In the following discussion of the diesel cycle it is important to keep in mind the time
frame in which each of the actions is required to occur. Time is required to move exhaust
gas out of the cylinder and fresh air in to the cylinders, to compress the air, to inject fuel,
and to burn the fuel. If a four-stroke diesel engine is running at a constant 2100
revolutions per minute (rpm), the crankshaft would be rotating at 35 revolutions, or
12,600 degrees, per second. One stroke is completed in about 0.01429 seconds.
The Four-Stoke Cycle

In a four-stroke engine the camshaft is geared so that it rotates at half the speed of the crankshaft
(1:2). This means that the crankshaft must make two complete revolutions before the camshaft
will complete one revolution. The following section will describe a four-stroke, normally
aspirated, diesel engine having both intake and exhaust valves
with a 3.5-inch bore and 4-inch stroke with a 16:1 compression
ratio, as it passes through one complete cycle. We will start on
the intake stroke. All the timing marks given are generic and
will vary from engine to engine. Refer to Figures 10, 16, and 17
during the following discussion.
Intake
As the piston moves upward and approaches 28 before
top dead center (BTDC), as measured by crankshaft
rotation, the camshaft lobe starts to lift the cam follower.
This causes the pushrod to move upward and pivots the
rocker arm on the rocker arm shaft. As the valve lash is
taken up, the rocker arm pushes the intake valve
downward and the valve starts to open. The intake
stroke now starts while the exhaust valve is still open.
The flow of the exhaust gasses will have created a low
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Figure 16 Scavenging and Intake
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pressure condition within the cylinder and will help pull in the fresh air charge as shown
in Figure 16.
The piston continues its upward travel through top dead center (TDC) while fresh air
enters and exhaust gasses leave. At about 12 after top dead center (ATDC), the
camshaft exhaust lobe rotates so that the exhaust valve will start to close. The valve is
fully closed at 23 ATDC. This is accomplished through the valve spring, which was
compressed when the valve was opened, forcing the rocker arm and cam follower back
against the cam lobe as it rotates. The time frame during which both the intake and
exhaust valves are open is called valve overlap (51 of overlap in this example) and is
necessary to allow the fresh air to help scavenge (remove) the spent exhaust gasses and
cool the cylinder. In most engines, 30 to 50 times cylinder volume is scavenged through
the cylinder during overlap. This excess cool air also provides the necessary cooling
effect on the engine parts.
As the piston passes TDC and begins to travel down the cylinder bore, the movement of
the piston creates a suction and continues to draw fresh air into the cylinder.
Compression
At 35 after bottom dead center (ABDC), the intake
valve starts to close. At 43 ABDC (or 137 BTDC),
the intake valve is on its seat and is fully closed. At
this point the air charge is at normal pressure (14.7 psia)
and ambient air temperature (~80F), as illustrated in
Figure 17.
At about 70 BTDC, the piston has traveled about 2.125
inches, or about half of its stroke, thus reducing the
volume in the cylinder by half. The temperature has now
doubled to ~160F and pressure is ~34 psia.
At about 43 BTDC the piston has traveled upward 3.062
inches of its stroke and the volume is once again halved.
Consequently, the temperature again doubles to about
Figure 17 Compression
320F and pressure is ~85 psia. When the piston has
traveled to 3.530 inches of its stroke the volume is again
halved and temperature reaches ~640F and pressure 277 psia. When the piston has
traveled to 3.757 inches of its stroke, or the volume is again halved, the temperature
climbs to 1280F and pressure reaches 742 psia. With a piston area of 9.616 in2 the
pressure in the cylinder is exerting a force of approximately 7135 lb. or 3-1/2 tons of
force.
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The above numbers are ideal and provide a good example of what is occurring in an
engine during compression. In an actual engine, pressures reach only about 690 psia.
This is due primarily to the heat loss to the surrounding engine parts.
Fuel Injection
Fuel in a liquid state is injected into the cylinder at

a precise time and rate to ensure that the
combustion pressure is forced on the piston neither
too early nor too late, as shown in Figure 18. The
fuel enters the cylinder where the heated
compressed air is present; however, it will only
burn when it is in a vaporized state (attained
through the addition of heat to cause vaporization)
and intimately mixed with a supply of oxygen.
The first minute droplets of fuel enter the
combustion chamber and are quickly vaporized.
The vaporization of the fuel causes the air
surrounding the fuel to cool and it requires time
for the air to reheat sufficiently to ignite the
Figure 18 Fuel Injection
vaporized fuel. But once ignition has started, the
additional heat from combustion helps to further
vaporize the new fuel entering the chamber, as long as oxygen is present. Fuel
injection starts at 28 BTDC and ends at 3 ATDC; therefore, fuel is injected for
a duration of 31.
Power
Both valves are closed, and the fresh air charge has
been compressed. The fuel has been injected and
is starting to burn. After the piston passes TDC,
heat is rapidly released by the ignition of the fuel,
causing a rise in cylinder pressure. Combustion
temperatures are around 2336F. This rise in
pressure forces the piston downward and increases
the force on the crankshaft for the power stroke as
illustrated in Figure 19.
The energy generated by the combustion process is
not all harnessed. In a two stroke diesel engine,
only about 38% of the generated power is
harnessed to do work, about 30% is wasted in the
form of heat rejected to the cooling system, and
about 32% in the form of heat is rejected out the
exhaust. In comparison, the four-stroke diesel
engine has a thermal distribution of 42% converted
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Figure 19 Power
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to useful work, 28% heat rejected to the cooling system, and 30% heat rejected
out the exhaust.
Exhaust
As the piston approaches 48 BBDC, the cam of the
exhaust lobe starts to force the follower upward, causing
the exhaust valve to lift off its seat. As shown in
Figure 20, the exhaust gasses start to flow out the exhaust
valve due to cylinder pressure and into the exhaust
manifold. After passing BDC, the piston moves upward
and accelerates to its maximum speed at 63 BTDC. From
this point on the piston is decelerating. As the piston
speed slows down, the velocity of the gasses flowing out
of the cylinder creates a pressure slightly lower than
atmospheric pressure. At 28 BTDC, the intake valve
opens and the cycle starts again.
The Two-Stroke Cycle
Figure 20 Exhaust
Like the four-stroke engine, the two-stroke engine must go

through the same four events: intake, compression, power, and exhaust. But a two-stroke engine
requires only two strokes of the piston to complete one full cycle. Therefore, it requires only one
rotation of the crankshaft to complete a cycle. This means several events must occur during each
stroke for all four events to be completed in two strokes, as opposed to the four-stroke engine
where each stroke basically contains one event.
In a two-stroke engine the camshaft is geared so that it rotates at the same speed as the
crankshaft (1:1). The following section will describe a two-stroke, supercharged, diesel engine
having intake ports and exhaust valves with a 3.5-inch bore and 4-inch stroke with a 16:1
compression ratio, as it passes through one complete cycle. We will start on the exhaust stroke.
All the timing marks given are generic and will vary from engine to engine.
Exhaust and Intake

At 82 ATDC, with the piston near the end of its power stroke, the exhaust cam begins
to lift the exhaust valves follower. The valve lash is taken up, and 9 later (91 ATDC),
the rocker arm forces the exhaust valve off its seat. The exhaust gasses start to escape
into the exhaust manifold, as shown in Figure 21. Cylinder pressure starts to decrease.
After the piston travels three-quarters of its (down) stroke, or 132 ATDC of crankshaft
rotation, the piston starts to uncover the inlet ports. As the exhaust valve is still open, the
uncovering of the inlet ports lets the compressed fresh air enter the cylinder and helps
cool the cylinder and scavenge the cylinder of the remaining exhaust gasses (Figure 22).
Commonly, intake and exhaust occur over approximately 96 of crankshaft rotation.
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At 43 ABDC, the camshaft starts to close the exhaust valve. At 53 ABDC (117
BTDC), the camshaft has rotated sufficiently to allow the spring pressure to close the
exhaust valve. Also, as the piston travels past 48ABDC (5 after the exhaust valve starts
closing), the intake ports are closed off by the piston.
Figure 21 2-Stroke Exhaust
Figure 22 2-Stroke Intake
Compression
After the exhaust valve is on its seat (53 ATDC), the temperature and pressure begin to
rise in nearly the same fashion as in the four-stroke engine. Figure 23 illustrates the
compression in a 2-stroke engine. At 23 BTDC the injector cam begins to lift the
injector follower and pushrod. Fuel injection continues until 6 BTDC (17 total degrees
of injection), as illustrated in Figure 24.
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Figure 23 2-Stroke Compression
Figure 24 2-Stroke Fuel Injection
Power
The power stroke starts after the piston passes TDC.
Figure 25 illustrates the power stroke which continues
until the piston reaches 91 ATDC, at which point the
exhaust valves start to open and a new cycle begins.
Figure 25 2-Stroke Power
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Summary
Fundamentals of the Diesel Cycle Summary

Ignition occurs in a diesel by injecting fuel into the air charge which has been
heated by compression to a temperature greater than the ignition point of the
fuel.
A diesel engine converts the energy stored in the fuel's chemical bonds into
mechanical energy by burning the fuel. The chemical reaction of burning the
fuel liberates heat, which causes the gasses to expand, forcing the piston to
rotate the crankshaft.
A four-stroke engine requires two rotations of the crankshaft to complete one
cycle. The event occur as follows:
Intake - the piston passes TDC, the intake valve(s) open and the fresh air is
admitted into the cylinder, the exhaust valve is still open for a few degrees
to allow scavenging to occur.
Compression - after the piston passes BDC the intake valve closes and the
piston travels up to TDC (completion of the first crankshaft rotation).
Fuel injection - As the piston nears TDC on the compression stroke, the
fuel is injected by the injectors and the fuel starts to burn, further heating
the gasses in the cylinder.
Power - the piston passes TDC and the expanding gasses force the piston
down, rotating the crankshaft.
Exhaust - as the piston passes BDC the exhaust valves open and the
exhaust gasses start to flow out of the cylinder. This continues as the piston
travels up to TDC, pumping the spent gasses out of the cylinder. At TDC
the second crankshaft rotation is complete.
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Fundamentals of the Diesel Cycle Summary (Cont.)

A two-stroke engine requires one rotation of the crankshaft to complete one
cycle. The events occur as follows:
Intake - the piston is near BDC and exhaust is in progress. The intake
valve or ports open and the fresh air is forced in. The exhaust valves or
ports are closed and intake continues.
Compression - after both the exhaust and intake valves or ports are closed,
the piston travels up towards TDC. The fresh air is heated by the
compression.
Fuel injection - near TDC the fuel is injected by the injectors and the fuel
starts to burn, further heating the gasses in the cylinder.
Power - the piston passes TDC and the expanding gasses force the piston
down, rotating the crankshaft.
Exhaust - as the piston approaches BDC the exhaust valves or ports open
and the exhaust gasses start to flow out of the cylinder.
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Page 29
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DIESEL ENGINE SPEED,

FUEL CONTROLS, AND PROTECTION
DOE-HDBK-1018/1-93
DIESEL ENGINE SPEED, FUEL C ONTROLS,

AND PROTECTION
Understanding how diesel engines are controlled and the types of protective
instrumentation available is important for a complete understanding of the
operation of a diesel engine.
EO 1.7
DESCRIBE how the mechanical-hydraulic governor on a

diesel engine controls engine speed.
EO 1.8
LIST five protective alarms usually found on m id-sized and

larger diesel engines.
Engine Control
The control of a diesel engine is accomplished through several components: the camshaft, the fuel
injector, and the governor. The camshaft provides the timing needed to properly inject the fuel,
the fuel injector provides the component that meters and injects the fuel, and the governor
regulates the amount of fuel that the injector is to inject. Together, these three major components
ensure that the engine runs at the desired speed.
Fuel Injectors
Each cylinder has a fuel injector designed to meter and inject fuel into the cylinder at the proper
instant. To accomplish this function, the injectors are actuated by the engine's camshaft. The
camshaft provides the timing and pumping action used by the injector to inject the fuel. The
injectors meter the amount of fuel injected into the cylinder on each stroke. The amount of fuel
to be injected by each injector is set by a mechanical linkage called the fuel rack. The fuel rack
position is controlled by the engine's governor. The governor determines the amount of fuel
required to maintain the desired engine speed and adjusts the amount to be injected by adjusting
the position of the fuel rack.
Each injector operates in the following manner. As illustrated in Figure 26, fuel under pressure
enters the injector through the injector's filter cap and filter element. From the filter element the
fuel travels down into the supply chamber (that area between the plunger bushing and the spill
deflector). The plunger operates up and down in the bushing, the bore of which is open to the
fuel supply in the supply chamber by two funnel-shaped ports in the plunger bushing.
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Figure 26 Fuel Injector Cutaway
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The motion of the injector rocker arm (not shown) is transmitted to the plunger by the injector
follower which bears against the follower spring. As the plunger moves downward under
pressure of the injector rocker arm, a portion of the fuel trapped under the plunger is displaced
into the supply chamber through the lower port until the port is closed off by the lower end of
the plunger. The fuel trapped below the plunger is then forced up through the central bore of the
plunger and back out the upper port until the upper port is closed off by the downward motion
of the plunger. With the upper and lower ports both closed off, the remaining fuel under the
plunger is subjected to an increase in pressure by the downward motion of the plunger.
When sufficient pressure has built up, the injector valve is lifted off its seat and the fuel is forced
through small orifices in the spray tip and atomized into the combustion chamber. A check
valve, mounted in the spray tip, prevents air in the combustion chamber from flowing back into
the fuel injector. The plunger is then returned back to its original position by the injector
follower spring.
On the return upward movement of the plunger, the high pressure cylinder within the bushing is
again filled with fresh fuel oil through the ports. The constant circulation of fresh, cool fuel
through the injector renews the fuel supply in the chamber and helps cool the injector. The fuel
flow also effectively removes all traces of air that might otherwise accumulate in the system.
The fuel injector outlet opening, through which the excess fuel returns to the fuel return manifold
and then back to the fuel tank, is adjacent to the inlet opening and contains a filter element
exactly the same as the one on the fuel inlet side.
In addition to the reciprocating motion of the plunger, the plunger can be rotated during operation
around its axis by the gear which meshes with the fuel rack. For metering the fuel, an upper
helix and a lower helix are machined in the lower part of the plunger. The relation of the helices
to the two ports in the injector bushing changes with the rotation of the plunger.
Changing the position of the helices, by rotating the plunger, retards or advances the closing of
the ports and the beginning and ending of the injection period. At the same time, it increases or
decreases the amount of fuel injected into the cylinder. Figure 27 illustrates the various plunger
positions from NO LOAD to FULL LOAD. With the control rack pulled all the way (no
injection), the upper port is not closed by the helix until after the lower port is uncovered.
Consequently, with the rack in this position, all of the fuel is forced back into the supply
chamber and no injection of fuel takes place. With the control rack pushed all the way in (full
injection), the upper port is closed shortly after the lower port has been covered, thus producing
a maximum effective stroke and maximum fuel injection. From this no-injection position to the
full-injection position (full rack movement), the contour of the upper helix advances the closing
of the ports and the beginning of injection.
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Figure 27 Fuel Injector Plunger
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Governor
Diesel engine speed is controlled solely by the amount of fuel injected into the engine by the
injectors. Because a diesel engine is not self-speed-limiting, it requires not only a means of
changing engine speed (throttle control) but also a means of maintaining the desired speed. The
governor provides the engine with the feedback mechanism to change speed as needed and to
maintain a speed once reached.
A governor is essentially a speed-sensitive device, designed to maintain a constant engine speed
regardless of load variation. Since all governors used on diesel engines control engine speed
through the regulation of the quantity of fuel delivered to the cylinders, these governors may be
classified as speed-regulating governors. As with the engines themselves there are many types
and variations of governors. In this module, only the common mechanical-hydraulic type
governor will be reviewed.
The major function of the governor is determined by the application of the engine. In an engine
that is required to come up and run at only a single speed regardless of load, the governor is
called a constant-speed type governor. If the engine is manually controlled, or controlled by an
outside device with engine speed being controlled over a range, the governor is called a variablespeed type governor. If the engine governor is designed to keep the engine speed above a
minimum and below a maximum, then the governor is a speed-limiting type. The last category
of governor is the load limiting type. This type of governor limits fuel to ensure that the engine
is not loaded above a specified limit. Note that many governors act to perform several of these
functions simultaneously.
Operation of a Governor
The following is an explanation of the operation of a constant speed, hydraulically compensated
governor using the Woodward brand governor as an example. The principles involved are
common in any mechanical and hydraulic governor.
The Woodward speed governor operates the diesel engine fuel racks to ensure a constant engine
speed is maintained at any load. The governor is a mechanical-hydraulic type governor and
receives its supply of oil from the engine lubricating system. This means that a loss of lube oil
pressure will cut off the supply of oil to the governor and cause the governor to shut down the
engine. This provides the engine with a built-in shutdown device to protect the engine in the
event of loss of lubricating oil pressure.
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Simplified Operation of the Governor

The governor controls the fuel rack position through a combined action of the hydraulic
piston and a set of mechanical flyweights, which are driven by the engine blower shaft.
Figure 28 provides an illustration of a functional diagram of a mechanical-hydraulic
governor. The position of the flyweights is determined by the speed of the engine. As
the engine speeds up or down, the weights move in or out. The movement of the
flyweights, due to a change in engine speed, moves a small piston (pilot valve) in the
governor's hydraulic system. This motion adjusts flow of hydraulic fluid to a large
hydraulic piston (servo-motor piston). The large hydraulic piston is linked to the fuel
rack and its motion resets the fuel rack for increased/decreased fuel.
Figure 28 Simplified Mechanical-Hydraulic Governor
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DOE-HDBK-1018/1-93
Detailed Operation of the Governor

With the engine operating, oil from the engine lubrication system is supplied to the
governor pump gears, as illustrated in Figure 29. The pump gears raise the oil pressure
to a value determined by the spring relief valve. The oil pressure is maintained in the
annular space between the undercut portion of the pilot valve plunger and the bore in the
pilot valve bushing. For any given speed setting, the spring speeder exerts a force that
is opposed by the centrifugal force of the revolving flyweights. When the two forces are
equal, the control land on the pilot valve plunger covers the lower ports in the pilot valve
bushing.
Figure 29 Cutaway of a Woodward Governor
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Under these conditions, equal oil pressures are maintained on both sides of the buffer
piston and tension on the two buffer springs is equal. Also, the oil pressure is equal on
both sides of the receiving compensating land of the pilot valve plunger due to oil passing
through the compensating needle valve. Thus, the hydraulic system is in balance, and the
engine speed remains constant.
When the engine load increases, the engine starts to slow down in speed. The reduction
in engine speed will be sensed by the governor flyweights. The flyweights are forced
inward (by the spring), thus lowering the pilot valve plunger (again, due to the downward
spring force). Oil under pressure will be admitted under the servo-motor piston (topside
of the buffer piston) causing it to rise. This upward motion of the servo-motor piston will
be transmitted through the terminal lever to the fuel racks, thus increasing the amount of
fuel injected into the engine. The oil that forces the servo-motor piston upward also
forces the buffer piston upward because the oil pressure on each side of the piston is
unequal. This upward motion of the piston compresses the upper buffer spring and
relieves the pressure on the lower buffer spring.
The oil cavities above and below the buffer piston are common to the receiving
compensating land on the pilot valve plunger. Because the higher pressure is below the
compensating land, the pilot valve plunger is forced upward, recentering the flyweights
and causing the control land of the pilot valve to close off the regulating port. Thus, the
upward movement of the servo-motor piston stops when it has moved far enough to make
the necessary fuel correction.
Oil passing through the compensating needle valve slowly equalizes the pressures above
and below the buffer piston, thus allowing the buffer piston to return to the center
position, which in turn equalizes the pressure above and below the receiving
compensating land. The pilot valve plunger then moves to its central position and the
engine speed returns to its original setting because there is no longer any excessive
outward force on the flyweights.
The action of the flyweights and the hydraulic feedback mechanism produces stable
engine operation by permitting the governor to move instantaneously in response to the
load change and to make the necessary fuel adjustment to maintain the initial engine
speed.
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Starting Circuits
Diesel engines have as many different types of starting circuits as there are types, sizes, and
manufacturers of diesel engines. Commonly, they can be started by air motors, electric motors,
hydraulic motors, and manually. The start circuit can be a simple manual start pushbutton, or
a complex auto-start circuit. But in almost all cases the following events must occur for the
starting engine to start.
1.
The start signal is sent to the starting motor. The air, electric, or hydraulic motor,
will engage the engine's flywheel.
2.
The starting motor will crank the engine. The starting motor will spin the engine
at a high enough rpm to allow the engine's compression to ignite the fuel and start
the engine running.
3.
The engine will then accelerate to idle speed. When the starter motor is overdriven
by the running motor it will disengage the flywheel.
Because a diesel engine relies on compression heat to ignite the fuel, a cold engine can rob
enough heat from the gasses that the compressed air falls below the ignition temperature of the
fuel. To help overcome this condition, some engines (usually small to medium sized engines)
have glowplugs. Glowplugs are located in the cylinder head of the combustion chamber and use
electricity to heat up the electrode at the top of the glowplug. The heat added by the glowplug
is sufficient to help ignite the fuel in the cold engine. Once the engine is running, the glowplugs
are turned off and the heat of combustion is sufficient to heat the block and keep the engine
running.
Larger engines usually heat the block and/or have powerful starting motors that are able to spin
the engine long enough to allow the compression heat to fire the engine. Some large engines use
air start manifolds that inject compressed air into the cylinders which rotates the engine during
the start sequence.
Engine Protection
A diesel engine is designed with protection systems to alert the operators of abnormal conditions
and to prevent the engine from destroying itself.
Overspeed device -
ME-01
Because a diesel is not self-speed-limiting, a failure in the governor,

injection system, or sudden loss of load could cause the diesel to
overspeed. An overspeed condition is extremely dangerous because
engine failure is usually catastrophic and can possibly cause the engine to
fly apart.
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An overspeed device, usually some type of mechanical flyweight, will act

to cut off fuel to the engine and alarm at a certain preset rpm. This is
usually accomplished by isolating the governor from its oil supply, causing
it to travel to the no-fuel position, or it can override the governor and
directly trip the fuel rack to the no-fuel position.
Water jacket -
Water-cooled engines can overheat if the cooling water system fails to

remove waste heat. Removal of the waste heat prevents the engine from
seizing due to excessive expansion of the components under a high
temperature condition. The cooling water jacket is commonly where the
sensor for the cooling water system is located.
The water jacket temperature sensors provide early warning of abnormal
engine temperature, usually an alarm function only. The setpoint is set
such that if the condition is corrected in a timely manner, significant
engine damage will be avoided. But continued engine operation at the
alarm temperature or higher temperatures will lead to engine damage.
Exhaust
temperatures -
In a diesel engine, exhaust temperatures are very important and can

provide a vast amount of information regarding the operation of the
engine. High exhaust temperature can indicate an overloading of the
engine or possible poor performance due to inadequate scavenging (the
cooling effect) in the engine. Extended operation with high exhaust
temperatures can result in damage to the exhaust valves, piston, and
cylinders. The exhaust temperature usually provides only an alarm
function.
Low lube oil

pressure -
Low oil pressure or loss of oil pressure can destroy an engine in short
order. Therefore, most medium to larger engines will stop upon low or
loss of oil pressure. Loss of oil pressure can result in the engine seizing
due to lack of lubrication. Engines with mechanical-hydraulic governors
will also stop due to the lack of oil to the governor.
The oil pressure sensor usually stops the engine. The oil pressure sensors
on larger engines usually have two low pressure setpoints. One setpoint
provides early warning of abnormal oil pressure, an alarm function only.
The second setpoint can be set to shutdown the engine before permanent
damage is done.
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High crankcase
pressure -
DOE-HDBK-1018/1-93
High crankcase pressure is usually caused by excessive blow-by (gas

pressure in the cylinder blowing by the piston rings and into the
crankcase). The high pressure condition indicates the engine is in poor
condition. The high crankcase pressure is usually used only as an alarm
function.
Summary
Diesel Engine Speed, Fuel Controls, and Protection Summary

A mechanical-hydraulic governor controls engine speed by balancing
engine speed (mechanical flyweights) against hydraulic pressure. As the
engine speeds up or slows down, the weights move the hydraulic plunger
in or out. This in turn actuates a hydraulic valve which controls the
hydraulic pressure to the buffer piston. The buffer piston is connected to
the fuel rack. Therefore, any motion of the buffer piston will control fuel
to the cylinder by adjusting the position of the fuel rack, which regulates
the amount of fuel in the injectors.
Most mid-sized to large diesel engines have (as a minimum) the following
protective alarms and trips.
Engine overspeed alarm/trip
High water jacket temperature alarm
High exhaust temperature alarm
Low lube oil pressure (alarm and/or trip)
High crankcase pressure alarm
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M ECHANICAL SCIENCE
M odule 2
Heat Exchangers
Heat Exchangers
DOE-HDBK-1018/1-93
TABLE OF CONTENTS
TABLE OF C ONTENTS
LIST OF TABLES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii
REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv
OBJECTIVES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
TYPES OF HEAT EXCHANGERS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Introduction . . . . . . . . . . . . . . . . . . . . . . .
Types of Heat Exchanger Construction . . . .
Types of Heat Exchangers . . . . . . . . . . . . .
Comparison of the Types of Heat Exchangers
Summary . . . . . . . . . . . . . . . . . . . . . . . .
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HEAT EXCHANGER APPLICATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Introduction . . . . . . . . . . . . . . . . . . . . .
Preheater . . . . . . . . . . . . . . . . . . . . . . .
Radiator . . . . . . . . . . . . . . . . . . . . . . .
Air Conditioner Evaporator and Condenser
Large Steam System Condensers . . . . . .
Summary . . . . . . . . . . . . . . . . . . . . . .
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18
ME-02
LIST OF FIGURES
DOE-HDBK-1018/1-93
Heat Exchangers
LIST OF FIGURES
Figure 1 Tube and Shell Heat Exchanger . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Figure 2 Plate Heat Exchanger . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Figure 3 Parallel Flow Heat Exchanger . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Figure 4 Counter Flow Heat Exchange . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Figure 5 Cross Flow Heat Exchanger . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Figure 6 Single and Multi-Pass Heat Exchangers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Figure 7 Regenerative and Non-Regenerative Heat Exchangers . . . . . . . . . . . . . . . . . . 10
Figure 8 U-tube Feedwater Heat Exchanger . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Figure 9 Single Pass Condenser . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Figure 10 Jet Pump . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
ME-02
Page ii
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Heat Exchangers
DOE-HDBK-1018/1-93
LIST OF TABLES
LIST OF TABLES
NONE
Rev. 0
Page iii
ME-02
REFERENCES
DOE-HDBK-1018/1-93
Heat Exchangers
REFERENCES
Babcock & Wilcox, Steam, Its Generations and Use, Babcock & Wilcox Co.
Heat Transfer, Thermodynamics and Fluid Flow Fundamentals, Columbia, MD,
General Physics Corporation, Library of Congress Card #A 326517.
Marley, Cooling Tower Fundamentals and Applications, The Marley Company.
ME-02
Page iv
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Heat Exchangers
DOE-HDBK-1018/1-93
OBJECTIVES
TERMINAL OBJECTIVE
1.0
Without references, DESCRIBE the purpose, construction, and principles of operation for
each major type of heat exchanger: parallel flow, counter flow, and cross flow.
1.1
STATE the two types of heat exchanger construction.
1.2
Provided with a drawing of a heat exchanger, IDENTIFY the following internal parts:
a.
b.
c.
d.
1.3
Tubes
Tube sheet
Shell
Baffles
DESCRIBE hot and cold fluid flow in parallel flow, counter flow, and cross flow heat
exchangers.
1.4
DIFFERENTIATE between the following types of heat exchangers:
a.
b.
Single-pass versus multi-pass heat exchangers.

Regenerative versus non-regenerative heat exchangers.
1.5
LIST at least three applications of heat exchangers.
1.6
STATE the purpose of a condenser.
1.7
DEFINE the following terms:
a.
b.
1.8
Rev. 0
Hotwell
Condensate depression
STATE why condensers in large steam cycles are operated at a vacuum.
Page v
ME-02
OBJECTIVES
DOE-HDBK-1018/1-93
Heat Exchangers
Intentionally Left Blank
ME-02
Page vi
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Heat Exchangers
DOE-HDBK-1018/1-93
TYPES OF HEAT EXCHANGERS
T YPES OF HEAT E XC HANGERS

In almost any nuclear, chemical, or mechanical system, heat must be transferred
from one place to another or from one fluid to another. Heat exchangers are used
to transfer heat from one fluid to another. A basic understanding of the
mechanical components of a heat exchanger is important to understanding how
they function and operate.
EO 1.1
STATE the two types of heat exchanger construction.
EO 1.2
Provided with a drawing of a heat exchanger, IDENTIFY the

following internal parts:
a.
b.
Tubes
Tube sheet
c.
d.
Shell
B affles
EO 1.3
DESCRIBE hot and cold fluid flow in parallel flow, counter

flow, and cross flow heat exchangers.
EO 1.4
DIFFERENTIATE between the following types of heat exchangers:

a.
b.
Single-pass versus m ulti-pass heat exchangers

Regenerative versus non-regenerative heat exchangers
Introduction
A heat exchanger is a component that allows the transfer of heat from one fluid (liquid or gas)
to another fluid. Reasons for heat transfer include the following:
1.
To heat a cooler fluid by means of a hotter fluid
2.
To reduce the temperature of a hot fluid by means of a cooler fluid
3.
To boil a liquid by means of a hotter fluid
4.
To condense a gaseous fluid by means of a cooler fluid
5.
To boil a liquid while condensing a hotter gaseous fluid
Regardless of the function the heat exchanger fulfills, in order to transfer heat the fluids involved
must be at different temperatures and they must come into thermal contact. Heat can flow only
from the hotter to the cooler fluid.
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DOE-HDBK-1018/1-93
Heat Exchangers
In a heat exchanger there is no direct contact between the two fluids. The heat is transferred
from the hot fluid to the metal isolating the two fluids and then to the cooler fluid.
Types of Heat Exchanger Construction

Although heat exchangers come in every shape and size imaginable, the construction of most heat
exchangers fall into one of two categories: tube and shell, or plate. As in all mechanical devices,
each type has its advantages and disadvantages.
Tube and Shell

The most basic and the most common type of heat exchanger construction is the tube and
shell, as shown in Figure 1. This type of heat exchanger consists of a set of tubes in a
container called a shell. The fluid flowing inside the tubes is called the tube side fluid
and the fluid flowing on the outside of the tubes is the shell side fluid. At the ends of
the tubes, the tube side fluid is separated from the shell side fluid by the tube sheet(s).
The tubes are rolled and press-fitted or welded into the tube sheet to provide a leak tight
seal. In systems where the two fluids are at vastly different pressures, the higher pressure
fluid is typically directed through the tubes and the lower pressure fluid is circulated on
the shell side. This is due to economy, because the heat exchanger tubes can be made
to withstand higher pressures than the shell of the heat exchanger for a much lower cost.
The support plates shown on Figure 1 also act as baffles to direct the flow of fluid within
the shell back and forth across the tubes.
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Heat Exchangers
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Figure 1 Tube and Shell Heat Exchanger
Plate
A plate type heat exchanger, as illustrated in Figure 2, consists of plates instead of tubes
to separate the hot and cold fluids. The hot and cold fluids alternate between each of the
plates. Baffles direct the flow of fluid between plates. Because each of the plates has
a very large surface area, the plates provide each of the fluids with an extremely large
heat transfer area. Therefore a plate type heat exchanger, as compared to a similarly
sized tube and shell heat exchanger, is capable of transferring much more heat. This is
due to the larger area the plates provide over tubes. Due to the high heat transfer
efficiency of the plates, plate type heat exchangers are usually very small when compared
to a tube and shell type heat exchanger with the same heat transfer capacity. Plate type
heat exchangers are not widely used because of the inability to reliably seal the large
gaskets between each of the plates. Because of this problem, plate type heat exchangers
have only been used in small, low pressure applications such as on oil coolers for
engines. However, new improvements in gasket design and overall heat exchanger
design have allowed some large scale applications of the plate type heat exchanger. As
older facilities are upgraded or newly designed facilities are built, large plate type heat
exchangers are replacing tube and shell heat exchangers and becoming more common.
Rev. 0
Page 3
ME-02
DOE-HDBK-1018/1-93
Heat Exchangers
Figure 2 Plate Heat Exchanger
Types of Heat Exchangers

Because heat exchangers come in so many shapes, sizes, makes, and models, they are categorized
according to common characteristics. One common characteristic that can be used to categorize
them is the direction of flow the two fluids have relative to each other. The three categories are
parallel flow, counter flow and cross flow.
Parallel flow, as illustrated in Figure 3, exists when both the tube side fluid and the shell
side fluid flow in the same direction. In this case, the two fluids enter the heat
exchanger from the same end with a large temperature difference. As the fluids transfer
heat, hotter to cooler, the temperatures of the two fluids approach each other. Note that
the hottest cold-fluid temperature is always less than the coldest hot-fluid temperature.
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Heat Exchangers
DOE-HDBK-1018/1-93
Figure 3 Parallel Flow Heat Exchanger
Counter flow , as illustrated in Figure 4, exists when the two fluids flow in opposite
directions. Each of the fluids enters the heat exchanger at opposite ends. Because the
cooler fluid exits the counter flow heat exchanger at the end where the hot fluid enters
the heat exchanger, the cooler fluid will approach the inlet temperature of the hot fluid.
Counter flow heat exchangers are the most efficient of the three types. In contrast to the
parallel flow heat exchanger, the counter flow heat exchanger can have the hottest coldfluid temperature greater than the coldest hot-fluid temperatue.
Figure 4 Counter Flow Heat Exchange
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Heat Exchangers
Cross flow, as illustrated in Figure 5, exists when one fluid flows perpendicular to the
second fluid; that is, one fluid flows through tubes and the second fluid passes around the
tubes at 90 angle. Cross flow heat exchangers are usually found in applications where
one of the fluids changes state (2-phase flow). An example is a steam system's
condenser, in which the steam exiting the turbine enters the condenser shell side, and the
cool water flowing in the tubes absorbs the heat from the steam, condensing it into water.
Large volumes of vapor may be condensed using this type of heat exchanger flow.
Figure 5 Cross Flow Heat Exchanger
Comparison of the Types of Heat Exchangers

Each of the three types of heat exchangers has advantages and disadvantages. But of the three,
the counter flow heat exchanger design is the most efficient when comparing heat transfer rate
per unit surface area. The efficiency of a counter flow heat exchanger is due to the fact that the
average T (difference in temperature) between the two fluids over the length of the heat
exchanger is maximized, as shown in Figure 4. Therefore the log mean temperature for a
counter flow heat exchanger is larger than the log mean temperature for a similar parallel or
cross flow heat exchanger. (See the Thermodynamics, Heat Transfer, and Fluid Flow
Fundamentals Handbook for a review of log mean temperature). This can be seen by comparing
the graphs in Figure 3, Figure 4, and Figure 5. The following exercise demonstrates how the
higher log mean temperature of the counter flow heat exchanger results in a larger heat transfer
rate. The log mean temperature for a heat exchanger is calculated using the following equation.
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Page 6
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Heat Exchangers
DOE-HDBK-1018/1-93
Tlm
T2
ln
T1
(2-1)
T2
T1
Heat transfer in a heat exchanger is by conduction and convection. The rate of heat
transfer, "Q", in a heat exchanger is calculated using the following equation.
Q
UoAo Tlm
(2-2)
Where:
Q
Heat transfer rate (BTU/hr)
Uo = Overall heat transfer coefficient (BTU/hr-ft2-F)

Ao = Cross sectional heat transfer area (ft2)
Tlm =
Log mean temperature difference (F)
Consider the following example of a heat exchanger operated under identical conditions as a
counter flow and then a parallel flow heat exchanger.
T1
represents the hot fluid temperature
T1in
200F
T1out
145F
Uo = 70 BTU/hr-ft2-F
Ao = 75ft2
T2
represents the cold fluid temperature
T2in
80F
T2out
120F
Counter flow Tlm =
Rev. 0
(200 120oF) (145 80oF)

(200 120oF)
ln
(145 80oF)
Page 7
72oF
ME-02
DOE-HDBK-1018/1-93
o
o
Parallel flow Tlm = (200 80 F) (145 120 F)
(200 80oF)
ln
(145 120oF)
Heat Exchangers
61oF
Inserting the above values into heat transfer Equation (2-2) for the counter flow heat
exchanger yields the following result.
Q
70
BTU
(75ft 2) (72 F)
hr ft 2 F
3.8x 105
BTU
hr
Inserting the above values into the heat transfer Equation (2-2) for parallel flow heat
exchanger yields the following result.
Q
70
BTU
(75ft 2) (61 F)
hr ft 2 F
3.2x 105
BTU
hr
The results demonstrate that given the same operating conditions, operating the same heat
exchanger in a counter flow manner will result in a greater heat transfer rate than
operating in parallel flow.
In actuality, most large heat exchangers are not purely parallel flow, counter flow, or cross flow;
they are usually a combination of the two or all three types of heat exchangers. This is due to
the fact that actual heat exchangers are more complex than the simple components shown in the
idealized figures used above to depict each type of heat exchanger. The reason for the
combination of the various types is to maximize the efficiency of the heat exchanger within the
restrictions placed on the design. That is, size, cost, weight, required efficiency, type of fluids,
operating pressures, and temperatures, all help determine the complexity of a specific heat
exchanger.
One method that combines the characteristics of two or more heat exchangers and improves the
performance of a heat exchanger is to have the two fluids pass each other several times within
a single heat exchanger. When a heat exchanger's fluids pass each other more than once, a heat
exchanger is called a multi-pass heat exchanger. If the fluids pass each other only once, the heat
exchanger is called a single-pass heat exchanger. See Figure 6 for an example of both types.
Commonly, the multi-pass heat exchanger reverses the flow in the tubes by use of one or more
sets of "U" bends in the tubes. The "U" bends allow the fluid to flow back and forth across the
length of the heat exchanger. A second method to achieve multiple passes is to insert baffles
on the shell side of the heat exchanger. These direct the shell side fluid back and forth across
the tubes to achieve the multi-pass effect.
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Heat Exchangers
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Figure 6 Single and Multi-Pass Heat Exchangers
Heat exchangers are also classified by their function in a particular system. One common
classification is regenerative or nonregenerative. A regenerative heat exchanger is one in which
the same fluid is both the cooling fluid and the cooled fluid, as illustrated in Figure 7. That is,
the hot fluid leaving a system gives up its heat to "regenerate" or heat up the fluid returning to
the system. Regenerative heat exchangers are usually found in high temperature systems where
a portion of the system's fluid is removed from the main process, and then returned. Because
the fluid removed from the main process contains energy (heat), the heat from the fluid leaving
the main system is used to reheat (regenerate) the returning fluid instead of being rejected to an
external cooling medium to improve efficiency. It is important to remember that the term
regenerative/nonregenerative only refers to "how" a heat exchanger functions in a system, and
does not indicate any single type (tube and shell, plate, parallel flow, counter flow, etc.).
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Heat Exchangers
In a nonregenerative heat exchanger, as illustrated in Figure 7, the hot fluid is cooled by fluid
from a separate system and the energy (heat) removed is not returned to the system.
Figure 7 Regenerative and Non-Regenerative Heat Exchangers
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Heat Exchangers
DOE-HDBK-1018/1-93
Summary
The important information from this chapter is summarized below.
Types of Heat Exchangers Summary

There are two methods of constructing heat exchangers:
plate type and tube type.
Parallel flow - the hot fluid and the coolant flow in the
same direction.
Counter flow - The hot fluid and the coolant flow in
opposite directions.
Cross flow - the hot fluid and the coolant flow at 90
angles (perpendicular) to each other.
The four heat exchanger parts identified were:
Tubes
Tube Sheet
Shell
Baffles
Single-pass heat exchangers have fluids that pass each
other only once.
Multi-pass heat exchangers have fluids that pass each other
more than once through the use of U tubes and baffles.
Regenerative heat exchangers use the same fluid for
heating and cooling.
Non-regenerative heat exchangers use separate fluids for
heating and cooling.
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HEAT EXCHANGER APPLICATIONS
DOE-HDBK-1018/1-93
Heat Exchangers
HEAT E XC HANGER APPLICATION S

This chapter describes some specific applications of heat exchangers.
EO 1.5
LIST at least three applications of heat exchangers.
EO 1.6
STATE the purpose of a condenser.
EO 1.7

a.
b.
EO 1.8
Hotwell
Condensate depression
STATE why condensers in large steam cycles are

operated at a vacuum.
Introduction
Heat exchangers are found in most chemical or mechanical systems. They serve as the system's
means of gaining or rejecting heat. Some of the more common applications are found in
heating, ventilation and air conditioning (HVAC) systems, radiators on internal combustion
engines, boilers, condensers, and as preheaters or coolers in fluid systems. This chapter will
review some specific heat exchanger applications. The intent is to provide several specific
examples of how each heat exchanger functions in the system, not to cover every possible
applicaton.
Preheater
In large steam systems, or in any process requiring high temperatures, the input fluid is usually
preheated in stages, instead of trying to heat it in one step from ambient to the final temperature.
Preheating in stages increases the plant's efficiency and minimizes thermal shock stress to
components, as compared to injecting ambient temperature liquid into a boiler or other device
that operates at high temperatures. In the case of a steam system, a portion of the process steam
is tapped off and used as a heat source to reheat the feedwater in preheater stages. Figure 8 is
an example of the construction and internals of a U-tube feedwater heat exchanger found in a
large power generation facility in a preheater stage. As the steam enters the heat exchanger and
flows over and around the tubes, it transfers its thermal energy and is condensed. Note that the
steam enters from the top into the shell side of the heat exchanger, where it not only transfers
sensible heat (temperature change) but also gives up its latent heat of vaporization (condenses
steam into water). The condensed steam then exits as a liquid at the bottom of the heat
exchanger. The feedwater enters the heat exchanger on the bottom right end and flows into the
tubes. Note that most of these tubes will be below the fluid level on the shell side.
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This means the feedwater is exposed to the condensed steam first and then travels through the
tubes and back around to the top right end of the heat exchanger. After making the 180 bend,
the partially heated feedwater is then subjected to the hotter steam entering the shell side.
Figure 8 U-tube Feedwater Heat Exchanger
The feedwater is further heated by the hot steam and then exits the heat exchanger. In this type
of heat exchanger, the shell side fluid level is very important in determining the efficiency of
the heat exchanger, as the shell side fluid level determines the number of tubes exposed to the
hot steam.
Radiator
Commonly, heat exchangers are thought of as liquid-to-liquid devices only. But a heat
exchanger is any device that transfers heat from one fluid to another. Some of a facility's
equipment depend on air-to-liquid heat exchangers. The most familiar example of an air-toliquid heat exchanger is a car radiator. The coolant flowing in the engine picks up heat from
the engine block and carries it to the radiator. From the radiator, the hot coolant flows into the
tube side of the radiator (heat exchanger). The relatively cool air flowing over the outside of the
tubes picks up the heat, reducing the temperature of the coolant.
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Heat Exchangers
Because air is such a poor conductor of heat, the heat transfer area between the metal of the
radiator and the air must be maximized. This is done by using fins on the outside of the tubes.
The fins improve the efficiency of a heat exchanger and are commonly found on most liquid-toair heat exchangers and in some high efficiency liquid-to-liquid heat exchangers.
Air Conditioner Evaporator and Condenser

All air conditioning systems contain at least two heat exchangers, usually called the evaporator
and the condenser. In either case, evaporator or condenser, the refrigerant flows into the heat
exchanger and transfers heat, either gaining or releasing it to the cooling medium. Commonly,
the cooling medium is air or water. In the case of the condenser, the hot, high pressure
refrigerant gas must be condensed to a subcooled liquid.
The condenser accomplishes this by cooling the gas, transferring its heat to either air or water.
The cooled gas then condenses into a liquid. In the evaporator, the subcooled refrigerant flows
into the heat exchanger, but the heat flow is reversed, with the relatively cool refrigerant
absorbing heat from the hotter air flowing on the outside of the tubes. This cools the air and
boils the refrigerant.
Large Stea m System Condensers

The steam condenser, shown in Figure 9, is a major component of the steam cycle in power
generation facilities. It is a closed space into which the steam exits the turbine and is forced to
give up its latent heat of vaporization. It is a necessary component of the steam cycle for two
reasons. One, it converts the used steam back into water for return to the steam generator or
boiler as feedwater. This lowers the operational cost of the plant by allowing the clean and
treated condensate to be reused, and it is far easier to pump a liquid than steam. Two, it
increases the cycle's efficiency by allowing the cycle to operate with the largest possible deltaT and delta-P between the source (boiler) and the heat sink (condenser).
Because condensation is taking place, the term latent heat of condensation is used instead of
latent heat of vaporization. The steam's latent heat of condensation is passed to the water
flowing through the tubes of the condenser.
After the steam condenses, the saturated liquid continues to transfer heat to the cooling water
as it falls to the bottom of the condenser, or hotwell. This is called subcooling, and a certain
amount is desirable. A few degrees subcooling prevents condensate pump cavitation. The
difference between the saturation temperature for the existing condenser vacuum and the
temperature of the condensate is termed condensate depression. This is expressed as a number
of degrees condensate depression or degrees subcooled. Excessive condensate depression
decreases the operating efficiency of the plant because the subcooled condensate must be
reheated in the boiler, which in turn requires more heat from the reactor, fossil fuel, or other heat
source.
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Figure 9 Single-Pass Condenser
There are different condenser designs, but the most common, at least in the large power
generation facilities, is the straight-through, single-pass condenser illustrated Figure 9. This
condenser design provides cooling water flow through straight tubes from the inlet water box
on one end, to the outlet water box on the other end. The cooling water flows once through the
condenser and is termed a single pass. The separation between the water box areas and the
steam condensing area is accomplished by a tube sheet to which the cooling water tubes are
attached. The cooling water tubes are supported within the condenser by the tube support sheets.
Condensers normally have a series of baffles that redirect the steam to minimize direct
impingement on the cooling water tubes. The bottom area of the condenser is the hotwell, as
shown in Figure 9. This is where the condensate collects and the condensate pump takes its
suction. If noncondensable gasses are allowed to build up in the condenser, vacuum will
decrease and the saturation temperature at which the steam will condense increases.
Non-condensable gasses also blanket the tubes of the condenser, thus reducing the heat transfer
surface area of the condenser. This surface area can also be reduced if the condensate level is
allowed to rise over the lower tubes of the condenser. A reduction in the heat transfer surface
has the same effect as a reduction in cooling water flow. If the condenser is operating near its
design capacity, a reduction in the effective surface area results in difficulty maintaining
condenser vacuum.
The temperature and flow rate of the cooling water through the condenser controls the
temperature of the condensate. This in turn controls the saturation pressure (vacuum) of the
condenser.
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Heat Exchangers
To prevent the condensate level from rising to the lower tubes of the condenser, a hotwell level
control system may be employed. Varying the flow of the condensate pumps is one method used
to accomplish hotwell level control. A level sensing network controls the condensate pump
speed or pump discharge flow control valve position. Another method employs an overflow
system that spills water from the hotwell when a high level is reached.
Condenser vacuum should be maintained as close to 29 inches Hg as practical. This allows
maximum expansion of the steam, and therefore, the maximum work. If the condenser were
perfectly air-tight (no air or noncondensable gasses present in the exhaust steam), it would be
necessary only to condense the steam and remove the condensate to create and maintain a
vacuum. The sudden reduction in steam volume, as it condenses, would maintain the vacuum.
Pumping the water from the condenser as fast as it is formed would maintain the vacuum. It
is, however, impossible to prevent the entrance of air and other noncondensable gasses into the
condenser. In addition, some method must exist to initially cause a vacuum to exist in the
condenser. This necessitates the use of an air ejector or vacuum pump to establish and help
maintain condenser vacuum.
Air ejectors are essentially jet pumps or eductors, as illustrated in Figure 10. In operation, the
jet pump has two types of fluids. They are the high pressure fluid that flows through the nozzle,
and the fluid being pumped which flows around the nozzle into the throat of the diffuser. The
high velocity fluid enters the diffuser where its molecules strike other molecules. These
molecules are in turn carried along with the high velocity fluid out of the diffuser creating a low
pressure area around the mouth of the nozzle. This process is called entrainment. The low
pressure area will draw more fluid from around the nozzle into the throat of the diffuser. As the
fluid moves down the diffuser, the increasing area converts the velocity back to pressure. Use
of steam at a pressure between 200 psi and 300 psi as the high pressure fluid enables a singlestage air ejector to draw a vacuum of about 26 inches Hg.
Figure 10 Jet Pump
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Normally, air ejectors consist of two suction stages. The first stage suction is located on top of
the condenser, while the second stage suction comes from the diffuser of the first stage. The
exhaust steam from the second stage must be condensed. This is normally accomplished by an
air ejector condenser that is cooled by condensate. The air ejector condenser also preheats the
condensate returning to the boiler. Two-stage air ejectors are capable of drawing vacuums to
29 inches Hg.
A vacuum pump may be any type of motor-driven air compressor. Its suction is attached to the
condenser, and it discharges to the atmosphere. A common type uses rotating vanes in an
elliptical housing. Single-stage, rotary-vane units are used for vacuums to 28 inches Hg. Two
stage units can draw vacuums to 29.7 inches Hg. The vacuum pump has an advantage over the
air ejector in that it requires no source of steam for its operation. They are normally used as the
initial source of vacuum for condenser start-up.
Rev. 0
Page 17
ME-02
DOE-HDBK-1018/1-93
Heat Exchangers
Summary
The important information from this chapter is summarized below.
Heat Exchanger Applications Summary

Heat exchangers are often used in the following applications.
Preheater
Radiator
Air conditioning evaporator and condenser
Steam condenser
The purpose of a condenser is to remove the latent heat of vaporization, condensing
the vapor into a liquid.
Heat exchangers condense the steam vapor into a liquid for return to the boiler.
The cycle's efficiency is increased by ensuring the maximum T between the source
and the heat sink.
The hotwell is the area at the bottom of the condenser where the condensed steam
is collected to be pumped back into the system feedwater.
Condensate depression is the amount the condensate in a condenser is cooled below
saturation (degrees subcooled).
Condensers operate at a vacuum to ensure the temperature (and thus the pressure)
of the steam is as low as possible. This maximizes the T and P between the
source and the heat sink, ensuring the highest cycle efficiency possible.
ME-02
Page 18
Rev. 0
M ECHANICAL SCIENCE
M odule 3
Pumps
Pumps
DOE-HDBK-1018/1-93
TABLE OF CONTENTS
TABLE OF C ONTENTS
LIST OF TABLES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii
REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv
OBJECTIVES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
CENTRIFUGAL PUMPS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Introduction . . . . . . . . . . . . . . . . . . . .
Diffuser . . . . . . . . . . . . . . . . . . . . . .
Impeller Classification . . . . . . . . . . . . .
Centrifugal Pump Classification by Flow
Multi-Stage Centrifugal Pumps . . . . . . .
Centrifugal Pump Components . . . . . . .
Summary . . . . . . . . . . . . . . . . . . . . .
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CENTRIFUGAL PUMP OPERATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Introduction . . . . . . . . . . . . . . . . . . .
Cavitation . . . . . . . . . . . . . . . . . . . .
Net Positive Suction Head . . . . . . . . .
Preventing Cavitation . . . . . . . . . . . .
Centrifugal Pump Characteristic Curves
Centrifugal Pump Protection . . . . . . .
Gas Binding . . . . . . . . . . . . . . . . . .
Priming Centrifugal Pumps . . . . . . . .
Summary . . . . . . . . . . . . . . . . . . . .
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POSITIVE DISPLACEMENT PUMPS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
18
Page i
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Curves
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11
11
12
12
13
14
15
15
15
16
Rev. 0
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1
3
3
4
6
7
10
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Introduction . . . . . . . . . . . . . . . . . . . . .
Principle of Operation . . . . . . . . . . . . . .
Reciprocating Pumps . . . . . . . . . . . . . .
Rotary Pumps . . . . . . . . . . . . . . . . . . .
Diaphragm Pumps . . . . . . . . . . . . . . . .
Positive Displacement Pump Characteristic
Positive Displacement Pump Protection . .
Summary . . . . . . . . . . . . . . . . . . . . . .
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18
19
19
22
26
27
28
28
ME-03
LIST OF FIGURES
DOE-HDBK-1018/1-93
Pumps
LIST OF FIGURES
Figure 1 Centrifugal Pump . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Figure 2 Single and Double Volutes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Figure 3 Centrifugal Pump Diffuser . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Figure 4 Single Suction and Double Suction Impellers . . . . . . . . . . . . . . . . . . . . . . . . . 3
Figure 5 Open, Semi-Open, and Enclosed Impellers . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Figure 6 Radial Flow Centrifugal Pump . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Figure 7 Axial Flow Centrifugal Pump . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Figure 8 Mixed Flow Centrifugal Pump . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Figure 9 Multi-Stage Centrifugal Pump . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Figure 10 Centrifugal Pump Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Figure 11 Centrifugal Pump Characteristic Curve . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Figure 12 Reciprocating Positive Displacement Pump Operation . . . . . . . . . . . . . . . . . . 19
Figure 13 Single-Acting and Double-Acting Pumps . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Figure 14 Simple Gear Pump . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Figure 15 Types of Gears Used In Pumps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Figure 16 Lobe Type Pump
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Figure 17 Two-Screw, Low-Pitch, Screw Pump
. . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Figure 18 Three-Screw, High-Pitch, Screw Pump . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

Figure 19 Rotary Moving Vane Pump . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Figure 20 Diaphragm Pump . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Figure 21 Positive Displacement Pump Characteristic Curve . . . . . . . . . . . . . . . . . . . . . 27
ME-03
Page ii
Rev. 0
Pumps
DOE-HDBK-1018/1-93
LIST OF TABLES
LIST OF TABLES
None
Rev. 0
Page iii
ME-03
REFERENCES
DOE-HDBK-1018/1-93
Pumps
REFERENCES
Babcock & Wilcox, Steam, Its Generations and Use, Babcock & Wilcox Co.
General Physics, Heat Transfer, Thermodynamics and Fluid Flow Fundamentals, General
Physics Corporation.
Academic Program for Nuclear Power Plant Personnel, Volume III, Columbia, MD,
General Physics Corporation, Library of Congress Card #A 326517, 1982.
Stewart, Harry L., Pneumatics & Hydraulics, Theodore Audel & Company.
ME-03
Page iv
Rev. 0
Pumps
DOE-HDBK-1018/1-93
OBJECTIVES
TERMINAL OBJECTIVE
1.0
Without references, DESCRIBE the purpose, construction, and principles of operation for
centrifugal pumps.
1.1
STATE the purposes of the following centrifugal pump components:
a.
b.
c.
1.2
Packing
Lantern Ring
Wearing ring
Pump casing
Pump shaft
Impeller
Volute
Stuffing box
f.
g.
h.
i.
j.
Stuffing box gland

Packing
Lantern Ring
Impeller wearing ring
Pump casing wearing ring
d.
e.
Shutoff head
Pump runout
a.
b.
c.
1.4
d.
e.
f.
Given a drawing of a centrifugal pump, IDENTIFY the following major

components:
a.
b.
c.
d.
e.
1.3
Impeller
Volute
Diffuser
Net Positive Suction Head Available

Cavitation
Gas binding
STATE the relationship between net positive suction head available and net positive
suction head required that is necessary to avoid cavitation.

1.5
LIST three indications that a centrifugal pump may be cavitating.
1.6
LIST five changes that can be made in a pump or its surrounding system that can reduce
cavitation.
1.7
LIST three effects of cavitation.
1.8
DESCRIBE the shape of the characteristic curve for a centrifugal pump.
1.9
DESCRIBE how centrifugal pumps are protected from the conditions of dead heading
and pump runout.

Rev. 0
Page v
ME-03
OBJECTIVES
DOE-HDBK-1018/1-93
Pumps
TERMINAL OBJECTIVE
2.0
Without references, DESCRIBE the purpose, construction, and principle of operation for
positive displacement pumps.
2.1
STATE the difference between the flow characteristics of centrifugal and positive
displacement pumps.
2.2
Given a simplified drawing of a positive displacement pump, CLASSIFY the pump as

one of the following:
a.
b.
c.
d.
e.
f.
Reciprocating piston pump

Gear-type rotary pump
Screw-type rotary pump
Lobe-type rotary pump
Moving vane pump
Diaphragm pump
2.3
EXPLAIN the importance of viscosity as it relates to the operation of a reciprocating

positive displacement pump.
2.4
DESCRIBE the characteristic curve for a positive displacement pump.
2.5
DEFINE the term slippage.
2.6
STATE how positive displacement pumps are protected against overpressurization.
ME-03
Page vi
Rev. 0
Pumps
DOE-HDBK-1018/1-93
CENTRIFUGAL PUMPS
CENTRIFUGAL PUMPS
Centrifugal pumps are the most common type of pumps found in DOE facilities.
Centrifugal pumps enjoy widespread application partly due to their ability to
operate over a wide range of flow rates and pump heads.
EO 1.1
STATE the purposes of the following centrifugal pump

com ponents:
a.
b.
c.
EO 1.2
I mpeller
Volute
Diffuser
d.
e.
f.
Packing
Lantern Ring
W earing ring
Given a drawing of a centrifugal pump, IDENTIFY the

following major components:
a.
b.
c.
d.
e.
Pump casing
Pum p shaft
I mpeller
Volute
Stuffing box
f.
g.
h.
i.
j.
Stuffing box gland

Packing
Lantern Ring
I mpeller wearing ring
Pump casing wearing ring
Introduction
Centrifugal pumps basically consist of a stationary pump casing and an impeller mounted on a
rotating shaft. The pump casing provides a pressure boundary for the pump and contains
channels to properly direct the suction and discharge flow. The pump casing has suction and
discharge penetrations for the main flow path of the pump and normally has small drain and vent
fittings to remove gases trapped in the pump casing or to drain the pump casing for maintenance.
Figure 1 is a simplified diagram of a typical centrifugal pump that shows the relative locations
of the pump suction, impeller, volute, and discharge. The pump casing guides the liquid from
the suction connection to the center, or eye, of the impeller. The vanes of the rotating impeller
impart a radial and rotary motion to the liquid, forcing it to the outer periphery of the pump
casing where it is collected in the outer part of the pump casing called the volute. The volute
is a region that expands in cross-sectional area as it wraps around the pump casing. The purpose
of the volute is to collect the liquid discharged from the periphery of the impeller at high
velocity and gradually cause a reduction in fluid velocity by increasing the flow area. This
converts the velocity head to static pressure. The fluid is then discharged from the pump
through the discharge connection.
Rev. 0
Page 1
ME-03
CENTRIFUGAL PUMPS
DOE-HDBK-1018/1-93
Pumps
Figure 1 Centrifugal Pump
Centrifugal pumps can also be constructed in a manner that results in two distinct volutes, each
receiving the liquid that is discharged from a 180o region of the impeller at any given time.
Pumps of this type are called double volute pumps (they may also be referred to a split volute
pumps). In some applications the double volute minimizes radial forces imparted to the shaft and
bearings due to imbalances in the pressure around the impeller. A comparison of single and
double volute centrifugal pumps is shown on Figure 2.
Figure 2 Single and Double Volutes
ME-03
Page 2
Rev. 0
Pumps
DOE-HDBK-1018/1-93
CENTRIFUGAL PUMPS
Diffuser
Some centrifugal pumps contain
diffusers. A diffuser is a set of
stationary vanes that surround the
impeller. The purpose of the
diffuser is to increase the
efficiency of the centrifugal pump
by allowing a more gradual
expansion and less turbulent area
for the liquid to reduce in velocity.
The diffuser vanes are designed in
a manner that the liquid exiting the
impeller will encounter an everincreasing flow area as it passes
through the diffuser. This increase
in flow area causes a reduction in
flow velocity, converting kinetic
energy into flow pressure.
Figure 3 Centrifugal Pump Diffuser
Impeller Classification
Impellers of pumps are classified
based on the number of points that
the liquid can enter the impeller
and also on the amount of
webbing between the impeller
blades.
Impellers can be either singlesuction or double-suction.
A
single-suction impeller allows
liquid to enter the center of the
blades from only one direction. A
double-suction impeller allows
liquid to enter the center of the
impeller blades from both sides
simultaneously. Figure 4 shows
simplified diagrams of single and
double-suction impellers.
Figure 4 Single-Suction and Double-Suction Impellers
Rev. 0
Page 3
ME-03
CENTRIFUGAL PUMPS
DOE-HDBK-1018/1-93
Pumps
Impellers can be open, semi-open, or enclosed. The open impeller consists only of blades
attached to a hub. The semi-open impeller is constructed with a circular plate (the web) attached
to one side of the blades. The enclosed impeller has circular plates attached to both sides of the
blades. Enclosed impellers are also referred to as shrouded impellers. Figure 5 illustrates
examples of open, semi-open, and enclosed impellers.
Figure 5 Open, Semi-Open, and Enclosed Impellers
The impeller sometimes contains balancing holes that connect the space around the hub to the
suction side of the impeller. The balancing holes have a total cross-sectional area that is
considerably greater than the cross-sectional area of the annular space between the wearing ring
and the hub. The result is suction pressure on both sides of the impeller hub, which maintains
a hydraulic balance of axial thrust.
Centrifugal Pump Classification by Flow

Centrifugal pumps can be classified based on the manner in which fluid flows through the pump.
The manner in which fluid flows through the pump is determined by the design of the pump
casing and the impeller. The three types of flow through a centrifugal pump are radial flow, axial
flow, and mixed flow.
Radial Flow Pumps

In a radial flow pump, the liquid enters at the center of the impeller and is directed out
along the impeller blades in a direction at right angles to the pump shaft. The impeller
of a typical radial flow pump and the flow through a radial flow pump are shown in
Figure 6.
ME-03
Page 4
Rev. 0
Pumps
DOE-HDBK-1018/1-93
CENTRIFUGAL PUMPS
Figure 6 Radial Flow Centrifugal Pump
Axial Flow Pumps

In an axial flow pump, the impeller pushes the liquid in a direction parallel to the pump
shaft. Axial flow pumps are sometimes called propeller pumps because they operate
essentially the same as the propeller of a boat. The impeller of a typical axial flow pump
and the flow through a radial flow pump are shown in Figure 7.
Figure 7 Axial Flow Centrifugal Pump
Rev. 0
Page 5
ME-03
CENTRIFUGAL PUMPS
DOE-HDBK-1018/1-93
Pumps
Mixed Flow Pumps

Mixed flow pumps borrow characteristics from both radial flow and axial flow pumps.
As liquid flows through the impeller of a mixed flow pump, the impeller blades push the
liquid out away from the pump shaft and to the pump suction at an angle greater than
90o. The impeller of a typical mixed flow pump and the flow through a mixed flow
pump are shown in Figure 8.
Figure 8 Mixed Flow Centrifugal Pump
M ulti-Stage Centrifugal Pumps

A centrifugal pump with a single impeller that can develop a differential pressure of more than
150 psid between the suction and the discharge is difficult and costly to design and construct.
A more economical approach to developing high pressures with a single centrifugal pump is to
include multiple impellers on a common shaft within the same pump casing. Internal channels
in the pump casing route the discharge of one impeller to the suction of another impeller.
Figure 9 shows a diagram of the arrangement of the impellers of a four-stage pump. The water
enters the pump from the top left and passes through each of the four impellers in series, going
from left to right. The water goes from the volute surrounding the discharge of one impeller to
the suction of the next impeller.
A pump stage is defined as that portion of a centrifugal pump consisting of one impeller and its
associated components. Most centrifugal pumps are single-stage pumps, containing only one
impeller. A pump containing seven impellers within a single casing would be referred to as a
seven-stage pump or, or generally, as a multi-stage pump.
ME-03
Page 6
Rev. 0
Pumps
DOE-HDBK-1018/1-93
CENTRIFUGAL PUMPS
Figure 9 Multi-Stage Centrifugal Pump
Centrifugal Pump Components

Centrifugal pumps vary in design and construction from simple pumps with relatively few parts
to extremely complicated pumps with hundreds of individual parts. Some of the most common
components found in centrifugal pumps are wearing rings, stuffing boxes, packing, and lantern
rings. These components are shown in Figure 10 and described on the following pages.
Wearing Rings
Centrifugal pumps contain rotating impellers within stationary pump casings. To allow
the impeller to rotate freely within the pump casing, a small clearance is designed to be
maintained between the impeller and the pump casing. To maximize the efficiency of a
centrifugal pump, it is necessary to minimize the amount of liquid leaking through this
clearance from the high pressure or discharge side of the pump back to the low pressure
or suction side.
Rev. 0
Page 7
ME-03
CENTRIFUGAL PUMPS
DOE-HDBK-1018/1-93
Pumps
Figure 10 Centrifugal Pump Components
Some wear or erosion will occur at the point where the impeller and the pump casing
nearly come into contact. This wear is due to the erosion caused by liquid leaking
through this tight clearance and other causes. As wear occurs, the clearances become
larger and the rate of leakage increases. Eventually, the leakage could become
unacceptably large and maintenance would be required on the pump.
To minimize the cost of pump maintenance, many centrifugal pumps are designed with
wearing rings. Wearing rings are replaceable rings that are attached to the impeller and/or
the pump casing to allow a small running clearance between the impeller and the pump
casing without causing wear of the actual impeller or pump casing material. These
wearing rings are designed to be replaced periodically during the life of a pump and
prevent the more costly replacement of the impeller or the casing.
ME-03
Page 8
Rev. 0
Pumps
DOE-HDBK-1018/1-93
CENTRIFUGAL PUMPS
Stuffing Box
In almost all centrifugal pumps, the rotating shaft that drives the impeller penetrates the
pressure boundary of the pump casing. It is important that the pump is designed properly
to control the amount of liquid that leaks along the shaft at the point that the shaft
penetrates the pump casing. There are many different methods of sealing the shaft
penetration of the pump casing. Factors considered when choosing a method include the
pressure and temperature of the fluid being pumped, the size of the pump, and the
chemical and physical characteristics of the fluid being pumped.
One of the simplest types of shaft seal is the stuffing box. The stuffing box is a
cylindrical space in the pump casing surrounding the shaft. Rings of packing material
are placed in this space. Packing is material in the form of rings or strands that is placed
in the stuffing box to form a seal to control the rate of leakage along the shaft. The
packing rings are held in place by a gland. The gland is, in turn, held in place by studs
with adjusting nuts. As the adjusting nuts are tightened, they move the gland in and
compress the packing. This axial compression causes the packing to expand radially,
forming a tight seal between the rotating shaft and the inside wall of the stuffing box.
The high speed rotation of the shaft generates a significant amount of heat as it rubs
against the packing rings. If no lubrication and cooling are provided to the packing, the
temperature of the packing increases to the point where damage occurs to the packing,
the pump shaft, and possibly nearby pump bearings. Stuffing boxes are normally
designed to allow a small amount of controlled leakage along the shaft to provide
lubrication and cooling to the packing. The leakage rate can be adjusted by tightening
and loosening the packing gland.
Lantern Ring
It is not always possible to use a standard stuffing box to seal the shaft of a centrifugal
pump. The pump suction may be under a vacuum so that outward leakage is impossible
or the fluid may be too hot to provide adequate cooling of the packing. These conditions
require a modification to the standard stuffing box.
One method of adequately cooling the packing under these conditions is to include a
lantern ring. A lantern ring is a perforated hollow ring located near the center of the
packing box that receives relatively cool, clean liquid from either the discharge of the
pump or from an external source and distributes the liquid uniformly around the shaft to
provide lubrication and cooling. The fluid entering the lantern ring can cool the shaft and
packing, lubricate the packing, or seal the joint between the shaft and packing against
leakage of air into the pump in the event the pump suction pressure is less than that of
the atmosphere.
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CENTRIFUGAL PUMPS
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Pumps
M echanical Seals
In some situations, packing material is not adequate for sealing the shaft. One common
alternative method for sealing the shaft is with mechanical seals. Mechanical seals
consist of two basic parts, a rotating element attached to the pump shaft and a stationary
element attached to the pump casing. Each of these elements has a highly polished
sealing surface. The polished faces of the rotating and stationary elements come into
contact with each other to form a seal that prevents leakage along the shaft.
Summary
Centrifugal Pumps Summary

The impeller contains rotating vanes that impart a radial and rotary motion to the
liquid.
The volute collects the liquid discharged from the impeller at high velocity and
gradually causes a reduction in fluid velocity by increasing the flow area, converting
the velocity head to a static head.
A diffuser increases the efficiency of a centrifugal pump by allowing a more gradual
expansion and less turbulent area for the liquid to slow as the flow area expands.
Packing material provides a seal in the area where the pump shaft penetrates the
pump casing.
Wearing rings are replaceable rings that are attached to the impeller and/or the
pump casing to allow a small running clearance between the impeller and pump
casing without causing wear of the actual impeller or pump casing material.
The lantern ring is inserted between rings of packing in the stuffing box to receive
relatively cool, clean liquid and distribute the liquid uniformly around the shaft to
provide lubrication and cooling to the packing.
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CENTRIFUGAL PUMP OPERATION

Improper operation of centrifugal pumps can result in damage to the pump and
loss of function of the system that the pump is installed in. It is helpful to know
what conditions can lead to pump damage to allow better understanding of pump
operating procedures and how the procedures aid the operator in avoiding pump
damage.
EO 1.3

a.
b.
Net Positive Suction

Head Available
Cavitation
c.
d.
e.
Gas binding
Shutoff head
Pum p runout
EO 1.4
STATE the relationship between net positive suction head

available and net positive suction head required that is
necessary to avoid cavitation.
EO 1.5
LIST three indications that a centrifugal pump may be

cavitating.
EO 1.6
LIST five changes that can be m ade in a pum p or its

surrounding system that can reduce cavitation.
EO 1.7
LIST three effects of cavitation.
EO 1.8
DESCRIBE the shape of the characteristic curve for a

centrifugal pump.
EO 1.9
DESCRIBE how centrifugal pumps are protected from

the conditions of dead heading and pum p runout.
Introduction
Many centrifugal pumps are designed in a manner that allows the pump to operate continuously
for months or even years. These centrifugal pumps often rely on the liquid that they are
pumping to provide cooling and lubrication to the pump bearings and other internal components
of the pump. If flow through the pump is stopped while the pump is still operating, the pump
will no longer be adequately cooled and the pump can quickly become damaged. Pump damage
can also result from pumping a liquid whose temperature is close to saturated conditions.
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Cavitation
The flow area at the eye of the pump impeller is usually smaller than either the flow area of the
pump suction piping or the flow area through the impeller vanes. When the liquid being pumped
enters the eye of a centrifugal pump, the decrease in flow area results in an increase in flow
velocity accompanied by a decrease in pressure. The greater the pump flow rate, the greater the
pressure drop between the pump suction and the eye of the impeller. If the pressure drop is
large enough, or if the temperature is high enough, the pressure drop may be sufficient to cause
the liquid to flash to vapor when the local pressure falls below the saturation pressure for the
fluid being pumped. Any vapor bubbles formed by the pressure drop at the eye of the impeller
are swept along the impeller vanes by the flow of the fluid. When the bubbles enter a region
where local pressure is greater than saturation pressure farther out the impeller vane, the vapor
bubbles abruptly collapse. This process of the formation and subsequent collapse of vapor
bubbles in a pump is called cavitation .
Cavitation in a centrifugal pump has a significant effect on pump performance. Cavitation
degrades the performance of a pump, resulting in a fluctuating flow rate and discharge pressure.
Cavitation can also be destructive to pumps internal components. When a pump cavitates, vapor
bubbles form in the low pressure region directly behind the rotating impeller vanes. These vapor
bubbles then move toward the oncoming impeller vane, where they collapse and cause a physical
shock to the leading edge of the impeller vane. This physical shock creates small pits on the
leading edge of the impeller vane. Each individual pit is microscopic in size, but the cumulative
effect of millions of these pits formed over a period of hours or days can literally destroy a pump
impeller. Cavitation can also cause excessive pump vibration, which could damage pump
bearings, wearing rings, and seals.
A small number of centrifugal pumps are designed to operate under conditions where cavitation
is unavoidable. These pumps must be specially designed and maintained to withstand the small
amount of cavitation that occurs during their operation. Most centrifugal pumps are not designed
to withstand sustained cavitation.
Noise is one of the indications that a centrifugal pump is cavitating. A cavitating pump can
sound like a can of marbles being shaken. Other indications that can be observed from a remote
operating station are fluctuating discharge pressure, flow rate, and pump motor current. Methods
to stop or prevent cavitation are presented in the following paragraphs.
Net Positive Suction Head

To avoid cavitation in centrifugal pumps, the pressure of the fluid at all points within the pump
must remain above saturation pressure. The quantity used to determine if the pressure of the
liquid being pumped is adequate to avoid cavitation is the net positive suction head (NPSH).
The net positive suction head available (NPSHA) is the difference between the pressure at the
suction of the pump and the saturation pressure for the liquid being pumped. The net positive
suction head required (NPSHR) is the minimum net positive suction head necessary to avoid
cavitation.
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The condition that must exist to avoid cavitation is that the net positive suction head available
must be greater than or equal to the net positive suction head required. This requirement can be
stated mathematically as shown below.
NPSHA NPSHR
A formula for NPSHA can be stated as the following equation.
NPSHA = Psuction - Psaturation
When a centrifugal pump is taking suction from a tank or other reservoir, the pressure at the
suction of the pump is the sum of the absolute pressure at the surface of the liquid in the tank
plus the pressure due to the elevation difference between the surface of liquid in the tank and
the pump suction less the head losses due to friction in the suction line from the tank to the
pump.
NPSHA = Pa + Pst - hf - Psat
Where:
NPSHA
Pa
Pst
hf
Psat
=
=
=
=
=
net positive suction head available

absolute pressure on the surface of the liquid
pressure due to elevation between liquid surface and pump suction
head losses in the pump suction piping
saturation pressure of the liquid being pumped
Preventing Cavitation
If a centrifugal pump is cavitating, several changes in the system design or operation may be
necessary to increase the NPSHA above the NPSHR and stop the cavitation. One method for
increasing the NPSHA is to increase the pressure at the suction of the pump. For example, if a
pump is taking suction from an enclosed tank, either raising the level of the liquid in the tank or
increasing the pressure in the space above the liquid increases suction pressure.
It is also possible to increase the NPSHA by decreasing the temperature of the liquid being
pumped. Decreasing the temperature of the liquid decreases the saturation pressure, causing
NPSHA to increase. Recall from the previous module on heat exchangers that large steam
condensers usually subcool the condensate to less than the saturation temperature, called
condensate depression, to prevent cavitation in the condensate pumps.
If the head losses in the pump suction piping can be reduced, the NPSHA will be increased.
Various methods for reducing head losses include increasing the pipe diameter, reducing the
number of elbows, valves, and fittings in the pipe, and decreasing the length of the pipe.
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It may also be possible to stop cavitation by reducing the NPSHR for the pump. The NPSHR is
not a constant for a given pump under all conditions, but depends on certain factors. Typically,
the NPSHR of a pump increases significantly as flow rate through the pump increases.
Therefore, reducing the flow rate through a pump by throttling a discharge valve decreases
NPSHR. NPSHR is also dependent upon pump speed. The faster the impeller of a pump rotates,
the greater the NPSHR. Therefore, if the speed of a variable speed centrifugal pump is reduced,
the NPSHR of the pump decreases. However, since a pump's flow rate is most often dictated
by the needs of the system on which it is connected, only limited adjustments can be made
without starting additional parallel pumps, if available.
The net positive suction head required to prevent cavitation is determined through testing by the
pump manufacturer and depends upon factors including type of impeller inlet, impeller design,
pump flow rate, impeller rotational speed, and the type of liquid being pumped. The
manufacturer typically supplies curves of NPSHR as a function of pump flow rate for a particular
liquid (usually water) in the vendor manual for the pump.
Centrifugal Pump Characteristic Curves

For a given centrifugal pump operating at a constant speed, the flow rate through the pump is
dependent upon the differential pressure or head developed by the pump. The lower the pump
head, the higher the flow rate. A vendor manual for a specific pump usually contains a curve
of pump flow rate versus pump head called a pump characteristic curve. After a pump is
installed in a system, it is usually tested to ensure that the flow rate and head of the pump are
within the required specifications. A typical centrifugal pump characteristic curve is shown in
Figure 11.
There are several terms associated with the pump characteristic curve that must be defined.
Shutoff head is the maximum head that can be developed by a centrifugal pump operating at a
set speed. Pump runout is the maximum flow that can be developed by a centrifugal pump
without damaging the pump. Centrifugal pumps must be designed and operated to be protected
from the conditions of pump runout or operating at shutoff head. Additional information may
be found in the handbook on Thermodynamics, Heat Transfer, and Fluid Flow.
Figure 11 Centrifugal Pump Characteristic Curve
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Centrifugal Pump Protection

A centrifugal pump is dead-headed when it is operated with no flow through it, for example, with
a closed discharge valve or against a seated check valve. If the discharge valve is closed and
there is no other flow path available to the pump, the impeller will churn the same volume of
water as it rotates in the pump casing. This will increase the temperature of the liquid (due to
friction) in the pump casing to the point that it will flash to vapor. The vapor can interrupt the
cooling flow to the pump's packing and bearings, causing excessive wear and heat. If the pump
is run in this condition for a significant amount of time, it will become damaged.
When a centrifugal pump is installed in a system such that it may be subjected to periodic shutoff
head conditions, it is necessary to provide some means of pump protection. One method for
protecting the pump from running dead-headed is to provide a recirculation line from the pump
discharge line upstream of the discharge valve, back to the pump's supply source. The
recirculation line should be sized to allow enough flow through the pump to prevent overheating
and damage to the pump. Protection may also be accomplished by use of an automatic flow
control device.
Centrifugal pumps must also be protected from runout. Runout can lead to cavitation and can
also cause overheating of the pump's motor due to excessive currents. One method for ensuring
that there is always adequate flow resistance at the pump discharge to prevent excessive flow
through the pump is to place an orifice or a throttle valve immediately downstream of the pump
discharge. Properly designed piping systems are very important to protect from runout.
Gas Binding
Gas binding of a centrifugal pump is a condition where the pump casing is filled with gases or
vapors to the point where the impeller is no longer able to contact enough fluid to function
correctly. The impeller spins in the gas bubble, but is unable to force liquid through the pump.
This can lead to cooling problems for the pump's packing and bearings.
Centrifugal pumps are designed so that their pump casings are completely filled with liquid
during pump operation. Most centrifugal pumps can still operate when a small amount of gas
accumulates in the pump casing, but pumps in systems containing dissolved gases that are not
designed to be self-venting should be periodically vented manually to ensure that gases do not
build up in the pump casing.
Priming Centrifugal Pumps

Most centrifugal pumps are not self-priming. In other words, the pump casing must be filled with
liquid before the pump is started, or the pump will not be able to function. If the pump casing
becomes filled with vapors or gases, the pump impeller becomes gas-bound and incapable of
pumping. To ensure that a centrifugal pump remains primed and does not become gas-bound,
most centrifugal pumps are located below the level of the source from which the pump is to take
its suction. The same effect can be gained by supplying liquid to the pump suction under
pressure supplied by another pump placed in the suction line.
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Summary
Centrifugal Pump Operation Summary

There are three indications that a centrifugal pump is cavitating.
Noise
Fluctuating discharge pressure and flow
Fluctuating pump motor current
Steps that can be taken to stop pump cavitation include:
Increase the pressure at the suction of the pump.
Reduce the temperature of the liquid being pumped.
Reduce head losses in the pump suction piping.
Reduce the flow rate through the pump.
Reduce the speed of the pump impeller.
Three effects of pump cavitation are:
Degraded pump performance
Excessive pump vibration
Damage to pump impeller, bearings, wearing rings, and seals
To avoid pump cavitation, the net positive suction head available must be greater
than the net positive suction head required.
Net positive suction head available is the difference between the pump suction
pressure and the saturation pressure for the liquid being pumped.
Cavitation is the process of the formation and subsequent collapse of vapor bubbles
in a pump.
Gas binding of a centrifugal pump is a condition where the pump casing is filled
with gases or vapors to the point where the impeller is no longer able to contact
enough fluid to function correctly.
Shutoff head is the maximum head that can be developed by a centrifugal pump
operating at a set speed.
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Centrifugal Pump Operation Summary (Cont.)

Pump runout is the maximum flow that can be developed by a centrifugal pump
without damaging the pump.
The greater the head against which a centrifugal pump operates, the lower the flow
rate through the pump. The relationship between pump flow rate and head is
illustrated by the characteristic curve for the pump.
Centrifugal pumps are protected from dead-heading by providing a recirculation
from the pump discharge back to the supply source of the pump.
Centrifugal pumps are protected from runout by placing an orifice or throttle valve
immediately downstream of the pump discharge and through proper piping system
design.
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POSITIVE DISPLACEMENT PUMPS
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Pumps
P OSITIVE DISPLACEMENT PUMPS

Positive displacement pumps operate on a different principle than centrifugal
pumps. Positive displacement pumps physically entrap a quantity of liquid at the
suction of the pump and push that quantity out the discharge of the pump.
EO 2.1
STATE the difference between the flow characteristics of

centrifugal and positive displacement pumps.
EO 2.2
Given a sim plified drawing of a positive displacem ent pum p,

CLASSIFY the pump as one of the following:
a.
b.
c.
d.

e.
f.
Moving vane pump

Diaphragm pum p
EO 2.3
EXPLAIN the im portance of viscosity as it relates to the

operation of a reciprocating positive displacement pump.
EO 2.4
DESCRIBE the characteristic curve for a positive

displacem ent pum p.
EO 2.5
DEFINE the term slippage.
EO 2.6
STATE how positive displacement pumps are protected

against overpressurization.
Introduction
A positive displacement pump is one in which a definite volume of liquid is delivered for each
cycle of pump operation. This volume is constant regardless of the resistance to flow offered
by the system the pump is in, provided the capacity of the power unit driving the pump or pump
component strength limits are not exceeded. The positive displacement pump delivers liquid in
separate volumes with no delivery in between, although a pump having several chambers may
have an overlapping delivery among individual chambers, which minimizes this effect. The
positive displacement pump differs from centrifugal pumps, which deliver a continuous flow for
any given pump speed and discharge resistance.
Positive displacement pumps can be grouped into three basic categories based on their design
and operation. The three groups are reciprocating pumps, rotary pumps, and diaphragm pumps.
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Principle of Operation
All positive displacement pumps operate on the same basic principle. This principle can be most
easily demonstrated by considering a reciprocating positive displacement pump consisting of a
single reciprocating piston in a cylinder with a single suction port and a single discharge port as
shown in Figure 12. Check valves in the suction and discharge ports allow flow in only one
direction.
Figure 12 Reciprocating Positive Displacement Pump Operation
During the suction stroke, the piston moves to the left, causing the check valve in the suction
line between the reservoir and the pump cylinder to open and admit water from the reservoir.
During the discharge stroke, the piston moves to the right, seating the check valve in the suction
line and opening the check valve in the discharge line. The volume of liquid moved by the
pump in one cycle (one suction stroke and one discharge stroke) is equal to the change in the
liquid volume of the cylinder as the piston moves from its farthest left position to its farthest
right position.
Reciprocating Pumps
Reciprocating positive displacement pumps are generally categorized in four ways: direct-acting
or indirect-acting; simplex or duplex; single-acting or double-acting; and power pumps.
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Pumps
Direct-Acting and Indirect-Acting Pumps

Some reciprocating pumps are powered by prime movers that also have reciprocating
motion, such as a reciprocating pump powered by a reciprocating steam piston. The piston
rod of the steam piston may be directly connected to the liquid piston of the pump or it may
be indirectly connected with a beam or linkage. Direct-acting pumps have a plunger on the
liquid (pump) end that is directly driven by the pump rod (also the piston rod or extension
thereof) and carries the piston of the power end. Indirect-acting pumps are driven by means
of a beam or linkage connected to and actuated by the power piston rod of a separate
reciprocating engine.
Simplex and Duplex Pumps

A simplex pump, sometimes referred to as a single pump, is a pump having a single liquid
(pump) cylinder. A duplex pump is the equivalent of two simplex pumps placed side by
side on the same foundation.
The driving of the pistons of a duplex pump is arranged in such a manner that when one
piston is on its upstroke the other piston is on its downstroke, and vice versa. This
arrangement doubles the capacity of the duplex pump compared to a simplex pump of
comparable design.
Single-Acting and Double-Acting Pumps

A single-acting pump is one that takes a suction, filling the pump cylinder on the stroke in
only one direction, called the suction stroke, and then forces the liquid out of the cylinder
on the return stroke, called the discharge stroke. A double-acting pump is one that, as it
fills one end of the liquid cylinder, is discharging liquid from the other end of the cylinder.
On the return stroke, the end of the cylinder just emptied is filled, and the end just filled
is emptied. One possible arrangement for single-acting and double-acting pumps is shown
in Figure 13.
Power Pumps
Power pumps convert rotary motion to low speed reciprocating motion by reduction
gearing, a crankshaft, connecting rods and crossheads. Plungers or pistons are driven by
the crosshead drives. Rod and piston construction, similar to duplex double-acting steam
pumps, is used by the liquid ends of the low pressure, higher capacity units. The higher
pressure units are normally single-acting plungers, and usually employ three (triplex)
plungers. Three or more plungers substantially reduce flow pulsations relative to simplex
and even duplex pumps.
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Figure 13 Single-Acting and Double-Acting Pumps
Power pumps typically have high efficiency and are capable of developing very high pressures.
They can be driven by either electric motors or turbines. They are relatively expensive pumps
and can rarely be justified on the basis of efficiency over centrifugal pumps. However, they are
frequently justified over steam reciprocating pumps where continuous duty service is needed due
to the high steam requirements of direct-acting steam pumps.
In general, the effective flow rate of reciprocating pumps decreases as the viscosity of the fluid
being pumped increases because the speed of the pump must be reduced. In contrast to
centrifugal pumps, the differential pressure generated by reciprocating pumps is independent of
fluid density. It is dependent entirely on the amount of force exerted on the piston. For more
information on viscosity, density, and positive displacement pump theory, refer to the handbook
on Thermodynamics, Heat Transfer, and Fluid Flow.
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Pumps
Rotary Pumps
Rotary pumps operate on the principle that a rotating vane, screw, or gear traps the liquid in the
suction side of the pump casing and forces it to the discharge side of the casing. These pumps
are essentially self-priming due to their capability of removing air from suction lines and
producing a high suction lift. In pumps designed for systems requiring high suction lift and selfpriming features, it is essential that all clearances between rotating parts, and between rotating
and stationary parts, be kept to a minimum in order to reduce slippage. Slippage is leakage of
fluid from the discharge of the pump back to its suction.
Due to the close clearances in rotary pumps, it is necessary to operate these pumps at relatively
low speed in order to secure reliable operation and maintain pump capacity over an extended
period of time. Otherwise, the erosive action due to the high velocities of the liquid passing
through the narrow clearance spaces would soon cause excessive wear and increased clearances,
resulting in slippage.
There are many types of positive displacement rotary pumps, and they are normally grouped into
three basic categories that include gear pumps, screw pumps, and moving vane pumps.
Simple Gear Pump

There are several variations of
gear pumps. The simple gear
pump shown in Figure 14
consists of two spur gears
meshing together and revolving in
opposite directions within a
casing. Only a few thousandths
of an inch clearance exists
between the case and the gear
faces and teeth extremities. Any
liquid that fills the space bounded
by two successive gear teeth and
the case must follow along with
the teeth as they revolve. When
the gear teeth mesh with the teeth
of the other gear, the space
between the teeth is reduced, and
Figure 14 Simple Gear Pump
the entrapped liquid is forced out
the pump discharge pipe. As the
gears revolve and the teeth disengage, the space again opens on the suction side of the
pump, trapping new quantities of liquid and carrying it around the pump case to the
discharge. As liquid is carried away from the suction side, a lower pressure is created,
which draws liquid in through the suction line.
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With the large number of teeth usually employed on the gears, the discharge is relatively
smooth and continuous, with small quantities of liquid being delivered to the discharge line
in rapid succession. If designed with fewer teeth, the space between the teeth is greater and
the capacity increases for a given speed; however, the tendency toward a pulsating
discharge increases. In all simple gear pumps, power is applied to the shaft of one of the
gears, which transmits power to the driven gear through their meshing teeth.
There are no valves in the gear pump to cause friction losses as in the reciprocating pump.
The high impeller velocities, with resultant friction losses, are not required as in the
centrifugal pump. Therefore, the gear pump is well suited for handling viscous fluids such
as fuel and lubricating oils.
Other Gear Pumps

There are two types of gears used in gear pumps
in addition to the simple spur gear. One type is
the helical gear. A helix is the curve produced
when a straight line moves up or down the
surface of a cylinder. The other type is the
herringbone gear.
A herringbone gear is
composed of two helixes spiraling in different
directions from the center of the gear. Spur,
helical, and herringbone gears are shown in
Figure 15.
The helical gear pump has advantages over the
simple spur gear. In a spur gear, the entire
length of the gear tooth engages at the same
time. In a helical gear, the point of engagement
moves along the length of the gear tooth as the
gear rotates. This makes the helical gear operate
with a steadier discharge pressure and fewer
pulsations than a spur gear pump.
The herringbone gear pump is also a
modification of the simple gear pump. Its
principal difference in operation from the simple
spur gear pump is that the pointed center section
of the space between two teeth begins
discharging before the divergent outer ends of
the preceding space complete discharging. This
overlapping tends to provide a steadier discharge
pressure. The power transmission from the
driving to the driven gear is also smoother and
quieter.
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Figure 15 Types of Gears Used In Pumps
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Pumps
Lobe Type Pump

The lobe type pump shown in Figure 16
is another variation of the simple gear
pump. It is considered as a simple gear
pump having only two or three teeth per
rotor; otherwise, its operation or the
explanation of the function of its parts is
no different. Some designs of lobe
pumps are fitted with replaceable gibs,
that is, thin plates carried in grooves at
the extremity of each lobe where they
make contact with the casing. The gib
promotes tightness and absorbs radial
wear.
Figure 16 Lobe Type Pump
Screw-Type Positive Displacement Rotary Pump

There are many variations in the design of the screw type positive displacement, rotary
pump. The primary differences consist of the number of intermeshing screws involved,
the pitch of the screws, and the general direction of fluid flow. Two common designs are
the two-screw, low-pitch, double-flow pump and the three-screw, high-pitch, double-flow
pump.
Two-Screw, Low-Pitch, Screw Pum p
The two-screw, low-pitch, screw pump consists of two screws that mesh with close
clearances, mounted on two parallel shafts. One screw has a right-handed thread, and
the other screw has a left-handed thread. One shaft is the driving shaft and drives the
other shaft through a set of herringbone timing gears. The gears serve to maintain
clearances between the screws as they turn and to promote quiet operation. The
screws rotate in closely fitting duplex cylinders that have overlapping bores. All
clearances are small, but there is no actual contact between the two screws or between
the screws and the cylinder walls.
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The complete assembly and the usual flow

path are shown in Figure 17. Liquid is
trapped at the outer end of each pair of
screws. As the first space between the screw
threads rotates away from the opposite screw,
a one-turn, spiral-shaped quantity of liquid is
enclosed when the end of the screw again
meshes with the opposite screw. As the
screw continues to rotate, the entrapped spiral
turns of liquid slide along the cylinder toward
the center discharge space while the next slug
is being entrapped. Each screw functions
similarly, and each pair of screws discharges
an equal quantity of liquid in opposed streams
toward the center, thus eliminating hydraulic
thrust. The removal of liquid from the
suction end by the screws produces a
reduction in pressure, which draws liquid
through the suction line.
Three-Screw, High-Pitch, Screw Pum p
Figure 17 Two-Screw, Low-Pitch, Screw Pump
The three-screw, high-pitch, screw pump,

shown in Figure 18, has many of the same
elements as the two-screw, low-pitch, screw
pump, and their operations are similar.
Three screws, oppositely threaded on each
end, are employed. They rotate in a triple
cylinder, the two outer bores of which
overlap the center bore. The pitch of the
screws is much higher than in the low pitch
screw pump; therefore, the center screw, or
power rotor, is used to drive the two outer
idler rotors directly without external timing
gears. Pedestal bearings at the base support
the weight of the rotors and maintain their
axial position. The liquid being pumped
enters the suction opening, flows through
passages around the rotor housing, and
through the screws from each end, in opposed
streams, toward the center discharge. This
eliminates unbalanced hydraulic thrust. The
screw pump is used for pumping viscous
fluids, usually lubricating, hydraulic, or fuel
oil.
Figure 18 Three-Screw, High-Pitch, Screw Pump
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ME-03
DOE-HDBK-1018/1-93
Pumps
Rotary M oving Vane Pump

The rotary moving vane pump shown in Figure 19 is another type of positive displacement
pump used. The pump consists of a cylindrically bored housing with a suction inlet on one
side and a discharge outlet on the other. A cylindrically shaped rotor with a diameter
smaller than the cylinder is driven about an axis placed above the centerline of the cylinder.
The clearance between rotor and cylinder is small at the top but increases at the bottom.
The rotor carries vanes that move in and out as it rotates to maintain sealed spaces between
the rotor and the cylinder wall. The vanes trap liquid or gas on the suction side and carry
it to the discharge side, where contraction of the space expels it through the discharge line.
The vanes may swing on pivots, or they may slide in slots in the rotor.
Figure 19 Rotary Moving Vane Pump
Diaphragm Pumps
Diaphragm pumps are also classified as positive displacement pumps because the diaphragm acts
as a limited displacement piston. The pump will function when a diaphragm is forced into
reciprocating motion by mechanical linkage, compressed air, or fluid from a pulsating, external
source. The pump construction eliminates any contact between the liquid being pumped and the
source of energy. This eliminates the possibility of leakage, which is important when handling
toxic or very expensive liquids. Disadvantages include limited head and capacity range, and the
necessity of check valves in the suction and discharge nozzles. An example of a diaphragm
pump is shown in Figure 20.
ME-03
Page 26
Rev. 0
Pumps
DOE-HDBK-1018/1-93
Figure 20 Diaphragm Pump
Positive Displacement Pump Characteristic Curves

Positive displacement pumps deliver a definite volume of
liquid for each cycle of pump operation. Therefore, the
only factor that effects flow rate in an ideal positive
displacement pump is the speed at which it operates. The
flow resistance of the system in which the pump is
operating will not effect the flow rate through the pump.
Figure 21 shows the characteristic curve for a positive
displacement pump.
The dashed line in Figure 21 shows actual positive
displacement pump performance. This line reflects the
fact that as the discharge pressure of the pump increases,
some amount of liquid will leak from the discharge of the
pump back to the pump suction, reducing the effective
flow rate of the pump. The rate at which liquid leaks
from the pump discharge to its suction is called slippage.
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Page 27
Figure 21
Positive Displacement Pump
Characteristic Curve
ME-03
DOE-HDBK-1018/1-93
Pumps
Positive Displacement Pump Protection

Positive displacement pumps are normally fitted with relief valves on the upstream side of their
discharge valves to protect the pump and its discharge piping from overpressurization. Positive
displacement pumps will discharge at the pressure required by the system they are supplying.
The relief valve prevents system and pump damage if the pump discharge valve is shut during
pump operation or if any other occurrence such as a clogged strainer blocks system flow.
Summary
Positive Displacement Pumps Summary

The flow delivered by a centrifugal pump during one revolution of the impeller depends
upon the head against which the pump is operating. The positive displacement
pump delivers a definite volume of fluid for each cycle of pump operation
regardless of the head against which the pump is operating.
Positive displacement pumps may be classified in the following ways:
Moving vane pump
Diaphragm pump
As the viscosity of a liquid increases, the maximum speed at which a reciprocating
positive displacement pump can properly operate decreases. Therefore, as viscosity
increases, the maximum flow rate through the pump decreases.
The characteristic curve for a positive displacement pump operating at a certain
speed is a vertical line on a graph of head versus flow.
Slippage is the rate at which liquid leaks from the discharge of the pump back to
the pump suction.
Positive displacement pumps are protected from overpressurization by a relief valve
on the upstream side of the pump discharge valve.
ME-03
Page 28
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PDHonline Course M140 (3 PDH)

Instructor: Lawrence J. Marchetti, P.E.

PDH Online | PDH Center

An Approved Continuing Education Provider

DOE FUNDAMENTALS HANDBOOK

U.S. Department of Energy

Washington, D.C. 20585

Diesel Engine Fundamentals

FUNDAMENTALS OF THE DIESEL CYCLE . . . . . . . . . . . . . . . . . . . . . . . . . . . .

DIESEL ENGINE SPEED, FUEL CONTROLS,

Diesel Engine Fundamentals

Diesel Engine Fundamentals

LIST OF FIGURES (Cont.)

Diesel Engine Fundamentals

Diesel Engine Fundamentals

Benson & Whitehouse, Internal Combustion Engines, Pergamon.

Diesel Engine Fundamentals

DEFINE the following diesel engine terms:

Given a drawing of a diesel engine, IDENTIFY the following:

Intake ports or valve(s)

EXPLAIN how the ignition process occurs in a diesel engine.

Diesel Engine Fundamentals

ENABLING OBJECTIVES (Cont.)

DESCRIBE how the mechanical-hydraulic governor on a diesel engine controls engine

Diesel Engine Fundamentals

Intentionally Left Blank

Diesel Engine Fundamentals

DEFINE the following diesel engine terms:

Given a drawing of a diesel engine, IDENTIFY the following:

Intake ports or valve(s)

Diesel Engine Fundamentals

Figure 1 Example of a Large Skid-Mounted, Diesel-Driven Generator

Diesel Engine Fundamentals

Major Components of a Diesel Engine

Diesel Engine Fundamentals

Figure 2 Cutaway of a GM V-16 Four-Stroke Supercharged Diesel Engine

Diesel Engine Fundamentals

Figure 3 Cross Section of a V-type Four Stroke Diesel Engine

Diesel Engine Fundamentals

The Cylinder Block

Figure 4 The Cylinder Block

Crankcase and Oil Pan

Cylinder Sleeve or Bore

Diesel Engine Fundamentals

In engines using sleeves, there are two

Piston and Piston Rings

Diesel Engine Fundamentals

Diesel Engine Fundamentals

Figure 7 Diesel Engine Crankshaft and Bearings

Cylinder Heads and Valves

Diesel Engine Fundamentals

Timing Gears, Ca mshaft, and

Figure 9 Diesel Engine Camshaft and Drive Gear

Diesel Engine Fundamentals

Diesel Engine Fundamentals

Diesel Engine Support Systems

Diesel Engine Fundamentals

Figure 12 Diesel Engine Internal Lubrication System

Diesel Engine Fundamentals