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 be a closed spacelike 2-surface, and let denote the expansion of a bundle of null geodesics leaving orthogonally — the fractional rate at which the bundle's cross-sectional area grows. Far from any mass, the outgoing bundle expands () and the ingoing one contracts (). is trapped if instead on all of : even the outgoing light is being dragged inward.
Step 2 (the Raychaudhuri equation). Differentiating the definition of the expansion along the null congruence with tangent , and using the definition of the Riemann tensor to commute derivatives, gives the exact kinematic identity where 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 and the shear term always (it is a sum of squares); dropping both non-negative terms from the right of Step 2's identity gives the inequality
Step 4 (the Riccati inequality forces a finite-time blow-up). On a trapped surface at . As long as stays negative, dividing the inequality by and rearranging gives Since the right side grows without bound as increases while (negative) must satisfy this lower bound, is forced up toward , i.e. , at some finite affine parameter : the null congruence orthogonal to 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 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
- Charles W. Misner, Kip S. Thorne, John Archibald Wheeler (1973). Gravitation
- Roger Penrose (1965). Gravitational Collapse and Space-Time Singularities · DOI:10.1103/PhysRevLett.14.57
- 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
- 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
- Sergiu Klainerman, Jérémie Szeftel (2021). Kerr stability for small angular momentum · arXiv:2104.11857 [preprint, not peer-reviewed]
- Geoffrey Penington (2019). Entanglement Wedge Reconstruction and the Information Paradox · arXiv:1905.08255 [preprint, not peer-reviewed]