Fermat’s principle and the variational analysis of an optical model for light
propagation exhibiting a critical radius
M. Marklund, D. Anderson,a) F. Cattani, M. Lisak, and L. Lundgren
Department of Electromagnetics, Chalmers University of Technology, SE-412 96 Goteborg, Sweden
共Received 31 January 2001; accepted 15 March 2002兲
Fermat’s principle is used to analyze the trajectories of light propagating in a radially
inhomogeneous medium with a singularity in the center. It is found that the light trajectories are
similar to those around a black hole, in the sense that there exists a critical radius within which the
light cannot escape, but spirals into the singularity. © 2002 American Association of Physics Teachers.
关DOI: 10.1119/1.1477429兴
I. INTRODUCTION
There has recently been much interest on the extraordinary
properties associated with Bose–Einstein condensates—
clouds of atoms cooled to nano-Kelvin temperatures where
all atoms are in the same quantum state and macroscopic
quantum conditions prevail.1–3 One of the most dramatic ex-
periments that has been performed in Bose–Einstein conden-
sates is the demonstration of optical light pulses traveling at
extremely small group velocities, for example, velocities as
small as 17 m/s have been reported.3 As a possible applica-
tion of the optical properties of Bose–Einstein condensates,
it was recently suggested that they could be used to create, in
the laboratory, dielectric analogs of relativistic astronomical
phenomena like those associated with a black hole.2
The astrophysical concept of a black hole is one of the
most fascinating and intriguing phenomena related to the in-
teraction between light and matter through the curvature of
space–time within the framework of general relativity. Black
holes are believed to form when compact stars undergo com-
plete gravitational collapse due to, for example, accretion of
matter from its surroundings. 共In general relativity, the pres-
sure contributes to the gravitational mass of a fluid, and an
increased pressure will, after a certain point, therefore only
help to accelerate the collapse phase.兲
In ordinary dielectric media, unrealistic physical condi-
tions would be required to demonstrate any of the spectacu-
lar effects of general relativity. However, in dielectric media
characterized by very small light velocities, new possibilities
appear. In particular, it was recently suggested that by creat-
ing a vortex structure in such a dielectric medium, it would
be possible to mimic the properties of an optical black hole.2
What this study in fact suggested was that one could con-
struct, by using the aforementioned vortex, an unstable pho-
ton orbit, much like the orbit at a radius r⫽3M in the
Schwarschild geometry.4 In order to construct an event hori-
zon, one would need to supplement the vortex flow by a
radial motion of the fluid.5,6
The vortex, which involves a rotating cylindrical velocity
field, tends to attract light propagating perpendicularly to its
axis of rotation and to make it deviate from its straight path.
In the model considered in Refs. 1 and 2, the increasing, in
fact diverging, rotational velocity field of the vortex core
attracts light by the optical Aharanov–Bohm effect and
causes a bending of the light ray similar to that of the gravi-
tational field in general relativity. It is also shown that there
exists a critical radius, r crit , from the vortex core with the
properties that if light rays come closer to the core than r crit ,
680 Am. J. Phys. 70 共7兲, July 2002 http://ojps.aip.org/ajp/
the light will fall toward the singularity of the vortex core. In
this sense, the critical radius, r crit , plays the role of an optical
unstable photon orbit, analogous to the unstable orbit in the
Schwarzschild geometry.
The basic physical effect involved in the analysis of the
ray propagation in Refs. 1 and 2 is the fact that the refractive
index, n, of a medium changes when the medium is moving.
The medium is assumed to have a cylindrical vortex velocity
field V⫽V(r) given by1,2
W
V共 r兲 ⫽ ␸ˆ , 共1兲
r
where r is the radius from the vortex core center, ␸ˆ is the
azimuthal unit vector, and 2 ␲ W is the vorticity.
Advanced physical concepts such as Bose–Einstein con-
densates, vortex velocity fields, and black holes are fascinat-
ing physical effects, which, however, may be difficult to
present in a simplified manner to undergraduate students.
Nevertheless, it is important to try to arouse curiosity in such
phenomena from which we can draw much inspiration. An
interesting example of such an effort was recently made in
Ref. 7, where the basic physical mechanism, in the form of a
classical two-level system, was used to demonstrate the pos-
sibility of the very low light velocities observed in Bose–
Einstein condensates. In later work by the same author,8 a
simple mechanical model is investigated that exhibits a
gravitational critical radius. The purpose of the present work
is similar to that of Refs. 7 and 8. We will discuss a simple
classical example of a medium where the refractive index
has a divergence at r⫽0 and that exhibits some of the dra-
matic properties of the light behavior around a black hole as
discussed in Refs. 1, 2, 5, and 6. In addition, we illustrate the
power and beauty of the classical principle of Fermat and of
variational methods.
II. FERMAT’S PRINCIPLE
It is well known that light tends to be deflected toward
regions with higher refractive index. Consider light propa-
gating in a cylindrically symmetric medium where the re-
fractive index increases toward the center. In such a situation
we expect the light path to look qualitatively as in Fig. 1. The
actual light path is determined by Fermat’s principle, that is,
␦ 冕 n 共 r兲 ds⫽0, 共2兲
© 2002 American Association of Physics Teachers 680
 case of the divergent variation of the index of refraction as
given by Eq. 共4兲.
For the light ray incident as shown in Fig. 1, we clearly
have dr/d ␪ ⬍0, that is, the distance of the light ray from the
center decreases with increasing angle ␪, at least up to some
minimum radius r⫽r min . It is illustrative to first consider the
trivial case of a homogeneous medium with n(r)⫽1. In this
case Eq. 共9兲 becomes
d␪ ri
⫽⫺ 4 2 2 , 共9兲
Fig. 1. Qualitative plot of a light ray trajectory in a cylindrically symmetric dr 冑r ⫺r i r
medium with a refractive index that increases toward the center.
which can easily be integrated to yield the light path in the
form
where ds is an infinitesimal element along the light ray. We
will consider light propagation in a medium where the re- ␪ ⫽arccot 冑 r2
r 2i
⫺1, 共10兲
fractive index, n⫽n(r), is of the qualitative form, cf. Eq. 共1兲

再
or more simply
1 for rⰇr 0
n共 r 兲⯝ . 共3兲 ri
r 0 /r for rⰆr 0 r⫽ . 共11兲
sin ␪
One possible realization of n(r) with the desired properties
is given by Clearly Eq. 共11兲 is the straight line solution

n 共 r 兲 2 ⫽1⫹ 冉冊 r0
r
2
. 共4兲
y⫽r i , 共12兲
where the parameter r i plays the role of ‘‘impact parameter’’
or minimum distance from the center.
If we use Fermat’s principle and express the light path as
Let us now consider the model variation for n(r) as given
the relation ␪ ⫽ ␪ (r), where ␪ is the polar angle, we find that
by Eq. 共4兲. For this model Eq. 共10兲 becomes
Eq. 共2兲 implies

冕 冑 冉 ␪冊 d 2 d␪ ri
␦ n共 r 兲 共5兲 ⫽⫺ 4 . 共13兲
1⫹r 2
dr
dr⫽0. dr 冑r ⫺ 共 r 2i ⫺r 20 兲 r 2
The Euler–Lagrange variational equation corresponding to The solution of Eq. 共13兲 will depend crucially on the relative
Eq. 共5兲 can be written as magnitude of r i and r 0 , that is, the value of the impact pa-

冋 册
rameter relative to the characteristic radial extension of the
d r 2 d ␪ /dr inhomogeneity. Consider first the case when r 0 ⬍r i . Equa-
n共 r 兲 ⫽0, 共6兲
dr 冑1⫹r 2 共 d ␪ /dr 兲 2 tion 共13兲 can then be rewritten as
which determines the trajectory of the light. b d␪ b
⫽⫺ 4 , 共14兲
r i dr 冑r ⫺b 2 r 2
III. SOLUTION OF THE LIGHT TRAJECTORY b⬅ 冑r 2i ⫺r 20 . 共15兲
Equation 共6兲 directly implies that Equation 共15兲 is of the same form as Eq. 共9兲, and we directly
infer the following solution:
r n 共 r 兲 d ␪ /dr
2
⫽r i , 共7兲 冑r 2i ⫺r 20
冑1⫹r 2 共 d ␪ /dr 兲 2 r⫽ . 共16兲
where the constant r i is determined by the initial conditions, sin关 ␪ 冑1⫺r 20 /r 2i 兴
that is, the properties of the incident light. Equation 共7兲 is As ␪ →0, we still have asymptotically
easily inverted to read
ri
d␪ ri r⯝ . 共17兲
⫽⫾ 4 2 . 共8兲 sin ␪
dr 冑r n 共 r 兲 ⫺r 2i r 2 However, the trajectory is now bending toward the origin,
Equations 共7兲 and 共8兲 are classical results obtained previ- and the minimum distance occurs at the polar angle ␪ ⫽ ␪ m
ously to describe, for example, the propagation of light rays given by
in the earth’s atmosphere, taking into account the curvature
of the earth. In fact, these equations are equivalent to Bou- ␲ 1
␪ m⫽ . 共18兲
guer’s formula, dating back to the first half of the 18th 2 冑1⫺r 20 /r 2i
century.9 The present analysis based on Fermat’s principle
provides a simple derivation of Bouguer’s formula. Further- The corresponding minimum distance, r m is
more, in the following investigation we will consider the
peculiar properties of the corresponding light paths for the r m ⬅r ␪ m ⫽ 冑r 2i ⫺r 20 . 共19兲

681 Am. J. Phys., Vol. 70, No. 7, July 2002 Marklund et al. 681
 r 0 /r i ⬎1. The actual trajectory in this case is given by a
slight generalization of Eq. 共16兲, viz.

冑r 20 ⫺r 2i
r⫽ . 共24兲
sinh关 ␪ 冑1⫺r 2i /r 20 兴
This solution conveys the expected behavior: the trajectory
spirals monotonously into the singularity of the refractive
index.

Fig. 2. Light trajectories for the refractive index model of Eq. 共4兲 for dif-
ferent impact radii r i ⬎r 0 .
IV. COMMENTS

The present analysis is inspired by recent discoveries and

We also note that the trajectory is symmetrical around the
angle ␪ m , and that the asymptotic angle of the outgoing light
ray is
␲ with general relativistic conditions. In particular, it has been
␪ ⬁ ⬅ lim ␪ 共 r 兲 ⫽ ⫽2 ␪ m .
r→⬁ 冑1⫺r 20 /r 2i
The solution given by Eq. 共10兲 describes a trajectory that
is bent toward the center of attraction at r⫽0. Depending on
the ratio r 0 /r i , the trajectory is either more or less bent or
may even perform a number of spirals toward the center
before again turning outward and escaping 共see Fig. 2兲. The
number of turns, N, that the light ray does around the origin
before escaping is simply
discussions about light propagation in Bose–Einstein con-
densates where extremely low light velocities can be ob-
tained. This has triggered speculations about possible labo-
ratory demonstrations of effects that normally are associated
共20兲
suggested that it may be possible to create the analog of a
black hole using a divergent in-spiral of a Bose–Einstein
condensate.
In the present work we have analyzed a simple classical
example of light propagation as determined by Fermat’s
principle in a medium characterized by a radially symmetric
refractive index. In analogy with the variation of the vortex
velocity field suggested in Ref. 2, the refractive index has
been assumed to diverge toward the center. This classical

b cb冑 c
example exhibits some of the characteristic properties of
2␪m 1 light propagating around a black hole where the gravitational
N⫽ ⫽ , 共21兲 attraction deflects the light and where, under certain condi-
2␲ 2 1⫺r 20 /r 2i
tions, the light may be ‘‘swallowed’’ by the black hole.
where b x c denotes the largest integer less than x. In the example analyzed here, the Schwarzschild radius of
Let us now consider the special case when the impact the black hole corresponds to the characteristic radius, r 0 , of
parameter equals the characteristic width of the refractive the variation of the refractive index, which together with the
index core, that is, r i ⫽r 0 . The equation for the trajectory impact parameter, r i , of the incident light, completely deter-
now simplifies to mines the light trajectory. If r 0 ⬍r i , the light is more or less
deflected, but ultimately escapes. However, if r 0 ⭓r i , the
d␪ ri
⫽⫺ 2 , 共22兲 light spirals into the singularity. It should be cautioned that
dr r this result depends crucially on the presence of the 共unphysi-
with the simple solution cal兲 singularity in the refractive index in Eq. 共4兲. If this sin-
gularity is removed, the in-spiraling photon orbit will even-
ri tually turn and start spiraling outward. In the recent
␪⫽ . 共23兲 discussion about the possibility of generating analogs of op-
r
tical black holes in Bose–Einstein condensates, it has been
That is, the trajectory describes a path in the form of suggested that the vortex motion must also have a velocity
Archimedes’ spiral as the light falls toward the origin, cf. component in the radial direction.
Fig. 3. The form of the light trajectory in the situation when In the classical model considered here, a number of addi-
r i ⬍r 0 is now obvious; it will spiral into the singularity more tional physical effects will obviously affect the light path
or less directly depending on the magnitude of the ratio when it comes close to the axis and will in fact remove the
mathematical singularity. Nevertheless, the model provides a
simple example of light dynamics, which resembles some of
the properties of light propagation around a black hole. Fur-
thermore, the investigation is based on Fermat’s principle
and a variational analysis and illustrates the use of classical
methods in connection with very new and fascinating con-
cepts at the front line of modern research.
a兲
Electronic mail: elfda@elf.chalmers.se
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WAVES
Waves have a curious kind of being, even water waves. A wave in deep water, moving in a
certain direction along the surface, is composed of water that itself never actually moves in that
direction. Instead, the water molecules only go up and down, as a buoy will reveal, while the wave
appears to move horizontally. Even though it appears to be as solid and substantial as any material
object, a wave is a moving form, not simply a single body. At each successive instant, a wave is
an ever-new assemblage of water, whose changing individuality is subsumed under the outward
form of the whole wave. In this sense, a wave is a process, not a substance, as Maxwell noted.
Waves interfere with each other because they are interchangeable and thus not distinguishable; two
processes can coincide in space and time, but two substances cannot. Thus the wave reveals a
whole new possibility of identity, for one identifies waves by their amplitude 共that is, height兲 and
by their wavelength or frequency, rather than by the ever-changing bits of water that make up the
wave at any time. Even if one distinguishes one wave from another as they approach from a
distance, when they pass through each other, one can no longer sustain that distinction, which
makes sense only in the context of ordinary bodies.

Peter Pesic, Seeing Double: Shared Identities in Physics, Philosophy, and Literature 共The MIT Press, Cambridge, MA,
2002兲, pp. 80– 81.

683 Am. J. Phys., Vol. 70, No. 7, July 2002 Marklund et al. 683