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Baumann notes

Cosmology (Cambridge College Australia)

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Cosmology
Daniel Baumann
Institute of Theoretical Physics, University of Amsterdam,
Science Park, 1090 GL Amsterdam, The Netherlands

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Contents

Preface 1

I The Homogeneous Universe 2

1 Geometry and Dynamics 3

1.1 Geometry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.1.1 Metric . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.1.2 Symmetric Three-Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
1.1.3 Robertson-Walker Metric . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
1.2 Kinematics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.2.1 Geodesics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.2.2 Redshift . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
1.2.3 Distances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
1.3 Dynamics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
1.3.1 Matter Sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
1.3.2 Spacetime Curvature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
1.3.3 Friedmann Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

2 Inflation 26
2.1 The Horizon Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
2.1.1 Particle Horizon . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
2.1.2 Hubble Radius . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
2.1.3 Why is the CMB so uniform? . . . . . . . . . . . . . . . . . . . . . . . . . 28
2.2 A Shrinking Hubble Sphere . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
2.2.1 Solution of the Horizon Problem . . . . . . . . . . . . . . . . . . . . . . . 30
2.2.2 Conditions for Inflation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
2.3 The Physics of Inflation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
2.3.1 Scalar Field Dynamics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
2.3.2 Slow-Roll Inflation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
2.3.3 Reheating . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

3 Thermal History 36
3.1 The Hot Big Bang . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
3.1.1 Local Thermal Equilibrium . . . . . . . . . . . . . . . . . . . . . . . . . . 36
3.1.2 Decoupling and Freeze-Out . . . . . . . . . . . . . . . . . . . . . . . . . . 38
3.1.3 A Brief History of the Universe . . . . . . . . . . . . . . . . . . . . . . . . 39
3.2 Equilibrium . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
3.2.1 Equilibrium Thermodynamics . . . . . . . . . . . . . . . . . . . . . . . . . 41
3.2.2 Densities and Pressure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
3.2.3 Conservation of Entropy . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

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3.2.4 Neutrino Decoupling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

3.2.5 Electron-Positron Annihilation . . . . . . . . . . . . . . . . . . . . . . . . 52
3.2.6 Cosmic Neutrino Background . . . . . . . . . . . . . . . . . . . . . . . . . 53
3.3 Beyond Equilibrium . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
3.3.1 Boltzmann Equation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
3.3.2 Dark Matter Relics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
3.3.3 Recombination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
3.3.4 Big Bang Nucleosynthesis . . . . . . . . . . . . . . . . . . . . . . . . . . . 63

II The Inhomogeneous Universe 70

4 Cosmological Perturbation Theory 71

4.1 Metric Perturbations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
4.2 Matter Perturbations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
4.3 Equations of Motion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
4.3.1 Conservation Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
4.3.2 Einstein Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
4.3.3 Metric Evolution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
4.4 Initial Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
4.4.1 Adiabatic Fluctuations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
4.4.2 Curvature Perturbations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
4.4.3 Statistics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
4.5 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86

5 Structure Formation 88
5.1 Gravitational Instability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
5.1.1 Jeans’ Instability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
5.1.2 Clustering of Dark Matter . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
5.1.3 Matter Power Spectrum . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
5.2 Acoustic Oscillations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
5.2.1 Radiation Fluctuations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
5.2.2 Primordial Sound Waves . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
5.3 CMB Anisotropies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
5.3.1 Motion of the Solar System . . . . . . . . . . . . . . . . . . . . . . . . . . 95
5.3.2 Perturbed Photon Geodesics . . . . . . . . . . . . . . . . . . . . . . . . . 96
5.3.3 Line-of-Sight Solution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
5.3.4 CMB Power Spectrum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

6 Quantum Initial Conditions 102

6.1 Inflaton Fluctuations: Classical . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
6.2 Quantum Harmonic Oscillators . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
6.3 Inflaton Fluctuations: Quantum . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
6.4 Curvature Perturbations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
6.5 Gravitational Waves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112

Outlook 115

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A Elements of General Relativity 116

A.1 Gravity as Geometry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
A.1.1 The Happiest Thought . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
A.1.2 Bending of Light . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
A.1.3 Gravitational Redshift . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
A.1.4 Gravitational Time Dilation . . . . . . . . . . . . . . . . . . . . . . . . . . 118
A.1.5 Curved Spacetime . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
A.2 Geodesic Equation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
A.2.1 Timelike Geodesics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
A.2.2 Null Geodesics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
A.3 Einstein Equation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
A.3.1 Curvature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
A.3.2 Energy-Momentum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
A.3.3 Einstein Equation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128

III Problems and Solutions 130

B Problem Sets 131

B.1 Problem Set 1: Geometry and Dynamics . . . . . . . . . . . . . . . . . . . . . . . 131
B.2 Problem Set 2: Inflation and Thermal History . . . . . . . . . . . . . . . . . . . . 133
B.3 Problem Set 3: Structure Formation . . . . . . . . . . . . . . . . . . . . . . . . . 135
B.4 Problem Set 4: Quantum Initial Conditions . . . . . . . . . . . . . . . . . . . . . 137

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Preface

This course is about 13.8 billion years of cosmic evolution:

At early times, the universe was hot and dense. Interactions between particles were frequent
and energetic. Matter was in the form of free electrons and atomic nuclei with light bouncing
between them. As the primordial plasma cooled, the light elements—hydrogen, helium and
lithium—formed. At some point, the energy had dropped enough for the first stable atoms
to exist. At that moment, photons started to stream freely. Today, billions of years later, we
observe this afterglow of the Big Bang as microwave radiation. This radiation is found to be
almost completely uniform, the same temperature (about 2.7 K) in all directions. Crucially, the
cosmic microwave background contains small variations in temperature at a level of 1 part in
10 000. Parts of the sky are slightly hotter, parts slightly colder. These fluctuations reflect tiny
variations in the primordial density of matter. Over time, and under the influence of gravity,
these matter fluctuations grew. Dense regions were getting denser. Eventually, galaxies, stars
and planets formed.
This picture of the universe—from fractions of a second after the Big Bang until today—
is a scientific fact. However, the story isn’t without surprises. The majority of the universe
today consists of forms of matter and energy that are unlike anything we have ever seen in
terrestrial experiments. Dark matter is required to explain the stability of galaxies and the rate
of formation of the large-scale structure of the universe. Dark energy is required to rationalise
the striking fact that the expansion of the universe started to accelerate recently (meaning
a few billion years ago). What dark matter and dark energy are is still a mystery. Finally,
there is growing evidence that the primordial density perturbations originated from microscopic
quantum fluctuations, stretched to cosmic sizes during a period of inflationary expansion. The
physical origin of inflation is still a topic of active research.

Notation and conventions We will mostly use natural units, in which the speed of light and
Planck’s constant are set equal to one, c = ~ ≡ 1. Length and time then have the same units.
Our metric signature is (+ − −−), so that ds2 = dt2 − dx2 for Minkowski space. Spacetime
four-vectors will be denoted by capital letters, e.g. X µ and P µ , where the Greek indices µ, ν, · · ·
run from 0 to 3. We will use the Einstein summation convention where repeated indices are
summed over. Latin indices i, j, k, · · · will stand for spatial indices, e.g. xi and pi . Bold font will
denote spatial three-vectors, e.g. x and p. We will use η for conformal time and τ for proper
time.

Acknowledgements Thanks to Mustafa Amin and Paolo Creminelli for comments on a previous
version of these notes. Adam Solomon helped designing the problem sets and writing some of the
solutions. Thanks to the many students worldwide who emailed me questions and corrections.

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Part I

The Homogeneous Universe

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1 Geometry and Dynamics

The further out we look into the universe, the simpler it seems to get (see Fig. 1.1). Averaged
over large scales, the clumpy distribution of galaxies becomes homogeneous and isotropic, i.e. in-
dependent of position and direction. As we will see, in §1.1, homogeneity and isotropy single
out a unique form of the spacetime geometry of the universe. We will discuss how particles and
light propagate in this spacetime in §1.2. Finally, in §1.3, we will show how the equations of
general relativity relate the rate of expansion of the universe to its matter content.

Figure 1.1: The distribution of galaxies is clumpy on small scales, but becomes more uniform on large scales
and at early times.

1.1 Geometry
1.1.1 Metric
I am assuming you have seen a metric before. (Otherwise, we will be in trouble.) Just to remind
you, the metric is an object that turns coordinate distances into physical distances. For example,
in three-dimensional Euclidean space, the physical distance between two points separated by the
infinitesimal coordinate distances dx, dy and dz is
3
X
2 2 2 2
d` = dx + dy + dz = δij dxi dxj , (1.1.1)
i,j=1

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4 1. Geometry and Dynamics

where we have introduced the notation (x1 , x2 , x3 ) = (x, y, z). In this simple example, the metric
is the Kronecker delta δij = diag(1, 1, 1). However, you also know that if we were to use spherical
polar coordinates instead, the square of the physical distance would no longer be the sum of the
square of the coordinate distances. Instead, we would get
3
X
2 2 2 2 2 2 2
d` = dr + r dθ + r sin θ dφ ≡ gij dxi dxj , (1.1.2)
i,j=1

where (x1 , x2 , x3 ) = (r, θ, φ). In this case, the metric has taken a less trivial form, namely
gij = diag(1, r2 , r2 sin2 θ). This illustrates that observers using different coordinate systems
won’t necessarily agree on the coordinate distances between two points, but they will always
agree on the physical distance, d`. We say that d` is an invariant. Hence, the metric turns
observer-dependent coordinates into invariants.
A fundamental object in relativity is the spacetime metric. It turns observer-dependent
spacetime coordinates X µ = (t, xi ) into the invariant line element1
3
X
ds2 = gµν dX µ dX ν ≡ gµν dX µ dX ν . (1.1.3)
µ,ν=0

In special relativity, the Minkowski metric is the same everywhere in space and time,

gµν = diag(1, −1, −1, −1) . (1.1.4)

In general relativity, on the other hand, the metric will depend on the spacetime location,

gµν (t, x) . (1.1.5)

The spacetime dependence of the metric incorporates the effects of gravity. How the metric
depends on the position in spacetime is determined by the distribution of matter and energy in
the universe. The large degree of symmetry of the homogeneous universe means that the metric
of the expanding universe take a rather simple form.
Spatial homogeneity and isotropy mean that the universe can be represented by a time-ordered
sequence of three-dimensional spatial slices Σt , each of which is homogeneous and isotropic (see
Fig. 1.2). The four-dimensional line element can then be written as

ds2 = dt2 − a2 (t)d`2 , (1.1.6)

where d`2 ≡ γij dxi dxj is the line element of a maximally symmetric 3-space and the scale factor
a(t) describes the expansion of the universe.

1.1.2 Symmetric Three-Spaces

We start with a classification of maximally symmetric 3-spaces. First, we note that homoge-
neous and isotropic 3-spaces have constant 3-curvature.2 There are only three options: zero
1
Throughout the course, will use the Einstein summation convention where repeated indices are summed
over. We will also use natural units with c ≡ 1, so that dX 0 = dt. Our metric signature will be mostly
minus, (+, −, −, −).
2
We give a precise definition of Riemann curvature below.

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5 1. Geometry and Dynamics

flat

negatively
curved

positively
curved

Figure 1.2: The spacetime of the universe can be foliated into flat, positively curved or negatively curved
spatial hypersurfaces.

curvature (E3 ), positive curvature (S3 ) and negative curvature (H3 ). The corresponding line
elements are

 0 E3
dr2


2 2 2 2 2
d` = + r (dθ + sin θ dφ ) , where k = +1 S3 . (1.1.7)
1 − k r2 | {z } 
H3

≡ dΩ2 −1


Derivation∗ .—Let us determine the metric for each case:

• flat space: the line element of three-dimensional Euclidean space E3 is simply

d`2 = dx2 = δij dxi dxj . (1.1.8)

This is clearly invariant under spatial translations (xi 7→ xi +ai , with ai = const.) and rotations
(xi 7→ Ri k xk , with δij Ri k Rj l = δkl ).
• positively curved space: a 3-space with constant positive curvature can be represented as a
3-sphere S 3 embedded in four-dimensional Euclidean space E 4 ,

d`2 = dx2 + du2 , x2 + u2 = a2 , (1.1.9)

where a is the radius of the 3-sphere. Homogeneity and isotropy of the surface of the 3-sphere
are inherited from the symmetry of the line element under four-dimensional rotations.
• negatively curved space: a 3-space with constant negative curvature can be represented as a
hyperboloid H 3 embedded in four-dimensional Lorentzian space R1,3 ,

d`2 = dx2 − du2 , x2 − u2 = −a2 , (1.1.10)

where a2 is an arbitrary constant. Homogeneity and isotropy of the induced geometry on

the hyperboloid are inherited from the symmetry of the line element under four-dimensional
pseudo-rotations (i.e. Lorentz transformations, with u playing the role of time).
In the last two cases, it is convenient to rescale the coordinates, x → ax and u → au. The line
elements of the spherical and hyperbolic cases then are

d`2 = a2 dx2 ± du2 , x2 ± u2 = ±1 .

 
(1.1.11)

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6 1. Geometry and Dynamics

Notice that the coordinates x and u are now dimensionless, while the parameter a carries the di-
mension of length. The differential of the embedding condition, x2 ± u2 = ±1, gives u du = ∓x · dx,
so
(x · dx)2
 
d`2 = a2 dx2 ± . (1.1.12)
1 ∓ x2
We can unify (1.1.12) with the Euclidean line element (1.1.8) by writing

E3


(x · dx)2
  0
d`2 = a2 dx2 + k , for k≡ +1 S3 . (1.1.13)
1 − kx2
−1 H3


Note that we must take a2 > 0 in order to have d`2 positive at x = 0, and hence everywhere. It is
convenient to use spherical polar coordinates, (r, θ, φ), because it makes the symmetries of the space
manifest. Using

dx2 = dr2 + r2 (dθ2 + sin2 θ dφ2 ) , (1.1.14)

x · dx = r dr , (1.1.15)

the metric in (1.1.13) becomes diagonal

dr2
 
2 2 2 2
d` = a + r dΩ , (1.1.16)
1 − k r2

where dΩ2 ≡ dθ2 + sin2 θ dφ2 .

Exercise.—Show that despite appearance r = 0 is not a special point in (1.1.7).

1.1.3 Robertson-Walker Metric

Substituting (1.1.7) into (1.1.6), we obtain the Robertson-Walker metric 3 in polar coordinates:

dr2
 
2 2 2
ds = dt − a (t) + r2 dΩ2 . (1.1.17)
1 − kr2

Notice that the symmetries of the universe have reduced the ten independent components of the
spacetime metric to a single function of time, the scale factor a(t), and a constant, the curvature
parameter k.

• The line element (1.1.17) has a rescaling symmetry

a → λa , r → r/λ , k → λ2 k . (1.1.18)

This means that the geometry of the spacetime stays the same if we simultaneously rescale
a, r and k as in (1.1.18). We can use this freedom to set the scale factor to unity today:4
a(t0 ) ≡ 1. In this case, a(t) becomes dimensionless, and r and k −1/2 inherit the dimension
of length.
3
Sometimes this is called the Friedmann-Robertson-Walker (FRW) metric.
4
Quantities that are evaluated at the present time t0 will have a subscript ‘0’.

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7 1. Geometry and Dynamics

time
Figure 1.3: Expansion of the universe. The comoving distance between points on an imaginary coordinate
grid remains constant as the universe expands. The physical distance is proportional to the comoving
distance times the scale factor a(t) and hence gets larger as time evolves.

• The coordinate r is called a comoving coordinate. Physical results depend only on the
physical coordinate rphys = a(t)r (see Fig. 1.3). The physical velocity of an object is
drphys dr da
vphys ≡ = a(t) + r ≡ vpec + Hrphys . (1.1.19)
dt dt dt
We see that this has two contributions: the so-called peculiar velocity, vpec ≡ a(t) ṙ, and
the Hubble flow, Hrphys , where we have defined the Hubble parameter as 5
ȧ
H≡ . (1.1.20)
a
The peculiar velocity of an object is the velocity measured by a comoving observer (i.e. an
observer who follows the Hubble flow).

• The complicated grr component of (1.1.17) can sometimes be inconvenient. In that case,
√
we may redefine the radial coordinate, dχ ≡ dr/ 1 − kr2 , such that

ds2 = dt2 − a2 (t) dχ2 + Sk2 (χ) dΩ2 ,

 
(1.1.21)

where  √
 sinh( k χ) k<0
√

1 
Sk (χ) ≡ √ kχ k=0 . (1.1.22)
k
 √
sin( k χ) k>0


• It is also often useful to introduce conformal time,

dt
dη = , (1.1.23)
a(t)
so that (1.1.21) becomes
h
i
ds2 = a2 (η) dη 2 − dχ2 + Sk2 (χ)dΩ2 . (1.1.24)

We see that the metric has factorized into a static metric multiplied by a time-dependent
conformal factor a(η). This form of the metric is particularly convenient for studying the
propagation of light.
5
Here, and in the following, an overdot denotes a time derivative, i.e. ȧ ≡ da/dt.

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1.2 Kinematics
1.2.1 Geodesics
In this section, we will study how particles evolve in the FRW spacetime. Let us first, how-
ever, look at the simpler problem of the Newtonian dynamics of a free particle. In Cartesian
coordinates, we would simply have
d2 xi
= 0. (1.2.25)
dt2
We want to know what this equation turns into for an arbitrary coordinate system in which the
three-dimensional metric is gij 6= δij . To derive the equation of motion in these coordinates, we
start from the Lagrangian of the free particle
m
L= gij (xk ) ẋi ẋj . (1.2.26)
2
Substituting this into the Euler-Lagrange equation (see below), we find

d2 xi a
i dx dx
b
= −Γab , (1.2.27)
dt2 dt dt
where we have introduced the Christoffel symbol
1
Γiab ≡ g ij (∂a gjb + ∂b gaj − ∂j gab ) , with ∂j ≡ ∂/∂xj . (1.2.28)
2

Derivation.—The Euler-Lagrange equation is

 
d ∂L ∂L
= . (1.2.29)
dt ∂ ẋk ∂xk

Substituting (1.2.26) into the derivatives, we have

∂L 1
k
= ∂k gij ẋi ẋj , (1.2.30)
∂x 2
∂L
= gik ẋi , (1.2.31)
∂ ẋk
where we have set m ≡ 1 since it will cancel on both sides. The l.h.s. of (1.2.29) then becomes

dxj ∂gik i
 
d ∂L d i

i
= gik ẋ = gik ẍ + ẋ
dt ∂ ẋk dt dt ∂xj
= gik ẍi + ∂j gik ẋi ẋj
1
= gik ẍi + (∂i gjk + ∂j gik ) ẋi ẋj . (1.2.32)
2
Equation (1.2.29) then implies
1
gki ẍi = − (∂i gjk + ∂j gik − ∂k gij ) ẋi ẋj . (1.2.33)
2
Multiplying both sides by g lk , we get
1
ẍl = − g lk (∂i gjk + ∂j gik − ∂k gij ) ẋi ẋj ≡ −Γlij ẋi ẋj , (1.2.34)
2
which is the desired result (1.2.27).

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9 1. Geometry and Dynamics

The equation of motion of a massive particle in general relativity will take a similar form as
eq. (1.2.27). However, in this case, the term involving the Christoffel symbol cannot be re-
moved by going to Cartesian coordinates, but is a physical manifestation of the curvature of the
spacetime.

Geodesic Equation∗

In the absence of additional non-gravitational forces, freely-falling particles in a curved spacetime

move along special trajectories called geodesics. For massive particles, a geodesic is the timelike
curve X µ (τ ) which extremises the proper time ∆τ between two points in the spacetime. In
Appendix A, I show that this extremal path satisfies the geodesic equation

d2 X µ α
µ dX dX
β
= −Γαβ dτ , (1.2.35)
dτ 2 dτ

where
1
Γµαβ ≡ g µλ (∂α gβλ + ∂β gαλ − ∂λ gαβ ) . (1.2.36)
2
Notice the similarity between eqs. (1.2.35) and (1.2.27). It will be convenient to write the
geodesic equation in a few different ways:

• Introducing the four-velocity of the particle, U µ ≡ dX µ /dτ , we get

dU µ
= −Γµαβ U α U β . (1.2.37)
dτ
Using the chain rule
d µ α dX α ∂U µ α ∂U
µ
U (X (τ )) = = U , (1.2.38)
dτ dτ ∂X α ∂X α
we can also write this as
∂U µ
 
Uα + Γµαβ U β = 0. (1.2.39)
∂X α
The term in brackets is the covariant derivative of the four-vector U µ , i.e. ∇α U µ ≡ ∂α U µ +
Γµαβ U β . This allows us to write the geodesic equation in the following slick way:

U α ∇α U µ = 0 . (1.2.40)

In the GR course you will derive this form of the geodesic equation directly by thinking
about parallel transport.

• Using the definition of the four-momentum of the massive particle, P µ = mU µ , we can

write (1.2.40) as

∂P µ
P α ∇α P µ = 0 or Pα α
= −Γµαβ P α P β . (1.2.41)
∂X

This form of the geodesic equation is useful since it also applies to massless particles.

I will now show you how to apply the geodesic equation (1.2.41) to particles in the FRW universe.

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10 1. Geometry and Dynamics

Particles in the Expanding Universe

To evaluate the r.h.s. of (1.2.41) we need to compute the Christoffel symbols for the FRW metric,

ds2 = dt2 − a2 (t)γij dxi dxj . (1.2.42)

All Christoffel symbols with two time indices vanish, i.e. Γµ00 = Γ00β = 0. The only non-zero
components are

ȧ i 1
Γ0ij = aȧγij , Γi0j = δ , Γijk = γ il (∂j γkl + ∂k γjl − ∂l γjk ) , (1.2.43)
a j 2

or are related to these by symmetry (note that Γµαβ = Γµβα ). I will derive Γ0ij as an example and
leave Γi0j as an exercise.

Example.—The Christoffel symbol with upper index equal to zero is

1 0λ
Γ0αβ = g (∂α gβλ + ∂β gαλ − ∂λ gαβ ) . (1.2.44)
2
The factor g 0λ vanishes unless λ = 0 in which case it is equal to 1. Therefore,
1
Γ0αβ = (∂α gβ0 + ∂β gα0 − ∂0 gαβ ) . (1.2.45)
2
The first two terms reduce to derivatives of g00 (since gi0 = 0). The FRW metric has constant g00 ,
so these terms vanish and we are left with
1
Γ0αβ = − ∂0 gαβ . (1.2.46)
2
The derivative is non-zero only if α and β are spatial indices, gij = −a2 γij (don’t miss the sign!). In
that case, we find
Γ0ij = aȧ γij . (1.2.47)

The homogeneity of the FRW background implies ∂i P µ = 0, so that the geodesic equation (1.2.41)
reduces to
dP µ
P0 = −Γµαβ P α P β ,
dt  
= − 2Γµ0j P 0 + Γµij P i P j , (1.2.48)

where I have used (1.2.43) in the second line.

• The first thing to notice from (1.2.48) is that massive particles at rest in the comoving
frame, P j = 0, will stay at rest because the r.h.s. then vanishes,

dP i
Pj = 0 ⇒ = 0. (1.2.49)
dt

• Next, we consider the µ = 0 component of (1.2.48), but don’t require the particles to be
at rest. The first term on the r.h.s. vanishes because Γ00j = 0. Using (1.2.43), we then find

dE ȧ
E = −Γ0ij P i P j = − p2 , (1.2.50)
dt a

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11 1. Geometry and Dynamics

where we have written P 0 ≡ E and defined the amplitude of the physical three-momentum
as
p2 ≡ −gij P i P j = a2 γij P i P j . (1.2.51)
Notice the appearance of the scale factor in (1.2.51) from the contraction with the spatial
part of the FRW metric, gij = −a2 γij . The components of the four-momentum satisfy
the constraint gµν P µ P ν = m2 , or E 2 − p2 = m2 , where the r.h.s. vanishes for massless
particles. It follows that E dE = pdp, so that (1.2.50) can be written as

ṗ ȧ 1
=− ⇒ p∝ . (1.2.52)
p a a

We see that the physical three-momentum of any particle (both massive and massless)
decays with the expansion of the universe.

– For massless particles, eq. (1.2.52) implies

1
p=E∝ (massless particles) , (1.2.53)
a
i.e. the energy of massless particles decays with the expansion.
– For massive particles, eq. (1.2.52) implies
mv 1
p= √ ∝ (massive particles) , (1.2.54)
1−v 2 a

where v i = dxi /dt is the comoving peculiar velocity of the particles (i.e. the velocity
relative to the comoving frame) and v 2 ≡ a2 γij v i v j is the magnitude of the physical
peculiar velocity, cf. eq. (1.1.19). To get the first equality in (1.2.54), I have used

dX i dt mv i mv i
P i = mU i = m = m vi = p =√ . (1.2.55)
dτ dτ 1 − a2 γij v i v j 1 − v2

Equation (1.2.54) shows that freely-falling particles left on their own will converge
onto the Hubble flow.

1.2.2 Redshift
Everything we know about the universe is inferred from the light we receive from distant ob-
jects. The light emitted by a distant galaxy can be viewed either quantum mechanically as
freely-propagating photons, or classically as propagating electromagnetic waves. To interpret
the observations correctly, we need to take into account that the wavelength of the light gets
stretched (or, equivalently, the photons lose energy) by the expansion of the universe. We now
quantify this effect.
Photons.—In the quantum mechanical description, the wavelength of light is inversely propor-
tional to the photon momentum, λ = h/p. Since according to (1.2.53) the momentum of a photon
evolves as a(t)−1 , the wavelength scales as a(t). Light emitted at time t1 with wavelength λ1
will be observed at t0 with wavelength

a(t0 )
λ0 = λ1 . (1.2.56)
a(t1 )

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12 1. Geometry and Dynamics

Since a(t0 ) > a(t1 ), the wavelength of the light increases, λ0 > λ1 .
Classical waves.—We can derive the same result by treating light as classical electromagnetic
waves. Consider a galaxy at a fixed comoving distance d. At a time η1 , the galaxy emits a signal
of short conformal duration ∆η. The light arrives at our telescopes at time η0 = η1 + d. The
conformal duration of the signal measured by the detector is the same as at the source, but the
physical time intervals are different at the points of emission and detection,

∆t1 = a(η1 )∆η and ∆t0 = a(η0 )∆η . (1.2.57)

If ∆t is the period of the light wave, the light is emitted with wavelength λ1 = ∆t1 (in units
where c = 1), but is observed with wavelength λ0 = ∆t0 , so that
λ0 a(η0 )
= . (1.2.58)
λ1 a(η1 )

Redshift.—It is conventional to define the redshift parameter as the fractional shift in wavelength
of a photon emitted by a distant galaxy at time t1 and observed on Earth today,
λ0 − λ1
z≡ . (1.2.59)
λ1
We then find
a(t0 )
1+z = . (1.2.60)
a(t1 )
It is also common to define a(t0 ) ≡ 1, so that

1
1+z = . (1.2.61)
a(t1 )

Hubble’s law.—For nearby sources, we may expand a(t1 ) in a power series,

 
a(t1 ) = a(t0 ) 1 + (t1 − t0 )H0 + · · · , (1.2.62)

where H0 is the Hubble constant

ȧ(t0 )
H0 ≡ . (1.2.63)
a(t0 )
Equation (1.2.60) then gives z = H0 (t0 − t1 ) + · · · . For close objects, t0 − t1 is simply the
physical distance d (in units with c = 1). We therefore find that the redshift increases linearly
with distance
z ' H0 d . (1.2.64)
The slope in a redshift-distance diagram (cf. fig. 1.6) therefore measures the current expansion
rate of the universe, H0 . These measurements used to come with very large uncertainties. Since
H0 normalizes everything else (see below), it became conventional to define6

H0 ≡ 100h kms−1 Mpc−1 , (1.2.65)

where the parameter h is used to keep track of how uncertainties in H0 propagate into other
cosmological parameters. Today, measurements of H0 have become much more precise,7

h ≈ 0.67 ± 0.01 . (1.2.66)

6
A parsec (pc) is 3.26 light-years. Blame astronomers for the funny units in (6.2.21).
7
Planck 2015 Results: Cosmological Parameters [arXiv:1502.01589].

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13 1. Geometry and Dynamics

1.2.3 Distances
For distant objects, we have to be more careful about what we mean by “distance”:

• Metric distance.—We first define a distance that isn’t really observable, but that will be
useful in defining observable distances. Consider the FRW metric in the form (1.1.21),
h i
ds2 = dt2 − a2 (t) dχ2 + Sk2 (χ)dΩ2 , (1.2.67)

where8 
 R0 sinh(χ/R0 )
 k = −1
Sk (χ) ≡ χ k=0 . (1.2.68)

 R sin(χ/R )
0 0 k = +1
The distance multiplying the solid angle element dΩ2 is the metric distance,

dm = Sk (χ) . (1.2.69)

In a flat universe (k = 0), the metric distance is simply equal to the comoving distance χ.
The comoving distance between us and a galaxy at redshift z can be written as
Z t0 Z z
dt dz
χ(z) = = , (1.2.70)
t1 a(t) 0 H(z)

where the redshift evolution of the Hubble parameter, H(z), depends on the matter content
of the universe (see §1.3). We emphasize that the comoving distance and the metric
distance are not observables.

• Luminosity distance.—Type IA supernovae are called ‘standard candles’ because they are
believed to be objects of known absolute luminosity L (= energy emitted per second).
The observed flux F (= energy per second per receiving area) from a supernova explosion
can then be used to infer its (luminosity) distance. Consider a source at a fixed comoving
distance χ. In a static Euclidean space, the relation between absolute luminosity and
observed flux is
L
F = . (1.2.71)
4πχ2

In an FRW spacetime, this result is modified for three reasons:

1. At the time t0 that the light reaches the Earth, the proper area of a sphere drawn
around the supernova and passing through the Earth is 4πd2m . The fraction of the
light received in a telescope of aperture A is therefore A/4πd2m .
2. The rate of arrival of photons is lower than the rate at which they are emitted by the
redshift factor 1/(1 + z).
3. The energy E0 of the photons when they are received is less than the energy E1 with
which they were emitted by the same redshift factor 1/(1 + z).
8
Notice that the definition of Sk (χ) contains a length scale R0 after we chose to make the scale factor dimen-
sionless, a(t0 ) ≡ 1. This is achieved by using the rescaling symmetry a → λa, χ → χ/λ, and Sk2 → Sk2 /λ.

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14 1. Geometry and Dynamics

observer

source

Figure 1.4: Geometry associated with the definition of luminosity distance.

Hence, the correct formula for the observed flux of a source with luminosity L at coordinate
distance χ and redshift z is
L L
F = ≡ , (1.2.72)
4πd2m (1 + z)2 4πd2L

where we have defined the luminosity distance, dL , so that the relation between luminosity,
flux and luminosity distance is the same as in (1.2.71). Hence, we find

dL = dm (1 + z) . (1.2.73)

• Angular diameter distance.—Sometimes we can make use of ‘standard rulers’, i.e. objects
of known physical size D. (This is the case, for example, for the fluctuations in the CMB.)
Let us assume again that the object is at a comoving distance χ and the photons which
we observe today were emitted at time t1 . A naive astronomer could decide to measure
the distance dA to the object by measuring its angular size δθ and using the Euclidean
formula for its distance,9
D
dA = . (1.2.74)
δθ
This quantity is called the angular diameter distance. The FRW metric (1.1.24) implies

observer

source

Figure 1.5: Geometry associated with the definition of angular diameter distance.

the following relation between the physical (transverse) size of the object and its angular
size on the sky
dm
D = a(t1 )Sk (χ)δθ = δθ . (1.2.75)
1+z
9
This formula assumes δθ  1 (in radians) which is true for all cosmological objects.

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15 1. Geometry and Dynamics

Hence, we get
dm
.dA = (1.2.76)
1+z
The angular diameter distance measures the distance between us and the object when
the light was emitted. We see that angular diameter and luminosity distances aren’t
independent, but related by
dL
dA = . (1.2.77)
(1 + z)2
Figure 1.6 shows the redshift dependence of the three distance measures dm , dL , and dA .
Notice that all three distances are larger in a universe with dark energy (in the form of a
cosmological constant Λ) than in one without. This fact was employed in the discovery of dark
energy (see Fig. 1.7 in §1.3.3).

with

without
distance

redshift
Figure 1.6: Distance measures in a flat universe, with matter only (dotted lines) and with 70% dark energy
(solid lines). In a dark energy dominated universe, distances out to a fixed redshift are larger than in a
matter-dominated universe.

1.3 Dynamics
The dynamics of the universe is determined by the Einstein equation
Gµν = 8πGTµν . (1.3.78)
This relates the Einstein tensor Gµν (a measure of the “spacetime curvature” of the FRW
universe) to the stress-energy tensor Tµν (a measure of the “matter content” of the universe). We
will first discuss possible forms of cosmological stress-energy tensors Tµν (§1.3.1), then compute
the Einstein tensor Gµν for the FRW background (§1.3.2), and finally put them together to solve
for the evolution of the scale factor a(t) as a function of the matter content (§1.3.3).

1.3.1 Matter Sources

We first show that the requirements of isotropy and homogeneity force the coarse-grained stress-
energy tensor to be that of a perfect fluid,
Tµν = (ρ + P ) Uµ Uν − P gµν , (1.3.79)
where ρ and P are the energy density and the pressure of the fluid and U µ is its four-velocity
(relative to the observer).

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16 1. Geometry and Dynamics

Number Density

In fact, before we get to the stress-energy tensor, we study a simpler object: the number current
four-vector N µ . The µ = 0 component, N 0 , measures the number density of particles, where for
us a “particle” may be an entire galaxy. The µ = i component, N i , is the flux of the particles in
the direction xi . Isotropy requires that the mean value of any 3-vector, such as N i , must vanish,
and homogeneity requires that the mean value of any 3-scalar10 , such as N 0 , is a function only
of time. Hence, the current of galaxies, as measured by a comoving observer, has the following
components
N 0 = n(t) , Ni = 0 , (1.3.80)
where n(t) is the number of galaxies per proper volume as measured by a comoving observer.
A general observer (i.e. an observer in motion relative to the mean rest frame of the particles),
would measure the following number current four-vector

N µ = nU µ , (1.3.81)

where U µ ≡ dX µ /dτ is the relative four-velocity between the particles and the observer. Of
course, we recover the previous result (1.3.80) for a comoving observer, U µ = (1, 0, 0, 0). For
U µ = γ(1, v i ), eq. (1.3.81) gives the correctly boosted results. For instance, you may recall that
the boosted number density is γn. (The number density increases because one of the dimensions
of the volume is Lorentz contracted.)
The number of particles has to be conserved. In Minkowski space, this implies that the
evolution of the number density satisfies the continuity equation

Ṅ 0 = −∂i N i , (1.3.82)

or, in relativistic notation,

∂µ N µ = 0 . (1.3.83)
Equation (1.3.83) is generalised to curved spacetimes by replacing the partial derivative ∂µ with
a covariant derivative ∇µ ,11
∇µ N µ = ∂µ N µ + Γµµλ N λ = 0 . (1.3.84)
Using (1.3.80), this becomes
dn
+ Γii0 n = 0 , (1.3.85)
dt
and substituting (1.2.43), we find

ṅ ȧ
= −3 ⇒ n(t) ∝ a−3 . (1.3.86)
n a
As expected, the number density decreases in proportion to the increase of the proper volume.
10
A 3-scalar is a quantity that is invariant under purely spatial coordinate transformations.
11
The covariant derivative is an important object in differential geometry and it is of fundamental importance
in general relativity. The geometrical meaning of ∇µ will be discussed in detail in the GR course. In this course,
we will have to be satisfied with treating it as an operator that acts in a specific way on scalars, vectors and
tensors.

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17 1. Geometry and Dynamics

Energy-Momentum Tensor

We will now use a similar logic to determine what form of the stress-energy tensor Tµν is
consistent with the requirements of homogeneity and isotropy. First, we decompose Tµν into a
3-scalar, T00 , 3-vectors, Ti0 and T0j , and a 3-tensor, Tij . As before, isotropy requires the mean
values of 3-vectors to vanish, i.e. Ti0 = T0j = 0. Moreover, isotropy around a point x = 0
requires the mean value of any 3-tensor, such as Tij , at that point to be proportional to δij and
hence to gij , which equals −a2 δij at x = 0,

Tij (x = 0) ∝ δij ∝ gij (x = 0) . (1.3.87)

Homogeneity requires the proportionality coefficient to be only a function of time. Since this is
a proportionality between two 3-tensors, Tij and gij , it must remain unaffected by an arbitrary
transformation of the spatial coordinates, including those transformations that preserve the form
of gij while taking the origin into any other point. Hence, homogeneity and isotropy require the
components of the stress-energy tensor everywhere to take the form

T00 = ρ(t) , πi ≡ Ti0 = 0 , Tij = −P (t)gij (t, x) . (1.3.88)

It looks even nicer with mixed upper and lower indices

 
ρ 0 0 0
 0 −P 0 0 
T µ ν = g µλ Tλν =  . (1.3.89)
 
 0 0 −P 0 
0 0 0 −P

This is the stress-energy tensor of a perfect fluid as seen by a comoving observer. More generally,
the stress-energy tensor can be written in the following, explicitly covariant, form

T µ ν = (ρ + P ) U µ Uν − P δνµ , (1.3.90)

where U µ ≡ dX µ /dτ is the relative four-velocity between the fluid and the observer, while ρ and
P are the energy density and pressure in the rest-frame of the fluid. Of course, we recover the
previous result (1.3.89) for a comoving observer, U µ = (1, 0, 0, 0).
How do the density and pressure evolve with time? In Minkowski space, energy and momen-
tum are conserved. The energy density therefore satisfies the continuity equation ρ̇ = −∂i π i ,
i.e. the rate of change of the density equals the divergence of the energy flux. Similarly, the
evolution of the momentum density satisfies the Euler equation, π̇i = ∂i P . These conservation
laws can be combined into a four-component conservation equation for the stress-energy tensor

∂µ T µ ν = 0 . (1.3.91)

In general relativity, this is promoted to the covariant conservation equation

∇µ T µ ν = ∂µ T µ ν + Γµµλ T λ ν − Γλµν T µ λ = 0 . (1.3.92)

This corresponds to four separate equations (one for each ν). The evolution of the energy density
is determined by the ν = 0 equation

∂µ T µ 0 + Γµµλ T λ 0 − Γλµ0 T µ λ = 0 . (1.3.93)

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18 1. Geometry and Dynamics

Since T i 0 vanishes by isotropy, this reduces to

dρ
+ Γµµ0 ρ − Γλµ0 T µ λ = 0 . (1.3.94)
dt
From eq. (1.2.43) we see that Γλµ0 vanishes unless λ and µ are spatial indices equal to each other,
in which case it is ȧ/a. The continuity equation (1.3.94) therefore reads

ȧ
ρ̇ + 3 (ρ + P ) = 0 . (1.3.95)
a

Exercise.—Show that (1.3.95) can be written as, dU = −P dV , where U = ρV and V ∝ a3 .

Cosmic Inventory

The universe is filled with a mixture of different matter components. It is useful to classify the
different sources by their contribution to the pressure:

• Matter
We will use the term “matter” to refer to all forms of matter for which the pressure is
much smaller than the energy density, |P |  ρ. As we will show in Chapter 3, this is the
case for a gas of non-relativistic particles (where the energy density is dominated by the
mass). Setting P = 0 in (1.3.95) gives

ρ ∝ a−3 . (1.3.96)

This dilution of the energy density simply reflects the expansion of the volume V ∝ a3 .

– Dark matter. Most of the matter in the universe is in the form of invisible dark
matter. This is usually thought to be a new heavy particle species, but what it really
is, we don’t know.
– Baryons. Cosmologists refer to ordinary matter (nuclei and electrons) as baryons.12

• Radiation
We will use the term “radiation” to denote anything for which the pressure is about a
third of the energy density, P = 13 ρ. This is the case for a gas of relativistic particles, for
which the energy density is dominated by the kinetic energy (i.e. the momentum is much
bigger than the mass). In this case, eq. (1.3.95) implies

ρ ∝ a−4 . (1.3.97)

The dilution now includes the redshifting of the energy, E ∝ a−1 .

– Photons. The early universe was dominated by photons. Being massless, they are al-
ways relativistic. Today, we detect those photons in the form of the cosmic microwave
background.
12
Of course, this is technically incorrect (electrons are leptons), but nuclei are so much heavier than electrons
that most of the mass is in the baryons. If this terminology upsets you, you should ask your astronomer friends
what they mean by “metals”.

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19 1. Geometry and Dynamics

– Neutrinos. For most of the history of the universe, neutrinos behaved like radiation.
Only recently have their small masses become relevant and they started to behave
like matter.
– Gravitons. The early universe may have produced a background of gravitons (i.e. grav-
itational waves, see §6.5). Experimental efforts are underway to detect them.

• Dark energy
We have recently learned that matter and radiation aren’t enough to describe the evolution
of the universe. Instead, the universe today seems to be dominated by a mysterious negative
pressure component, P = −ρ. This is unlike anything we have ever encountered in the
lab. In particular, from eq. (1.3.95), we find that the energy density is constant,

ρ ∝ a0 . (1.3.98)

Since the energy density doesn’t dilute, energy has to be created as the universe expands.13

– Vacuum energy. In quantum field theory, this effect is actually predicted! The ground
state energy of the vacuum corresponds to the following stress-energy tensor
vac
Tµν = ρvac gµν . (1.3.99)

Comparison with eq. (1.3.90), show that this indeed implies Pvac = −ρvac . Unfortu-
nately, the predicted size of ρvac is completely off,
ρvac
∼ 10120 . (1.3.100)
ρobs
This so-called “cosmological constant problem” is the biggest crisis in modern theo-
retical physics.
– Something else? The failure of quantum field theory to explain the size of the observed
dark energy has lead theorists to consider more exotic possibilities (such as time-
varying dark energy and modifications of general relativity). In my opinion, none of
these ideas works very well.

Cosmological constant.—The left-hand side of the Einstein equation (1.3.78) isn’t uniquely defined.
We can add the term −Λgµν , for some constant Λ, without changing the conservation of the stress
tensor, ∇µ Tµν = 0 (recall, or check, that ∇µ gµν = 0). In other words, we could have written the
Einstein equation as
Gµν − Λgµν = 8πG Tµν . (1.3.101)
Einstein, in fact, did add such a term and called it the cosmological constant. However, it has become
modern practice to move this term to the r.h.s. and treat it as a contribution to the stress-energy
tensor of the form
(Λ) Λ
Tµν = gµν ≡ ρΛ gµν . (1.3.102)
8πG
This is of the same form as the stress-energy tensor from vacuum energy, eq. (1.3.99).

13
In a gravitational system this doesn’t have to violate the conservation of energy. It is the conservation equation
(1.3.95) that counts.

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20 1. Geometry and Dynamics

Summary

Most cosmological fluids can be parameterised in terms of a constant equation of state: w = P/ρ.
This includes cold dark matter (w = 0), radiation (w = 1/3) and vacuum energy (w = −1). In
that case, the solutions to (1.3.95) scale as

−3
 a
 matter
−3(1+w)
ρ∝a = a−4 radiation . (1.3.103)
 a0

vacuum

1.3.2 Spacetime Curvature

We want to relate these matter sources to the evolution of the scale factor in the FRW metric.
To do this we have to compute the Einstein tensor on the l.h.s. of the Einstein equation (1.3.78),
1
Gµν = Rµν − Rgµν . (1.3.104)
2
We will need the Ricci tensor

Rµν ≡ ∂λ Γλµν − ∂ν Γλµλ + Γλλρ Γρµν − Γρµλ Γλνρ , (1.3.105)

and the Ricci scalar

R = Rµ µ = g µν Rµν . (1.3.106)
Again, there is a lot of beautiful geometry behind these definitions. We will simply keep plugging-
and-playing: given the Christoffel symbols (1.2.43) nothing stops us from computing (1.3.105).
We don’t need to calculate Ri0 = R0i , because it is a 3-vector, and therefore must vanish
due to the isotropy of the Robertson-Walker metric. (Try it, if you don’t believe it!) The
non-vanishing components of the Ricci tensor are
ä
R00 = −3 , (1.3.107)
"a  2 #
ä ȧ k
Rij = − +2 + 2 2 gij . (1.3.108)
a a a

Notice that we had to find Rij ∝ gij to be consistent with homogeneity and isotropy.

Derivation of R00 .—Setting µ = ν = 0 in (1.3.105), we have

R00 = ∂λ Γλ00 − ∂0 Γλ0λ + Γλλρ Γρ00 − Γρ0λ Γλ0ρ , (1.3.109)

Since Christoffels with two time-components vanish, this reduces to

R00 = −∂0 Γi0i − Γi0j Γj0i . (1.3.110)

Using Γi0j = (ȧ/a)δji , we find

   2
d ȧ ȧ ä
R00 = − 3 −3 = −3 . (1.3.111)
dt a a a

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21 1. Geometry and Dynamics

The Ricci scalar is

R = g µν Rµν
"  2 #
1 ä ȧ k
= R00 − 2 Rii = −6 + + 2 . (1.3.112)
a a a a

The non-zero components of the Einstein tensor Gµ ν ≡ g µλ Gλν then are

"  #
0 ȧ 2 k
G 0 = 3 + 2 , (1.3.113)
a a
"  2 #
ä ȧ k
Gi j = 2 + + 2 δji . (1.3.114)
a a a

Exercise.—Verify eqs. (1.3.113) and (1.3.114).

1.3.3 Friedmann Equations

Combining eqs. (1.3.113) and (1.3.114) with the stress-tensor (1.3.89), we get the Friedmann
equations,
 2
ȧ 8πG k
= ρ− 2 , (1.3.115)
a 3 a
ä 4πG
= − (ρ + 3P ) , (1.3.116)
a 3
where ρ and P should be understood as the sum of all contributions to the energy density and
pressure in the universe. We write ρr for the contribution from radiation (with ργ for photons
and ρν for neutrinos), ρm for the contribution by matter (with ρc for cold dark matter and ρb
for baryons) and ρΛ for the vacuum energy contribution. The first Friedmann equation is often
written in terms of the Hubble parameter, H ≡ ȧ/a,

8πG k
H2 = ρ− 2 . (1.3.117)
3 a
Let us use subscripts ‘0’ to denote quantities evaluated today, at t = t0 . A flat universe (k = 0)
corresponds to the following critical density today
3H02
ρcrit,0 = = 1.9 × 10−29 h2 grams cm−3
8πG
= 2.8 × 1011 h2 M Mpc−3

= 1.1 × 10−5 h2 protons cm−3 . (1.3.118)

We use the critical density to define dimensionless density parameters

ρa,0
Ωa,0 ≡ , a = r, m, Λ, . . . (1.3.119)
ρcrit,0
The Friedmann equation (1.3.117) can then be written as
  a 4  a 3  a 2 
0 0 0
H 2 (a) = H02 Ωr,0 + Ωm,0 + Ωk,0 + ΩΛ,0 , (1.3.120)
a a a

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22 1. Geometry and Dynamics

26 HST 0.32 0.68

distance (apparent magnitude)

1.00 0.00
24 SNLS

22 SDSS

20

18

16 Low-z

14

0.0 0.2 0.4 0.6 0.8 1.0 1.2 1.4

redshift

Figure 1.7: Type IA supernovae and the discovery dark energy. If we assume a flat universe, then the
supernovae clearly appear fainter (or more distant) than predicted in a matter-only universe (Ωm = 1.0).
(SDSS = Sloan Digital Sky Survey; SNLS = SuperNova Legacy Survey; HST = Hubble Space Telescope.)

where we have defined a “curvature” density parameter, Ωk,0 ≡ −k/(a0 H0 )2 . It should be noted
that in the literature, the subscript ‘0’ is normally dropped, so that e.g. Ωm usually denotes
the matter density today in terms of the critical density today. From now on we will follow
this convention and drop the ‘0’ subscripts on the density parameters. We will also use the
conventional normalization for the scale factor, a0 ≡ 1. Equation (1.3.120) then becomes
H2
= Ωr a−4 + Ωm a−3 + Ωk a−2 + ΩΛ . (1.3.121)
H02

ΛCDM

Observations (see Figs. 1.7 and 1.8) show that the universe is filled with radiation (‘r’), matter
(‘m’) and dark energy (‘Λ’):

|Ωk | ≤ 0.01 , Ωr = 9.4 × 10−5 , Ωm = 0.32 , ΩΛ = 0.68 .

The equation of state of dark energy seems to be that of a cosmological constant, wΛ ≈ −1. The
matter splits into 5% ordinary matter (baryons, ‘b’) and 27% (cold) dark matter (CDM, ‘c’):

Ωb = 0.05 , Ωc = 0.27 .

We see that even today curvature makes up less than 1% of the cosmic energy budget. At earlier
times, the effects of curvature are then completely negligible (recall that matter and radiation
scale as a−3 and a−4 , respectively, while the curvature contribution only increases as a−2 ). For
the rest of these lectures, I will therefore set Ωk ≡ 0. In Chapter 2, we will show that inflation
indeed predicts that the effects of curvature should be minuscule in the early universe (see also
Problem Set 2).

Single-Component Universe

The different scalings of radiation (a−4 ), matter (a−3 ) and vacuum energy (a0 ) imply that for
most of its history the universe was dominated by a single component (first radiation, then

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23 1. Geometry and Dynamics

0.80
+lensing 75
+lensing+BAO
70
0.72
65

60
0.64
55

50
0.56
45

40
0.24 0.32 0.40 0.48

Figure 1.8: A combination CMB and LSS observations indicate that the spatial geometry of the universe
is flat. The energy density of the universe is dominated by a cosmological constant. Notice that the CMB
data alone cannot exclude a matter-only universe with large spatial curvature. The evidence for dark energy
requires additional input.

matter, then vacuum energy; see Fig. 1.9). Parameterising this component by its equation of
state wa captures all cases of interest. For a flat, single-component universe, the Friedmann
equation (1.3.121) reduces to
ȧ 3
= H0 Ωa a− 2 (1+wa ) .
p
(1.3.122)
a
Integrating this equation, we obtain the time dependence of the scale factor


 2/3(1+wa ) t2/3 MD

 t w a 6
= −1
t1/2 RD


a(t) ∝ (1.3.123)



 eHt

 wa = −1 ΛD

matter

radiation

cosmological constant

Figure 1.9: Evolution of the energy densities in the universe.

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24 1. Geometry and Dynamics

or, in conformal time,


 η2 MD
η 2/(1+3wa ) wa 6= −1



η RD


a(η) ∝ (1.3.124)



 (−η)−1

 wa = −1 ΛD

Exercise.—Derive eq. (1.3.124) from eq. (1.3.123).

Two-Component Universe∗

Matter and radiation were equally important at aeq ≡ Ωr /Ωm ≈ 3 × 10−4 , which was shortly
before the cosmic microwave background was released (in §3.3.3, we will show that this happened
at arec ≈ 9 × 10−4 ). It will be useful to have an exact solution describing the transition era. Let
us therefore consider a flat universe filled with a mixture of matter and radiation. To solve for
the evolution of the scale factor, it proves convenient to move to conformal time. The Friedmann
equations (1.3.115) and (1.3.116) then are
8πG 4
(a0 )2 = ρa , (1.3.125)
3
4πG
a00 = (ρ − 3P )a3 , (1.3.126)
3
where primes denote derivatives with respect to conformal time and
 
ρeq  aeq 3  aeq 4
ρ ≡ ρm + ρr = + . (1.3.127)
2 a a

Exercise.—Derive eqs. (1.3.125) and (1.3.126). You will first need to convince yourself that ȧ = a0 /a
and ä = a00 /a2 − (a0 )2 /a3 .

Notice that radiation doesn’t contribute as a source term in eq. (1.3.126), ρr −3Pr = 0. Moreover,
since ρm a3 = const. = 12 ρeq a3eq , we can write eq. (1.3.126) as
2πG
a00 = ρeq a3eq . (1.3.128)
3
This equation has the following solution
πG
a(η) = ρeq a3eq η 2 + Cη + D . (1.3.129)
3
Imposing a(η = 0) ≡ 0, fixes one integration constant, D = 0. We find the second integration
constant by substituting (1.3.129) and (1.3.127) into (1.3.125),
 1/2
4πG 4
C= ρeq aeq . (1.3.130)
3
Eq. (1.3.129) can then be written as
" 2  #
η η
a(η) = aeq +2 , (1.3.131)
η? η?

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25 1. Geometry and Dynamics

where  −1/2
πG ηeq
η? ≡ ρeq a2eq =√ . (1.3.132)
3 2−1
For η  ηeq , we recover the radiation-dominated limit, a ∝ η, while for η  ηeq , we agree with
the matter-dominated limit, a ∝ η 2 .

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2 Inflation

The FRW cosmology described in the previous chapter is incomplete. It doesn’t explain why the
universe is homogeneous and isotropic on large scales. In fact, the standard cosmology predicts
that the early universe was made of many causally disconnected regions of space. The fact that
these apparently disjoint patches of space have very nearly the same densities and temperatures
is called the horizon problem. In this chapter, I will explain how inflation—an early period of
accelerated expansion—drives the primordial universe towards homogeneity and isotropy, even
if it starts in a more generic initial state.
Throughout this chapter, we will trade Newton’s constant G for the (reduced) Planck mass,
r
~c
Mpl ≡ = 2.4 × 1018 GeV ,
8πG

so that the Friedmann equation (1.3.117) is written as H 2 = ρ/(3Mpl

2 ).

2.1 The Horizon Problem

2.1.1 Particle Horizon
The size of a causally connected patch of space it determined by how far light can travel in a
certain amount of time. As we mentioned in §1.1.3, in an expanding spacetime the propagation
of light (photons) is best studied using conformal time. Since the spacetime is isotropic, we
can always define the coordinate system so that the light travels purely in the radial direction
(i.e. θ = φ = const.). The evolution is then determined by a two-dimensional line element1

ds2 = a2 (η) dη 2 − dχ2 .

 
(2.1.1)

Since photons travel along null geodesics, ds2 = 0, their path is defined by

∆χ(η) = ±∆η , (2.1.2)

where the plus sign corresponds to outgoing photons and the minus sign to incoming photons.
This shows the main benefit of working with conformal time: light rays correspond to straight
lines at 45◦ angles in the χ-η coordinates. If instead we had used physical time t, then the light
cones for curved spacetimes would be curved.
Equation (2.1.2) tells us that the maximal comoving distance that light can travel between
two times η1 and η2 > η1 is simply ∆η = η2 − η1 (recall that c ≡ 1). Hence, if the Big Bang
1
For the radial coordinate χ we have used the parameterisation of (1.1.24), so that (2.1.1) is conformal to
two-dimensional Minkowski space and the curvature k of the three-dimensional spatial slices is absorbed into the
definition of the coordinate χ. Had we used the regular polar coordinate r, the two-dimensional line element
would have retained a dependence on k. For flat slices, χ and r are of course the same.

26

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27 2. Inflation

particle horizon

Figure 2.1: Spacetime diagram illustrating the concept of the particle horizon, i.e. the maximal distance
from which we can receive signals.

‘started’ with the singularity at ti ≡ 0,2 then the greatest comoving distance from which an
observer at time t will be able to receive signals travelling at the speed of light is given by
Z t
dt
χp (η) = η − ηi = . (2.1.3)
ti a(t)

This is called the (comoving) particle horizon. The size of the particle horizon at time η may be
visualised by the intersection of the past light cone of an observer O with the spacelike surface
η = ηi (see Fig. 2.1). Causal influences have to come from within this region.

2.1.2 Hubble Radius

Equation (2.1.3) can be written in the following illuminating way
Z t Z a Z ln a
dt da
χp (η) = = = (aH)−1 d ln a , (2.1.4)
ti a ai a ȧ ln ai

where ai ≡ 0 corresponds to the Big Bang singularity. The causal structure of the spacetime is
hence related to the evolution of the comoving Hubble radius (aH)−1 . For a universe dominated
by a fluid with constant equation of state w ≡ P/ρ, we get
1
(aH)−1 = H0−1 a 2 (1+3w) . (2.1.5)

Note the dependence of the exponent on the combination (1 + 3w). All familiar matter sources
satisfy the strong energy condition (SEC), 1 + 3w > 0, so it used to be a standard assumption
that the comoving Hubble radius increases as the universe expands. In this case, the integral in
(2.1.4) is dominated by the upper limit and receives vanishing contributions from early times.
We see this explicitly in the example of a perfect fluid. Using (2.1.5) in (2.1.4), we find

2H0−1
 1

1
(1+3w) (1+3w)
χp (a) = a2 − ai
2
≡ η − ηi . (2.1.6)
(1 + 3w)
The fact that the comoving horizon receives its largest contribution from late times can be made
manifest by defining
2H0−1 1
(1+3w) ai →0 , w>− 1
ηi ≡ ai2 −−−−−−−−−−3−→ 0 . (2.1.7)
(1 + 3w)
The comoving horizon is finite,
2H0−1 1 2
χp (t) = a(t) 2 (1+3w) = (aH)−1 . (2.1.8)
(1 + 3w) (1 + 3w)
2
Notice that the Big Bang singularity is a moment in time, but not a point in space. Indeed, in Figs. 2.1 and
2.2 we describe the singularity by an extended (possibly infinite) spacelike hypersurface.

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28 2. Inflation

CMB photon

p q
recombination
singularity

p q

surface of last-scattering

Figure 2.2: The horizon problem in the conventional Big Bang model. All events that we currently observe are
on our past light cone. The intersection of our past light cone with the spacelike slice labelled “recombination”
corresponds to two opposite points in the observed CMB. Their past light cones don’t overlap before they
hit the singularity, ai = 0, so the points appear never to have been in causal contact. The same applies to
any two points in the CMB that are separated by more than 1 degree on the sky.

We see that in the standard cosmology χp ∼ (aH)−1 . This has led to the confusing practice of
referring to both the particle horizon and the Hubble radius as the “horizon”.

2.1.3 Why is the CMB so uniform?

About 380 000 years after the Big Bang, the universe had cooled enough to allow the formation
of the first hydrogen atoms. In this process, photons decoupled from the primordial plasma
(see §3.3.3). We observe this event in the form of the cosmic microwave background (CMB),
an afterglow of the hot Big Bang. Remarkably, this radiation is almost perfectly isotropic, with
anisotropies in the CMB temperature being smaller than one part in ten thousand.
A moment’s thought will convince you that the finiteness of the conformal time elapsed
between ti = 0 and the time of the formation of the CMB, trec , implies a serious problem: it
means that most parts of the CMB have non-overlapping past light cones and hence never were
in causal contact. This is illustrated by the spacetime diagram in Fig. 2.2. Consider two opposite
directions on the sky. The CMB photons that we receive from these directions were emitted at
the points labelled p and q in Fig. 2.2. We see that the photons were emitted sufficiently close

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29 2. Inflation

to the Big Bang singularity that the past light cones of p and q don’t overlap. This implies that
no point lies inside the particle horizons of both p and q. This leads to the following puzzle:
how do the photons coming from p and q “know” that they should be at almost exactly the
same temperature? The same question applies to any two points in the CMB that are separated
by more than 1 degree in the sky. The homogeneity of the CMB spans scales that are much
larger than the particle horizon at the time when the CMB was formed. In fact, in the standard
cosmology the CMB is made of about 104 disconnected patches of space. If there wasn’t enough
time for these regions to communicate, why do they look so similar? This is the horizon problem.

2.2 A Shrinking Hubble Sphere

Our description of the horizon problem has highlighted the fundamental role played by the
growing Hubble sphere of the standard Big Bang cosmology. A simple solution to the horizon
problem therefore suggests itself: let us conjecture a phase of decreasing Hubble radius in the
early universe,
d
(aH)−1 < 0 . (2.2.9)
dt
If this lasts long enough, the horizon problem can be avoided. Physically, the shrinking Hubble
sphere requires a SEC-violating fluid, 1 + 3w < 0.

BIG BANG

p q
recombination

end of inflation

INFLATION

CAUSAL start of inflation

CONTACT
singularity

Figure 2.3: Inflationary solution to the horizon problem. Conformal time during inflation is negative. The
spacelike singularity of the standard Big Bang is replaced by the reheating surface, i.e. rather than marking
the beginning of time it now corresponds simply to the transition from inflation to the standard Big Bang
evolution. All points in the CMB have overlapping past light cones and therefore originated from a causally
connected region of space.

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30 2. Inflation

2.2.1 Solution of the Horizon Problem

For a shrinking Hubble sphere, the integral in (2.1.4) is dominated by the lower limit. The Big
Bang singularity is now pushed to negative conformal time,

2H0−1 1
(1+3w) ai →0 , w<− 1
ηi = ai2 −−−−−−−−−−3−→ −∞ . (2.2.10)
(1 + 3w)

This implies that there was “much more conformal time between the singularity and decoupling
than we had thought”! Figure 2.3 shows the new spacetime diagram. If |ηS | > e60 |ηE |, then
the past light cones of widely separated points in the CMB now had enough time to intersect.
The uniformity of the CMB is not a mystery anymore. In inflationary cosmology, η = 0 isn’t
the initial singularity, but instead becomes only a transition point between inflation and the
standard Big Bang evolution. There is time both before and after η = 0.

2.2.2 Conditions for Inflation

I like the shrinking Hubble sphere as the fundamental definition of inflation since it relates
most directly to the horizon problem and is also a key feature of the inflationary mechanism of
generating fluctuations (see Chapter 6). However, before we move on to discuss what physics can
lead to a shrinking Hubble sphere, let me show you that this definition of inflation is equivalent
to other popular ways of describing inflation.

• Accelerated expansion.—From the relation

d d ä
(aH)−1 = (ȧ)−1 = − 2 , (2.2.11)
dt dt (ȧ)

we see that a shrinking comoving Hubble radius implies accelerated expansion

ä > 0 . (2.2.12)

This explains why inflation is often defined as a period of acceleration.

• Slowly-varying Hubble parameter.—Alternatively, we may write

d ȧH + aḢ 1 Ḣ
(aH)−1 = − = − (1 − ε) , where ε≡− . (2.2.13)
dt (aH)2 a H2

The shrinking Hubble sphere therefore also corresponds to

Ḣ
ε=− <1. (2.2.14)
H2

• Quasi-de Sitter expansion.—In the limit ε → 0, the spacetime becomes de Sitter space

ds2 = dt2 − e2Ht dx2 , (2.2.15)

where H = ∂t ln a = const. Inflation has to end, so it shouldn’t correspond to perfect de

Sitter space. However, for small, but finite ε 6= 0, the line element (2.2.15) is still a good
approximation to the inflationary background. This is why we will often refer to inflation
as a quasi-de Sitter period.

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31 2. Inflation

• Negative pressure.—What forms of stress-energy source accelerated expansion? Let us

consider a perfect fluid with pressure P and density ρ. The Friedmann equation, H 2 =
ρ/(3Mpl2 ), and the continuity equation, ρ̇ = −3H(ρ + P ), together imply

H2
 
2 1 3P
Ḣ + H = − 2 (ρ + 3P ) = − 1+ . (2.2.16)
6Mpl 2 ρ

We rearrange this to find that

 
Ḣ 3 P P 1
ε=− 2 = 1+ < 1 ⇔ w≡ <− , (2.2.17)
H 2 ρ ρ 3
i.e. inflation requires negative pressure or a violation of the strong energy condition. How
this can arise in a physical theory will be explained in the next section. We will see that
there is nothing sacred about the strong energy condition and that it can easily be violated.

• Constant density.—Combining the continuitiy equation, ρ̇ = −3H(ρ+P ), with eq. (2.2.16),

we find
d ln ρ
= 2ε < 1 . (2.2.18)
d ln a
For small ε, the energy density is therefore nearly constant. Conventional matter sources
all dilute with expansion, so we need to look for something more unusual.

2.3 The Physics of Inflation

We have shown that a given FRW spacetime with time-dependent Hubble parameter H(t)
corresponds to cosmic acceleration if and only if

Ḣ d ln H
ε≡− 2
=− < 1. (2.3.19)
H dN
Here, we have defined dN ≡ d ln a = Hdt, which measures the number of e-folds N of inflationary
expansion. Equation (2.3.19) implies that the fractional change of the Hubble parameter per
e-fold is small. Moreover, in order to solve the horizon problem, we want inflation to last for
a sufficiently long time (usually at least N ∼ 40 to 60 e-folds). To achieve this requires ε to
remain small for a sufficiently large number of Hubble times. This condition is measured by a
second parameter
d ln ε ε̇
η≡ = . (2.3.20)
dN Hε
For |η| < 1, the fractional change of ε per Hubble time is small and inflation persists. In this
section, we discuss what microscopic physics can lead to the conditions ε < 1 and |η| < 1.

2.3.1 Scalar Field Dynamics

As a simple toy model for inflation we consider a scalar field, the inflaton φ(t, x). As indicated by
the notation, the value of the field can depend on time t and the position in space x. Associated
with each field value is a potential energy density V (φ) (see Fig. 2.4). If the field is dynamical
(i.e. changes with time) then it also carries kinetic energy density. If the stress-energy associated
with the scalar field dominates the universe, it sources the evolution of the FRW background.
We want to determine under which conditions this can lead to accelerated expansion.

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32 2. Inflation

Figure 2.4: Example of a slow-roll potential. Inflation occurs in the shaded parts of the potential.

The stress-energy tensor of the scalar field is

 
1 αβ
Tµν = ∂µ φ∂ν φ − gµν g ∂α φ∂β φ − V (φ) . (2.3.21)
2
Consistency with the symmetries of the FRW spacetime requires that the background value of
the inflaton only depends on time, φ = φ(t). From the time-time component T 0 0 = ρφ , we infer
that
1
ρφ = φ̇2 + V (φ) . (2.3.22)
2
We see that the total energy density, ρφ , is simply the sum of the kinetic energy density, 12 φ̇2 ,
and the potential energy density, V (φ). From the space-space component T i j = −Pφ δji , we find
that the pressure is the difference of kinetic and potential energy densities,
1 2
Pφ = φ̇ − V (φ) . (2.3.23)
2
We see that a field configuration leads to inflation, Pφ < − 13 ρφ , if the potential energy dominates
over the kinetic energy.
Next, we look in more detail at the evolution of the inflaton φ(t) and the FRW scale factor
a(t). Substituting ρφ from (2.3.22) into the Friedmann equation, H 2 = ρφ /(3Mpl
2 ), we get

 
2 1 1 2
H = 2 φ̇ + V . (2.3.24)
3Mpl 2

Taking a time derivative, we find

1 h i
2H Ḣ = 2 φ̇ φ̈ + V,φ φ̇ , (2.3.25)
3Mpl

where V,φ ≡ dV /dφ. Substituting ρφ and Pφ into the second Friedmann equation (2.2.16),
2 ), we get
Ḣ = −(ρφ + Pφ )/(2Mpl
1 φ̇2
Ḣ = − 2 . (2.3.26)
2 Mpl
Notice that Ḣ is sourced by the kinetic energy density. Combining (2.3.26) with (2.3.25) leads
to the Klein-Gordon equation
φ̈ + 3H φ̇ + V,φ = 0 . (2.3.27)
This is the evolution equation for the scalar field. Notice that the potential acts like a force,
V,φ , while the expansion of the universe adds friction, H φ̇.

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33 2. Inflation

2.3.2 Slow-Roll Inflation

Substituting eq. (2.3.26) into the definition of ε, eq. (2.3.19), we find
1 2
2 φ̇
ε= 2 H2 . (2.3.28)
Mpl

Inflation (ε < 1) therefore occurs if the kinetic energy, 12 φ̇2 , only makes a small contribution to
the total energy, ρφ = 3Mpl 2 H 2 . This situation is called slow-roll inflation.

In order for this condition to persist, the acceleration of the scalar field has to be small. To
assess this, it is useful to define the dimensionless acceleration per Hubble time

φ̈
δ≡− . (2.3.29)
H φ̇
Taking the time-derivative of (2.3.28),

φ̇φ̈ φ̇2 Ḣ
ε̇ = 2 H2 − 2 H3 , (2.3.30)
Mpl Mpl

and comparing to (2.3.20), we find

ε̇ φ̈ Ḣ
η= =2 − 2 2 = 2(ε − δ) . (2.3.31)
Hε H φ̇ H

Hence, {ε, |δ|}  1 implies {ε, |η|}  1.

Slow-roll approximation.—So far, no approximations have been made. We simply noted that in a
regime where {ε, |δ|}  1, inflation occurs and persists. We now use these conditions to simplify
the equations of motion. This is called the slow-roll approximation. The condition ε  1 implies
1 2
2 φ̇  V and hence leads to the following simplification of the Friedmann equation (2.3.24),

V
H2 ≈ 2 . (2.3.32)
3Mpl

In the slow-roll approximation, the Hubble expansion is determined completely by the potential
energy. The condition |δ|  1 simplifies the Klein-Gordon equation (2.3.27) to

3H φ̇ ≈ −V,φ . (2.3.33)

This provides a simple relationship between the gradient of the potential and the speed of the
inflaton. Substituting (2.3.32) and (2.3.33) into (2.3.28) gives
2 
1 2 Mpl V,φ 2

φ̇
ε = 22 2 ≈ . (2.3.34)
Mpl H 2 V

Furthermore, taking the time-derivative of (2.3.33),

3Ḣ φ̇ + 3H φ̈ = −V,φφ φ̇ , (2.3.35)

leads to
φ̈ Ḣ 2 V,φφ
δ+ε=− − 2 ≈ Mpl . (2.3.36)
H φ̇ H V

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34 2. Inflation

Hence, a convenient way to assess whether a given potential V (φ) can lead to slow-roll inflation
is to compute the potential slow-roll parameters 3
2
Mpl
 2
V,φ 2 |V,φφ |
v ≡ , |ηv | ≡ Mpl . (2.3.37)
2 V V

Successful slow-roll inflation occurs when these parameters are small, {v , |ηv |}  1.
Amount of inflation.—The total number of ‘e-folds’ of accelerated expansion are
Z aE Z tE
Ntot ≡ d ln a = H(t) dt , (2.3.38)
aS tS

where tS and tE are defined as the times when ε(tS ) = ε(tE ) ≡ 1. In the slow-roll regime, we
can use
H 1 |dφ| 1 |dφ|
Hdt = dφ = √ ≈√ (2.3.39)
φ̇ M
2ε pl 2v Mpl

to write (2.3.38) as an integral in the field space of the inflaton4

Z φE
1 |dφ|
Ntot = √ , (2.3.40)
φS 2v Mpl
where φS and φE are defined as the boundaries of the interval where v < 1. The largest scales
observed in the CMB are produced about 60 e-folds before the end of inflation
Z φE
1 |dφ|
N∗ = √ ≈ 60 . (2.3.41)
φ∗ 2v Mpl
A successful solution to the horizon problem requires Ntot > N∗ ≈ 60.

Case study: m2 φ2 inflation.—As an example, let us give the slow-roll analysis of arguably the simplest
model of inflation: single-field inflation driven by a mass term
1 2 2
V (φ) = m φ . (2.3.42)
2
The slow-roll parameters are
 2
Mpl
v (φ) = ηv (φ) = 2 . (2.3.43)
φ
To satisfy the slow-roll conditions v , |ηv | < 1, we therefore need to consider super-Planckian values
for the inflaton √
φ > 2Mpl ≡ φE . (2.3.44)
The relation between the inflaton field value and the number of e-folds before the end of inflation is
Z φ
dφ 1 φ2 1
N (φ) = √ = 2 − 2 . (2.3.45)
φE M pl 2 v 4M pl

Fluctuations observed in the CMB are created at

p
φ∗ = 2 N∗ Mpl ∼ 15Mpl . (2.3.46)

3
In contrast, the parameters ε and η are often called the Hubble slow-roll parameters. During slow-roll, the
parameters are related as follows: v ≈ ε and ηv ≈ 2ε − 21 η.
4
The absolute value around the integration measure indicates that we pick the overall sign of the integral in
such a way as to make Ntot > 0.

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35 2. Inflation

2.3.3 Reheating
During inflation most of the energy density in the universe is in the form of the inflaton po-
tential V (φ). Inflation ends when the potential steepens and the inflaton field picks up kinetic
energy. The energy in the inflaton sector then has to be transferred to the particles of the Stan-
dard Model. This process is called reheating and starts the Hot Big Bang. We will only have
time for a very brief and mostly qualitative description of the absolute basics of the reheating
phenomenon.
Scalar field oscillations.—After inflation, the inflaton field φ begins to oscillate at the bottom
of the potential V (φ), see Fig. 2.4. Assume that the potential can be approximated as V (φ) =
1 2 2
2 m φ near the minimum of V (φ), where the amplitude of φ is small. The inflaton is still
homogeneous, φ(t), so its equation of motion is

φ̈ + 3H φ̇ = −m2 φ . (2.3.47)

The expansion time scale soon becomes much longer than the oscillation period, H −1  m−1 .
We can then neglect the friction term, and the field undergoes oscillations with frequency m.
We can write the energy continuity equation as
3
ρ̇φ + 3Hρφ = −3HPφ = − H(m2 φ2 − φ̇2 ) . (2.3.48)
2
The r.h.s. averages to zero over one oscillation period. The oscillating field therefore behaves
like pressureless matter, with ρφ ∝ a−3 . The fall in the energy density is reflected in a decrease
of the oscillation amplitude.
Inflaton decay.—To avoid that the universe ends up empty, the inflaton has to couple to Standard
Model fields. The energy stored in the inflaton field will then be transferred into ordinary
particles. If the decay is slow (which is the case if the inflaton can only decay into fermions) the
inflaton energy density follows the equation

ρ̇φ + 3Hρφ = −Γφ ρφ , (2.3.49)

where Γφ parameterizes the inflaton decay rate. If the inflaton can decay into bosons, the
decay may be very rapid, involving a mechanism called parametric resonance (sourced by Bose
condensation effects). This kind of rapid decay is called preheating, since the bosons thus created
are far from thermal equilibrium.
Thermalisation.—The particles produced by the decay of the inflaton will interact, create other
particles through particle reactions, and the resulting particle soup will eventually reach thermal
equilibrium with some temperature Trh . This reheating temperature is determined by the energy
density ρrh at the end of the reheating epoch. Necessarily, ρrh < ρφ,E (where ρφ,E is the inflaton
energy density at the end of inflation). If reheating takes a long time, we may have ρrh  ρφ,E .
The evolution of the gas of particles into a thermal state can be quite involved. Usually it
is just assumed that it happens eventually, since the particles are able to interact. However,
it is possible that some particles (such as gravitinos) never reach thermal equilibrium, since
their interactions are so weak. In any case, as long as the momenta of the particles are much
higher than their masses, the energy density of the universe behaves like radiation regardless of
the momentum space distribution. After thermalisation of at least the baryons, photons and
neutrinos is complete, the standard Hot Big Bang era begins.

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3 Thermal History

In this chapter, we will describe the first three minutes1 in the history of the universe, starting
from the hot and dense state following inflation. At early times, the thermodynamical proper-
ties of the universe were determined by local equilibrium. However, it are the departures from
thermal equilibrium that make life interesting. As we will see, non-equilibrium dynamics allows
massive particles to acquire cosmological abundances and therefore explains why there is some-
thing rather than nothing. Deviations from equilibrium are also crucial for understanding the
origin of the cosmic microwave background and the formation of the light chemical elements.
We will start, in §3.1, with a schematic description of the basic principles that shape the
thermal history of the universe. This provides an overview of the story that will be fleshed out in
much more detail in the rest of the chapter: in §3.2, we will present equilibrium thermodynamics
in an expanding universe, while in 3.3, we will introduce the Boltzmann equation and apply it to
several examples of non-equilibrium physics. We will use units in which Boltzmann’s constant
is set equal to unity, kB ≡ 1, so that temperature has units of energy.

3.1 The Hot Big Bang

The key to understanding the thermal history of the universe is the comparison between the
rate of interactions Γ and the rate of expansion H. When Γ  H, then the time scale of particle
interactions is much smaller than the characteristic expansion time scale:
1 1
tc ≡  tH ≡ . (3.1.1)
Γ H
Local thermal equilibrium is then reached before the effect of the expansion becomes relevant.
As the universe cools, the rate of interactions typically decreases faster than the expansion rate.
At tc ∼ tH , the particles decouple from the thermal bath. Different particle species may have
different interaction rates and so may decouple at different times.

3.1.1 Local Thermal Equilibrium

Let us first show that the condition (3.1.1) is satisfied for Standard Model processes at temper-
atures above a few hundred GeV. We write the rate of particle interactions as 2

Γ ≡ nσv , (3.1.2)

where n is the number density of particles, σ is their interaction cross section, and v is the
average velocity of the particles. For T & 100 GeV, all known particles are ultra-relativistic,
1
A wonderful popular account of this part of cosmology is Weinberg’s book The First Three Minutes.
2
For a process of the form 1 + 2 ↔ 3 + 4, we would write the interaction rate of species 1 as Γ1 = n2 σv, where
n2 is the density of the target species 2 and v is the average relative velocity of 1 and 2. The interaction rate of
species 2 would be Γ2 = n1 σv. We have used the expectation that at high energies n1 ∼ n2 ≡ n.

36

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37 3. Thermal History

and hence v ∼ 1. Since particle masses can be ignored in this limit, the only dimensionful scale
is the temperature T . Dimensional analysis then gives n ∼ T 3 . Interactions are mediated by
gauge bosons, which are massless above the scale of electroweak symmetry breaking. The cross
sections for the strong and electroweak interactions then have a similar dependence, which also
can be estimated using dimensional analysis 3
2
α2
σ∼ ∼ , (3.1.3)
T2

where α ≡ gA 2 /4π is the generalized structure constant associated with the gauge boson A. We

find that
α2
Γ = nσv ∼ T 3 × 2 = α2 T . (3.1.4)
T
√
We wish to compare this to the Hubble rate H ∼ ρ/Mpl . The same dimensional argument as
before gives ρ ∼ T 4 and hence
T2
H∼ . (3.1.5)
Mpl
The ratio of (3.1.4) and (3.1.5) is
Γ α2 Mpl 1016 GeV
∼ ∼ , (3.1.6)
H T T
where we have used α ∼ 0.01 in the numerical estimate. Below T ∼ 1016 GeV, but above 100
GeV, the condition (3.1.1) is therefore satisfied and all particles of the Standard Model are in
thermal equilibrium.
When particles exchange energy and momentum efficiently, they reach a state of maximum
entropy. It is a standard result of statistical mechanics that the number of particles per unit
volume in phase space—the distribution function—then takes the form 4
1
f (E) = , (3.1.7)
eE/T ± 1
where the + sign is for fermions and the − sign for bosons. When the temperature drops below
the mass of the particles, T  m, they become non-relativistic and their distribution function
receives an exponential suppression, f → e−m/T . This means that relativistic particles (‘radia-
tion’) dominate the density and pressure of the primordial plasma. The total energy density is
therefore well approximated by summing over all relativistic particles, ρr ∝ i d3 p fi (p)Ei (p).
P R

The result can be written as (see below)

π2
ρr = g? (T )T 4 , (3.1.8)
30
where g? (T ) is the number of relativistic degrees of freedom. Figure 3.1 shows the evolution
of g? (T ) assuming the particle content of the Standard Model. At early times, all particles are
relativistic and g? = 106.75. The value of g? decreases whenever the temperature of the universe
drops below the mass of a particle species and it becomes non-relativistic. Today, only photons
and (maybe) neutrinos are still relativistic and g? = 3.38.
3
Shown in eq. (3.1.3) is the Feynman diagram associated with a 2 → 2 scattering process mediated by the
√
exchange of a gauge boson. Each vertex contributes a factor of the gauge coupling gA ∝ α. The dependence of
the cross section on α follows from squaring the dependence on α derived from the Feynman diagram, i.e. σ ∝
√ √
( α × α)2 = α2 .
4
The precise formula will include the chemical potential (see below).

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38 3. Thermal History

Figure 3.1: Evolution of the number of relativistic degrees of freedom assuming the Standard Model.

3.1.2 Decoupling and Freeze-Out

If equilibrium had persisted until today, the universe would be mostly photons. Any massive
particle species would be exponentially suppressed.5 To understand the world around us, it
is therefore crucial to understand the deviations from equilibrium that led to the freeze-out of
massive particles (see Fig. 3.2).

relativistic non-relativistic

freeze-out

relic density

equilibrium

1 10 100

Figure 3.2: A schematic illustration of particle freeze-out. At high temperatures, T  m, the particle
abundance tracks its equilibrium value. At low temperatures, T  m, the particles freeze out and maintain
a density that is much larger than the Boltzmann-suppressed equilibrium abundance.

Below the scale of electroweak symmetry breaking, T . 100 GeV, the gauge bosons of the
weak interactions, W ± and Z, receive masses, MW ≈ 80 GeV and MZ ≈ 90 GeV. The cross
5
This isn’t quite correct for baryons. Since baryon number is a symmetry of the Standard Model, the number
density of baryons can remain significant even in equilibrium.

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39 3. Thermal History

section associated with processes mediated by the weak force becomes

2

σ∼ ∼ G2F T 2 , (3.1.9)

where we have introduced Fermi’s constant,6 GF ∼ α/MW 2 ∼ 1.17 × 10−5 GeV−2 . Notice that

the strength of the weak interactions now decreases as the temperature of the universe drops.
We find that 3
α2 Mpl T 3

Γ T
∼ 4 ∼ , (3.1.10)
H MW 1 MeV
which drops below unity at Tdec ∼ 1 MeV. Particles that interact with the primordial plasma
only through the weak interaction therefore decouple around 1 MeV. This decoupling of weak
scale interactions has important consequences for the thermal history of the universe.

3.1.3 A Brief History of the Universe

Table 3.1 lists key events in the thermal history of the universe:

• Baryogenesis.∗ Relativistic quantum field theory requires the existence of anti-particles.

This poses a slight puzzle. Particles and anti-particles annihilate through processes such as
e+ + e− → γ + γ. If initially the universe was filled with equal amounts of matter and anti-
matter then we expect these annihilations to lead to a universe dominated by radiation.
However, we do observe an overabundance of matter (mostly baryons) over anti-matter in
the universe today. Models of baryogenesis try to derive the observed baryon-to-photon
ratio
nb
ηb ≡ ∼ 10−9 , (3.1.11)
nγ
from some dynamical mechanism, i.e. without assuming a primordial matter-antimatter
asymmetry as an initial condition. Although many ideas for baryogenesis exist, none is
singled out by experimental tests. We will not have much to say about baryogenesis in
this course.

• Electroweak phase transition. At 100 GeV particles receive their masses through the
Higgs mechanism. Above we have seen how this leads to a drastic change in the strength
of the weak interaction.

• QCD phase transition. While quarks are asymptotically free (i.e. weakly interacting)
at high energies, below 150 MeV, the strong interactions between the quarks and the
gluons become important. Quarks and gluons then form bound three-quark systems,
called baryons, and quark-antiquark pairs, called mesons. These baryons and mesons are
the relevant degrees of freedom below the scale of the QCD phase transition.

• Dark matter freeze-out. Since dark matter is very weakly interacting with ordinary
matter we expect it to decouple relatively early on. In §3.3.2, we will study the example
of WIMPs—weakly interacting massive particles that freeze out around 1 MeV. We will
show that choosing natural values for the mass of the dark matter particles and their
interaction cross section with ordinary matter reproduces the observed relic dark matter
density surprisingly well.
6 2
The 1/MW comes from the low-momentum limit of the propagator of a massive gauge field.

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40 3. Thermal History

Event time t redshift z temperature T

Singularity 0 ∞ ∞

Quantum gravity ∼ 10−43 s – ∼ 1018 GeV

Inflation & 10−34 s – –

Baryogenesis . 20 ps > 1015 > 100 GeV

EW phase transition 20 ps 1015 100 GeV

QCD phase transition 20 µs 1012 150 MeV

Dark matter freeze-out ? ? ?

Neutrino decoupling 1s 6 × 109 1 MeV

Electron-positron annihilation 6s 2 × 109 500 keV

Big Bang nucleosynthesis 3 min 4 × 108 100 keV

Matter-radiation equality 60 kyr 3400 0.75 eV

Recombination 260–380 kyr 1100–1400 0.26–0.33 eV

Photon decoupling 380 kyr 1100 0.26 eV

Reionization 100–400 Myr 10–30 2.6–7.0 meV

Dark energy-matter equality 9 Gyr 0.4 0.33 meV

Present 13.8 Gyr 0 0.24 meV

Table 3.1: Key events in the thermal history of the universe.

• Neutrino decoupling. Neutrinos only interact with the rest of the primordial plasma
through the weak interaction. The estimate in (3.1.10) therefore applies and neutrinos
decouple at 0.8 MeV.

• Electron-positron annihilation. Electrons and positrons annihilate shortly after neu-

trino decoupling. The energies of the electrons and positrons gets transferred to the
photons, but not the neutrinos. In §3.2.4, we will explain that this is the reason why the
photon temperature today is greater than the neutrino temperature.

• Big Bang nucleosynthesis. Around 3 minutes after the Big Bang, the light elements
were formed. In §3.3.4, we will study this process of Big Bang nucleosynthesis (BBN).

• Recombination. Neutral hydrogen forms through the reaction e− +p+ → H+γ when the
temperature has become low enough that the reverse reaction is energetically disfavoured.
We will study recombination in §3.3.3.

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41 3. Thermal History

• Photon decoupling. Before recombination the strongest coupling between the photons
and the rest of the plasma is through Thomson scattering, e− +γ → e− +γ. The sharp drop
in the free electron density after recombination means that this process becomes inefficient
and the photons decouple. They have since streamed freely through the universe and are
today observed as the cosmic microwave background (CMB).
In the rest of this chapter, we will explore in detail where this knowledge about the thermal
history of the universe comes from.

3.2 Equilibrium
3.2.1 Equilibrium Thermodynamics
We have good observational evidence (from the perfect blackbody spectrum of the CMB) that the
early universe was in local thermal equilibrium.7 Moreover, we have seen above that the Standard
Model predicts thermal equilibrium above 100 GeV. To describe this state and the subsequent
evolution of the universe, we need to recall some basic facts of equilibrium thermodynamics,
suitably generalized to apply to an expanding universe.

Microscopic to Macroscopic

Statistical mechanics is the art of turning microscopic laws into an understanding of the macro-
scopic world. I will briefly review this approach for a gas of weakly interacting particles. It is
convenient to describe the system in phase space, where the gas is described by the positions
and momenta of all particles. In quantum mechanics, the momentum eigenstates of a particle
in a volume V = L3 have a discrete spectrum:

The density of states in momentum space {p} then is L3 /h3 = V /h3 , and the state density in
phase space {x, p} is
1
. (3.2.12)
h3
If the particle has g internal degrees of freedom (e.g. spin), then the density of states becomes
g g
3
= , (3.2.13)
h (2π)3
7
Strictly speaking, the universe can never truly be in equilibrium since the FRW spacetime doesn’t posses
a time-like Killing vector. But this is physics and not mathematics: if the expansion is slow enough, particles
have enough time to settle close to local equilibrium. (And since the universe is homogeneous, the local values of
thermodynamics quantities are also global values.)

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42 3. Thermal History

where in the second equality we have used natural units with ~ = h/(2π) ≡ 1. To obtain
the number density of a gas of particles, we need to know how the particles are distributed
amongst the momentum eigenstates. This information is contained in the (phase space) dis-
tribution function f (x, p, t). Because of homogeneity, the distribution function should, in fact,
be independent of the position x. Moreover, isotropy requires that the momentum dependence
is only in terms of the magnitude of the momentum p ≡ |p|. We will typically leave the time
dependence implicit—it will manifest itself in terms of the temperature dependence of the dis-
tribution functions. The particle density in phase space is then the density of states times the
distribution function
g
× f (p) . (3.2.14)
(2π)3
The number density of particles (in real space) is found by integrating (3.2.14) over momentum,
Z
g
n = d3 p f (p) . (3.2.15)
(2π)3

To obtain the energy density of the gas of particles, we have to weight each momentum eigen-
state by its energy. To a good approximation, the particles in the early universe were weakly
interacting. This allows us to ignore the interaction energies between the particles and write the
energy of a particle of mass m and momentum p simply as
p
E(p) = m2 + p2 . (3.2.16)

Integrating the product of (3.2.16) and (3.2.14) over momentum then gives the energy density
Z
g
ρ = d3 p f (p)E(p) . (3.2.17)
(2π)3

Similarly, we define the pressure as

p2
Z
g
P = d3 p f (p) . (3.2.18)
(2π)3 3E

Pressure.∗ —Let me remind you where the p2 /3E factor in (3.2.18) comes from. Consider a small area
element of size dA, with unit normal vector n̂ (see Fig. 3.3). All particles with velocity |v|, striking
this area element in the time interval between t and t + dt, were located at t = 0 in a spherical shell of
radius R = |v|t and width |v|dt. A solid angle dΩ2 of this shell defines the volume dV = R2 |v|dt dΩ2
(see the grey shaded region in Fig. 3.3). Multiplying the phase space density (3.2.14) by dV gives
the number of particles in the volume (per unit volume in momentum space) with energy E(|v|),
g
dN = f (E) × R2 |v|dt dΩ . (3.2.19)
(2π)3

Not all particles in dV reach the target, only those with velocities directed to the area element.
Taking into account the isotropy of the velocity distribution, we find that the total number of
particles striking the area element dA n̂ with velocity v = |v| v̂ is

|v̂ · n̂| dA g |v · n̂|

dNA = × dN = f (E) × dA dt dΩ , (3.2.20)
4πR2 (2π)3 4π

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43 3. Thermal History

where v · n̂ < 0. If these particles are reflected elastically, each transfer momentum 2|p · n̂| to the
target. Hence, the contribution of particles with velocity |v| to the pressure is

2|p · n̂| p2 p2
Z Z
g g
dP (|v|) = dNA = 3
f (E) × cos2 θ sin θ dθ dφ = 3
× f (E) , (3.2.21)
dA dt (2π) 2πE (2π) 3E

where we have used |v| = |p|/E and integrated over the hemisphere defined by v̂ · n̂ ≡ − cos θ < 0
(i.e. integrating only over particles moving towards dA—see Fig. 3.3). Integrating over energy E (or
momentum p), we obtain (3.2.18).

Figure 3.3: Pressure in a weakly interacting gas of particles.

Local Thermal Equilibrium

A system of particles is said to be in kinetic equilibrium if the particles exchange energy and
momentum efficiently. This leads to a state of maximum entropy in which the distribution
functions are given by the Fermi-Dirac and Bose-Einstein distributions
1
f (p) = , (3.2.22)
e(E(p)−µ)/T ± 1
where the + sign is for fermions and the − sign for bosons. At low temperatures, T < E − µ,
both distribution functions reduce to the Maxwell-Boltzmann distribution
f (p) ≈ e−(E(p)−µ)/T . (3.2.23)
The equilibrium distribution functions have two parameters: the temperature T and the chemical
potential µ. The chemical potential may be temperature-dependent. As the universe expands,
T and µ(T ) change in such a way that the continuity equations for the energy density ρ and the
particle number density n are satisfied. Each particle species i (with possibly distinct mi , µi ,
Ti ) has its own distribution function fi and hence its own ni , ρi , Pi .

Chemical potential.∗ —In thermodynamics, the chemical potential characterizes the response of a
system to a change in particle number. Specifically, it is defined as the derivative of the entropy with
respect to the number of particles, at fixed energy and fixed volume,
 
∂S
µ = −T . (3.2.24)
∂N U,V

The change in entropy of a system therefore is

dU + P dV − µ dN
dS = , (3.2.25)
T

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44 3. Thermal History

where µ dN is sometimes called the chemical work. A knowledge of the chemical potential of reacting
particles can be used to indicate which way a reaction proceeds. The second law of thermodynamics
means that particles flow to the side of the reaction with the lower total chemical potential. Chemical
equilibrium is reached when the sum of the chemical potentials of the reacting particles is equal to
the sum of the chemical potentials of the products. The rates of the forward and reverse reactions
are then equal.

If a species i is in chemical equilibrium, then its chemical potential µi is related to the chemical
potentials µj of the other species it interacts with. For example, if a species 1 interacts with
species 2, 3 and 4 via the reaction 1 + 2 ↔ 3 + 4, then chemical equilibrium implies

µ1 + µ 2 = µ 3 + µ4 . (3.2.26)

Since the number of photons is not conserved (e.g. double Compton scattering e− +γ ↔ e− +γ+γ
happens in equilibrium at high temperatures), we know that

µγ = 0 . (3.2.27)

This implies that if the chemical potential of a particle X is µX , then the chemical potential of
the corresponding anti-particle X̄ is
µX̄ = −µX , (3.2.28)
To see this, just consider particle-antiparticle annihilation, X + X̄ ↔ γ + γ.
Thermal equilibrium is achieved for species which are both in kinetic and chemical equilibrium.
These species then share a common temperature Ti = T .8

3.2.2 Densities and Pressure

Let us now use the results from the previous section to relate the densities and pressure of a gas
of weakly interacting particles to the temperature of the universe.
At early times, the chemical potentials of all particles are so small that they can be neglected.9
Setting the chemical potential to zero, we get
Z ∞
g p2
n = dp , (3.2.29)
2π 2 0
p 
exp p2 + m2 /T ± 1
Z ∞ p
g p2 p2 + m2
ρ = dp . (3.2.30)
2π 2 0
p 
exp p2 + m2 /T ± 1

Defining x ≡ m/T and ξ ≡ p/T , this can be written as

Z ∞
g 3 ξ2
n = T I± (x) , I± (x) ≡ dξ , (3.2.31)
2π 2
 p 
0 exp ξ 2 + x2 ± 1
Z ∞ p
g 4 ξ 2 ξ 2 + x2
ρ = T J± (x) , J± (x) ≡ dξ . (3.2.32)
2π 2
p 
0 exp ξ 2 + x2 ± 1
8
This temperature is often identified with the photon temperature Tγ — the “temperature of the universe”.
9
For electrons and protons this is a fact (see Problem Set 2), while for neutrinos it is likely true, but not
proven.

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45 3. Thermal History

In general, the functions I± (x) and J± (x) have to be evaluated numerically. However, in the
(ultra)relativistic and non-relativistic limits, we can get analytical results.
The following standard integrals will be useful
Z ∞
ξn
dξ ξ = ζ(n + 1) Γ(n + 1) , (3.2.33)
0 e −1
Z ∞
2
dξ ξ n e−ξ = 12 Γ 12 (n + 1) ,


(3.2.34)
0

where ζ(z) is the Riemann zeta-function.

Relativistic Limit

In the limit x → 0 (m  T ), the integral in (3.2.31) reduces to

Z ∞
ξ2
I± (0) = dξ ξ . (3.2.35)
0 e ±1
For bosons, this takes the form of the integral (3.2.33) with n = 2,

I− (0) = 2ζ(3) , (3.2.36)

where ζ(3) ≈ 1.20205 · · · . To find the corresponding result for fermions, we note that
1 1 2
= ξ − 2ξ , (3.2.37)
eξ +1 e −1 e −1
so that  3
1 3
I+ (0) = I− (0) − 2 × I− (0) = I− (0) . (3.2.38)
2 4
Hence, we get
(
ζ(3) 1 bosons
n = 2 gT 3 3
. (3.2.39)
π fermions
4

A similar computation for the energy density gives

(
π2 1 bosons
ρ= gT4 7
. (3.2.40)
30 fermions
8

Relic photons.—Using that the temperature of the CMB is T0 = 2.73 K, show that

2ζ(3) 3
nγ,0 = T ≈ 410 photons cm−3 , (3.2.41)
π2 0
π2 4
ργ,0 = T ≈ 4.6 × 10−34 g cm−3 ⇒ Ωγ h2 ≈ 2.5 × 10−5 . (3.2.42)
15 0

Finally, from (3.2.18), it is easy to see that we recover the expected pressure-density relation for
a relativistic gas (i.e. ‘radiation’)
1
P = ρ. (3.2.43)
3

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46 3. Thermal History

Exercise.∗ —For µ = 0, the numbers of particles and anti-particles are equal. To find the “net particle
number” let us restore finite µ in the relativistic limit. For fermions with µ 6= 0 and T  m, show
that
Z ∞  
g 2 1 1
n − n̄ = dp p −
2π 2 0 e(p−µ)/T + 1 e(p+µ)/T + 1
     
1 3 2 µ µ 3
= gT π + . (3.2.44)
6π 2 T T

Note that this result is exact and not a truncated series.

Non-Relativistic Limit

In the limit x  1 (m  T ), the integral (3.2.31) is the same for bosons and fermions
Z ∞
ξ2
I± (x) ≈ dξ √ 2 2 . (3.2.45)
0 e ξ +x
Most of the contribution to the integral comes from ξ  x. We can therefore Taylor expand the
square root in the exponential to lowest order in ξ,
Z ∞ Z ∞ Z ∞
ξ2 −x 2 −ξ 2 /(2x) 3/2 −x 2
I± (x) ≈ dξ x+ξ2 /(2x) = e dξ ξ e = (2x) e dξ ξ 2 e−ξ . (3.2.46)
0 e 0 0
√
The last integral is of the form of the integral (3.2.34) with n = 2. Using Γ( 23 ) = π/2, we get
r
π 3/2 −x
I± (x) = x e , (3.2.47)
2
which leads to
 3/2
mT
n=g e−m/T . (3.2.48)
2π
As expected, massive particles are exponentially rare at low temperatures, T  m. At lowest
order in the non-relativistic limit, we have E(p) ≈ m and the energy density is simply equal to
the mass density
ρ ≈ mn . (3.2.49)

p
Exercise.—Using E(p) = m2 + p2 ≈ m + p2 /2m, show that

3
ρ = mn + nT . (3.2.50)
2

Finally, from (3.2.18), it is easy to show that a non-relativistic gas of particles acts like pres-
sureless dust (i.e. ‘matter’)
P = nT  ρ = mn . (3.2.51)

Exercise.—Derive (6.4.53). Notice that this is nothing but the ideal gas law, P V = N kB T .

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47 3. Thermal History

By comparing the relativistic limit (T  m) and the non-relativistic limit (T  m), we see
that the number density, energy density, and pressure of a particle species fall exponentially (are
“Boltzmann suppressed”) as the temperature drops below the mass of the particle. We interpret
this as the annihilation of particles and anti-particles. At higher energies these annihilations
also occur, but they are balanced by particle-antiparticle pair production. At low temperatures,
the thermal particle energies aren’t sufficient for pair production.

Exercise.—Restoring finite µ in the non-relativistic limit, show that

3/2
mT
n = g e−(m−µ)/T , (3.2.52)
2π
 3/2
mT µ
n − n̄ = 2g e−m/T sinh . (3.2.53)
2π T

Effective Number of Relativistic Species

Let T be the temperature of the photon gas. The total radiation density is the sum over the
energy densities of all relativistic species

X π2
ρr = ρi = g? (T )T 4 , (3.2.54)
30
i

where g? (T ) is the effective number of relativistic degrees of freedom at the temperature T . The
sum over particle species may receive two types of contributions:

• Relativistic species in thermal equilibrium with the photons, Ti = T  mi ,

X 7 X
g?th (T ) = gi + gi . (3.2.55)
8
i=b i=f

When the temperature drops below the mass mi of a particle species, it becomes non-
relativistic and is removed from the sum in (3.2.55). Away from mass thresholds, the
thermal contribution is independent of temperature.

• Relativistic species that are not in thermal equilibrium with the photons, Ti 6= T  mi ,
 4  4
X Ti 7 X Ti
g?dec (T ) = gi + gi . (3.2.56)
T 8 T
i=b i=f

We have allowed for the decoupled species to have different temperatures Ti . This will be
relevant for neutrinos after e+ e− annihilation (see §3.2.4).

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48 3. Thermal History

Table 3.2: Particle content of the Standard Model.

type mass spin g

1
quarks t, t̄ 173 GeV 2 2 · 2 · 3 = 12
b, b̄ 4 GeV
c, c̄ 1 GeV
s, s̄ 100 MeV
d, s̄ 5 MeV
u, ū 2 MeV

gluons gi 0 1 8 · 2 = 16

leptons τ± 1777 MeV 1

2 2·2=4
±
µ 106 MeV
±
e 511 keV
1
ντ , ν̄τ < 0.6 eV 2 2·1=2
νµ , ν̄µ < 0.6 eV
νe , ν̄e < 0.6 eV

gauge bosons W+ 80 GeV 1 3

−
W 80 GeV
0
Z 91 GeV
γ 0 2

Higgs boson H0 125 GeV 0 1

Figure 3.4 shows the evolution of g? (T ) assuming the Standard Model particle content (see
Table 3.2). At T & 100 GeV, all particles of the Standard Model are relativistic. Adding up
their internal degrees of freedom we get:10

gb = 28 photons (2), W ± and Z 0 (3 · 3), gluons (8 · 2), and Higgs (1)

gf = 90 quarks (6 · 12), charged leptons (3 · 4), and neutrinos (3 · 2)

and hence
7
g? = gb +
gf = 106.75 . (3.2.57)
8
As the temperature drops, various particle species become non-relativistic and annihilate. To
estimate g? at a temperature T we simply add up the contributions from all relativistic degrees
of freedom (with m  T ) and discard the rest.
Being the heaviest particles of the Standard Model, the top quarks annihilates first. At T ∼
10
Here, we have used that massless spin-1 particles (photons and gluons) have two polarizations, massive spin-1
particles (W ± , Z) have three polarizations and massive spin- 21 particles (e± , µ± , τ ± and quarks) have two spin
states. We assumed that the neutrinos are purely left-handed (i.e. we only counted one helicity state). Also,
remember that fermions have anti-particles.

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49 3. Thermal History

1
6 mt ∼ 30 GeV,11 the effective number of relativistic species is reduced to g? = 106.75 − 78 × 12 =
96.25. The Higgs boson and the gauge bosons W ± , Z 0 annihilate next. This happens roughly at
the same time. At T ∼ 10 GeV, we have g? = 96.26−(1+3·3) = 86.25. Next, the bottom quarks
annihilate (g? = 86.25 − 78 × 12 = 75.75), followed by the charm quarks and the tau leptons
(g? = 75.75 − 78 × (12 + 4) = 61.75). Before the strange quarks had time to annihilate, something
else happens: matter undergoes the QCD phase transition. At T ∼ 150 MeV, the quarks
combine into baryons (protons, neutrons, ...) and mesons (pions, ...). There are many different
species of baryons and mesons, but all except the pions (π ± , π 0 ) are non-relativistic below the
temperature of the QCD phase transition. Thus, the only particle species left in large numbers
are pions, electrons, muons, neutrinos, and photons. The three pions (spin-0) correspond to
g = 3 · 1 = 3 internal degrees of freedom. We therefore get g? = 2 + 3 + 87 × (4 + 4 + 6) = 17.25.
Next, electrons and positrons annihilate. However, to understand this process we first need to
talk about entropy.

Figure 3.4: Evolution of relativistic degrees of freedom g? (T ) assuming the Standard Model particle content.
The dotted line stands for the number of effective degrees of freedom in entropy g?S (T ).

3.2.3 Conservation of Entropy

To describe the evolution of the universe it is useful to track a conserved quantity. As we will
see, in cosmology entropy is more informative than energy. According to the second law of
thermodynamics, the total entropy of the universe only increases or stays constant. It is easy to
show that the entropy is conserved in equilibrium (see below). Since there are far more photons
than baryons in the universe, the entropy of the universe is dominated by the entropy of the
photon bath (at least as long as the universe is sufficiently uniform). Any entropy production
from non-equilibrium processes is therefore total insignificant relative to the total entropy. To
a good approximation we can therefore treat the expansion of the universe as adiabatic, so that
11
The transition from relativistic to non-relativistic behaviour isn’t instantaneous. About 80% of the particle-
antiparticle annihilations takes place in the interval T = m → 16 m.

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50 3. Thermal History

the total entropy stays constant even beyond equilibrium.

Exercise.—Show that the following holds for particles in equilibrium (which therefore have the cor-
responding distribution functions) and µ = 0:

∂P ρ+P
= . (3.2.58)
∂T T

Consider the second law of thermodynamics: T dS = dU + P dV . Using U = ρV , we get

1   
dS = d (ρ + P )V − V dP
T
1   V
= d (ρ + P )V − 2 (ρ + P ) dT
T T
 
ρ+P
=d V , (3.2.59)
T

where we have used (3.2.58) in the second line. To show that entropy is conserved in equilibrium,
we consider
 
dS d ρ+P
= V
dt dt T
   
V dρ 1 dV V dP ρ + P dT
= + (ρ + P ) + − . (3.2.60)
T dt V dt T dt T dt

The first term vanishes by the continuity equation, ρ̇+3H(ρ+P ) = 0. (Recall that V ∝ a3 .) The
second term vanishes by (3.2.58). This establishes the conservation of entropy in equilibrium.
In the following, it will be convenient to work with the entropy density, s ≡ S/V . From
(3.2.59), we learn that
ρ+P
s= . (3.2.61)
T
Using (3.2.40) and (6.4.53), the total entropy density for a collection of different particle species is
X ρi + Pi 2π 2
s= ≡ g?S (T )T 3 , (3.2.62)
Ti 45
i

where we have defined the effective number of degrees of freedom in entropy,

th dec
g?S (T ) = g?S (T ) + g?S (T ) . (3.2.63)

th (T ) = g th (T ). However, given that s ∝ T 3 , for

Note that for species in thermal equilibrium g?S ? i i
decoupled species we get
 3  3
dec
X Ti 7 X Ti
g?S (T ) ≡ gi + gi 6= g?dec (T ) . (3.2.64)
T 8 T
i=b i=f

Hence, g?S is equal to g? only when all the relativistic species are in equilibrium at the same
temperature. In the real universe, this is the case until t ≈ 1 sec (cf. Fig. 3.4).

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51 3. Thermal History

The conservation of entropy has two important consequences:

• It implies that s ∝ a−3 . The number of particles in a comoving volume is therefore

proportional to the number density ni divided by the entropy density
ni
Ni ≡ . (3.2.65)
s
If particles are neither produced nor destroyed, then ni ∝ a−3 and Ni is constant. This is
case, for example, for the total baryon number after baryogenesis, nB /s ≡ (nb − nb̄ )/s.

• It implies, via eq. (3.2.62), that

−1/3
g?S (T ) T 3 a3 = const. , or T ∝ g?S a−1 . (3.2.66)

Away from particle mass thresholds g?S is approximately constant and T ∝ a−1 , as ex-
−1/3
pected. The factor of g?S accounts for the fact that whenever a particle species becomes
non-relativistic and disappears, its entropy is transferred to the other relativistic species
still present in the thermal plasma, causing T to decrease slightly less slowly than a−1 .
We will see an example in the next section (cf. Fig. 3.5).
−1/3
Substituting T ∝ g?S a−1 into the Friedmann equation

1 da  ρr 1/2 π  g? 1/2 T 2
H= ' 2 ' , (3.2.67)
a dt 3Mpl 3 10 Mpl

we reproduce the usual result for a radiation dominated universe, a ∝ t1/2 , except that
there is a change in the scaling every time g?S changes. For T ∝ t−1/2 , we can integrate
the Friedmann equation and get the temperature as a function of time
 1/2
T −1/4 1sec
' 1.5g? . (3.2.68)
1 MeV t

It is a useful rule of thumb that the temperature of the universe 1 second after the Big
Bang was about 1 MeV, and evolved as t−1/2 before that.

3.2.4 Neutrino Decoupling

Neutrinos are coupled to the thermal bath via weak interaction processes like

νe + ν̄e ↔ e+ + e− ,
(3.2.69)
e− + ν̄e ↔ e− + ν̄e .

The cross section for these interactions was estimated in (3.1.9), σ ∼ G2F T 2 , and hence it was
found that Γ ∼ G2F T 5 . As the temperature decreases, the interaction rate drops much more
rapidly that the Hubble rate H ∼ T 2 /Mpl :
 3
Γ T
∼ . (3.2.70)
H 1 MeV

We conclude that neutrinos decouple around 1 MeV. (A more accurate computation gives
Tdec ∼ 0.8 MeV.) After decoupling, the neutrinos move freely along geodesics and preserve

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52 3. Thermal History

to an excellent approximate the relativistic Fermi-Dirac distribution (even after they become
non-relativistic at later times). In §1.2.1, we showed the physical momentum of a particle scales
as p ∝ a−1 . It is therefore convenient to define the time-independent combination q ≡ ap, so
that the neutrino number density is
Z
−3 1
nν ∝ a d3 q . (3.2.71)
exp(q/aTν ) + 1

After decoupling, particle number conservation requires nν ∝ a−3 . This is only consistent with
(3.2.71) if the neutrino temperature evolves as Tν ∝ a−1 . As long as the photon temperature12
Tγ scales in the same way, we still have Tν = Tγ . However, particle annihilations will cause a
deviation from Tγ ∝ a−1 in the photon temperature.

3.2.5 Electron-Positron Annihilation

Shortly after the neutrinos decouple, the temperature drops below the electron mass and electron-
positron annihilation occurs
e+ + e− ↔ γ + γ . (3.2.72)
The energy density and entropy of the electrons and positrons are transferred to the photons,
but not to the decoupled neutrinos. The photons are thus “heated” (the photon temperature
does not decrease as much) relative to the neutrinos (see Fig. 3.5). To quantify this effect,

neutrino decoupling

photon heating

electron-positron
annihilation

Figure 3.5: Thermal history through electron-positron annihilation. Neutrinos are decoupled and their
temperature redshifts simply as Tν ∝ a−1 . The energy density of the electron-positron pairs is transferred
−1/3
to the photon gas whose temperature therefore redshifts more slowly, Tγ ∝ g?S a−1 .

we consider the change in the effective number of degrees of freedom in entropy. If we neglect
neutrinos and other decoupled species,13 we have
(
th
2 + 87 × 4 = 11
2 T & me
g?S = . (3.2.73)
2 T < me
12
For the moment we will restore the subscript on the photon temperature to highlight the difference with the
neutrino temperature.
13
Obviously, entropy is separately conserved for the thermal bath and the decoupled species.

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53 3. Thermal History

th (aT )3 remains constant, we find that aT increases after electron-

Since, in equilibrium, g?S γ γ
positron annihilation, T < me , by a factor (11/4)1/3 , while aTν remains the same. This means
that the temperature of neutrinos is slightly lower than the photon temperature after e+ e−
annihilation,
 1/3
4
Tν = Tγ . (3.2.74)
11
For T  me , the effective number of relativistic species (in energy density and entropy) there-
fore is
 4/3
7 4
g? = 2 + × 2Neff = 3.36 , (3.2.75)
8 11
 
7 4
g?S = 2 + × 2Neff = 3.94 , (3.2.76)
8 11

where we have introduced the parameter Neff as the effective number of neutrino species in the
universe. If neutrinos decoupling was instantaneous then we have Neff = 3. However, neutrino
decoupling was not quite complete when e+ e− annihilation began, so some of the energy and
entropy did leak to the neutrinos. Taking this into account14 raises the effective number of
neutrinos to Neff = 3.046.15 Using this value in (3.2.75) and (3.2.76) explains the final values of
g? (T ) and g?S (T ) in Fig. 3.1.

3.2.6 Cosmic Neutrino Background

The relation (3.2.74) holds until the present. The cosmic neutrino background (CνB) there-
fore has a slightly lower temperature, Tν,0 = 1.95 K = 0.17 meV, than the cosmic microwave
background, T0 = 2.73 K = 0.24 meV. The number density of neutrinos is
3 4
nν = Neff × nγ . (3.2.77)
4 11
Using (3.2.41), we see that this corresponds to 112 neutrinos cm−3 per flavour. The present
energy density of neutrinos depends on whether the neutrinos are relativistic or non-relativistic
today. It used to be believe that neutrinos were massless in which case we would have
 4/3
7 4
ρν = Neff ργ ⇒ Ων h2 ≈ 1.7 × 10−5 (mν = 0) . (3.2.78)
8 11

Neutrino oscillation experiments have since shown that neutrinos do have mass. The minimum
P
sum of the neutrino masses is mν,i > 60 meV. Massive neutrinos behave as radiation-like
16
particles in the early universe , and as matter-like particles in the late universe (see fig. 3.6).
P
On Problem Set 2, you will show that energy density of massive neutrinos, ρν = mν,i nν,i ,
corresponds to P
2 mν,i
Ων h ≈ . (3.2.79)
94 eV
14
To get the precise value of Neff one also has to consider the fact that the neutrino spectrum after decoupling
deviates slightly from the Fermi-Dirac distribution. This spectral distortion arises because the energy dependence
of the weak interaction causes neutrinos in the high-energy tail to interact more strongly.
15
The Planck constraint on Neff is 3.36 ± 0.34. This still leaves room for discovering that Neff 6= 3.046, which
is one of the avenues in which cosmology could discover new physics beyond the Standard Model.
16
For mν < 0.2 eV, neutrinos are relativistic at recombination.

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54 3. Thermal History

By demanding that neutrinos don’t over close the universe, i.e. Ων < 1, one sets a cosmological
P
upper bound on the sum of the neutrino masses, mν,i < 15 eV (using h = 0.7). Measurements
P
of tritium β-decay, in fact, find that mν,i < 6 eV. Moreover, observations of the cosmic
microwave background, galaxy clustering and type Ia supernovae together put an even stronger
P
bound, mν,i < 1 eV. This implies that although neutrinos contribute at least 25 times the
energy density of photons, they are still a subdominant component overall, 0.001 < Ων < 0.02.

Temperature [K]

photons
Fractional Energy Density

neutrinos

CDM

baryons

Scale Factor

Figure 3.6: Evolution of the fractional energy densities of photons, three neutrino species (one massless and
two massive – 0.05 and 0.01 eV), cold dark matter (CDM), baryons, and a cosmological constant (Λ). Notice
the change in the behaviour of the two massive neutrinos when they become non-relativistic particles.

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55 3. Thermal History

3.3 Beyond Equilibrium

The formal tool to describe the evolution beyond equilibrium is the Boltzmann equation. In
this section, we first introduce the Boltzmann equation and then apply it to three important
examples: (i) the production of dark matter; (ii) the formation of the light elements during Big
Bang nucleosynthesis; and (iii) the recombination of electrons and protons into neutral hydrogen.

3.3.1 Boltzmann Equation

In the absence of interactions, the number density of a particle species i evolves as
dni ȧ
+ 3 ni = 0 . (3.3.80)
dt a
This is simply a reflection of the fact that the number of particles in a fixed physical volume (V ∝
a3 ) is conserved, so that the density dilutes with the expanding volume, ni ∝ a−3 , cf. eq. (1.3.86).
To include the effects of interactions we add a collision term to the r.h.s. of (3.3.80),
1 d(ni a3 )
= Ci [{nj }] . (3.3.81)
a3 dt
This is the Boltzmann equation. The form of the collision term depends on the specific inter-
actions under consideration. Interactions between three or more particles are very unlikely, so
we can limit ourselves to single-particle decays and two-particle scatterings / annihilations. For
concreteness, let us consider the following process
1+2  3+4 , (3.3.82)
i.e. particle 1 can annihilate with particle 2 to produce particles 3 and 4, or the inverse process
can produce 1 and 2. This reaction will capture all processes studied in this chapter. Suppose
we are interested in tracking the number density n1 of species 1. Obviously, the rate of change
in the abundance of species 1 is given by the difference between the rates for producing and
eliminating the species. The Boltzmann equation simply formalises this statement,
1 d(n1 a3 )
= −α n1 n2 + β n3 n4 . (3.3.83)
a3 dt
We understand the r.h.s. as follows: The first term, −αn1 n2 , describes the destruction of particles
1, while that second term, +β n3 n4 . Notice that the first term is proportional to n1 and n2 and
the second term is proportional to n3 and n4 . The parameter α = hσvi is the thermally averaged
cross section.17 The second parameter β can be related to α by noting that the collision term
has to vanish in (chemical) equilibrium
 
n1 n2
β= α, (3.3.84)
n3 n4 eq
where neq
i are the equilibrium number densities we calculated above. We therefore find
" #
1 d(n1 a3 )
 
n1 n2
= −hσvi n1 n2 − n3 n4 . (3.3.85)
a3 dt n3 n4 eq

17
You will learn in the QFT and Standard Model courses how to compute cross sections σ for elementary
processes. In this course, we will simply use dimensional analysis to estimate the few cross sections that we will
need. The cross section may depend on the relative velocity v of particles 1 and 2. The angle brackets in α = hσvi
denote an average over v.

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56 3. Thermal History

It is instructive to write this in terms of the number of particles in a comoving volume, as defined
in (3.2.65), Ni ≡ ni /s. This gives
"   #
d ln N1 Γ1 N1 N2 N3 N4
=− 1− , (3.3.86)
d ln a H N3 N4 eq N1 N2

where Γ1 ≡ n2 hσvi. The r.h.s. of (3.3.86) contains a factor describing the interaction efficiency,
Γ1 /H, and a factor characterizing the deviation from equilibrium, [1 − · · · ].
For Γ1  H, the natural state of the system is chemical equilibrium. Imagine that we start
with N1  N1eq (while Ni ∼ Nieq , i = 2, 3, 4). The r.h.s. of (3.3.86) then is negative, particles
of type 1 are destroyed and N1 is reduced towards the equilibrium value N1eq . Similarly, if
N1  N1eq , the r.h.s. of (3.3.86) is positive and N1 is driven towards N1eq . The same conclusion
applies if several species deviate from their equilibrium values. As long as the interaction rates
are large, the system quickly relaxes to a steady state where the r.h.s. of (3.3.86) vanishes and
the particles assume their equilibrium abundances.
When the reaction rate drops below the Hubble scale, Γ1 < H, the r.h.s. of (3.3.86) gets
suppressed and the comoving density of particles approaches a constant relic density, i.e. N1 =
const. This is illustrated in Fig. 3.2. We will see similar types of evolution when we study the
freeze-out of dark matter particles in the early universe (Fig. 3.7), neutrons in BBN (Fig. 3.9)
and electrons in recombination (Fig. 3.8).

3.3.2 Dark Matter Relics

We start with the slightly speculative topic of dark matter freeze-out. I call this speculative
because it requires us to make some assumptions about the nature of the unknown dark matter
particles. For concreteness, we will focus on the hypothesis that the dark matter is a weakly
interacting massive particle (WIMP).

Freeze-Out

WIMPs were in close contact with the rest of the cosmic plasma at high temperatures, but
then experienced freeze-out at a critical temperature Tf . The purpose of this section is to solve
the Boltzmann equation for such a particle, determining the epoch of freeze-out and its relic
abundance.
To get started we have to assume something about the WIMP interactions in the early uni-
verse. We will imagine that a heavy dark matter particle X and its antiparticle X̄ can annihilate
¯
to produce two light (essentially massless) particles ` and `,

X + X̄ ↔ ` + `¯ . (3.3.87)

Moreover, we assume that the light particles are tightly coupled to the cosmic plasma,18 so that
throughout they maintain their equilibrium densities, n` = neq` . Finally, we assume that there
is no initial asymmetry between X and X̄, i.e. nX = nX̄ . The Boltzmann equation (3.3.85) for
the evolution of the number of WIMPs in a comoving volume, NX ≡ nX /s, then is

dNX h
2 eq 2
i
= −shσvi NX − (NX ) , (3.3.88)
dt
18
This would be case case, for instance, if ` and `¯ were electrically charged.

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57 3. Thermal History

eq
where NX ≡ neq
X /s. Since most of the interesting dynamics will take place when the temperature
is of order the particle mass, T ∼ MX , it is convenient to define a new measure of time,
MX
x≡ . (3.3.89)
T
To write the Boltzmann equation in terms of x rather than t, we note that
 
dx d MX 1 dT
= =− x ' Hx , (3.3.90)
dt dt T T dt

where we have assumed that T ∝ a−1 (i.e. g?S ≈ const. ≡ g?S (MX )) for the times relevant to
the freeze-out. We assume radiation domination so that H = H(MX )/x2 . Eq. (3.3.88) then
becomes the so-called Riccati equation,

dNX λh 2 eq 2
i
= − 2 NX − (NX ) , (3.3.91)
dx x

where we have defined

2π 2 M 3 hσvi
λ≡ g?S X . (3.3.92)
45 H(MX )
We will treat λ as a constant (which in more fundamental theories of WIMPs is usually a good
approximation). Unfortunately, even for constant λ, there are no analytic solutions to (3.3.91).
Fig. 3.7 shows the result of a numerical solution for two different values of λ. As expected,

1 10 100

Figure 3.7: Abundance of dark matter particles as the temperature drops below the mass.

eq
at very high temperatures, x < 1, we have NX ≈ NX ' 1. However, at low temperatures,
eq
x  1, the equilibrium abundance becomes exponentially suppressed, NX ∼ e−x . Ultimately,
X-particles will become so rare that they will not be able to find each other fast enough to
maintain the equilibrium abundance. Numerically, we find that freeze-out happens at about
xf ∼ 10. This is when the solution of the Boltzmann equation starts to deviate significantly
from the equilibrium abundance.
∞ ≡ N (x = ∞), determines the freeze-out density of dark
The final relic abundance, NX X
matter. Let us estimate its magnitude as a function of λ. Well after freeze-out, NX will be

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58 3. Thermal History

eq eq
much larger than NX (see Fig. 3.7). Thus at late times, we can drop NX from the Boltzmann
equation,
dNX λN 2
' − 2X (x > xf ) . (3.3.93)
dx x
Integrating from xf , to x = ∞, we find

1 1 λ
∞ − f = , (3.3.94)
NX NX xf

f f ∞ (see Fig. 3.7), so a simple analytic approximation

where NX ≡ NX (xf ). Typically, NX  NX
is
∞ xf
NX ' . (3.3.95)
λ
Of course, this still depends on the unknown freeze-out time (or temperature) xf . As we see
from Fig. 3.7, a good order-of-magnitude estimate is xf ∼ 10. The value of xf isn’t terribly
sensitive to the precise value of λ, namely xf (λ) ∝ | ln λ|.

Exercise.—Estimate xf (λ) from Γ(xf ) = H(xf ).

Equation (3.3.95) predicts that the freeze-out abundance NX ∞ decreases as the interaction rate λ

increases. This makes sense intuitively: larger interactions maintain equilibrium longer, deeper
into the Boltzmann-suppressed regime. Since the estimate in (3.3.95) works quite well, we will
use it in the following.

WIMP Miracle∗

It just remains to relate the freeze-out abundance of dark matter relics to the dark matter
density today:
ρX,0
ΩX ≡
ρcrit,0
MX nX,0 MX NX,0 s0 ∞ s0
= 2 H 2 = 3M 2 H 2 = MX NX 3M 2 H 2 . (3.3.96)
3Mpl 0 pl 0 pl 0

∞.
where we have used that the number of WIMPs is conserved after freeze-out, i.e. NX,0 = NX
∞ = x /λ and s ≡ s(T ), we get
Substituting NX f 0 0

H(MX ) xf g?S (T0 ) T03

ΩX = 2 2 H2 , (3.3.97)
MX hσvi g?S (MX ) 3Mpl 0

where we have used (3.3.92) and (3.2.62). Using (3.2.67) for H(MX ), gives
1/2
g?S (T0 ) T03

π xf g? (MX )
ΩX = 3 H2 . (3.3.98)
9 hσvi 10 g?S (MX ) Mpl 0

Finally, we substitute the measured values of T0 and H0 and use g?S (T0 ) = 3.91 and g?S (MX ) =
g? (MX ):
 x   10 1/2 10−8 GeV−2
f
ΩX h2 ∼ 0.1 . (3.3.99)
10 g? (MX ) hσvi

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59 3. Thermal History

This reproduces the observed dark matter density if

hσvi ∼ 10−4 GeV−1 ∼ 0.1 GF .

p p

The fact that a thermal relic with a cross section characteristic of the weak interaction gives the
right dark matter abundance is called the WIMP miracle.

3.3.3 Recombination
An important event in the history of the early universe is the formation of the first atoms. At
temperatures above about 1 eV, the universe still consisted of a plasma of free electrons and
nuclei. Photons were tightly coupled to the electrons via Compton scattering, which in turn
strongly interacted with protons via Coulomb scattering. There was very little neutral hydrogen.
When the temperature became low enough, the electrons and nuclei combined to form neutral
atoms (recombination19 ), and the density of free electrons fell sharply. The photon mean free
path grew rapidly and became longer than the horizon distance. The photons decoupled from the
matter and the universe became transparent. Today, these photons are the cosmic microwave
background.

Saha Equilibrium

Let us start at T > 1 eV, when baryons and photons were still in equilibrium through electro-
magnetic reactions such as

e− + p+ ↔ H + γ . (3.3.100)

Since T < mi , i = {e, p, H}, we have the following equilibrium abundances

 3/2  
mi T µi − mi
neq
i = gi exp , (3.3.101)
2π T

where µp + µe = µH (recall that µγ = 0). To remove the dependence on the chemical potentials,
we consider the following ratio
   3/2
nH gH mH 2π
= e(mp +me −mH )/T . (3.3.102)
ne np eq ge gp me mp T

In the prefactor, we can use mH ≈ mp , but in the exponential the small difference between mH
and mp + me is crucial: it is the binding energy of hydrogen

BH ≡ mp + me − mH = 13.6 eV . (3.3.103)

The number of internal degrees of freedom are gp = ge = 2 and gH = 4.20 Since, as far as we
know, the universe isn’t electrically charged, we have ne = np . Eq. (3.3.102) therefore becomes
   3/2
nH 2π
= eBH /T . (3.3.104)
n2e eq me T
19
Don’t ask me why this is called recombination; this is the first time electrons and nuclei combined.
20
The spins of the electron and proton in a hydrogen atom can be aligned or anti-aligned, giving one singlet
state and one triplet state, so gH = 1 + 3 = 4.

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60 3. Thermal History

We wish to follow the free electron fraction defined as the ratio

ne
Xe ≡ , (3.3.105)
nb
where nb is the baryon density. We may write the baryon density as
2ζ(3) 3
nb = η b nγ = η b × T , (3.3.106)
π2
where ηb = 5.5 × 10−10 (Ωb h2 /0.020) is the baryon-to-photon ratio. To simplify the discussion, let
us ignore all nuclei other than protons (over 90% (by number) of the nuclei are protons). The
total baryon number density can then be approximated as nb ≈ np + nH = ne + nH and hence
1 − Xe nH
2
= 2 nb . (3.3.107)
Xe ne
Substituting (3.3.104) and (3.3.106), we arrive at the so-called Saha equation,
   3/2
1 − Xe 2ζ(3) 2πT
= η eBH /T . (3.3.108)
Xe2 eq π2 me

recombination

decoupling
CMB

Boltzmann
Saha
plasma neutral hydrogen

Figure 3.8: Free electron fraction as a function of redshift.

Fig. 3.8 shows the redshift evolution of the free electron fraction as predicted both by the
Saha approximation (3.3.108) and by a more exact numerical treatment (see below). The Saha
approximation correctly identifies the onset of recombination, but it is clearly insufficient if the
aim is to determine the relic density of electrons after freeze-out.

Hydrogen Recombination

Let us define the recombination temperature Trec as the temperature where21 Xe = 10−1
in (3.3.108), i.e. when 90% of the electrons have combined with protons to form hydrogen.
We find
Trec ≈ 0.3 eV ' 3600 K . (3.3.109)
21
There is nothing deep about the choice Xe (Trec ) = 10−1 . It is as arbitrary as it looks.

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61 3. Thermal History

The reason that Trec  BH = 13.6 eV is that there are very many photons for each hydrogen
atom, ηb ∼ 10−9  1. Even when T < BH , the high-energy tail of the photon distribution
contains photons with energy E > BH so that they can ionize a hydrogen atom.

Exercise.—Confirm the estimate in (3.3.109).

Using Trec = T0 (1 + zrec ), with T0 = 2.7 K, gives the redshift of recombination,

zrec ≈ 1320 . (3.3.110)

Since matter-radiation equality is at zeq ' 3500, we conclude that recombination occurred
in the matter-dominated era. Using a(t) = (t/t0 )2/3 , we obtain an estimate for the time of
recombination
t0
trec = ∼ 290 000 yrs . (3.3.111)
(1 + zrec )3/2

Photon Decoupling

Photons are most strongly coupled to the primordial plasma through their interactions with
electrons

e− + γ ↔ e− + γ , (3.3.112)

with an interaction rate given by

Γγ ≈ ne σT , (3.3.113)
where σT ≈ 2 × 10−3 MeV−2 is the Thomson cross section. Since Γγ ∝ ne , the interaction rate
decreases as the density of free electrons drops. Photons and electrons decouple roughly when
the interaction rate becomes smaller than the expansion rate,

Γγ (Tdec ) ∼ H(Tdec ) . (3.3.114)

Writing
2ζ(3) 3
Γγ (Tdec ) = nb Xe (Tdec ) σT = ηb σT Xe (Tdec )Tdec , (3.3.115)
π2
Tdec 3/2
p  
H(Tdec ) = H0 Ωm . (3.3.116)
T0
we get √
3/2 π 2 H0 Ωm
Xe (Tdec )Tdec ∼ . (3.3.117)
2ζ(3) η σT T 3/2
0
Using the Saha equation for Xe (Tdec ), we find

Tdec ∼ 0.27 eV . (3.3.118)

Notice that although Tdec isn’t far from Trec , the ionization fraction decreases significantly be-
tween recombination and decoupling, Xe (Trec ) ' 0.1 → Xe (Tdec ) ' 0.01. This shows that a large
degree of neutrality is necessary for the universe to become transparent to photon propagation.

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62 3. Thermal History

Exercise.—Using (3.3.108), confirm the estimate in (3.3.118).

The redshift and time of decoupling are

zdec ∼ 1100 , (3.3.119)

tdec ∼ 380 000 yrs . (3.3.120)

After decoupling the photons stream freely. Observations of the cosmic microwave background
today allow us to probe the conditions at last-scattering.

Electron Freeze-Out∗

In Fig. 3.8, we see that a residual ionisation fraction of electrons freezes out when the interactions
in (3.3.100) become inefficient. To follow the free electron fraction after freeze-out, we need to
solve the Boltzmann equation, just as we did for the dark matter freeze-out.
We apply our non-equilibrium master equation (3.3.85) to the reaction (3.3.100). To a rea-
sonably good approximation the neutral hydrogen tracks its equilibrium abundance throughout,
nH ≈ neqH . The Boltzmann equation for the electron density can then be written as

1 d(ne a3 ) h
2 eq 2
i
= −hσvi n e − (n e ) . (3.3.121)
a3 dt
Actually computing the thermally averaged recombination cross section hσvi from first principles
is quite involved, but a reasonable approximation turns out to be
 1/2
BH
hσvi ' σT . (3.3.122)
T

Writing ne = nb Xe and using that nb a3 = const., we find

dXe λh i
= − 2 Xe2 − (Xeeq )2 , (3.3.123)
dx x

where x ≡ BH /T . We have used the fact that the universe is matter-dominated at recombination
and defined    
nb hσvi 3 Ωb h
λ≡ = 3.9 × 10 . (3.3.124)
xH x=1 0.03

Exercise.—Derive eq. (3.3.123).

Notice that eq. (3.3.123) is identical to eq. (3.3.91)—the Riccati equation for dark matter freeze-
out. We can therefore immediately write down the electron freeze-out abundance, cf. eq. (3.3.95),
  
∞ xf −3 xf 0.03
Xe ' = 0.9 × 10 . (3.3.125)
λ xrec Ωb h

Assuming that freeze-out occurs close to the time of recombination, xrec ≈ 45, we capture the
relic electron abundance pretty well (see Fig. 3.8).

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63 3. Thermal History

Exercise.—Using Γe (Tf ) ∼ H(Tf ), show that the freeze-out temperature satisfies

√
π2 H0 Ωm
Xe (Tf ) Tf = . (3.3.126)
2ζ(3) ησT T 3/2 B 1/2
0 H

Use the Saha equation to show that Tf ∼ 0.25 eV and hence xf ∼ 54.

3.3.4 Big Bang Nucleosynthesis

Let us return to T ∼ 1 MeV. Photons, electron and positrons are in equilibrium. Neutrinos
are about to decouple. Baryons are non-relativistic and therefore much fewer in number than
the relativistic species. Nevertheless, we now want to study what happened to these trace
amounts of baryonic matter. The total number of nucleons stays constant due to baryon number
conservation. This baryon number can be in the form of protons and neutrons or heavier nuclei.
Weak nuclear reactions may convert neutrons and protons into each other and strong nuclear
reactions may build nuclei from them. In this section, I want to show you how the light elements
hydrogen, helium and lithium were synthesised in the Big Bang. I won’t give a complete account
of all of the complicated details of Big Bang Nucleosynthesis (BBN). Instead, the goal of this
section will be more modest: I want to give you a theoretical understanding of a single number:
the ratio of the density of helium to hydrogen,
nHe 1
∼ . (3.3.127)
nH 16
Figure 3.9 summarizes the four steps that will lead us from protons and neutrons to helium.
Step 0: Step 2:
Equilibrium Step 1: Neutron Decay Step 3:
Neutron Freeze-Out Helium Fusion
Fractional Abundance

equilibrium

Temperature [MeV]

Figure 3.9: Numerical results for helium production in the early universe.

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64 3. Thermal History

Step 0: Equilibrium Abundances

In principle, BBN is a very complicated process involving many coupled Boltzmann equations
to track all the nuclear abundances. In practice, however, two simplifications will make our life
a lot easier:
1. No elements heavier than helium.
Essentially no elements heavier than helium are produced at appreciable levels. So the
only nuclei that we need to track are hydrogen and helium, and their isotopes: deuterium,
tritium, and 3 He.

2. Only neutrons and protons above 0.1 MeV.

Above T ≈ 0.1 MeV only free protons and neutrons exist, while other light nuclei haven’t
been formed yet. Therefore, we can first solve for the neutron/proton ratio and then use
this abundance as input for the synthesis of deuterium, helium, etc.

Let us demonstrate that we can indeed restrict our attention to neutrons and protons above
0.1 MeV. In order to do this, we compare the equilibrium abundances of the different nuclei:

• First, we determine the relative abundances of neutrons and protons. In the early universe,
neutrons and protons are coupled by weak interactions, e.g. β-decay and inverse β-decay
n + νe ↔ p+ + e− ,
(3.3.128)
n + e+ ↔ p+ + ν̄e .
Let us assume that the chemical potentials of electrons and neutrinos are negligibly small,
so that µn = µp . Using (3.3.101) for neq
i , we then have

mn 3/2 −(mn −mp )/T

   
nn
= e . (3.3.129)
np eq mp
The small difference between the proton and neutron mass can be ignored in the first
factor, but crucially has to be kept in the exponential. Hence, we find
 
nn
= e−Q/T , (3.3.130)
np eq
where Q ≡ mn − mp = 1.30 MeV. For T  1 MeV, there are therefore as many neutrons
as protons. However, for T < 1 MeV, the neutron fraction gets smaller. If the weak
interactions would operate efficiently enough to maintain equilibrium indefinitely, then the
neutron abundance would drop to zero. Luckily, in the real world the weak interactions
are not so efficient.

• Next, we consider deuterium (an isotope of hydrogen with one proton and one neutron).
This is produced in the following reaction

n + p+ ↔ D + γ . (3.3.131)

Since µγ = 0, we have µn +µp = µD . To remove the dependence on the chemical potentials

we consider
mD 2π 3/2 −(mD −mn −mp )/T
   
nD 3
= e , (3.3.132)
nn np eq 4 mn mp T

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65 3. Thermal History

where, as before, we have used (3.3.101) for neq

i (with gD = 3 and gp = gn = 2). In the
prefactor, mD can be set equal to 2mn ≈ 2mp ≈ 1.9 GeV, but in the exponential the small
difference between mn + mp and mD is crucial: it is the binding energy of deuterium

BD ≡ mn + mp − mD = 2.22 MeV . (3.3.133)

Therefore, as long as chemical equilibrium holds the deuterium-to-proton ratio is

4π 3/2 BD /T
   
nD 3
= neq e . (3.3.134)
np eq 4 n mp T
To get an order of magnitude estimate, we approximate the neutron density by the baryon
density and write this in terms of the photon temperature and the baryon-to-photon ratio,
2ζ(3) 3
nn ∼ nb = ηb nγ = ηb × T . (3.3.135)
π2
Equation (3.3.134) then becomes

T 3/2 BD /T
   
nD
≈ ηb e . (3.3.136)
np eq mp
The smallness of the baryon-to-photon ratio ηb inhibits the production of deuterium until
the temperature drops well beneath the binding energy BD . The temperature has to drop
enough so that eBD /T can compete with ηb ∼ 10−9 . The same applies to all other nuclei.
At temperatures above 0.1 MeV, then, virtually all baryons are in the form of neutrons
and protons. Around this time, deuterium and helium are produced, but the reaction rates
are by now too low to produce any heavier elements.

Step 1: Neutron Freeze-Out

The primordial ratio of neutrons to protons is of particular importance to the outcome of BBN,
since essentially all the neutrons become incorporated into 4 He. As we have seen, weak inter-
actions keep neutrons and protons in equilibrium until T ∼ MeV. After that, we must solve
the Boltzmann equation (3.3.85) to track the neutron abundance. Since this is a bit involved, I
won’t describe it in detail (but see the box below). Instead, we will estimate the answer a bit
less rigorously.
It is convenient to define the neutron fraction as
nn
Xn ≡ . (3.3.137)
nn + np
From the equilibrium ratio of neutrons to protons (3.3.130), we then get
e−Q/T
Xneq (T ) = . (3.3.138)
1 + e−Q/T
Neutrons follows this equilibrium abundance until neutrinos decouple at22 Tf ∼ Tdec ∼ 0.8 MeV
(see §3.2.4). At this moment, weak interaction processes such as (3.3.128) effectively shut off.
The equilibrium abundance at that time is

Xneq (0.8 MeV) = 0.17 . (3.3.139)

22
If is fortunate that Tf ∼ Q. This seems to be a coincidence: Q is determined by the strong and electromagnetic
interactions, while the value of Tf is fixed by the weak interaction. Imagine a world in which Tf  Q!

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66 3. Thermal History

We will take this as a rough estimate for the final freeze-out abundance,
1
Xn∞ ∼ Xneq (0.8 MeV) ∼ . (3.3.140)
6
We have converted the result to a fraction to indicate that this is only an order of magnitude
estimate.

Exact treatment∗ .—OK, since you asked, I will show you some details of the more exact treatment.
To be clear, this box is definitely not examinable!
Using the Boltzmann equation (3.3.85), with 1 = neutron, 3 = proton, and 2, 4 = leptons (with
n` = neq
` ), we find " #
1 d(nn a3 )
 
nn
= −Γn nn − np , (3.3.141)
a3 dt np eq

where we have defined the rate for neutron/proton conversion as Γn ≡ n` hσvi. Substituting (3.3.137)
and (3.3.138), we find
dXn h i
= −Γn Xn − (1 − Xn )e−Q/T . (3.3.142)
dt
Instead of trying to solve this for Xn as a function of time, we introduce a new evolution variable
Q
x≡ . (3.3.143)
T
We write the l.h.s. of (3.3.142) as

dXn dx dXn x dT dXn dXn

= =− = xH , (3.3.144)
dt dt dx T dt dx dx
where in the last equality we used that T ∝ a−1 . During BBN, we have
s
π g? Q2 1
r
ρ
H= 2 = 3 , with g? = 10.75 . (3.3.145)
3Mpl 10 Mpl x2
| {z }
≡ H1 ≈ 1.13 s−1

Eq. (3.3.142) then becomes

dXn Γn  −x
x e − Xn (1 + e−x ) .

= (3.3.146)
dx H1
Finally, we need an expression for the neutron-proton conversion rate, Γn . You can find a sketch of
the required QFT calculation in Dodelson’s book. Here, I just cite the answer

255 12 + 6x + x2
Γn (x) = · , (3.3.147)
τn x5

where τn = 886.7 ± 0.8 sec is the neutron lifetime. One can see that the conversion time Γ−1 n is
−1/2
comparable to the age of the universe at a temperature of ∼ 1 MeV. At later times, T ∝ t and
Γn ∝ T 3 ∝ t−3/2 , so the neutron-proton conversion time Γ−1 n ∝ t 3/2
becomes longer than the age of
the universe. Therefore we get freeze-out, i.e. the reaction rates become slow and the neutron/proton
ratio approaches a constant. Indeed, solving eq. (3.3.146) numerically, we find (see Fig. 3.9)

Xn∞ ≡ Xn (x = ∞) = 0.15 . (3.3.148)

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67 3. Thermal History

Step 2: Neutron Decay

At temperatures below 0.2 MeV (or t & 100 sec) the finite lifetime of the neutron becomes
important. To include neutron decay in our computation we simply multiply the freeze-out
abundance (3.3.148) by an exponential decay factor

1 −t/τn
Xn (t) = Xn∞ e−t/τn = e , (3.3.149)
6

where τn = 886.7 ± 0.8 sec.

Step 3: Helium Fusion

At this point, the universe is mostly protons and neutron. Helium cannot form directly because
the density is too low and the time available is too short for reactions involving three or more
incoming nuclei to occur at any appreciable rate. The heavier nuclei therefore have to be built
sequentially from lighter nuclei in two-particle reactions. The first nucleus to form is therefore
deuterium,
n + p+ ↔ D + γ . (3.3.150)
Only when deuterium is available can helium be formed,

D + p+ ↔ 3
He + γ , (3.3.151)
D + 3 He ↔ 4
He + p+ . (3.3.152)

Since deuterium is formed directly from neutrons and protons it can follow its equilibrium
abundance as long as enough free neutrons are available. However, since the deuterium binding
energy is rather small, the deuterium abundance becomes large rather late (at T < 100 keV).
So although heavier nuclei have larger binding energies and hence would have larger equilibrium
abundances, they cannot be formed until sufficient deuterium has become available. This is the
deuterium bottleneck. Only when there is enough deuterium, can helium be produced. To get
a rough estimate for the time of nucleosynthesis, we determine the temperature Tnuc when the
deuterium fraction in equilibrium would be of order one, i.e. (nD /np )eq ∼ 1. Using (3.3.136), I
find
Tnuc ∼ 0.06 MeV , (3.3.153)
which via (3.2.68) with g? = 3.38 translates into
 2
0.1MeV
tnuc = 120 sec ∼ 330 sec. (3.3.154)
Tnuc

Comment.—From fig. 3.9, we see that a better estimate would be neq

D (Tnuc ) ' 10
−3 eq
np (Tnuc ). This
gives Tnuc ' 0.07 MeV and tnuc ' 250 sec. Notice that tnuc  τn , so eq. (3.3.149) won’t be very
sensitive to the estimate for tnuc .

Substituting tnuc ∼ 330 sec into (3.3.149), we find

1
Xn (tnuc ) ∼ . (3.3.155)
8

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68 3. Thermal History

Since the binding energy of helium is larger than that of deuterium, the Boltzmann factor
eB/T favours helium over deuterium. Indeed, in Fig. 3.9 we see that helium is produced almost
immediately after deuterium. Virtually all remaining neutrons at t ∼ tnuc then are processed
into 4 He. Since two neutrons go into one nucleus of 4 He, the final 4 He abundance is equal to
half of the neutron abundance at tnuc , i.e. nHe = 21 nn (tnuc ), or
1
nHe nHe Xn (tnuc ) 1 1
= ' 2 ∼ Xn (tnuc ) ∼ , (3.3.156)
nH np 1 − Xn (tnuc ) 2 16
as we wished to show. Sometimes, the result is expressed as the mass fraction of helium,

4nHe 1
∼ . (3.3.157)
nH 4

This prediction is consistent with the observed helium in the universe (see Fig. 3.10).

WMAP
Mass Fraction

4
He

D
Number relative to H

3
He

7
Li
WMAP

Figure 3.10: Theoretical predictions (colored bands) and observational constraints (grey bands).

BBN as a Probe of BSM Physics

We have arrived at a number for the final helium mass fraction, but we should remember that
this number depends on several input parameters:

• g? : the number of relativistic degrees of freedom determines the Hubble parameter during
1/2
the radiation era, H ∝ g? , and hence affects the freeze-out temperature
1/6
p
G2F Tf5 ∼ GN g? Tf2 → Tf ∝ g? . (3.3.158)

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69 3. Thermal History

Increasing g? increases Tf , which increases the n/p ratio at freeze-out and hence increases
the final helium abundance.

• τn : a large neutron lifetime would reduce the amount of neutron decay after freeze-out
and therefore would increase the final helium abundance.

• Q: a larger mass difference between neutrons and protons would decrease the n/p ratio
at freeze-out and therefore would decrease the final helium abundance.

• ηb : the amount of helium increases with increasing ηb as nucleosythesis starts earlier for
larger baryon density.

• GN : increasing the strength of gravity would increase the freeze-out temperature, Tf ∝

1/6
GN , and hence would increase the final helium abundance.
−2/3
• GF : increasing the weak force would decrease the freeze-out temperature, Tf ∝ GF ,
and hence would decrease the final helium abundance.

Changing the input, e.g. by new physics beyond the Standard Model (BSM) in the early universe,
would change the predictions of BBN. In this way BBN is a probe of fundamental physics.

Light Element Synthesis∗

To determine the abundances of other light elements, the coupled Boltzmann equations have to
be solved numerically (see Fig. 3.11 for the result of such a computation). Figure 3.10 shows
that theoretical predictions for the light element abundances as a function of ηb (or Ωb ).23 The
fact that we find reasonably good quantitative agreement with observations is one of the great
triumphs of the Big Bang model.
Time [min]

p
n He
4

D
3
H
Mass Fraction

3
He
7
Li

7
Be

Figure 3.11: Numerical results for the evolution of light element abundances.

23
The shape of the curves in Fig. 3.11 is relatively easy to understood: The abundance of 4 He increases with
increasing ηb as nucleosythesis starts earlier for larger baryon density. D and 3 He are burnt by fusion, thus their
abundances decrease as ηb increases. Finally, 7 Li is destroyed by protons at low ηb with an efficiency that increases
with ηb . On the other hand, its precursor 7 Be is produced more efficiently as ηb increases. This explains the
valley in the curve for 7 Li.

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Part II

The Inhomogeneous Universe

70

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4 Cosmological Perturbation Theory

So far, we have treated the universe as perfectly homogeneous. To understand the formation
and evolution of large-scale structures, we have to introduce inhomogeneities. As long as these
perturbations remain relatively small, we can treat them in perturbation theory. In this chapter,
we will develop the formalism of cosmological perturbation theory.
The Einstein equations couple perturbations in the stress-energy tensor to those in the metric,
so the two need to be studied simultaneously. We write the small perturbations of the metric
and the stress-energy tensor as

gµν (η, x) = ḡµν (η) + δgµν (η, x) ,

Tµν (η, x) = T̄µν (η) + δTµν (η, x) .

To avoid clutter we will often drop the argument (η, x) on the perturbations.

4.1 Metric Perturbations

To avoid unnecessary technical distractions, we will take the background metric ḡµν to be the
flat FRW metric. The perturbed spacetime can then be written as
h i
ds2 = a2 (η) (1 + 2A)dη 2 − 2Bi dxi dη − (δij + hij )dxi dxj , (4.1.1)

where A, Bi and hij are functions of space and time. We shall adopt the useful convention that
Latin indices on spatial vectors and tensors are raised and lowered with δij , e.g. hi i = δ ij hij .
It will be extremely useful to perform a scalar-vector-tensor (SVT) decomposition of the
perturbations. For 3-vectors, this should be familiar. It simply means that we can split any
3-vector into the gradient of a scalar and a divergenceless vector

Bi = ∂i B + B̂i , (4.1.2)
|{z} |{z}
scalar vector

with ∂ i B̂i = 0. Similarly, any rank-2 symmetric tensor can be written

hij = 2Cδij + 2∂hi ∂ji E + 2∂(i Êj) + 2Êij , (4.1.3)

| {z } | {z } |{z}
scalar vector tensor

where
 1 
∂hi ∂ji E ≡ ∂i ∂j − δij ∇2 E , (4.1.4)
3
1 
∂(i Êj) ≡ ∂i Êj + ∂j Êi . (4.1.5)
2
As before, the hatted quantities are divergenceless, i.e. ∂ i Êi = 0 and ∂ i Êij = 0. The tensor
perturbation is traceless, Ê i i = 0. The 10 degrees of freedom of the metric have thus been
decomposed into 4 + 4 + 2 SVT degrees of freedom:

71

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72 4. Cosmological Perturbation Theory

• scalars: A, B, C, E

• vectors: B̂i , Êi

• tensors: Êij

What makes the SVT-decomposition so powerful is the fact that the Einstein equations for
scalars, vectors and tensors don’t mix at linear order and can therefore be treated separately.
In these lectures, we will mostly be interested in scalar fluctuations and the associated density
perturbations. Vector perturbations aren’t produced by inflation and even if they were, they
would decay quickly with the expansion of the universe. Tensor perturbations are an important
prediction of inflation and we will discuss them briefly in Chapter 6.

Gauge problem.—The metric perturbations in (4.1.1) aren’t uniquely defined, but depend on our
choice of coordinates or the “gauge choice”. In particular, when we wrote down the perturbed metric,
we implicitly chose a specific time slicing of the spacetime and defined specific spatial coordinates on
these time slices. Making a different choice of coordinates, can change the values of the perturbation
variables. It may even introduce fictitious perturbations. These are fake perturbations that can arise
by an inconvenient choice of coordinates even if the background is perfectly homogeneous.
Fictitious perturbations.—For example, consider a flat FRW spacetime and make the following change
of the spatial coordinates, xi 7→ x̃i = xi + ξ i (η, x). We assume that ξ i is small, so that it can also be
treated as a perturbation. Using dxi = dx̃i − ∂η ξ i dη − ∂k ξ i dx̃k , the line element becomes

ds2 = a2 (η) dη 2 − 2ξi0 dx̃i dη − δij + 2∂(i ξj) dx̃i dx̃j ,



(4.1.6)

where we have dropped terms that are quadratic in ξ i and defined ξi0 ≡ ∂η ξi . We apparently have
introduced the metric perturbations Bi = ξi0 and Êi = ξi . But these are just fictitious gauge modes
that can be removed by going back to the old coordinates.
As another example, consider a change in the time slicing, η 7→ η + ξ 0 (η, x). The homogeneous
density of the universe then gets perturbed, ρ(η) 7→ ρ(η + ξ 0 (η, x)) = ρ̄(η) + ρ̄ 0 ξ 0 . Even in an
unperturbed universe, a change of the time coordinate can therefore introduce a fictitious density
perturbation
δρ = ρ̄ 0 ξ 0 . (4.1.7)
Conversely, we can also remove a real perturbation in the energy density by choosing the hypersurface
of constant time to coincide with the hypersurface of constant energy density. We then have δρ = 0
although there are real inhomogeneities.
These examples illustrate that we need a more physical way to identify true perturbations. One
way to do this is to define perturbations in such a way that they don’t change under a change of
coordinates.

We need to face that fact that the metric perturbations can be changed by a change of
coordinates. Consider the following transformation

X µ 7→ X̃ µ ≡ X µ + ξ µ (η, x) , where ξ0 ≡ T , ξ i ≡ Li = ∂ i L + L̂i . (4.1.8)

We have split the spatial shift Li into a scalar, L, and a divergenceless vector, L̂i . In the next
insert, I will show how the metric transforms under this change of coordinates. In terms of the

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73 4. Cosmological Perturbation Theory

SVT-decomposition, we get

A 7→ A − T 0 − HT , (4.1.9)

B 7→ B + T − L0 , B̂i 7→ B̂i − L̂0i , (4.1.10)

1
C 7→ C − HT − ∇2 L , (4.1.11)
3
E 7→ E − L , Êi 7→ Êi − L̂i , Êij 7→ Êij . (4.1.12)

Derivation.—The trick is to exploit the invariance of the spacetime interval,

ds2 = gµν (X)dX µ dX ν = g̃αβ (X̃)dX̃ α dX̃ β , (4.1.13)

where I have used a different set of dummy indices on both sides to make the next few lines clearer.
Writing dX̃ α = (∂ X̃ α /∂X µ )dX µ (and similarly for dX β ), we find

∂ X̃ α ∂ X̃ β
gµν (X) = g̃αβ (X̃) . (4.1.14)
∂X µ ∂X ν
This relates the metric in the old coordinates, gµν , to the metric in the new coordinates, g̃αβ .
Let us see what (4.1.14) implies for the transformation of the metric perturbations in (4.1.1). I
will work out the 00-component as an example and leave the rest as an exercise. Consider µ = ν = 0
in (4.1.14):
∂ X̃ α ∂ X̃ β
g00 (X) = g̃αβ (X̃) . (4.1.15)
∂η ∂η
The only term that contributes to the l.h.s. is the one with α = β = 0. Consider for example α = 0
and β = i. The off-diagonal component of the metric g̃0i is proportional to B̃i , so it is a first-order
perturbation. But ∂ X̃ i /∂η is proportional to the first-order variable ξ i , so the product is second
order and can be neglected. A similar argument holds for α = i and β = j. Eq. (4.1.15) therefore
reduces to  2
∂ η̃
g00 (X) = g̃00 (X̃) . (4.1.16)
∂η
Substituting (4.1.8) and (4.1.1), we get

2
a2 (η) 1 + 2A = 1 + T 0 a2 (η + T ) 1 + 2Ã

2
= 1 + 2T 0 + · · · a(η) + a0 T + · · ·



1 + 2Ã

= a2 (η) 1 + 2HT + 2T 0 + 2Ã + · · · ,

(4.1.17)

where H ≡ a0 /a is the Hubble parameter in conformal time. Hence, we find that at first order, the
metric perturbation A transforms as

A 7→ Ã = A − T 0 − HT . (4.1.18)

I leave it to you to repeat the argument for the other metric components and show that

Bi 7→ B̃i = Bi + ∂i T − L0i , (4.1.19)

hij 7→ h̃ij = hij − 2∂(i Lj) − 2HT δij . (4.1.20)

In terms of the SVT-decomposition this leads to (4.1.9)–(4.1.12).

One way to avoid the gauge problems is to define special combinations of metric perturbations

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74 4. Cosmological Perturbation Theory

that do not transform under a change of coordinates. These are the Bardeen variables

Ψ ≡ A + H(B − E 0 ) + (B − E 0 )0 , Φ̂i ≡ Êi0 − B̂i , Êij , (4.1.21)

1
Φ ≡ −C − H(B − E 0 ) + ∇2 E . (4.1.22)
3

Exercise.—Show that Ψ, Φ and Φ̂i don’t change under a coordinate transformation.

These gauge-invariant variables can be considered as the ‘real’ spacetime perturbations since
they cannot be removed by a gauge transformation.
An alternative (but related) solution to the gauge problem is to fix the gauge and keep track
of all perturbations (metric and matter). For example, we can use the freedom in the gauge
functions T and L in (4.1.8) to set two of the four scalar metric perturbations to zero:

• Newtonian gauge.—The choice

B = E = 0, (4.1.23)
gives the metric

ds2 = a2 (η) (1 + 2Ψ)dη 2 − (1 − 2Φ)δij dxi dxj .

 
(4.1.24)

Here, we have renamed the remaining two metric perturbations, A ≡ Ψ and C ≡ −Φ, in
order to make contact with the Bardeen potentials in (4.1.21) and (4.1.22). For perturba-
tions that decay at spatial infinity, the Newtonian gauge is unique (i.e. the gauge is fixed
completely). In this gauge, the physics appears rather simple since the hypersurfaces of
constant time are orthogonal to the worldlines of observers at rest in the coordinates (since
B = 0) and the induced geometry of the constant-time hypersurfaces is isotropic (since
E = 0). In the absence of anisotropic stress, Ψ = Φ. Note the similarity of the metric to
the usual weak-field limit of GR about Minkowski space; we shall see that Ψ plays the role
of the gravitational potential. Newtonian gauge will be our preferred gauge for studying
the formation of large-scale structures (see Chapter 5).

• Spatially-flat qauge.—A convenient gauge for computing inflationary perturbations is

C = E = 0. (4.1.25)

In this gauge, we will be able to focus most directly on the fluctuations in the inflaton
field δφ (see Chapter 6) .

4.2 Matter Perturbations

We write the perturbed stress-energy tensor as

T 0 0 = ρ̄(η) + δρ , (4.2.26)
T i 0 = [ρ̄(η) + P̄ (η)] v i , (4.2.27)
T i j = −[P̄ (η) + δP ] δji − Πi j , (4.2.28)

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75 4. Cosmological Perturbation Theory

where vi is the bulk velocity and Πi j is a transverse and traceless tensor describing anisotropic
stress. We will use q i for the momentum density (ρ̄+ P̄ )v i . In case there are several contributions
to the stress-energy tensor (e.g. photons, baryons, dark matter, etc.), they are added: Tµν =
P (a)
a Tµν . This implies
X X X X ij
δρ = δρa , δP = δPa , q i = i
q(a) , Πij = Π(a) . (4.2.29)
a a a a

We see that the perturbations in the density, pressure and anisotropic stress simply add. The
velocities do not add, but the momentum densities do. Finally, we note that the SVT decom-
position can also be applied to the perturbations of the stress-energy tensor: δρ and δP have
scalar parts only, qi has scalar and vector parts,

qi = ∂i q + q̂i , (4.2.30)

and Πij has scalar, vector and tensor parts,

Πij = ∂hi ∂ji Π + ∂(i Π̂j) + Π̂ij . (4.2.31)

It is also convenient to write the density perturbations in terms of the dimensionless density
contrast δ ≡ δρ/ρ. In summary, scalar perturbations of the total matter are described by
four perturbation variables, (δ, δP, v, Π). Similarly, the perturbations of distinct species a =
γ, ν, c, b, · · · are represented by (δa , δPa , va , Πa ).

Under the coordinate transformation (4.1.8), the stress-energy tensor transform as

∂X µ ∂ X̃ β α
T µ ν (X) = T̃ β (X̃) . (4.2.32)
∂ X̃ α ∂X ν
Evaluating this for the different components, we find

δρ 7→ δρ − T ρ̄ 0 , (4.2.33)
0
δP 7→ δP − T P̄ , (4.2.34)
qi 7→ qi + (ρ̄ + P̄ )L0i , (4.2.35)
vi 7→ vi + L0i , (4.2.36)
Πij 7→ Πij . (4.2.37)

Exercise.—Confirm eqs. (4.2.33)–(4.2.37). [Hint: First, convince yourself that the inverse of a matrix
of the form 1 + ε, were 1 is the identity and ε is a small perturbation, is 1 − ε to first order in ε.]

There are various gauge-invariant quantities that can be formed from metric and matter
variables. One useful combination is

ρ̄∆ ≡ δρ + ρ̄ 0 (v + B) , (4.2.38)

where vi = ∂i v. The quantity ∆ is called the comoving-gauge density perturbation.

Above we used our gauge freedom to set two of the metric perturbations to zero. Alternatively,
we can define the gauge in the matter sector:

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76 4. Cosmological Perturbation Theory

• Uniform density gauge.—We can use the freedom in the time-slicing to set the total density
perturbation to zero
δρ = 0 . (4.2.39)

• Comoving gauge.—Similarly, we can ask for the scalar momentum density to vanish,

q = 0. (4.2.40)

Fluctuations in comoving gauge are most naturally connected to the inflationary initial
conditions. This will be explained in §4.4 and Chapter 6.

There are different versions of uniform density and comoving gauge depending on which of the
metric fluctuations is set to zero. In these lectures, we will choose B = 0.

4.3 Equations of Motion

In this section, we will determine the linearized equations of motion for the matter and metric
perturbations. We will work in Newtonian gauge where the metric takes the following form
!
2 1 + 2Ψ 0
gµν = a . (4.3.41)
0 −(1 − 2Φ)δij

Exercise.—Show that the connection coefficients associated with the metric (4.3.41) are

Γ000 = H + Ψ 0 , (4.3.42)
Γ0i0 = ∂i Ψ , (4.3.43)
Γi00 ij
= δ ∂j Ψ , (4.3.44)
Γ0ij = Hδij − Φ 0 + 2H(Φ + Ψ) δij ,
 
(4.3.45)
Γij0 = H − Φ 0 δji ,
 
(4.3.46)
Γijk = i
−2δ(j ∂k) Φ + δjk δ ∂l Φ . il
(4.3.47)

4.3.1 Conservation Equations

The equations of motion for the matter perturbations follow from conservation of the stress
tensor, ∇µ Tµν = 0. If there is no energy and momentum transfer between the different compo-
(a)
nents, then the species are separately conserved and we also have ∇µ Tµν = 0. Equipped with
the perturbed connection, we can derive the perturbed conservation equations from

∇µ T µ ν = 0
= ∂µ T µ ν + Γµµα T α ν − Γαµν T µ α . (4.3.48)

• Continuity equation.—For ν = 0, we find

∂η δρ = −3H(δρ + δP ) + 3Φ 0 (ρ̄ + P̄ ) − ∂i q i , (4.3.49)

This is the continuity equation describing the evolution of the density perturbation. The
first term on the right-hand side is just the dilution due to the background expansion [as in

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77 4. Cosmological Perturbation Theory

ρ̄ 0 = −3H(ρ̄ + P̄ )], the ∂i q i term accounts for the local fluid flow due to peculiar velocity,
and the Φ̇ term is a purely relativistic effect corresponding to the density changes caused
by perturbations to the local expansion rate [(1 − Φ)a is the “local scale factor” in the
spatial part of the metric in Newtonian gauge].

• Euler equation.—For ν = i, we find

∂η q i = −4Hq i − (ρ̄ + P̄ )∂ i Ψ − ∂ i δP − ∂j Πij . (4.3.50)

This is the Euler equation for a viscous fluid, i.e. the “F = ma” of the fluid. In §1.2,
we showed that peculiar velocities decay as a−1 . We therefore expected the momentum
density to scale as q ∝ a−4 . This explains the first term on the rhs of (4.3.50). The
remaining terms are force terms.

Derivation.—Consider first the ν = 0 component of (4.3.48),

∂0 T 0 0 + ∂i T i 0 + Γµµ0 T 0 0 + Γµµi T i 0 −Γ000 T 0 0 − Γ0i0 T i 0 − Γi00 T 0 i −Γij0 T j i = 0 . (4.3.51)

| {z } | {z } | {z }
O(2) O(2) O(2)

Substituting the perturbed stress-energy tensor and the connection coefficients gives

∂0 (ρ̄ + δρ) + ∂i q i + (H + Ψ 0 + 3H − 3Φ 0 )(ρ̄ + δρ)

− (H + Ψ 0 )(ρ̄ + δρ) − (H − Φ 0 )δji − (P̄ + δP )δij = 0 ,
 
(4.3.52)

and hence

ρ̄ 0 + ∂0 δρ + ∂i q i + 3H(ρ̄ + δρ) − 3ρ̄ Φ0 + 3H(P̄ + δP ) − 3P̄ Φ 0 = 0 . (4.3.53)

Writing the zeroth-order and first-order parts separately, we get

ρ̄ 0 = −3H(ρ̄ + P̄ ) , (4.3.54)
0
∂η δρ = −3H(δρ + δP ) + 3Φ (ρ̄ + P̄ ) − ∇ · q . (4.3.55)

The zeroth-order equation (4.3.54) is simply the conservation of energy in the homogeneous back-
ground. The first-order equation (4.3.55) is the continuity equation for the density perturbation δρ.
Next, consider the ν = i component of (4.3.48), ∂µ T µ i + Γµµρ T ρ i − Γρ µi T µ ρ = 0, and hence

∂0 T 0 i + ∂j T j i + Γµµ0 T 0 i + Γµµj T j i − Γ00i T 0 0 − Γ0ji T j 0 − Γj0i T 0 j − Γjki T k j = 0 . (4.3.56)

Substituting the perturbed stress-energy tensor [with T 0 i = −qi ] and the connection coefficients gives
h i
−∂0 qi + ∂j −(P̄ + δP )δij − Πj i − 4Hqi − (∂j Ψ − 3∂j Φ) P̄ δij − ∂i Ψρ̄
 
−Hδji q j + Hδij qj + −2δ(i
j
∂k) Φ + δki δ jl ∂l Φ P̄ δjk = 0 . (4.3.57)
| {z }
−3∂i Φ P̄

Cleaning this up, we find

∂η qi = −4Hqi − (ρ̄ + P̄ )∂i Ψ − ∂i δP − ∂ j Πij , (4.3.58)

which confirms the form of the Euler equation (4.3.50).

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78 4. Cosmological Perturbation Theory

It is instructive to evaluate (4.3.49) and (4.3.50) for a few special cases:

• Matter.—For a non-relativistic fluid (i.e. matter), we have Pm = 0 and Πij

m = 0. The
continuity and Euler equations then simplify considerably. Writing δm ≡ δρm /ρm , we
obtain
0
δm = −∇ · v m + 3Φ 0 , (4.3.59)
0
vm = −Hv m − ∇Ψ . (4.3.60)

Each term in these equations should be rather intuitive. Combining the time derivative of
(4.3.59) with the divergence of (4.3.60), we find
00 0
δm + Hδm = ∇2 Ψ + 3(Φ 00 + HΦ 0 ) . (4.3.61)
↑ ↑
friction gravity

In Chapter 5, we will apply this equation to the clustering of dark matter perturbations.

• Radiation.—For a relativistic fluid (i.e. radiation), we have Pr = 31 ρr and Πij

r = 0. The
continuity and Euler equations become
4
δr0 = − ∇ · v r + 4Φ 0 , (4.3.62)
3
1
v r0 = − ∇δr − ∇Ψ . (4.3.63)
4
Combining the time derivative of (4.3.62) with the divergence of (4.3.63), we get
1 4
δr00 − ∇2 δr = ∇2 Ψ + 4Φ 00 . (4.3.64)
3 3
↑ ↑
pressure gravity

In Chapter 5, we will show how this equation leads to the oscillations in the observed
spectrum of CMB anisotropies.

Exercise.—Show that the most general forms of the continuity and Euler equations are
   
P̄a δPa P̄a
δa0 = − 1 + (∂i vai − 3Φ 0 ) − 3H − δa , (4.3.65)
ρ̄a ρ̄a ρ̄a
0
 
P̄a 1
vai 0 = − H + vai − ∂ i δPa − ∂j Πij i


a − ∂ Ψ. (4.3.66)
ρ̄a + P̄a ρ̄a + P̄a

Confirm that these expressions reduce to the equations for matter and radiation in the appropriate
limits.

Comments.—The two equations (4.3.65) and (4.3.66) aren’t sufficient to completely describe the
evolution of the four perturbations (δa , δPa , va , Πa ). To make progress, we either must make further
simplifying assumptions or find additional evolution equations. We will do both.

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79 4. Cosmological Perturbation Theory

• A perfect fluid is characterized by strong interactions which keep the pressure isotropic, Πa = 0.
In addition, pressure perturbations satisfy δPa = c2s,a δρa , where cs,a is the adiabatic sound
speed of the fluid. The perturbations of a perfect fluid are therefore described by only two
independent variables, say δa and va , and the continuity and Euler equations are sufficient for
closing the system.
• Decoupled or weakly interacting species (e.g. neutrinos) cannot be described by a perfect fluid
and the above simplifications for the anisotropic stress and the pressure perturbation do not
apply. In that case, we can’t avoid solving the Boltzmann equation for the evolution of the
perturbed distribution function fa .
• Decoupled cold dark matter is a peculiar case. It is collisionless and has a negligible velocity
dispersion. It therefore behaves like a pressureless perfect fluid although it has no interactions
and therefore really isn’t a fluid.

The different matter components are gravitationally coupled through the metric fluctuations
in the continuity and Euler equations. The dynamics to the perturbed spacetime is determined,
via the Einstein equations, by the perturbations of the total stress-energy tensor.

4.3.2 Einstein Equations

Let us compute the linearised Einstein equation in Newtonian gauge. This is conceptually
straightforward, although algebraically a bit tedious.1 We require the perturbation to the Ein-
stein tensor, Gµν ≡ Rµν − 21 Rgµν , so we first need to calculate the perturbed Ricci tensor Rµν
and Ricci scalar R.
Ricci tensor.—We recall that the Ricci tensor can be expressed in terms of the connection as

Rµν = ∂λ Γλµν − ∂ν Γλµλ + Γλλρ Γρµν − Γρµλ Γλνρ . (4.3.67)

Substituting the perturbed connection coefficients (4.3.42)–(4.3.47), we find

R00 = −3H 0 + ∇2 Ψ + 3H(Φ 0 + Ψ 0 ) + 3Φ 00 , (4.3.68)

R0i = 2∂i (Φ 0 + HΨ) , (4.3.69)
Rij = H 0 + 2H2 − Φ 00 + ∇2 Φ − 2(H 0 + 2H2 )(Φ + Ψ) − HΨ 0 − 5HΦ 0 δij
 
(4.3.70)
+ ∂i ∂j (Φ − Ψ) .

I will derive R00 explicitly and leave the other components as an exercise.

Example.—The 00 component of the Ricci tensor is

R00 = ∂ρ Γρ00 − ∂0 Γρ0ρ + Γα ρ α ρ

00 Γαρ − Γ0ρ Γ0α . (4.3.71)

1
Once in your life you should do this computation by hand. After that you can use Mathematica: an example
notebook can be downloaded here.

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80 4. Cosmological Perturbation Theory

The terms with ρ = 0 cancel in the sum over ρ, so we only need to consider summing over ρ = i,

R00 = ∂i Γi00 − ∂0 Γi0i + Γα i α i

00 Γαi − Γ0i Γ0α

= ∂i Γi00 − ∂0 Γi0i + Γ000 Γi0i + Γj00 Γiji − Γ00i Γi00 −Γj0i Γi0j
| {z } | {z }
O(2) O(2)

= ∇ Ψ − 3∂0 (H − Φ ) + 3(H + Ψ )(H − Φ 0 ) − (H − Φ 0 )2 δij δji

2 0 0

= −3H 0 + ∇2 Ψ + 3H(Φ 0 + Ψ 0 ) + 3Φ 00 . (4.3.72)

This confirms the result (4.3.68).

Exercise.—Derive eqs. (4.3.69) and (4.3.70).

Ricci scalar.—It is now relatively straightforward to compute the Ricci scalar

R = g 00 R00 + 2 g 0i R0i +g ij Rij . (4.3.73)

| {z }
O(2)

It follows that

a2 R = (1 − 2Ψ)R00 − (1 + 2Φ)δ ij Rij

= (1 − 2Ψ) − 3H 0 + ∇2 Ψ + 3H(Φ 0 + Ψ 0 ) + 3Φ 00
 

− 3(1 + 2Φ) H 0 + 2H2 − Φ 00 + ∇2 Φ − 2(H 0 + 2H2 )(Φ + Ψ) − HΨ 0 − 5HΦ 0

 

− (1 + 2Φ)∇2 (Φ − Ψ) . (4.3.74)

Dropping non-linear terms, we find

a2 R = −6(H 0 + H2 ) + 2∇2 Ψ − 4∇2 Φ + 12(H 0 + H2 )Ψ + 6Φ 00 + 6H(Ψ 0 + 3Φ 0 ) . (4.3.75)

Einstein equations.—We have done all the work to compute the Einstein equation

Gµ ν = 8πGT µ ν . (4.3.76)

We chose to work with one index raised since that simplifies the form of the stress tensor
[see §4.2]. We will first consider the time-time component. The relevant component of the
Einstein tensor is
 
0 00 1
G 0=g R00 − g00 R
2
1
= a−2 (1 − 2Ψ)R00 − R , (4.3.77)
2
where we have used that g 0i vanishes in Newtonian gauge. Substituting (4.3.68) and (4.3.75),
and cleaning up the resulting mess, we find

δG0 0 = 2∇2 Φ − 6H(Φ 0 + HΨ) . (4.3.78)

The 00-Einstein equation therefore is

∇2 Φ − 3H(Φ 0 + HΨ) = 4πGa2 δρ , (4.3.79)

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81 4. Cosmological Perturbation Theory

P
where δρ ≡ a δρa is the total density perturbation. Equation (4.3.79) is the relativistic gener-
alization of the Poisson equation. Inside the Hubble radius, i.e. for Fourier modes with k  H,
we have |∇2 Φ|  3H|Φ̇ + HΨ|, so that eq. (4.3.79) reduces to ∇2 Φ ≈ 4πGa2 δρ. This is the
Poisson equation in the Newtonian limit. The GR corrections in (4.3.79) will be important on
scales comparable to the Hubble radius, i.e. for k . H.
Next, we consider the spatial part of the Einstein equation. The relevant component of the
Einstein tensor is
 
1
Gi j = g ik Rkj − gkj R
2
1
= −a−2 (1 + 2Φ)δ ik Rkj − δji R . (4.3.80)
2
From eq. (4.3.70), we see that most terms in Rkj are proportional to δkj . When contracted with
δ ik this leads to a myriad of terms proportional to δji . We don’t want to deal with this mess.
Instead we focus on the tracefree part of Gi j . We can extract this piece by contracting Gi j with
the projection tensor P j i ≡ ∂ j ∂i − 31 δij ∇2 . Using (4.3.70), this gives
2
P j i Gi j = − a−2 ∇4 (Φ − Ψ) . (4.3.81)
3
This should be equated to the tracefree part of the stress tensor, which for scalar fluctuations is
2
P j i T i j = −P j i Πi j = − ∇4 Π . (4.3.82)
3
Setting (4.3.81) and (4.3.82) equal, we get

Φ − Ψ = 8πGa2 Π , (4.3.83)
P
where Π ≡ a Πa . Dark matter and baryons can be described as perfect fluids and therefore
don’t contribute to the anisotropic stress in (4.3.83). Photons only start to develop an anisotropic
stress component during the matter-dominated era when their energy density is subdominant.
The only relevant source in (4.3.83) are therefore free-streaming neutrinos. However, their effect
is also relatively small, so to the level of accuracy that we aspire to in these lectures they can
be ignored. Equation (4.3.83) then implies Ψ ≈ Φ.

Exercise.—By considering the time-space Einstein equation, show that

Φ0 + HΦ = −4πGa2 q . (4.3.84)

With this, the Poisson equation (4.3.79) can be written as

∇2 Φ = 4πGa2 ρ̄ ∆ , (4.3.85)

where ∆ is the comoving-gauge density contrast (4.2.38).

By considering the trace of the space-space Einstein equation, we can derive the following
evolution equation for the metric potential

Φ 00 + 3HΦ 0 + (2H 0 + H2 )Φ = 4πGa2 δP , (4.3.86)

where δP is the total pressure perturbation. If we hadn’t ignored the anisotropic stress,
then (4.3.86) would have an additional source term.

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82 4. Cosmological Perturbation Theory

4.3.3 Metric Evolution

It is interesting to consider the evolution of Φ during both the radiation-dominated era and the
matter-dominated era:

• During the matter era, we have

2H 0 + H2 = −8πGa2 P̄ = 0 , (4.3.87)

so that eq. (4.3.86) reduces to

Φ 00 + 3HΦ 0 = 0 , (4.3.88)
where H = 2/η. This equation has two solutions: Φ = const. and Φ ∝ η −5 ∝ a−5/2 .
Notice that the growing mode solution is Φ = const. independent of the wavelength of the
fluctuation.

• During the radiation era, we have

8πG 2
2H0 + H2 = − a ρ̄ = −H2 , (4.3.89)
3
8πG 2 1
4πGa2 δP = ∇2 Φ − 3H(Φ0 + HΦ) ,


a δρ = (4.3.90)
3 3
so that eq. (4.3.86) becomes
1
Φ00 + 4HΦ0 = ∇2 Φ , (4.3.91)
3
where H = 1/η. Substituting the Fourier expansion of the field,

d3 k
Z
Φ(η, x) ≡ Φk (η) eik·x , (4.3.92)
(2π)3/2
we get
4 1
Φ00k + Φ0k + k 2 Φk = 0 , (4.3.93)
η 3
This equation has the following exact solution
j1 (y) n1 (y) 1
Φk (τ ) = Ak + Bk , y ≡ √ kη , (4.3.94)
y y 3
where the subscript k indicates that the solution can have different amplitudes for each
value of k. The size of the initial fluctuations as a function of wavenumber will be a
prediction of inflation. The functions j1 (y) and n1 (y) in (4.3.94) are the spherical Bessel
and Neumann functions
sin y cos y y
j1 (y) = 2
− = + O(y 3 ) , (4.3.95)
y y 3
cos y sin y 1
n1 (y) = − 2 − = − 2 + O(y 0 ) . (4.3.96)
y y y
Since n1 (y) blows up for small y (early times), we reject that solution on the basis of initial
conditions, i.e. we set Bk ≡ 0. We match the constant Ak to the primordial value of the
potential, Φk (0) = − 32 Rk (0), see eq. (4.4.110) below. Using (4.3.95), we find
 
sin y − y cos y
Φk (η) = −2Rk (0) . (4.3.97)
y3

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83 4. Cosmological Perturbation Theory

Figure 4.1: Numerical solutions for the linear evolution of the gravitational potential.

Notice that (4.3.97) is valid on all scales. Outside the (sound) horizon, y = √13 kη  1,
the solution approaches Φ = const., while on subhorizon scales, y  1, we get

cos √13 kη


Φk (η) ≈ −6Rk (0) (subhorizon) . (4.3.98)
(kη)2

During the radiation era, subhorizon modes of Φ therefore oscillate with frequency √1 k
3
and an amplitude that decays as η −2 ∝ a−2 . Remember this.

Figure 4.1 shows the evolution of the gravitational potential for three representative wavelengths.
As predicted, the potential is constant when the modes are outside the horizon. Two of the modes
enter the horizon during the radiation era. While they are inside the horizon during the radiation
era their amplitudes decrease as a−2 . The resulting amplitudes in the matter era are therefore
strongly suppressed. During the matter era the potential is constant on all scales. The longest
wavelength mode in the figure enters the horizon during the matter era, so its amplitude is only
suppressed by the factor of 9/10 coming from the radiation-to-matter transition (see §4.4.2).

4.4 Initial Conditions

At sufficiently early times, all scales of interest to current observations were outside the Hubble
radius. On super-Hubble scales, the evolution of perturbations becomes very simple, especially
for adiabatic initial conditions.

4.4.1 Adiabatic Fluctuations

Adiabatic perturbations have the property that the local state of matter (determined, for exam-
ple, by the energy density ρ and the pressure P ) at some spacetime point (η, x) of the perturbed
universe is the same as in the background universe at some slightly different time η + δη(x). (No-
tice that the time shift varies with location x.) We can therefore think of adiabatic perturbations
as arising because some parts of the universe are “ahead” and others “behind” in the evolution.
If the universe is filled with multiple fluids, adiabatic perturbations correspond to perturbations

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84 4. Cosmological Perturbation Theory

induced by a common, local shift in time of all background quantities; e.g. adiabatic density
perturbations are defined as

δρa (η, x) ≡ ρ̄a (η + δη(x)) − ρ̄a (η) = ρ̄a0 δη(x) , (4.4.99)

where δη is the same for all species a. This implies

δρa δρb
δη = 0
= 0 for all species a and b . (4.4.100)
ρ̄a ρ̄b

Using ρ̄a0 = −3H(1 + wa )ρ̄a , we can write this as

δa δb
= for all species a and b . (4.4.101)
1 + wa 1 + wb

Thus, for adiabatic perturbations, all matter components (wm ≈ 0) have the same fractional
perturbations, while all radiation perturbations (wr = 13 ) obey

4
δr = δm . (4.4.102)
3
P
It follows that, for adiabatic fluctuations, the total density perturbation, δρ ≡ a ρ̄a δa , is
dominated by the species that carries the dominant energy density ρ̄a , since all the δa ’s are
comparable. At early times, the universe is radiation dominated, so it natural to set the initial
conditions for all super-Hubble Fourier modes then. Equation (4.3.86) implies that Φ = const.
on super-Hubble scales, while equation (4.3.79) leads to

δ ≈ δr = −2Φ = const. (4.4.103)

Equations (4.4.103) and (4.4.102) show that, for adiabatic initial conditions, all matter pertur-
bations are given in terms of the super-Hubble value of the potential Φ. In these lectures, we
will be concerned with the evolution of photons, baryons and cold dark matter (CDM). Their
fractional density perturbations will satisfy the relation (4.4.102) on super-Hubble scales, but
will start to evolve in distinct ways inside of the horizon.

4.4.2 Curvature Perturbations

The gravitational potential Φ is only constant on super-Hubble scales if the equation of state
of the background is constant. Whenever the equation of state evolves (e.g. in the transitions
from inflation to radiation domination or from radiation to matter domination), so will the
gravitational potential (cf. Fig. 4.1). It will be convenient to identify an alternative perturbation
variable that stays constant on large scales even in these more general situations. Such a variable
is the comoving curvature perturbation:
H
R = −Φ + δq , (4.4.104)
ρ̄ + P̄

where T 0 j ≡ −∂j δq. Defining the initial conditions in terms of R will allow us to match the
predictions made by inflation to the fluctuations in the primordial plasma most easily.

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85 4. Cosmological Perturbation Theory

Proof.—The following is a proof that R is conserved on super-Hubble scales, i.e. for modes with k 
H. First, it is useful to note that on large scales k  H, the Einstein equations imply Hδq = − 31 δρ.
In this limit, the curvature perturbation can be written as

kH δρ
R −−−−−→ −Φ − . (4.4.105)
3(ρ̄ + P̄ )

To find the evolution of R, we consider the continuity equation [eq. (4.3.49)]:

∂δρ ∂Φ
+ 3H(δρ + δP ) + ∂i q i = 3(ρ̄ + P̄ ) , (4.4.106)
∂η ∂η

On large scales, ∂i q i is of order k 2 and can be dropped relative to terms of order H2 . Solving (4.4.105)
for Φ, and substituting it into (4.4.106), we get
 
∂δρ ∂R ∂ δρ
+ 3H(δρ + δP ) = −3(ρ̄ + P̄ ) + (ρ̄ + P̄ ) . (4.4.107)
∂η ∂η ∂η ρ̄ + P̄

The time derivatives of δρ cancel on both sides and we are left with

∂R ρ̄ 0 + P̄ 0
3(ρ̄ + P̄ ) = −3H(δρ + δP ) − δρ . (4.4.108)
∂η (ρ̄ + P̄ )

Using ρ̄ 0 = −3H(ρ̄ + P̄ ), this becomes

R0 P̄ 0
 
(ρ̄ + P̄ ) = − δP − 0 δρ . (4.4.109)
H ρ̄

For adiabatic perturbations, the right-hand side vanishes and we have established the conservation
kH
of the comoving curvature perturbation, R 0 −−−−−→ 0.

Exercise.—Substituting (4.3.84) into (4.4.104) gives

H(Φ0 + HΦ) kH 5 + 3w

R = −Φ − 2
−−−−−→ − Φ. (4.4.110)
4πGa (ρ̄ + P̄ ) 3 + 3w

Use this to show that the amplitude of super-Hubble modes of Φ drops by a factor of 9/10 in the
radiation-to-matter transition.

Another advantage of the variable R is that it is gauge-invariant, i.e. its value does not depend
on the choice of coordinates. Although (4.4.105) was written in terms of variables defined in
Newtonian gauge, it applies in an arbitrary gauge if we write gij = −a2 (1 − 2Φ)δij + ∂i ∂j E for
 

the metric and T 0 j = ∂j δq for the momentum density. While we will mostly stick to Newtonian
gauge, the computation of inflationary fluctuations in Chapter 6 turns out to be simplest in
spatially flat gauge [Φ = E = 0]. The curvature perturbation R provides the “bridge” between
results obtained in Chapter 6 and the analysis in the rest of the notes.

4.4.3 Statistics
Quantum mechanics during inflation only predicts the statistics of the initial conditions, i.e. it
predicts the correlation between the CMB fluctuations in different directions, rather than the
specific value of the temperature fluctuation in a specific direction. For Gaussian initial condi-

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86 4. Cosmological Perturbation Theory

tions, these correlations are completely specified by the two-point correlation function

hR(x)R(x0 )i ≡ ξR (x, x0 ) = ξR (|x0 − x|) , (4.4.111)

where the last equality holds as a consequence of statistical homogeneity and isotropy. The
Fourier transform of R then satisfies
2π 2 2
hR(k)R∗ (k0 )i = ∆ (k) δD (k − k0 ) , (4.4.112)
k3 R
where ∆2R (k) is the (dimensionless) power spectrum.

Exercise.—Show that Z
dk 2
ξR (x, x0 ) = ∆ (k) sinc(k|x − x0 |) . (4.4.113)
k R

In Chapter 6, we will compute the form of ∆2R (k) predicted by inflation. We will find that the
spectrum takes a power law form
 ns −1
2 k
∆R (k) = As . (4.4.114)
k∗
This agrees with observational constraints if As = 2 × 10−9 and ns = 0.96, for k∗ = 0.05 Mpc−1 .

4.5 Summary
We have derived the linearised evolution equations for scalar perturbations in Newtonian gauge,
where the metric has the following form

ds2 = a2 (η) (1 + 2Ψ)dη 2 − (1 − 2Φ)δij dxi dxj .

 
(4.5.115)

In these lectures, we won’t encounter situations where anisotropic stress plays a significant role,
so we will always be able to set Ψ = Φ.
• The Einstein equations then are

∇2 Φ − 3H(Φ0 + HΦ) = 4πGa2 δρ , (4.5.116)

0 2
Φ + HΦ = −4πGa (ρ̄ + P̄ )v , (4.5.117)
00 0 0 2 2
Φ + 3HΦ + (2H + H )Φ = 4πGa δP . (4.5.118)

The source terms on the right-hand side should be interpreted as the sum over all relevant
matter components (e.g. photons, dark matter, baryons, etc.). The Poisson equation takes
a particularly simple form if we introduce the comoving-gauge density contrast

∇2 Φ = 4πGa2 ρ̄ ∆ . (4.5.119)

• From the conservation of the stress-tensor, we derived the relativistic generalisations of

the continuity equation and the Euler equation
   
δP P̄ P̄
δ 0 + 3H ∇ · v − 3Φ0 ,


− δ = − 1+ (4.5.120)
δρ ρ̄ ρ̄
1 P̄ 0
 
0 ∇δP
v + 3H − 0 v = − − ∇Φ . (4.5.121)
3 ρ̄ ρ̄ + P̄

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87 4. Cosmological Perturbation Theory

These equations apply for the total matter and velocity, and also separately for any non-
interacting components so that the individual stress-energy tensors are separately con-
served.

• A very important quantity is the comoving curvature perturbation

H(Φ0 + HΦ)
R = −Φ − . (4.5.122)
4πGa2 (ρ̄ + P̄ )

We have shown that R doesn’t evolve on super-Hubble scales, k  H, unless non-adiabatic

pressure is significant. This fact is crucial for relating late-time observables, such as the
distributions of galaxies (Chapter 5), to the initial conditions from inflation (Chapter 6).

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5 Structure Formation

In the previous chapter, we derived the evolution equations for all matter and metric pertur-
bations. In principle, we could now solve these equations. The complex interactions between
the different species (see Fig. 5.1) means that we get a large number of coupled differential
equations. This set of equations is easy to solve numerically and this is what is usually done.
However, our goal in this chapter is to obtain some analytical insights into the basic qualitative
features of the solutions.

ion
diat
Ra Neutrions

Dark
Photons
Energy

Thomson
Scattering Metric

Dark
Electrons Matter
Co
Sca ulom
tte b
rin
g Baryons r
tte
Ma

Figure 5.1: Interactions between the different forms of matter in the universe.

5.1 Gravitational Instability

5.1.1 Jeans’ Instability
The growth of primordial density perturbations is determined by a competition between gravity
and pressure. Gravity will attract matter into overdense regions of space. However, the random
thermal motion of particles is also increased in overdensities. If this pressure is large then it will
push matter out of dense regions and therefore inhibit the growth of inhomogeneities.
Consider inhomogeneities in a fluid with equation of state w ≡ P̄ /ρ̄ and speed of sound
c2s
≡ δP/δρ. For adiabatic perturbations, we have c2s ≈ w. The continuity equation (4.5.120)
and the Euler equation (4.5.121) then are

δ 0 = − (1 + w) ∇ · v − 3Φ0 ,


(5.1.1)
c2s
v 0 = −H (1 − 3w) v − ∇δ − ∇Φ . (5.1.2)
1+w

88

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89 5. Structure Formation

On subhorizon scales, time derivatives of Φ are subdominant and can be dropped.1 Combining
the time derivative of (5.1.1) with the divergence of (5.1.2), we then find

δ 00 + (1 − 3w) Hδ 0 − c2s ∇2 δ = (1 + w)∇2 Φ . (5.1.3)

↑ ↑ ↑
friction pressure gravity

Using the Poisson equation (4.5.116) to replace ∇2 Φ, this becomes

δ 00 + (1 − 3w) Hδ 0 + c2s k 2 − kJ2 δ = 0 ,

(5.1.4)

where we have defined the Jeans’ scale,

4πGa2 ρ̄
kJ2 ≡ (1 + w) . (5.1.5)
c2s

For small scales (i.e. large wavenumbers), k > kJ , the pressure dominates and the fluctuations
oscillate, while on large scales, k < kJ , gravity dominates and the fluctuations grow. The
Hubble friction has two effects: Below the Jeans length, the fluctuations oscillate with decreasing
amplitude. Above the Jeans length, the fluctuations experience power-law growth, rather than
the exponential growth characteristic of a gravitational instability in static space.
In §5.1.2, we will study the clustering of dark matter fluctuations. Since the sound speed
of CDM is small, the fluctuations grow efficiently over a large range of scales. In §5.2.1, we
will look at the evolution of fluctuations in the primordial photon gas. Now, pressure plays
an important role: fluctuations only grow on very large scales and oscillate otherwise. These
acoustic oscillations are observed both in the microwave background and in the distribution of
galaxies.

5.1.2 Clustering of Dark Matter

In this section, we are interested in the evolution of (dark) matter fluctuations from early times
(during the radiation era) until late times (when dark energy starts to dominate).

• At early times, the universe was dominated by a mixture of radiation (r) and pressureless
matter (m). For now, we ignore baryons. The conformal Hubble parameter is

H02 Ω2m 1
 
2 1 a
H = + 2 , y≡ . (5.1.6)
Ωr y y aeq

We wish to determine how matter fluctuations evolve on subhorizon scales from the ra-
diation era until the matter era. In §4.3.1, we showed that the matter density contrast
satisfies
00 0
δm + Hδm = ∇2 Φ + 3(Φ 00 + HΦ 0 ) . (5.1.7)
In general, the potential Φ is sourced by the total density fluctuation. However, the
perturbations in the radiation density oscillate rapidly on small scales (see §5.2). The
time-averaged gravitational potential is therefore only sourced by the matter fluctuations,
1
This is actually a subtle point. During the radiation era, time derivatives of Φ are only subdominant if
averaged over a Hubble time. We are here implicitly assuming such an averaging.

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90 5. Structure Formation

and the fluctuations in the radiation can be neglected (see Weinberg, astro-ph/0207375
for further discussion). Assuming such a time averaging, we have ∇2 Φ  {Φ 00 , HΦ 0 } on
subhorizon scales (k  H). With these simplifications, equation (5.1.7) becomes
00 0
δm + Hδm − 4πGa2 ρ̄m δm ≈ 0 , (5.1.8)

where H given by (5.1.6). On Problem Set 3, you will show that this equation can be
written as the Mészáros equation

d2 δm 2 + 3y dδm 3
2
+ − δm = 0 . (5.1.9)
dy 2y(1 + y) dy 2y(1 + y)

You will also be asked to show that the solutions to this equation take the form


 2 + 3y

δm ∝ √  (5.1.10)
1 + y + 1 p

 (2 + 3y) ln √ − 6 1 + y
1+y−1


In the limit y  1 (RD), the growing mode solution is δm ∝ ln y ∝ ln a, i.e. the matter
fluctuations only grow logarithmically in the radiation era. Significant growth of dark
matter inhomogeneities only occurs when the universe becomes matter dominated. Indeed,
in the limit y  1 (MD), the growing mode solution is δm ∝ y ∝ a.

• At late times, the universe is a mixture of pressureless matter (m) and dark energy (Λ).
Since dark energy doesn’t have fluctuations, equation (5.1.8) still applies
00 0
δm + Hδm − 4πGa2 ρ̄m δm ≈ 0 , (5.1.11)

but H is not the same as before. In the Λ-dominated regime, we have H2 = (−η −1 )2 
4πGa2 ρ̄m . Dropping the last term in (5.1.11), we get

00 1 0
δm − δm ≈ 0, (5.1.12)
η
which has the following solution

 const.
δm ∝ . (5.1.13)
 η 2 ∝ a−2

We see that the matter fluctuations stop growing once dark energy comes to dominate.

Comoving density contrast.—An elegant way to obtain solutions that are valid on all scales (not just
in the subhorizon limit) is to work with the comoving density contrast ∆m . This has the nice feature
that the Poisson equation for the time-average gravitational potential takes a simple form

∇2 Φ = 4πGa2 ρ̄m ∆m . (5.1.14)

The solution for ∆m can therefore be obtained directly from the solution for Φ (cf. §4.3.3). Let us
see how this reproduces our previous results:

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91 5. Structure Formation

• During the matter era, we have Φ ∝ {a0 , a−5/2 } and a2 ρm ∝ a−1 , so that

∇2 Φ  a
∆m = ∝ . (5.1.15)
4πGa2 ρ̄m  a−3/2

Notice that the growing mode of ∆m grows as a outside the horizon, while δm is constant.
Inside the horizon, δm ≈ ∆m and the density contrasts in both gauges evolve as a.
• Dark energy contributes pressure, but no pressure fluctuations. The Einstein equation (4.5.118)
therefore is
Φ00 + 3HΦ0 + (2H0 + H2 )Φ = 0 . (5.1.16)
To get an evolution equation for ∆m , we use a neat trick. Since a2 ρ̄m ∝ a−1 , we have
Φ ∝ ∆m /a. Hence, eq. (5.1.16) implies

∂η2 (∆m /a) + 3H∂η (∆m /a) + (2H0 + H2 )(∆m /a) = 0 , (5.1.17)

which rearranges to
∆00m + H∆0m + (H0 − H2 )∆m = 0 . (5.1.18)
Using H0 − H2 = −4πGa2 ρ̄m , this becomes

∆00m + H∆0m − 4πGa2 ρ̄m ∆m = 0 . (5.1.19)

This equation looks similar to (5.1.11), but is now valid on all scales. The solution in Λ-
dominated regime is 
 const.
∆m ∝ . (5.1.20)
 η 2 ∝ a−2

This is the same as (5.1.13), but now valid on all scales.

5.1.3 Matter Power Spectrum

The effects we discussed above lead to a post-processing of the primordial perturbations. This
evolution is often encoded in the so-called transfer function. For example, the value of the
matter perturbation at redshift z is related to the primordial perturbation Rk by

∆m,k (z) = T (k, z) Rk . (5.1.21)

The transfer function T (k, z) depends only on the magnitude k and not on the direction of k,
because the perturbations are evolving on a homogeneous and isotropic background. The square
of the Fourier mode (5.1.21) defines that matter power spectrum

P∆ (k, z) ≡ |∆m,k (z)|2 = T 2 (k, z) |Rk |2 . (5.1.22)

Figure 5.2 shows predicted matter power spectrum for scale-invariant initial conditions, k 3 |Rk |2 =
const. (see Chapter 6). The asymptotic scalings of the power spectrum are

 k k < keq
P∆ (k) = . (5.1.23)
 −3
k k > keq

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92 5. Structure Formation

large scales small scales

Figure 5.2: The matter power spectrum P∆ (k) at z = 0 in linear theory (solid) and with non-linear correc-
tions (dashed). On large scales, P∆ (k) grows as k. The power spectrum turns over around keq ∼ 0.01 Mpc−1
corresponding to the horizon size at matter-radiation equality. Beyond the peak, the power falls as k−3 .
Visible are small amplitude baryon acoustic oscillations in the spectrum.

These scalings are easy to understand by consulting the Poisson equation, ∇2 Φ = 4πGa2 ρ̄m ∆m ,
which implies P∆ (k) ∝ k 4 PΦ (k). The spectrum of ∆ therefore directly related to the time-
evolved spectrum of Φ:

• Modes with k < keq only enter the horizon during the matter era when their amplitude
remains constant. For these modes, the gravitational potential hasn’t undergone any
evolution and its power spectrum takes the scale-invariant form PΦ (k) ∝ k −3 . The matter
power spectrum for those scales therefore is

P∆ (k) ∝ k 4 × k −3 = k . (5.1.24)

• Modes with k > keq , on the other hand, have entered the horizon during the radiation
era. As we have seen in §4.3.3, for these modes, the gravitational potential decays as
a−2 ∝ η −2 . The amount of suppression of Φ is determined by the amount time that the
mode has spent inside the horizon which follows from the horizon crossing condition kη = 1.
Modes with larger k enter the horizon earlier and will be more suppressed, namely by a
factor of (k/keq )−2 coming from the (η/ηeq )−2 suppression of the potential. The matter
power spectrum for k > keq therefore is

P∆ (k) ∝ k 4 × k −3 × (k −2 )2 = k −3 . (5.1.25)

Finally, note that the evolution of P∆ (k, z) during the matter era is proportional to a2 =
(1 + z)−2 , cf. eq. (5.1.15).

5.2 Acoustic Oscillations

5.2.1 Radiation Fluctuations
In this section, we wish to determine the evolution of perturbations in the radiation density.
We will first ignore the coupling between photons and baryons. In §4.3.1, we showed that the

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93 5. Structure Formation

radiation density contrast then satisfies


0 4 0
 δr = − 3 ∇ · v r + 4Φ (C)


1 4
δr00 − ∇2 δr = ∇2 Φ + 4Φ00 (5.2.26)
3 3
 v 0 = − 1 ∇δ − ∇Φ


r r (E)
4
For later convenience, we have also recalled how the equation of motion for δr arises from the
continuity and Euler equations. Let us discuss the solution on subhorizon scales:

• During the radiation era, the potential decays, Φ ∝ a−2 , so that

1
δr00 − ∇2 δr ≈ 0 . (5.2.27)
3
This shows that fluctuations in the radiation density oscillate around δr = 0, with constant
amplitude and frequency ω = √13 k. Matching the solution to the superhorizon initial
conditions (see §4.4), we find
 
1
δr = 4R(0) cos √ kη . (5.2.28)
3

• During the matter era, Φ = const., so that

1 4
δr00 − ∇2 δr = ∇2 Φ = const. (5.2.29)
3 3
This is the equation of motion of a harmonic oscillator with constant driving force. The
subhorizon fluctuations in the radiation density therefore oscillate with constant ampli-
tude around a shifted equilibrium point, δr = −4Φ0 (k), where Φ0 (k) is the k-dependent
amplitude of the gravitational potential in the matter era; cf. Fig. 4.1.

Comoving density contrast.—In the radiation era, perturbations in the radiation density dominate
(for adiabatic initial conditions). Given the solution for Φ during the radiation era (cf. §4.3.3), we
therefore immediately obtain a solution for the density contrast of radiation (δr or ∆r ) via the Poisson
equation
2
δr = − (kη)2 Φ − 2η Φ0 − 2Φ , (5.2.30)
3
2
∆r = − (kη)2 Φ . (5.2.31)
3
We see that while δr is constant outside the horizon, ∆r grows as η 2 ∝ a2 . Inside the horizon,
equation (4.3.98) implies
 
2 1
δr ≈ ∆r = − (kη)2 Φ = 4R(0) cos √ kη , (5.2.32)
3 3

which agrees with our previous result (5.2.28).

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94 5. Structure Formation

damp
ing

dri
vin
g
5 10 15 20

Figure 5.3: Numerical solutions of the gravitational potential Ψ and the photon density contrast δγ . The
oscillation amplitude first rises (because the gravitational potential decays after horizon crossing) and then
decays (when photon anisotropic stress Πγ becomes significant).

5.2.2 Primordial Sound Waves

Before recombination, photons are tightly coupled to baryons (mostly through the scattering
with electrons).2 Only the combined momentum density of photons and baryons in now con-
served
4
q ≡ qγ + qb = (1 + R)ρ̄γ vγ , (5.2.33)
3
where we have introduced
Ωb h2
  
3 ρ̄b a
R≡ = 0.6 . (5.2.34)
4 ρ̄γ 0.02 10−3
The Euler equation in (5.2.26) gets modified to
1
[(1 + R)v r ]0 = − ∇δr − (1 + R)∇Φ , (5.2.35)
4
↑ ↑
inertial gravitational
mass mass

The corrections to the Euler equation are easy to understand: The coupling to baryons adds
extra “weight” to the photon-baryon fluid. This increases both the momentum density and the
gravitational force term by a factor (1 + R). Since the baryons don’t contribute to the pressure,
the pressure force term does not receive a factor of (1 + R).
The continuity equation in (5.2.26), on the other hand, does not get modified since the coupling
to baryons neither creates nor destroys photons. (Thomson scattering conserves photon number,
e + γ ↔ e + γ.) Combining the continuity and Euler equations, as before, we find

HR 0 4 4R 0 0
δγ00 + δγ + c2s k 2 δγ = − k 2 Φ + 4Φ00 + Φ , (5.2.36)
1+R 3 1+R
↑ ↑
pressure gravity
2
The treatment in this section is somewhat schematic. A more detailed discussion can be found in D. Baumann,
Advanced Cosmology.

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95 5. Structure Formation

where we have defined the sound speed of the photon-baryon fluid as

1
c2s ≡ . (5.2.37)
3(1 + R)
Equation (5.2.36) is the master equation describing the anisotropies in the cosmic microwave
background. A numerical solution of the equation is shown in Fig. 5.3.

5.3 CMB Anisotropies

5.3.1 Motion of the Solar System
The first thing one sees when looking at the CMB is the motion of the Solar System with respect
to the rest frame of the microwave background (cf. Fig. 5.4).

HOT

COLD
Figure 5.4: The motion of the Solar System relative to the CMB rest frame produces a dipolar pattern in
the observed CMB temperature.

Due to the Doppler effect, the observed momentum of the photons coming from a direction3
n̂ is
p
p0 (n̂) = ≈ p (1 + n̂ · v) , (5.3.38)
γ(1 − n̂ · v)
where v is our velocity relative to the CMB rest frame, p is the momentum of the photons
in the CMB rest frame, and γ = (1 − v 2 )−1/2 is the Lorentz factor. We have also shown an
approximation at leading order in |v|  1. As expected, the momentum is higher if we move
towards the photon (n̂ · v = v) and smaller if we move away from it (n̂ · v = −v). Since the
CMB is a blackbody, we can relate the change in the observed momentum of the photons to a
change in the observed temperature
δT (n̂) T0 (n̂) − T p0 (n̂) − p
≡ = = n̂ · v . (5.3.39)
T T p
Fitting this dipolar anisotropy to the data, we find that the speed of the Solar System relative
to the CMB is
v = 368 km/s . (5.3.40)
After subtracting the dipole, we are left with the primordial anisotropy.
3
Since photons are coming toward us, the propagation direction of photons, p̂, is opposite of the line-of-sight
direction, i.e. p̂ = −n̂.

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96 5. Structure Formation

5.3.2 Perturbed Photon Geodesics

We start by discussing the effects of perturbations on the evolution of the momentum of photons.
For convenience, we recall the perturbed metric in Newtonian gauge

ds2 = a2 (η) (1 + 2Ψ)dη 2 − (1 − 2Φ)δij dxi dxj .

 
(5.3.41)

For now, we will allow for the possibility that Ψ 6= Φ. In Chapter 1, we showed that, in a
homogeneous universe, the (physical) momentum just redshifts as p ∝ 1/a, i.e.

1 dp 1 da
=− . (5.3.42)
p dη a dη
In an inhomogeneous universe, the photon evolution receives additional gravitational corrections.
In the next insert, I will derive the following equation
1 dp 1 da ∂Ψ ∂Φ
=− − p̂i i + , (5.3.43)
p dη a dη ∂x ∂η

where p̂i is a unit vector in the direction of the photon 3-momentum (i.e. δij p̂i p̂j = 1). The
inhomogeneous terms in (5.3.43) describe how photons are deflected and lose (gain) energy as
they move out of (into) a potential well.4

Derivation.—We will derive eq. (5.3.43) from the geodesic equation for photons

dP 0
= −Γ0αβ P α P β , (5.3.44)
dλ
where P µ = dX µ /dλ is the four-momentum of the photons. We need expressions for the components
of the four-momentum in the presence of metric perturbations:
• We first consider the P 0 component. Since photons are massless we have

P 2 = gµν P µ P ν = 0
= a2 (1 + 2Ψ)(P 0 )2 − p2 , (5.3.45)

where we have substituted the metric (5.3.41) and defined p2 ≡ −gij P i P j . Solving eq. (5.3.45)
for P 0 , we find
p
P 0 = (1 − Ψ) . (5.3.46)
a
• The spatial component of the 4-momentum takes the following form

P i ≡ α p̂i . (5.3.47)

To determine the constant of proportionality α, we use

p2 = −gij P i P j = a2 (1 − 2Φ)δij p̂i p̂j α2

= a2 (1 − 2Φ)α2 , (5.3.48)

where the last equality holds because the direction vector is a unit vector. Solving eq. (5.3.48)
for α, we get α = p(1 + Φ)/a, or
pp̂i
Pi = (1 + Φ) . (5.3.49)
a
4
In our conventions an overdensity corresponds to Φ, Ψ < 0. (To see this consider the Poisson equation.)

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97 5. Structure Formation

Let us substitute these result into the geodesic equation (5.3.44),

p d hp i
(1 − Ψ) (1 − Ψ) = −Γ0αβ P α P β . (5.3.50)
a dη a
Here, we have used the standard trick of rewriting the derivative with respect to λ as a derivative
with respect to time multiplied by dη/dλ = P 0 . We expand out the time derivative to get

dp dΨ a2
(1 − Ψ) = Hp(1 − Ψ) + p − Γ0αβ P α P β (1 + Ψ) . (5.3.51)
dη dη p

Next, we multiply both sides by (1 + Ψ)/p and drop all quadratic terms in Ψ

1 dp dΨ a2
=H+ − Γ0αβ P α P β 2 (1 + 2Ψ) . (5.3.52)
p dη dη p
Let us consider the terms on the right-hand side in turn:
• Expanding the total time derivative of Ψ, we get

dΨ ∂Ψ dxi ∂Ψ ∂Ψ ∂Ψ
= + i
= + p̂i i . (5.3.53)
dη ∂η dη ∂x ∂η ∂x
where we used
dxi dxi dλ Pi
= = 0 = p̂i (1 + Ψ + Φ) = p̂i + O(1) . (5.3.54)
dη dλ dη P
• To evaluate the last term, we need some perturbed Christoffel symbols. The relevant compo-
nents are

Γ000 = H + Ψ 0 , Γ0i0 = ∂i Ψ , Γ0ij = Hδij − [Φ 0 + 2H(Φ + Ψ)]δij . (5.3.55)

After a bit of algebra, we get

P αP β ∂Φ ∂Ψ ∂Ψ
− Γ0αβ 2
(1 + 2Ψ) = −2H + − − 2 p̂i i . (5.3.56)
p ∂η ∂η ∂x

Substituting eqs. (5.3.53) and (5.3.56) into eq. (5.3.52), we find

1 dp ∂Ψ ∂Φ
= −H − p̂i i + , (5.3.57)
p dη ∂x ∂η

which confirms eq. (5.3.43).

Consider the gradient term in eq. (5.3.43). Let us add and subtract ∂Ψ/∂η,
 
i ∂Ψ ∂Ψ i ∂Ψ ∂Ψ
p̂ = + p̂ − . (5.3.58)
∂xi ∂η ∂xi ∂η

By eq. (5.3.53), the terms in brackets simply combine into the total time derivative of Ψ. Hence,
we find
∂Ψ dΨ ∂Ψ
p̂i i = − , (5.3.59)
∂x dη ∂η
and eq. (5.3.43) becomes
d dΨ ∂(Ψ + Φ)
ln(ap) = − + . (5.3.60)
dη dη ∂η

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98 5. Structure Formation

5.3.3 Line-of-Sight Solution

In Chapter 3, we have seen that recombination occurs over a very short amount of time, ∆z ∼ 10.
To simplify matters, we will work with the idealised approximation of instantaneous recombi-
nation. The CMB photons were then emitted at a fixed time η∗ = ηrec . This moment is often
called last-scattering. Equation (5.3.60) can then be integrated from the time of emission η∗ to
the time of observation η0 (i.e. today),
Z η0
∂
ln(ap)0 = ln(ap)∗ + (Ψ∗ − Ψ0 ) + dη (Ψ + Φ) . (5.3.61)
η∗ ∂η

To relate this to the temperature anisotropy, we note that

 
δT
ap ∝ aT̄ 1 + , (5.3.62)
T̄

where T̄ (η) is the mean temperature. Taylor-expanding the log’s in (5.3.61) to first order in
δT /T̄ , and keeping in mind that a0 T̄0 = a∗ T̄∗ , we find
Z η0
δT δT ∂
= + (Ψ∗ − Ψ0 ) + dη (Ψ + Φ) . (5.3.63)
T̄ 0 T̄ ∗ η∗ ∂η

The term Ψ0 only affects the monopole perturbation, so it is unobservable 5 and therefore usually
dropped from the equation. The fractional temperature perturbation at last scattering can be
expressed in terms of the density contrast of photons,6

δT 1
= (δγ )∗ . (5.3.64)
T̄ ∗ 4

Equation (5.3.63) then reads

  Z η0
δT 1 ∂
= δγ + Ψ + dη (Ψ + Φ) . (5.3.65)
T̄ 0 4 ∗ η∗ ∂η

So far, we have ignored the motion of the electrons at the surface of last scattering. Including
this leads to an extra Doppler shift in the received energy of photons when referenced to an
observer comoving with the electrons at last scattering (see Fig. 5.5),

δT
⊂ (n̂ · v e )∗ . (5.3.66)
T̄ 0

Putting everything together, we obtain the following important result

  Z η0
δT 1
(n̂) = δγ + Ψ + n̂ · v e + dη (Ψ 0 + Φ 0 ) . (5.3.67)
T̄ 4 ∗ η∗

Let us summarise the various contributions to the total temperature anisotropy:

• The term 14 δγ can be thought of as the intrinsic temperature variation over the background
last-scattering surface.
5
The total monopole is, of course, observable but its perturbation depends on the point identification with the
background cosmology, i.e. is gauge-dependent.
6
Recall that ργ ∝ T 4 for blackbody radiation at temperature T .

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99 5. Structure Formation

Figure 5.5: The motion of electrons at the surface of last scattering produces an additional temperature
anisotropy.

• The term Ψ arises from the gravitational redshift when climbing out of a potential well at
last scattering. The combination 14 δγ + Ψ is often called the Sachs-Wolfe term.

• The Doppler term n̂ · v e describes the blueshift from last scattering off electrons moving
towards the observer.

• Finally, the integrated Sachs-Wolfe term describes the effect of gravitational redshifting
from evolution of the potentials along the line-of-sight.

Figure 5.6 illustrates the contributions that each of the terms in (5.3.67) makes to the power
spectrum of the CMB temperature anisotropies (see §5.3.4). We see that the ISW contribution is
subdominant and that the shape of the power spectrum is mostly determined by the Sachs-Wolfe
and Doppler contributions.

Total
SW
Doppler
ISW

Figure 5.6: Contributions of the various terms in (5.3.67) to the temperature-anisotropy power spectrum.

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100 5. Structure Formation

Comment.—For adiabatic initial conditions (i.e. δγ ≈ 43 δm ) and on large scales (δm ≈ −2Φ), the
Sachs-Wolfe term becomes
1 2Φ 1
δγ + Ψ = − + Ψ ≈ Φ. (5.3.68)
4 3 3
This shows that, on large scales, an overdense region (Ψ ≈ Φ < 0) appears as a cold spot on the sky.
While the temperature at the bottom of the potential well is hotter than the average (− 23 Φ), photons
lose more energy (Ψ) as they climb out of the potential well, resulting in a cold spot ( 13 Φ < 0).

5.3.4 CMB Power Spectrum

A map of the cosmic microwave background radiation describes the variation of the CMB tem-
perature as a function of direction, δT (n̂). We will be interested in the statistical correlations
between temperature fluctuations in two different directions n̂ and n̂0 (see Fig. 5.7), averaged
over the entire sky.

Figure 5.7: Left: Illustration of the two-point correlation function of the temperature anisotropy δT (n̂).
Right: Illustration of the temperature anisotropy created by a single plane wave inhomogeneity are recom-
bination.

If the initial conditions are statistically isotropic, then we expect these correlations only to
depend on the relative orientation of n̂ and n̂0 . In that case, we can write the two-point
correlation function as
X 2l + 1
δT (n̂)δT (n̂0 ) = Cl Pl (cos θ) , (5.3.69)
4π
l
0
where n̂ · n̂ ≡ cos θ and Pl are Legendre polynomials. The expansion coefficients Cl are the
angular power spectrum (cf. Fig. 5.8). If the fluctuations are Gaussian, then the power spectrum
contains all the information of the CMB map.
The right panel in Figure 5.7 illustrates the temperature variations created by a single plane
wave inhomogeneity. The CMB anisotropies observed on the sky are a superposition of many
such plane waves with amplitudes that are weighted by the spectrum of primordial curvature
perturbations ∆2R (k). In Chapter 6, we will show that the initial conditions of the primordial

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101 5. Structure Formation

100

80

60

40

20

10 100 1000

Figure 5.8: From temperature maps to the angular power spectrum. The original temperature fluctuation
map (top left) corresponding to a simulation of the power spectrum (top right) can be band-filtered to
illustrate the power spectrum in three characteristic regimes: the large-scale regime, the first acoustic peak
where most of the power lies, and the damping tail where fluctuations are dissipated.

perturbations are expected to be featureless, ∆2R (k) = const. The observed features in the CMB
anisotropy spectrum arise from the subhorizon evolution of the photon density perturbations
and the gravitational potential as discussed in §5.2 (cf. Fig. 5.3). These acoustic waves are
captured at recombination and projected onto the sky. The observed oscillations in the CMB
power spectrum are therefore a snapshot of primordial sound waves caught at different phases
in their evolution at the time when photons last scattered off electrons. The beautiful physics
of the CMB fluctuations is described in much detail in D. Baumann, Advanced Cosmology.

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6 Quantum Initial Conditions

The most remarkable feature of inflation is that it provides at natural mechanism for producing
the initial conditions (see Fig. 6.1). The reason why inflation inevitably produces fluctuations is
simple: the evolution of the inflaton field φ(t) governs the energy density of the early universe ρ(t)
and hence controls the end of inflation. Essentially, the field φ plays the role of a local “clock”
reading off the amount of inflationary expansion still to occur. By the uncertainty principle,
arbitrarily precise timing is not possible in quantum mechanics. Instead, quantum-mechanical
clocks necessarily have some variance, so the inflaton will have spatially varying fluctuations
δφ(t, x). There will hence be local differences in the time when inflation ends, δt(x), so that
different regions of space inflate by different amounts. These differences in the local expansion
histories lead to differences in the local densities after inflation, δρ(t, x), and to curvature per-
turbations in comoving gauge, R(t, x). It is worth remarking that the theory wasn’t engineered
to produce these fluctuations, but that their origin is instead a natural consequence of treating
inflation quantum mechanically.

Figure 6.1: Quantum fluctuations δφ(t, x) around the classical background evolution φ̄(t). Regions acquir-
ing negative fluctuations δφ remain potential-dominated longer than regions with positive δφ. Different
parts of the universe therefore undergo slightly different evolutions. After inflation, this induces density
fluctuations δρ(t, x).

6.1 Inflaton Fluctuations: Classical

Before we quantise the inflaton fluctuations, we look at their classical dynamics. It will be useful
to derive this from the inflaton action
3 √
Z  
1 µν
S = dη d x −g g ∂µ φ∂ν φ − V (φ) , (6.1.1)
2
where g ≡ det(gµν ). To study the linearised dynamics, we need the action at quadratic order in
fluctuations. In general, finding the quadratic action for the coupled fluctuations δφ and δgµν is
a bit involved. However, the problem greatly simplifies by a convenient choice of gauge. In this
section, we will work in spatially flat gauge, in which our freedom in the choice of coordinates

102

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103 6. Quantum Initial Conditions

has been exploited to set the spatial metric to be unperturbed, gij = −a2 δij . In this gauge, the
information about the perturbations is carried by the inflaton perturbation δφ and the metric
perturbations δg0µ . The Einstein equations relate δg0µ to δφ. An important feature of spatially
flat gauge is that the metric perturbations δg0µ are suppressed relative to the inflaton fluctuations
by factors of the slow-roll parameter ε; in particular, δg0µ vanishes in the limit ε → 0. This
means that at leading order in the slow-roll expansion, we can ignore the fluctuations in the
spacetime geometry and perturb the inflaton field independently. (In a general gauge, inflaton
and metric perturbations would be equally important and would have to be studied together.)
This makes our job a lot simpler.

Evaluating (6.1.1) for the unperturbed FRW metric, we find

Z  
3 1 2 0 2 2

4
S = dη d x a (φ ) − (∇φ) − a V (φ) . (6.1.2)
2
It is convenient to write the perturbed inflaton field as
f (η, x)
φ(η, x) = φ̄(η) + . (6.1.3)
a(η)
To get the linearised equation of motion for f (η, x), we need to expand the action (6.1.2) to
second order in the fluctuations. After some work, we find
a00 2
Z  
3 1 0 2 2
S(2) = dη d x (f ) − (∇f ) + f . (6.1.4)
2 a

Derivation.—Substituting (6.1.3) into (6.1.2) and isolating all terms with two factors of f , we get
Z
1 h
i
S(2) = dη d3 x (f 0 )2 − (∇f )2 − 2Hf f 0 + H2 − a2 V,φφ f 2 . (6.1.5)
2

Integrating the term f f 0 = 21 ∂η (f 2 ) by parts, gives

Z
1 h
i
S(2) = dη d3 x (f 0 )2 − (∇f )2 + H 0 + H2 − a2 V,φφ f 2 ,
2
Z   00  
1 3 0 2 2 a
= dη d x (f ) − (∇f ) + − a V,φφ f 2 .
2
(6.1.6)
2 a

During slow-roll inflation, we have

2
V,φφ 3Mpl V,φφ
≈ = 3ηV  1 . (6.1.7)
H2 V
Since a0 = a2 H, with H ≈ const., we also have

a00
≈ 2a0 H = 2a2 H 2  a2 V,φφ . (6.1.8)
a
Hence, we can drop the V,φφ term in (6.1.6) and arrive at (6.1.4).

The action (6.1.4) implies the following equation of motion

a00 d3 x
  Z
00
fk + k − 2
fk = 0 , fk (η) ≡ f (η, x) e−ik·x . (6.1.9)
a (2π)3/2

Sometimes this is called the Mukhanov-Sasaki (MS) equation.

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104 6. Quantum Initial Conditions

Exercise.—Derive (6.1.9) directly from the Klein-Gordon equation, g µν ∇µ ∇ν φ = −V,φ .

In a quasi-de Sitter background, we have a00 /a ≈ 2H2 = 2/η 2 and the MS equation (6.1.9)
becomes  
00 2 2
fk + k − 2 fk = 0 . (6.1.10)
η
A crucial feature of inflation is that the comoving Hubble radius H−1 = (aH)−1 shrinks (the
scale factor is a ≈ −1/(Hη) and conformal time η evolves from −∞ to 0). The characteristic
evolution of a given Fourier mode is illustrated in Fig. 6.2: at early times, |η|  k −1 , the mode
is inside the Hubble radius. In this limit, the MS equation reduces to the equation of motion of
a simple harmonic oscillator,

fk00 + k 2 fk ≈ 0 (for |kη|  1) . (6.1.11)

Quantum fluctuations of these oscillators provide the origin of structure in the universe. We will
review the quantisation of harmonic oscillators in §6.2 and upgrade the discussion to inflaton
fluctuations in §6.3.
At some point during inflation the mode crosses the horizon, |kη| = 1. At this moment it be-
comes convenient to switch to a description in terms of the comoving curvature perturbation R.
As we have shown in §4.4, the field R is constant outside of the horizon, i.e. for |kη|  1. The
variance of the curvature perturbation at horizon crossing, h|Rk=H |2 i, will become the initial
condition for the evolution of perturbations in the post-inflationary FRW universe.

comoving
scales

subhorizon superhorizon

time
horizon reheating horizon today
exit re-entry

Inflation Hot Big Bang

Figure 6.2: Evolution of perturbations during and after inflation: The comoving Hubble radius (“horizon”)
H−1 shrinks during inflation and grows in the subsequent FRW evolution. This implies that comoving
scales k−1 exit the horizon at early times and re-enter the horizon at late times. While the curvature
perturbations R are outside of the horizon they don’t evolve, so our computation for the correlation function
h|Rk |2 i at horizon exit during inflation can be related directly to observables at late times.

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105 6. Quantum Initial Conditions

6.2 Quantum Harmonic Oscillators

Our aim is to quantise the field f following the standard methods of quantum field theory.
However, before we do this, let us study a slightly simpler problem1 : the quantum mechanics of
a one-dimensional harmonic oscillator.
Consider a mass m attached to a spring with spring constant κ. Let q be the deviation from
the equilibrium point. The equation of motion is mq̈ + κq = 0, or

q̈ + ω 2 q = 0 , (6.2.12)

if we define ω 2 ≡ κ/m. This is the same equation as (6.1.11), with ω = k.

Canonical quantisation

Let me remind you how to quantise the harmonic oscillator:

• Step I: Quantum operators

First, we promote the classical variables q, p ≡ q̇ to quantum operators q̂, p̂ and impose
the canonical commutation relation

[q̂, p̂] = i , (6.2.13)

in units where ~ ≡ 1. The equation of motion implies that the commutator holds at all
times if imposed at some initial time.

• Step II: Mode expansion

Note that we are using the Heisenberg picture where operators vary in time while states
are time-independent. The operator solution q̂(t) is determined by two initial conditions
q̂(0) and p̂(0) = ∂t q̂(0). Since the evolution equation is linear, the solution is linear in
these operators. It is convenient to trade q̂(0) and p̂(0) for a single time-independent
non-Hermitian operator â, in terms of which the solution can be written as

q̂(t) = q(t) â + q ∗ (t) ↠, (6.2.14)

where the (complex) mode function q(t) satisfies the classical equation of motion, q̈+ω 2 q =
0. Of course, q ∗ (t) is the complex conjugate of q(t) and ↠is the Hermitian conjugate of
a.

• Step III: Normalization

Substituting (6.2.14) into (6.2.13), we get

W [q] × [â, ↠] = 1 , (6.2.15)

where we have defined the Wronskian

W [q] ≡ −i (q q̇ ∗ − q̇q ∗ ) . (6.2.16)

1
The reason it looks simpler is that it avoids distractions arising from Fourier labels, delta functions, etc. The
physics is exactly the same.

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106 6. Quantum Initial Conditions

Without loss of generality, let us assume that the solution q is chosen so that the real
number W [q] is positive. The function q can then be rescaled (q → λq) such that

W [q] ≡ 1 , (6.2.17)

and hence
[â, ↠] = 1 . (6.2.18)
Equation (6.2.18) is the standard commutation relation for the raising and lowering oper-
ators of the harmonic oscillator.

• Step IV: Vacuum state

The vacuum state |0i is annihilated by the operator â:

â|0i = 0 . (6.2.19)

Excited states are created by repeated application of creation operators ↠.

Choice of vacuum

At this point, we have only imposed the normalisation W [q] = 1 on the mode functions. A
change in q(t) could be accompanied by a change in â that keeps the solution q̂(t) unchanged.
Via eq. (6.2.19), each such solution corresponds to a different vacuum state. However, a special
choice of q(t) is selected if we require the vacuum state |0i to be the ground state of the
Hamiltonian. To see this, consider the Hamiltonian for general q(t),
1 2 1 2 2
Ĥ = p̂ + ω q̂ (6.2.20)
2 2
1h 2 i
= (q̇ + ω 2 q 2 )ââ + (q̇ 2 + ω 2 q 2 )∗ ↠↠+ (|q̇|2 + ω 2 |q|2 )(â↠+ ↠â) .
2
Using â|0i = 0 and [â, ↠] = 1, we can determine how the Hamiltonian operator acts on the
vacuum state
1 1
Ĥ|0i = (q̇ 2 + ω 2 q 2 )∗ ↠↠|0i + (|q̇|2 + ω 2 |q|2 )|0i . (6.2.21)
2 2
We want |0i to be an eigenstate of Ĥ. For this to be the case, the first term in (6.2.21) must
vanish, which implies
q̇ = ± iωq . (6.2.22)
For such a function q, the norm is
W [q] = ∓ 2ω|q|2 , (6.2.23)
and positivity of the normalisation condition W [q] > 0 selects the minus sign in (6.2.22),

q̇ = −iωq ⇒ q(t) ∝ e−iωt . (6.2.24)

Asking the vacuum state to be the ground state of the Hamiltonian has therefore selected the
positive-frequency solution e−iωt (rather than the negative-frequency solution e+iωt ). Imposing
the normalisation W [q] = 1, we get

1
q(t) = √ e−iωt . (6.2.25)
2ω

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107 6. Quantum Initial Conditions

With this choice of mode function, the Hamiltonian takes the familiar form
 
† 1
Ĥ = ~ω â â + , (6.2.26)
2

where we have reinstated Planck’s constant ~. We see that the vacuum |0i is the state of
minimum energy 12 ~ω. If any function other than (6.2.25) is chosen to expand the position
operator, then the state annihilated by â is not the ground state of the oscillator.

Zero-point fluctuations

The expectation value of the position operator q̂ in the ground state |0i vanishes

hq̂i ≡ h0|q̂|0i

= h0|q(t)â + q ∗ (t)↠|0i

= 0, (6.2.27)

because â annihilates |0i when acting on it from the left, and ↠annihilates h0| when acting on
it from the right. However, the expectation value of the square of the position operator receives
finite zero-point fluctuations

h|q̂|2 i ≡ h0|q̂ † q̂|0i

= h0|(q ∗ ↠+ qâ)(qâ + q ∗ ↠)|0i

= |q(t)|2 h0|â↠|0i

= |q(t)|2 h0|[â, ↠]|0i

= |q(t)|2 . (6.2.28)

We see that the variance of the amplitude of the quantum oscillator is given by the square of
the mode function
~
h|q̂|2 i = |q(t)|2 = . (6.2.29)
2ω
This is all we need to know about the quantum mechanics of harmonic oscillators in order to
compute the fluctuation spectrum created by inflation.

6.3 Inflaton Fluctuations: Quantum

Let us return to the quadratic action (6.1.4) for the inflaton fluctuation f = aδφ. The momentum
conjugate to f is
∂L
π≡ = f0. (6.3.30)
∂f 0
We perform the canonical quantisation just like in the case of the harmonic oscillator.

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108 6. Quantum Initial Conditions

Canonical quantisation

We follow the same steps as in the previous subsection:

• Step I: Quantum operators

We promote the fields f (η, x) and π(η, x) to quantum operators fˆ(η, x) and π̂(η, x). The
operators satisfy the equal time commutation relation

[fˆ(η, x), π̂(η, x0 )] = iδD (x − x0 ) . (6.3.31)

This is the field theory equivalent of eq. (6.2.13). The delta function is a signature of lo-
cality: modes at different points in space are independent and the corresponding operators
therefore commute. In Fourier space, we find

d3 x d3 x0
Z Z
0 0
ˆ
[fk (η), π̂k0 (η)] = 3/2 3/2
[fˆ(η, x), π̂(η, x0 )] e−ik·x e−ik ·x
(2π) (2π) | {z }
iδD (x − x0 )
d3 x −i(k+k0 )·x
Z
=i e
(2π)3

= iδD (k + k0 ) , (6.3.32)

where the delta function implies that modes with different wavelengths commute. Equa-
tion (6.3.32) is the same as (6.2.13), but for each independent Fourier mode.

• Step II: Mode expansion

The generalisation of the mode expansion (6.2.14) is

fˆk (η) = fk (η) âk + fk∗ (η)a†k , (6.3.33)

where âk is a time-independent operator, a†k is its Hermitian conjugate, and fk (η) and its
complex conjugate fk∗ (η) are two linearly independent solutions of the MS equation

a 00
fk00 + ωk2 (η)fk = 0 , where ωk2 (η) ≡ k 2 − . (6.3.34)
a
As indicated by dropping the vector notation k on the subscript, the mode functions, fk (η)
and fk∗ (η), are the same for all Fourier modes with k ≡ |k|.2

• Step III: Normalization

Substituting (6.3.33) into (6.3.32), we get

W [fk ] × [âk , â†k0 ] = δD (k + k0 ) , (6.3.35)

where W [fk ] is the Wronskian (6.2.16) of the mode functions. As before, cf. (6.2.17), we
can choose to normalize fk such that

W [fk ] ≡ 1 . (6.3.36)
2
Since the frequency ωk (η) depends only on k ≡ |k|, the evolution does not depend on direction. The constant
operators âk and â†k , on the other hand, define initial conditions which may depend on direction.

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109 6. Quantum Initial Conditions

Equation (6.3.35) then becomes

[âk , â†k0 ] = δD (k + k0 ) , (6.3.37)

which is the same as (6.2.18), but for each Fourier mode. As before, the operators â†k and
âk may be interpreted as creation and annihilation operators, respectively.

• Step IV: Vacuum state

As in (6.2.19), the quantum states in the Hilbert space are constructed by defining the
vacuum state |0i via
âk |0i = 0 , (6.3.38)
and by producing excited states through repeated application of creation operators a†k .

Choice of vacuum

As before, we still need to fix the mode function in order to define the vacuum state. Although
for general time-dependent backgrounds this procedure can be ambiguous, for inflation there is
a preferred choice. To motivate the inflationary vacuum state, let us go back to Fig. 6.2. We
see that at sufficiently early times (large negative conformal time η) all modes of cosmological
interest were deep inside the horizon, k/H ∼ |kη|  1. This means that in the remote past all
observable modes had time-independent frequencies

a00 2 η→−∞
ωk2 = k 2 − ≈ k 2 − 2 −−−−−−→ k 2 , (6.3.39)
a η
and the Mukhanov-Sasaki equation reduces to

fk00 + k 2 fk ≈ 0 . (6.3.40)

But this is just the equation for a free field in Minkowkski space, whose two independent solutions
are fk ∝ e±ikη . As we have seen above, cf. eq. (6.2.25), only the positive frequency mode
fk ∝ e−ikη corresponds to the ground state of the Hamiltonian. We will choose this mode to
define the inflationary vacuum state. In practice, this means solving the MS equation with the
(Minkowski) initial condition
1
lim fk (η) = √ e−ikη . (6.3.41)
η→−∞ 2k
This initial condition defines a preferable set of mode functions and a unique physical vacuum,
the Bunch-Davies vacuum.
For slow-roll inflation, it will be sufficient to study the MS equation in de Sitter space
 
00 2 2
fk + k − 2 fk = 0 . (6.3.42)
η

This has the following exact solution

e−ikη eikη
   
i i
fk (η) = α √ 1− +β √ 1+ . (6.3.43)
2k kη 2k kη

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110 6. Quantum Initial Conditions

where α and β are constants that are fixed by the initial conditions. In fact, the initial condi-
tion (6.3.41) selects β = 0, α = 1, and, hence, the Bunch-Davies mode function is

e−ikη
 
i
fk (η) = √ 1− . (6.3.44)
2k kη

Since the mode function is now completely fixed, the future evolution of the mode including its
superhorizon dynamics is determined.

Zero-point fluctuations

Finally, we can predict the quantum statistics of the operator

d3 k h
Z i
ˆ ∗ †
f (η, x) = 3/2
fk (η) â k + fk (η)ak eik·x . (6.3.45)
(2π)

As before, the expectation value of fˆ vanishes, i.e. hfˆi ≡ h0|fˆ|0i = 0. However, the variance of
inflaton fluctuations receive non-zero quantum fluctuations

h|fˆ|2 i ≡ h0|fˆ† (η, 0)fˆ(η, 0)|0i

d3 k d3 k0
Z Z
h0| fk∗ (η)â†k + fk (η)âk fk0 (η)âk0 + fk∗0 (η)â†k0 |0i



= 3/2 3/2
(2π) (2π)
d3 k d3 k0
Z Z
= f (η)fk∗0 (η) h0|[âk , â†k0 ]|0i
(2π)3/2 (2π)3/2 k
d3 k
Z
= |fk (η)|2
(2π)3
k3
Z
= d ln k |fk (η)|2 . (6.3.46)
2π 2
We define the (dimensionless) power spectrum as

k3
∆2f (k, η) ≡ |fk (η)|2 . (6.3.47)
2π 2
As in (6.2.29), the square of the classical solution determines the variance of quantum fluctua-
tions. Using (6.3.44), we find
 2  !
k 2
  2
2 −2 2 H superhorizon H
∆δφ (k, η) = a ∆f (k, η) = 1+ −−−−−−−−−→ . (6.3.48)
2π aH 2π

We will use the approximation that the power spectrum at horizon crossing is
 2
H
∆2δφ (k) ≈ . (6.3.49)
2π
k=aH

Computing the power spectrum at a specific instant (horizon crossing, k = aH) implicitly
extends the result for the pure de Sitter background to a slowly time-evolving quasi-de Sitter
space. Different modes exit the horizon as slightly different times when aH has a different value.
Evaluating the fluctuations at horizon crossing also has the added benefit that the error we are
making by ignoring the metric fluctuations in spatially flat gauge doesn’t accumulate over time.

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111 6. Quantum Initial Conditions

6.4 Curvature Perturbations

At horizon crossing, we switch from the inflaton fluctuation δφ to the conserved curvature
perturbation R. To do this, we recall the gauge-invariant definition of the curvature perturbation
H
R = −Φ + δq , (6.4.50)
ρ̄ + P̄

where δT 0 j ≡ −∂j δq. We now need to evaluate this in spatially flat gauge. Since the spatial
part of the metric is unperturbed, we have Φ = 0. The perturbed momentum density is

φ̄ 0
δT 0 j = g 0µ ∂µ φ∂j δφ = ḡ 00 ∂0 φ̄∂j δφ = ∂j δφ . (6.4.51)
a2
Combined with ρ̄ + P̄ = a−2 (φ̄ 0 )2 , this implies
H δφ
R=− δφ = −H . (6.4.52)
φ̄˙
φ̄ 0

Notice that the expression (6.4.52) takes the form R = −Hδt, confirming the intuition that the
curvature perturbation is induced by the time delay to the end of inflation.
The power spectrum of R at horizon exit therefore is
 2 2
2 H
∆R (k) = . (6.4.53)
2π φ̄˙ k=aH

From now on, we will drop the label k = aH to avoid clutter. The result in (6.4.53) may also
be written as
1 H2
∆2R (k) = 2 2 , (6.4.54)
8π ε Mpl

where ε is the inflationary slow-roll parameter; cf. eq. (2.3.19). The time dependence of H and
ε leads to a small scale dependence of ∆2R (k). The form of the spectrum is approximately a
power law, ∆2R (k) = As (k/k∗ )ns −1 , with the following spectral index

d ln ∆2R d ln ∆2R d ln ∆2R d ln ∆2R

ns − 1 ≡ = ≈ = = −2ε − η , (6.4.55)
d ln k d ln(aH) d ln a Hdt

where η ≡ ε̇/(Hε) is the second slow-roll parameter. The observational constraint on the scalar
spectral index is ns = 0.9603 ± 0.0073. The observed percent-level deviation from the scale-
invariant value, ns = 1, are the first direct measurement of time dependence in the inflationary
dynamics.

Exercise.—Show that for slow-roll inflation, eqs. (6.4.54) and (6.4.55) can be written as

1 1 V
∆2R = 4 , (6.4.56)
24π 2 v Mpl
ns − 1 = −6v + 2ηv , (6.4.57)

where v and ηv are the potential slow-roll parameters defined in (2.3.37). This expresses the ampli-
tude of curvature perturbations and the spectral index in terms of the shape of the inflaton potential.

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112 6. Quantum Initial Conditions

6.5 Gravitational Waves

Arguably the cleanest prediction of inflation is a spectrum of primordial gravitational waves.
These are tensor perturbations to the spatial metric,

ds2 = a2 (η) dη 2 − (δij + 2hij )dxi dxj .

 
(6.5.58)

We won’t go through the details of the quantum production of tensor fluctuations during infla-
tion, but just sketch the logic which is identical to the scalar case (and even simpler).
Substituting (6.5.58) into the Einstein-Hilbert action and expanding to second order gives
Mpl2 Z 2 Z
Mpl
√
d4 x −g R dη d3 x a2 (hij0 )2 − (∇hij )2 .
 
S= ⇒ S(2) = (6.5.59)
2 8

√
Exercise.—Confirm eq. (6.5.59). Hint: Don’t forget a term quadratic in hij coming from −g.

It is convenient to define  
f+ f× 0
Mpl 1 
ahij ≡ √  f× −f+ 0  , (6.5.60)

2 2
0 0 0
so that
a00
Z  
1 X
S(2) = dη d3 x (fλ0 )2 − (∇fλ )2 + fλ2 . (6.5.61)
2 a
λ=+,×

This is just two copies of the action (6.1.4), one for each polarization mode of the gravitational
wave, f+,× . The power spectrum of tensor modes ∆2t can therefore be inferred directly from our
previous result for ∆2f ,
 2
2
∆2h = 2 × × ∆2f . (6.5.62)
aMpl
Using (6.3.49), we get
2 H2
∆2h (k) = 2 . (6.5.63)
π 2 Mpl
k=aH

This result is the most robust and model-independent prediction of inflation. Notice that the
tensor amplitude is a direct measure of the expansion rate H during inflation. This is in contrast
to the scalar amplitude which depends on both H and ε. The form of the tensor power spectrum
is also a power law, ∆2h (k) = At (k/k∗ )nt , with the following spectral index

nt = −2ε . (6.5.64)

Observationally, a small value for nt is hard to distinguish from zero. The tensor amplitude is
often normalized with respect to the measured scalar amplitude, As = (2.196 ± 0.060) × 10−9
(at k∗ = 0.05 Mpc−1 ). The tensor-to-scalar ratio is

At
r≡ = 16ε . (6.5.65)
As

Inflationary models make predictions for (ns , r). The latest observational constraints on these
parameters are shown in Fig. 6.3.

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113 6. Quantum Initial Conditions

0.25

0.20 c
on
ca
con ve
vex
0.15

small-field
0.10 large-field
(chaotic)

0.05
l
natura
0.00
0.94
0 94 0.96
0 96 0.98
0 98 1.00

Figure 6.3: Planck+WMAP+BAO constraints on ns and r, together with predictions from a few represen-
tative inflationary models.

Case study: m2 φ2 inflation.—In Chapter 2, we showed that the slow-roll parameters of m2 φ2 inflation
are  2
Mpl
v (φ) = ηv (φ) = 2 , (6.5.66)
φ
and the number of e-folds before the end of inflation is
φ2 1
N (φ) = 2 − . (6.5.67)
4Mpl 2

At the time when the CMB fluctuations crossed the horizon at φ = φ∗ , we have
1
v,∗ = ηv,∗ ≈ . (6.5.68)
2N∗
The spectral tilt and the tensor-to-scalar therefore are
2
ns ≡ 1 − 6v,∗ + 2ηv,∗ = 1 − ≈ 0.97 , (6.5.69)
N∗
8
r ≡ 16v,∗ = ≈ 0.13 , (6.5.70)
N∗
where the final equality is for N∗ ≈ 60.

A major goal of current efforts in observational cosmology is to detect the tensor component
of the primordial fluctuations. Its amplitude depends on the energy scale of inflation and it is
therefore not predicted (i.e. it varies between models). While this makes the search for primordial
tensor modes difficult, it is also what makes it exciting. Detecting tensors would reveal the
energy scale at which inflation occurred, providing an important clue about the physics driving
the inflationary expansion.
Most searches for tensors focus on the imprint that tensor modes leave in the polarisation of the
CMB. Polarisation is generated through the scattering of the anisotropic radiation field off the
free electrons just before recombination. The presence of a gravitational wave background creates

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114 6. Quantum Initial Conditions

an anisotropic stretching of the spacetime which induces a special type of polarisation pattern:
the so-called B-mode pattern (a pattern whose “curl” doesn’t vanish). Such a pattern cannot be
created by scalar (density) fluctuations and is therefore a unique signature of primordial tensors
(gravitational waves). A large number of ground-based, balloon and satellite experiments are
currently searching for the B-mode signal predicted by inflation. A B-mode detection would be
a milestone towards a complete understanding of the origin of all structure in the universe.

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Outlook

This course has been a first introduction to the basic principles of cosmology. We have learned
how a combination of theoretical developments and precision observations have transformed
cosmology into a quantitative science. Question about the age of the universe, its composition
and its evolution used to be considered philosophical, but now have very precise answers (with
decimal places). Although cosmology has become part of mainstream science, it is a special
type of historical science. The cosmological experiment cannot be repeated, the Big Bang only
happened once. Nevertheless, cosmologists have been able to reconstruct a lot of the history
of the universe from a limited amount of observational clues. This culminated in the ΛCDM
model which describes the cosmological evolution from 1 second after the Big Bang until today,
13.8 billion year later. The details of cosmological structure formation, via the gravitational
clustering of small density variations in the primordial universe, are well understood. There is
now even evidence for the rather spectacular proposal that quantum fluctuations during a period
of exponential expansion about 10−34 seconds after the Big Bang provided the seed fluctuations
for all cosmological structures.
At the same time, many fundamental questions in cosmology remain unanswered. We do not
know what drove the inflationary expansion and what kind of matter filled the universe after
inflation. The nature of dark matter remains unknown and how dark energy fits into quantum
field theory is a complete mystery. We hope that future observations of the polarization of the
CMB and of the large-scale structure of the universe will help to unlock these mysteries. But
that is another story which I will have to leave for another course.

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A Elements of General Relativity

The following is a brief introduction to the basic elements of general relativity (GR). A familiarity
with special relativity and classical dynamics will be assumed, but otherwise we will start from
first principles. We will be schematic, so this is no substitute for a proper course on the subject.
Our goal is to present the minimal theoretical background required for a course in cosmology.1

A.1 Gravity as Geometry

The origin of general relativity lies in the following simple question: Why do objects with
different masses fall at the same rate? We think we know the answer: the mass of an object
cancels in Newton’s law

m
a = 
 m
g , (A.1.1)

where g is the local gravitational acceleration. However, Einstein pointed out that the meaning
of ‘mass’ on the left-hand side and the right-hand side of (A.1.1) is quite different. We should
really distinguish between the two masses by giving them different names:

mi a = mg g . (A.1.2)

The gravitational mass, mg , is a source for the gravitational field (just like the charge q is a
source for an electric field), while the inertial mass, mi , characterizes the dynamical response to
any forces. It is a nontrivial result that experiments find 2
mi
= 1 ± 10−13 . (A.1.3)
mg

But is there a deeper reason that the gravitational force is proportional to the inertial mass?
There are two other forces which are also proportional to the inertial mass. These are

Centrifugal force : F = −mi ω × (ω × r) . (A.1.4)

Coriolis force : F = −2mi ω × ṙ . (A.1.5)

In both of these cases, we understand why the force is proportional to the inertial mass, namely
because these are “fictitious forces”, arising in a non-inertial frame. (In this case, one that is
rotating with frequency ω). Could gravity also be a fictitious force, arising only because we are
in a non-inertial frame?
1
A GR primer with a slightly more mathematical focus is Sean Carroll’s No-Nonsense Introduction to GR.
2
Note that (A.1.2) defines both mg and g. For any given material (say test masses made of platinum), we can
therefore define mg = mi by the rescaling g → λg and mg → λ−1 mg . What is nontrivial is that (A.1.3) holds for
other bodies made of other materials.

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117 A. Elements of General Relativity

A.1.1 The Happiest Thought

“I was sitting in a chair in the patent office in Bern when all of a sudden a thought occurred
to me: “If a person falls freely he will not feel his own weight.” I was startled. This simple
thought made a deep impression on me. It impelled me toward a theory of gravitation.”
Albert Einstein

Consider the equation of motion of a particle in a gravitational field

ẍ = g(x(t), t) . (A.1.6)

Solutions of this equation are uniquely determined by the initial position and velocity of the
particle. Any two particles with the same initial position and velocity will follow the same
trajectory. Now consider a new frame of reference moving with constant acceleration a relative
to the first one. The equation of motion in this frame is

ẍ0 = g − a ≡ g 0 . (A.1.7)

The dynamics of the particle in the new frame is the same as in the old frame, but with a different
gravitational field g 0 . Choosing a = g (i.e. going to the frame of a freely falling observer), we
find g 0 = 0 (no gravitational field). This was Einstein’s happiest thought: a freely falling
observer doesn’t feel a gravitational field. Conversely, even if g = 0, a non-zero gravitational
field g 0 = −a can be experienced in an accelerating frame. Einstein elevated these observations
to the equivalence principle :

uniform acceleration is indistinguishable from a uniform gravitational field.

Even if the gravitational field is not uniform, it can be approximated as uniform for experiments
performed in a region of spacetime which is sufficiently small so that the non-uniformity is
negligible.

A.1.2 Bending of Light

An immediate experimental consequence of the equivalence principle is that light bends in a
gravitational field. To see this, compare the following two situations (cf. Fig. A.1): i) a rocket
in outer space moving with constant acceleration a = gẑ, and ii) the same rocket in a uniform
gravitational field g = −gẑ (e.g. on the surface of the Earth). Imagine shinning a beam of
light from one side of the rocket to the other. During this time, the accelerating rocket moves
forward, so the light reaches the second wall slightly below the height that it left the first wall
(see the figure, if the words aren’t clear enough). By the equivalence principle, the same has to
be true for the stationary rocket on the surface of the Earth. Light has to bend in a gravitational
field. And it does! General relativity’s prediction for the bending of light was first confirmed
by Eddington, who observed the deflection of starlight passing close to the Sun during a solar
eclipse. Since then we have observed many examples of the gravitational bending of light, such
as gravitational lensing of the light from entire galaxies by other galaxies along the line-of-sight.

A.1.3 Gravitational Redshift

Consider what happens when we shine the light along the rocket, rather than across (see
Fig. A.1). Due to the Doppler effect, the light will reach to top of the rocket at a lower frequency

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118 A. Elements of General Relativity

¥
#*It€÷÷
Figure A.1: The equivalence principle relates effects occurring inside a rocket moving with constant acceler-
ation g = gẑ (left) to those in a uniform gravitational field g = −gẑ (right).

(longer wavelength). By the equivalence principle, the same effect must be observed for light
“climbing out” of a gravitational potential well. And it is! The effect was first measured in the
Harvard physics department in 1959.

A.1.4 Gravitational Time Dilation

Another observable consequence of the equivalence principle is that time slows down in a gravi-
tational field. To derive this effect, consider the following (thought) experiment. Alice (A) and
Bob (B) are at rest in a uniform gravitational field. Their positions are zA = h and zB = 0
(e.g. at the top and bottom of the rocket in Fig. A.1). At regular intervals ∆τA , Alice sends
light signals to Bob. In the insert below, we will show that the proper time between the signals
as measured by Bob is  
gh
∆τB ≈ 1 − 2 ∆τA . (A.1.8)
c
By the equivalence principle, the same effect must be observed for light in a gravitational field.
Noticing that gh is equal to the difference in the gravitational potentials experienced by Alice
and Bob, ∆Φ ≡ ΦA − ΦB , we can write (A.1.8) as
 
ΦB − ΦA
∆τB ≈ 1 + ∆τA . (A.1.9)
c2

This shows that time slows in a region of stronger gravity (smaller Φ).

Derivation.—We choose our freely falling frame so that Alice and Bob are at rest at t = 0, but
accelerate with a = gẑ. At a later time, the velocities of Alice and Bob are v(t) = gt. We will
assume that the time taken to perform the experiment is short enough, so that v/c  1 and we can
neglect special relativistic effects in the dynamics. The trajetories of Alice and Bob then are
1 1 2
zA (t) = h + gt2 , zB (t) = gt . (A.1.10)
2 2

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119 A. Elements of General Relativity

Let us denote by t1 the time at which Alice sends out the first signal. The trajectory of the light ray
is zγ (t) ≡ zA (t1 ) − c(t − t1 ) = h + 21 gt21 − c(t − t1 ). The signal will reach Bob at time T1 when this
equals zB (T1 ) = 21 gT12 , i.e.
1 1
h + gt21 − c(T1 − t1 ) = gT12 . (A.1.11)
2 2
Alice emits the second signal at time t1 + ∆τA . The trajectory of this light ray is zA (t1 + ∆τA ) −
c(t − t1 − ∆τA ). The signal will reach Bob at T1 + ∆τB , where
1 1
h + g(t1 + ∆τA )2 − c(T1 + ∆τB − t1 − ∆τA ) = g(T1 + ∆τB )2 . (A.1.12)
2 2
Subtracting (A.1.11) from (A.1.12), we get
1 1
c(∆τA − ∆τB ) + g∆τA (2t1 + ∆τA ) = g∆τB (2T1 + ∆τB ) . (A.1.13)
2 2
Terms quadratic in ∆τ will be negligible as long as g∆τ  c. In that case, we find

c(∆τA − ∆τB ) + g∆τA t1 ≈ g∆τB T1 . (A.1.14)

Solving for ∆τB , we obtain

 −1    
gT1 gt1 g(T1 − t1 )
∆τB = 1+ 1+ ∆τA ≈ 1 − ∆τA , (A.1.15)
c c c

where we have dropped terms of order g 2 T12 /c2 (or higher) in the binomial expansion. At leading
order, we have T1 − t1 ≈ h/c and hence
 
gh
∆τB ≈ 1 − 2 ∆τA , (A.1.16)
c

which is the desired result (A.1.8).

A.1.5 Curved Spacetime

Consider a spacetime in which the proper time between two nearby events is not given by
c2 dτ 2 = c2 dt2 − dx2 , but by
   
2 2 2Φ(x) 2 2 2Φ(x)
c dτ = 1 + c dt − 1 − dx2 , (A.1.17)
c2 c2
with Φ  c2 . In these coordinates, Alice sends signals at times tA and tA + ∆t, and Bob receives
them at tB and tB + ∆t. The proper time interval between the signals sent by Alice is
 
2 2ΦA
∆τA = 1 + 2 ∆t2 , (A.1.18)
c
where we have used that ∆x = 0 because her signals are sent from the same spatial position.
Using Φ/c2  1, we can write

2ΦA 1/2
   
ΦA
∆τA = 1 + 2 ∆t ≈ 1 + 2 ∆t . (A.1.19)
c c
Similarly, the proper time between the signals received by Bob is
 
ΦB
∆τB ≈ 1 + 2 ∆t . (A.1.20)
c

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120 A. Elements of General Relativity

Combining (A.1.19) and (A.1.20), we find

ΦA −1
    
ΦB ΦB − ΦA
∆τB = 1 + 2 1+ 2 ∆τA ≈ 1 + ∆τA , (A.1.21)
c c c2

which is the same as (A.1.9)! The difference in the rates of the two clocks has therefore been
explained by the geometry of spacetime. In other words, Newtonian gravity is encoded in the
curved spacetime (A.1.17).
In general relativity, gravity will be described by a more general curved spacetime

ds2 ≡ c2 dτ 2 = gµν dX µ dX ν , (A.1.22)

where the metric can depend on both position and time, gµν (X) = gµν (t, x), and we have
used the Einstein summation convention, in which all repeated indices are summed over. The
homogeneous and isotropic spacetime of our universe is described by the Robertson-Walker
metric
ds2 = c2 dt2 − a2 (t) dx2 , (A.1.23)
where the time-dependent scale factor a(t) captures the expansion of the universe.

Indices.—You should be familiar with the manipulation of indices from special relativity. In partic-
ular, you should recall that the metric is used to raise and lower indices on four-vectors,

Aµ = gµν Aν and Aµ = g µν Aν , (A.1.24)

where g µν is the inverse of gµν . Sometimes, Aµ is called a covariant vector, in order to distinguish it
from the contravariant vector Aµ . A contravariant vector and a covariant vector can be contracted
to produce a scalar,
S ≡ A · B = Aµ Bµ = gµν Aµ B ν . (A.1.25)
Just as the metric can turn an upper index on a vector into an lower index, the metric can be used to
raise and lower indices on tensors with arbitrary number of indices. For example, raising the indices
on the metric tensor itself leads to
g µν = g µα g νβ gαβ . (A.1.26)
Convince yourself that the last relation implies

νβ 1 for ν = α
g gβα = δαν = . (A.1.27)
0 6 α
for ν =

In following, we will first discuss how particles move in a curved spacetime (§A.2) and then show
how the presence of matter creates the curvature of the spacetime (§A.3).

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121 A. Elements of General Relativity

A.2 Geodesic Equation

In the absence of any non-gravitational forces, particles move along special paths in the curved
spacetime. In this section, we will derive an equation that determines these trajectories.

A.2.1 Timelike Geodesics

Let C be a timelike curve connecting two points p and q. Use a parameter λ to label points
along the curve, with C(0) = p and C(1) = q. The total proper time between p and q, can then
be written as Z 1 r
dX µ dX ν
∆τ = dλ gµν . (A.2.28)
0 dλ dλ
A small deformation of a timelike curve remains timelike hence there exist infinitely many
timelike curves connecting p and q. The path taken by a massive particle in general relativity is
that which extremises the proper time (A.2.28). [Recall that the relativistic action of a massive
R
particle is S = −m dτ .] This special curve is called a geodesic. Solving the Euler-Lagrange
problem, we find an equation satisfied by particles moving along geodesics:
d2 X µ α
µ dX dX
β
+ Γ αβ dτ = 0, (A.2.29)
dτ 2 dτ
where Γµαβ are called Christoffel symbols, and are defined by

1
Γµαβ ≡ g µγ (∂α gγβ + ∂β gγα − ∂γ gαβ ) . (A.2.30)
2

Derivation.—Let us write (A.2.28) as

Z 1  1/2 Z 1
∆τ [X µ (λ)] = dλ gµν (X)Ẋ µ Ẋ ν ≡ dλ L[X µ , Ẋ µ ] , (A.2.31)
0 0

where Ẋ µ ≡ dX µ /dλ. The geodesic equation for the path of extremal proper time follows from the
Euler-Lagrange equation  
d ∂L ∂L
− = 0. (A.2.32)
dλ ∂ Ẋ µ ∂X µ
The derivatives in (A.2.32) are

∂L 1 ∂L 1
= − gµν Ẋ ν , µ
= − ∂µ gνρ Ẋ ν Ẋ ρ . (A.2.33)
∂ Ẋ µ L ∂X 2L
Before continuing, it is convenient to switch from the general parameterisation λ to the parameteri-
sation using proper time τ . (We could not have used τ from the beginning since the value of τ at the
final point q is different for different curves. The range of integration would then have been different
for different curves.) Notice that
 2
dτ
= gµν Ẋ µ Ẋ ν = L2 , (A.2.34)
dλ

and hence dτ /dλ = L. In the above equations, we can therefore replace d/dλ with L d/dτ . The
Euler-Lagrange equation then becomes

dX ν dX ν dX ρ
 
d 1
gµν − ∂µ gνρ = 0. (A.2.35)
dτ dτ 2 dτ dτ

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122 A. Elements of General Relativity

Expanding the first term, we get

d2 X ν dX ρ dX ν 1 dX ν dX ρ
gµν + ∂ρ gµν − ∂µ gνρ = 0, (A.2.36)
dτ 2 dτ dτ 2 dτ dτ
where ∂ρ is shorthand for ∂/∂X ρ . In the second term, we can replace ∂ρ gµν with 21 (∂ρ gµν + ∂ν gµρ )
because it is contracted with an object that is symmetric in ν and ρ. Contracting (A.2.36) with the
inverse metric and relabelling indices, we find

d2 X µ α
µ dX dX
β
+ Γ αβ = 0. (A.2.37)
dτ 2 dτ dτ
This is the desired result (A.2.29).

Newtonian limit.—Let us use the geodesic equation (A.2.29) to study the dynamics of a massive test
particle moving slowly in the spacetime (A.1.17). “Moving slowly” (with respect to the speed of
light, c ≡ 1) means
dxi dxi dt
1 ⇒  . (A.2.38)
dt dτ dτ
The geodesic equation then becomes
2
d2 X µ

dt
≈ −Γµ00 . (A.2.39)
dτ 2 dτ

The relevant component of the Christoffel symbol is

1 µγ
Γµ00 = g (∂0 g0γ + ∂0 g0γ − ∂γ g00 ) . (A.2.40)
2
All time derivatives vanish since the metric (A.1.17) is static. Hence, we find

Γµ00 = −g µj ∂j Φ . (A.2.41)

Since the metric is diagonal, g 0j = 0, we get Γ000 = 0. The µ = 0 component of (A.2.39) therefore
becomes
d2 t dt
=0 ⇒ = const. (A.2.42)
dτ 2 dτ
The µ = i component of (A.2.39) then reads
2 2
d2 xi
 
dt dt
≈ −Γi00 = −∂ i Φ + O(Φ2 ) . (A.2.43)
dτ 2 dτ dτ

Dividing by (dt/dτ )2 and using dt/dτ = const., we find

d2 xi
≈ −∂ i Φ , (A.2.44)
dt2
which is Newton’s law if we identify Φ with the gravitational potential. Newtonian gravity has
therefore been expressed geometrically as geodesic motion in the curved spacetime (A.1.17).

The geodesic equation (A.2.29) can be written in a more elegant form. First, recall that
dX µ /dτ is the four-velocity U µ of the particle, so that (A.2.29) reads
dU µ
+ Γµαβ U α U β = 0 . (A.2.45)
dτ

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123 A. Elements of General Relativity

Using
dU µ dX α dU µ
= = U α ∂α U µ , (A.2.46)
dτ dτ dX α
we get  
U α ∂α U µ + Γµαβ U β ≡ U α ∇α U µ , (A.2.47)
where we have introduced the covariant derivative of the four-vector, ∇α . The geodesic equation
therefore takes the following form
U α ∇α U µ = 0 . (A.2.48)
In a proper GR course, you would derive this form of the geodesic equation from the concept of
“parallel transport”. Finally, note that in terms of the four-momentum P µ = mU µ the geodesic
equation (A.2.48) becomes
 
P α ∇α P µ = 0 or P α ∂α P µ + Γµαβ P β = 0 . (A.2.49)

This form of the geodesic equation is particularly convenient since it also applies to massless
particles.

A.2.2 Null Geodesics

For massless particles, we can’t parameterize the geodesic in terms of proper time since dτ = 0
for null separated points. Instead, it is conventional to define
dX µ
≡ Pµ , (A.2.50)
dτ
where P µ = (E, pi ) is the four-momentum of the particle. With this definition, the geodesic
equation (A.2.49) holds even for massless particles.

Redshift.—Let us apply the geodesic equation to massless particles, e.g. photons, in an expanding
universe described by the FRW metric (A.1.23). To study the evolution of the energy of the particles,
we consider the µ = 0 component of (A.2.49). Since E is independent of x (due to the homogeneity
of space), we have
dE
E = −Γ0ij pi pj = −ȧaδij pi pj , (A.2.51)
dt
where we have used that only the spatial components of Γ0αβ are non-zero, namely Γ0ij = ȧaδij . For
a massless particle, we have
0 = gµν P µ P ν = E 2 − a2 δij pi pj . (A.2.52)
Equation (A.2.51) can therefore be written as

1 dE ȧ
=− . (A.2.53)
E dt a
This equation has the following solution
1
E∝ . (A.2.54)
a
Hence, the energy of a massless particle decreases as the universe expands. This effect is responsible
for the redshifting of light, λ ∝ a.

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124 A. Elements of General Relativity

A.3 Einstein Equation

So far, we have described how test particles move in arbitrary curved spacetimes. Next, we want
to discuss how the curvature of spacetime is determined by the local matter distribution. We
are in search of the following relationship:
! !
a measure of local a measure of local
= . (A.3.55)
spacetime curvature stress-energy density

We will start on the left-hand side.

A.3.1 Curvature
It is important to realise that the motion of a single test particle tells us nothing about spacetime
curvature. In a frame falling freely with the particle, the test particle remains at rest. Its motion
is therefore indistinguishable from that of a test particle in flat spacetime. One test particle is
not enough to detect curvature; the motion of at least two particles is needed. In the presence
of spacetime curvature the separation between the two particles will change in time.

Tidal Forces

Consider two particles with positions x(t) and x(t) + b(t). Let us first analyse the evolution
of these particles in Newtonian gravity. In the presence of a gravitational potential Φ(x), the
separation between the particles satisfies

d2 bi
 2 
ij ∂ Φ
≈ −δ bk . (A.3.56)
dt2 ∂xj ∂xk

Equation (A.3.56) holds as long as the separation b is small relative to the scale of variation of
the potential Φ(x).

Derivation.—In an inertial frame, the equation of motion for the position x(t) of a particle moving
in a gravitational potential Φ(x) is

d2 xi ∂Φ(xk )
2
= −δ ij . (A.3.57)
dt ∂xj
The equation of motion of the second particle is

d2 (xi + bi ) ∂
= −δ ij j Φ(xk + bk ) . (A.3.58)
dt2 ∂x
If the particles are close to each other, we can Taylor expand on the right-hand side,

∂Φ(xk + bk ) ∂Φ(xk ) ∂Φ(xi ) k

 
∂
= + b + ··· . (A.3.59)
∂xj ∂xj ∂xk ∂xj

Subtracting (A.3.57) from (A.3.58), we get (A.3.56).

We notice the important role in (A.3.56) played by the tidal (acceleration) tensor

∂2Φ
. (A.3.60)
∂xi ∂xj

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125 A. Elements of General Relativity

It determines the forces that pull nearby particles apart or bring them closer together. The
trace of the tidal tensor appears in the Poisson equation,
 2 
2 ij ∂ Φ
∇ Φ=δ = 4πGρ . (A.3.61)
∂xi ∂xj

We would like to generalise this equation to GR.

Geodesic Deviation

Let us first find the equivalent of (A.3.56) in GR. The algebra will be a bit more involved. Try
not to get scared, the physics is the same as in the Newtonian example. The analog of the tidal
tensor will give us a local measure of spacetime curvature.
We consider two particles separated by a four-vector B µ . We wish to determine how B µ
evolves with respect to the proper time τ of an observer comoving with one of the particles. If
the observer is freely falling, i.e. its four-velocity is U µ = (1, 0, 0, 0), then the geodesic equation
implies
d2 B µ
= −Rµ 0α0 B α , (A.3.62)
dτ 2
where Rµ 0β0 are components of the Riemann tensor

Rα βγδ = ∂γ Γαβδ − ∂δ Γαβγ + Γαγ Γβδ − Γαδ Γβγ . (A.3.63)

Derivation.—Let X µ (τ ) and X µ (τ ) + B µ (τ ) be two nearby geodesics. To find the evolution of the

separation vector B µ , it is necessary to compute its second derivative with respect to the observer’s
proper τ . This is a bit non-trivial. Instead of ordinary derivatives with respect to τ , we need to
consider covariant derivatives along the geodesics. For example, the derivative of B µ (X) evaluated
on the observer’s worldline X µ (τ ) is

DB µ dX β
≡ U β ∇β B µ = ∇β B µ
Dτ dτ
dB µ
= + Γµβγ U β B γ . (A.3.64)
dτ
Similarly, the second derivative along the geodesic is

D2 B µ
≡ U α ∇α (U β ∇β B µ )
Dτ 2
d dB µ
   δ 
µ β γ µ α dB δ β γ
= + Γβγ U B + Γαδ U + Γβγ U B . (A.3.65)
dτ dτ dτ

To manipulate the complex expression in (A.3.65), we use

d2 B µ µ α dB
β
= −2Γ αβ U − ∂γ Γµαβ B γ U α U β + O(B 2 ) , (A.3.66)
dτ 2 dτ
dU µ
= −Γµαβ U α U β , (A.3.67)
dτ
dΓµαβ
= U γ ∂γ Γµαβ , (A.3.68)
dτ

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126 A. Elements of General Relativity

where (A.3.66) follows from subtracting the geodesic equations of the two particles and expanding
the right-hand side to first order in B µ . Notice that all time derivatives of B µ cancel in (A.3.65). If
you keep your head straight, you will then find

D2 B µ
= −Rµ βγδ U β U δ B γ , (A.3.69)
Dτ 2
with Rα βγδ as defined in (A.3.63). Equation (A.3.69) is called the geodesic deviation equation. For
a freely falling observer, U µ = (1, 0, 0, 0), it reduces to (A.3.62).

We see that the Riemann tensor plays the role of the tidal tensor. In fact, for the metric
(A.1.17), we have
∂Γi00 2
ik ∂ Φ
Ri 0j0 = = δ . (A.3.70)
∂xj ∂xk ∂xj
Hence, we recover the Newtonian limit (A.3.59). The “trace” of the Riemann tensor defines the
Ricci tensor:
Rµν ≡ g αβ Rαµβν = ∂α Γαµν − ∂ν Γαµα + Γααβ Γβµν − Γανβ Γβµα . (A.3.71)
The relativistic generalisation of ∇2 Φ = 0 is the Einstein equation in vacuum,

Rµν = 0 . (A.3.72)

Next, we will show how this equation needs to be extended to take into account how the curvature
of spacetime is sourced by the energy and momentum of matter.

A.3.2 Energy-Momentum
In relativity, the energy and momentum densities of a continuous distribution of matter are
components of the energy-momentum tensor:
! !
T00 T0i energy density energy flux
Tµν = = . (A.3.73)
Ti0 Tij momentum density stress tensor

This is a natural object to appear on the right-hand side of the Einstein equation. An important
property of the energy-momentum tensor is that it is locally conserved, in the sense that

∇µ Tµν = 0 . (A.3.74)

The conservation of the energy and momentum densities correspond to the ν = 0 and ν = i
components, respectively. To work with (A.3.74), we need to unpack the meaning of the covariant
derivative, which we will do in the following insert.

Covariant derivative.—So far, we have only encountered the covariant derivative of a contravariant
vector (i.e. a four-vector with upper index):

∇µ Aν = ∂µ Aν + Γνµα Aα . (A.3.75)

In this insert, we will derive the action of the covariant derivative on general tensors:

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127 A. Elements of General Relativity

• First, we note that there is no difference between the covariant derivative and the partial
derivative if it acts on a scalar
∇µ f = ∂µ f . (A.3.76)

• To determine how the covariant derivative acts on a covariant vector, Bν , let us consider how
it acts on the scalar f ≡ Bν Aν . Using (A.3.76), we can write this as

∇µ (Bν Aν ) = ∂µ (Bν Aν )
= (∂µ Bν )Aν + Bν (∂µ Aν ) . (A.3.77)

Alternatively, we can also write

∇µ (Bν Aν ) = (∇µ Bν )Aν + Bν (∇µ Aν )

= (∇µ Bν )Aν + Bν (∂µ Aν + Γνµα Aα ) , (A.3.78)

where we have used (A.3.75) in the second equality. Comparing (A.3.77) and (A.3.78), we get

(∇µ Bν )Aν + Bν Γνµα Aα = (∂µ Bν )Aν . (A.3.79)

Writing Bν Γνµα Aα as Bα Γα ν
µν A , this gives

(∇µ Bν )Aν = ∂µ Bν − Γα

ν
µν Bα A . (A.3.80)

Since the vector Aν is arbitrary, the factors multiplying it on each side must be equal, so we
get
∇µ Bν = ∂µ Bν − Γα µν Bα . (A.3.81)

Notice the change of the sign of the second term relative to (A.3.75) and the placement of the
dummy index.
• The covariant derivative of the mixed tensor T µ ν , can be derived similarly by considering
f ≡ T µ ν Aν Bµ . This gives

∇σ T µ ν = ∂σ T µ ν + Γµσα T α ν − Γα µ
σν T α . (A.3.82)

Writing out the covariant derivative in (A.3.74), we therefore find

0 = ∇µ Tµν = ∇µ T µ ν
= ∂µ T µ ν + Γµµα T α ν − Γα µ
µν T α . (A.3.83)

Perfect fluid.—In cosmology, the coarse-grained energy-momentum tensor takes the form of a perfect
fluid:
Tµν = (ρ + P ) Uµ Uν − P gµν , (A.3.84)
where U µ is the four-velocity of the fluid, and ρ and P are its energy density and the pressure as
measured by a comoving observer (i.e. an observer with four-velocity U µ ). The energy-momentum
tensor measured by a free-falling observer takes the following simple form

Tµν = diag(ρ, +a2 P, +a2 P, +a2 P ) , (A.3.85)

µ µα
T ν ≡g Tαν = diag(ρ, −P, −P, −P ) . (A.3.86)

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128 A. Elements of General Relativity

Using the FRW metric (A.1.23), the ν = 0 component of (A.3.83) then leads to

dρ ȧ
= −3 (ρ + P ) . (A.3.87)
dt a
This equation determines how the energy densities of the different matter components that fill the
universe evolve with time.

A.3.3 Einstein Equation

Einstein’s first guess for the field equation of GR was
?
Rµν = κTµν , (A.3.88)

where κ is a constant. However, this doesn’t work because, in general, we can have ∇µ Rµν 6= 0,
which wouldn’t be consistent with ∇µ Tµν = 0. When we add matter, the Ricci tensor Rµν isn’t
the only measure of curvature. An alternative curvature tensor, made from Rµν and gµν , is

Gµν ≡ Rµν + λgµν R , (A.3.89)

where R = Rµ µ = g µν Rµν is the Ricci scalar, and λ is a constant that still needs to be determined.
To use Gµν in a field equation of the form Gµν = κTµν , we require ∇µ Gµν = 0. This Bianchi
identity is satisfied iff λ = − 21 . The combination in (A.3.89) is then called the Einstein tensor.
The constant of proportionality between Gµν and Tµν is fixed by matching to the Newtonian
limit (A.3.61). This gives κ = 8πG and hence the final form of the Einstein equation is
1
Gµν = 8πG Tµν or Rµν − gµν R = 8πG Tµν . (A.3.90)
2
Note that if Tµν = 0, then 0 = g µν Gµν = −R, and the Einstein equation reduces to the vacuum
form (A.3.72).

Newtonian limit.—The exotic appearance of the Einstein equation should not obscure the fact that
it is a natural extension of Newtonian gravity. To illustrate this, consider the metric (A.1.17). At
linear order in Φ, the Ricci tensor is

R00 = ∇2 Φ , R0i = 0 , Rij = ∇2 Φ δij . (A.3.91)

and the Ricci scalar is

R = −2∇2 Φ . (A.3.92)
The 00-component of the Einstein equation
1
G00 = R00 − g00 R = 2∇2 Φ
2
= 8πG T00 = 8πG ρ , (A.3.93)

therefore equals the Poisson equation

∇2 Φ = 4πG ρ . (A.3.94)

This confirms that the Einstein equation includes Newtonian gravity in the appropriate limit.

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129 A. Elements of General Relativity

Friedmann equation.—The Ricci tensor associated with the metric (A.1.23) is

ä
R00 = −3 , R0i = 0 , Rij = (2ȧ2 + äa)δij . (A.3.95)
a
and the Ricci scalar is "  2 #
ä ȧ
R = −6 + . (A.3.96)
a a
The 00-component of the Einstein equation therefore is
 2
1 ȧ
G00 = R00 − g00 R = 3 (A.3.97)
2 a
= 8πG T00 = 8πG ρ . (A.3.98)

Defining the Hubble parameter, H ≡ ∂t ln a, this becomes the Friedmann equation

8πG
H2 = ρ. (A.3.99)
3
This is the key evolution equation in cosmology.

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Part III

Problems and Solutions

130

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B Problem Sets

B.1 Problem Set 1: Geometry and Dynamics

1. De Sitter Space
(a) Show in the context of expanding FRW models that if the combination ρ + 3P is always
positive, then there was a Big Bang singularity in the past. [A sketch of a(t) vs. t may be
helpful.]

(b) Show that the line element for a positively curved FRW model (k = +1) with only vacuum
energy (P = −ρ) is

ds2 = dt2 − `2 cosh2 (t/`) dχ2 + sin2 χ dΩ2 .

 

Does this model have an initial Big Bang singularity?

2. Friedmann Equation
Consider a universe with pressureless matter, a cosmological constant and spatial curvature.

(a) Show that the Friedmann equation can be written as the equation of motion of a particle
moving in one dimension with total energy zero and potential
4πG ρm,0 k Λ 2
V (a) = − + − a ,
3 a 2 6
where Λ ≡ 8πGρΛ = const, ρm,0 ≡ ρm (t0 ) and a0 ≡ a(t0 ) ≡ 1. Sketch V (a) for the
following cases: i) k = 0, Λ < 0, ii) k 6= 0, Λ = 0, and iii) k = 0, Λ > 0. Assuming
that the universe “starts” with da/dt > 0 near a = 0, describe the evolution in each case.
Where applicable determine the maximal value of the scale factor.

(b) Now consider the case k > 0, Λ = 0. Show that the normalization of the scale factor,
a0 ≡ 1, implies k = H02 (Ωm,0 − 1). Rewrite the Friedmann equation in conformal time and
confirm that the following is a solution
Ωm,0 h √ i
a(η) = 1 − cos( kη) .
2(Ωm,0 − 1)
Integrate this result to obtain
Ωm,0 h√ √ i
t(η) = H0−1 kη − sin( kη) .
2(Ωm,0 − 1)3/2

Show that the universe collapses to a ‘Big Crunch’ at tBC = πH0−1 Ωm,0 (Ωm,0 − 1)−3/2 .
How many times can a photon circle this universe before tBC ?

131

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132 B. Problem Sets

3. Flatness Problem
Consider an FRW model dominated by a perfect fluid with pressure P = wρ, for w = const.
Let the time-dependent density parameter be
ρ(t)
Ω(t) ≡ ,
ρcrit (t)

where ρcrit (t) ≡ 3H 2 /8πG. Show that

dΩ
= (1 + 3w)Ω(Ω − 1) .
d ln a
Discuss the evolution of Ω(a) for different values of w.

4. Einstein’s Biggest Blunder

(a) Consider a universe filled with a perfect fluid with ρ > 0 and P ≥ 0. Show there is no
static isotropic homogeneous solution to Einstein’s equations.

(b) Now, consider a universe filled with pressureless matter (Pm = 0) and allow for a cos-
mological constant Λ in the Einstein equation, Gµν − Λgµν = 8πG Tµν . Show that it is
possible to obtain a static solution if

Λ = 4πGρm,0 .

However, show that this solution is unstable to small perturbations δρm  ρm .

5. Accelerating Universe
Consider flat FRW models (k = 0) with pressureless matter (Pm = 0) and a non-zero cosmolog-
ical constant Λ 6= 0, that is, with Ωm,0 + ΩΛ,0 = 1.

(a) Show that the normalised solution (a0 ≡ 1) for Ωm,0 6= 0 can be written as
 1/3 
Ωm,0 h i2/3
a(t) = sinh 3
2 H0 (1 − Ωm,0 )1/2 t .
1 − Ωm,0

Verify that a(t) has the expected limits at early times, H0 t  1, and at late times, H0 t  1.
Hence show that the age of the universe t0 in these models is
h i
t0 = 32 H0−1 (1 − Ωm,0 )−1/2 sinh−1 (1/Ωm,0 − 1)1/2 ,

and roughly sketch this as a function of Ωm,0 .

(b) Show that the energy density of the universe becomes dominated by the cosmological
constant term at the following redshift
 1/3
1 − Ωm,0
1 + zΛ = ,
Ωm,0
1
but that it begins accelerating earlier at 1 + za = 2 3 (1 + zΛ ).

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133 B. Problem Sets

B.2 Problem Set 2: Inflation and Thermal History

1. Scalar Field Dynamics

The Lagrangian for a scalar field in a curved spacetime is
√
 
1
L = −g g µν ∂µ φ∂ν φ − V (φ) ,
2
where g ≡ det(gµν ) is the determinant of the metric tensor.

(a) Evaluate the Lagrangian for a homogeneous field φ = φ(t) in a flat FRW spacetime. From
the Euler-Lagrange equation determine the equation of motion for the scalar field.

(b) Near the minimum of the inflaton potential, we can write V (φ) = 21 m2 φ2 + · · · . Making
the ansatz φ(t) = a−3/2 (t)χ(t), show that the equation of motion becomes
 
2 3 9 2
χ̈ + m − Ḣ − H χ = 0 .
2 4
Assuming that m2  H 2 ∼ Ḣ, find φ(t). [Express you answer in terms of the maximum
amplitude of the oscillations.] What does this result imply for the evolution of the energy
density during the oscillating phase after inflation?

2. Slow-Roll Inflation
The equations of motion of the homogeneous part of the inflaton are
2 1
φ̈ + 3H φ̇ + V,φ = 0 , 3Mpl H 2 = φ̇ 2 + V .
2
(a) For the potential V (φ) = 12 m2 φ2 , use the slow-roll approximation to obtain the inflationary
solutions r " #
2 φ2S − φ2 (t)
φ(t) = φS − mMpl t , a(t) = aS exp 2 ,
3 4Mpl
where φS > 0 is the field value at the start of inflation (tS ≡ 0).

(b) What is the value of φ when inflation ends? Find an expression for the number of e-folds.
4 , estimate the total number of e-folds of inflation.
If V (φS ) ∼ Mpl

3. Chemical Potential for Electrons

(a) Show that the difference between the number densities of electrons and positrons in the
relativistic limit (me  T ) is
gT 3 2  µe   µe 3
 
ne − n̄e ≈ π + ,
6π 2 T T
where µe is the chemical potential.
Hint: You may use that
∞
π2
Z
y
dy = .
0 ey + 1 12
(b) The electrical neutrality of the universe implies that the number of protons np is equal to
ne − n̄e . Use this to estimate µe /T .

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134 B. Problem Sets

4. Massive Neutrinos
Assume that one neutrino species has a non-zero mass mν which is much smaller than the
neutrino decoupling temperature Tdec ∼ 1 MeV, so that they are relativistic when they decouple.
Compute the temperature of the neutrinos relative to the cosmic microwave photons and hence
estimate their number density. Show that the density that these neutrinos contribute in the
universe is
mν
Ω ν h2 ≈ .
94 eV

5. Relic Baryon Density

Consider massive particles and antiparticles with mass m and number densities n(m, t) and
n̄(m, t). If they interact with cross section σ at velocity v, explain why the evolution of n(m, t)
is described by
∂n ȧ
= −3 n − nn̄hσvi + P (t) ,
∂t a
and identify the physical significance of each of the terms appearing in this equation.

(a) By considering the evolution of the antiparticles, show that

(n − n̄)a3 = const.

(b) Assuming initial particle-antiparticle symmetry, show that

1 d(na3 ) h
2 2
i
= −hσvi n − n eq ,
a3 dt
where neq denotes the equilibrium number density.

(c) Define Y ≡ n/T 3 and x ≡ m/T , and show that

dY λh i
= − 2 Y 2 − Yeq
2
,
dx x
where λ ≡ m3 hσvi/H(T = m). If λ is constant, show that at late times Y approaches a
value given by
xf
Y∞ = ,
λ
where xf is the freeze-out time. Explain the dependence of Y∞ on hσvi and sketch the
schematic evolution of Y versus x for both a strongly and a weakly interacting population
of annihilating particles and antiparticles. If there was a speed-up in the expansion rate of
the universe caused by the addition of extra low-mass neutrino species what would happen
to the abundance of surviving massive particles and why?

Now apply this to proton-antiproton annihilation. You may use that hσvi ≈ 100 GeV−2 .
(d) Show that Tf ≈ 20 MeV.

(e) Show that

n n̄
= = 10−19 .
nγ nγ
How does this compare with observational data? What do you conclude about the abun-
dances of protons and antiprotons in the early universe?

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135 B. Problem Sets

B.3 Problem Set 3: Structure Formation

1. Evolution of Metric Perturbations

In the absence of anisotropic stress, the gravitational potential satisfies

Φ 00 + 3HΦ 0 + (2H 0 + H2 )Φ = 4πGa2 δP , (?)

where δP is the total pressure perturbation.

(a) Discuss the solution of (?) during both the radiation-dominated and matter-dominated
eras. Describe the evolution on super-Hubble scales, k  H, and on sub-Hubble scales,
k  H.

(b) In the lectures, we introduced the comoving curvature perturbation

H
R = −Φ + δq , with δT 0 j ≡ −∂j δq ,
ρ̄ + P̄
and proved that it doesn’t evolve on superhorizon scales. Use the conservation of R to
show that the gravitational potential decreases by a factor of 9/10 on superhorizon scales
in the transition from radiation-dominated to matter-dominated.

2. Growth of Matter Perturbations

At early times, the universe was dominated by radiation (r) and pressureless matter (m). You
may ignore baryons.

(a) Show that the conformal Hubble parameter satisfies

H02 Ω2m 1
 
2 1
H = + ,
Ωr y y2
where y ≡ a/aeq is the ratio of the scale factor to its value when the energy density of the
matter and radiation are equal.

(b) For perturbations on scales much smaller than the Hubble radius, the fluctuations in the
radiation can be neglected. Assuming that Φ evolves on a Hubble timescale, show that
00 0
δm + Hδm − 4πGa2 ρ̄m δm ≈ 0 . (?)

[You may use any equations given in the lectures without proof.]

(c) Show that, in terms of the variable y, eq. (?) becomes

d2 δm 2 + 3y dδm 3
2
+ − δm = 0 .
dy 2y(1 + y) dy 2y(1 + y)
Hence verify that the solutions are

 2 + 3y


δm ∝ √ 
1+y+1 p
 (2 + 3y) ln √ −6 1+y


1+y−1
Determine how δm grows with y for y  1 (RD) and y  1 (MD).

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136 B. Problem Sets

3. Cosmological Gravitational Waves

The line element of a FRW metric with tensor (gravitational wave) perturbations is
h i
2 2 2 i j
ds = a (η) dη − (δij + 2hij )dx dx ,

where hij is symmetric, trace-free and transverse. To linear order in hij , the non-zero connection
coefficients are

Γ000 = H ,
Γ0ij = Hδij + 2Hhij + h0ij ,
Γij0 = Hδji + δ il h0lj ,
Γijk = ∂j hi k + ∂k hi j − δ il ∂l hjk .

(a) Show that the perturbation to the Einstein tensor has non-zero components

δGij = hij00 − ∇2 hij + 2Hhij0 − 2hij (2H 0 + H2 ) .

[Hint: Convince yourself that the Ricci scalar has no tensor perturbations at first order.]

(b) Combine the previous result with the perturbation to the stress tensor, δTij = 2a2 P̄ hij −
a2 Πij , to show that the perturbed Einstein equation reduces to

hij00 + 2Hhij0 − ∇2 hij = −8πGa2 Πij .

(c) For the case where ∇2 hij = −k 2 hij (i.e. a Fourier mode of the metric perturbation), and
assuming the anisotropic stress can be ignored, show that

kη cos(kη) − sin(kη)
hij ∝
(kη)3

is a solution for a matter-dominated universe (a ∝ η 2 ).

(d) Show that the solution tends to a constant for kη  1 and argue that such a constant
solution always exists for super-Hubble gravitational waves irrespective of the equation
of state of the matter. For the specifc solution above, show that well inside the Hubble
radius it oscillates at (comoving) frequency k and with an amplitude that falls as 1/a. (This
behaviour is also general and follows from a WKB solution of the Einstein equation.)

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137 B. Problem Sets

B.4 Problem Set 4: Quantum Initial Conditions

1. Slow-Roll Inflation
(a) Consider slow-roll inflation with a polynomial potential V (φ) = µ4−p φp , where p > 0 and µ
is a parameter with the dimension of mass. Show that the spectral index ns and the tensor-
to-scalar ratio r, evaluated at a reference scale k∗ corresponding to CMB fluctuations, are
2+p 4p
ns − 1 = − , r= ,
2N∗ N∗
where N∗ ≈ 50 is the number of e-folds between the horizon exit of k∗ and the end of
inflation. Which values of p are still consistent with current observations?

(b) Axions are promising inflaton candidates. At the perturbative level, an axion enjoys a
continuous shift symmetry, but this is broken nonperturbatively to a discrete symmetry,
leading to a potential of the form V (φ) = µ4 [1 − cos(φ/f )], where f is the axion decay
constant. Using this as the inflationary potential, show that

eN∗ α + 1 1
ns − 1 = −α , r = 8α ,
eN∗ α − 1 eN∗ α − 1
2 /f 2 . Sketch this prediction in the n -r plane. Discuss the limit α  1.
where α ≡ Mpl s

2. The Lyth Bound

(a) Show that the tensor-to-scalar ratio predicted by slow-roll inflation is

At 8 φ̇2
r≡ = 2 2.
As Mpl H

(b) Show that the inflaton field travels a “distance” ∆φ ≡ |φE − φ∗ | during (observable)
inflation
r
∆φ ∆N r
= ,
Mpl 60 0.002

where ∆N is the total number of e-folds between the time when the CMB scales exited
the horizon and the end of inflation. [You may assume that ε ≈ const. during inflation]
Comment on the implication of this result for observable gravitational waves. [Realistically,
we require r > 0.001 to have a fighting chance of detecting gravitational waves via CMB
polarisation.]

(c) Derive the following relationship between the energy scale of inflation, V 1/4 , and the
tensor-to-scalar ratio,
 2 1/4
1/4 3π
V = rAs Mpl .
2
Use As = 2.1 × 10−9 to determine V 1/4 for r = 0.01. How does that compare to the energy
scales probed by the LHC?

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