Efficiency of some heat engines at maximum-power conditions Alexis De Vos" Laboratorium voor elektronika en meettechniek, Rijksuniversitet te Gent, Sint-Pietersnieuustraat41, B-9000 Gent, Belgium (Received 14 February 1984; accepted for publication 14 June 1984) In the present paper a simple model is presented for a heat engine, where the power output is limited by the rate of heat supply (and/or heat release). The model leads to a variety of results. ‘Some of them are established laws such as the Carnot law, the Curzon-Ahlborn efficiency, and the Castaiis efficiency. Other results are new, and are related to phenomena as different as, ‘geothermal energy conversion and the Penfield paradox of electric circuits. I, INTRODUCTION tis well known that a Carnot engine, working between «wo heat reservoirs (one at the high temperature 7, and one at the low temperature 7), displays its highest efficiency if used in reversible conditions. Then the efficiency n= W/Q, () equals the Carnot efficiency Ne =1-Ty/Ty where W denotes the output power (ie., work per unit and Q, the input heat flow (i, heat transfer per u time) [sce Fig. 1a}. It is also well known that reversibility as- sumes infinitely slow heat transports, and that therefore the Camot efficiency is a limit case where Wand Q, tend to zero. Thus | — 7,/T, is the result of a limit of the type 0/ on Practical heat engines are designed to deliver a nonzero work in a finite time. Therefore Carnot’s formula is of li- mited usefulness. It only gives us an upper bound, It would be interesting to dispose of an efficiency formula, which takes into account the fact that a positive power is drawn from the engine. Such an expression will of course yield efficiencies lower than 7¢ as the engine is supposed to han- dle finite heat flows and thus to act in irreversible condi- tions. In many cases we are interested in generating a maxi- ‘mum amount of power out of the engine, for given values of T, and T;. In order to find the maximum-power condi- tions, itis necessary to choose a particular model for (the irreversible parts of) the heat engine. In the present paper, we will not be concerned with irreversibilities caused by frictions, turbulences, etc., but only with irreversibilities caused by the heat resistance felt by the entering heat flow @, and the leaving heat flow Q.. Therefore the engine is supposed to consist of three parts: a reversible part {ie a Carnot part) working between two heat reservoirs (one at the high temperature f, and one at the low temperature f,), and two irreversible parts containing temperature drops (ie. the temperature fall T, — 1, accompanying Q, and the temperature fall £, — T; accompanying Q,). The engine model must now be completed by a relation between the “flows” (ie. the heat flows) and the “forces” (i. the tem- perature gradients). In the present paper, we assume [see Fig. 1(b)] that Q=a(T} 7) 3) and 510 —_Am.J. Phys. $3 (6), June 1985 Q:=B(tr TF. (4) In order to simplify the mathematical calculations, more simple models can be studied. Figure 1(c) shows the case where the supply of Q, suffers from a resistance, but any amount of heat flow Q, can be deposited reversibly to the cold heat reservoir (at temperature ,). Figure Id) shows the complementary case; the hot reservoir (at temperature T,) can supply any amount of heat flow Q, reversibly, but the engine must overcome a thermal resistance when depo- siting the heat flow Qs. U. ELABORATION OF THE MODEL Inthe present paper, we will concentrate on case cof Fig. 1. The case d of Fig. 1 as well as the general case b are completely similar. In the model c of Fig. 1, the Carnot part of the engine absorbs a heat flow Q, accompanied with an entropy flow Q,/t,, and rejects a heat flow Q, accompanied with an en- tropy flow 02/7, as well as a power W accompanied with zero entropy flow. Because this part of the engine is sup- posed to be reversible, no entropy creation takes place in- side it, and the continuity equation for the entropy reads as follows: w [a e> 2 Ea 04 2 (Pap?) of Lean, 2 Ty eee) o se) 4% ; a ag ofa 2, EEG, 0 Fig. 1. Four models ofa heat engine working between a hot heat reservoir (temperature T;) anda cool heat reservoir temperature T;}a) Engine with- ‘out resistance to heat eurents (Carnot engine: (b) engine with resistance to the incoming heat current and tothe outgoing hea current) engine with resistance to the incoming heat current only (2) engine with resistance to ‘the outgoing heat current only. © 1985 American Association of Physics Teachers $70Q/t, = O/T» (5) With Q:=alTi —tth (6) wwe get Q,=a\T} = th )To/t 7) and thus, W=Q,—Q.=a(T} — 17) — T2/t). (8) ‘A maximum amount of power can be extracted from the engine under the condition aw oo 09) dt, ’ or nt{*! —(n—ITyt} — THT =0, fan (n + 1th degree equation for fy, Substitution of the solution of this equation into (8) leads to the maximum power Wma, Now, we can ask ourselves what the engine’s efficiency is at the maximum-power op- eration. Here we must be very careful as to the definition of, the quantity “efficiency.” If the hot heat reservoir is kept at its constant temperature 7, by consuming an exhaustible energy source, we have to “burn” an amount Q, of fuel for this purpose, and it is therefore logic to define the efficiency as (10) 1 = W/Qy any yielding = 1-Tyty. (12) If, however, the hot reservoir is kept at the constant tem- perature 7; by consumption of a renewable energy source, the consumed heat Q, is free of charge, and it is more logi- cal to compare W with the highest amount of Q, that could be extracted from the renewable energy source, i, aT. This point of view only makes sense ifthe heat flow a7"t is an increasing function of 7, i... if n >0. The model gives rise to the definition 1, = WaT}, (13) yielding = (1 8T/T I = Ta/th). (14) In both (12) and (14), 1, has to be replaced by the solution of Eq (10). Il. RESULTS Figures 2 and 3 show the results of the calculations: the efficiencies 7, and 7, as a function of the parameter T,/T, and for the values n= + co, 4, 3,2, 1, 0, and — 1. These curves 7,(r) and 1,(r) show some simple fea- tures. One can easily prove that Him nr)= 1 — nan navn, (15) Jim (7) = 401-7), (16) Him 9,(7) = 1 — [n+ ners W]e, (17) Aim 7, (2) = (4 — 7 (18) We will now discuss some of the results in more detail. S71 mJ. Phys, Vol. $3, No. 6, June 1985 Fig 2. “Exhaustible energy conversion efficiency” 9, a8 «function of the temperature ratio 7,/7). A, Limit case n+ + co For the mathematical limit n— + co, Eq. (10) gives rise toasolution * 1 =T, + 0(1/n) Substitution of ¢, = 7; into (12) and (14) gives us 1. =1,=1-T/Ty i.e, the Carnot formula. (19) B,Casen=4 The case n= 4 is a model for an engine with radiative input. The heat reservoir T, sends heat towards the engine by means of radiation, which is absorbed by the body at temperature ¢,. Because of Kirchhoff's law the latter body Fig. 3. “Renewable energy conversion effciency” 9, asa function of the ‘temperature atio T/T; Alesis De Vos S71does radiate back to the former. If both bodies are black (or grey), the Stefan—Boltzmann law introduces the 4th power of the temperatures. The coeficient ain (3) is related to the Stefan-Boltzmann constant times the emittances of the two bodies. The renewable energy conversion efficiency is especially interesting here: 1 = (1 /T IM — Tift), (20) where ris the solution of the equation 41} -37tt —TtT, =0. 1) Formula (20)is applicable to solar energy conversion. The present mode! for the conversion of solar energy into work ‘was first presented by Miiser? in 1957. The first explicit publication of formulas (20) and (21) is due to Castais* in 1976, The formula was rediscovered independently in the early 80's by several workers, including Jeter’ and De Vos and Pauwels.° C.Casen =2 The 4th power of the temperature appears in the Stefan— Boltzmann law, after integration of Planck's formula: { *=__ givikvdy oy I explhv/kT) — where 0) = (80/ey? (23) denotes the degeneracy, i, the number of oscillatory ‘modes per unit volume and per unit of frequency interval, and where all other symbols have their usual meaning. Itis however well known that glv|~97 is a consequence of the fact that free space is three-dimensional. For radiation in d dimensions, we have that givj~—', and consequently Q~T**", ie, n=d +1. Although the case d = 2 (and thus 1 = 3) is not without interest, let us consider in more detail the case d= I (and thus n= 2), The latter case applicable to radiation propagated along a transmission line, We have (see, e.g., Ref. 7) stv) =2/e (24) and therefore = (7k?/6h)T?. (25) With n = 2, expressions (12) and (14) become = 1-Tyt, (26) and 1 = (1 G/TIM = Taft, 27) where f; is the solution of 2} — Tx} —T}T=0. (28) Both 7, and 7, express the efficiency of the conversion of the thermal noise emitted by a resistor at temperature T;, absorbed by a second resistor and converted into work, the waste heat being deposited at a heat reservoir at tempera- ture 7; (see Fig. 4). Therefore the efficiencies 7, and 7, are closely related to the notorious Penfield paradox.® Which Of these two efficiencies one has to apply depends again ‘upon the way the hot resistor is kept isothermal: by means of an exhaustible energy source or by means of a renewable energy source. For the sake of completeness, itis necessary to mention 572. —Am.J. Phys, Vol. $3, No.6, June 1985 eer) aerate i) Fig. 4. Model of an engine converting the thermal noise of resistor inte work that Eq, (28) can be solved with the standard methods of ccubic equations. This yields closed forms for both 7, (r] and ‘7/(7). For example, we get net) = 1 (72727) W274 7 + V2 W27 +7 — 7] (29) D. Case n Thecasen = 1 isthe simple case of “linear homogeneous relations between flows and forces,” a common model in “nonequilibrium thermodynamics not far from equilibri- um.” The coefficient in (3) can now be related to a ther- mal conductance. For n = 1, Eq, (10) becomes simply H-T,7,=0 (30) or i= VOT 61) Substitution of this result into the efficiency expressions ives rise to 1. =1-NT/T, (32) and = (1-VT/T YP. (33) Formula (32) is the expression for the Curzon—Ahlborn ef- ficiency.” One can easily prove that the formula also holds for model d, if m = 1. Itis therefore no surprise that the formulas also found starting from mode! b. In the Appen- dix, expression (32) will be derived in this general case. For- mula (33) is new, but not without interest. It can, e.g, be applied to geothermal energy conversion. E,Casen= —1 ‘The case n = — 1 is another linear model, but the tem- perature difference T, — 1, does not play the role of the generalized force. On the contrary the latter role is played by the affinity 1/; — 1/7), The coefficient a is negative, and — cris the so-called kinetic coefficient.' Equation (10) becomes -1420,/t, — T/T, = (34) 4 =20, T/T, + Ty) (35) ‘Substitution into (12) yields =i = T/T) 36) That is exactly half the Carnot efficiency. Formula (14) cannot be used, as is negative. lexisDe Vor $72IV. CONCLUSIONS ‘The present model enables us to rediscover two celebrat- cd formulas for the efficiency of a heat engine operating in maximum-power conditions: the Curzon—Ahlborn for- mula and the Castai formula, At the same time, the model displays some restrictions to the applicability of these laws. ‘The Curzon-Ahlborn expression is only applicable as, Jong as the heat conduction law Q=a(T,—) (37) is valid. If, on the contrary, Q, = —all/t,—1/T,) (38) has to be applied, the engine efficiency is rather given by half the Carnot efficiency. Of course, for 7, — T,<7, (and. thus 7, — 1,<7;), both approaches are equivalent. The Castatis expression is only applicable as long as the radiation law Q=a(T} —t) (39) is valid, ie,, for black or grey bodies radiating in three- dimensional space. Radiation in, e.g, less dimensions gives, rise to new expressions. Finally, it is clear that situations can arise in practice where the heat transport Q, is not expressed by a simple Jaw as (3), A technologically important example is heat ex- change by combined radiation and conduction: Q=alT}—1i) +eT — Hh (40) resulting in a mixture of the Curzon-Ahiborn model and, the Miiser-Castafis model It should be stressed that the Carnot formula is not af- fected by phenomenological restrictions nor by the dimen- sionality of the physical world, and has therefore a more fundamental character than the Curzon-Ahlborn formula and the Castaiis formula. But this comment does not aim to minimize the large merits of the discoveries by Curzon, Ahilborn, Miser, and Castafis. I hope that the present pa- per will contribute to make their work better known. APPENDIX In order to prove the Curzon-Ahlborn theorem for an engine like model b (see Fig. 1) with n= m = 1, we again start from the continuity equation for the entropy Q/t, = Qo/t (41) aT, — t/t, = Blt, — Tt (42) This equation can be solved for f, or s. Let us, eg. solve it, for ty. We get = BHT,/ (la + By, — aT,). (43) 373 Am. J. Phys, Vol $3, No.6, June 1985 We substitute this result in W=Q,-Q=a(T,~)-Bla—T), (44) which yields Wall, ~ 1) —BalT, — 4)T/Ma + BY, — aT) « (45) The generated power is maximal for dw ae (46) or qe Tap SD EB Ty, 7) a+B aa BP yielding = (lavT, +AVT.Va+B)NT, (48) Immediately we get, after (43) and (45), = [eT +4VT Ve + BT (49) and = [aB Ma + BNWT, — VTP. (50) After calculation of Q=a(T,— 4) = [aba +B), -VTNT, (51) we finally get te = W/Q, = 1 (T/T. (52) The present proof is given here in extenso, because it is ‘much simpler than the proof given by Curzon and AIborn themselves. Indeed, the latter authors introduced, besides the parameters « and 6, several more technological param- ters (i. the durations ofthe various parts of the machine cycle). The above proof reduces to the proof for model c, as given in Sec. TIT of the present paper, in the limit 8/ arte. “Present addres: Bontnckstmaat 83, B-9280 Berlae, Belgium. 'H. Calle, Thermodynarnies (Wiley, New York, 1960) °M, Zemansky, Heat and Thermodynamics (McGraw-Hill, New York, 1951), 2H. Misr, Z. Phys. 148,380 (1957) ¢M. Castas, Rev. Geos. 35, 227 (1976) 4, Jeter, Sol. Energy 26, 2311981} *A. De Vos and H. Pauwels, App. Phys. 25, 1191981 °B. Oliver, Proc. IBEE $3, 436-484 (1965) also reprinted in Elecrical ‘Nole: Fundamentals & Sources, edited by M. Gupta (IEEE, New York, 1977) pp. 129-147 'P. Penfield, Proc. IEEE $4, 1200-1201 (1966, °F. Curzon and B. Abiborn, Am. J. Phy 43,22 (1975), AtesisDe Vos 573