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# Absence of trapped surfaces and singularities in cylindrical collapse

## I Introduction

The issue of formation of horizons in generic gravitational collapse remains an outstanding problem of classical general relativity. The original concept of trapped surface, due to Penrose penrose68 , defines it as a compact spatial two-surface $`S`$ on which $`\theta _{}\theta _+>0`$, where $`\theta _\pm `$ are the expansions in the future-pointing null directions orthogonal to $`S`$. Trapped surfaces signal thus the boundary of a region where any initially expanding null congruence begins to converge; clearly, they define regions of ‘no escape’. Assuming that cosmic censorship holds, the existence of trapped surfaces implies that of an event horizon, which contains the latter hawking&ellis73 . In spherical symmetry, both sufficient and necessary conditions for the occurrence of trapped surfaces have been obtained, which are essentially of the form $`mr`$, where $`m`$ and $`r`$ refer to local (or quasi-local) definitions of mass and radius bizon&malec&omurchadha88 .

Understandably, much less is known about horizon formation in non-spherical geometries. Arguably one of the strongest results to date is that of Shoen and Yau shoen&yau83 , who obtained a sufficient criterion for the formation of trapped surfaces in an arbitrary spacetime: for a given lower bound for the mass density, there is an upper bound for the matter radius, above which trapped surfaces will form. However, being a sufficient condition for the occurrence of trapped surfaces, this result cannot say anything about the conditions under which the collapsing spacetime fails to develop horizons, possibly leading to naked singularities. As with several other notable issues in relativity, a conjecture has been put forward regarding its solution: Thorne’s hoop conjecture states that “horizons form when and only when a mass $`M`$ gets compacted into a region whose circumference in every direction is $`𝒞4\pi M`$” thorne72 . As originally stated, the conjecture leaves ample room for different definitions of horizon, mass and circumference. In spite of this ambiguity, no known counter-example appears to exist: numerical simulations of prolate and oblate collapse shapiro&teukolsky91 , gravitational radiation emission in aspherical collapse nakamura&shibata&nakao93 , and analytical studies of prolate collapsing spheroids barrabes&israel&letelier91-pelath&tod&wald98  either confirmed or could not refute the conjecture. Detailed analyses of cylindrical pressureless dust thorne65phd ; echeverria93 , and counter-rotating dust collapse apostolatos&thorne92  also confirmed the non-occurrence of horizons.

Cylindrical spacetimes (defined below) constitute an obvious class of spacetimes to study non-perturbative departures from spherical symmetry. Although such spacetimes do not model exactly the dynamical evolution—and inherent gravitational-wave emission—of bounded bodies, they possess a non-trivial field content and constitute thus a valuable test-bed for numerical relativity inverno97 , quantum gravity ashtekar&pierri96-korotkin&samtleben98 , and for probing the cosmic censorship and hoop conjectures berger&chrusciel&moncrief95 . Since several definitions of cylindrical symmetry exist, one must adopt one to work with. In this paper we shall consider cylindrical spacetimes defined by the existence of two commuting spacelike Killing vector fields (such that the orthogonal spacetime is integrable): one translational ($`_z`$) and the other with closed orbits $`(_\varphi )`$, where the azimuthal coordinate $`\varphi `$ is to be identified at $`0`$ and $`2\pi `$. In addition, we take $`_z`$ and $`_\varphi `$ to be hypersurface orthogonal, which implies that the cylindrical waves in the vacuum regions admit only one polarization beck25 ; einstein&rosen37 .

The purpose of this paper is twofold: (i) study the occurrence of trapped surfaces in dynamical cylindrical spacetimes with a thin shell of arbitrary matter, and (ii) motivate the notion that realistic (in a suitably defined sense) matter is necessary to prevent the formation of curvature singularities. Specifically, we consider an infinite cylindrical thin shell with the most general surface stress-energy tensor defined on it, in an otherwise vacuum spacetime. We examine three alternative criteria for trapped surfaces, and show that they can never form, regardless of the matter content for the shell. We also show that—for one class of matter models—the violation of the weak energy condition (WEC) implies that collapse cannot be halted by an outward pressure gradient, and therefore the formation of an infinite spindle-like singularity is inevitable.

The paper is organized as follows: Section II derives the needed mathematical framework, and the vacuum and junction condition equations for the spacetime. Section III discusses trapped surfaces according to three alternative criteria, and shows that there are no trapped cylinders anywhere on the spacetime, except at the limiting case of asymptotic null infinity. This limiting behavior is then explained via the Newman-Penrose formalism. In Sec. IV, we consider two different classes of matter content, and show that, the WEC is either necessary for collapse to halt, or sufficient for it to have a chance of being halted. Section V concludes with a summary and discussion.

Natural geometrized units, in which $`8\pi G=c=1`$, are used throughout.

## II Infinite cylindrical thin shell of generic matter

The complete four-dimensional spacetime consists of an interior vacuum region $`_{}`$ connected to an exterior vacuum $`_+`$ by a three-dimensional thin shell $`\mathrm{\Sigma }`$. The vacuum regions are characterized by the Einstein-Rosen metric einstein&rosen37

$$ds_\pm ^2=e^{2(\gamma _\pm \psi _\pm )}(dt_\pm ^2+dr_\pm ^2)+e^{2\psi _\pm }dz^2+r_\pm ^2e^{2\psi _\pm }d\varphi ^2,$$
(1)
where $`\gamma =\gamma (t,r)`$, $`\psi =\psi (t,r)`$, and the coordinate systems $`\{x_\pm ^\mu \}`$ are adopted. On $`\mathrm{\Sigma }`$ there is a natural holonomic basis $`\{e_{(a)}\}`$ given by

$$e_{(a)}^\mu |_\pm =\frac{x_\pm ^\mu }{\xi ^a},$$
(2)
where $`\{\xi ^a,a=0,1,2\}`$ are intrinsic coordinates on $`\mathrm{\Sigma }`$. The induced three-metric $`\gamma _{ab}`$ on $`\mathrm{\Sigma }`$ is then

$$\gamma _{ab}=g_{\mu \nu }e_{(a)}^\mu e_{(b)}^\nu ,$$
(3)
and it is the same on both sides of $`\mathrm{\Sigma }`$, since the four-metric must be continuous across it. This leads to

$`ds_\mathrm{\Sigma }^2`$ $`=`$ $`d\tau ^2+e^{2\psi _\mathrm{\Sigma }(\tau )}dz^2+R^2(\tau )e^{2\psi _\mathrm{\Sigma }(\tau )}d\varphi ^2,`$ (4)
$`{\displaystyle \frac{dt_\pm }{d\tau }}`$ $`=`$ $`\sqrt{\dot{R}^2+e^{2(\psi _\mathrm{\Sigma }\gamma _\pm )}}\eta _\pm .`$ (5)
The $`zz`$ and $`\varphi \varphi `$ components of the metric junction condition $`[g_{\mu \nu }]g_{\mu \nu }^+g_{\mu \nu }^{}=0`$ imply that the $`r`$ coordinate is continuous across $`\mathrm{\Sigma }`$. In the equations above, $`\tau `$ is the proper time measured by an observer comoving with the shell, with four-velocity

$$u_\pm ^\mu =\eta _\pm \delta _{t_\pm }^\mu +\dot{R}\delta _r^\mu ,$$
(6)
where $`\dot{R}=dR/d\tau `$. The shell $`\mathrm{\Sigma }`$ is defined by

$$\mathrm{\Phi }(x^\mu )=rr_\mathrm{\Sigma }(t_\pm )=rR(\tau )=0.$$
(7)
The spacelike unit normal to $`\mathrm{\Sigma }`$ is

$$n_\pm ^\mu =\alpha ^1(\xi ^a)g_\pm ^{\mu \nu }_\nu ^\pm \mathrm{\Phi }=\dot{R}\delta _{t_\pm }^\mu +\eta _\pm \delta _r^\mu ,$$
(8)
where $`\alpha e^{2(\psi _\mathrm{\Sigma }\gamma _\pm )}\eta _\pm ^1`$ is a normalization factor.

The normal extrinsic curvature, $`K_{ab}^\pm `$, is israel66-67

$$K_{ab}:=n_\mu e_{(b)}^\nu _\nu e_{(a)}^\mu =n_\sigma \left(\frac{^2x^\sigma }{\xi ^a\xi ^b}+\mathrm{\Gamma }_{\mu \nu }^\sigma \frac{x^\mu }{\xi ^a}\frac{x^\nu }{\xi ^b}\right).$$
(9)
Its non-vanishing components are:

$`K_{\tau \tau }^\pm `$ $`=`$ $`D_{}\psi _\pm D_{}\gamma _\pm {\displaystyle \frac{1}{\eta _\pm }}\left[\ddot{R}+\dot{R}(\dot{\gamma }_\pm \dot{\psi }_\mathrm{\Sigma })\right],`$ (10)
$`K_{zz}^\pm `$ $`=`$ $`e^{2\psi _\mathrm{\Sigma }}D_{}\psi _\pm ,`$ (11)
$`K_{\varphi \varphi }^\pm `$ $`=`$ $`e^{2\psi _\mathrm{\Sigma }}R(\eta _\pm +RD_{}\psi _\pm ),`$ (12)
where $`D_{}n^\mu _\mu `$ is the normal derivative with respect to $`\mathrm{\Sigma }`$, and the object

$$\frac{d^2r_\mathrm{\Sigma }(t_\pm )}{dt_\pm ^2}=\eta _\pm ^4e^{2(\psi _\pm \gamma _\pm )}[\ddot{R}+\dot{R}(\dot{\gamma }_\pm \dot{\psi }_\mathrm{\Sigma })]$$
(13)
was used.

For the matter content on the shell, we consider the most general stress-energy tensor $`S_{ab}`$ defined on $`\mathrm{\Sigma }`$, compatible with the metric (4):

$$S_{ab}=\rho \delta _a^\tau \delta _b^\tau +p_ze^{2\psi _\mathrm{\Sigma }}\delta _a^z\delta _b^z+p_\varphi R^2e^{2\psi _\mathrm{\Sigma }}\delta _a^\varphi \delta _b^\varphi ,$$
(14)
where $`\rho `$, $`p_z`$, and $`p_\varphi `$ are the proper surface energy density, pressure along the $`z`$-direction, and surface stress, respectively, as measured by an observer comoving with the shell with four-velocity given by (6).

### II.1 Vacuum field equations

The vacuum field equations are (where the $`\pm `$ subscript has been dropped for simplicity):

$`\psi _{,tt}r^1\psi _{,r}\psi _{,rr}=0,`$ (15)
$`\gamma _{,t}=2r\psi _{,r}\psi _{,t},`$ (16)
$`\gamma _{,r}=r[(\psi _{,t})^2+(\psi _{,r})^2].`$ (17)
We are thus left with the axisymmetric wave equation (15), which is decoupled from Eqs. (16)-(17). One first solves the wave equation with appropriate boundary data, and then solve for (16)-(17) by quadratures. Remarkably, these two equations are compatible because their integrability condition is precisely the wave equation (15).

The general (outgoing) solution to the wave equation (15) is given by

$$\psi (t,r)=\mathrm{}_0^{\mathrm{}}A(\omega )e^{i\omega t}H_0^{(1)}(\omega r)𝑑\omega ,$$
(18)
where $`A(\omega )`$ is a complex-valued function, and $`H_n^{(1)}(x):=J_n(x)+iY_n(x)`$ is a Hankel function of the first kind, and $`J_n`$ and $`Y_n`$ are Bessel functions of the first and second kind, respectively abramovitz&stegun64 .

### II.2 Junction conditions for the shell

On the shell, Einstein’s equations reduce to the Darmois-Israel junction conditions for the normal extrinsic curvature darmois27 ; israel66-67 :

$$[K_{ab}]K_{ab}^+K_{ab}^{}=S_{ab}+\frac{1}{2}S\gamma _{ab}.$$
(19)
The non-vanishing components of the above equation are $`zz`$, $`\varphi \varphi `$, and $`\tau \tau `$, which yield, respectively:

$`[D_{}\psi ]`$ $`=`$ $`{\displaystyle \frac{1}{2}}\mathrm{\Delta },`$ (20)
$`\left[\eta \right]`$ $`=`$ $`R\rho ,`$ (21)
$`\left[\eta \gamma _{,r}\right]`$ $`=`$ $`p_\varphi {\displaystyle \frac{R\rho }{\eta _+\eta _{}}}(\ddot{R}\dot{R}\dot{\psi }_\mathrm{\Sigma }),`$ (22)
where

$$\mathrm{\Delta }2p_zS_a^a=\rho +p_zp_\varphi .$$
(23)
Using the field equations (16)-(17), Eq. (22) can be cast solely in terms of the wave-field $`\psi `$:

$$\ddot{R}=\dot{R}\dot{\psi }_\mathrm{\Sigma }+\eta _+\eta _{}\frac{p_\varphi }{R\rho }R\{\dot{\psi }_\mathrm{\Sigma }^2+(D_{}\psi _{})^2\}\frac{\eta _{}}{\rho }\mathrm{\Delta }\left(\frac{\mathrm{\Delta }}{4R}D_{}\psi _{}\right).$$
(24)
Equations (20) and (21) match the metric functions $`\psi `$ and $`\gamma `$ across $`\mathrm{\Sigma }`$, and Eq. (24) governs the motion of the shell. We note that, in the absence of a matter shell ($`\rho =0`$), it immediately follows from Eqs. (5) and (21) that the ‘time’ coordinate $`t`$ is continuous across $`\mathrm{\Sigma }`$ and hence it can be globally defined, as expected.

An additional constraint is obtained by the conservation of energy-momentum on $`\mathrm{\Sigma }`$:

$${}_{}{}^{(3)}_{b}^{}S_a^b=[e_{(a)}^\mu T_{\mu \nu }n^\nu ],$$
(25)
the only non-vanishing component of which gives

$$\dot{\rho }+(\rho +p_\varphi )\frac{\dot{R}}{R}+(p_zp_\varphi )\dot{\psi }_\mathrm{\Sigma }=[e_{(\tau )}^\mu T_{\mu \nu }n^\nu ]=0.$$
(26)
## III Trapped surfaces

### III.1 Proper circumference radius criterion

We shall use the following operational definition of trapped surface, which is a natural extension of Penrose’s penrose68 , for surfaces that are not necessarily compact nor two-dimensional: let $`S`$ be any non-null surface and $`\theta _\pm `$ the expansion in the future-oriented null directions normal to $`S`$, then $`S`$ is said to be a trapped surface iff $`\theta _+\theta _{}|_S0`$, where the inequality saturates for the marginally trapped case. In the present case, our surface $`S`$ is that of an infinite cylinder with proper circumference radius $`=re^\psi `$.

Modulo the two-dimensional quotient space orthogonal to the symmetry axis, the Einstein-Rosen metric is conformal to Minkowski spacetime (which is why the four-dimensional wave equation is formally the same as that of flat space), and thus it suffices to introduce flat spacetime null coordinates (where, for simplicity, the ‘$`\pm `$’ subscript is omitted):

$$u=tr,v=t+r,$$
(27)
to study the expansion of $`S`$ along normal null directions. We have then

$$\theta _\pm =(_t_r).$$
(28)
Trapped surfaces form when

$$\theta _+\theta _{}=(_{,t})^2(_{,r})^20.$$
(29)
#### III.1.1 Vacuum regions

In the vacuum regions, the above condition reads

$$r^2\psi _{,t}^2(1r\psi _{,r})^2.$$
(30)
One can use the asymptotic properties of Bessel functions (cf. Appendix B) to show that, for $`\omega r1`$,

$$\psi _{,t}\psi _{,r}\frac{1}{\sqrt{r}}\mathrm{}_0^{\mathrm{}}\omega A(\omega )e^{i[\omega (t+r)3\pi /4]}𝑑\omega .$$
(31)
Hence, for $`\omega r1`$,

$$\theta _+\theta _{}1+2r\psi _{,t}\psi _{,r}<0.$$
(32)
For large radii, this regime covers ‘almost’ all the frequencies, whereas for small radii, the validity of the inequality above is restricted to high-frequency modes with $`\omega r^11`$.

In general, it proves more convenient to look for outer marginally trapped surfaces (OMTS)—surfaces whose expansion vanishes along future-oriented null normal directions—since their existence is implied by that of trapped surfaces wald84 . Hence, it suffices to show that no OMTS form, to prove that there are no trapped surfaces. The condition for OMTS is

$$\theta _+=\psi _{,t}\frac{1}{r}+\psi _{,r}=0.$$
(33)
Partial differentiation of this equation with respect to $`t`$ and $`r`$ yields, respectively,

$$\psi _{,tr}=\psi _{,tt},\psi _{,tr}=\psi _{,rr}+\frac{1}{r^2}.$$
(34)
Combining these two equations with the wave equation (15) leads to

$$\psi _{,r}=\frac{1}{2}\psi _{,t}=\frac{1}{r}.$$
(35)
Now, from Eq. (31), we know that these two equalities fail to hold for $`\omega r1`$. To show that the same happens for $`\omega r1`$, we note that

$$_0^ax^nH_0^{(1)}(x)𝑑x<\mathrm{}\text{iff}n>1,$$

from which it follows that, as $`\omega 0`$, $`A(\omega )\omega ^n`$ with $`n>1`$. Hence, for $`\omega r1`$, we have

$$\psi _{,t}\psi _{,r}\frac{1}{r^{2+n}},$$
(36)
thereby showing that Eq. (35) also fails to hold for $`\omega r1`$. By construction, all of the above holds inside and outside the shell, and we conclude therefore that there are no trapped surfaces in neither vacuum region.

#### III.1.2 Shell

On the shell, the condition for OMTS is

$$\theta _+=\frac{R}{\eta }e^{\psi _\mathrm{\Sigma }}\left(\frac{\dot{R}}{R}\dot{\psi }_\mathrm{\Sigma }\frac{\eta }{R}\right)=0.$$
(37)
Since $`\eta /R>0`$, an obvious necessary condition for OMTS is

$$\frac{\dot{R}}{R}\dot{\psi }_\mathrm{\Sigma }>0.$$
(38)
However, for a collapsing configuration the physical circumference radius must decrease with proper time:

$$\dot{}<0\dot{R}R\dot{\psi }_\mathrm{\Sigma }<0,$$
(39)
which contradicts the necessary condition for OMTS. Hence, a collapsing shell can never become trapped, irrespective of the details of the matter content.

### III.2 Specific area radius criterion

An alternative definition of trapped cylinder has been recently proposed by Hayward hayward00 , and relies on the specific area radius, which is constructed as follows. The two spacelike Killing vectors $`\{_z,_\varphi \}`$ have a well-defined invariant geometric meaning:

$$:=|_\varphi |=\sqrt{_\varphi _\varphi }$$
(40)
is the proper circumference radius, and

$$l:=|_z|=\sqrt{_z_z}$$
(41)
is the specific Killing length. One can thus define a specific area for the cylinder as

$$A:=2\pi l=2\pi \stackrel{~}{r},$$
(42)
where $`\stackrel{~}{r}=l`$ is the specific area radius. A cylinder is said to be trapped, marginal, or untrapped if the vector $`N_\mu :=_\mu \stackrel{~}{r}`$ is timelike, null, or spacelike, respectively hayward00 . In our case, we have

$$=re^\psi ,l=e^\psi ,\stackrel{~}{r}=r.$$
(43)
From a geometrical viewpoint, this definition is perfectly acceptable, since, modulo invariant rotations, all of the spatial (‘radial’) submanifold orthogonal to the axis is covered by $`r[0,+\mathrm{})`$. However, from a physical standpoint, this definition is somewhat lacking, since the specific area radius is simply a coordinate radius, and as such changes under the rescaling $`z\alpha z`$ as $`r\alpha ^{1/2}r`$, unlike the proper circumference radius, which remains invariant under such rescaling. In addition, an external timelike observer can only measure proper circumferences, but not coordinate radii. Despite these shortcomings, and because of its useful geometrical meaning, we shall examine the formation of trapped surfaces according to it.

#### III.2.1 Vacuum regions

In the vacuum regions,

$$N_\mu ^{\mathrm{vac}}=\delta _\mu ^r,$$
(44)
and thus

$$\left(N_\mu N^\mu \right)_{\mathrm{vac}}=e^{2(\psi \gamma )}0.$$
(45)
Hence there are no trapped surfaces in the vacuum regions provided the quantity $`\psi \gamma `$ does not diverge negatively (in which the case a marginally trapped surface would form). Since $`g_{rr}=g_{tt}=e^{2(\gamma \psi )}`$, it follows that for regular spacetimes the inequality must be strict and thus there are no trapped surfaces. This is true for any cylindrical regular metric with two commuting hypersurface orthogonal Killing vectors. Accordingly, it holds inside and outside $`\mathrm{\Sigma }`$. In the interior vacuum region, it is straightforward to show that regularity of the axis implies absence of trapped surfaces. Let $`\chi |_\varphi |^2=r^2e^{2\psi }`$; then the symmetry axis is regular iff the following local flatness condition is obeyed exactsols

$$\underset{r0}{lim}\frac{\chi _{,\mu }\chi _,^\mu }{4\chi }=1,$$
(46)
which requires

$$\gamma (t,0)=0,\psi _{,t}|_{r=0}<\mathrm{},\psi _{,r}|_{r=0}<\mathrm{}.$$
(47)
Hence, $`|N|_{\mathrm{vac}}^2>0`$ along the axis.

#### III.2.2 Shell

On the shell,

$$N_\mu ^\mathrm{\Sigma }=\dot{R}\eta ^1\delta _\mu ^t+\delta _\mu ^r,$$
(48)
which gives

$$\left(N_\mu N^\mu \right)_\mathrm{\Sigma }=\eta ^2e^{2(\psi \gamma )}(\eta ^2\dot{R}^2)=\eta ^2e^{4(\psi \gamma )}0,$$
(49)
where the junction condition (5) was used in the last equality. Since the metric must be regular on $`\mathrm{\Sigma }`$, the inequality can never saturate, and thus $`\mathrm{\Sigma }`$ is free of trapped surfaces.

### III.3 Geodesic null congruences

A direct, physical way to probe the occurrence of trapped surfaces in the vacuum spacetime(s), is to examine the divergence of a congruence of outgoing radial (i.e., orthogonal to the symmetry axis) null geodesics (ORNG). To examine the behavior along null directions, it is convenient to introduce retarded Bondi coordinates $`\{u,r,z,\varphi \}`$, in which the Einstein-Rosen metric reads

$$ds^2=e^{2(\gamma \psi )}(du^2+2dudr)+e^{2\psi }dz^2+r^2e^{2\psi }d\varphi ^2.$$
(50)
In these coordinates, the vacuum field equations are

$`2\psi _{,ur}\psi _{,r}+r^1(\psi _{,u}\psi _{,r})=0,`$ (51)
$`\gamma _{,u}=2r\psi _{,u}(\psi _{,u}+\psi _{,r}),`$ (52)
$`\gamma _{,r}=r(\psi _{,r})^2.`$ (53)
The null vector field tangent to the ORNG is given by

$$k^\mu =\frac{dx^\mu }{d\lambda }=X(u,r)\delta _r^\mu ,$$
(54)
where $`\lambda `$ is an affine parameter along the geodesics, and $`X>0`$ since the geodesics are outgoing (i.e., $`r`$ is a monotonically increasing function of the affine parameter). The geodesic equation reads then

$$k^\nu _\nu k^\mu =X[X_{,r}+2X(\gamma _{,r}\psi _{,r})]\delta _r^\mu =0,$$
(55)
which readily integrates to

$$X(u,r)=f(u)e^{2(\psi \gamma )},$$
(56)
where $`f(u)>0`$ is an arbitrary function, fixed by the choice of $`X`$ for a given value of the coordinate $`r`$. For such a geodesic congruence, the expansion scalar is

$$\mathrm{\Theta }:=_\mu k^\mu =\frac{X(u,r)}{r}=\frac{f}{r}e^{2(\psi \gamma )}.$$
(57)
Clearly, as long as one restricts oneself to finite values of $`r`$, there are no trapped surfaces. There could be trapped surfaces at asymptotic future null infinity ftn1  $`𝒥^+`$if, for fixed $`u`$, $`lim_{r+\mathrm{}}X𝒪(r)`$. From a physical viewpoint, the possible occurrence of marginally trapped surfaces at $`𝒥^+`$is not worrisome, in that geodesic timelike observers can never reach $`𝒥^+`$ ftn2 . However, from an asymptotic infinity viewpoint, it is of interest to examine the limiting behavior of geodesic focusing in a radiative spacetime. The asymptotic behavior of $`\mathrm{\Theta }`$ at $`𝒥^+`$is given by

$`\mathrm{\Theta }|_{𝒥^+}`$ $`=`$ $`\underset{r+\mathrm{}}{lim}{\displaystyle \frac{X(u,r)}{r}}|_{u=u_0}`$ (58)
$`=`$ $`\underset{r+\mathrm{}}{lim}{\displaystyle \frac{f(u_0)}{r}}e^{2(\psi (u_0,r)\gamma (u_0,r))}.`$
The behavior of the wave-field $`\psi `$ \[which determines $`\gamma `$ via the field equations (52)-(53)\] at $`𝒥^+`$was computed by Ashtekar, Bi$`\stackrel{ˇ}{\mathrm{c}}`$ák, and Schmidt ashtekar&bicak&schmidt97 ; ashtekar&bicak&schmidt97b , and yields

$`\psi (u,r)`$ $`=`$ $`{\displaystyle \frac{c_0(u)}{\sqrt{r}}}+{\displaystyle \frac{1}{\sqrt{r}}}{\displaystyle \underset{n=1}{\overset{\mathrm{}}{}}}c_n(u)r^n,`$ (59)
$`\gamma (u,r)`$ $`=`$ $`\gamma _02{\displaystyle _{\mathrm{}}^u}c_0^2𝑑u{\displaystyle \underset{n=1}{\overset{\mathrm{}}{}}}{\displaystyle \frac{b_n(u)}{n+1}}{\displaystyle \frac{1}{r^{1+n}}},`$ (60)
where $`c_0^{}=dc_0/du`$, and the coefficients $`c_n`$ and $`b_n`$ are determined from the initial Cauchy data. From Eqs. (58)-(60) it follows that

$$\mathrm{\Theta }|_{𝒥^+}=0.$$
(61)
This limiting behavior reflects the fact that, near $`𝒥^+`$the cylindrical waves behave locally like plane waves, which intersect the congruence of ORNG, thereby causing them to start (marginally) converging (cf. Fig. 1).

Such behavior is best described using the Newman-Penrose formalism np . The two relevant equations are (cf. Appendix C)

$`D\theta `$ $`=`$ $`\theta ^2+\sigma \overline{\sigma }+\mathrm{\Phi }_{00},`$ (62)
$`D\sigma `$ $`=`$ $`\sigma (\theta +\overline{\theta })+\mathrm{\Psi }_{(0)},`$ (63)
which govern the evolution of the expansion $`\theta `$ and shear $`\sigma `$ of the ORNG, respectively. Near $`𝒥^+`$the congruence is orthogonally intersected by plane waves aligned with $`n^\mu `$ (cf. Fig. 1). The existence of a transverse wave component in the $`n^\mu `$ direction ftn3  is signaled by a non-vanishing $`\mathrm{\Psi }_{(0)}`$:

$$\mathrm{\Psi }_{(0)}=C_{\alpha \beta \mu \nu }l^\alpha m^\beta l^\mu m^\nu 0.$$
(64)
This non-zero $`\mathrm{\Psi }_{(0)}`$ implies—by Eq. (63)—that the congruence starts to shear, with the shear axis being determined by the polarization of the wave (i.e., the wave-field $`\psi `$). This introduces a non-negative term

$$\sigma \overline{\sigma }=\left(\psi _{,t}\psi _{,r}+\frac{1}{2r}\right)^2$$
(65)
into Eq. (62), thereby inducing the congruence to converge.

### III.4 $`C`$-energy

The concept of $`C`$-energy was introduced by Thorne thorne65  as a local definition of energy density per unit Killing-length $`z`$ for cylindrical systems. Being a locally defined quantity in spacetimes with a translational Killing field, its relation to energy-like quantities defined in asymptotically flat spacetimes (e.g., the ADM or Bondi mass) becomes unclear ftn4 . In fact, as shown by Ashtekar and Varadarajan ashtekar&varadarajan94 ; varadarajan95 , the Hamiltonian that generates asymptotic time translations at spatial infinity is not the $`C`$-energy, but a non-polynomial function of it, which is positive and bounded from above. Nevertheless, being a locally conserved and measurable quantity, $`C`$-energy remains a very useful tool for the analysis of cylindrical systems, and, unsurprisingly, it can be linked to the occurrence of conical singularities xanthopoulos86  and trapped surfaces hayward00 .

Following Thorne thorne65 , we introduce the $`C`$-energy potential

$$C(t,r):=\frac{1}{8}(1e^{2\gamma }),$$
(66)
which is proportional to the total $`C`$-energy contained inside a cylinder of specific area radius $`r`$ per unit Killing-length $`z`$. The $`C`$-energy flux vector $`P^\mu `$ is given by

$`P^\mu `$ $`:=`$ $`{\displaystyle \frac{1}{8}}ϵ^{\mu \nu \alpha \beta }\sqrt{g}[\mathrm{ln}(18C)]_{,\nu }{\displaystyle \frac{_{(z)\alpha }}{|_z|^2}}{\displaystyle \frac{_{(\varphi )\beta }}{|_\varphi |^2}}`$ (67)
$`=`$ $`{\displaystyle \frac{e^{2(\psi \gamma )}}{r}}(C_{,r}\delta _t^\mu C_{,t}\delta _r^\mu ),`$
and obeys the local conservation law $`_\mu P^\mu =0`$. An observer with 4-velocity $`u^\mu `$ measures a $`C`$-energy density $`=P^\mu u_\mu `$, and the $`C`$-energy flux across a hypersurface $`\mathrm{\Sigma }`$ with spacelike normal $`n^\mu `$ (such that $`n^\mu u_\mu =0`$) is $`=P^\mu n_\mu `$.

From Eqs. (45) and (66) it follows that

$$(N_\mu N^\mu )_{\mathrm{vac}}=e^{2\psi }\left(18C\right).$$
(68)
Hence, trapped surfaces form whenever

$$C\frac{1}{8},$$
(69)
where the inequality saturates for the marginally trapped case. This is the cylindrical analogue of the well-known asymptotically flat spherically symmetric condition $`E1/2`$ for Tolman-Bondi spacetimes tbeg , where $`Em_{\mathrm{MS}}/R_\mathrm{p}`$ is the Misner-Sharp mass misner&sharp64  per unit proper area radius. In the present case, $`C<1/8`$ and the vacuum regions are untrapped.

## IV Singularities

The issue of singularity formation in cylindrical collapse of a thin shell has been addressed for the particular cases of pressureless dust and counter-rotating dust (i.e., with a non-vanishing tangential pressure component). The pure dust case was analyzed by Thorne thorne65phd  and Echeverria echeverria93 , who showed that complete collapse is inevitable, and an infinite spindle-like singularity must thus form as a result. The case of counter-rotating dust coupled to Einstein-Rosen waves was addressed by Apostolatos and Thorne apostolatos&thorne92 , who resorted to sequences of momentarily static radiation-free (MSRF) configurations and $`C`$-energy balance arguments to conclude that an arbitrarily small amount of counter-rotation (and, very likely, also of net rotation) suffices to halt collapse, thereby precluding the formation of spindle singularities. The counter-rotating case was recently revisited by Pereira and Wang pereira&wang00 , who considered a flat interior and an outgoing null fluid exterior (as opposed to a ‘realistic’ vacuum containing cylindrical waves); by means of further assumptions for the matter content, they obtained a simple solvable model which admits initial data leading to a spindle singularity, thus in apparent contradiction with the earlier results. However, the model is highly contrived, and the assumptions made render it unphysical, since the dynamics of the exterior null fluid can only be obtained a posteriori, after a particular solution for the motion of the shell is derived. It is therefore conceivable that a more realistic model, wherein the emission of gravitational radiation arises dynamically from the inward accelerated motion of the shell, will qualitatively agree with the results of apostolatos&thorne92 .

We shall conjecture here ftn5  that realistic matter is required to prevent the occurrence of singularities. To support this conjecture, we examine below two classes of matter models for which the WEC is either necessary for collapse to halt, or sufficient for it to be able to halt.

### IV.1 $`\mathrm{\Delta }=0`$

We consider here the case $`\mathrm{\Delta }=0\rho =p_\varphi p_z`$. This case includes the Pereira-Wang matter model ($`p_z=0`$, $`\rho =p_\varphi `$), and a subcase of the Apostolatos-Thorne model ($`p_z=0`$, but not necessarily $`\rho =p_\varphi `$). Then, the junction conditions (20) and (24) simplify to

$`[D_{}\psi ]`$ $`=`$ $`0,`$ (70)
$`\ddot{R}`$ $`=`$ $`\dot{R}\dot{\psi }_\mathrm{\Sigma }+\eta _+\eta _{}{\displaystyle \frac{p_\varphi }{R\rho }}R\{\dot{\psi }_\mathrm{\Sigma }^2+(D_{}\psi _{})^2\},`$ (71)
and the local conservation equation on the shell becomes

$$\frac{\dot{\rho }}{\rho }+\left(1+\frac{p_\varphi }{\rho }\right)\frac{\dot{R}}{R}\dot{\psi }=0.$$
(72)
This equation can be easily integrated by assuming a functional relation between $`\rho `$ and $`p_\varphi `$, which, for simplicity, we take to be of barotropic form: $`p_\varphi =\alpha \rho `$, where the real constant $`\alpha ^2<1`$, to preserve causality. This gives then

$$\rho =A\frac{e^{\psi _\mathrm{\Sigma }}}{R^{1+\alpha }},$$
(73)
where $`A>0`$ is an integration constant, which is dimensionful and scales as $`[A]R^\alpha L^\alpha `$, such that $`[\rho ]L^1`$. This constant $`A`$ turns out to be constrained by the fact that there is an upper limit for the total rest mass per unit proper length, which arises from the requirement of radial nonclosure of space. Specifically, the space around a given cylindrical configuration is radially non-closed iff ftn6

$$2\pi R\sigma _{\mathrm{AT}}<\frac{1}{4},$$
(74)
where $`\sigma _{\mathrm{AT}}\rho /(8\pi )`$ is the total rest mass per unit proper area (the factor of $`8\pi `$ arises because we work with units in which $`8\pi G=1`$, whereas Apostolatos and Thorne use $`G=1`$). In our case, the total rest mass per unit proper length is the dimensionless quantity

$$m_\mathrm{p}=\frac{1}{4}R\rho =\frac{1}{4}Ae^{\psi _\mathrm{\Sigma }}R^\alpha ,$$
(75)
from which it follows that we must have

$$R\rho <1,$$
(76)
or $`A<e^{\psi _\mathrm{\Sigma }}R^\alpha `$, if (73) holds. (We note that this constraint on the rest mass per unit proper length plays no role in the subsequent assertion that the WEC is a necessary condition for singularities not to form.)

We now look for local extrema of $`R`$, and show that the obedience of the WEC is necessary for collapse to be halted. Local extrema of $`R`$ occur at $`\tau =\tau _\mathrm{e}`$, such that $`\dot{R}_\mathrm{e}=0`$ and $`\ddot{R}_\mathrm{e}0`$. From Eq. (71) we have then

$$\ddot{R}_\mathrm{e}=\eta _{}(\rho +p_z)\left(1\frac{\eta _{}}{R\rho }\right)R\{\dot{\psi }_\mathrm{\Sigma }^2+(D_{}\psi _{})^2\},$$
(77)
where the junction condition (21) was used, and the right-hand-side is to be evaluated at $`\tau =\tau _\mathrm{e}`$. Since the last summand is manifestly negative and $`\eta _{}>0`$, a necessary condition for collapse to be halted (i.e., for $`\ddot{R}_\mathrm{e}>0`$) is

$$(\rho +p_z)\left(\frac{\eta _{}}{R\rho }1\right)>0.$$
(78)
By Eqs. (5) and (21), the second term is always positive for $`\rho >0`$. It then follows that we must have $`\rho +p_z>0`$ if collapse is to be halted. This means that the WEC (which requires $`\rho >0`$ and $`\rho +p_i>0i`$) must be satisfied in order for $`R`$ to admit a real positive minimum; in addition, since $`\rho =p_\varphi p_z`$ by hypothesis, we must also have $`p_\varphi >0`$. If $`p_z<\rho `$ and/or $`p_\varphi <0`$, then condition (78) is violated and there are no local minima of $`R`$, with collapse inevitably proceeding to $`R=0`$, wherein a spindle-like singularity forms. We remark that this case requires at least one of the principal pressures to be non-vanishing, since $`p_z=p_\varphi =0\rho =0`$.

### IV.2 $`\mathrm{\Delta }=\rho `$

This case corresponds to isotropic pressure, $`\mathrm{\Delta }=\rho p_z=p_\varphi `$. The acceleration equation at the local extrema reads

$$\ddot{R}_\mathrm{e}=\eta _{}\left(\eta _+\frac{p_\varphi }{R\rho }+D_{}\psi _{}\right)\frac{\eta _{}\rho }{4R}R\{\dot{\psi }_\mathrm{\Sigma }^2+(D_{}\psi _{})^2\}.$$
(79)
At the extrema, $`\dot{R}_\mathrm{e}=0`$, and, since $`\mathrm{\Delta }=\rho `$, it follows from the junction conditions (20), (21) that

$$[D_{}\psi ]=[\eta ]\psi _{,r}^\mathrm{\Sigma }=\frac{1}{2R}[\eta ]\psi _{,r}^\mathrm{\Sigma }|_{\tau _\mathrm{e}}=\frac{1}{2R_\mathrm{e}}.$$
(80)
Equation (79) can then be rewritten as

$$\ddot{R}_\mathrm{e}=\frac{\eta _{}}{R_\mathrm{e}}\left(\eta _+\frac{p_\varphi }{\rho }+\frac{\eta _{}}{4}\right)\left(R_\mathrm{e}\dot{\psi }_\mathrm{\Sigma }^2+\frac{\rho \eta _{}}{4R_\mathrm{e}}\right).$$
(81)
The last summand is manifestly negative, so a necessary condition for $`\ddot{R}_\mathrm{e}>0`$ is

$$\eta _+\frac{p_\varphi }{\rho }+\frac{1}{4}\eta _{}>0,$$
(82)
where all quantities are evaluated at $`\tau =\tau _\mathrm{e}`$. Clearly, if the WEC holds, the condition above is satisfied. Condition (82) defines a negative lower bound for $`p_\varphi `$,

$$p_\varphi >\frac{1}{4}\rho \frac{\eta _{}}{\eta _+},$$
(83)
which would be incompatible with a violation of the WEC (i.e., with $`p_\varphi <\rho `$) iff $`4\eta _+\eta _{}`$. By the junction condition (21), this is equivalent to $`\eta _+^\mathrm{e}(R\rho )/3`$, where $`\eta _+^\mathrm{e}=e^{\psi _\mathrm{\Sigma }\gamma _+}`$. Now, for a given $`r_{}=R(\tau _{})`$, we can rescale the Killing coordinate $`z`$, such that $`\psi _\mathrm{\Sigma }^{}=\psi _\mathrm{\Sigma }(R_{})=0`$; doing this for $`R_\mathrm{e}`$, the inequality $`\eta _+^\mathrm{e}(R\rho )/3`$ becomes

$$\gamma _+^\mathrm{e}\mathrm{ln}(R\rho /3).$$
(84)
To examine whether this can at all be verified, we will assume that, in addition to being momentarily static (which, by definition, is the case at the extrema), the configuration is also radiation-free at $`\tau =\tau _\mathrm{e}`$, i.e., that $`\psi _{,t}=\psi _{,tt}=0`$ at $`t_\pm (\tau _\mathrm{e})`$. With these ansatze, the wave-equation (15) has the trivial solution:

$$\psi _\pm =\psi _\mathrm{\Sigma }k_\pm \mathrm{ln}(r/R),$$
(85)
where $`k_\pm `$ is a constant. Then, Eqs. (16),(17) yield

$$\gamma _\pm =\gamma _\pm ^\mathrm{e}+k_\pm ^2\mathrm{ln}(r/R).$$
(86)
The regularity conditions (47) imply $`k_{}=\gamma _{}^\mathrm{e}=0`$, thereby fixing the interior solution as $`\psi _{}=\psi _\mathrm{\Sigma }`$ and $`\gamma _{}=0`$. From Eqs. (5) and (21), together with the solution for $`\gamma _{}`$, we get

$$\gamma _+^\mathrm{e}=\mathrm{ln}(1R\rho ).$$
(87)
Hence, condition (84) would be automatically satisfied (i.e., the WEC would be a necessary condition for collapse to halt) iff

$$R\rho \frac{3}{4}.$$
(88)
This inequality is stronger than the one imposed by radial nonclosure of space ($`R\rho <1`$), and as such may or may not hold at $`\tau =\tau _\mathrm{e}`$. For this particular case, the approach adopted here cannot show that a violation of the WEC contradicts condition (82) without additional assumptions for the initial data (this does not, of course, imply that a violation of the WEC necessarily allows for collapse to be halted). This case is nevertheless instructive in that it (i) shows that the WEC is a sufficient condition for collapse to have a chance of being halted, and (ii) provides a self-consistency check: if the WEC holds, then the requirement of radial nonclosure of space is automatically satisfied.

## V Conclusions

We studied in detail the formation of trapped surfaces in polarized cylindrical spacetimes with a thin shell of arbitrary matter. We showed that, for arbitrarily large $`r`$, no trapped surfaces form, either in the vacuum regions, or on the shell, regardless of the matter content of the latter. We studied the limiting behavior of the expansion of a congruence of future-directed outgoing radial null geodesics, and found that they become marginally trapped exactly at future null infinity. This limiting behavior is due to the interaction between the null geodesics and an orthogonal (locally) plane wave, whose non-vanishing transverse component induces the congruence to start focusing, via a Raychaudhuri-type equation.

The fact that no trapped surfaces form irrespective of the matter content for the shell, could suggest that this is perhaps an artifact of the simple geometry adopted, in which case it would not necessarily hold in a fully generic cylindrical spacetime, with non-hypersurface-orthogonal Killing vectors (and whose vacuum regions, because of this, admit two polarizations). However, preliminary calculations preli  indicate that this may not be the case, thus in accord with the spirit of the hoop conjecture.

Even for the simple case of irrotacional dust ($`p_z=p_\varphi =0`$), an analytical solution for the shell motion in closed form appears impossible to obtain, with the only available fully dynamical solution being numeric echeverria93 . Since there is no pressure, total implosion is inevitable, and one can thus derive analytical approximations for the late stages of collapse, when the dynamics is highly relativistic, and the shell asymptotes null dust. Such approximations are valuable for an analytical treatment of the singularity and its structure. In the presence of pressures, however, total implosion is not guaranteed (in fact it was shown not to occur, in the case of couter-rotating dust apostolatos&thorne92 ) and, accordingly, one cannot use any approximation for the late stages, since one cannot know a priori whether and/or when collapse is halted. To be able to make statements about the endstate of collapse without numerical aid one must thus resort to specific classes of models and look for simplifying (but admissable) ansatze.

To examine the effects of matter on the occurrence of singularities, we considered here two classes of matter models, which generalize and complement existing examples in the literature. By using the junction conditions on the shell, together with the assumption of positive energy density, we showed that, for the first class the WEC is a necessary condition for collapse to halt, and a sufficient condition for collapse to be able to halt in the second matter model. Based on these results, and those of pressureless and counter-rotating dust, we have put forward the mild conjecture that realistic matter is required to prevent singularity formation. In the conjecture, realistic is meant to imply that the WEC holds and at least one of the principal pressures is non-vanishing.

The inclusion of another polarization makes the model mathematically more complicated, but the physics appears to remain largely unchanged (in particular, no singularities seem to form) piran&nafier&stark85-86 . Accordingly, we expect the trapped surface results presented here to qualitatively extend to the unpolarized case, as well as the conditions regarding the shell dynamics. Work in this direction is currently underway goncalves&moncrief .

###### Acknowledgements.

It is a pleasure to thank Vince Moncrief for helpful discussions and comments on the manuscript. This work was supported by FCT (Portugal) Grant SFRH-BPD-5615-2001.

## Appendix A Non-existence of a global four-dimensional coordinate system

Let us consider the stress-energy tensor associated with $`\mathrm{\Sigma }`$ expressed as a four-dimensional distribution:

$$T_\mathrm{\Sigma }^{\mu \nu }:=S^{ab}e_{(a)}^\mu e_{(b)}^\nu |\alpha |\delta (\mathrm{\Phi }).$$
(89)
Its components are:

$$T_\mathrm{\Sigma }^{\mu \nu }=\rho \eta _\pm ^1e^{2(\psi _\mathrm{\Sigma }\gamma _\pm )}\delta (\mathrm{\Phi })\text{diag}(\eta _\pm ^2,\dot{R}^2,p_ze^{2\psi _\mathrm{\Sigma }},p_\varphi R^2e^{2\psi _\mathrm{\Sigma }}).$$
(90)
The independent non-vanishing components of $`G_{\mu \nu }`$ are:

$`G_{tt}`$ $`=`$ $`G_{rr}=\psi _{,t}^2\psi _{,r}^2+r^1\gamma _{,r},`$ (91)
$`G_{tr}`$ $`=`$ $`2\psi _{,t}\psi _{,r}+r^1\gamma _{,t},`$ (92)
$`G_{zz}`$ $`=`$ $`e^{2\gamma +4\psi }\left[2(\psi _{,tt}\psi _{,rr}r^1\psi _{,r})+\gamma _{,rr}\gamma _{,tt}\psi _{,t}^2+\psi _{,r}^2\right],`$ (93)
$`G_{\varphi \varphi }`$ $`=`$ $`e^{2\gamma }r^2\left(\gamma _{,rr}\gamma _{,tt}\psi _{,t}^2+\psi _{,r}^2\right).`$ (94)
Einstein’s equations give then

$`\psi _{,t}^2\psi _{,r}^2+r^1\gamma _{,r}=T_{tt}=T_{rr},`$ (95)
$`\gamma _{,t}=2r\psi _{,t}\psi _{,r},`$ (96)
$`\psi _{,tt}\psi _{,rr}r^1\psi _{,r}={\displaystyle \frac{1}{2\eta }}(p_zp_\varphi )\delta (\mathrm{\Phi }).`$ (97)
In the vacuum regions these equations reduce to the set (15)-(17), as expected. On the shell, however, they imply $`T_{tt}^\mathrm{\Sigma }=T_{rr}^\mathrm{\Sigma }\eta ^2=\dot{R}^2`$, which is only true if \[cf. Eq. (5)\] $`\gamma _\pm ^\mathrm{\Sigma }+\mathrm{}`$, but this in turn renders the four-metric singular on $`\mathrm{\Sigma }`$. This simply means that one cannot use a four-dimensional formulation for the whole spacetime, since the (four-dimensional) Einstein equation $`T_{tt}=T_{rr}`$ only holds in the vacuum regions. One must therefore adopt two different coordinate systems, for the inner and outer vacuum regions, and match them across $`\mathrm{\Sigma }`$ via the Darmois-Israel junction conditions.

## Appendix B Elementary properties of Bessel functions

Consider the integral

$$I(t,r)_0^{\mathrm{}}A(\omega )e^{i\omega t}H_0^{(1)}(\omega r)𝑑\omega ,$$
(98)
where $`A(\omega )`$ is a complex-valued function, and $`H_n^{(1)}(x):=J_n(x)+iY_n(x)`$ is a Hankel function of the first kind, and $`J_n`$ and $`Y_n`$ are Bessel functions of the first and second kind, respectively. Partial differentiation of $`I`$ yields

$`I_{,t}`$ $`=`$ $`{\displaystyle _0^{\mathrm{}}}i\omega A(\omega )e^{i\omega t}H_0^{(1)}(\omega r)𝑑\omega ,`$ (99)
$`I_{,r}`$ $`=`$ $`{\displaystyle _0^{\mathrm{}}}\omega A(\omega )e^{i\omega t}H_1^{(1)}(\omega r)𝑑\omega .`$ (100)
Now, for $`z1`$, we have

$$H_n^{(1)}(z)\sqrt{\frac{2}{\pi z}}e^{i[z\frac{\pi }{2}(n+\frac{1}{2})]},$$
(101)
from which it follows that, for $`\omega r1`$,

$`I_{,t}`$ $``$ $`i{\displaystyle _0^{\mathrm{}}}\sqrt{{\displaystyle \frac{2\omega }{\pi r}}}A(\omega )e^{i[\omega (rt)\frac{\pi }{4}]}𝑑\omega ,`$ (102)
$`I_{,r}`$ $``$ $`{\displaystyle _0^{\mathrm{}}}\sqrt{{\displaystyle \frac{2\omega }{\pi r}}}A(\omega )e^{i[\omega (rt)\frac{3\pi }{4}]}𝑑\omega ,`$ (103)
$``$ $`i{\displaystyle _0^{\mathrm{}}}\sqrt{{\displaystyle \frac{2\omega }{\pi r}}}A(\omega )e^{i[\omega (rt)\frac{\pi }{4}]}𝑑\omega .`$
Hence, $`I_{,r}I_{,t}`$ for $`\omega r1`$, thereby justifying Eq. (31).

## Appendix C Newman-Penrose formalism for the analysis of limiting geodesic behavior at $`𝒥^+`$

Here we present a summary of the Newman-Penrose (NP) formalism np , which is particularly useful for a geometrical analysis of the behavior of null congruences. We introduce a null tetrad, given by two real null vectors $`l^\mu `$ and $`n^\mu `$, and a complex conjugate pair $`m^\mu `$ and $`\overline{m}^\mu `$, defined such that (i) their only non-vanishing inner products are

$$l_\mu n^\mu =m_\mu \overline{m}^\mu =1,$$
(104)
and (ii) the metric completness relation holds:

$$g_{\mu \nu }=l_\mu n_\nu +n_\mu l_\nu m_\mu \overline{m}_\nu \overline{m}_\mu m_\nu .$$
(105)
With these definitions, the Ricci and Weyl tensors can be naturally decomposed in terms of their tetrad components. The Ricci tensor can be decomposed into a scalar component (which gives the curvature scalar) and a Hermitian $`(3\times 3)`$ matrix $`\mathrm{\Phi }_{AB}`$ which represents the trace-free part of the Ricci tensor and satisfies $`\mathrm{\Phi }_{AB}=\overline{\mathrm{\Phi }}_{BA}`$. The ten independent components of the Weyl tensor $`C_{\alpha \beta \mu \nu }`$, which represent the ten degrees of freedom of the gravitational field, are conveniently expressed as five complex NP scalars. The one relevant for our purposes is

$$\mathrm{\Psi }_{(0)}=C_{\alpha \beta \mu \nu }l^\alpha m^\beta l^\mu m^\nu .$$
(106)
Each NP scalar has a distinct physical interpretation, associated with the presence of gravitational waves along the null directions $`l^\mu `$ and $`n^\mu `$; $`\mathrm{\Psi }_{(0)}`$ denotes a transverse wave component in the $`n^\mu `$ direction.

The behavior of geodesic null congruences (among other things) can be conveniently described in terms of NP spin coefficients, which are complex linear combinations of the Ricci rotation coefficients associated with the null tetrad. In the present case, the relevant spin coefficients are

$`\theta `$ $`=`$ $`_\nu l_\mu m^\mu \overline{m}^\nu ,`$ (107)
$`\sigma `$ $`=`$ $`_\nu l_\mu m^\mu m^\nu ,`$ (108)
$`k`$ $`=`$ $`_\nu l_\mu m^\mu l^\nu .`$ (109)
They measure the expansion, shear, and deviations from (null) geodesic motion for null rays along $`l^\mu `$, respectively. The evolution of these quantities is given by directional derivatives in the directions of the four tetrad vectors:

$$D=l^\mu _\mu ,\mathrm{\Delta }=n^\mu _\mu ,\delta =m^\mu _\mu ,\overline{\delta }=\overline{m}^\mu _\mu ,$$
(110)
from which one obtains

$`D\theta \overline{\delta }k`$ $`=`$ $`\theta ^2+\sigma \overline{\sigma }\overline{k}\tau k(3\alpha +\overline{\beta }\pi )+\mathrm{\Phi }_{00},`$ (111)
$`D\sigma \delta k`$ $`=`$ $`\sigma (\theta +\overline{\theta })+\sigma (ϵ\overline{ϵ})k(\pi \overline{\pi }+\overline{\alpha }+3\beta )+\mathrm{\Psi }_{(0)}.`$ (112)
These equations govern the evolution of the expansion and shear along the null $`l^\mu `$ direction.

The natural null tetrad for the Einstein-Rosen metric (1) is (where the metric signature has been changed to $`2`$, to conform with the original NP construction):

$`l_\mu `$ $`=`$ $`e^{2(\gamma \psi )}(\delta _\mu ^t+\delta _\mu ^r),`$ (113)
$`n_\mu `$ $`=`$ $`{\displaystyle \frac{1}{2}}(\delta _\mu ^t\delta _\mu ^r),`$ (114)
$`m_\mu `$ $`=`$ $`{\displaystyle \frac{1}{\sqrt{2}}}e^\psi (i\delta _\mu ^z+re^{2\psi }\delta _\mu ^\varphi ).`$ (115)
The non-vanishing Ricci components are:

$$\mathrm{\Phi }_{00},\mathrm{\Phi }_{02},\mathrm{\Phi }_{11},\mathrm{\Phi }_{22}.$$
(116)
The non-vanishing NP scalars are:

$$\mathrm{\Psi }_{(0)},\mathrm{\Psi }_{(2)},\mathrm{\Psi }_{(4)}.$$
(117)
Finally, the non-vanishing NP spin coefficients are (modulo complex conjugation): $`\sigma ,\lambda ,\theta ,\mu ,`$ and $`ϵ`$. The relevant ones are:

$`\sigma `$ $`=`$ $`\overline{\sigma }=\psi _{,t}\psi _{,r}+{\displaystyle \frac{1}{2r}},`$ (118)
$`\theta `$ $`=`$ $`\overline{\theta }={\displaystyle \frac{1}{2r}},`$ (119)
$`ϵ`$ $`=`$ $`\overline{ϵ}=\psi _{,r}\psi _{,t}\gamma _{,r}+\gamma _{,t}.`$ (120)
The relevant evolution equations become then

$`D\theta `$ $`=`$ $`\theta ^2+\sigma \overline{\sigma }+\mathrm{\Phi }_{00},`$ (121)
$`D\sigma `$ $`=`$ $`\sigma (\theta +\overline{\theta })+\mathrm{\Psi }_{(0)}.`$ (122)
All of the NP objects were computed with the aid of the algebraic package GRTensorII for Maple V. Most of the non-zero objects are ‘too large’ to be explicitly written in any convenient way. Since only the fact that they are non-vanishing matters for our purposes (specifically, $`\mathrm{\Psi }_{(0)}0`$), we omit here their explicit form.


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# 1 Introduction

## 1 Introduction

The AdS/CFT correspondence  has come a long way in elucidating the long conjectured duality between gauge theories and string theories. The case most studied and with respect to which the most evidence has accumulated is the case of $`𝒩`$=4 SU(N) Super Yang Mills being dual to type IIB string theory on $`AdS_5\times S^5`$ \[ and references therein\]. However, there is a caveat on most of these evidences, because the duality relates the weakly coupled regime of one theory to the strongly coupled one of the other and vice versa. For instance, matching of the correlation functions on both sides makes use of non-renormalization theorems, which keeps one wondering whether these are really evidences or are dictated by symmetry alone.

Gauge theory, however, has a formal non-perturbative formulation, in terms of the loop equation , which allows one to define if not compute quantities at arbitrarily large couplings. The loop equation is an equation for the expectation value of the Wilson loop and it is argued that the following ansatz is the solution

$$W=\frac{DXDgD\theta }{Vol(diff\times Weyl)}e^S$$
(1.1)
where $`S`$ is the Green-Schwarz superstring action on an $`AdS_5\times S^5`$ background as has been formulated in  and the path integral is over all embeddings of the string into $`AdS_5\times S^5`$ with proper boundary conditions (the string world surface should end along the loop at the boundary of $`AdS_5`$).

Here $`W`$ is given by

$$W=\frac{1}{N}TrPexp(i(A_\mu \dot{X}^\mu i|\dot{X}|\mathrm{\Phi }_i\theta ^i)𝑑s)$$
(1.2)
where $`A_\mu `$ are the gauge fields and $`\mathrm{\Phi }_i`$ are the six scalars in the adjoint representation. The $`i`$ in front of the second term in the integral is due to the metric being Euclidean. The $`\theta `$ here are not the same as the $`\theta `$ in the Green Schwarz action. They are angular coordinates of magnitude 1 and can be regarded as coordinates on $`S_5`$. The former denote the Green Schwarz fermions.

Polyakov has argued for such a relationship to hold for the case of the non-supersymmetric Yang Mills with the corresponding string path-integral being that for just $`AdS_5`$, from a totally different viewpoint . Moreover, Maldacena  has given some arguments based on the AdS/CFT correspondence in the form as given in . See  for related developments.

What we propose to do is to forward some alternative arguments as to why such a relationship should follow from the AdS/CFT correspondence. Our arguments will be based upon certain reasonable assumptions which are hard to prove and we will not try to prove them here but simply assume them to be true. We will point out where we will make these assumptions.

## 2 The Arguments

On one side of the AdS/CFT correspondence, one has the string theory partition function, and on the other side one has the Yang-Mills partition function. We shall be interested in the Yang-Mills partition function without any sources. On the string theory side, this means that no fields are kept fixed on the boundary of $`AdS_5`$ which is $`R^4`$.

Thus the string theory partition function is

$$Z=D\varphi _ie^{S[\varphi _i]}$$
(2.1)
where $`\varphi _i`$ are the various fields in the entire spectrum of type IIB superstring theory and the action is formulated about the $`AdS_5\times S^5`$ background.

Now it is well known that the one-loop free energy for conformal backgrounds (in the sense of world-sheet conformal invariance) is just the string world sheet partition function on the torus, formulated with the background acting as the sigma model couplings, i.e., for bosonic string theories,

$$F=lnZ=_{torus}\frac{DXDg}{Vol(diff\times Weyl)}e^{[G_{MN}g^{ab}_aX^M_bX^N+\mathrm{}.]}$$
(2.2)
where $`G_{MN}`$ is part of the conformal background.

Thus, the free energy for type IIB superstring theory on the $`AdS_5\times S^5`$ background (which is a conformal background as the $`AdS_5\times S^5`$ background is a solution of the supergravity equations of motion) can be written as

$$F=_{torus}\frac{DXDgD\theta }{Vol(diff\times Weyl)}e^{S_{G.S.}[X^M,g^{ab},\theta ]}$$
(2.3)
where $`S_{G.S.}[X^M,g^{ab},\theta ]`$ is the Green-Schwarz action for type IIB superstrings on an $`AdS_5\times S^5`$ background as has been formulated by Metsaev and Tseytlin . The RR fiveform is incorporated into one of the fermionic terms in the action. This is assumption no.1 as there is no well-defined quantum theory as yet of the Green-Schwarz action formulated over the $`AdS_5\times S^5`$ background. However if the Metsaev-Tseytlin action is the correct world sheet action for the Type IIB theory on an $`AdS_5\times S^5`$ background then such a relationship between the one-loop free energy and the torus partition function has to hold.

Now the Yang-Mills partition function can be reformulated in terms of the master variables which can be taken as the Wilson loops. What the exact path integral formulation will be is not known but we will not need the exact form here. We will assume that the the YM partition function is expressible in the form

$$Z=D\mathrm{\Psi }e^{S[\mathrm{\Psi }]}$$
(2.4)
where $`\mathrm{\Psi }=TrPe^{i{\scriptscriptstyle (A_\mu \dot{X}^\mu i|\dot{X}|\mathrm{\Phi }_i\theta ^i)𝑑s}}`$ and $`S[\mathrm{\Psi }]`$ is some unknown functional in terms of the $`\mathrm{\Psi }`$ variables, which includes the Jacobian factor in transforming from the $`A_\mu `$ to the $`\mathrm{\Psi }`$ variable.

The point to be noted is that since the $`\mathrm{\Psi }`$ variable is a function of the curve $`(X^\mu (s),\theta ^i(s))`$, it is like a string field in 10-d. That a Wilson loop can be interpreted as a string field had been conjectured in the early eighties  and \[ and references therein\]. In the more modern treatment of Polyakov , such a relationship is implicit. Also, such a relationship has been used in . If we denote $`|\dot{X}|\theta _i`$ by $`Y_i`$ , the resultant 10-d coordinates obey $`\dot{X}^2=\dot{Y}^2.`$ Thus the metric in this space has signature (4,6) and is hence not the signature of $`AdS_5\times S^5,`$ but of the space where the loops are defined. As has been shown in , this is related to the fact that the six loop variables $`Y_i(s)`$ correspond to T-dual coordinates on the string worldsheet. Loops obeying this condition are BPS loops as they are invariant under half the supersymmetries in super-loop space. We refer the reader to  for further details. The resulting interpretation is thus that if the AdS/CFT correspondence is correct, the string field theory action corresponding to type IIB string theory on an $`AdS_5\times S^5`$ background is given by the unknown action functional $`S[\mathrm{\Psi }]`$ in (2.4). For all practical purposes, it is an interacting string field theory incorporating splitting-joining interactions and zig-zag symmetry. And according to this interpretration, these interactions are precisely taken care of by the non-trivial background on the string side. This is assumption no.2 and it is a very strong one but it would hold if indeed the $`\mathrm{\Psi }`$ can be assumed to be a string field and if the AdS/CFT correspondence is valid.

Thus if this interpretation is correct, the free energy corresponding to this string field theory partition function as obtained through the AdS/CFT correspondence is given by (2.3).

Now it is a well known fact in string field theory that given a torus partition function for the free energy, the correlator for two string fields/Wilson Loops is given by the partition function over a cylinder with the same action, with the strings forming the boundary of the cylinder acting as the coordinates for the string fields, i.e.

$$\mathrm{\Psi }(C_f)\mathrm{\Psi }(C_i)=_{C_i}^{C_f}\frac{DXDgD\theta }{Vol(Diff\times Weyl)}e^{S[X^M(\sigma ,\tau ),g^{ab}(\sigma ,\tau ),\theta _\alpha (\sigma ,\tau )]}$$

In the above $`C_f`$ and $`C_i`$ are both parametrised by some $`X_\mu (s)`$ and $`\theta _i(s)`$.

Once the propagator is known, the vev for a single field follows in a straightforward fashion. It is just the “one-point” function and is hence given by the same partition function over a disc, with the boundary being formed by the coordinates of the string field/Wilson loop whose vev is being taken, i.e.

$$\mathrm{\Psi }(C)=_C\frac{DXDgD\theta }{Vol(diff\times Weyl)}e^{S[X^M,g^{ab},\theta _\alpha ]}$$

This is the expression for the Wilson Loop average that appears in . When evaluated it yields the area of the minimal surface bounded by the loop in the classical limit, calculated with the $`AdS_5\times S^5`$ metric.

## 3 Discussion

Thus in this note we have shown how under reasonable assumptions based on the AdS/CFT correspondence the Wilson loop average can be shown to be the world sheet partition function on an $`AdS_5\times S^5`$ background bounded by the loop which in the classical limit yields the exponential of the minimal surface area bounded by the loop. In the process we have conjectured an equivalence between the Yang-Mills partition function and the type IIB string field theory partition function on an $`AdS_5\times S^5`$ background. Though such a relationship is hard to prove, given the non-availability of a path-integral formulation of Yang-Mills theory in terms of Wilson loops, it appears that once available it would have to conform to such a relationship in the face of the AdS/CFT correspondence. Polyakov has conjectured that the relationship between the Wilson loop average and the world sheet partition function bounded by the loop is true for the non-supersymmetric case, from a totally different perspective. He has argued that the solution of the loop equation which is an equation of the loop average should yield the world sheet partition function on an $`AdS_5`$ background bounded by the loop and hence the exponential of the area of the minimal surface bounded by the loop . He and Rychkov have shown that the above is true in the “WKB approximation” . Drukker, Gross and Ooguri have worked with the $`N=4`$ case and have shown that for the above mentioned BPS loops, the above holds good to a certain extent, in the sense that the loop average is given by the minimal surface for smooth non-intersecting loops . If indeed the Wilson loop average can be shown to be given by the minimal area surface for all kinds of loops, we can turn the previous arguments around to reason that if the expectation value of the Wilson loop is indeed given by the minimal area surface in $`AdS_5\times S^5`$, then the relationship between the partition functions also holds good via the conjectured relationship between string theory partition function on $`AdS_5\times S^5`$ and the string field theory interpretation coming from the Yang-Mills side. This would then constitute some evidence for the AdS/CFT correspondence beyond the supergravity approximation.

## Acknowledgements

We wish to thank Satchidananda Naik and Shibaji Roy for reading the manuscript and offering helpful suggestions.