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Fundamentals of 10/e
Thermodynamics

Claus Borgnakke
Richard E. Sonntag
University of Michigan
VP AND EDITORIAL DIRECTOR Laurie Rosatone
SENIOR DIRECTOR Don Fowley
ACQUISITIONS EDITOR Linda Ratts
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ISBN: 978-1-119-49524-6 (PBK)

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Title: Fundamentals of thermodynamics / Claus Borgnakke, Richard E. Sonntag
(University of Michigan).
Description: 10e [Tenth edition]. | Hoboken : Wiley, [2019] | Includes
bibliographical references and index. |
Identifiers: LCCN 2018052418 (print) | LCCN 2018053073 (ebook) | ISBN
9781119495178 (Adobe PDF) | ISBN 9781119494966 (ePub) | ISBN 9781119495246
(pbk.)
Subjects: LCSH: Thermodynamics. | Thermodynamics—Textbooks.
Classification: LCC TJ265 (ebook) | LCC TJ265 .S66 2019 (print) | DDC
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Preface

In this tenth edition the basic objective of the earlier editions have been retained:
• to present a comprehensive and rigorous treatment of classical thermodynamics
while retaining an engineering perspective, and in doing so
• to lay the groundwork for subsequent studies in such fields as fluid mechanics, heat
transfer, and statistical thermodynamics, and also
• to prepare the student to effectively use thermodynamics in the practice of engi-
neering.

The presentation is deliberately directed to students. New concepts and definitions

are presented in the context where they are first relevant in a natural progression. The intro-
duction has been reorganized with a very short introduction followed by the first thermo-
dynamic properties to be defined (Chapter 1) which are those that can be readily measured:
pressure, specific volume, and temperature. In Chapter 2, tables of thermodynamic proper-
ties are introduced, but only in regard to these measurable properties. Internal energy and
enthalpy are introduced in connection with the energy equation and the first law, entropy
with the second law, and the Helmholtz and Gibbs functions in the chapter on thermody-
namic relations. Many real world realistic examples and contemporary topics have been
included in the book to assist the student in gaining an understanding of thermodynamics,
and the problems at the end of each chapter have been carefully sequenced to correlate
with the subject matter, and are grouped and identified as such. The early chapters in par-
ticular contain a large number of examples, illustrations and problems, and throughout the
book, chapter-end summaries are included, followed by a set of concept/study problems
that should be of benefit to the students.

NEW FEATURES AND OVERALL BOOK

ORGANIZATION
The tenth edition completes the transition to the e-book format that was started with the
ninth edition. This includes a fully searchable text, select interactivity, and convenient direct
access to supplemental material. The primary interactive element is the set of new student
practice problems for which students can reveal the solutions with a simple click or tap.
These problems expand the examples beyond those in the main chapter text and allows stu-
dents to immediately test their knowledge. The digital format also enables students to access
supplemental notes and files directly from the text. (Supplemental materials also are avail-
able from the companion web site: www.wiley.com/go/borgnakke/FundofThermo10e.)

iii
.............. iv PREFACE ....................................................... .........................................................................................................

The e-book organization includes:

• Problems, including both student practice problems with the solution as a drop
down selection together with regular homework problems
• Chapter summary and skill sets includes a new student study guide table
• The main expository text ends with a concept list and equations for each chapter
• Additional study resources, such as extra student problems and how-to notes
• Links to appendices and other reference tables

The e-book also is available bundled with an abridged print companion that includes
the main expository text for Chapters 1-10 and the appendices. Problems are not included
in the print companion.

Chapter Reorganization and Revisions

The majority of the changes for the tenth edition have been to shorten some of the presenta-
tions and to reduce the amount of mathematical derivations of the theory. Material including
derivations that contribute to the understanding of the subject have been left in the text.
Many of the examples have been shortened and they include the units and their conversions
without being too repetitive in the presentation keeping the dublication of some examples
to show the use of english units. The application sections in the end of the chapters have
been expanded somewhat to emphasize the real world examples of devices and processes
for which this subject is important in their analysis and design.
Chapters 1 still contains the most important concepts from physics and the concepts of
the thermodynamic properties that describes the condition of the substance that is included
in the analysis. To have the tools for the analysis the order of the presentation has been kept
from the previous editions so the behavior of pure substances is presented in chapter 2 with
a slight expansion and separation of the different domains for solid, liquid and gas phase
behavior. Though the introduction of the property program CATT3 has been left out the
program is still available from Wiley’s web-site that is related to this book.
Chapter 3 contains the first major change namely to include a description of the
energy resources we consume and the typical energy conversions that are used in mod-
ern societies. Together with the mentioning of renewable energy resources and the end use
of energy it provides a better background for all the subsequent processes and details that
we study. A short description of energy storage systems and some of the energy transfer
processes devices are also presented accompanied by small tables with typical numbers
for such devices. Students typically have only vague ideas about the size of many of the
devices and processes we study. This material is covered under applications in chapter 3
after the introduction of the energy equation. The following chapters deals with analysis
of processes and devices which relates to this and also include a special section of the
homework problems where approbriate. By highlighting this material early it can serve as
a motivating factor to study the subsequent material where the use and need for the theory
becomes evident. Suggested homework that can be included in assignments for this cate-
gory are also available on Wiley’s website for the book for those that desire to emphasize
the energy conversion and conservation subjects.
The balance equations for mass, momentum, energy and entropy follow the same
format to show the uniformity in the basic principles and make the concept something to
be understood and not merely memorized. This is also the reason to use the name energy
............................................................................................................................... .....................................
PREFACE v .............

equation and entropy equation for the first and second law of thermodynamics to stress
they are universally valid not just used in the field of thermodynamics but apply to all
situations and fields of study with no exceptions. Clearly, special cases requires extensions
not covered in this text, but a few of these have been added in Chapter 12 together with the
thermodynamic property relations.
The energy equation applied to a general control volme is retained from the previous
edition that included a section with multi-flow devices. Again this is done to reinforce to
students that the analysis is done by applying the basic principles to systems under investi-
gation. This means the actual mathematical form of the general laws follows the sketches
and figures of the system and the analysis is not a question about finding a suitable formula
in the text. A small table is added in the end to give students some sense of the relative
magnitude of flow devices in terms of the energy transfer per unit mass.
The historical development of the second law of thermodynamics in chapter 5 has
been expanded to include the in-equality of Clausius. This chapter then includes all the his-
torical statements of the second law so chapter 6 exclusively deals with the entropy equation.
To show the generality of the entropy equation a small example is written up applying the
energy and entropy equations to heat engines and heat pumps so it can be demonstrated that
the historical presentation of the second law in Chapter 5 can be completely substituted with
the postulation of the entropy equation and the existence of the absolute temperature scale.
Carnot cycle efficiencies and the fact that real devices have lower efficiency follows from
the basic general laws. Also the direction of heat transfer from a higher temperature domain
towards a lower temperature domain is predicted by the entropy equation due to the require-
ment of a positive entropy generation. These are examples that practice the application of
the general laws for specific cases and improves the students understanding of the material.
The application section in chapter 7 has been expanded a little to include some
description of intercoolers and reheaters as a mean of energy conservation and efficiency
improvements. The device efficiencies is also placed here as an application of the entropy
equation and this whole section has about 30 homwork problems associated with it. The
general summary of the control volume analysis has been removed and will be available
on-line from Wiley website.
Exergy in chapter 8 has been shortened a little to reduce the mathematical manipu-
lation of the equations and a small application section with the second law efficiency for
cycles have been added to illustrate an important aspect of its use. A more detailed discus-
sion of this is now included as a separate section in Chapter 9.
The chapters with cycles are expanded with a few details for specific cycles and some
extensions shown to tie the theory to industrial applications with real systems. The expres-
sion for cycle efficiency is now included for the Stirling, Atkinson and Miller cycles to
show that they all are related to compression and expansion ratios.
The property relations in chapter 12 has been updated to include effects of dilution
and fugacity for mixtures and as a special application the effect of a surface tension is
included under engineering applications. This revision has also removed the older method
for development of thermodynamic tables and now only inlcudes the Helmholtz function
based development.

Web-Based Material
Although most of the supplemental material for this edition of the book is accessible directly
or by links from the e-book, several documents also are available from Wiley’s web site for
the book. The following material will be accessible for students through links to the book
.............. vi PREFACE ....................................................... .........................................................................................................

companion site and additional material reserved for instructors of the course will also by at
Wiley’s book companion site.

Notes for classical thermodynamics. A very short set of notes covers the basic ther-
modynamic analysis with the general laws (continuity, energy and entropy equations) and
some of the specific laws like device equations, process equations, etc. This is useful for
students doing review of the course or for exam preparation as it gives a comprehensive
presentation in a condensed form.

General Control Volume Analysis. This is the short step by step procedure that was at
the end of chapter 7 in the eighth edition.

Extended set of study examples. This document includes a updated collection of addi-
tional examples for students to study. These examples are written slightly longer and more
detailed in the solution than the examples printed in the book and thus are excellent for
self-study. There are about 8 SI unit problems with 3-4 english unit problems for each
chapter covering most of the material in the chapters.

How-to-notes. Frequently asked questions are listed for each of the set of subject areas
in the book with detailed answers. These are questions that are difficult to have room for in
the book. Examples:

How do I find a certain state for R-410A in the B-section tables?

How do I make a linear interpolation?
Should I use internal energy (u) or enthalpy (h) in the energy equation?
When can I use ideal gas law?
Instructor material. A set of powerpoint lecture slides are available. These also include
repeat copies of some book examples with specific heat done with the ideal gas tables and
visa versa. Additional english unit examples are also listed as copies of the SI unit prob-
lems and modified if needed due to the tables. Other material for instructors covers typical
syllabus and homework assignments for a first and a second course in thermodynamics.
Additionally examples of 2 standard 1 hour midterm exams, and a 2 hour final exam are
given for typical Thermodynamics I and Thermodynamics II classes.

FEATURES CONTINUED FROM 9TH EDITION

In-Text-Concept Question
The in-text concept questions appear in the text after major sections of material to allow
student to reflect over the material just presented. These questions are intended to be quick
self tests for students or used by teachers as wrap up checks for each of the subjects covered
and most of these are emphasizing the understanding of the material without being memory
facts.

End-of-Chapter Engineering Applications

The last section in each chapter, called engineering applications, have been revised with
updated illustrations and a few more examples. These sections are intended to be motivating
material mostly informative examples of how this particular chapter material is being used
in actual engineering.
 PREFACE vii .............
............................................................................................................................... .....................................

End-of-Chapter Summaries with Main Concepts and Formulas

The end-of-chapter summaries provide a review of the main concepts covered in the chapter,
with highlighted key words are now located as suplemental material directly accessible
from the e-book. The only part still with the chapter material is an expanded listing of
the key concepts and the formulas including equation numbers. The list of skills that the
student should have mastered after studying the chapter is presented together with a table
of detailed references to examples, equations and homework problems for each specific
skill. These main concepts and formulas are included after the summary for reference and
a collection of these will be accessible through the links to the book companion site. The
main summary of the general control volume analysis has been removed from chapter 7
and placed together with the online material.

Concept-Study Guide Problems

Additional concept questions are placed as problems in the first section of the end of chapter
homework problems. These problems are similar to the in-text concept questions and serve
as study guide problems for each chapter they are a little more like homework problems with
numbers to provide a quick check of the chapter material. These are selected to be short
and directed toward a very specific concept. A student can answer all of these questions to
assess their level of understanding, and determine if any of the subjects need to be studied
further. These problems are also suitable to use together with the rest of the homework
problems in assignments and included in the solution manual.

Homework Problems
The number of homework problems has been significantly reduced but still contains intro-
ductory problems over all aspects of the chapter material and listed according to the subject
sections for easy selection according to the particular coverage given and they are generally
ordered to be progressive more complex and involved. Later problems in many sections are
related to real industrial processes and devices and lebeled under applications or energy
conservation with more comprehensive problems retained and grouped as review prob-
lems. The more comprehensive and lengthy problems have been removed to conserve space.
New and modified problems are reserved for instructors and available from Wileys
website for the book.

Tables
The tables of the substances have been carried over from the 8th edition with alternative
refrigerant R-410A which is the replacement for R-22 and carbon dioxide which is a
natural refrigerant. Several more substances are included in the software.

FLEXIBILITY IN COVERAGE AND SCOPE

The book attempts to cover fairly comprehensively the basic subject matter of classical
thermodynamics, and I believe that the book provides adequate preparation for study of
the application of thermodynamics to the various professional fields as well as for study of
more advanced topics in thermodynamics, such as those related to materials, surface phe-
nomena, plasmas, and cryogenics. I also recognize that a number of colleges offer a single
introductory course in thermodynamics for all departments, and have tried to cover those
.............. viii PREFACE ....................................................... .........................................................................................................

topics that the various departments might wish to have included in such a course. However,
since specific courses vary considerably in prerequisites, specific objectives, duration, and
background of the students, the material is arranged in sections, particularly in the later
chapters, so considerable flexibility exist in the amount of material that may be covered.
The book covers more material than required for a two-semester course sequence,
which provides flexibility for specific choices of topic coverage. Instructors may want to
visit the publisher’s Website at www.wiley.com/go/borgnakke/FundofThermo10e for infor-
mation and suggestions on possible course structure and schedules, and the additional
material mentioned as Web-material which will be updated to include current errata for
the book.
Flexibility with HW simple and extended problems to satisfy depth and time require-
ments Examples of this are constant specific heat question extended to be with variable
specific heats (gas tables), a piston cylinder includes the metal mass besides the contained
mass, some problems are also in english units. Many problems from earlier chapters are
repeated when entropy is added to the analysis.

ACKNOWLEDGEMENTS
I acknowledge with appreciation the suggestions, counsel, and encouragement of many
colleagues, both at the University of Michigan and elsewhere. This assistance has been
very helpful to me during the writing of this edition, as it was with the earlier editions of
the book. Both undergraduate and graduate students have been of particular assistance, for
their perceptive questions have often caused me to rewrite or rethink a given portion of the
text, or to try to develop a better way of presenting the material in order to anticipate such
questions or difficulties. Finally, the encouragement and patience of my wife and family
have been indispensable, and have made this time of writing pleasant and enjoyable, in
spite of the pressures of the project. A special thanks to a number of colleagues at other
institutions who have reviewed the earlier editions of the book and provided input to the
revisions. Some of the reviewers are

Ruhul Amin, Montana State University

Edward E. Anderson, Texas Tech. University
Cory Berkland, University of Kansas
Eugene Brown, Virginia Polytechnic Institute and State University
Sung Kwon Cho, University of Pittsburgh
Sarah Codd, Montana State University
Ram Devireddy, Louisiana State University
Fokion Egolfopoulos, University of Southern California
Harry Hardee, New Mexico State University
Hong Huang, Wright State University
Satish Ketkar, Wayne State University
Boris Khusid, New Jersey Institute of Technology
Joseph F. Kmec, Purdue University
Roy W. Knight, Auburn University
Daniela Mainardi, Louisiana Tech University
Randall Manteufel, University of Texas, San Antonio
Joseph Powers, Notre Dame University
Harry J. Sauer, Jr., Missouri University of Science and Technology
............................................................................................................................... .....................................
PREFACE ix .............

J.A. Sekhar, University of Cincinnati

Ahned Soliman, University of Noth Carolina, Charlotte
Reza Toossi, California State University, Long Beach
Thomas Twardowski, Widener University
Etim U. Ubong, Kettering University
Yanhua Wu, Wright State University
Walter Yuen, University of California at Santa Barbara

I also wish to thank the editor Chris Nelson for the encouragement and help during the
production of this edition.
I hope that this book will contribute to the effective teaching of thermodynamics to
students who face very significant challenges and opportunities during their professional
careers. Your comments, criticism, and suggestions will also be appreciated and you may
communicate those to me at [email protected].

Claus Borgnakke
Ann Arbor, Michigan
October 2018
Contents

1 Introduction and Preliminaries 1

1.1 A Thermodynamic System and the Control Volume, 2
1.2 Macroscopic Versus Microscopic Points of View, 5
1.3 Properties and State of a Substance, 6
1.4 Processes and Cycles, 6
1.5 Units for Mass, Length, Time, and Force, 7
1.6 Specific Volume and Density, 10
1.7 Pressure, 13
1.8 Energy, 20
1.9 Equality of Temperature, 22
1.10 The Zeroth Law of Thermodynamics, 22
1.11 Temperature Scales, 23
1.12 Engineering Applications, 24

2 Properties of a Pure Substance 29

2.1 The Pure Substance, 30
2.2 The Phase Boundaries, 30
2.3 The P–v–T Surface, 34
2.4 Tables of Thermodynamic Properties, 36
2.5 The Two-Phase States, 39
2.6 The Liquid and Solid States, 41
2.7 The Superheated Vapor States, 43
2.8 The Ideal Gas States, 46
2.9 The Compressibility Factor, 49
2.10 Equations of State, 54
2.11 Engineering Applications, 55

3 Energy Equation and First Law of

Thermodynamics 58
3.1 The Energy Equation, 58
3.2 The First Law of Thermodynamics, 61
3.3 The Definition of Work, 62
3.4 Work Done at the Moving Boundary of a Simple Compressible
System, 67
3.5 Definition of Heat, 75

xi
.............. xii ....................................................... .........................................................................................................
CONTENTS

3.6 Heat Transfer Modes, 76

3.7 Internal Energy—A Thermodynamic Property, 78
3.8 Problem Analysis and Solution Technique, 80
3.9 The Thermodynamic Property Enthalpy, 86
3.10 The Constant-Volume and Constant-Pressure Specific Heats, 89
3.11 The Internal Energy, Enthalpy, and Specific Heat of Ideal
Gases, 90
3.12 Nonuniform Distribution of States and Mass, 97
3.13 The Transient Process, 98
3.14 General Systems that Involve Work, 100
3.15 Engineering Applications, 102

4 Energy Analysis for a Control Volume 111

4.1 Conservation of Mass and the Control Volume, 111
4.2 The Energy Equation for a Control Volume, 114
4.3 The Steady-State Process, 116
4.4 Examples of Steady-State Processes, 118
4.5 Multiple-Flow Devices, 129
4.6 The Transient Flow Process, 131
4.7 Engineering Applications, 137

5 The Second Law of Thermodynamics 143

5.1 Heat Engines and Refrigerators, 143
5.2 The Second Law of Thermodynamics, 149
5.3 The Reversible Process, 151
5.4 Factors that Render Processes Irreversible, 153
5.5 The Carnot Cycle, 156
5.6 Two Propositions Regarding the Efficiency of a Carnot Cycle, 157
5.7 The Thermodynamic Temperature Scale, 159
5.8 The Ideal Gas Temperature Scale, 159
5.9 Ideal Versus Real Machines, 161
5.10 The Inequality of Clausius, 165
5.11 Engineering Applications, 169

6 Entropy 173
6.1 Entropy—A Property of a System, 173
6.2 The Entropy of a Pure Substance, 175
6.3 Entropy Change in Reversible Processes, 177
6.4 The Thermodynamic Property Relation, 181
6.5 Entropy Change of a Solid or Liquid, 182
6.6 Entropy Change of an Ideal Gas, 183
6.7 The Reversible Polytropic Process for an Ideal Gas, 187
6.8 Entropy Change of a Control Mass During an Irreversible
Process, 191
6.9 Entropy Generation and the Entropy Equation, 192
6.10 Principle of the Increase of Entropy, 194
 CONTENTS xiii .............
............................................................................................................................... .....................................

6.11 Entropy as a Rate Equation, 197

6.12 Some General Comments About Entropy and Chaos, 202

7 Entropy Analysis for a Control Volume 206

7.1 The Entropy Equation for a Control Volume, 206
7.2 The Steady-State Process and the Transient Process, 207
7.3 The Steady-State Single-Flow Process, 216
7.4 Principle of The Increase of Entropy, 220
7.5 Engineering Applications; Energy Conservation and Device
Efficiency, 224

8 Exergy 231
8.1 Exergy, Reversible Work, and Irreversibility, 231
8.2 Exergy and Its Balance Equation, 243
8.3 The Second Law Efficiency, 248
8.4 Engineering Applications, 253

9 Power and Refrigeration Systems—With Phase

Change 256
9.1 Introduction to Power Systems, 257
9.2 The Rankine Cycle, 258
9.3 Effect of Pressure and Temperature on the Rankine Cycle, 261
9.4 The Reheat Cycle, 265
9.5 The Regenerative Cycle and Feedwater Heaters, 266
9.6 Deviation of Actual Cycles from Ideal Cycles, 272
9.7 Combined Heat and Power: Other Configurations, 276
9.8 Introduction to Refrigeration Systems, 278
9.9 The Vapor-Compression Refrigeration Cycle, 279
9.10 Working Fluids for Vapor-Compression Refrigeration
Systems, 282
9.11 Deviation of the Actual Vapor-Compression Refrigeration Cycle
from the Ideal Cycle, 283
9.12 Refrigeration Cycle Configurations, 284
9.13 The Absorption Refrigeration Cycle, 287
9.14 Exergy Analysis of Cycles, 288

10 Power and Refrigeration Systems—Gaseous

Working Fluids 293
10.1 Air-Standard Power Cycles, 293
10.2 The Brayton Cycle, 294
10.3 The Simple Gas-Turbine Cycle with a Regenerator, 300
10.4 Gas-Turbine Power Cycle Configurations, 302
10.5 The Air-Standard Cycle for Jet Propulsion, 306
10.6 The Air-Standard Refrigeration Cycle, 309
.............. xiv ....................................................... .........................................................................................................
CONTENTS

10.7 Reciprocating Engine Power Cycles, 312

10.8 The Otto Cycle, 314
10.9 The Diesel Cycle, 317
10.10 The Stirling Cycle, 320
10.11 The Atkinson and Miller Cycles, 321
10.12 Combined-Cycle Power and Refrigeration Systems, 324

Summary Objectives (Available in e-text for

students) S-1

Study guide and Chapter Study Resources

(Available in e-text for students) R-1

Chapters 11–15 (Available in e-text for

students) W-1

Problems (Available in e-text for students) P-1

Contents of Appendix A-1

Appendix A SI Units: Single-State Properties A-3
Appendix B SI Units: Thermodynamic Tables A-23
Appendix C Ideal Gas Specific Heat A-73
Appendix D Equations of State A-75
Appendix E Figures A-80
Appendix F English Unit Tables A-85

Index I-1
Symbols

a acceleration
A area
a, A specific Helmholtz function and total Helmholtz function
AF air-fuel ratio
BS adiabatic bulk modulus
BT isothermal bulk modulus
c velocity of sound
c mass fraction
CD coefficient of discharge
Cp constant-pressure specific heat
Cv constant-volume specific heat
Cpo zero-pressure constant-pressure specific heat
Cvo zero-pressure constant-volume specific heat
COP coefficient of performance
CR compression ratio
e, E specific energy and total energy
EMF electromotive force, electrical potential, volt
ER expansion ratio
f fugacity, pseudo pressure
F Faradays constant
F force, also tension
FA fuel-air ratio
g acceleration due to gravity
g, G specific Gibbs function and total Gibbs function
h, H specific enthalpy and total enthalpy
HR, HP enthalpy of reactants and enthalpy of products
HV heating value
i electrical current
i, I specifc and total irreversibility
k conductivity /
k specific heat ratio: Cp Cv
K equilibrium constant
ke, KE specific and total kinetic energy
L length
m mass
ṁ mass flow rate
M molecular mass
M Mach number
n number of moles

xv
.............. xvi SYMBOLS....................................................... .........................................................................................................

n polytropic exponent
P pressure
Pi partial pressure of component i in a mixture
pe, PE specific and total potential energy
Pr reduced pressure P/Pc
Pr relative pressure as used in gas tables
q, Q heat transfer per unit mass and total heat transfer
Q̇ rate of heat transfer
QH , QL heat transfer with high-temperature body and heat transfer with
low-temperature body; sign determined from context
R gas constant
R universal gas constant
s, S specific entropy and total entropy
Sgen entropy generation
Ṡ gen rate of entropy generation
t time
T temperature
Tr reduced temperature T/Tc
u, U specific internal energy and total internal energy
v, V specific volume and total volume
vr relative specific volume as used in gas tables
V velocity
w, W work per unit mass and total work
Ẇ rate of work, power
wrev specific reversible work between two states
x quality
y gas-phase mole fraction
y extraction fraction
Z elevation
Z compressibility factor
Z electrical charge

Greek Letters 𝛼 residual volume

𝛼 dimensionless Helmholtz function a/RT
𝛼p volume expansivity
𝛽 coefficient of performance for a refrigerator
′
𝛽 coefficient of performance for a heat pump
𝛽S adiabatic compressibility
𝛽T isothermal compressibility
/
𝛿 dimensionless density 𝜌 𝜌c
𝜂 efficiency
𝜇 chemical potential
𝜈 stoichiometric coefficient
𝜌 density
𝜎 surface tension (F/L), surface energy (E/A)
𝜎 Stefan-Boltzman constant /
𝜏 dimensionless temperature variable Tc T
𝜏0 dimensionless temperature variable 1 − Tr
 SYMBOLS xvii .............
............................................................................................................................... .....................................

Φ equivalence ratio
𝜙 relative humidity
𝜙, Φ exergy or availability for a control mass
𝜓 specific exergy, flow availability
𝜔 humidity ratio or specific humidity
𝜔 acentric factor

Subscripts c property at the critical point

c.v. control volume
e state of a substance leaving a control volume
f formation
f property of saturated liquid
fg difference in property for saturated vapor and saturated liquid
g property of saturated vapor
i state of a substance entering a control volume
i property of saturated solid
if difference in property for saturated liquid and saturated solid
ig difference in property for saturated vapor and saturated solid
r reduced property
s isentropic process
0 property of the surroundings
0 stagnation property

Superscripts –— bar over symbol denotes property on a molal basis (over V, H, S, U, A, G, the
bar denotes partial molal property)
∘ property at standard-state condition
* ideal gas
* property at the throat of a nozzle
irr irreversible
r real gas part
rev reversible
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CHAPTER 1 PROBLEMS
Student solution available in interactive e-text.

CONCEPT-STUDY GUIDE PROBLEMS

1.1 Separate the list P, F, V, v, 𝜌, T, a, m, L, t, and V into ground. Is the pressure below it just as evenly dis-
intensive properties, extensive properties, and non- tributed?
properties. 1.10 If something floats in water, what does it say about
1.2 A tray of liquid water is placed in a freezer where it its density?
cools from 20 to −5∘ C. Show the energy flow(s) and 1.11 Two divers swim at a depth of 20 m. One of them
storage and explain what changes.
swims directly under a supertanker; the other avoids
1.3 The overall density of fibers, rock wool insulation, the tanker. Who feels a greater pressure?
foams, and cotton is fairly low. Why?
1.12 An operating room has a positive gage pressure,
1.4 Is density a unique measure of mass distribution in whereas an engine test cell has a vacuum; why is that?
a volume? Does it vary? If so, on what kind of scale
(distance)? 1.13 A water skier does not sink too far down in the water
k if the speed is high enough. What makes that situation k
1.5 Water in nature exists in three different phases: solid,
different from our static pressure calculations?
liquid, and vapor (gas). Indicate the relative magni-
tude of density and the specific volume for the three 1.14 What is the lowest temperature in degrees Celsius?
phases. In degrees Kelvin?
1.6 What is the approximate mass of 1 L of gasoline? Of 1.15 How cold can it be on Earth and in empty space?
helium in a balloon at T0 , P0 ? 1.16 A thermometer that indicates the temperature with
1.7 Can you carry 1 m3 of liquid water? a liquid column has a bulb with a larger volume of
1.8 A heavy refrigerator has four height-adjustable feet. liquid. Why?
What feature of the feet will ensure that they do not 1.17 How can you illustrate the binding energy between
make dents in the floor? the three atoms in water as they sit in a triatomic water
1.9 A swimming pool has an evenly distributed pressure molecule. Hint: imagine what must happen to create
at the bottom. Consider a stiff steel plate lying on the three separate atoms.

HOMEWORK PROBLEMS
Properties, Units, and Force of the system. List two extensive and three intensive
properties of the water.
1.18 One kilopond (1 kp) is the weight of 1 kg in the stan-
dard gravitational field. What is the weight of 1 kg in 1.21 The Rover Explorer has a mass of 185 kg, how
newtons (N)? much does this weigh on the Moon (g = gstd /6) and
on Mars where g = 3.75 m/s2 .
1.19 A stainless steel storage tank contains 5 kg of car-
bon dioxide gas and 7 kg of argon gas. How many 1.22 A 1700 kg car moving at 80 km/h is decelerated at
kmoles are in the tank? a constant rate of 4 m/s2 to a speed of 20 km/h. What
are the force and total time required?
1.20 A steel cylinder of mass 4 kg contains 4 L of water
at 25∘ C at 100 kPa. Find the total mass and volume

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1.23 The elevator in a hotel has a mass of 750 kg, and holding the massless piston up as the piston lower side
it carries six people with a total mass of 450 kg. How has P0 besides the force.
much force should the cable pull up with to have an 1.31 A hydraulic lift has a maximum fluid pressure of
acceleration of 1 m/s2 in the upward direction? 500 kPa. What should the piston/cylinder diameter be
1.24 One of the people in the previous problem weighs in order to lift a mass of 850 kg?
80 kg standing still. How much weight does this per- 1.32 Ahydraulic cylinder has a 125-mm diameter piston
son feel when the elevator starts moving? with an ambient pressure of 1 bar. Assuming standard
gravity, find the total mass this piston can lift if the
Specific Volume inside hydraulic fluid pressure is 2500 kPa.
1.25 A 1-m3 container is filled with 400 kg of granite 1.33 A 75-kg human total footprint is 0.05 m2 when the
stone, 200 kg of dry sand, and 0.2 m3 of liquid 25∘ C human is wearing boots. Suppose that you want to
water. Using properties from Tables A.3 and A.4, find walk on snow that can at most support an extra 3 kPa;
the average specific volume and density of the masses what should the total snowshoe area be?
when you exclude air mass and volume. 1.34 A piston/cylinder with a cross-sectional area of
1.26 A power plant that separates carbon dioxide from 0.01 m2 has a piston mass of 65 kg plus a force of
the exhaust gases compresses it to a density of 800 N resting on the stops, as shown in Fig. P1.34.
110 kg/m3 and stores it in an unminable coal seam With an outside atmospheric pressure of 101 kPa, what
with a porous volume of 100 000 m3 . Find the mass should the water pressure be to lift the piston?
that can be stored.
1.27 A 5-m3 container is filled with 900 kg of granite F
(density of 2400 kg/m3 ). The rest of the volume is air, P0
g
k with density equal to 1.15 kg/m3 . Find the mass of air k
and the overall (average) specific volume.

Pressure Water

1.28 A 5000-kg elephant has a cross-sectional area of

0.02 m2 on each foot. Assuming an even distribution, Figure P1.34
what is the pressure under its feet?
1.29 A valve in the cylinder shown in Fig. P1.29 has 1.35 A 2.5-m-tall steel cylinder has a cross-sectional area
a cross-sectional area of 11 cm2 with a pressure of of 1.5 m2 . At the bottom, with a height of 0.5 m, is
735 kPa inside the cylinder and 99 kPa outside. How liquid water, on top of which is a 1-m-high layer of
large a force is needed to open the valve? engine oil. This is shown in Fig. P1.35. The oil sur-
face is exposed to atmospheric air at 101 kPa. What is
the highest pressure in the water?
Poutside
P0

Air
A valve

Pcyl 1m Engine oil

2.5 m

Figure P1.29
0.5 m H2O

1.30 The piston cylinder in Fig. P1.29 has a diameter

of 10 cm, inside pressure 735 kPa. What is the force Figure P1.35
P-2

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1.36 An underwater buoy is anchored at the seabed with 1.44 The density of atmospheric air is about 1.15 kg/m3 ,
a cable, and it contains a total mass of 250 kg. What which we assume is constant. How large an absolute
should the volume be so that the cable holds it down pressure will a pilot encounter when flying 2000 m
with a force of 1000 N? above ground level, where the pressure is 101 kPa?
1.37 A floating oil rig is anchored in the seabed with 1.45 A barometer to measure absolute pressure shows a
cables giving a net pull of 10 000 kN down. How large mercury column height of 735 mm. The temperature is
a water displacement volume does that lead to? such that the density of the mercury is 13 550 kg/m3 .
1.38 At the beach, atmospheric pressure is 1025 mbar. Find the ambient pressure.
You dive 15 m down in the ocean, and you later climb 1.46 A differential pressure gauge mounted on a vessel
a hill up to 450 m in elevation. Assume that the density shows 1.25 MPa, and a local barometer gives atmo-
of water is about 1000 kg/m3 , and the density of air is spheric pressure as 0.96 bar. Find the absolute pressure
1.18 kg/m3 . What pressure do you feel at each place? inside the vessel.
1.39 A steel tank of cross-sectional area 3 m2 and height 1.47 What pressure difference does a 100-m column of
16 m weighs 10 000 kg and is open at the top, as shown atmospheric air show?
in Fig. P1.39. We want to float it in the ocean so that it 1.48 A barometer measures 760 mm Hg at street level
is positioned 10 m straight down by pouring concrete and 745 mm Hg on top of a building. How tall is the
into its bottom. How much concrete should we use? building if we assume air density of 1.15 kg/m3 ?
1.49 An exploration submarine should be able to descend
1200 m down in the ocean. If the ocean density is
Air 1020 kg/m3 , what is the maximum pressure on the
submarine hull?
k 1.50 The absolute pressure in a tank is 115 kPa and the k
Ocean local ambient absolute pressure is 102 kPa. If a U-tube
10 m
Concrete
with mercury (density = 13 550 kg/m3 ) is attached to
the tank to measure the gauge pressure, what column
height difference will it show?
Figure P1.39 1.51 An absolute pressure gauge attached to a steel cylin-
der shows 135 kPa. We want to attach a manometer
1.40 A piston, mp = 5 kg, is fitted in a cylinder, A = 15 using liquid water on a day that Patm = 101 kPa. How
cm2 , that contains a gas. The setup is in a centrifuge high a fluid level difference must we plan for?
that creates an acceleration of 25 m/s2 in the direction 1.52 A pipe flowing light oil has a manometer attached,
of piston motion toward the gas. Assuming standard as shown in Fig. P1.52. What is the absolute pressure
atmospheric pressure outside the cylinder, find the gas in the pipe flow?
pressure.
1.41 A container ship is 240 m long and 22 m wide. P0 = 101 kPa
Assume that the shape is like a rectangular box. How
much mass does the ship carry as load if it is 10 m
down in the water and the mass of the ship itself is
0.7 m
30 000 tonnes?
Oil
0.3 m
Manometers and Barometers Water
0.1 m
1.42 A probe is lowered 16 m into a lake. Find the abso-
lute pressure there. Figure P1.52
1.43 A person, 75 kg, wants to fly (hoover) on a 2 kg
skateboard of size 0.6 m by 0.25 m. How large a gauge 1.53 The difference in height between the columns of
pressure under the board is needed? a manometer is 200 mm, with a fluid of density
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900 kg/m3 . What is the pressure difference? What is pressure difference between the two holes flush with
the height difference if the same pressure difference is the bottom of the channel. You cannot neglect the two
measured using mercury (density = 13 600 kg/m3 ) as unequal water columns.
manometer fluid? 1.61 A dam retains a lake 6 m deep, as shown in Fig.
1.54 A piece of experimental apparatus, Fig. P1.54, is P1.61. To construct a gate in the dam, we need to know
located where g = 9.5 m/s2 and the temperature is 5∘ C. the net horizontal force on a 5-m-wide, 6-m-tall port
Air flow inside the apparatus is determined by mea-
section that then replaces a 5-m section of the dam.
suring the pressure drop across an orifice with a mer-
Find the net horizontal force from the water on one
cury manometer (density = 13 580 kg/m3 ) showing
a height difference of 200 mm. What is the pressure side and air on the other side of the port.
drop in kPa?

Lake
Air
6m

g Side view

Figure P1.54 Lake

k k
Energy and Temperature
1.55 A 0.25 m3 piece of softwood is lifted up to the top 5m
shelf in a storage bin that is 4 m above the ground
Top view
floor. How much increase in potential energy does the
wood get? Figure P1.61
1.56 A car of mass 1775 kg travels with a velocity of
100 km/h. Find the kinetic energy. How high should
the car be lifted in the standard gravitational field to 1.62 In the city water tower, water is pumped up to a level
have a potential energy that equals the kinetic energy? of 25 m above ground in a pressurized tank with air
1.57 What is a temperature of −5∘ C in degrees Kelvin? at 125 kPa over the water surface. This is illustrated
1.58 A mercury thermometer measures temperature by in Fig. P1.62. Assuming water density of 1000 kg/m3
measuring the volume expansion of a fixed mass of liq- and standard gravity, find the pressure required to
uid mercury due to a change in density as 𝜌Hg = 13 595 pump more water in at ground level.
− 2.5 T kg/m3 (T in Celsius). Find the relative change
(%) in volume for a change in temperature from 10 to
20∘ C.
1.59 The density of liquid water is 𝜌 = 1008 − T/2
(kg/m3 ) with T in ∘ C. If the temperature increases
10∘ C, how much deeper does a 1-m layer of water
become?
H
g
Review Problems
1.60 Repeat Problem 1.54 if the flow inside the apparatus
is liquid water (𝜌 = 1000 kg/m3 ) instead of air. Find the Figure P1.62
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1.63 The main waterline into a tall building has a pres-

Top floor
sure of 600 kPa at 5-m elevation below ground level.
The building is shown in Fig. P1.63. How much extra
pressure does a pump need to add to ensure a water-
line pressure of 200 kPa at the top floor 150 m above-
ground? 150 m

Ground

5m
Water main
Pump

Figure P1.63

ENGLISH UNIT PROBLEMS

English Unit Concept Problems 1.74E A power plant that separates carbon dioxide from
1.64E A mass of 2 lbm has an acceleration of 5 ft/s2 . the exhaust gases compresses it to a density of
What is the needed force in lbf? 8 lbm/ft3 and stores it in an unminable coal seam with
k 1.65E How much mass is in 1 gal of gasoline? In helium
a porous volume of 3 500 000 ft3 . Find the mass that k
in a balloon at atmospheric P and T? can be stored.
1.66E Can you easily carry a 1-gal bar of solid gold? 1.75E The piston cylinder in Fig. P1.29 has a diameter of
4 in., inside pressure 100 psia. What forcemust hold
1.67E What is the temperature of −5 F in degrees Rank-
ine? the massless piston up as the piston lower side has P0
besides the force?
1.68E What is the lowest possible temperature in degrees
Fahrenheit? In degrees Rankine? 1.76E A laboratory room keeps a vacuum of 1 in. of
1.69E What is the relative magnitude of degree Rankine water due to the exhaust fan. What is the net force
to degree Kelvin? on a door of size 6 ft by 3 ft?
1.77E A person, 175 lbm, wants to fly (hoover) on a
4 lbm skateboard of size 2 ft by 0.8 ft. How large a
English Unit Problems
gauge pressure under the board is needed?
1.70E The Rover Explorer has a mass of 410 lbm, how 1.78E A floating oil rig is anchored in the seabed with
much does this “weigh” on the Moon (g = gstd /6) and
cables giving a net pull of 2 250 000 lbf down. How
on Mars where g = 12.3 ft/s2 .
large a water displacement volume does that lead to?
1.71E A 2500-lbm car moving at 25 mi/h is accelerated
1.79E A container ship is 790 ft long and 72 ft wide.
at a constant rate of 15 ft/s2 up to a speed of 50 mi/h.
What are the force and total time required? Assume the shape is like a rectangular box. How
much mass does the ship carry as load if it is 30 ft
1.72E An escalator brings four people with a total mass
down in the water and the mass of the ship itself is
of 600 lbm and a 1000-lbm cage up with an accelera-
tion of 3 ft/s2 . What is the needed force in the cable? 30 000 tons.
1.73E A car of mass 4000 lbm travels with a velocity of 1.80E A manometer shows a pressure difference of
60 mi/h. Find the kinetic energy. How high should the 3.5 in. of liquid mercury. Find ΔP in psi.
car be lifted in the standard gravitational field to have 1.81E What pressure difference does a 300-ft column of
a potential energy that equals the kinetic energy? atmospheric air show?

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1.82E A piston/cylinder with a cross-sectional area of 1.84E A piston, mp = 10 lbm, is fitted in a cylinder,
0.1 ft2 has a piston mass of 100 lbm and a force of A = 2.5 in.2 , that contains a gas. The setup is in
180 lbf resting on the stops, as shown in Fig. P1.34. a centrifuge that creates an acceleration of 75 ft/s2 .
With an outside atmospheric pressure of 1 atm, what Assuming standard atmospheric pressure outside the
should the water pressure be to lift the piston? cylinder, find the gas pressure.
1.83E The main waterline into a tall building has a pres- 1.85E The human comfort zone is between 18 and 24∘ C.
sure of 90 psia at 16 ft elevation below ground level. What is the range in Fahrenheit?
How much extra pressure does a pump need to add to
ensure a waterline pressure of 30 psia at the top floor
450 ft above ground?

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Summary Objectives
CHAPTER 1 We introduce a thermodynamic system as a control volume, which for a fixed mass is a
control mass. Such a system can be isolated, exchanging neither mass, momentum, nor
energy with its surroundings. A closed system versus an open system refers to the ability of
mass exchange with the surroundings. If properties for a substance change, the state changes
and a process occurs. When a substance has gone through several processes, returning to
the same initial state, it has completed a cycle.
Basic units for thermodynamic and physical properties are mentioned, and most are
covered in Table A.1. Thermodynamic properties such as density 𝜌, specific volume v,
pressure P, and temperature T are introduced together with units for these properties. Prop-
erties are classified as intensive, independent of mass (like v), or extensive, proportional to
mass (like V). Students should already be familiar with other concepts from physics such as
force F, velocity V, and acceleration a. Application of Newton’s law of motion leads to the
variation of static pressure in a column of fluid and the measurements of pressure (absolute
and gauge) by barometers and manometers. The normal temperature scale and the absolute
temperature scale are introduced.
k You should have learned a number of skills and acquired abilities from studying this k
chapter that will allow you to

• Define (choose) a control volume C.V. around some matter and

• Sketch the content and identify storage locations for mass
• Identify mass and energy flows crossing the C.V. surface
• Know properties P–T–v–𝜌 and their units.
• Know how to look up conversion of units in Table A.1.
• Know that energy is stored as kinetic, potential, or internal (in molecules).
• Know the difference between (v, 𝜌) and (V, m) intensive versus extensive.
• Apply a force balance to a given system and relate it to pressure P.
• Know the difference between a relative (gauge) and absolute pressure P.
• Understand the working of a manometer or a barometer and get ΔP or P from
height H.
• Know the difference between a relative and absolute temperature T.
• Understand how physics of a device can influence a property.
• You should have an idea about magnitudes (v, 𝜌, P, T).

Most of these concepts will be repeated and reinforced in the following chapters, such as
properties in Chapter 2, energy transfer as heat and work, and internal energy in Chapter 3,
together with their applications.

S-1

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Study guide and Chapter

Study Resources
CHAPTER 1 Objectives Reading, Examples, Concepts, Study,
Eqs & Tables Hw problems
Know properties P-T-v-𝜌 and Reading: Sec. 1.3, 1.5–1.7, C: 1, 3–10, 14–15
their units 1.11 S: 5, 18, 59
Examples: 1.1–1.5 Hw: 19–24, 57–58, 65E–69E,
Eqs : 1.2, 1.3, 1.12, 1.13 85E
Tables: A.1
Know that energy is stored as Reading: Sec. 1.8 C: 17
kinetic, potential or internal Examples: 1.1–1.5 Hw: 19–24, 55–56, 73E
(in molecules) Eqs. : 1.9, 1.10, 1.11
Know the difference between Reading: Sec. 1.3 C: 1, 3
k (v, 𝜌) and (V, m) intensive Examples: 1.2 Hw: 20
k
versus extensive
Apply a force balance to a Reading: Sec. 1.5–1.7, 1.11 C: 8–13
given system and relate it to Examples: 1.3, 1.4, 1.7 S: 13, 31, 38, 40, 84E
pressure P Eqs : 1.1, 1.3–1.7 Hw: 28–41, 84E
Know the difference between Reading: Sec. 1.7 C: 11–12,
a relative (gauge) and Examples: 1.5 – 1.6 S: 44, 49, 53
absolute pressure P Eqs and Tables: 1.3 – 1.4, 1.6 Hw: 42–46, 49, 52, 54
Understand manometer and Reading: Sec. 1.7 C: 11–12
barometer to get ΔP or P Examples: 1.5–1.6 S: 44, 49, 53, 80E
from height H Eqs : 1.3–1.6 Hw: 42–54, 80E–83E
Know the difference between Reading: Sec. 1.11 C: 14–16
a relative and absolute Examples: 1.5–1.6 S: 59
temperature T Eqs : 1.12, 1.13 Hw: 57–59
Tables: A.1
Understand how physics of a Reading: all nearly all hw
device can influence a Examples: 1.2–1.7
property. Device eqs.: P = C, V = C,
T=C
Have an idea about Reading: Sec. 1.7 S: 18
magnitudes (v, 𝜌, P, T) Examples: 1.5–1.6 Hw: 18, 57, 85E
Equations: 1.2–1.6
Figure: 1.8

R-1

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Introduction
and Preliminaries
1

The field of thermodynamics is concerned with the science of energy focusing on energy
storage and energy conversion processes. We will study the effects of energy on differ-
ent substances, as we may expose a mass to heating/cooling or to volumetric compres-
sion/expansion. During such processes, we are transferring energy into or out of the mass,
so it changes its conditions expressed by properties such as temperature, pressure, and vol-
ume. We use several processes similar to this in our daily lives; we heat water to make coffee
or tea or cool it in a refrigerator to make cold water or ice cubes in a freezer. In nature, water
evaporates from oceans and lakes and mixes with air where the wind can transport it, and
later the water may drop out of the air as either rain (liquid water) or snow (solid water).
As we study these processes in detail, we will focus on situations that are physically simple
and yet typical of real-life situations in industry or nature.
By a combination of processes, we are able to illustrate more complex devices or
complete systems—for instance, a simple steam power plant that is the basic system that
generates the majority of our electric power. Figure 1.1 shows a power plant that produces
electric power and hot water for district heating by burning coal. The coal is supplied by
ship, and the district heating pipes are located in underground tunnels and thus are not
visible. For a better understanding and a technical description, see the simple schematic of
the power plant shown in Fig. 1.2. This includes various outputs from the plant as electric
power to the net, warm water for district heating, slag from burning coal, and other materials
such as ash and gypsum; the last output is a flow of exhaust gases out of the chimney.
Another set of processes forms a good description of a refrigerator that we use to
cool food or apply it at very low temperatures to produce a flow of cold fluid for cryogenic
surgery by freezing tissue for minimal bleeding. A simple schematic for such a system is
shown in Fig. 1.3. The same system can also function as an air conditioner with the dual
purpose of cooling a building in summer and heating it in winter; in this last mode of use, it
is also called a heat pump. For mobile applications, we can make simple models for gasoline
and diesel engines typically used for ground transportation and gas turbines in jet engines
used in aircraft, where low weight and volume are of prime concern. These are just a few
examples of familiar systems that the theory of thermodynamics allows us to analyze. Once
we learn and understand the theory, we will be able to extend the analysis to other cases we
may not be familiar with.
Beyond the description of basic processes and systems, thermodynamics is extended
to cover special situations like moist atmospheric air, which is a mixture of gases, and the
combustion of fuels for use in the burning of coal, oil, or natural gas, which is a chemical
and energy conversion process used in nearly all power-generating devices. Many other
extensions are known; these can be studied in specialty texts. Since all the processes engi-
neers deal with have an impact on the environment, we must be acutely aware of the ways

1
.............. 2 CHAPTER.......................................................
ONE INTRODUCTION AND PRELIMINARIES .........................................................................................................

FIGURE 1.1 The

Avedoere Power Station,
Denmark. (Courtesy of Dong Energy, Denmark.)

in which we can optimize the use of our natural resources and produce the minimal amount
of negative consequences for our environment. For this reason, the treatment of efficiencies
for processes and devices is important in a modern analysis and is required knowledge for
a complete engineering study of system performance and operation.
Before considering the application of the theory, we will cover a few basic concepts
and definitions for our analysis and review some material from physics and chemistry that
we will need.

1.1 A THERMODYNAMIC SYSTEM

AND THE CONTROL VOLUME
A thermodynamic system is a device or combination of devices containing a quantity of
matter under study. To define this more precisely, a control volume is chosen so that it
...............................................................................................................................
A THERMODYNAMIC SYSTEM .....................................
AND THE CONTROL VOLUME 3 .............

Flue gas

Steam Turbine Generator

drum

Coal
silo

Chimney Power
grid
Oil

Gas Ash
purifier separator Coal
grinder
Gypsum Pump
Fly Heat
District
ash exchanger
Slag heating
Air

FIGURE 1.2 Schematic diagram of a steam power plant.

Heat to room

Warm vapor 2
Condenser

Work 3 Warm liquid

Compressor Expansion valve

or
Evaporator capillary tube

Cold vapor 1 4 Cold liquid + vapor

FIGURE 1.3
Schematic diagram of a Heat from cold
refrigerator. refrigerated space

contains the matter and devices inside a control surface. Everything external to the control
volume is the surroundings, with the separation provided by the control surface. The surface
may be open or closed to mass flows, and it may have flows of energy in terms of heat
transfer and work across it. The boundaries may be movable or stationary. In the case of a
control surface closed to mass flow, so that no mass can escape or enter the control volume,
it is called a control mass containing the same amount of matter at all times.
.............. 4 CHAPTER.......................................................
ONE INTRODUCTION AND PRELIMINARIES .........................................................................................................

Weights
P0

Piston
g
System
boundary
Gas

FIGURE 1.4 Example

of a control mass.

Selecting the gas in the cylinder of Fig. 1.4 as a control volume by placing a control
surface around it, we recognize this as a control mass. If a Bunsen burner is placed under
the cylinder, the temperature of the gas will increase and the piston will move out. As the
piston moves, the boundary of the control mass also changes. As we will see later, heat
and work cross the boundary of the control mass during this process, but the matter that
composes the control mass can always be identified and remains the same.
An isolated system is one that is not influenced in any way by the surroundings so that
no mass, heat, or work is transferred across the boundary of the system. In a more typical
case, a thermodynamic analysis should be conducted for a device such as an air compres-
sor in which mass flows in and out, as shown schematically in Fig. 1.5. The real system
includes possibly a storage tank, as shown in Fig. 1.20. In such an analysis, we specify
a control volume that surrounds the compressor with a surface called the control surface,
across which there may be a transfer of mass and momentum as well as heat and work.
Thus, the more general control surface defines a control volume, where mass may
flow in or out, while a control mass is the special case of no mass flowing in or out. Hence,
the control mass contains a fixed mass at all times, which explains its name. The general
formulation of the analysis is considered in detail in Chapter 4. The terms closed system
(fixed mass) and open system (involving a flow of mass) are sometimes used to make this
distinction. Here, we use the term system as a more general and loose description for a
mass, device, or combination of devices that then is more precisely defined when a control
volume is selected. The procedure that will be followed in presenting the first and second

Heat

High-pressure
air out Low-pressure
air in

Work

Compressor

P Motor

Control
Air
surface
storage
FIGURE 1.5 Example tank
of a control volume.
...............................................................................................................................
MACROSCOPIC VERSUS .....................................
MICROSCOPIC POINTS OF VIEW 5 .............

laws of thermodynamics is first to present these laws for a control mass and then to extend
the analysis to the more general control volume.

1.2 MACROSCOPIC VERSUS MICROSCOPIC POINTS

OF VIEW
The behavior of a system may be investigated from either a microscopic or macroscopic
point of view. Let us briefly describe a system from a microscopic point of view. Con-
sider a system consisting of a cube 25 mm on each side and containing a monatomic gas
at atmospheric pressure and temperature. This volume contains approximately 1020 atoms.
To describe the position of each atom, we need to specify three coordinates; to describe the
velocity of each atom, we specify three velocity components.
Thus, to describe completely the behavior of this system from a microscopic point
of view, we must deal with at least 6 × 1020 equations. Even with a modern computer,
this is a hopeless computational task. However, there are two approaches to this problem
that reduce the number of equations and variables to a few that can be computed relatively
easily. One is the statistical approach, in which, on the basis of statistical considerations
and probability theory, we deal with average values for all particles under consideration.
This is usually done in connection with a model of the atom under consideration. This is
the approach used in the disciplines of kinetic theory and statistical mechanics.
The other approach to reducing the number of variables to a few that can be handled
relatively easily involves the macroscopic point of view of classical thermodynamics. As
the word macroscopic implies, we are concerned with the gross or average effects of many
molecules. These effects can be perceived by our senses and measured by instruments.
However, what we really perceive and measure is the time-averaged influence of many
molecules. For example, consider the pressure a gas exerts on the walls of its container.
This pressure results from the change in momentum of the molecules as they collide with
the wall. From a macroscopic point of view, however, we are concerned not with the action
of the individual molecules but with the time-averaged force on a given area, which can
be measured by a pressure gauge. In fact, these macroscopic observations are completely
independent of our assumptions regarding the nature of matter.
Although the theory and development in this book are presented from a macroscopic
point of view, a few supplementary remarks regarding the significance of the microscopic
perspective are included as an aid to understanding the physical processes involved. Another
book in this series, Introduction to Thermodynamics: Classical and Statistical, by R. E.
Sonntag and G. J. Van Wylen, includes thermodynamics from the microscopic and statisti-
cal point of view.
A few remarks also should be made regarding the continuum approach. We are nor-
mally concerned with volumes that are very large compared to molecular dimensions and
with time scales that are very large compared to intermolecular collision frequencies. For
this reason, we deal with very large numbers of molecules that interact extremely often dur-
ing our observation period, so we view the system as a simple uniformly distributed mass
in the volume called a continuum. This concept, of course, is only a convenient assump-
tion that loses validity when the mean free path of the molecules approaches the order of
magnitude of the dimensions of the vessel, as, for example, in high-vacuum technology. In
much engineering work, the assumption of a continuum is valid and convenient, consistent
with the macroscopic point of view.
.............. 6 CHAPTER.......................................................
ONE INTRODUCTION AND PRELIMINARIES .........................................................................................................

1.3 PROPERTIES AND STATE OF A SUBSTANCE

If we consider a given mass of water, we recognize that this water can exist in various
forms. If it is a liquid initially, it may become a vapor when it is heated or a solid when it
is cooled. Thus, we speak of the different phases of a substance. A phase is describing a
condition of matter that is homogeneous throughout, commonly referred to as solid, liquid,
or gas phases. When more than one phase is present, the phases are separated from each
other by the phase boundaries. In each phase, the substance may exist at various pressures
and temperatures or, to use the thermodynamic term, in various states. The state may be
identified or described by certain observable, macroscopic properties; some familiar ones
are temperature, pressure, and density. In later chapters, other properties will be introduced.
Each of the properties of a substance in a given state has only one definite value, and these
properties always have the same value for a given state, regardless of how the substance
arrived at the state. In fact, a property can be defined as any quantity that depends on the
state of the system and is independent of the path (i.e., the prior history) by which the system
arrived at the given state. Conversely, the state is specified or described by the properties.
Later, we will consider the number of independent properties a substance can have, that is,
the minimum number of properties that must be specified to fix the state of the substance.
Thermodynamic properties can be divided into two general classes: intensive and
extensive. An intensive property is independent of the mass; the value of an extensive prop-
erty varies directly with the mass. Thus, if a quantity of matter in a given state is divided
into two equal parts, each part will have the same value of intensive properties as the orig-
inal and half the value of the extensive properties. Pressure, temperature, and density are
examples of intensive properties. Mass and total volume are examples of extensive prop-
erties. Extensive properties per unit mass, such as specific volume, see Section 1.6, are
intensive properties.
Frequently we will refer not only to the properties of a substance but also to the prop-
erties of a system. When we do so, we necessarily imply that the value of the property has
significance for the entire system, and this implies equilibrium. For example, if the gas that
composes the system (control mass) in Fig. 1.4 is in thermal equilibrium, the temperature
will be the same throughout the entire system, and we may speak of the temperature as a
property of the system. We may also consider mechanical equilibrium, which is related to
pressure. If a system is in mechanical equilibrium, there is no tendency for the pressure
at any point to change with time as long as the system is isolated from the surroundings.
There will be variation in pressure with elevation because of the influence of gravitational
forces, although under equilibrium conditions there will be no tendency for the pressure
at any location to change. However, in many thermodynamic problems, this variation in
pressure with elevation is so small that it can be neglected. Chemical equilibrium is also
important and will be considered in Chapter 14. When a system is in equilibrium regarding
all possible changes of state, we say that the system is in thermodynamic equilibrium.

1.4 PROCESSES AND CYCLES

Whenever one or more of the properties of a system change, we say that a change in state
has occurred. For example, when the crank moves as shown in Fig. 1.6, the piston moves to
give a larger cylinder volume so a change in state occurs toward a lower pressure and higher
specific volume. The path of the succession of states through which the system passes is
called the process.
...............................................................................................................................
UNITS FOR .....................................
MASS, LENGTH, TIME, AND FORCE 7 .............

FIGURE 1.6 Example

of a system that may
Gas
undergo a
quasi-equilibrium
process.

Let us consider the equilibrium of a system as it undergoes a change in state. The

moment the piston in Fig. 1.6 is moved, mechanical equilibrium does not exist; as a result,
the volume and pressure change until mechanical equilibrium is restored. The question is
this: Since the properties describe the state of a system only when it is in equilibrium,
how can we describe the states of a system during a process if the actual process occurs
only when equilibrium does not exist? One step in finding the answer to this question
concerns the definition of an ideal process, which we call a quasi-equilibrium process.
A quasi-equilibrium process is one in which the deviation from thermodynamic equilib-
rium is infinitesimal, and all the states the system passes through during a quasi-equilibrium
process may be considered equilibrium states. Many actual processes closely approach a
quasi-equilibrium process and may be so treated with essentially no error. If the piston
moves slowly, the process could be considered quasi-equilibrium. However, if the piston
moves fast, there will be a nonuniform pressure distribution in the gas. This would be a
nonequilibrium process, and the system would not be in equilibrium at any time during this
change of state.
For nonequilibrium processes, we are limited to a description of the system before
the process occurs and after the process is completed and equilibrium is restored. We are
unable to specify each state through which the system passes or the rate at which the process
occurs. However, as we will see later, we are able to describe certain overall effects that
occur during the process.
Several processes are described by the fact that one property remains constant.
The prefix iso- is used to describe such a process. An isothermal process is a constant-
temperature process, an isobaric process is a constant-pressure process, and an isochoric
process is a constant-volume process.
When a system in a given initial state goes through a number of different changes of
state or processes and finally returns to its initial state, the system has undergone a cycle.
Therefore, at the conclusion of a cycle, all the properties have the same value they had at
the beginning. Steam (water) that circulates through a steam power plant undergoes a cycle.
A distinction should be made between a thermodynamic cycle, which has just been
described, and a mechanical cycle. A four-stroke-cycle internal-combustion engine goes
through a mechanical cycle once every two revolutions. However, the working fluid does
not go through a thermodynamic cycle in the engine, since air and fuel are burned and
changed to products of combustion that are exhausted to the atmosphere. In this book, the
term cycle will refer to a thermodynamic cycle unless otherwise designated.

1.5 UNITS FOR MASS, LENGTH, TIME, AND FORCE

Since we are considering thermodynamic properties from a macroscopic perspective, we
are dealing with quantities that can, either directly or indirectly, be measured and counted.
Therefore, the matter of units becomes an important consideration, and they are all shown
in appendix Table A.1. In the remaining sections of this chapter, we will define certain
.............. 8 CHAPTER.......................................................
ONE INTRODUCTION AND PRELIMINARIES .........................................................................................................

thermodynamic properties and the basic units. Because the relation between force and
mass is often difficult for students to understand, it is considered in this section in some
detail.
Force, mass, length, and time are related by Newton’s second law of motion, which
states that the force acting on a body is proportional to the product of the mass and the
acceleration in the direction of the force:

F ∝ ma

The concept of time is well established. The basic unit of time is the second (s),
which in the past was defined in terms of the solar day, the time interval for one complete
revolution of the earth relative to the sun. Since this period varies with the season of the
year, an average value over a 1-year period is called the mean solar day, and the mean solar
second is 1/86 400 of the mean solar day. In 1967, the General Conference of Weights and
Measures (CGPM) adopted a definition of the second as the time required for a beam of
cesium-133 atoms to resonate 9 192 631 770 cycles in a cesium resonator.
For periods of time less than 1 s, the prefixes milli, micro, nano, pico, or femto, as
listed in Table A.0, are commonly used. For longer periods of time, the units minute (min),
hour (h), or day (day) are frequently used. It should be pointed out that the prefixes are used
with many other units as well.
The concept of length is also well established. The basic unit of length is the meter
(m), which used to be marked on a platinum–iridium bar. Currently, the CGPM has adopted
a more precise definition of the meter in terms of the speed of light (which is now a fixed
constant): The meter is the length of the path traveled by light in a vacuum during a time
interval of 1/299 792 458 of a second.
The fundamental unit of mass is the kilogram (kg). As adopted by the first CGPM
in 1889 and restated in 1901, it is the mass of a certain platinum–iridium cylinder main-
tained under prescribed conditions at the International Bureau of Weights and Measures.
A related unit that is used frequently in thermodynamics is the mole (mol), defined as an
amount of substance containing as many elementary entities as there are atoms in 0.012 kg
of carbon-12. These elementary entities must be specified; they may be atoms, molecules,
electrons, ions, or other particles or specific groups. For example, 1 mol of diatomic oxy-
gen, having a molecular mass of 32 (compared to 12 for carbon), has a mass of 0.032 kg.
The mole is often termed a gram mole, since it is an amount of substance in grams numer-
ically equal to the molecular mass. In this book, when using the metric SI system, we will
use the kilomole (kmol), the amount of substance in kilograms numerically equal to the
molecular mass, rather than the mole.
The system of units in use presently throughout most of the world is the metric
International System, commonly referred to as SI units (from Le Système International
d’Unités). In this system, the second, meter, and kilogram are the basic units for time,
length, and mass, respectively, as just defined, and the unit of force is defined directly from
Newton’s second law. The unit conversions are shown in Table A.1 and covers most of the
commonly used ones in SI and English unit systems.
Therefore, a proportionality constant is unnecessary, and we may write that law as an
equality:
F = ma (1.1)
...............................................................................................................................
UNITS FOR .....................................
MASS, LENGTH, TIME, AND FORCE 9 .............

The unit of force is the newton (N), which by definition is the force required to accelerate
a mass of 1 kg at the rate of 1 m/s2 :
1 N = 1 kg m∕s2
It is worth noting that SI units derived from proper nouns use capital letters for symbols;
others use lowercase letters. The liter, with the symbol L, is an exception.
The traditional system of units used in the United States is the English Engineering
System. In this system, the unit of time is the second, which was discussed earlier. The
basic unit of length is the foot (ft), which at present is defined in terms of the meter as
1 ft = 0.3048 m = 12 in.
and therefore also relates to the inch (in.). The unit of mass in this system is the pound mass
(lbm). It was originally defined as the mass of a certain platinum cylinder kept in the Tower
of London, but now it is defined in terms of the kilogram as
1 lbm = 0.453 592 37 kg
A related unit is the pound mole (lb mol), which is an amount of substance in pounds mass
numerically equal to the molecular mass of that substance. It is important to distinguish
between a pound mole and a mole (gram mole).
In the English Engineering System of Units, the unit of force is the pound force (lbf),
defined as the force with which the standard pound mass is attracted to the earth under
conditions of standard acceleration of gravity, which is that at 45∘ latitude and sea level
elevation, 9.806 65 m/s2 or 32.1740 ft/s2 . Thus, it follows from Newton’s second law that
1 lbf = 32.174 lbm ft∕s2
which is a necessary factor for the purpose of units conversion and consistency. Note that
we must be careful to distinguish between an lbm and an lbf, and we do not use the term
pound alone.
The term weight is often used with respect to a body and is sometimes confused with
mass. Weight is really correctly used only as a force. When we say that a body weighs so
much, we mean that this is the force with which it is attracted to the earth (or some other
body), that is, the product of its mass and the local gravitational acceleration. The mass of
a substance remains constant with elevation, but its weight varies with elevation.

Example 1.1
What is the weight of a 1-kg mass at an altitude where the local acceleration of gravity is
9.75 m/s2 ?

Solution
Weight is the force acting on the mass, which from Newton’s second law is
F = mg = 1 kg × 9.75 m∕s2 × [1 N s2 ∕kg m] = 9.75 N
.............. 10 CHAPTER.......................................................
ONE INTRODUCTION AND PRELIMINARIES .........................................................................................................

Example 1.1E
What is the weight of a 1-lbm mass at an altitude where the local acceleration of gravity
is 32.0 ft/s2 ?

Solution
Weight is the force acting on the mass, which from Newton’s second law is
F = mg = 1 lbm × 32.0 ft∕s2 × [lbf s2 ∕32.174 lbm ft] = 0.9946 lbf

In-Text Concept Questions

a. Make a control volume around the turbine in the steam power plant in Fig. 1.2 and
list the flows of mass and energy located there.
b. Take a control volume around your kitchen refrigerator, indicate where the compo-
nents shown in Fig. 1.3 are located, and show all energy transfers.

1.6 SPECIFIC VOLUME AND DENSITY

The specific volume of a substance is defined as the volume per unit mass and is given
the symbol v. The density of a substance is defined as the mass per unit volume, and it
is therefore the reciprocal of the specific volume. Density is designated by the symbol 𝜌.
Specific volume and density are intensive properties.
The specific volume of a system in a gravitational field may vary from point to point.
For example, if the atmosphere is considered a system, the specific volume increases as
the elevation increases. Therefore, the definition of specific volume involves the specific
volume of a substance at a point in a system.
Consider a small volume 𝛿V of a system, and let the mass be designated 𝛿m. The
specific volume is defined by the relation
𝛿V
v ≡ lim (1.2)
𝛿V→𝛿V ′ 𝛿m
where 𝛿V ′ is the smallest volume for which the mass can be considered a continuum. Vol-
umes smaller than this will lead to the recognition that mass is not evenly distributed in
space but is concentrated in particles as molecules, atoms, electrons, and so on. This is
tentatively indicated in Fig. 1.7, where in the limit of a zero volume the specific volume
may be infinite (the volume does not contain any mass) or very small (the volume is part of
a nucleus).
Thus, in a given system, when we speak of the specific volume or density at a point
in the system we recognize that this may vary with elevation. However, most of the systems
that we consider are relatively small, and the change in specific volume with elevation is not
significant. Therefore, we can assign one value of specific volume or density to the entire
system.
 SPECIFIC VOLUME AND DENSITY 11 .............
............................................................................................................................... .....................................

V
m

FIGURE 1.7 The

continuum limit for the
specific volume. V´ V

Gases Solids
Gas in Atm. Fiber Wood Al Lead
vacuum air
Cotton Ice
Wool Rock Ag Au

Liquids

Propane Water Hg

10 –2 10 –1 10 0 10 1 10 2 10 3 10 4
FIGURE 1.8 Density Density [kg/m3]
of common substances.

In this book, the specific volume and density will be given either on a mass or a mole
basis. A bar over the symbol (lowercase) will be used to designate the property on a mole
basis. Thus, v will designate molal specific volume and 𝜌 will designate molal density. In
SI units, those for specific volume are m3 /kg and m3 /mol (or m3 /kmol); for density the
corresponding units are kg/m3 and mol/m3 (or kmol/m3 ). In English units, those for spe-
cific volume are ft3 /lbm and ft3 /lb mol; the corresponding units for density are lbm/ft3 and
lb mol/ft3 .
Although the SI unit for volume is the cubic meter, a commonly used volume unit is
the liter (L), which is a special name given to a volume of 0.001 m3 , that is, 1 L = 10−3 m3 .
The general ranges of density for some common solids, liquids, and gases are shown
in Fig. 1.8. Specific values for various solids, liquids, and gases in SI units are listed in
Tables A.3, A.4, and A.5, respectively and in English units in Tables F.2, F.3, and F.4.

Example 1.2
A 1-m3 container, shown in Fig. 1.9, is filled with 0.12 m3 of granite, 0.15 m3 of sand,
and 0.2 m3 of liquid 25∘ C water; the rest of the volume, 0.53 m3 , is air with a density of
1.15 kg/m3 . Find the overall (average) specific volume and density.
.............. 12 CHAPTER.......................................................
ONE INTRODUCTION AND PRELIMINARIES .........................................................................................................

Air

FIGURE 1.9 Sketch for Example 1.2.

Solution
From the definition of specific volume and density, we have
v = V∕m and 𝜌 = m∕V = 1∕v
We need to find the total mass, taking density from Tables A.3 and A.4:
mgranite = 𝜌Vgranite = 2750 kg∕m3 × 0.12 m3 = 330 kg
msand = 𝜌sand Vsand = 1500 kg∕m3 × 0.15 m3 = 225 kg
mwater = 𝜌water Vwater = 997 kg∕m3 × 0.2 m3 = 199.4 kg
mair = 𝜌air Vair = 1.15 kg∕m3 × 0.53 m3 = 0.61 kg
Now the total mass becomes
mtot = mgranite + msand + mwater + mair = 755 kg
and the specific volume and density can be calculated:
v = Vtot ∕mtot = 1 m3 ∕755 kg = 0.001325 m3 ∕kg
𝜌 = mtot ∕Vtot = 755 kg∕1 m3 = 755 kg∕m3
Remark: It is misleading to include air in the numbers for 𝜌 and V, as the air is separate
from the rest of the mass.

In-Text Concept Questions

c. Why do people float high in the water when swimming in the Dead Sea as compared
with swimming in a freshwater lake?
d. The density liquid water is 𝜌 = 1008 − T/2 (kg/m3 ) with T in ∘ C. If the temperature
increases, what happens to the density and specific volume?
 PRESSURE 13 .............
............................................................................................................................... .....................................

1.7 PRESSURE
When dealing with liquids and gases, we ordinarily speak of pressure; for solids, we speak
of stresses. The pressure in a fluid at rest at a given point is the same in all directions, and
we define pressure as the normal component of force per unit area. More specifically, if 𝛿A
′
is a small area, 𝛿A is the smallest area over which we can consider the fluid a continuum,
and 𝛿Fn is the component of force normal to 𝛿A, we define pressure, P, as
𝛿Fn
P = lim (1.3)
𝛿A→𝛿A′ 𝛿A
where the lower limit corresponds to sizes as mentioned for the specific volume, shown in
Fig. 1.7. The pressure P at a point in a fluid in equilibrium is the same in all directions. In
a viscous fluid in motion, the variation in the state of stress with orientation becomes an
important consideration. These considerations are beyond the scope of this book, and we
will consider pressure only in terms of a fluid in equilibrium.
The unit for pressure in the International System is the force of one newton acting on
a square meter area, which is called the pascal (Pa). That is,
1 Pa = 1 N∕m2
Two other units, not part of the International System, continue to be widely used.
These are the bar, where
1 bar = 105 Pa = 0.1 MPa
and the standard atmosphere, where
1 atm = 101 325 Pa = 14.696 lbf∕in.2
which is slightly larger than the bar. In this book, we will normally use the SI unit, the pascal,
and especially the multiples of kilopascal and megapascal. The bar will be utilized often
in the examples and problems, but the atmosphere will not be used, except in specifying
certain reference points.
Consider a gas contained in a cylinder fitted with a movable piston, as shown in
Fig. 1.10. The pressure exerted by the gas on all of its boundaries is the same, assum-
ing that the gas is in an equilibrium state. This pressure is fixed by the external force acting
on the piston, since there must be a balance of forces for the piston to remain stationary.
Thus, the product of the pressure and the movable piston area must be equal to the external
force. If the external force is now changed in either direction, the gas pressure inside must
accordingly adjust, with appropriate movement of the piston, to establish a force balance
at a new equilibrium state. As another example, if the gas in the cylinder is heated by an
outside body, which tends to increase the gas pressure, the piston will move instead, such
that the pressure remains equal to whatever value is required by the external force.

FIGURE 1.10 The

balance of forces on a Gas
Fext
P
movable boundary
relates to inside gas
pressure.
.............. 14 CHAPTER.......................................................
ONE INTRODUCTION AND PRELIMINARIES .........................................................................................................

Example 1.3
The hydraulic piston/cylinder system shown in Fig. 1.11 has a cylinder diameter of
D = 0.1 m with a piston and rod mass of 25 kg. The rod has a diameter of 0.01 m with an
outside atmospheric pressure of 101 kPa. The inside hydraulic fluid pressure is 250 kPa.
How large a force can the rod push with in the upward direction?

Arod
P0

Pcyl
FIGURE 1.11 Sketch for Example 1.3.

Solution
We will assume a static balance of forces on the piston (positive upward), so
Fnet = ma = 0
= Pcyl Acyl − P0 (Acyl − Arod ) − F − mp g
Solve for F:
F = Pcyl Acyl − P0 (Acyl − Arod ) − mp g
The areas are
𝜋 2 2
Acyl = 𝜋r2 = 𝜋D2 ∕4 =
0.1 m = 0.007 854 m2
4
𝜋
Arod = 𝜋r2 = 𝜋D2 ∕4 = 0.012 m2 = 0.000 078 54 m2
4
The force becomes
F = [250 kPa × 0.007 854 m2 − 101 kPa (0.007 854 − 0.000 078 54) m2 ] 1000 Pa∕kPa
−25 kg × 9.81 m∕s2 = [1963.5 − 785.32 − 245.25] N = 932.9 N
Note that we must convert kPa to Pa to get units of N.

In most thermodynamic investigations, we are concerned with absolute pressure.

Most pressure and vacuum gauges, however, read the difference between the absolute
pressure and the atmospheric pressure existing at the gauge. This is referred to as gauge
pressure.
Pgauge = ΔP = P − Po (1.4)
 PRESSURE 15 .............
............................................................................................................................... .....................................

Pabs,1

Ordinary pressure gauge

P = Pabs,1 – Patm

Patm

Ordinary vacuum gauge

P = Patm – Pabs,2

Pabs,2

Barometer reads
atmospheric pressure
FIGURE 1.12
Illustration of terms used
in pressure
measurement. O

It is shown graphically in Fig. 1.12, and the following examples illustrate the principles.
Pressures below atmospheric and slightly above atmospheric, and pressure differences (for
example, across an orifice in a pipe), are frequently measured with a manometer, which
contains water, mercury, alcohol, oil, or other fluids.
Consider the column of fluid of height H standing above point B in the manometer
shown in Fig. 1.13. The force acting downward at the bottom of the column is
P0 A + mg = P0 A + 𝜌AgH
where m is the mass of the fluid column, A is its cross-sectional area, and 𝜌 is its density.
This force must be balanced by the upward force at the bottom of the column, which is
PB A. Therefore,
PB − P0 = 𝜌gH

Patm = P0

Fluid
P H
g

FIGURE 1.13 A B
Example of pressure
measurement using a
column of fluid.
.............. 16 CHAPTER.......................................................
ONE INTRODUCTION AND PRELIMINARIES .........................................................................................................

Since points A and B are at the same elevation in columns of the same fluid, their pressures
P≈0 must be equal (the fluid being measured in the vessel has a much lower density, such that
its pressure P is equal to PA ). Overall,
ΔP = P − P0 = 𝜌gH (1.5)
H0
For distinguishing between absolute and gauge pressure in this book, the term pascal
Patm g will always refer to absolute pressure. Any gauge pressure will be indicated as such.
Consider the barometer used to measure atmospheric pressure, as shown in Fig. 1.14.
Since there is a near vacuum in the closed tube above the vertical column of fluid, usually
mercury, the height of the fluid column gives the atmospheric pressure directly from Eq. 1.5:
Patm = 𝜌gH0 (1.6)
If the density is variable, we should consider Eq. 1.5 in differential form as
FIGURE 1.14
Barometer. dP = −𝜌g dh
including the sign, so pressure drops with increasing height. Now the finite difference
becomes H
P = P0 − 𝜌g dh (1.7)
∫0
with the pressure P0 at zero height. Consider a volume of liquid at some depth from the
surface. The net force on that volume equals the normal force, F = mg, to have static equi-
librium. That force is the net force up from the pressure distribution around the volume
regardless of its shape which is a buoyancy effect. We normally do not notice this except
when we place an object instead of the liquid volume that has a different mass in that volume
(𝜌object ≠ 𝜌liq ). Now there will be a net force up as
Fnet = Fbuoyancy − mobject g = (𝜌liq − 𝜌object )Vg = (mliq − mobject )g (1.8)
If the object is heavier the force is down and if it is lighter the force is up which is what we
experience when we swim in water or float in a boat.

Example 1.4
A mercury barometer located in a room at 25∘ C has a height of 750 mm. What is the atmo-
spheric pressure in kPa?

Solution
The density of mercury at 25∘ C is found from Table A.4 to be 13 534 kg/m3 . Using Eq. 1.6,
Patm = 𝜌gH0 = 13 534 kg∕m3 × 9.807 m∕s2 × 0.750 m
= 99 540 Pa = 99.54 kPa
 PRESSURE 17 .............
............................................................................................................................... .....................................

Example 1.5
A mercury (Hg) manometer is used to measure the pressure in a vessel as shown in Fig. 1.13.
The mercury has a density of 13 590 kg/m3 , and the height difference between the two
columns is measured to be 24 cm. We want to determine the pressure inside the vessel.

Solution
The manometer measures the gauge pressure as a pressure difference. From Eq. 1.5,
ΔP = Pgauge = 𝜌gH = 13 590 kg∕m3 × 9.807 m∕s2 × 0.24 m
= 31 985 Pa = 31.985 kPa = 0.316 atm
To get the absolute pressure inside the vessel, we have
PA = Pvessel = PB = ΔP + Patm
We need to know the atmospheric pressure measured by a barometer (absolute pressure).
Assume that this pressure is known to be 750 mm Hg. The absolute pressure in the vessel
becomes
Pvessel = ΔP + Patm = 31 985 Pa + 13 590 kg∕m3 × 0.750 m × 9.807 m∕s2
= 31 985 + 99 954 = 131 940 Pa = 1.302 atm

Example 1.5E
A mercury (Hg) manometer is used to measure the pressure in a vessel as shown in
Fig. 1.13. The mercury has a density of 848 lbm/ft3 , and the height difference between
the two columns is measured to be 9.5 in. We want to determine the pressure inside the
vessel.

Solution
The manometer measures the gauge pressure as a pressure difference. From Eq. 1.5,
ΔP = Pgauge = 𝜌gH
[ ]
lbm ft 1 ft3 1 lbf s2
= 848 3 × 32.174 2 × 9.5 in. × × = 4.66 lbf∕in.2
ft s 1728 in.3 32.174 lbm ft
To get the absolute pressure inside the vessel, we have
PA = Pvessel = P0 = ΔP + Patm
.............. 18 CHAPTER.......................................................
ONE INTRODUCTION AND PRELIMINARIES .........................................................................................................

We need to know the atmospheric pressure measured by a barometer (absolute pressure).

Assume that this pressure is known to be 29.5 in. Hg. The absolute pressure in the vessel
becomes
Pvessel = ΔP + Patm
[ ]
1 1
= 848 × 32.174 × 29.5 × × lbf∕in.2 + 4.66 lbf∕in.2 = 19.14 lbf∕in.2
1728 32.174

Example 1.6
A research submarine for ocean exploration has a volume of 22 m3 , a mass of 16 000 kg
plus 2000 kg instrumentation and crew. It has some ballast tanks initially empty. How big a
water volume is displaced when the submarine is floating on the water surface? How much
ocean water (𝜌liq = 1025 kg/m3 ) should be pumped into the ballast tanks for the submarine
to be able to submerge?

FIGURE 1.15 Alvin is a

submersible owned by the
United States Navy and
operated by the Woods
Hole Oceanographic
Institution in Woods Hole,
Massachusetts.

Solution
The submarine will float when the net force is zero, the force up must equal the normal
force, F = N = mg, so it must displace exactly that much mass of water.
/
F = mg = mliq g = 𝜌liq Vliq g ⇒ Vliq = m 𝜌liq ;
/ /
Vliq = (16 000 + 2000) kg (1025 kg m3 ) = 17.56 m3
For the submarine to submerge, it must be neutrally buoyant, that means from Eq. 1.8 that
the mass of the submarine plus ballast must equal the mass of the displaced water.
mliq = 𝜌liq Vsubmarine = msubmarine + mballast ⇒
mballast = 𝜌liq Vsubmarine − msubmarine
/
= 1025 kg m3 × 22 m3 − (16 000 + 2000) kg = 4550 kg
This takes up 4.4 m3 a significant volume compared to total volume.
 PRESSURE 19 .............
............................................................................................................................... .....................................

Example 1.7
A piston/cylinder with a cross-sectional area of 0.01 m2 is connected with a hydraulic line to
another piston/cylinder with a cross-sectional area of 0.05 m2 . Assume that both chambers
and the line are filled with hydraulic fluid of density 900 kg/m3 and the larger second pis-
ton/cylinder is 6 m higher up in elevation. The telescope arm and the buckets have hydraulic
piston/cylinders moving them, as seen in Fig. 1.16. With an outside atmospheric pressure
of 100 kPa and a net force of 25 kN on the smallest piston, what is the balancing force on
the second larger piston?

F2

P2

H
F1
P1

FIGURE 1.16 Sketch for Example 1.7.

Solution
When the fluid is stagnant and at the same elevation, we have the same pressure throughout
the fluid. The force balance on the smaller piston is then related to the pressure (we neglect
the rod area) as
F1 + P0 A1 = P1 A1
from which the fluid pressure is
P1 = P0 + F1 ∕A1 = 100 kPa + 25 kN∕0.01 m2 = 2600 kPa
The pressure at the higher elevation in piston/cylinder 2 is, from Eq. 1.5,
P2 = P1 − 𝜌gH = 2600 kPa − 900 kg∕m3 × 9.81 m∕s2 × 6 m∕(1000 Pa∕kPa) = 2547 kPa
where the second term is divided by 1000 to convert from Pa to kPa. Then the force balance
on the second piston gives
F2 + P0 A2 = P2 A2
F2 = (P2 − P0 )A2 = (2547 − 100) kPa × 0.05 m2 = 122.4 kN
.............. 20 CHAPTER.......................................................
ONE INTRODUCTION AND PRELIMINARIES .........................................................................................................

In-Text Concept Questions

e. A car tire gauge indicates 195 kPa; what is the air pressure inside?
f. Can I always neglect ΔP in the fluid above location A in Fig. 1.13? What circum-
stances does that depend on?
g. A U tube manometer has the left branch connected to a box with a pressure of
110 kPa and the right branch open. Which side has a higher column of fluid?
h. If the right side pipe section in Fig. 1.13 is V shaped like a funnel does that change
the pressure at location B?
i. If the cylinder pressure in Ex. 1.3 does not give Fnet = 0 what happens?

1.8 ENERGY
A macroscopic amount of mass can possess energy in the form of internal energy inherent
in its internal structure, kinetic energy in its motion, and potential energy associated with
external forces acting on the mass. We write the total energy as
E = Internal + Kinetic + Potential = U + KE + PE
and the specific total energy becomes
e = E∕m = u + ke + pe = u + 1∕2V2 + gz (1.9)
where the kinetic energy is taken as the translational energy and the potential energy is
written for the external force, which is the gravitational force assumed constant. If the mass
is rotating, we should add a rotational kinetic energy ( 1∕2I 𝜔2 ) to the translational term.
What is called internal energy on the macroscale has a similar set of energies associated
with the microscale motion of the individual molecules. This enables us to write
u = uext molecule + utranslation + uint molecule (1.10)
as a sum of the potential energy from intermolecular forces between molecules, the
molecule translational kinetic energy, and the energy associated with the molecular
internal and atomic structure.
Without going into detail, we realize that there is a difference between the intermolec-
ular forces. Thus, the first term of the energy for a configuration where the molecules are
close together, as in a solid or liquid (high density), contrasts with the situation for a gas
like air, where the distance between the molecules is large (low density). In the limit of a
very thin gas, the molecules are so far apart that they do not sense each other, unless they
collide and the first term becomes near zero. This is the limit we have when we consider a
substance to be an ideal gas, as will be covered in Chapter 2.
The translational energy depends only on the mass and center of mass velocity of the
molecules, whereas the last energy term depends on the detailed structure. In general, we
can write the energy as
uint molecule = upotential + urotation + uvibration + uatoms (1.11)
To illustrate the potential energy associated with the intermolecular forces, consider an
oxygen molecule of two atoms, as shown in Fig. 1.17. If we want to separate the two atoms,
we pull them apart with a force and thereby we do some work on the system, as explained
 ENERGY 21 .............
............................................................................................................................... .....................................

FIGURE 1.17 The

coordinate system for a
diatomic molecule. x

in Chapter 3. That amount of work equals the binding (potential) energy associated with
the two atoms as they are held together in the oxygen molecule.
Consider a simple monatomic gas such as helium. Each molecule consists of a helium
atom. Such an atom possesses electronic energy as a result of both orbital angular momen-
tum of the electrons about the nucleus and angular momentum of the electrons spinning on
their axes. The electronic energy is commonly very small compared with the translational
energies. (Atoms also possess nuclear energy, which, except in the case of nuclear reactions,
is constant. We are not concerned with nuclear energy at this time.) When we consider more
complex molecules, such as those composed of two or three atoms, additional factors must
be considered. In addition to having electronic energy, a molecule can rotate about its center
of gravity and thus have rotational energy. Furthermore, the atoms may vibrate with respect
to each other and have vibrational energy. In some situations, there may be an interaction
between the rotational and vibrational modes of energy.
In evaluating the energy of a molecule, we often refer to the degree of freedom, f, of
these energy modes. For a monatomic molecule such as helium, f = 3, which represents the
three directions x, y, and z in which the molecule can move. For a diatomic molecule, such
as oxygen, f = 6. Three of these are the translation of the molecule as a whole in the x, y,
and z directions, and two are for rotation. The reason there are only two modes of rotational
energy is evident from Fig. 1.17, where we take the origin of the coordinate system at the
center of gravity of the molecule and the y-axis along the molecule’s internuclear axis. The
molecule will then have an appreciable moment of inertia about the x-axis and the z-axis
but not about the y-axis. The sixth degree of freedom of the molecule is vibration, which
relates to stretching of the bond joining the atoms.
For a more complex molecule such as H2 O, there are additional vibrational degrees
of freedom. Figure 1.18 shows a model of the H2 O molecule. From this diagram, we infer
there are three vibrational degrees of freedom. It is also possible to have rotational energy
about all three axes. Thus, for the H2 O molecule, there are nine degrees of freedom (f = 9):
three translational, three rotational, and three vibrational.

O O O

FIGURE 1.18 The

three principal H H H H H H
vibrational modes for the
H2 O molecule.
.............. 22 CHAPTER.......................................................
ONE INTRODUCTION AND PRELIMINARIES .........................................................................................................

Most complex molecules, such as typical polyatomic molecules, are usually three-
dimensional in structure and have multiple vibrational modes, each of which contributes to
the energy storage of the molecule. The more complicated the molecule is, the larger the
Vapor H 2O number of degrees of freedom that exist for energy storage. The modes of energy storage
(steam)
and their evaluation are discussed in some detail in Appendix C for those interested in
further development of the quantitative effects from a molecular viewpoint.
This general discussion can be summarized by referring to Fig. 1.19. Let heat be
Liquid H2O transferred to H2 O. During this process, the temperature of the liquid and vapor (steam)
will increase, and eventually all the liquid will become vapor. From the macroscopic point
of view, we are concerned only with the energy that is transferred as heat, the change in prop-
Heat erties such as temperature and pressure, and the total amount of energy (relative to some
base) that the H2 O contains at any instant. Thus, questions about how energy is stored in
the H2 O do not concern us. From a microscopic viewpoint, we are concerned about the way
in which energy is stored in the molecules. We might be interested in developing a model
of the molecule so that we can predict the amount of energy required to change the tem-
FIGURE 1.19 Heat perature a given amount. Although the focus in this book is on the macroscopic or classical
transfer to H2 O. viewpoint, it is helpful to keep in mind the microscopic or statistical perspective, as well as
the relationship between the two, which helps us understand basic concepts such as energy.

1.9 EQUALITY OF TEMPERATURE

Although temperature is a familiar property, defining it exactly is difficult. We are aware
of temperature first of all as a sense of hotness or coldness when we touch an object. We
also learn early that when a hot body and a cold body are brought into contact, the hot body
becomes cooler and the cold body becomes warmer. If these bodies remain in contact for
some time, they usually appear to have the same hotness or coldness. However, we also
realize that our sense of hotness or coldness is very unreliable. Sometimes very cold bodies
may seem hot, and bodies of different materials that are at the same temperature appear to
be at different temperatures.
Because of these difficulties in defining temperature, we define equality of tempera-
ture. Consider two blocks of copper, one hot and the other cold, each of which is in contact
with a mercury-in-glass thermometer. If these two blocks of copper are brought into ther-
mal communication, we observe that the electrical resistance of the hot block decreases
with time and that of the cold block increases with time. After a period of time has elapsed,
however, no further changes in resistance are observed. Similarly, when the blocks are first
brought in thermal communication, the length of a side of the hot block decreases with time
but the length of a side of the cold block increases with time. After a period of time, no fur-
ther change in the length of either block is perceived. In addition, the mercury column of
the thermometer in the hot block drops at first and that in the cold block rises, but after a
period of time no further changes in height are observed. We may say, therefore, that two
bodies have equality of temperature if, when they are in thermal communication, no change
in any observable property occurs.

1.10 THE ZEROTH LAW OF THERMODYNAMICS

Now consider the same two blocks of copper and another thermometer. Let one block of
copper be brought into contact with the thermometer until equality of temperature is estab-
lished, and then remove it. Then let the second block of copper be brought into contact with
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profession religieuse de la constance de Dieu dans ses volontés y est
admirable: c'est la même pensée qui me tomba de la main en
écrivant à vingt ans à Byron:

Celui qui peut créer dédaigne de détruire!

Il se livre de nouveau à ses travaux de naturaliste: il parle avec un

grand éloge du talent transcendant de M. Villemain, qui faisait alors
un cours littéraire à la jeunesse française.

«Villemain a aussi comme critique, dit-il, un rang très-élevé. Les

Français ne reverront jamais un talent égal à celui de Voltaire; mais
on peut dire que, le point de vue de Villemain se trouvant plus élevé
que celui de Voltaire, Villemain peut critiquer Voltaire et juger ses
qualités, et ses défauts.»

On aime à voir un grand poëte rendre cette éclatante justice à un

grand critique; cela efface d'avance les puériles négations de notre
temps.

IX
Il parle de Béranger, dont il était précédemment un fanatique et
systématique enthousiaste, chose bien extraordinaire dans l'auteur
de Marguerite:

«Nous parlâmes alors de l'emprisonnement de Béranger. Gœthe

dit:

«Ce qui lui arrive est bien fait. Ses dernières poésies sont sans
frein, sans mesure, et ses attaques contre le roi, contre le
gouvernement, contre l'esprit pacifique des citoyens, le rendent
parfaitement digne de sa peine. Ses premières poésies, au contraire,
étaient gaies, inoffensives et excellentes pour rendre un cercle
d'hommes joyeux et content, ce qui est bien la meilleure chose que
l'on puisse dire de chansons. Je suis sûr que son entourage a exercé
sur lui une mauvaise influence et que, pour plaire à ses amis
révolutionnaires, il a dit bien des choses qu'autrement il n'aurait
jamais dites.»

C'était dur, mais malheureusement fondé. Béranger, que j'ai

beaucoup connu et aimé dans nos derniers jours, était, selon moi,
mille fois supérieur comme homme à ce qu'il était comme poëte. Il
faut aimer le pauvre peuple, mais non flatter ses caprices. Pelletan a
été sévère, mais injuste envers lui sous ce rapport. Il ne l'avait pas
assez connu. On écrit d'après un système, il faut connaître son sujet.
Un Aristophane français délayant la ciguë que la multitude hébétée
fait boire à Socrate, un Camille Desmoulins qui raille jusqu'à la mort
et qui pleure le supplice des Girondins, voilà Béranger poëte; mais
un homme excellent et spirituel contre lui-même, voilà le vrai
Béranger.

X
«Le 20 novembre 1829, dîné avec Gœthe. Nous parlâmes de
Manzoni, et je demandai à Gœthe si à son retour d'Italie le
chancelier n'avait apporté aucune nouvelle de Manzoni.

«Il m'a parlé de lui dans une lettre, dit Gœthe. Il lui a fait visite, il
vit dans une maison de campagne près de Milan, et à mon grand
chagrin il est continuellement souffrant.

«—Il est singulier, dis-je, que les talents distingués, et surtout les
poëtes, aient si souvent une constitution débile.

«—Les œuvres extraordinaires que ces hommes produisent, dit

Gœthe, supposent une organisation très-délicate, car il faut qu'ils
aient une sensibilité exceptionnelle et puissent entendre la voix des
êtres célestes. Or, une pareille organisation, mise en conflit avec le
monde et avec les éléments, est facilement troublée, blessée, et
celui qui ne réunit pas, comme Voltaire, à cette grande sensibilité
une solidité nerveuse extraordinaire, est exposé à un état perpétuel
de malaise. Schiller aussi était constamment malade. Lorsque je fis
sa connaissance, je crus qu'il n'avait pas quatre semaines à vivre.
Mais il y avait en lui assez de force résistante, aussi il a pu se
maintenir un assez grand nombre d'années, et il se serait soutenu
encore longtemps avec une manière de vivre plus saine.»

Et Manzoni vit encore!

XI
Gœthe parle à Eckermann de Lavater, l'auteur pieux de la
Physiognomonie:

«Dimanche, 14 février 1830.

«Gœthe a parlé de Lavater et m'a dit beaucoup de bien de son

caractère; il m'a raconté des traits de leur ancienne intimité; souvent
ils couchèrent fraternellement dans le même lit.

«Il est à regretter, ajouta-t-il, qu'un mauvais mysticisme ait mis

sitôt arrêt à l'essor de son génie.»

Le 10 février 1830 la conversation revint sur Napoléon et sur

Hudson Lowe, que Gœthe justifie par l'embarras de sa situation:

«Gœthe paraissait très-chagrin; il resta assez longtemps

silencieux. Bientôt cependant notre conversation reprit un cours
enjoué, et il me parla d'un livre écrit pour la justification de Hudson
Lowe.

«Ce livre, dit-il, renferme de ces traits on ne peut plus précieux,

que peuvent seuls donner des témoins oculaires. Vous savez que
Napoléon portait habituellement un uniforme vert sombre. À force
d'être porté et d'aller au soleil, cet uniforme s'était entièrement fané,
il fallait le remplacer. Napoléon voulait la même couleur, mais dans
l'île ne se trouvait pas de pièce de ce drap; on trouva bien un drap
vert, mais d'une couleur fausse et tirant sur le jaune. Le maître du
monde ne pouvait obtenir la couleur qu'il désirait; il ne resta qu'un
moyen, ce fut de faire retourner le vieil uniforme et de le porter
ainsi.—Que dites-vous de cela? N'est-ce pas là un vrai trait de
tragédie? N'est-ce pas touchant de voir le maître des rois réduit à
porter un uniforme retourné? Et cependant, quand on pense qu'une
fin pareille a frappé un homme qui avait foulé aux pieds la vie et le
bonheur de millions d'hommes, la destinée, en se redressant contre
lui, paraît encore avoir été très-indulgente; c'est une Némésis qui, en
considérant la grandeur du héros, n'a pas pu s'empêcher d'user
encore d'un peu de galanterie. Napoléon nous donne un exemple
des dangers qu'il y a à s'élever à l'absolu et à tout sacrifier à
l'exécution d'une idée.»

«Après dîner, Gœthe, parlant de la théorie des couleurs, a exprimé

des doutes sur la possibilité de frayer un chemin à sa doctrine si
simple.

«Les erreurs de mes adversaires, a-t-il dit, sont trop généralement

répandues depuis un siècle, pour que je puisse espérer trouver
quelqu'un qui marche avec moi sur ma route solitaire. Je resterai
seul! Il me semble souvent que je suis comme un naufragé qui a
saisi une planche capable de ne porter qu'un homme. Lui seul se
sauve, tous les autres périssent engloutis.»

«Lundi, 18 janvier 1830.

«Ce matin, allant dîner chez Gœthe, j'appris en route que la

grande-duchesse mère venait de mourir. Quel effet cette mort va-t-
elle faire sur Gœthe à un âge si avancé? telle fut ma première
pensée, et ce n'est pas sans un peu d'appréhension que je pénétrai
dans la maison. Les domestiques me dirent que sa belle-fille venait
d'entrer chez lui pour lui annoncer la triste nouvelle. «Voilà plus de
cinquante ans, me disais-je, qu'il est lié avec cette princesse; il
jouissait de toute sa faveur; sa mort va l'affecter profondément.»
C'est avec ces pensées que j'entrai; mais je ne fus pas peu surpris
de le voir assis à table, auprès de son fils et de sa belle-fille,
parfaitement serein, sans abattement, et mangeant sa soupe comme
si rien absolument ne s'était passé. La conversation fut enjouée et
variée; toutes les cloches de la ville cependant commençaient à
retentir; madame de Gœthe me regardait; nous parlions à haute
voix, pour éviter que ces sons de mort ne l'ébranlassent
douloureusement, car nous pensions qu'il partageait nos émotions.
Mais il était au milieu de nous comme un être d'une nature
supérieure, que les souffrances de la terre ne touchent pas. Son
médecin, M. Vogel, entra, s'assit auprès de nous et raconta les
circonstances de la mort de la princesse, que Gœthe écouta sans
sortir de sa tranquillité et de son calme parfaits. Vogel partit, nous
reprîmes le dîner et la conversation. On parla du Chaos[6], et Gœthe
loua comme excellentes les considérations sur le jeu que renferme le
dernier numéro. Après le départ de madame de Gœthe et de ses
enfants, je restai seul avec Gœthe. Il me parla de sa Nuit classique
de Walpurgis, me disant qu'il avançait tous les jours, et que cette
composition étrange réussissait au-delà de son attente. M. Soret
arriva, apportant des compliments de condoléance de la part de la
duchesse régnante.

«Eh bien! lui dit Gœthe lorsqu'il le vit, approchez! asseyez-vous.

Le coup qui nous menaçait depuis longtemps nous a atteints; nous
n'avons plus du moins à lutter contre la cruelle incertitude! Il nous
faut voir maintenant comment nous nous arrangerons de nouveau
avec la vie.

«—Voilà vos consolateurs, dit M. Soret, en lui montrant ses

papiers. Le travail est un excellent moyen de triompher de la
douleur.

«—Aussi longtemps qu'il fera jour, dit Gœthe, nous resterons la

tête levée, et tout ce que nous pourrons faire, nous ne le laisserons
pas faire après nous!»

«Lundi, 15 février 1830.

«Je suis allé ce matin un moment chez Gœthe, pour prendre de

ses nouvelles de la part de madame la grande-duchesse[7]. Je le
trouvai triste, pensif; il n'y avait plus trace de l'excitation un peu
forcée de la veille. Aujourd'hui il paraissait profondément ému du
vide que la mort avait fait en lui, en lui arrachant une amitié de
cinquante ans. Il me dit:

«Je me force au travail; il le faut pour que je conserve le dessus,

et que je supporte cette séparation subite. La mort est quelque
chose de bien étrange! Malgré toute notre expérience, quand il s'agit
d'une personne qui nous est chère, nous croyons la mort toujours
impossible, et nous ne pouvons y croire; elle est toujours inattendue.
C'est pour ainsi dire une impossibilité, qui tout à coup devient une
réalité. Et ce passage d'une existence qui nous est connue dans une
autre dont nous ne savons absolument rien est quelque chose de si
violent, que ceux qui restent ne peuvent s'empêcher de ressentir
malgré eux le plus profond ébranlement.»

XII
Nous approchions de la révolution de 1830; les amis français de
Gœthe, les écrivains du Globe, allaient triompher. Un pressentiment
terrible agitait Gœthe à son insu. Il sentait que la colonne
fondamentale du monde conservateur auquel il tenait allait
s'écrouler.

«Dimanche, 7 mars 1830.

«À midi, chez Gœthe. Il était aujourd'hui très-vif et très-bien

portant. Il me dit qu'il avait été obligé de quitter un peu sa Nuit de
Walpurgis, pour finir sa dernière livraison d'Art et Antiquité.
 «Mais, dit-il, j'ai eu la précaution de m'arrêter lorsque j'étais
encore bien en train, et à un passage pour lequel j'ai encore bien
des matériaux tout prêts. De cette façon, je me remettrai à l'œuvre
bien plus aisément que si je ne m'étais arrêté qu'au bout d'un
développement épuisé.»

«Nous avions le projet de faire une promenade avant dîner, mais

nous nous trouvions si bien tous deux à la maison, que Gœthe fit
dételer. Frédéric venait d'ouvrir une grande caisse qui arrivait de
Paris. C'était un envoi du sculpteur David (d'Angers): des portraits en
bas-relief, moulés en plâtre, de cinquante-sept personnages
célèbres. Frédéric mit ces médaillons dans plusieurs tiroirs, et ce fut
pour nous un grand plaisir de contempler tous ces personnages
intéressants. Je désirais surtout voir Mérimée; la tête nous parut
aussi énergique et aussi hardie que son talent, et Gœthe y trouva
quelque chose d'humoristique. Dans Victor Hugo, Alfred de Vigny,
Émile Deschamps, nous vîmes des physionomies nettes, aisées,
sereines.—Mademoiselle Gay, madame Tastu et d'autres jeunes
femmes auteurs nous firent également grand plaisir. La tête
énergique de Fabvier rappelait les hommes des siècles passés, et
nous revînmes à lui plusieurs fois. Nous allions d'un personnage à
l'autre, et Gœthe ne put s'empêcher de répéter à plusieurs reprises
qu'il devait à David un trésor dont il ne pouvait assez le remercier. Il
montrera cette collection aux voyageurs qui passent par Weimar, et
se fera renseigner par eux sur les personnes dont il a le portrait et
qui lui sont encore inconnues.

«La caisse contenait aussi un ballot de livres; nous le fîmes porter

dans la chambre voisine, où nous nous mîmes à table. Nous étions
contents, et nous parlâmes de divers travaux et projets.

«Il n'est pas bon que l'homme soit seul, dit Gœthe, et surtout il
n'est pas bon qu'il travaille seul; il a besoin, pour réussir, qu'on
prenne intérêt à ce qu'il fait, qu'on l'excite. Je dois à Schiller mon
Achilléide, beaucoup de mes Ballades, car c'est lui qui me les a fait
écrire, et si je finis la seconde partie de Faust, vous pouvez vous
l'attribuer. Je vous l'ai dit déjà souvent, mais je veux que vous le
sachiez bien et je vous le répète.»

«Ces paroles me rendirent heureux, car je sentais qu'elles

renfermaient beaucoup de vérité.

«Au dessert, Gœthe ouvrit un des paquets. Il contenait les poésies

d'Émile Deschamps, accompagnées d'une lettre que Gœthe me
donna à lire. Je vis alors avec joie quelle influence on reconnaissait à
Gœthe sur la nouvelle vie de la littérature française; les jeunes
poëtes le vénèrent et l'aiment comme leur chef spirituel. Telle avait
été l'influence de Shakspeare pendant la jeunesse de Gœthe. On ne
peut pas dire de Voltaire qu'il ait eu de l'influence sur les poëtes
étrangers, qu'il leur ait servi de centre de réunion, et qu'ils aient
reconnu en lui un maître et un souverain.—La lettre d'Émile
Deschamps était écrite avec une très-aimable et très-cordiale
aisance.

«Elle laisse jeter un coup d'œil sur le printemps d'une belle âme,»
dit Gœthe.

«Parmi les envois de David se trouvait un dessin représentant le

chapeau de Napoléon, vu dans diverses positions.

«Voilà quelque chose pour mon fils,» dit Gœthe.

«Et il lui envoya le dessin. Il ne manqua pas son effet: le jeune

Gœthe arriva bientôt, plein de joie, disant que ces chapeaux de son
héros étaient le nec plus ultra de sa collection. Cinq minutes ne
s'étaient pas écoulées que le dessin était encadré, mis sous verre, et
placé parmi les autres attributs et monuments du héros.»

«Dimanche, 14 mars 1830.

«Passé la soirée chez Gœthe. Il m'a montré tous les trésors de la

caisse de David, maintenant mis en ordre. Il avait soigneusement
rangé sur une table, les uns près des autres, tous les médaillons des
jeunes poëtes de la France. Il parla encore du talent extraordinaire
de David, aussi grand par ses conceptions que par son exécution. Il
m'a montré une quantité d'ouvrages contemporains que, par
l'entremise de David, les talents les plus distingués de l'école
romantique lui ont envoyés en présent. Je vis des ouvrages de
Sainte-Beuve, Ballanche, Victor Hugo, Balzac, Alfred de Vigny, Jules
Janin et autres.

«David, dit-il, m'a par cet envoi préparé de belles journées. Les
jeunes poëtes m'ont occupé déjà toute cette semaine, et les fraîches
impressions que je reçois de leurs œuvres me donnent comme une
nouvelle vie. Je ferai un catalogue spécial pour ces chers portraits et
pour ces chers livres, et je leur donnerai une place spéciale dans ma
collection artistique et dans ma bibliothèque.»

«On voyait que cet hommage des jeunes poëtes de France

remplissait Gœthe de la joie la plus profonde.»

Il lut un peu dans les Études d'Émile Deschamps. Il loua la

traduction de la Fiancée de Corinthe; il rendit hommage à cette
douce et candide nature d'Émile Deschamps, en homme qui n'a
jamais connu l'envie.

Deschamps est la vierge immaculée du talent.

Mérimée, disait Gœthe, est un rude gaillard!

Il est curieux, après tant d'années, de voir l'impression de tel ou

tel homme sur un génie étranger.

XIII
Mais, s'apercevant de l'impression pénible que ses craintes sur les
suites de la révolution de 1830 imprimaient à ses auditeurs, son fils,
sa belle-fille, Mlle Ulrique et Eckermann:
 «Croyez-vous, dit-il après un long silence, que je sois indifférent
aux grandes idées que réveillent en moi les mots de Liberté, de
Peuple, de Patrie? Non: ces idées sont en nous; elles sont une partie
de notre être, et personne ne peut les écarter de soi. L'Allemagne
aussi me tient fortement au cœur. J'ai souvent ressenti une douleur
profonde en pensant à cette nation allemande, qui est si estimable
dans chaque individu et si misérable dans son ensemble. La
comparaison du peuple allemand avec les autres peuples éveille des
sentiments douloureux auxquels j'ai cherché à échapper par tous les
moyens possibles; j'ai trouvé dans la science et dans l'art les ailes
qui peuvent nous emporter loin de ces misères, car la science et l'art
appartiennent au monde tout entier, et devant eux tombent les
frontières des nationalités; mais la consolation qu'ils donnent est
cependant une triste consolation et ne remplace pas les sentiments
de fierté que l'on éprouve quand on sait que l'on appartient à un
peuple grand, fort, estimé et redouté. Aussi c'est la foi à l'avenir de
l'Allemagne qui me console vraiment. Cette foi, je l'ai aussi
énergique que vous. Oui, le peuple allemand promet un avenir, et a
un avenir. Pour parler comme Napoléon: les destinées de l'Allemagne
ne sont pas encore accomplies. Si elle n'avait pas eu d'autre mission
que de renverser l'empire romain et de créer, d'organiser un monde
nouveau, elle serait tombée depuis longtemps. Mais comme elle est
restée debout, forte et solide, j'ai la conviction qu'elle a encore une
autre mission, et cette mission sera plus grande que celle qu'elle a
accomplie lorsqu'elle a détruit l'empire romain et donné sa forme au
moyen-âge, plus grande en proportion même de la supériorité de sa
civilisation actuelle sur la civilisation du passé. Quand viendront le
temps et l'occasion pour agir? Aucun œil humain ne peut le voir
d'avance; aucune force humaine ne pourrait rapprocher ce temps et
faire naître cette occasion. Que nous reste-t-il donc à faire, à nous,
simples individus? Nous devons, suivant nos talents, nos penchants,
notre situation, développer chez nous, fortifier, rendre plus générale
la civilisation, former les esprits, et surtout dans les classes élevées,
pour que notre nation, bien loin de rester en arrière, précède tous
les autres peuples, pour que son âme ne languisse pas, mais reste
toujours vive et active, pour que notre race ne tombe pas dans
l'abattement et dans le découragement, et soit capable de toutes les
grandes actions quand brillera le jour de la gloire.—Mais, pour le
moment, il ne s'agit ni de l'avenir, ni de nos vœux, ni de nos
espérances, ni de notre foi, ni des destinées réservées à notre
patrie; nous parlons du présent, et des circonstances au milieu
desquelles paraît votre journal. Vous dites, il est vrai: Des
événements décisifs sont venus nous donner le signal. Bien. Ces
événements ne sont jamais, à tout supposer pour le mieux, que le
commencement de la fin. Deux cas sont possibles: ou le puissant
dominateur abat encore une fois tous ses ennemis, ou il est abattu
par eux. (Je tiens pour à peu près impossible un accommodement;
et s'il se faisait, il serait inutile; nous serions de nouveau comme
autrefois.) Supposons donc que Napoléon abatte ses ennemis. C'est
impossible, dites-vous? Tant de certitude ne nous est pas permise.
Cependant je crois moi-même sa victoire peu vraisemblable; laissons
donc cette supposition de côté et déclarons cet événement
impossible. Il reste à examiner le cas où Napoléon est vaincu,
complétement vaincu. Eh bien! qu'arrivera-t-il? Vous parlez du réveil
du peuple allemand et vous croyez que ce peuple ne se laissera plus
arracher ce qu'il a conquis et ce qu'il a payé de son sang: la liberté.
Le peuple est-il réellement réveillé? sait-il ce qu'il veut et ce qu'il
peut? Avez-vous oublié le mot magnifique que votre Philistin d'Iéna
criait à son voisin, déclarant qu'il pouvait maintenant recevoir bien
commodément les Russes, puisque sa maison était nettoyée et que
les Français l'avaient quittée? Le sommeil du peuple était trop
profond pour que les secousses même les plus fortes puissent
aujourd'hui le réveiller si promptement. Et de plus, est-ce que tout
mouvement nous met debout? Se redresse-t-il, celui qui ne sort de
son repos que parce qu'on l'y force avec violence? Je ne parle pas
des quelques milliers d'hommes et de jeunes gens instruits; je parle
de la masse, des millions. Qu'a-t-on obtenu? qu'a-t-on gagné? Vous
dites: la liberté; il serait plus juste peut-être de dire: la délivrance, et
non la délivrance des étrangers, mais d'un étranger. C'est vrai: je ne
vois plus chez nous ni Français, ni Italiens, mais, à leur place, je vois
des Cosaques, des Baschkirs, des Croates, des Magyares, des
Tartares et des Samoyèdes; des hussards de toutes les couleurs.
Depuis longtemps nous sommes habitués à ne regarder que vers
l'ouest; c'est de là que nous attendons tous les dangers. Mais la
terre s'étend aussi de l'autre côté vers l'orient. Même quand arrivent
chez nous ces peuples tout entiers, nous ne ressentons aucune
crainte, et on a vu de belles femmes embrasser les hommes et les
chevaux. Ah! ne m'en laissez pas dire davantage!... Elles invoquent,
il est vrai, les éloquents appels des souverains de ce pays et de
l'étranger; oui, oui, je sais: «un cheval, un cheval, un royaume pour
un cheval!...»

«Une réponse de moi suscita une réplique de Gœthe, et sa parole

devint de plus en plus précise et incisive, plus individuelle pour ainsi
dire. Je n'ose écrire ce qui fut dit; d'ailleurs, je n'en vois pas l'utilité.
Je veux seulement faire observer que, pendant cette heure de
conversation, j'acquis la plus profonde conviction que c'est une
erreur radicale de croire que Gœthe n'a pas aimé sa patrie, n'a pas
eu le cœur allemand, n'a pas eu foi en notre peuple, n'a pas ressenti
l'honneur et la honte, le bonheur et l'infortune de l'Allemagne. Son
silence, au milieu des grands événements et des complications de ce
temps, n'était qu'une résignation douloureuse, à laquelle
l'obligeaient de se résoudre sa position et aussi sa connaissance
exacte des hommes et des choses. Quand je me retirai enfin, mes
yeux étaient remplis de larmes. Je saisis les mains de Gœthe; mais
je ne sais ni ce que je lui dis ni ce qu'il me répondit. Je sais
seulement qu'il était très-cordial. J'étais déjà sorti; je lui dis:

«En entrant, j'avais l'intention de faire une prière à Votre

Excellence; je voulais lui demander de vouloir bien honorer mon
journal au moins d'un article.

«—Je vous remercie de ne pas m'avoir fait cette demande, dit-il;

j'aurais eu du regret à vous refuser, mais j'aurais refusé; vous savez
maintenant pourquoi.»

«Plus tard, je me suis rappelé bien souvent cette conversation

avec Gœthe, et jamais elle ne m'est revenue dans l'esprit sans que
Ô
je ne m'écriasse: «Ô Solon, Solon!»

XIV
1830 le plongea dans une terreur philosophique; peu de temps
après, son fils mourut en voyageant en Italie: il fut sensible, mais
resta inébranlable à ce coup. Il se remit à composer la suite de
Faust, œuvre de cinquante ans et qui en durera plus de mille.

«Le 14 février 1831.

Le caractère, dit-il, c'est tout; et cependant, de notre temps, il y a

eu parmi les critiques de petits personnages qui n'étaient pas de cet
avis et qui voulaient que dans une œuvre de poésie et d'art un
grand caractère ne fût qu'une espèce de faible accessoire. Mais à la
vérité, pour reconnaître et honorer un grand caractère, il faut en être
un soi-même. Tous ceux qui ont refusé à Euripide l'élévation étaient
de pauvres hères incapables de s'élever avec lui, ou bien c'étaient
d'impudents charlatans, qui voulaient se faire valoir, et qui, en effet,
se grandissaient aux yeux d'un monde sans énergie.»

«Lundi, 14 février 1831.

«Dîné avec Gœthe. Il avait lu les Mémoires du général Rapp, ce

qui amena la conversation sur Napoléon et sur les sentiments que
Mme Lætitia a dû éprouver en se voyant la mère de tant de héros et
d'une si puissante famille. Quand elle devint mère de Napoléon, son
second fils, elle avait dix-huit ans, son mari vingt-trois, et
l'organisation physique de Napoléon se ressentit heureusement de la
jeune et fraîche énergie de ses parents. Après lui, elle fut encore
mère de trois autres fils, tous richement doués, tous ayant joué avec
vigueur leur rôle dans le monde, et tous doués d'un certain talent
poétique. Après ces fils vinrent trois filles, et enfin Jérôme, qui paraît
avoir été le moins bien doué de tous. Le talent, s'il n'est pas dû aux
parents seuls, demande cependant une bonne organisation
physique; il n'est donc nullement indifférent d'être né le premier ou
le dernier, d'avoir pour père et mère des êtres jeunes et vigoureux,
ou bien vieux et débiles.»

«Je m'informai des progrès de Faust.

«Il ne me quitte plus, dit-il; tous les jours j'y pense, et trouve
quelque chose; j'avance. Aujourd'hui j'ai fait coudre tout le
manuscrit de la seconde partie, pour que mes yeux puissent la bien
voir.—J'ai rempli de papier blanc la place du quatrième acte qui
manque, et il est très-probable que la partie terminée m'excitera et
m'encouragera à finir ce qui reste à faire. Ces moyens extérieurs font
plus qu'on ne croit, et l'on doit venir au secours de l'esprit de toutes
les manières.»

«Gœthe fit apporter ce manuscrit nouvellement broché, et je fus

surpris de sa grosseur; il formait un bon volume in-folio.»

«Voilà, dis-je, ce que vous avez écrit depuis six ans que je suis ici,
et cependant toutes vos autres occupations ne vous ont permis d'y
donner que très-peu de temps. On voit comme une œuvre grossit,
même quand on se borne à n'y ajouter qu'un peu de temps en
temps.

«—On peut s'en convaincre surtout en vieillissant, dit-il, car la

jeunesse croit que tout doit se faire en un jour. Si le sort m'est
favorable, et si je continue à bien me porter, j'espère être arrivé loin
dans le quatrième acte aux premiers mois du printemps. Je l'avais
dans la tête depuis longtemps, comme vous savez, mais, pendant
l'exécution, il s'est énormément augmenté, et je ne peux plus me
servir que de ce qu'il y avait de plus général dans mon ancien plan.
Il faut d'ailleurs, maintenant, que cet acte d'intermède soit aussi
long que les autres actes.

«—Dans cette seconde partie, dis-je, on voit apparaître un monde

bien plus riche que dans la première.»
 XV
Ici plusieurs pages sont consacrées à un magnifique éloge de
Walter Scott; digne sujet, digne juge. Seulement il oublie le vice
mortel de ces chefs-d'œuvre, c'est le mensonge du roman
historique. C'est superbe, mais cela ne vit plus. Le mensonge a tué
le divin menteur.

Il revient à Schiller.

«Jeudi, 31 mars 1831.

«Dîné chez le prince avec Soret et Meyer. Nous causons de

littérature, et Meyer nous raconte sa première entrevue avec Schiller.

«J'allais, dit-il, me promener avec Gœthe dans le jardin d'Iéna,

que l'on appelle le Paradis. Schiller nous rencontra. Je lui parlai alors
pour la première fois. Il n'avait pas encore terminé son Don Carlos et
venait d'arriver de Souabe; il paraissait être très-malade et beaucoup
souffrir des nerfs. Son visage rappelait celui du Crucifié. Gœthe
croyait qu'il ne vivrait pas quinze jours; mais, comme il jouit alors de
plus de bien-être, il se rétablit et écrivit toutes ses plus belles
œuvres.»

«La pensée de sa fin prochaine l'occupait; il s'y préparait comme à

un voyage. On ne sait où l'on abordera, mais on est sûr d'aborder.

«Dîné seul avec Gœthe dans son cabinet de travail. Il m'a dit en
me tendant un papier:

«Quand on a dépassé quatre-vingts ans, on a à peine le droit de

vivre; il faut être prêt chaque jour à être rappelé, et penser à ranger
sa maison. Comme je vous l'ai dit récemment, je vous ai nommé
dans mon testament éditeur de mes œuvres posthumes et j'ai rédigé
ce matin une espèce de petit acte que vous signerez avec moi.»
 «Mercredi, 25 mai 1831.

«Nous avons causé du Camp de Wallenstein. J'avais souvent

entendu dire que Gœthe avait travaillé à cette pièce, et que le
sermon du capucin surtout était de lui. Je lui demandai à dîner s'il en
était ainsi, et il me répondit:

«Au fond, tout est de Schiller; cependant, comme nous vivions

dans de telles relations que Schiller non-seulement causait avec moi
de son plan, mais me communiquait les scènes à mesure qu'elles
avançaient, écoutait mes remarques et en profitait, il peut se faire
que j'aie quelque part à cette pièce. Pour le sermon du capucin, je
lui ai envoyé les Discours d'Abraham de Santa-Clara, et il en a extrait
son sermon avec beaucoup d'adresse. Je ne sais plus quels sont les
passages de moi, sauf les deux vers:

«Un capitaine, tué par un de ses collègues,

«Me légua deux dés heureux.

«Je voulais expliquer comment le paysan était arrivé en

possession de ces dés pipés, et j'écrivis de ma main ces deux vers
sur le manuscrit. Schiller n'avait pas eu cette idée; il donnait tout
simplement les dés au paysan, sans se demander comment il les
possédait. Je vous l'ai déjà dit, tout expliquer avec soin n'était pas
son affaire, et voilà peut-être pourquoi ses pièces produisent tant
d'effet sur le théâtre.»

«Dimanche, 29 mai 1831.

«Ces jours-ci, on m'a apporté un nid de petites fauvettes, avec

leur mère que l'on avait prise au gluau. Elle a continué dans la
chambre à nourrir sa famille, et, rendue à la liberté, elle est revenue
d'elle-même avec ses petits. J'étais très-touché de cet amour
maternel qui brave le danger et la prison, et j'exprimai mon
étonnement à Gœthe:
 «Homme de peu de raison! me répondit-il avec un sourire
significatif, si vous croyiez à Dieu, vous ne seriez pas étonné. C'est
lui qui donne au monde son mouvement intime; la nature est en lui,
et il est dans la nature; et jamais ce qui vit, ce qui se meut, ce qui
est en lui, n'est privé de sa force et de son esprit. Si Dieu ne donnait
pas à l'oiseau cet instinct pour ses petits, si un instinct pareil n'était
pas répandu dans toute la nature vivante, le monde ne se
soutiendrait pas; mais partout est répandue la force divine, partout
agit l'amour éternel!»

«Il y a quelque temps, Gœthe a exprimé une idée du même

genre; un jeune sculpteur lui avait envoyé le modèle de la Vache de
Myron, avec un veau qui la tette.

«Voilà, dit-il, un sujet de la plus grande élévation; nous avons là,

devant les yeux, sous une belle image, le principe vivifiant répandu
dans la nature entière, et qui soutient le monde; cette œuvre et
celles du même genre sont pour moi les vrais symboles de
l'omniprésence de Dieu.»

«Lundi, 6 juin 1831.

«Gœthe m'a montré aujourd'hui le commencement du cinquième

acte de Faust. J'ai lu jusqu'au passage où la hutte de Philémon et de
Baucis est brûlée, et où Faust, debout, la nuit, sur le balcon de son
palais, sent la fumée qu'un vent léger lui apporte.

«Les noms de Philémon et de Baucis, lui dis-je, me transportent

sur la côte phrygienne, et je pense à ce couple célèbre de l'antiquité;
cependant la scène se passe dans l'ère chrétienne, et le paysage est
moderne.

«—Mon Philémon et ma Baucis, dit Gœthe, n'ont aucun rapport

avec ce célèbre couple et avec la tradition qu'il rappelle. J'ai donné
ces noms à mes deux époux uniquement pour relever leur caractère.
Comme ce sont des personnages et des situations semblables, la
ressemblance des noms a un effet heureux.»
 «Nous parlons ensuite de Faust, que le péché originel de son
caractère, le mécontentement, n'a pas abandonné dans sa vieillesse,
et qui, avec tous les trésors du monde, dans un nouvel empire qu'il a
créé lui-même, est gêné par quelques tilleuls, une chaumière et une
clochette, parce qu'ils ne sont pas à lui. Il rappelle le roi Achab, qui
croyait ne rien posséder, s'il ne possédait pas la vigne de Naboth.

«Faust, dans ce cinquième acte, dit Gœthe, doit selon mes idées
avoir juste cent ans, et je ne sais pas s'il ne serait pas bon de le dire
quelque part expressément:

«Nous parlâmes de la conclusion, et Gœthe attira mon attention

sur ce passage:

«Il est sauvé, le noble membre

«Du monde des méchants esprits;
«Celui qui a toujours lutté et travaillé,
«Celui-là, nous pouvons le sauver;
«L'amour suprême, du haut du ciel,
«A pensé à lui;
«Le chœur bienheureux va à sa rencontre
«Et lui fait un cordial accueil.

«Ces vers contiennent la clef du salut de Faust: dans Faust a vécu

jusqu'à la fin une activité toujours plus haute, plus pure, et l'amour
éternel est venu à son aide. Cette conception est en harmonie
parfaite avec nos idées religieuses, d'après lesquelles nous sommes
sauvés non-seulement par notre propre force, mais aussi par le
secours de la grâce divine. Vous devez avouer que cette conclusion,
où l'âme sauvée s'élance au ciel, était très-difficile à composer; et au
milieu de ces tableaux supra-sensibles, dont on a à peine un
pressentiment, j'aurais pu très-facilement me perdre dans le vague,
si, en me servant des personnages et des images de l'Église
chrétienne, qui sont nettement dessinés, je n'avais pas donné à mes
idées poétiques de la précision et de la fermeté.»
 XVI
À la fin du mois, il parle mal de Victor Hugo, auquel il a rendu
avant une enthousiaste justice.

«C'est un beau talent, dit-il, mais il est tout à fait engagé dans la
malheureuse direction romantique de son temps, ce qui le conduit à
mettre à côté de beaux tableaux les plus intolérables et les plus
laids. Ces jours-ci j'ai lu Notre-Dame de Paris, et il ne m'a pas fallu
peu de patience pour supporter les tortures que m'a données cette
lecture. C'est le livre le plus affreux qui ait jamais été écrit! Et après
les supplices que l'on endure, on n'est pas dédommagé par le plaisir
que l'on éprouverait à voir la nature humaine et les caractères
humains représentés avec exactitude; il n'y a dans son livre ni
nature ni vérité; ses personnages principaux ne sont pas des êtres
de chair et de sang, ce sont de misérables marionnettes, qu'il manie
à son caprice, et auxquelles il fait faire toutes les contorsions et
toutes les grimaces qui sont nécessaires aux effets qu'il veut
produire. Quel temps que celui qui loue un pareil livre!»

Quant à moi, qui n'aime ni le faux, ni l'excès, ni certains drames

de Victor Hugo, j'avoue que j'ai lu avec attendrissement et intérêt le
roman bizarre, mais neuf, de Notre-Dame de Paris. L'architecture
n'était pas encore entrée dans le drame humain: il y a du véritable
génie à créer un monument pour ces âmes, et ces âmes pour cette
architecture. Le Phidias du gothique, c'est Hugo. Gœthe n'avait pas
compris cette œuvre.

XVII
«Mardi, 20 juillet 1831.

«Après dîner, une demi-heure avec Gœthe, que j'ai trouvé dans
une disposition pleine de sérénité et de douceur. Après avoir causé
de divers sujets, nous avons parlé de Carlsbad, et Gœthe a plaisanté
sur les diverses amourettes qu'il y a eues.

«—Une petite amourette, a-t-il dit, voilà la seule chose qui puisse
rendre supportable un séjour aux eaux, autrement on mourrait
d'ennui. Presque toujours j'ai été assez heureux pour trouver une
petite affinité qui, pendant ces quelques semaines, me donnait assez
de distraction. Je me rappelle surtout une d'elles qui même encore
maintenant me fait plaisir. Un jour je faisais visite à madame de
Reck. Après une conversation qui n'avait rien de remarquable, en me
retirant, je rencontre une dame avec deux jeunes filles fort jolies.

«—Quel est le monsieur qui vient de sortir? demanda cette dame.

«—C'est Gœthe, répond madame de Reck.

«—Oh! combien je suis fâchée qu'il ne soit pas resté, et que je

n'aie pas eu le bonheur de faire sa connaissance!

«—Chère amie, vous n'avez rien perdu, répliqua madame de Reck;

il est très-ennuyeux avec les dames, à moins qu'elles ne soient assez
jolies pour l'intéresser un peu. Les femmes de notre âge ne peuvent
pas croire qu'elles le rendront éloquent et aimable.»

«Quand les deux jeunes filles furent rentrées chez elles, elles
pensèrent aux paroles de madame de Reck.

«Nous sommes jeunes, nous sommes jolies, se dirent-elles;

voyons donc si nous ne réussirons pas à captiver, à apprivoiser ce
célèbre sauvage.

«Le matin suivant, à la promenade du Sprudel, en passant à côté

de moi, elles me firent le salut le plus gracieux, le plus aimable, et je
ne pus me dispenser, quand l'occasion se présenta, de m'approcher
d'elles et de leur adresser la parole. Elles étaient charmantes! Je leur
parlai et leur reparlai encore, elles me conduisirent à leur mère;
j'étais pris. Dès lors nous nous vîmes tous les jours. Nous passions
des jours entiers ensemble. Pour rendre nos relations plus intimes, le
fiancé de l'une d'elles arriva, et je me trouvai lié plus exclusivement
avec l'autre. Comme on peut le penser, j'étais aussi très-aimable
avec la mère. En un mot, nous étions tous très-contents les uns des
autres, et je passai avec cette famille de si heureux jours, que leur
souvenir est toujours resté pour moi extrêmement agréable. Les
deux jeunes filles me racontèrent bien vite la conversation de leur
mère avec madame de Reck, et la conjuration, suivie de succès,
qu'elles avaient faite pour ma conquête.»

«Gœthe m'a raconté déjà une autre anecdote du même genre, qui
trouvera bien sa place ici.

«Un soir, me dit-il, je me promenais avec un de mes amis dans le

jardin d'un château. À l'extrémité d'une allée nous voyons deux
personnes de nos connaissances qui marchaient paisiblement l'une à
côté de l'autre en causant. Elles semblaient ne penser à rien; tout à
coup elles se penchent l'une vers l'autre, et se donnent un baiser
très-affectueux; puis elles reprennent très-sérieusement leur
promenade et continuent à causer, comme si rien ne s'était passé.

«—Avez-vous vu? puis-je en croire mes yeux? s'écriait mon ami

stupéfait.

«—J'ai vu, répondis-je tranquillement, mais je n'y crois pas!»

«Lundi, 2 août 1831.

«Nous avons causé de la théorie de Candolle sur la symétrie.

Gœthe la considère comme une pure illusion.

«La nature, a-t-il dit, ne se donne pas à tout le monde. Elle agit
avec beaucoup de savants comme une malicieuse jeune fille, qui
nous attire par mille charmes, et qui, au moment où nous croyons la
saisir et la posséder, s'échappe de nos bras[8].»
 XVIII
La religion chrétienne l'occupait de plus en plus, et il l'admirait
d'une affection éclectique. En voici la preuve:

«La lumière sans obscurité de la révélation divine est beaucoup

trop pure et trop éclatante pour qu'elle convienne aux pauvres et
faibles hommes, et, pour qu'ils puissent la supporter, l'Église vient
comme médiatrice bienfaisante; elle éteint, elle adoucit cette lumière
pour qu'elle puisse aider et protéger beaucoup d'hommes. L'Église
chrétienne croit que, comme héritière du Christ, elle peut remettre
aux hommes leurs péchés; c'est là pour elle une puissance énorme;
maintenir cette puissance et cette croyance, et affermir ainsi l'édifice
ecclésiastique, voilà la principale préoccupation du clergé chrétien.
En conséquence, il ne se demande pas si tel livre de la Bible peut
jeter de la lumière dans l'esprit, s'il renferme de hautes leçons de
moralité, s'il offre des exemples d'une noble existence: l'important
pour lui, c'est dans les livres de Moïse l'histoire de la chute, qui rend
nécessaire le Sauveur; dans les prophètes, les allusions qui sont
faites au Désiré; dans les évangiles, le récit de son apparition sur
cette terre, et de sa mort sur la croix, qui expie nos péchés. Vous
voyez que, à ce point de vue et avec ces idées, on ne peut attacher
d'importance ni au noble Tobie, ni à la Sagesse de Salomon, ni aux
Proverbes de Sirach.

«Ces questions d'authenticité et de fausseté des livres bibliques

sont d'ailleurs bien étranges. Qu'est-ce qui est authentique, sinon ce
qui est tout à fait excellent, ce qui est en harmonie avec ce qu'il y a
de plus pur dans la nature et dans la raison, ce qui sert encore
aujourd'hui à notre développement le plus élevé? Et qu'est-ce qui est
faux, sinon l'absurde, le creux, le niais, ce qui ne donne aucun fruit,
du moins aucun bon fruit? Si on devait décider l'authenticité d'un
écrit biblique par la question: Ce qui nous est transmis, est-il
absolument la vérité? alors on devrait sur certains points mettre en
doute l'authenticité des évangiles, car Marc et Luc n'ont pas écrit ce
qu'ils ont vu par eux-mêmes, ils ont recueilli longtemps après les
faits une tradition orale, et Jean n'a écrit son évangile que dans un
âge avancé. Cependant je tiens les quatre évangiles pour
parfaitement authentiques, car il y a là le reflet de l'élévation qui
brillait dans la personne du Christ, élévation d'une nature aussi
divine que tout ce qui a jamais paru de divin sur la terre.»

. . . . . . . . . . . . . . . . . . .
. . . . .

«Dieu ne s'est pas du tout consacré au repos; il agit toujours, et

maintenant comme au premier jour. Cela aurait été une pauvre
distraction pour lui de combiner quelques éléments pour fabriquer
notre monde informe, et de le faire rouler tous les ans sous les
rayons du soleil, s'il n'avait pas eu le plan de faire de cet amas de
matière la pépinière d'un monde d'esprits. Il vit toujours et sans
cesse dans les grandes natures pour élever vers lui les natures
inférieures.»

. . . . . . . . . . . . . . . . . . .
. . . . .

«Je ne suis pas plus amateur de la philosophie populaire. Il y a un

mystère dans la philosophie aussi bien que dans la religion. On doit
en épargner la connaissance au peuple, et surtout on ne doit pas le
forcer pour ainsi dire à s'enfoncer dans pareille recherche. Épicure
dit quelque part: «Ceci est juste, car le peuple le trouve mauvais.—
Depuis la réforme, les mystères ont été livrés à la discussion
populaire, on les a ainsi exposés à toutes les subtilités captieuses de
l'étroitesse de jugement, et on ne peut pas encore dire quand
finiront les tristes égarements d'esprit qui en sont résultés.»

XIX
 Les résultats de la philosophie, de la politique, de la religion: voilà
ce que l'on doit donner au peuple et ce qui lui sera utile; mais il ne
faut pas vouloir des hommes du peuple faire des philosophes, des
prêtres ou des politiques. Cela ne vaut rien!

On voit combien cette philosophie plus que mûre de Gœthe était

loin de son scepticisme primordial. Il est évident ici qu'il confond la
philosophie et les lois.

XX
Il cite plus loin quelques vers de moi sur l'ubiquité de la vérité, qui
attestent l'utilité d'une civilisation non nationale, mais universelle.

«Ce ne sont plus les mers, les degrés, les rivières,

«Qui bornent l'héritage entre l'humanité.
. . . . . . . . . . .
«Chacun est du climat de son intelligence,
«Je suis concitoyen de tout homme qui pense,
«La vérité c'est mon pays.»

Pour plaire aux partis, ajoute-t-il, j'aurais dû être membre du club

des jacobins et prêcher le meurtre et le massacre.

XXI
L'instant suprême approchait pendant ces entretiens. Voici la fin
de ce grand homme, racontée par son ami, témoin des derniers
moments:

«Le lundi, il se leva, lut des brochures françaises; examina des

gravures, et, dans sa conversation avec M. Vogel, lui recommanda
plusieurs de ses protégés.
 «Mais, dans la nuit du 19 au 20, la maladie prit tout à coup un
caractère menaçant. Après quelques heures de sommeil calme,
Gœthe vers minuit se réveilla et sentit de minute en minute un froid
qui, de ses mains, étendues nues sur son lit, gagnait tout le corps.
Une douleur excessive se répandit d'abord sur les membres, puis sur
la poitrine, et la respiration devint difficile.—Mais Gœthe ne voulut
pas que son domestique appelât le médecin.

«Ce ne sont que des souffrances, dit-il; il n'y a pas de danger.»

«Le matin, ces souffrances, toujours plus vives, le chassèrent de

son lit; il se mit sur un fauteuil; ses dents claquaient de froid. La
douleur qui torturait sa poitrine lui arrachait des gémissements, et
de temps en temps un cri. Ses traits étaient bouleversés, son teint
couleur de cendre; ses yeux, livides et enfoncés dans l'orbite,
avaient perdu tout éclat; son corps, froid comme une glace,
dégouttait de sueur; sa soif était ardente; quelques mots
péniblement articulés firent comprendre qu'il craignait une
hémorrhagie pulmonaire.—Son médecin, par des soins énergiques et
prompts, fit disparaître en une heure et demie ces symptômes. Le
soir, l'accès était passé.—Le malade était dans son fauteuil qu'il ne
quitta plus pour son lit. Il fit avec calme quelques réflexions, et Vogel
lui ayant annoncé qu'une récompense, dont Gœthe avait appuyé la
demande, venait d'être accordée par le grand-duc, il montra de la
joie. Déjà dans la journée, sans que le médecin le sût, il avait signé
d'une main tremblante le bon de payement d'un secours destiné à
une jeune fille de Weimar, artiste pleine de talent pour laquelle il
avait toujours montré une sollicitude paternelle, et qui allait à
l'étranger achever son éducation. Ce fut là son dernier acte comme
ministre des beaux-arts; ce fut la dernière fois qu'il écrivit son nom.

«Dans la matinée du jour suivant, jusqu'à onze heures, il y avait

eu du mieux; mais, à partir de ce moment, l'état empira; les sens
commencèrent à refuser parfois leur service; il y eut des instants de
délire, et de temps en temps dans sa poitrine on entendait un bruit
sourd. Cependant Gœthe semblait moins accablé. Toujours assis
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