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EMM_Black_Holes_titelei 24.11.2008 10:35 Uhr Seite 1
EMM_Black_Holes_titelei 24.11.2008 10:35 Uhr Seite 2

EMS Monographs in Mathematics

Edited by
Ivar Ekeland (Pacific Institute, Vancouver, Canada)
Gerard van der Geer (University of Amsterdam, The Netherlands)
Helmut Hofer (Courant Institute, New York, USA)
Thomas Kappeler (University of Zürich, Switzerland)

EMS Monographs in Mathematics is a book series aimed at mathematicians and scientists. It publishes
research monographs and graduate level textbooks from all fields of mathematics. The individual volumes are
intended to give a reasonably comprehensive and selfcontained account of their particular subject.
They present mathematical results that are new or have not been accessible previously in the literature.

Previously published in this series:

Richard Arratia, A.D. Barbour and Simon Tavaré, Logarithmic combinatorial structures: a probabilistic approach
Demetrios Christodoulou, The Formation of Shocks in 3-Dimensional Fluids
Sergei Buyalo and Viktor Schroeder, Elements of Asymptotic Geometry
EMM_Black_Holes_titelei 24.11.2008 10:35 Uhr Seite 3

Demetrios Christodoulou

The Formation of
Black Holes in
General Relativity
EMM_Black_Holes_titelei 24.11.2008 10:35 Uhr Seite 4

Author:

Prof. Demetrios Christodoulou

Department of Mathematics
ETH-Zentrum
8092 Zürich
Switzerland

2000 Mathematical Subject Classification (primary; secondary): 83C57; 35L70, 35Q75, 58J45, 83C75

ISBN 978-3-03719-068-5

The Swiss National Library lists this publication in The Swiss Book, the Swiss national bibliography,
and the detailed bibliographic data are available on the Internet at http://www.helveticat.ch.

This work is subject to copyright. All rights are reserved, whether the whole or part of the material is
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reproduction on microfilms or in other ways, and storage in data banks. For any kind of use permission
of the copyright owner must be obtained.

© 2009 European Mathematical Society

Contact address:
European Mathematical Society Publishing House
Seminar for Applied Mathematics
ETH-Zentrum FLI C4
CH-8092 Zürich
Switzerland

Phone: +41 (0)44 632 34 36

Email: [email protected]
Homepage: www.ems-ph.org

Printed in Germany

987654321
To my wife

Nikoleta
Contents

Prologue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1 The Optical Structure Equations
1.1 The basic geometric setup . . . . . . . . . . . . . . . . . . . . . . . . 29
1.2 The optical structure equations . . . . . . . . . . . . . . . . . . . . . . 33
1.3 The Bianchi equations . . . . . . . . . . . . . . . . . . . . . . . . . . 54
1.4 Canonical coordinate systems . . . . . . . . . . . . . . . . . . . . . . . 59
2 The Characteristic Initial Data
2.1 The characteristic initial data . . . . . . . . . . . . . . . . . . . . . . . 63
2.2 Construction of the solution in an initial domain . . . . . . . . . . . . . 88
3 L∞ Estimates for the Connection Coefficients
3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
3.2 L ∞ estimates for χ  . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
3.3 L ∞ estimates for χ  . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
3.4 L ∞ estimates for η, η . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
3.5 L ∞ estimates for ω, ω . . . . . . . . . . . . . . . . . . . . . . . . . . 107
3.6 The smallness requirement on δ . . . . . . . . . . . . . . . . . . . . . 111
4 L 4 (S) Estimates for the 1st Derivatives of the Connection Coefficients
4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
4.2 L 4 (S) estimates for ∇
/χ . . . . . . . . . . . . . . . . . . . . . . . . . . 128
4.3 L 4 (S) estimates for ∇
/χ . . . . . . . . . . . . . . . . . . . . . . . . . . 131
4.4 L 4 (S) estimates for ∇
/ η, ∇
/η . . . . . . . . . . . . . . . . . . . . . . . . 135
4.5 L 4 (S) estimates for d/ω, d/ω . . . . . . . . . . . . . . . . . . . . . . . . 141
4.6 L 4 (S) estimates for Dω, Dω . . . . . . . . . . . . . . . . . . . . . . . 144
5 The Uniformization Theorem
5.1 Introduction. An L 2 (S) estimate for K − K . . . . . . . . . . . . . . . 147
5.2 Sobolev inequalities on S. The isoperimetric constant . . . . . . . . . . 153
5.3 The uniformization theorem . . . . . . . . . . . . . . . . . . . . . . . 162
5.4 L p elliptic theory on S . . . . . . . . . . . . . . . . . . . . . . . . . . 170
viii Contents

6 L 4 (S) Estimates for the 2nd Derivatives of the Connection Coefficients

6.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181
6.2 L 4 (S) estimates for ∇
/ 2 χ, K − K . . . . . . . . . . . . . . . . . . . . 182
6.3 L (S) estimates for ∇
4 / 2χ . . . . . . . . . . . . . . . . . . . . . . . . . 187
6.4 L 4 (S) estimates for ∇
/ 2 η, ∇
/ 2η . . . . . . . . . . . . . . . . . . . . . . 193
6.5 L 4 (S) estimate for ∇
/ 2ω
. . . . . . . . . . . . . . . . . . . . . . . . . 206
6.6 L 4 (S) estimate for ∇
/ 2ω . . . . . . . . . . . . . . . . . . . . . . . . . 212

7 L 2 Estimates for the 3rd Derivatives of the Connection Coefficients

7.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
7.2 L 2 estimates for ∇
/ 2 η, ∇
/ 2η . . . . . . . . . . . . . . . . . . . . . . . . 216
7.3 L 2 elliptic theory for generalized Hodge systems on S . . . . . . . . . . 221
7.4 L 2 (S) estimates for ∇/ 3 χ  , d/ K . . . . . . . . . . . . . . . . . . . . . . 233
7.5 L estimates for ∇
2 / χ . . . . . . . . . . . . . . . . . . . . . . . . . .
3 238
7.6 L 2 estimates for ∇
/ 3 η, ∇
/ 3η . . . . . . . . . . . . . . . . . . . . . . . . 242
7.7 L2 estimate for ∇
/ 3ω . . . . . . . . . . . . . . . . . . . . . . . . . . . 256
7.8 L 2 estimates for ∇
/ 2 ω and ∇/ 3ω . . . . . . . . . . . . . . . . . . . . . 263
7.9 L estimates for d/ Dω, d/ Dω, D 2 ω, D 2 ω . . . . . . . . . . . . . . . . .
2 267

8 The Multiplier Fields and the Commutation Fields

8.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275
8.2 L ∞ estimates for the deformation tensors of L, K and S . . . . . . . . 277
8.3 Construction of the rotation vectorfields Oi . . . . . . . . . . . . . . . 281
8.4 L ∞ estimates for the Oi and ∇/ Oi . . . . . . . . . . . . . . . . . . . . 287
8.5 L ∞ estimates for the deformation tensors of the Oi . . . . . . . . . . . 292

9 Estimates for the Derivatives of the

Deformation Tensors of the Commutation Fields
9.1 Estimates for the 1st derivatives of the deformation
tensors of L, S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299
9.2 Estimates for the 1st derivatives of the deformation
tensors of the Oi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301
9.3 Estimates for the 2nd derivatives of the deformation
tensors of L, S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313
9.4 Estimates for the 2nd derivatives of the deformation
tensors of the Oi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 316

10 The Sobolev Inequalities on the Cu and the C u

10.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325
10.2 The Sobolev inequalities on the Cu . . . . . . . . . . . . . . . . . . . . 328
10.3 The Sobolev inequalities on the C u . . . . . . . . . . . . . . . . . . . . 336
Contents ix

11 The S-tangential Derivatives and the Rotational Lie Derivatives

11.1 Introduction and preliminaries . . . . . . . . . . . . . . . . . . . . . . 343
11.2 The coercivity inequalities on the standard sphere . . . . . . . . . . . . 349
11.3 The coercivity inequalities on Su,u . . . . . . . . . . . . . . . . . . . . 354
12 Weyl Fields and Currents. The Existence Theorem
12.1 Weyl fields and Bianchi equations. Weyl currents . . . . . . . . . . . . 365
12.2 Null decompositions of Weyl fields and currents . . . . . . . . . . . . . 370
12.3 The Bel-Robinson tensor. The energy-momentum density
vectorfields . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 377
12.4 The divergence theorem in spacetime . . . . . . . . . . . . . . . . . . . 378
12.5 The energies and fluxes. The quantity P 2 . . . . . . . . . . . . . . . . 381
12.6 The controlling quantity Q2 . Bootstrap assumptions and
the comparison lemma . . . . . . . . . . . . . . . . . . . . . . . . . . 390
12.7 Statement of the existence theorem. Outline of the continuity
argument . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411
13 The Multiplier Error Estimates
13.1 Preliminaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423
13.2 The multiplier error estimates . . . . . . . . . . . . . . . . . . . . . . . 428
14 The 1st-Order Weyl Current Error Estimates
14.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 441
14.2 The error estimates arising from J 1 . . . . . . . . . . . . . . . . . . . 446
14.3 The error estimates arising from J 2 . . . . . . . . . . . . . . . . . . . 462
14.4 The error estimates arising from J 3 . . . . . . . . . . . . . . . . . . . 468
15 The 2nd-Order Weyl Current Error Estimates
15.1 The 2nd-order estimates which are of the same form
as the 1st-order estimates . . . . . . . . . . . . . . . . . . . . . . . . . 481
15.2 The genuine 2nd-order estimates . . . . . . . . . . . . . . . . . . . . . 493
16 The Energy-Flux Estimates. Completion of the Continuity Argument
16.1 The energy-flux estimates . . . . . . . . . . . . . . . . . . . . . . . . . 517
16.2 Higher-order bounds . . . . . . . . . . . . . . . . . . . . . . . . . . . 521
16.3 Completion of the continuity argument . . . . . . . . . . . . . . . . . . 551
16.4 Restatement of the existence theorem . . . . . . . . . . . . . . . . . . 571
17 Trapped Surface Formation . . . . . . . . . . . . . . . . . . . . . . . . . . 573
Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 583
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 587
Prologue

The story of the black hole begins with Schwarzschild’s discovery [Sc] of the Schwarz-
schild solution in 1916, soon after Einstein’s foundation of the general theory of relativ-
ity [Ei1] and his final formulation of the field equations of gravitation [Ei2], the Einstein
equations, in 1915. The Schwarzschild solution is a solution of the vacuum Einstein equa-
tions which is spherically symmetric and depends on a positive parameter M, the mass.
With r such that the area of the spheres, which are the orbits of the rotation group, is 4πr 2 ,
the solution in the coordinate system in which it was originally discovered had a singular-
ity at r = 2M. For this reason only the part which corresponds to r > 2M was originally
thought to make sense. This part is static and represents the gravitational field outside a
static, spherically symmetric body with surface area corresponding to some r0 > 2M.
However, the understanding of Schwarzschild’s solution gradually changed. First,
in 1923 Birkoff [Bir] proved a theorem which shows that the Schwarzschild solution
is the only spherically symmetric solution of the vacuum Einstein equations. One does
not therefore need to assume that the solution is static. Thus, Schwarzschild’s solution
represents the gravitational field outside any spherically symmetric body, evolving in any
manner whatever, for example undergoing gravitational collapse.
Eddington [Ed], in 1924, made a coordinate change which transformed the Schwarz-
schild metric into a form which is not singular at r = 2M, however he failed to take
proper notice of this. Only in 1933, with Lemaı̂tre’s work [L], was it realized that the
singularity at r = 2M is not a true singularity but rather a failure of the original coor-
dinate system. Eddington’s transformation was rediscovered by Finkelstein [Fi] in 1958,
who realized that the hypersurface r = 2M is an event horizon, the boundary of the re-
gion of spacetime which is causally connected to infinity, and recognized the dynamic
nature of the region r < 2M. Now, Schwarzschild’s solution is symmetric under time
reversal, and one part of it, the one containing the future event horizon, the boundary
of the region of spacetime which can send signals to infinity, is covered by one type of
Eddington-Finkelstein coordinates, while the other part, the one containing the past event
horizon, the boundary of the region of spacetime which can receive signals from infinity,
is covered by the other type of Eddington-Finkelstein coordinates. Actually, only the first
part is physically relevant, because only future event horizons can form dynamically, in
gravitational collapse. Systems of coordinates that cover the complete analytic extension
of the Schwarzschild solution had been provided earlier (in 1950) by Synge [Sy], and a
single most convenient system that covers the complete analytic extension was discovered
independently by Kruskal [Kr] and Szekeres [Sz] in 1960.
2 Prologue

Meanwhile in 1939, Oppenheimer and Snyder had studied the gravitational col-
lapse of a pressure-free fluid ball of uniform density, a uniform density “ball of dust”.
Even though this is a highly idealized model problem, their work was very significant,
being the first work on relativistic gravitational collapse. As mentioned above, the space-
time geometry in the vacuum region outside the ball is given by the Schwarzschild metric.
Oppenheimer and Snyder analyzed the causal structure of the solution. They considered
in particular an observer on the surface of the dust ball sending signals to a faraway
stationary observer at regularly spaced intervals as judged by his own clock. They discov-
ered that the spacing between the arrival times of these signals to the faraway observer
becomes progressively longer, tending to infinity as the radius r0 corresponding to the
surface of the ball approaches 2M. This effect has since been called the infinite redshift
effect. The observer on the surface of the dust ball may keep sending signals after r0 has
become less than 2M, but these signals proceed to ever smaller values of r until, within
a finite affine parameter interval, they reach a true singularity at r = 0. The observer on
the surface of the ball reaches this singular state himself within a finite time interval as
judged by his own clock. The concept of a future event horizon, and hence of a region
of spacetime bounded by this horizon from which no signals can be sent which reach
arbitrarily large distances, was thus already implicit in the Oppenheimer-Snyder work.
The 1964 work of Penrose [P1] introduced the concept of null infinity, which made
possible the precise general definition of a future event horizon as the boundary of the
causal past of future null infinity. A turning point was reached in 1965 with the intro-
duction by Penrose of the concept of a closed trapped surface and his proof of the first
singularity theorem, or, more precisely, incompleteness theorem [P2]. Penrose defined
a trapped surface as being a spacelike surface in spacetime, such that an infinitesimal
virtual displacement of the surface along either family of future-directed null geodesic
normals to the surface leads to a pointwise decrease of the area element. On the basis of
this concept, Penrose proved the following theorem:
A spacetime (M, g) cannot be future null geodesically complete if:
1. Ric(N, N) ≥ 0 for all null vectors N.
2. There is a non-compact Cauchy hypersurface H in M.
and:
3. There is a closed trapped surface S in M.
Here Ric is the Ricci curvature of g and condition 1 is always satisfied by virtue
of the Einstein equations and the physical positivity condition on the energy-momentum-
stress tensor of matter.
Once the notions of null infinity and of a closed trapped surface were introduced,
it did not take long to show that a spacetime with a complete future null infinity which
contains a closed trapped surface must contain a future event horizon, the interior of
which contains the trapped surface (see [H-E], Proposition 9.2.1). For the ideas and meth-
ods which go into Penrose’s theorem the reader may consult, besides the monograph by
Hawking and Ellis just mentioned, the article by Penrose in [P3] as well as his mono-
graph [P4]. Further singularity theorems, which also cover cosmological situations, were
Prologue 3

subsequently established by Hawking and Penrose (see [H-E]), but it is the original sin-
gularity theorem quoted above which is of interest in the present context, as it concerns
gravitational collapse. We should also mention that the term black hole for the interior of
the future event horizon was introduced by Wheeler in 1967 (see [Wh]).
Now, the 1952 work of Choquet-Bruhat [Cho1] (see also [Cho2] and [Cho3]) had
shown that any initial data set (H, g, k), where H is a 3-dimensional manifold, g is a
Riemannian metric on H and k is a symmetric 2-covariant tensorfield on H , such that the
pair (g, k) satisfies the so-called “constraint equations”, has a future development (M, g),
namely a 4-dimensional manifold M endowed with a Lorentzian metric g satisfying the
vacuum Einstein equations, such that H is the past boundary of M, g and k are the first
and second fundamental forms of H relative to (M, g), and for each p ∈ M each past-
directed causal curve initiating at p terminates at a point of H . The constraint equations
are the contracted Codazzi and twice contracted Gauss equations of the embedding of
H in M. The subsequent 1969 work of Choquet-Bruhat and Geroch [C-G] then showed
that each such an initial data set has a unique maximal future development M ∗ , namely a
future development, in the above sense, which extends every other future development of
the same initial data set. Geroch [Ge] subsequently showed that for any future develop-
ment (M, g), M is diffeomorphic to [0, ∞) × H . Moreover, the above theorems extend
to the case where instead of vacuum we have suitable matter, such as a perfect fluid, or an
electromagnetic field. In the light of the theorem of Choquet-Bruhat and Geroch, condi-
tion 2 in Penrose’s theorem may be replaced by the statement that (M, g) is the maximal
future development of initial data on a complete non-compact spacelike hypersurface.
In 1990 Rendall [R] solved in a very satisfactory manner the local characteristic
initial value problem for the vacuum Einstein equations (earlier work had been done by
Choquet-Bruhat [Cho4] and by Müller with Hagen and Seifert [M-S]). In this case we
have, in the role of H , either two null hypersurfaces C and C intersecting in a spacelike
surface S, S being the past boundary of both C and C, or a future null geodesic cone
Co of a point o. The initial data on C and C are the conformal intrinsic geometry of
these null hypersurfaces, together with the full intrinsic geometry of S, the initial rate of
change of the area element of S under displacement along C and C, and a certain 1-form
on S (the torsion). The initial data on Co are the conformal intrinsic geometry of Co and
certain regularity conditions at o. In contrast to the case where the initial data are given
on a spacelike hypersurface, there are no constraints, and the initial data can be freely
specified. The theorem of Rendall then shows that any such characteristic initial
data has
a future development (M, g), bounded in the past by a neighborhood of S in C C and of
o in Co respectively. The theorem of Choquet-Bruhat and Geroch, which applies to future
developments, then shows that there is a unique maximal future development (M ∗ , g)
corresponding to the given characteristic initial data.
Now the proof of the theorem of Penrose is by showing that if M were complete,
the boundary ∂ J + (S) of the causal future J + (S) of the closed trapped surface S would be
compact. The integral curves of any timelike vectorfield on M would define a continuous
mapping of ∂ J + (S) into H , M being a development of H , and this mapping would have
to be a homeomorphism onto its image, ∂ J + (S) being compact. This leads to a contra-
diction with the assumption that H is non-compact. We see that the proof makes no use
4 Prologue

of the strictly spacelike nature of H other than through the assumption that M is a future
development of H . We may therefore replace H by a complete future null geodesic cone
and restate the theorem as follows. Here vacuum or suitable matter is assumed. We do not
state the first condition of Penrose’s because as we already mentioned, it is automatically
satisfied by virtue of the physical positivity condition that the energy-momentum-stress
tensor of matter satisfies.
Let us be given regular characteristic initial data on a complete null geodesic cone Co
of a point o. Let (M ∗ , g) be the maximal future development of the data on Co . Sup-
pose that M ∗ contains a closed trapped surface. Then (M ∗ , g) is future null geodesically
incomplete.
An important remark at this point is that it is not a priori obvious that closed trapped
surfaces are evolutionary. That is, it is not obvious whether closed trapped surfaces can
form in evolution starting from initial conditions in which no such surfaces are present.
What is more important, the physically interesting problem is the problem where the
initial conditions are of arbitrarily low compactness, that is, arbitrarily far from already
containing closed trapped surfaces, and we are asked to follow the long-time evolution
and show that, under suitable circumstances, closed trapped surfaces eventually form.
Only an analysis of the dynamics of gravitational collapse can achieve this aim.
Returning to our review of the historical development of the black hole concept, a
very significant development took place in 1963, shortly before the work of Penrose. This
was the discovery by Kerr [Ke] of a two-parameter family of axially symmetric solutions
of the vacuum Einstein equations, with an event horizon, the exterior of which is a regular
asymptotically flat region. The two parameters are the mass M, which is positive, and
the angular momentum L about the axis of symmetry, which is subject to the restriction
|L| ≤ M 2 . Kerr’s solution reduces in the special case of vanishing angular momentum to
Schwarzschild’s solution. The Kerr solution possesses an additional Killing field, besides
the generator of rotations about the axis, however this additional Killing field, in contrast
to the case of the Schwarzschild solution, is timelike not on the entire exterior of the
horizon, but only in the exterior of a non-spacelike hypersurface containing the horizon.
So only in this exterior region is the solution stationary in a strict sense. At every point
of the region between the two hypersurfaces, called the ergosphere, the additional Killing
field is spacelike, but the plane which is the linear span of the two vectors at this point is
timelike. On the horizon itself the plane becomes null and tangent to the horizon, and the
null line generating this null plane defines the angular velocity of the horizon, a constant
associated to the horizon. Kerr’s solution is symmetric under time reversal if also the sign
of the angular momentum is reversed, hence it possesses, besides the future event horizon,
also an unphysical past event horizon, just like the Schwarzschild solution.
The fascinating properties of the Kerr solution were revealed in the decade fol-
lowing its discovery. In particular, Boyer and Lindquist [B-L] introduced a more con-
venient coordinate system and obtained the maximal analytic extension. One of these
fascinating properties which concerns us here is that the hypersurfaces of constant Boyer-
Lindquist coordinate t are complete asymptotically flat maximal spacelike hypersurfaces,
their maximal future development contains closed trapped surfaces and, in accordance
Prologue 5

with Penrose’s theorem, is incomplete. Nevertheless the future boundary of the maximal
development is nowhere singular, the solution extending as an analytic solution across
this boundary. This future boundary is a regular null hypersurface, a Cauchy horizon, il-
lustrating the fact that incompleteness of the maximal future development does not imply
a singular future boundary.
Returning again to the question of whether closed trapped surfaces are evolution-
ary, one may at first hand say that the question was already settled in the affirmative by
the Oppenheimer-Snyder analysis. This is because hyperbolic systems of partial differen-
tial equations, such as the Einstein-Euler equations describing a perfect fluid in general
relativity, possess the property of continuous dependence of the solution on the initial
conditions. This holds at a given non-singular solution, for a given finite time interval.
Thus, since the initial condition of a homogeneous dust ball leads to a trapped sphere
within a finite time interval, initial conditions which are sufficiently close to this special
initial condition will also lead to the formation of closed trapped surfaces within the same
time interval, the condition for a closed spacelike surface to be trapped being an open
condition. However, as we remarked above, the case that one is really interested in is
that for which the initial homogeneous dust ball is of low compactness, far from already
containing trapped spheres, and it is only by contracting for a sufficiently long time that
a trapped sphere eventually forms. In this case the closeness condition of the continuous
dependence theorem may require the initial conditions to be so unreasonably close to
those of a homogeneous dust ball that the result is devoid of physical significance.
With the above remarks in mind the author turned to the study of the gravitational
collapse of an inhomogeneous dust ball [Chr1]. In this case, the initial state is still spher-
ically symmetric, but the density is a function of the distance from the center of the ball.
The corresponding spherically symmetric solution had already been obtained in closed
form by Tolman in 1934 [T], in comoving coordinates, but its causal structure had not
been investigated. This required integrating the equations for the radial null geodesics.
A very different picture from the one found by Oppenheimer and Snyder emerged from
this study. The initial density being assumed a decreasing function of the distance from
the center, so that the central density is higher than the mean density, it was found that as
long as the collapse proceeds from an initial state of low compactness, the central density
becomes infinite before a black hole has a chance to form, thus invalidating the neglect of
pressure and casting doubt on the predictions of the model from this point on, in particular
on the prediction that a black hole eventually forms.
At this point the author turned to the spherically symmetric scalar field model
[Chr2]. This is the next simplest material model after the dust model. The energy-mo-
mentum-stress tensor of matter is in this case that corresponding to a scalar field φ:
1
Tµν = ∂µ φ∂ν φ + σ gµν , σ = −(g −1 )µν ∂µ φ∂ν φ. (1)
2
The integrability condition for Einstein’s equations, namely that Tµν is divergence-free,
is then equivalent to the wave equation for φ relative to the metric g. The problem had
been given to the author by his teacher, John Archibald Wheeler, in 1968 (see [Chr3]), as
a model problem through which insight into the dynamics of gravitational collapse would
6 Prologue

be gained. In the case of the dust model, there is no force opposing the gravitational
attraction , so there is no alternative to collapse. This is not the case for the scalar field
model and indeed in [Chr2] it was shown that, if the initial data are suitably small, we
obtain a complete regular solution dispersing to infinity in the infinite future. So, for the
scalar field model there is a threshold for gravitational collapse. In this paper and the
papers on the scalar field that followed, the initial data were given on a complete future
null geodesic cone Co extending to infinity. The initial data on Co consist of the function
α0 = ∂(r φ)/∂s|Co , s being the affine parameter along the generators of Co .
The next paper [Chr4] on the scalar field problem addressed the general case, when
the initial data were no longer restricted by a smallness condition. The aim of this work
was to prove the existence of a solution with a complete domain of outer communications,
that is, a development possessing a complete future null infinity, the domain of outer com-
munications being defined as the causal past of future null infinity. This was tantamount to
proving the weak cosmic censorship conjecture of Penrose [P5] (called “asymptotic future
predictability” in [H-E]) in the context of the spherically symmetric scalar field model.
The aim was not reached in this paper. What was established instead was the existence,
for all regular asymptotically flat initial data, of a generalized solution corresponding to a
complete domain of outer communications. A generalized solution had enough regularity
to permit the study of the asymptotic behavior in the domain of outer communications in
the next paper, however no uniqueness could be claimed for these generalized solutions,
so the conjecture of Penrose was left open.
In [Chr5] it was shown that when the final Bondi mass, that is, the infimum of the
Bondi mass at future null infinity, is different from zero, a black hole forms of mass equal
to the final Bondi mass, surrounded by vacuum. The rate of growth of the redshift of light
seen by faraway observers was determined and the asymptotic wave behavior at future
null infinity and along the event horizon was analyzed. However, the question of whether
there exist initial conditions which lead to a non-zero final Bondi mass was not addressed
in this paper.
The next paper [Chr6] was a turning point in the study of the spherically symmetric
scalar field problem. Because of the fact that it has provided a stepping stone for the
present monograph, I quote its main theorem. Here Co denotes the initial future null
geodesic cone.
Consider on Co an annular region bounded by two spheres S1,0 and S2,0 with S2,0
in the exterior of S1,0 . Let δ0 and η0 be the dimensionless size and the dimensionless mass
content of the region, defined by

r2,0 2(m 2,0 − m 1,0 )

δ0 = − 1, η0 = ,
r1,0 r2,0

r1,0 , r2,0 and m 1,0 , m 2,0 being the area radii and mass contents of S1,0 , S2,0 respectively.
Let C 1 and C 2 be incoming null hypersurfaces through S1,0 and S2,0 and consider the
spheres S1 and S2 at which C 1 and C 2 intersect future null geodesic cones C with vertices
on the central timelike geodesic 0 . There are positive constants c0 and c1 such that, if
Prologue 7

δ0 ≤ c0 and  
1
η0 > c1 δ0 log ,
δ0
then S2 becomes trapped before S1 reduces to a point on 0 . There is a future null
geodesic cone C ∗ with vertex on 0 such that S2∗ is a maximal sphere in C ∗ while r1∗ > 0.
It was further shown that the region of trapped spheres, the trapped region, termi-
nates at a strictly spacelike singular boundary, and contains spheres whose mass content
is bounded from below by a positive constant depending only on r1,0 , r2,0 , a fact which
implies that the final Bondi mass is positive, thus connecting with the previous work.
An important remark concerning the proof of the above theorem needs to be made
here. The proof does not consider at all the region interior to the incoming null hypersur-
face C 1 . However, the implicit assumption is made that no singularities form on 0 up to
the vertex of C ∗ . If a smallness condition is imposed on the restriction of the initial data to
the interior of S1,0 , the argument of [Chr2] shows that this assumption indeed holds. Also,
by virtue of the way in which the theorem was later applied in [Chr9], the assumption in
question was a priori known to hold.
Since the spherical dust model had been disqualified by [Chr1] as establishing the
dynamical formation of trapped spheres, the work [Chr6] was the first to establish the dy-
namical formation of closed trapped spheres in gravitational collapse, although, of course,
severely limited by the restriction to spherical symmetry and by the fact that it concerned
an idealized matter model.
Solutions with initial data of bounded variation were considered in [Chr7] and a
sharp sufficient condition on the initial data was found for the avoidance of singularities,
namely that the total variation be sufficiently small, greatly improving the result of [Chr2].
Moreover, a sharp extension criterion for solutions was established, namely that if the
ratio of the mass content to the radius of spheres tends to zero as we approach a point on
0 from its causal past, then the solution extends as a regular solution to include a full
neighborhood of the point. The structure of solutions of bounded variation was studied
and it was shown that at each point of 0 the solutions are locally scale invariant. Finally,
the behavior of the solutions at the singular boundary was analyzed.
In [Chr8] the author constructed examples of solutions corresponding to regular
asymptotically flat initial data which develop singularities that are not preceded by a
trapped region but have future null geodesic cones expanding to infinity. It was thus es-
tablished for the first time that naked singularities do, in fact, occur in the gravitational
collapse of a scalar field. Also, other examples were constructed which contain singu-
lar future null geodesic cones that have collapsed to lines and again are not preceded by
trapped regions.
The work on the spherically symmetric scalar field model culminated in [Chr9].
Taking the space of initial data to be the space A of absolutely continuous functions on
the non-negative real line, the theorem proved in [Chr9] was the following.
Let us denote by R the subset of A consisting of those initial data which lead to a complete
maximal future development, and by S its complement in A. Let also G ⊂ S be the
subset consisting of those initial data which lead to a maximal development possessing a
8 Prologue

complete future null infinity and a strictly spacelike singular future boundary. Then E =
S \ G has the following property. For each initial data α0 ∈ E there is a function f ∈ A,
depending on α0 , such that the line Lα0 = {α0 + c f : c ∈ } in A is contained in G,
except for α0 itself. Moreover, the lines Lα0,1 , Lα0,2 corresponding to distinct α0,1 , α0,2 ∈
E do not intersect.
The exceptional set E being, according to this theorem, of codimension at least 1, the
theorem established, within the spherically symmetric scalar field model, the validity not
only of the weak cosmic censorship conjecture of Penrose, but also of his strong cosmic
censorship conjecture, formulated in [P6]. This states, roughly speaking, that generic
asymptotically flat initial data have a maximal development which is either complete or
terminates in a totally singular future boundary. The general notion of causal boundary of
a spacetime manifold was defined in [G-K-P]. The relationship between the two cosmic
censorship conjectures is discussed in [Chr10]. In the case of the spherically symmetric
scalar field model, there is no system of local coordinates in which the metric extends as
a Lorentzian metric through any point of the singular future boundary.
The proof of the above theorem is along the following lines. It is first shown that if
0 is complete, the maximal future development is also complete. Thus one can assume
that 0 has a singular end point e. We then consider C e , the boundary of the causal
past of e. This intersects the initial future null geodesic cone Co in a sphere S0,e . Given
then any sphere S0,1 exterior to S0,e on Co , but as close as we wish to S0,e , we consider
the incoming null hypersurface C 1 through S0,1 . Allowing a suitable modification of the
initial data as in the statement of the theorem, with f a function vanishing in the interior
of S0,e on Co , it is then shown that there exists a point p0 on 0 , earlier than e, such that
the annular region on the future null geodesic cone C p0 , with vertex at p0 , bounded by the
intersections with C e and C 1 satisfies the hypotheses of the theorem of [Chr6]. It is in this
part of the proof that the singular nature of the point e is used. Application of the theorem
of [Chr6] then shows that if we consider future null geodesic cones C p with vertices p on
the segment of 0 between p0 and e, and the corresponding  intersections with C e and C 1 ,
then for some p∗ in this segment earlier than e, C p∗ C 1 is a maximal sphere in C p∗ ,
and the part of C 1 to the future of this sphere lies in a trapped region. We see therefore
the essential role played by the formation of trapped spheres theorem of [Chr6] in the
proof of the cosmic censorship conjectures in [Chr9] in the framework of the spherically
symmetric scalar field model.
A model, closely related to the scalar field model but with surprising new features,
was studied by Dafermos in [D1], [D2]. In this model we have in addition to the scalar
field an electromagnetic field. The two fields are only indirectly coupled, through their in-
teraction with the gravitational field, the energy-momentum-stress tensor of matter being
the sum of (1) with the Maxwell energy-momentum-stress tensor for the electromagnetic
field. By the imposition of spherical symmetry, the electromagnetic field is simply the
Coulomb field corresponding to a constant charge Q. This is non-vanishing by virtue of
the fact that the topology of the manifold is 2 × S 2 , like the manifold of the Schwarz-
schild solution, so there are spheres which are not homologous to zero. Dafermos showed
that in this case part of the boundary of the maximal development is a Cauchy horizon,
through which the metric can be continued in a C 0 manner, but at which, generically,
Prologue 9

the mass function blows up. As a consequence, generically, there is no local coordinate
system in any neighborhood of any point on the Cauchy horizon in which the connec-
tion coefficients (Christoffel symbols) are square-integrable. This means that the solution
ceases to make sense even as a weak solution of the Einstein-Maxwell-scalar field equa-
tions if we attempt to include the boundary. The work of Dafermos illustrates how much
care is needed in formulating the strong cosmic censorship conjecture. In particular, the
formulation given in [Chr10] according to which C 0 extensions through the boundary of
the maximal development are generically excluded, turned out to be incorrect. Only if
the condition is added that there be no extension as a solution, even in a weak sense, to
include any part of the boundary, is the counterexample avoided.
Before the work on the scalar field model was completed, the author introduced
and studied a model which was designed to capture some of the features of actual stellar
gravitational collapse, while capitalizing to a maximum extent on the knowledge gained
in the study of the dust and scalar field models. This was the two-phase model, introduced
in [Chr11] and studied further in [Chr12] and [Chr13]. Let us recall here that a perfect
fluid model is in general defined by specifying a function e(n, s), the energy per particle
as a function of n, the number of particles per unit volume, and s, the entropy per particle.
This is called the equation of state. Then the mass-energy density ρ, the pressure p and
the temperature θ are given by:
∂e ∂e
ρ = ne, p = n2 , θ= . (2)
∂n ∂s
The mechanics of a perfect fluid are governed by the differential conservation laws

∇ν T µν = 0, ∇µ I µ = 0 (3)

where T µν is the energy-momentum-stress tensor

T µν = ρu µ u ν + p((g −1 )µν + u µ u ν ), (4)

u µ being the fluid velocity, and

I µ = nu µ (5)
is the particle current. In the case of the two-phase model, p is a function of ρ alone. For
such fluids, called barotropic, p and ρ are functions of the single variable

µ = nm(s) (6)

where m(s) is a positive increasing function of s. In the two-phase model, if ρ is less than
a critical value, which by proper choice of units we may set equal to 1, the matter is as
soft as possible, the sound speed being equal to 0, while if ρ is greater than 1, the matter
is as hard as possible, the sound speed being equal to 1, that is, to the speed of light in
vacuum. Let us recall here that the sound speed η is in general given by
 
dp
η =
2
. (7)
dρ s
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