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Use geometrized units $G=c=1$. The Physical-process first law of black-hole mechanics concerns a small perturbation of a rotating black hole in an initially stationary spacetime by infalling matter, followed by relaxation to another stationary spacetime. For an uncharged black hole, or neutral accretion with charge held fixed, its first-order statement isHere $\kappa >0$ is the background surface gravity, ${\Omega }_H$ is the background horizon angular velocity, and $\delta A$ is the change in event horizon area. The energy $\delta E$ and angular momentum $\delta J$ are the fluxes carried into the event horizon; when these account for the changes of the black hole, they equal $\delta M$ and its change of angular momentum. The result is a linearized law, not an exact identity for a finite violent accretion event. The perturbation must be small enough that focusing does not produce new caustics or invalidate the expansion about the existing generators.

Let $k^a$ be the stationary Killing vector field normalized at infinity, $m^a$ the axial Killing vector field with $2\pi$-periodic orbits, andOn the background Killing horizon, ${\chi }^a$ is its future-directed null generator and satisfies ${\chi }^b{\nabla }_b{\chi }^a=\kappa {\chi }^a$. Choose a parameter $v$ with $\chi ={\partial }_v$. The null expansion in this parameter is $\theta ={\partial }_v\log dA$. The generator is not affinely parametrized; if $\ell ={\partial }_{\lambda }$ is affine, then $\chi =\kappa \lambda \ell$ after an appropriate choice of affine origin, with $\lambda \propto e^{\kappa v}$. Rescaling the Null Raychaudhuri equation givesThe null twist vanishes because the generators are normal to the event horizon. By the Einstein field equations, $R_{ab}{\chi }^a{\chi }^b=8\pi T_{ab}{\chi }^a{\chi }^b$. Background null expansion and null shear vanish on a Killing horizon of the background stationary spacetime. Thus $\theta$ and $\hat{\sigma }$ are first order, their squares are second order, and the linearized equation isThe final stationary spacetime supplies the boundary condition $\theta \to 0$ in the future. Explicitly,This future boundary condition reflects the global definition of the event horizon. For localized infall, $\theta$ also tends to zero in the remote past. Integrating the linearized equation along the generators, and then over a background cross-section with area element $d{A}_0$, givesUsing the background area element introduces only second-order corrections.

With orientations chosen so that future infalling positive energy has positive flux, the conserved Killing energy and axial angular momentum giveConsequently $\delta E-{\Omega }_H\delta J={\int }_{\mathcal{H}}\delta T_{ab}{\chi }^a{\chi }^{b}dvd{A}_0$, proving the displayed Physical-process first law of black-hole mechanics. Restoring $G$ replaces $8\pi$ by $8\pi G$. The null energy condition makes the integral nonnegative and therefore implies area increase in this regime; that condition is needed for the sign conclusion, not for the linearized flux identity itself. Charged infall would require the additional electrostatic work term, and an extremal background needs separate treatment because the proof uses $\kappa >0$.

Let $p^a$ be the future-directed causal four-momentum of the fragment captured by the Kerr black hole. In signature $(-+++)$ its conserved Killing energy and axial angular momentum areThe future-directed null generator of the Killing horizon is ${\chi }^a=k^a+{\Omega }_H{m}^a$, where ${\Omega }_H$ is the Kerr horizon angular velocity. At a crossing of the future event horizon, the scalar product of a future-directed causal vector with a future-directed null vector is nonpositive. For example, in a local orthonormal frame, $\chi =\alpha (1,\mathbf{n})$ with $|\mathbf{n}|=1$ and $\alpha >0$, while $p^0\ge |\mathbf{p}|$; hence $p\cdot \chi =\alpha (-p^0+\mathbf{p}\cdot \mathbf{n})\le 0$. ThereforeThis is a local causal restriction, so it applies also to an extremal Kerr black hole. A massive fragment crossing a regular future event horizon has a strict inequality; equality is the reversible limiting case, with causal four-momentum approaching the generator direction.

The Penrose process exploits the fact that $k^a$ becomes spacelike in the Kerr ergoregion, allowing future-directed fragments with negative Killing energy. For a positive choice of Kerr horizon angular velocity, a captured negative-energy fragment must have sufficiently negative angular momentum to satisfy the inequality. Conservation of energy in the splitting then gives $E_{\mathrm{escape}}=E_{\mathrm{initial}}-E_{\mathrm{capture}}>E_{\mathrm{initial}}$: the escaping fragment extracts rotational energy and the captured fragment reduces the black hole's mass and angular momentum.

For the independent thermodynamic argument, take a subextremal Kerr black hole and a small capture process covered by the Physical-process first law of black-hole mechanics. To first order, $\delta M=E$, $\delta J=L$, soThe second law of black-hole mechanics, under its classical null energy condition and regularity hypotheses, gives $\delta A\ge 0$; since $\kappa >0$, this reproduces $E\ge {\Omega }_{H}L$. The ideal reversible limit has $\delta A\to 0$. One should not infer a general finite-capture equality for an extremal black hole by simply substituting $\kappa =0$: the linearized nonextremal process proof and its differentiability assumptions must first be controlled. The causal proof already establishes the required inequality there without this issue.

The stress-energy tensor is already first order, so its energy flux can be evaluated on the unperturbed Schwarzschild event horizon $r=2M_0$, with the infinity-normalized Killing vector field $\xi ={\partial }_v$. On this background $g^{rv}=1$, and henceThe conserved stress-energy current from a Killing vector is $J^a=-T^a{}_b{\xi }^b$. Its radial component is negative, so the positive inward energy flux is $-J^r$. Using the directed null-surface measure $r_H^{2}dvd\Omega$ givesThe initial and final event horizon areas are $A_0=16\pi M_0^2$ and $A_1=16\pi (M_0+\Delta M{)}^2$. Thus $\Delta A=32\pi M_0\Delta M+O((\Delta M{)}^2)$. With Schwarzschild surface gravity ${\kappa }_0=1/(4M_0)$, the Physical-process first law of black-hole mechanics follows:The flux is Killing energy, including gravitational redshift, rather than the energy measured by a sequence of static observers arbitrarily close to the event horizon.

The Physical-process first law for a rotating black hole, in four-dimensional general relativity with $G=1$, isIt applies to a small neutral matter influx into an initially stationary, nonextremal black hole that settles to another stationary state. The background surface gravity and angular velocity are $\kappa$ and ${\Omega }_H$, and $\delta E,\delta J$ are the Killing energy and angular momentum delivered through the event horizon. Other conserved charges are held fixed. The perturbation must be small enough that its horizon generators do not develop caustics, and all equalities below are to first order.

Let $t^a$ be the stationary Killing vector field normalized at infinity, and ${\psi }^a$ the axial Killing vector field with $2\pi$-periodic orbits. The horizon generator is ${\xi }^a=t^a+{\Omega }_H{\psi }^a$. Choose an affine tangent $k^a$ and parameter $\lambda$ with zero at the past stationary limiting section, so affine horizon-generator scaling gives, on the background horizonThe background null expansion and null shear vanish, and null twist vanishes for the hypersurface-orthogonal horizon generators. Linearizing the Null Raychaudhuri equation and using the Einstein field equations givesThe quadratic null expansion and null shear terms are second order. With background cross-sectional measure $d{A}_0$, the first-order area change is $\delta A={\int }_{\mathcal{H}}\delta \theta d\lambda d{A}_0$. Multiplying the evolution equation by $\lambda$ and integrating by parts gives the first-order horizon-area response to matter fluxThe boundary term $[\lambda \delta \theta ]$ vanishes: $\lambda =0$ at the past limiting section, and the final stationary boundary condition gives zero expansion in the settled future. Equivalently, assume a sufficiently localized influx with the required late-time decay.

The energy and angular-momentum fluxes have signsThese correspond to the particle conventions $E=-p\cdot t$ and $J=p\cdot \psi$. Their combination isThis proves the requested Physical-process first law of black-hole mechanics. For charged infall the corresponding law contains an additional horizon-potential term ${\Phi }_H\delta Q$; the energy-minus-angular-momentum version assumes that work term is absent.

Let $k^a=(d/d\lambda {)}^a$ be an affine horizon generator, normalized so that the horizon Killing field is ${\xi }^a=\kappa \lambda k^a$. To first order in the small total injected energy, expansion and shear-squared terms are second order, and the Null Raychaudhuri equation on the horizon becomesThe flux of Killing energy through all the shells isSubstitute the linearized focusing equation and integrate by parts. Stationarity before and after the process makes the endpoint term $\lambda \theta$ vanish, while $dA/d\lambda =\theta A$ to first order. ThereforeUsing the Hawking temperature $T_H=\kappa /(2\pi )$ and Bekenstein-Hawking entropy $S_{BH}=A/4$ gives the Physical-process first law of black-hole mechanicsThe derivation is linear in the stress tensor, so separated shells simply contribute additively.