Approach for teaching polytropic processes

based on the energy transfer ratio

Joseph Christians
48 Kevin Drive, Vernon, CT 06066, USA
E-mail: joe.christians@att.net
Abstract The polytropic process equation, Pv n = C, is widely taught in mechanical engineering
curricula throughout the world as an important concept in thermodynamics. Unfortunately, it is too
often presented as a statement of fact, providing the student with little or no understanding of its
fundamental basis. Herein the principal underpinnings of this foundational equation are elucidated by
the introduction of a new term, called the energy transfer ratio (K). A teaching approach centered
around the energy transfer ratio can give the student new insights into polytropic processes. Reversible
polytropic processes in closed and open systems are examined, including open systems where the
Mach number is significant. The discussion is then expanded to include irreversible processes. It is
hoped that the reader will find this material to be a useful reference in presenting polytropic processes
to students.
Keywords

polytropic; energy transfer ratio; thermodynamics

Introduction
Polytropic processes are characterized by the well known polytropic process equation, Pvn = C, which describes thermodynamic property relationships in many expansion and compression processes, including those with heat transfer. The basis of this
equation can be clearly illustrated by introducing a new term, called the energy
transfer ratio. This term allows the polytropic process equation to be derived in a
number of different settings, including both closed and open systems, and for both
reversible and irreversible processes. By employing the energy transfer ratio, polytropic processes can be presented to students directly from first principles in a clear,
unambiguous manner.
Reversible polytropic processes in closed systems
Consider a gas in a closed system undergoing a process for which changes in
kinetic and potential energy are negligible. The First Law of Thermodynamics is
expressed as:

q w = du

(1)

A new term is introduced which will prove to be helpful in understanding polytropic

processes. This term, herein called the energy transfer ratio and denoted by K, is
defined as:
K

q
w

(2)

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J. Christians

The energy transfer ratio is the instantaneous ratio of the rate of heat transfer into
the system to the rate of work done by the system. In terms of the energy transfer
ratio, the First Law can be rewritten:

( K 1) w = du

(3)

Assume that the process is internally reversible, and that the only type of work
interaction is moving boundary work, so w = Pdv [1]. Assume also that the gas is
calorically perfect, so the specific heat is constant throughout the process. The
change in internal energy is therefore given by du = cvdT [1]. Equation 3 then
becomes:

( K 1) Pdv = cv dT

(4)

The Ideal Gas Law can be modified by the compressibility factor, Z, to give a
well known equation of state for real gases: Pv = ZRT. Assume that the compressibility factor is constant for the process. This assumption is usually appropriate for
gases at low pressure and/or high temperature [1], but may also be a reasonable
approximation for gases in other regimes, particularly when a process exhibits only
modest changes in temperature and pressure. Also assume that no chemical reactions
occur, so the gas constant is fixed. The Pv = ZRT equation of state can be differentiated to give:
Pdv + vdP = ZRdT

(5)

Based on a well known specific heat relationship [1] arising from the definition of
enthalpy (h u + Pv), the ZR term can be replaced by (cp cv). Combining this
observation and equation 5 with equation 4 yields:
vdP
= (1 ) K +
Pdv

(6)

where is the specific heat ratio, cp/cv. Note that is constant by the assumption of
a calorically perfect gas. The discussion will return to equation 6 in a moment, but
first it is necessary to show the development of the polytropic process equation from
the polytropic exponent.
Define the polytropic exponent, n, as follows:
n

vdP
Pdv

(7)

Assume that the polytropic exponent is constant throughout the process. (As will be
shown, polytropic processes exhibit constant polytropic exponents.) So, equation 7
can be rearranged and integrated as follows:

dP
dv
= n
P
v

(8)

where the integration yields

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Teaching polytropic processes

55

ln P = n ln v + constant

(9)

Note that equation 9 is calculable over the entire physical domain because P and v
are always positive quantities. It must be emphasized that this result is obtained only
when n is constant for the process. Applying the exponential function,
exp ( ln P ) = exp ( n ln v + constant ) ,

(10)

produces the familiar polytropic process equation:

Pv n = C

(11)

where C is a constant.
So it has been demonstrated that, when the polytropic exponent is constant for a
process, that process is polytropic. What underlying condition makes the polytropic
exponent constant? In other words, what is the fundamental characteristic of polytropic processes? Notice that equation 6 can be combined with equation 7 to obtain
the following relationships:
n = (1 ) K +

and K =

n
1

(12)

An important insight immediately emerges. In the context of an internally reversible

process in a closed system (along with some simplifying assumptions related to gas
properties), the process is polytropic when the energy transfer ratio is constant. It
should be noted that neither the rate of heat transfer nor the rate of work are necessarily constant, but the ratio of the two is constant throughout the process. The
connection between the polytropic exponent and the energy transfer ratio is both
striking and, perhaps, surprising. It is interesting and useful to explore this relationship in detail.
It may be helpful to discuss some notable values of the energy transfer ratio,
which has some advantages over the polytropic exponent for fundamentally understanding specific types of polytropic process. For example, it is immediately obvious
from the definition of the energy transfer ratio (equation 2) that a value of K = 0
corresponds to an adiabatic process because q = 0. (Along with the assumption of
internal reversibility, K = 0 also corresponds to an isentropic process.) When K =
1, the rate of heat transfer into the system equals the rate of work done by the
system, so the net rate of energy transfer is zero, making the process isothermal.
And when K = , the amount of moving boundary work is zero (i.e. w = 0),
corresponding to a constant-volume process. These observations are summarized
later in Table 1.
The work done by the system during a polytropic process from state 1 to state 2
can be found in the usual manner by integrating the term Pdv:
2

w12 = Pdv =
1

c c
1
( P2 v2 P1v1 ) = p v (T2 T1 ) n 1
1 n
1 n

(13)

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J. Christians

Alternately, the work can be found by integrating the term w directly by rearranging equation 3. With this approach it is convenient to express the work in terms of
K rather than n:
2

w12 = w =
1

du
1
c
= v (T2 T1 ) =
( P2 v2 P1v1 ) K 1
K 1 K 1
( K 1) ( 1)
(14)

Of course, equation 14 can also be obtained by integrating the term Pdv instead of
integrating w directly. The direct integration of w will prove to be particularly
useful in open systems with significant changes in kinetic energy because in that
case work is not given by Pdv. Note that the integration shown in equation 14 is
greatly simplified by the fact that, for an internally reversible polytropic process in
a closed system (along with some gas property assumptions), the energy transfer
ratio is constant.
In the case of K = n = 1, work is given by:
2

w12 = Pdv = P1 v1 ln
1

P
v2
= P1 v1 ln 1
v1
P2

K = n =1

(15)

Because K is constant, the amount of heat transfer in the process is calculated by

the simple equation q12 = Kw12.

Reversible polytropic processes in open systems with low Mach numbers

The polytropic process equation can be applied to open systems in addition to
closed systems. Consider a steady-flow open system undergoing an internally reversible process at a low Mach number, implying that changes in kinetic energy are
small. (What constitutes a low Mach number is discussed later.) Assume that
changes in potential energy are also negligible. The First Law of Thermodynamics
is written:

q wdevice = dh

(16)

Note that equation 16 is mathematically equivalent to equation 1 (a point which

many students might not appreciate). The difference is that, because enthalpy is
employed to inherently account for flow work, the wdevice term in equation 16 refers
only to device work, which comprises all forms of work other than flow work.
Because equation 16 and equation 1 are equivalent, the derivation of the polytropic
process equation for an internally reversible process in an open system with negligible changes in kinetic and potential energy is the same as for a closed system
(provided the same assumptions are employed). The relationship between the energy
transfer ratio and the polytropic exponent which was developed for a closed system
(equation 12) is applicable as well.
For open systems, it is useful to define the modified energy transfer ratio, K,
based on the device work rather than the total work:
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Teaching polytropic processes

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TABLE 1 Notable types of polytropic process for internally reversible processes with
negligible changes in kinetic and potential energy
Energy transfer ratio
(K = q/wtotal)

Modified energy transfer ratio

(K = q/wdevice)

Polytropic
exponent (n)

Type of polytropic process

0
1

0
1

Adiabatic (and isentropic)

Constant temperature

Constant pressure

1
1

Constant specific volume

q
wdevice

(17)

Noting that, for an internally reversible process with a negligible change in kinetic
energy, the total work (including flow work) is given by wtotal = Pdv and the device
work is given by wdevice = vdP [1], the following relationships can be derived:

K
vdP
and
= K n =
Pdv
( 1) K + 1
vdP wdevice
K

=
=
=
n=
wtotal
K
( 1) K + 1 Pdv

K = K

(18)

Interestingly, as demonstrated in equation 18, the polytropic exponent is equal to

the ratio of device work to total work (and therefore is also equal to the ratio K/K).
It is also observed that, if any one of K, K, or n is constant, then all three are constant (and therefore the process is polytropic). So, for an internally reversible process
in an open system with negligible changes in kinetic and potential energy (along
with some simplifying assumptions regarding gas properties), polytropic processes
are characterized by a constant modified energy transfer ratio (as well as a constant
energy transfer ratio). It must be emphasized that the modified energy transfer ratio
is irrelevant for a closed system because flow work does not exist in a closed system.
Table 1 gives the values of K, K, and n for several types of polytropic process. This
table applies to internally reversible processes in closed systems and open systems
with negligible changes in kinetic and potential energy, along with some simplifying
gas property assumptions. Fig. 1 shows the relationship between these parameters
pictorially for = 1.4.
Recognizing that the governing equations are equivalent, it is evident that the total
work done by the system in an internally reversible, open-system polytropic process
with negligible changes in kinetic and potential energy is given by equations 1315.
It must be emphasized that, when those equations are applied to an open system,
the work term comprises both device work and flow work. The device work itself
can be calculated in terms of either n or K:
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58

J. Christians

Fig. 1 Energy transfer ratios versus polytropic exponent for internally reversible
processes with negligible changes in kinetic and potential energy.

wdevice,12 = vdP =
1

(c c ) n
n
( P2 v2 P1v1 ) = p v (T2 T1 ) = nwtotal,12
1 n
1 n

n 1
(19)

wdevice,12 = wdevice =
1

( 1) ( K 1)

cp
dh
=
(T2 T1 )
K 1 K 1

(20)

( P2 v2 P1v1 ) K 1

Of course, equation 20 can also be obtained by integrating the term vdP instead of
integrating wdevice directly. In the case of K = n = 1, device work is given by:
2

wdevice,12 = vdP = P1 v1 ln
1

P1
v
= P1 v1 ln 2 = wtotal,12
P2
v1

K = n =1

(21)

Note that, for an isothermal process (K = n = 1), device work is equal to total
work, implying that the net flow work done by the system is zero. This result arises
from the fact that, for a gas with a constant compressibility factor, flow work is
proportional to temperature, so the flow work done on the system by the upstream
fluid is equal to the flow work done by the system on the downstream fluid. As with
a closed system, the total amount of heat transfer in the process is easily calculated
with the energy transfer ratio by the simple equation q12 = Kwtotal,12 = Kwdevice,12.
Reversible polytropic processes in open systems with significant Mach numbers
In the context of open systems with significant Mach numbers, the concept of total
properties arises. A process which is polytropic on a static property basis may not
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Teaching polytropic processes

59

be polytropic on a total property basis, and vice versa. It becomes necessary to

distinguish between the static polytropic exponent, n, and the total polytropic exponent, nt, which is defined as follows:
nt

vt dPt
Pt dvt

(22)

where the subscript t denotes total properties. A process is polytropic on a static

or total basis if the respective polytropic exponent is constant for the process.
Up to this point, changes in kinetic and potential energy have been assumed to
be negligible. It is now assumed that changes in kinetic energy are significant. The
previous assumptions related to gas properties are utilized here again. The First Law
of Thermodynamics for an open system with a significant change in kinetic energy
is given on a total property basis as:

q wdevice = dht

(23)

where dht = dh + dke. (It is still assumed that changes in potential energy are negligible.) For an internally reversible process, device work is given by [1]:

wdevice = vdP dke = vdP ( dht dh )

(24)

The Tds relations can be used to calculate property changes in a process. These
relations are valid on both a total and static property basis, thus:
ds =

dh
dP dht
dP
v
=
vt t
T
T
Tt
Tt

(25)

Applying the Tds relations, equation 24 can be rewritten:

wdevice = vt dPt + Tds Tt ds

(26)

The total temperature is given by:

1 2
Tt = 1 +
M T

(27)

where M is the Mach number [2]. Note that equation 27 is valid only when changes
in potential energy are negligible, which is why that assumption must be made for
this analysis. Along with the well known Clausius equation for heat transfer in a
reversible process, q = Tds, the device work can be expressed as:

wdevice = vt dPt

1 2
M q
2

(28)

As has been done previously, the First Law can be written exclusively in terms
of system properties and the energy transfer ratio, allowing an expression of the
polytropic exponent to be developed. Simple substitutions will not suffice in this
instance, however, because of the residual q term in equation 28. A unique expression for q in terms of K can be arranged to solve this problem:
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60

J. Christians

wdevice

q
K
q =
=
1 2
1 2
M q 1+
M K
+
2
2
K ( vt dPt )
=
1 2
M K
1+
2

1 2
K wdevice +
M q

2
1 2
M K
1+
2

(29)

The First Law can be rearranged in a way that will prove useful in light of equations
28 and 29, thus:

1 2
1 + 1 M 2 q w
M q = c p dTt
device +

2
2

(30)

Notice that dht has been replaced by cpdTt, as allowed by the assumption of a calorically perfect gas. Equations 28 and 29 can be substituted into equation 30. The
differentiated form of the Pv = ZRT equation of state (equation 5), expressed on a
total property basis, is also utilized. With some algebraic manipulation, the result is:
nt =

vt dPt
(1 ) ( K 1)
=
+1
Pt dvt
1 + 1 M 2 1 K + 1

2

(31)

Equation 31 gives the instantaneous relationship between nt, K, and M at a particular point in the process. Recall that a process is not polytropic unless the polytropic
exponent is constant. Because of the presence of the Mach number, it is evident from
equation 31 that a constant value of K for a process does not necessarily give a
constant value of nt when the change in kinetic energy is significant. It is also noted
that, when the Mach number is very low, changes in kinetic energy are small, and
equation 31 numerically collapses into the expression for n in equation 18.
The student must not misinterpret the physical significance of the polytropic
exponent in this context. When changes in kinetic energy are significant, the device
work is given by wdevice = vdP dke, which does not equate to the term vtdPt
Likewise, the total work is given by wtotal = Pdv dke, which does not equate to
the term Ptdvt Therefore, neither the static nor the total polytropic exponent is equal
to the ratio of device work to total work when changes in kinetic energy are
significant.
Fig. 2 is a plot of equation 31 for = 1.4, where the relationship between total
polytropic exponent and Mach number is shown for various contours of the modified
energy transfer ratio. A process is polytropic on the basis of total properties if it
follows a horizontal path on the plot (i.e. if nt is constant), which often does not
correspond to a constant modified energy transfer ratio. Some earlier assertions are
reinforced by the plot. For example, every K contour becomes horizontal as the
Mach number approaches zero. This result demonstrates that changes in kinetic
energy become negligible when the Mach number remains low throughout a process.
The plot also gives the student some insight into how high the Mach number can be
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Teaching polytropic processes

61

Fig. 2 Polytropic exponent vs. Mach number, with contours of modified energy transfer
ratio for internally reversible processes ( = 1.4).

before changes in kinetic energy become significant (i.e. before the K contour is no
longer approximately horizontal). Interestingly, the Mach number at which kinetic
energy changes become significant depends on the value of K. Adiabatic processes
(K = 0) and constant-total-temperature processes (K = 1) are polytropic regardless
of Mach number. At high Mach numbers, progressively more K contours become
approximately horizontal (approaching nt = 1). In many regimes, particularly when
changes in Mach number are small, it would be reasonable to consider a process to
be approximately polytropic.
In previous analyses where changes in kinetic energy were negligible, the device
work could be calculated in terms of the polytropic exponent by integrating the
expression for device work in a reversible process, and using the polytropic equation
to relate the necessary properties. In the current context, where changes in kinetic
energy are significant, however, that approach cannot easily be applied because the
kinetic energy term (equation 24) introduces a Mach number dependency. In this
case it is simpler to calculate device work directly from the First Law (equation 23).
This approach is valid whenever the modified energy transfer ratio is constant,
regardless of whether or not the process is polytropic:

( K 1) wdevice = dht wdevice =

dht
K 1

(32)

which can be integrated and rearranged to give:

2

wdevice,12 = wdevice =
1

cp

(Tt 2 Tt1 ) =
( Pt 2 vt 2 Pt1vt1 ) K 1
K 1
( 1) ( K 1)
(33)

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J. Christians

As always when the modified energy transfer ratio is constant, the heat transfer in
the process can be calculated directly by the relation q12 = Kwdevice,12.

Irreversible polytropic processes

Thus far, polytropic processes have been discussed up to reversible processes in
open systems with significant Mach numbers. It is now of interest to expand the
analysis to include irreversible processes. Consider a gas undergoing an irreversible
process in an open system where the Mach number is significant, and changes in
potential energy are negligible. The First Law is:

q wdevice = dht

(34)

Recall that the modified energy transfer ratio is given by:

K =

q
wdevice

(35)

Irreversible processes are characterized by the polytropic efficiency, poly, which

relates the actual device work done in the process to the ideal device work [3]. The
ideal device work is the hypothetical amount of device work done in a reversible
process beginning at the same initial state, and proceeding to the same final pressure
(but not the same final state) as the irreversible process, while experiencing the same
amount of heat transfer. For compression processes, where work is done on the
system, polytropic efficiency is defined reciprocally relative to expansion processes,
where work is done by the system:
expansion process:
compression process:

poly ,exp =

wdevice
wdevice, rev

(36)

poly , comp =

wdevice , rev
wdevice

(37)

where the exp and comp subscripts denote an expansion or compression process,
respectively, and the rev subscript denotes the hypothetical ideal (reversible)
process. As an aside, it is interesting to note that, whereas the isentropic efficiency
is defined only for the process as a whole, the polytropic efficiency is defined instantaneously for each point in the process.
For the purpose of this discussion, assume the irreversible process under consideration is an expansion process, and that the previous assumptions of a calorically
perfect gas, a constant compressibility factor, and a fixed gas constant are still applicable. The First Law can be expressed in terms of the polytropic efficiency as:

q poly , exp wdevice , rev = c p dTt

(38)

As has been previously stated, the ideal device work is given by:

wdevice , rev = vdP dkerev = vdP ( dht , rev dhrev )

(39)

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Following the same procedure as was done previously (for equation 28), the ideal
device work can be expressed as:

wdevice, rev = vt dPt

1 2
M q
2

(40)

In order to develop an equation which relates nt, poly,exp, K, and M, the residual
q term in equation 40 must be removed. This is accomplished by crafting a unique
expression for q, originating with the following ratio:

poly , exp K
q
=
1 2
1 2
wdevice, rev +
M q 1+
M poly , exp K
2
2

(41)

which can be rewritten:

1 2
poly , exp K wdevice , rev +
M q

2
q =
1 2
1+
M poly , exp K
2

(42)

Equation 38 can be rearranged in a way which will prove to be useful in light of

equation 42, thus:

1 2
1 2
1 +
M q poly , exp wdevice, rev +
M q = c p dTt
poly , exp

2
2

(43)

Substituting in equations 40, 42 and 5 (in terms of total properties) gives a surprisingly concise expression for the total polytropic exponent as a function of the polytropic efficiency, Mach number, and modified energy transfer ratio:
nt =

vt dPt
(1 ) ( K 1)
=
+1
Pt dvt
1 + 1 M 2 1 K + 1 +


2
poly, exp

(44)

Equation 44 applies instantaneously at each point in an irreversible process in an

open system where the Mach number is significant, along with some simplifying
assumptions related to gas properties. Fig. 3 shows the polytropic exponent versus
Mach number with contours of the modified energy transfer ratio for poly,exp = 1.0
and 0.8. As expected, when the polytropic efficiency is 1, the process is reversible
and equation 44 collapses into equation 31.
Some interesting observations can be made with regard to the contour plots in
Fig. 3. Even when a process is irreversible, a modified energy transfer ratio of 0 (i.e.
adiabatic process) or 1 (i.e. constant-total-temperature process) gives a polytropic
process, regardless of the Mach number. In fact, when K = 1, the value of the polytropic exponent is always 1, regardless of poly,exp or Mach number. (This result
follows from the Pv = ZRT equation of state where Z, R, and T are constant.) When
the Mach number is small, an irreversible process with a constant modified energy
transfer ratio and a constant polytropic efficiency is polytropic.
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64

J. Christians

(a)

(b)

Fig. 3 Polytropic exponent vs. Mach number, with contours of modified energy transfer
ratio for poly,exp = 1.0 (a) and 0.8 (b) ( = 1.4).

This result is not entirely surprising. With regard to system properties (ignoring
the properties of the surroundings), an irreversible expansion process can be envisioned as a reversible expansion process where a fraction of the work is returned to
the system as heat. For a fixed polytropic efficiency, this fraction of work is fixed.
Therefore, if the modified energy transfer ratio is fixed for the irreversible process,
it is also fixed for the equivalent reversible process. So, many of the conclusions
which have been made for reversible processes are also applicable to irreversible
processes with fixed polytropic efficiencies.
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Teaching polytropic processes

65

For an irreversible compression process, the reciprocal relationship between

poly,exp and poly,comp can be substituted into equation 44 to give an equation for nt for
an irreversible compression process:
nt =

vt dPt
(1 ) ( K 1)
=
+1
Pt dvt
1 + 1 M 2 1 K + 1 +
poly , comp

2

(45)

Note that the observations which have been made above for irreversible expansion
processes are also valid for irreversible compression processes.
As has been done for reversible processes, device work in an irreversible process
with a constant modified energy transfer ratio can be calculated by integrating
wdevice directly. Note that this procedure is more convenient than integrating the
term vdP dke, which has a Mach number dependency. The result is given by
equation 33.
Summary
A process is polytropic if it can be characterized by a fixed polytropic exponent. The
polytropic exponent is closely connected to the energy transfer ratio. For example,
with some simplifying assumptions regarding gas properties, an internally reversible
process in a closed system is polytropic if the energy transfer ratio is constant. For
open systems, the polytropic exponent can be defined on the basis of either static or
total properties. In open systems, the energy transfer ratio can be modified to consider device work instead of total work (i.e. device work plus flow work).
A thorough examination of the polytropic process equation can be presented to
the student through an approach which is centered around the energy transfer ratio.
It allows a complete and intuitive presentation, accompanied by formal derivations
from first principles in a number of different types of system. With a solid understanding of this fundamental topic, the student is more easily able to comprehend
more advanced concepts in thermodynamics.
References
[1] Y. engel and Michael A. Boles, Thermodynamics: An Engineering Approach, 2nd edition (McGrawHill, New York, 1994).
[2] J. D. Anderson, Jr, Modern Compressible Flow, With Historical Perspective, 2nd edition (McGrawHill, Boston, 1990).
[3] J. D. Mattingly, Elements of Gas Turbine Propulsion (McGraw-Hill, New York, 1996).

International Journal of Mechanical Engineering Education, Volume 40, Number 1 (January 2012), Manchester University Press