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TheoremProved

Penrose's singularity theorem (1965)

Statement

If spacetime contains a non-compact Cauchy surface, obeys the null energy condition, and contains a closed trapped surface, then spacetime is future null-geodesically incomplete: at least one light ray cannot be extended indefinitely into the future — a singularity, in Penrose's sense.

Why is it true?

Gravity, in general relativity, always focuses light rather than defocusing it (that is what the energy condition encodes); a bundle of light rays that is already converging on both sides at some closed surface therefore keeps converging, and geometrically convergent light rays must cross — but two light rays crossing (a conjugate point) inside a region that a well-behaved, globally hyperbolic spacetime cannot make sense of without producing a boundary to the light ray's existence. The theorem turns this focusing intuition into a hard inequality (the Raychaudhuri equation) and a global topological obstruction.

Proof sketch

Step 1 (trapped surface, in symbols). Let SS be a closed spacelike 2-surface, and let θ\theta denote the expansion of a bundle of null geodesics leaving SS orthogonally — the fractional rate at which the bundle's cross-sectional area grows. Far from any mass, the outgoing bundle expands (θout>0\theta_{\text{out}}>0) and the ingoing one contracts (θin<0\theta_{\text{in}}<0). SS is trapped if instead θout<0,θin<0\theta_{\text{out}}<0, \qquad \theta_{\text{in}}<0 on all of SS: even the outgoing light is being dragged inward.

Step 2 (the Raychaudhuri equation). Differentiating the definition θ=∇aka\theta=\nabla_a k^a of the expansion along the null congruence with tangent kak^a, and using the definition of the Riemann tensor to commute derivatives, gives the exact kinematic identity dθdλ=−θ22−σabσab−Rabkakb\frac{d\theta}{d\lambda} = -\frac{\theta^2}{2} - \sigma_{ab}\sigma^{ab} - R_{ab}k^ak^b where σab\sigma_{ab} is the shear tensor of the congruence. This equation is purely geometric — a statement about how any family of light rays must bend, following from the definition of curvature, before any physics is assumed.

Step 3 (energy condition forces further focusing). Physically reasonable matter satisfies the null energy condition Rabkakb≥0R_{ab}k^ak^b \ge 0 and the shear term σabσab≥0\sigma_{ab}\sigma^{ab}\ge0 always (it is a sum of squares); dropping both non-negative terms from the right of Step 2's identity gives the inequality dθdλ≤−θ22\frac{d\theta}{d\lambda} \le -\frac{\theta^2}{2}

Step 4 (the Riccati inequality forces a finite-time blow-up). On a trapped surface θ0<0\theta_0<0 at λ=0\lambda=0. As long as θ\theta stays negative, dividing the inequality by θ2>0\theta^2>0 and rearranging gives ddλ(1θ)≥12  ⟹  1θ(λ)≥1θ0+λ2\frac{d}{d\lambda}\left(\frac{1}{\theta}\right) \ge \frac12 \;\Longrightarrow\; \frac{1}{\theta(\lambda)} \ge \frac{1}{\theta_0}+\frac{\lambda}{2} Since the right side grows without bound as λ\lambda increases while 1/θ1/\theta (negative) must satisfy this lower bound, 1/θ1/\theta is forced up toward 0−0^-, i.e. θ→−∞\theta\to-\infty, at some finite affine parameter λ∗≤2/∣θ0∣\lambda_*\le 2/|\theta_0|: the null congruence orthogonal to SS must develop a conjugate point (a caustic, where neighboring light rays cross) within finite affine time.

Step 5 (from local focusing to global incompleteness). A standard result of causal structure theory (used but not re-derived here) shows that a null geodesic in a globally hyperbolic spacetime cannot remain achronal — cannot stay on the boundary of the future of a set — past a conjugate point. Combined with the non-compact Cauchy surface, this rules out the geodesic looping back or terminating in an ordinary way, and forces at least one null geodesic orthogonal to SS to be future-incomplete: it cannot be extended to arbitrarily large affine parameter. By definition, this incompleteness is what Penrose calls a singularity — the theorem shows it must occur without any assumption of symmetry, whenever a trapped surface forms.

Topics that use this theorem

Step-by-step proofs

No step-by-step proof yet for this theorem.

References

  1. Charles W. Misner, Kip S. Thorne, John Archibald Wheeler (1973). Gravitation
  2. Roger Penrose (1965). Gravitational Collapse and Space-Time Singularities · DOI:10.1103/PhysRevLett.14.57
  3. B. P. Abbott et al. (LIGO Scientific Collaboration and Virgo Collaboration) (2016). Observation of Gravitational Waves from a Binary Black Hole Merger · DOI:10.1103/PhysRevLett.116.061102
  4. Event Horizon Telescope Collaboration (2022). First Sagittarius A* Event Horizon Telescope Results. I. The Shadow of the Supermassive Black Hole in the Center of the Milky Way · DOI:10.3847/2041-8213/ac6674
  5. Sergiu Klainerman, Jérémie Szeftel (2021). Kerr stability for small angular momentum · arXiv:2104.11857 [preprint, not peer-reviewed]
  6. Geoffrey Penington (2019). Entanglement Wedge Reconstruction and the Information Paradox · arXiv:1905.08255 [preprint, not peer-reviewed]