This action might not be possible to undo. Are you sure you want to continue?

BooksAudiobooksComicsSheet Music### Categories

### Categories

### Categories

Editors' Picks Books

Hand-picked favorites from

our editors

our editors

Editors' Picks Audiobooks

Hand-picked favorites from

our editors

our editors

Editors' Picks Comics

Hand-picked favorites from

our editors

our editors

Editors' Picks Sheet Music

Hand-picked favorites from

our editors

our editors

Top Books

What's trending, bestsellers,

award-winners & more

award-winners & more

Top Audiobooks

What's trending, bestsellers,

award-winners & more

award-winners & more

Top Comics

What's trending, bestsellers,

award-winners & more

award-winners & more

Top Sheet Music

What's trending, bestsellers,

award-winners & more

award-winners & more

Welcome to Scribd! Start your free trial and access books, documents and more.Find out more

Armen Sedrakian

Institute for Theoretical Physics,

Frankfurt University,

D-60438, Frankfurt am Main, Germany

February 9, 2011

2

Chapter 1

Expanding Universe

Cosmology studies the large-scale nature of the material world around us by methods of natural sciences

(i.e., astronomy, physics, mathematics, etc). We can say cosmology studies the universe itself.

We need to realize that the human race occupies a small fraction of the time and space of the

universe. Therefore, we are able to obtain information only on the part of the universe. Obviously, to

describe the entire universe, with all its parts that are not accessible to us, we need hypothesis which

will allow us to extrapolate from what we know about our “space-time” to the entire universe. We will

start with the review of the empirical data that is available on the universe.

1.1 Hubble law

The most important feature of our universe is that, in a ﬁrst approximation, the universe is homogeneous

and isotropic. This statement is known as the cosmological principle. It implies that observations made

on the Earth can be, in fact, used to test cosmological models. We observe about 3000 Mpc of the

Universe. The units of length that we will use are related to each other by

1 Mpc = 3.26 10

6

light years ≃ 3.08 10

24

cm.

Observations of this segment of our universe suggest that the cosmological principle is true when av-

eraging is carried out over the scales in the range 100 ≤ l ≤ 3000 Mpc. On smaller scales there exist

large inhomogeneities - galaxies, clusters of galaxies, and superclusters of galaxies. Within a galaxy the

matter is distributed very inhomogeneously, as is evident from observations of stars, planets, and other

objects in our galaxy.

The next most important feature of our universe is that it expands. This expansion is according

to the Hubble law. Let us state this law in the Newtonian theory. Suppose an observer is at rest at

the origin of the system of coordinates K. According to Hubble’s law the velocity of any point B with

respect to the observer is given by

v

B

= H(t)r

B

, (1.1)

where r

B

is the radius vector of the point B and the parameter H(t) is called the Hubble parameter;

sometimes it is called Hubble constant to stress that it is independent of the spatial coordinates; note,

however, that it is time-dependent. If we take another point in the same system of coordinates, say

C, then v

C

= H(t)r

C

. Consider now a second system of coordinates K

′

which moves with respect to

the ﬁrst one with the velocity v

B

(i.e. in which the particle B is at rest). According to the Galilean

transformations

v

C

= v

′

C

+v

B

(1.2)

3

4 CHAPTER 1. EXPANDING UNIVERSE

where the prime indicates that the quantity is measured in the reference frame K

′

. Then we ﬁnd

v

′

C

= v

C

−v

B

= H(t)(r

C

−r

B

) = H(t)r

′

C

. (1.3)

Thus, we see that the expansion law is independent of the reference frame, i.e., from both reference

frames we see the same expansion according to the Hubble law. A useful way to envision the Hubble

Figure 1.1: Galaxy distribution in the nearby universe (ﬁgure from Harvard Smithsonian Center for

Astrophysics Redshift survey). Each point is a galaxy. The three dimensional volume which is 900

millions light years deep is split into 3 slices. Each slice covers a region 300 300 Mpc.

expansion is the two-dimensional surface of a sphere. Suppose we have a sphere, whose radius a(t) is

increasing with time. The angle between two ﬁxed points A and B on the sphere, which we denote as

θ

AB

, remains obviously constant. The distance between the two points on the sphere is given by

r

AB

(t) = a(t)θ

AB

. (1.4)

The relative velocity at which the points A and B move is then given by

v

AB

= ˙ r

AB

(t) = ˙ a(t)θ

AB

. (1.5)

Eliminating the angle from the last equation using (1.4) we obtain

v

AB

(t) =

˙ a(t)

a(t)

r

AB

(t) = H(t)r

AB

(t). (1.6)

We see that the Hubble law emerges naturally upon identiﬁcation H = ˙ a/a.

1.2. DYNAMICS OF DUST IN NEWTONIAN COSMOLOGY 5

Let us go back to the Hubble law in the general 3d case. We see that

v = H(t)r,

˙

r = H(t)r,

dr

r

= H(t)dt, ln r =

_

H(t)dt + C, (1.7)

where C is the integration constant. Thus we obtain

r = exp

__

H(t)dt

_

e

C

= a(t)χ (1.8)

where a(t) is called scale factor (which is the analogue of the radius of the 2d sphere in the example

above) and χ = e

C

is the integration constant which is ﬁxed by the distance between two points at any

given time. It is called the Lagrangian coordinate (or comoving coordinate of point B in the reference

frame ﬁxed with A).

We want to stress that the Hubble law is valid over the scales where the universe is homogeneous.

On smaller scales the motion is dominated by the inhomogeneities in the gravitational ﬁeld; for example

the local motion can have orbital nature. The velocity of an object relative to the comoving coordinates

are called peculiar velocity.

How the Hubble constant can be measured? If the peculiar velocities of two objects are small, we

can measure the recession velocity via Doppler shift in spectral lines. If we have also a reliable measure

of the distance we can then measure the Hubble constant (more precisely its current value) via the

Hubble law Eq. (1.1). There are two methods that allow for accurate measurements of the distances

in the space and hence the Hubble constant; these are based on the so called standard candles and

standard rulers.

Standard candles are astrophysical objects which all have about the same luminosity. There are

two prominent examples: (1) the Cepheid variable stars, which pulse at periodic rate; (2) Type-IA

supernovae, which are bright, exploding stars, which show characteristic spectral pattern. Type-IA are

better standard candles because they can be observed to much greater distances than Cepheids.

Furthermore, the distance to nearby objects are measured directly by parallax. The inverse square

law related the apparent luminosity of distant objects to that of nearby one whose distance is known.

The method based on standard rulers is the same but one identiﬁes a class of objects with the same

size instead of luminosity.

The current value of the Hubble constant is H ∼ 65 − 80 km s

−1

Mpc

−1

. With this value we

can estimate the age of the Universe if we neglect the eﬀects of gravity and assume that the velocity

remains constant over time. Then, if two points are separated by r today, they were coincident at

t

0

= [r[/v = 1/H(t) ∼ 1/H time ago, which gives t

0

∼ 1.5 10

10

yr.

1.2 Dynamics of dust in Newtonian cosmology

Consider inﬁnite, expanding, homogeneous and isotropic universe. We shall assume that the universe

is ﬁlled with “dust”, which means that its pressure p ≪ ǫ, where ǫ is the energy density. Our initial

study will be based on Newtonian dynamics, i.e., all the velocities are assumed to be non-relativistic.

Consider a sphere within such universe. Its radius changes in time (expands) according to

R(t) = a(t)χ

com

, (1.9)

where a(t) is the scale factor, χ

com

is the comoving coordinate. The total mass within the sphere is

conserved M = const (i.e., is independent of time). Thus we can write

ǫ(t) =

M

(4π/3)R

3

(t)

=

M

(4π/3)a

3

(t)χ

3

com

=

M

(4π/3)a

3

0

(t)χ

3

com

_

a

3

0

(t)

a

3

(t)

_

= ǫ

0

_

a

3

0

(t)

a

3

(t)

_

, (1.10)

6 CHAPTER 1. EXPANDING UNIVERSE

where ǫ

0

is obviously the energy density at t = 0 and we used short-hand notation a(0) = a

0

. Now we

take the time derivative of Eq. (1.10)

˙ ǫ(t) = −3ǫ

0

a(t)

−4

˙ a(t) = −3ǫ

0

_

a

0

a

_

3

˙ a

a

= −3ǫ(t)

˙ a

a

= −3ǫ(t)H(t), (1.11)

i.e.,

˙ ǫ(t) + 3ǫ(t)H(t) = 0. (1.12)

We can compare the last relation with the energy conservation, which quite generally can be written in

the following form

dǫ

dt

=

∂ǫ

∂t

+

∇(ǫv) = 0. (1.13)

We note that ǫ(r, t) = ǫ(t) and that the velocity is given by the Hubble law (1.2). Then the second

term in Eq. (1.13) is transformed as follows:

∇(ǫv) = ǫ

∇(v) = ǫH(t)

**∇r = 3ǫH(t), which conﬁrms that
**

Eq. (1.12) is nothing else as the conservation of the energy.

Figure 1.2:

1.2.1 Acceleration equation

Gravitational forces among masses are attractive. Therefore, matter masses are self-attractive. As a

result the expansion of matter is slowed down by gravity. Let us return to the example of the 3d sphere

from the previous section. Consider a probe of mass m on the surface of the sphere. Particles outside

the sphere have no eﬀect on the test mass; only particles inside the sphere are relevant. The equation

of motion then reads:

m

¨

R = −

GmM

R

2

= −

4π

3

Gm

M

(4π/3)R

3

. ¸¸ .

ǫ(t)

R (1.14)

Eliminating the radius in favor of the scale factor we obtain

m¨ aχ

com

= −

4π

3

Gmǫ(t)aχ

com

. (1.15)

1.2. DYNAMICS OF DUST IN NEWTONIAN COSMOLOGY 7

We see that the mass m and the comoving coordinate drop out of this equation, which in combination

with the energy conservation (1.13) determines the evolution of the system

¨ a = −

4π

3

Gǫ(t)a. (1.16)

The equations (1.13) and (1.16) completely determine the evolution of the system. These equations

exactly coincide with their counterparts in general relativity. The reason is that the analysis above

should be valid for inﬁnitesimally small spheres, in which case the velocities and masses involved are

small.

Now let us ﬁnd the solutions of these equations. To eliminate the energy density from the acceleration

equation with substitute Eq. (1.10) in Eq. (1.16)

¨ a = −

4π

3

G

_

a

0

a(t)

_

3

ǫ

0

a. (1.17)

Next we multiply the both sides of this equation by ˙ a and integrate; explicitly

˙ a¨ a = −

4π

3

Ga

3

0

ǫ

0

˙ a

a

2

,

1

2

˙ a

2

=

4π

3a

Ga

3

0

ǫ

0

. ¸¸ .

−V (a)

+E, (1.18)

where E is an integration constant. This equation is analogous to the problem which one studies during

the course of classical mechanics, namely that of the rocket launched from the Earth. This is apparent

if we rewrite Eq. (1.18) as

1

2

˙ a

2

+ V (a) = E. (1.19)

The ﬁrst term is the kinetic energy, the second term the potential energy (gravitational pull of the Earth

on the rocket). If the kinetic energy is larger than the potential energy, i.e., E > 0 the rocket leaves

the Earth, otherwise, i.e. when E < 0 the rocket falls back to Earth. In analogy the dust dominated

Universe expands forever in the case of positive E and recollapses in the case of negative E. Let us

rewrite this condition as follows

˙ a

2

+

8π

a

Ga

3

0

ǫ

0

a

= 2E,

_

˙ a

a

_

2

. ¸¸ .

H

2

−

2E

a

2

=

8πG

3

_

−

a

3

0

a

3

_

ǫ

0

. ¸¸ .

ǫ(t)

(1.20)

thus,

H

2

−

2E

a

2

=

8πG

3

ǫ(t). (1.21)

The fate of the dust dominated universe depends on the sign of E. The following cases are possible:

• E > 0, i.e., when the kinetic energy dominates, ˙ a/2 > V (a), and we have an expanding universe

• E < 0, i.e., when the potential energy dominates, ˙ a/2 < V (a), and we have an recollapsing

universe

8 CHAPTER 1. EXPANDING UNIVERSE

The limiting case E = 0 deﬁnes the critical density

ǫ

cr

=

3H

2

8πG

. (1.22)

Let us eliminate in Eq.(1.16) the Hubble constant in favor of the critical density. We obtain

8πG

3

[ǫ

cr

−ǫ(t)] =

2E

a

2

, (1.23)

or, alternatively,

E =

4πG

3

a

2

ǫ

cr

[1 −Ω(t)] . (1.24)

Here we have introduced a new quantity

Ω(t) =

ǫ(t)

ǫ

cr

, (1.25)

which is called the cosmological parameter. In general the sign of E is ﬁxed, therefore the quantity

1 −Ω(t) does not change the sign. This does not mean that the function Ω does not change with time;

indeed since the Hubble parameter is time dependent, so is the cosmological parameter.

We shall see that the sign of E determines the spatial geometry of the universe in General Relativity.

In a dust dominated universe we have the following cases:

• if Ω

0

= ǫ

0

/ǫ

cr

0

> 1 (the index 0 refers to the current value of the parameter), then E is negative

and the spatial curvature of the universe is positive. This corresponds to closed universe. During

its expansion the universe reaches some maximal value of the scale factor and then the universe

recollapses.

• if Ω

0

= ǫ

0

/ǫ

cr

0

< 1, then E is positive and the spatial curvature of the universe is negative. This

corresponds to an open universe, which expands hyperbolically.

• if Ω

0

= 1, then E = 0, which corresponds to parabolic expansion of the universe with ﬂat spatial

geometry.

These cases are illustrated in Fig. 1.4. In the cases when universe is ﬂat or open, it expands forever (the

scale factor increases forever). In the case of closed universe the scale factor eventually decreases to

zero, i.e., the universe returns to the initial singularity. It should be stressed that our example concerns

the dust dominated universe. In general the evolution of the Universe depends on its matter content,

so that, for example, we may have a Universe that is closed, but does not recollaps at asymptotically

large times.

Consider the special case of ﬂat universe, E = 0. We would like to ﬁnd an explicit solution to the

scale factor from Eq. (1.18); in that case we have

1

2

˙ a

2

+ V (a) = 0,

˙ a

2

2

−

4πGǫ

0

a

3

0

3a

= 0,

a˙ a

2

2

=

4πGǫ

0

a

3

0

3

= Const. (1.26)

The left-hand side of the last relation can be written

a˙ a

2

=

4

9

_

da

3/2

dt

_

2

= Const. ⇒ a ∝ t

2/3

. (1.27)

It follows immediately that in this case H(t) = 2/3t and that current age of the universe is t

0

= 2/3H

0

,

which diﬀers from our previous estimate on page 5 by a factor of order unity.

1.3. GEOMETRY OF HOMOGENEOUS AND ISOTROPIC SPACE 9

Figure 1.3: Dependence of the scale factor on time for open, ﬂat and closed universes.

1.3 Geometry of homogeneous and isotropic space

The evolution of our universe in time can be represented by a sequence of three-dimensional spatial

hypersurfaces, each of which by assumption are isotropic and homogeneous. Note that isotropy at every

point implies homogeneity, but homogeneity does not imply isotropy. Homogeneous matter can execute

motions that are dependent of directions (e.g. expand in one direction and contract in two others; such

motions will yield physics which is anisotropic, i.e., depends on directions).

The symmetry group of homogeneous and isotropic spaces include three independent translations

and three rotations. There are three types of such spaces (assuming that the topology of the spaces

are simple): 1) a three dimensional sphere of constant and positive curvature; 2) ﬂat space; 3) a three-

dimensional hyperbolic space of constant negative curvature.

There are two well-known examples of embeddings of 2d surfaces in the Euclidean space: ﬂat plane

and 2d sphere. These will help us to visualize the isotropic and homogeneous spaces; the extension to

higher spatial dimensions is straightforward. The metric of 3d Euclidean space is given by

dl

2

= dx

2

+ dy

2

+ dz

2

. (1.28)

The embedding of a 2d sphere in this 3d space is given by

x

2

+ y

2

+ z

2

= a

2

, (1.29)

where a is the radius of the sphere. From this last equation it follows that

dz = −

xdx +ydy

z

= ±

xdx + ydy

_

a

2

−x

2

−y

2

. (1.30)

and, therefore, the metric (1.28) can be written as

dl

2

= dx

2

+ dy

2

+

(xdx + ydy)

2

a

2

−x

2

−y

2

. (1.31)

10 CHAPTER 1. EXPANDING UNIVERSE

Figure 1.4: Illustration of the Lobachevsky space in two dimensions.

This natural result shows that the distance between two points located on the sphere can be expressed

in terms of two independent variables. Let us go over to the spherical (cylindrical) coordinates:

x = ρ cos φ, y = ρ sin φ. (1.32)

where

x

2

+ y

2

= ρ

2

, xdx + ydy = ρdρ. (1.33)

On the other hand

dx

2

+ dy

2

= dρ

2

+ρ

2

dφ

2

(1.34)

Substituting these in Eq. (1.31) we obtain for the metric

dl

2

=

_

1 +

ρ

2

a

2

−ρ

2

_

dρ

2

+ ρ

2

dφ

2

=

dρ

2

1 −ρ

2

/a

2

+ρ

2

dφ

2

. (1.35)

We can now distinguish three cases: (1) a

2

> 0, two-dimensional space with positive curvature; (2)

a →∞, which corresponds to a 2d plane, i.e., ﬂat space; (3) a

2

< 0, two-dimensional space with negative

curvature; this space is called Lobachevsky space. It cannot be embedded into the Euclidean space

because the radius of the sphere is imaginary (sometimes this space is called pseudo-sphere or hyperbolic

space). However, Lobachevsky space arises from the embedding of the surface x

2

+y

2

−z

2

= −a

2

with

a >= 0 in the space with metric dl

2

= dx

2

+ dy

2

− dz

2

(see Figure 1.5 for an illustration). One can

write the metric (1.35) in a diﬀerent form by introducing ρ = r

_

[a

2

[

dl

2

= [a

2

[

_

dr

2

1 −kr

2

+r

2

dφ

2

_

. (1.36)

where k = +1 corresponds to the sphere, k = −1 - pseudo-sphere, and k = 0 to the plane. The meaning

of [a[ is to quantify the curvature of the space; in the case of the ﬂat space it does not have any physical

meaning, i.e., when k = 0 it can be absorbed in the deﬁnition of r.

1.3. GEOMETRY OF HOMOGENEOUS AND ISOTROPIC SPACE 11

Similar to the discussion above we can go up in the number of spatial dimensions and obtain the 3d

embedding of a sphere (pseudo-sphere) in 4d Euclidean (Lorentzian) space. In that case we obtain

dl

2

= [a

2

[

_

dr

2

1 −kr

2

+r

2

(dθ

2

+ sin

2

θdφ

2

)

_

. (1.37)

where as before k = 0, ±1. Sometime we will work with the coordinate χ deﬁned via the relations

r =

_

_

_

sinh χ, k = −1

χ, k = 0

sin χ, k = +1

and

dχ

2

=

dr

2

1 −kr

2

(1.38)

Then the metric takes the simple form

dl

2

= a

2

(dχ

2

+ Φ

2

(χ)dΩ

2

), dΩ

2

= dθ

2

+ sin

2

θdφ

2

, (1.39)

and Φ(χ) = χ ∈ [0, ∞] for k = 0, Φ(χ) = sin χ ∈ [0; π] for k = 1, and Φ(χ) = sinh χ ∈ [0; ∞] for

k = −1.

Next let us consider the embedding of a 2d sphere in a three dimensional space with positive

curvature. The distance element on the sphere of ﬁxed radius χ is given by

dl

2

= a

2

sin

2

χdΩ

2

. (1.40)

This expression is mathematically identical to that for the sphere in a ﬂat space with radius R =

a

2

sin

2

χ. The surface area, which is just the integral over the solid angle, follows immediately as

S = 4πR

2

= 4πa

2

sin

2

χ. (1.41)

We see that the surface area is non-monotonic as χ ∈ [0; π]. In particular it vanishes at the end points

of this domain. (A straightforward analogy is the circumference of a circle of constant latitude on a

usual sphere. When one moves from the north pole to the equator and then to the south pole; the

magnitude of the circumference is non-monotonic.) Because the area remains always bound, we expect

that the volume of the space with positive curvature is also bound. A characteristic feature of the space

of positive curvature is that the sum of the angles of a triangle formed by geodesics (curves of minimal

length) is lager than 180 degree.

The same arguments as above applies to the space of negative curvature k = −1 with metric of the

surface of 2d pseudosphere given by

dl

2

= a

2

sinh

2

χdΩ

2

, (1.42)

which leads to the surface area

S

2d

= 4πa

2

sinh

2

χ. (1.43)

The surface area and the volume of such space is unbound. Furthermore, the sum of the angles of a

triangle formed by geodesics is smaller than 180 degree.

The volumes of these spaces can be calculated from

dV = S

2d

adχ. (1.44)

12 CHAPTER 1. EXPANDING UNIVERSE

Figure 1.5: The surface area of 2d sphere in three cases of open, ﬂat and closed universes.

1.4 Einstein’s equations

The general theory of relativity provides a consistent framework for the description of the universe ﬁlled

in with matter with arbitrary equation of state. In this section we will extend our previous discussion

of dynamics of Newtonian universe to general relativity.

We will use Einstein’s convention for summation over repeated indices:

g

αβ

dx

α

dx

β

=

αβ

g

αβ

dx

α

dx

β

. (1.45)

Greek indices will run over 0, 1, 2, 3, while the Latin indices will run over 1, 2, 3.

The dynamics of space-time continuum in General Relativity is described by the metric functions

g

αβ

(x

γ

), which obey the Einstein equations:

G

α

β

= R

α

β

−

1

2

δ

α

β

R −Λδ

α

β

= 8πGT

α

β

. (1.46)

Here R

α

β

is the Ricci tensor which can be written in terms of the metric tensor and Christoﬀel symbols

as

R

α

β

= g

αγ

_

∂Γ

δ

γβ

∂x

δ

−

∂Γ

δ

γδ

∂x

β

+ Γ

δ

γβ

Γ

σ

δσ

−Γ

σ

γδ

Γ

δ

βσ

_

, (1.47)

where g

αγ

g

γβ

= δ

α

β

and the unit tensor is deﬁned as δ

α

β

= 1 if α = β and 0 otherwise. The Christoﬀel

symbols are deﬁned entirely in terms of the metric functions

Γ

α

γβ

=

1

2

g

αβ

_

∂g

γδ

∂x

β

+

∂g

δβ

∂x

γ

−

∂g

γβ

∂x

δ

_

. (1.48)

Further R = R

α

α

is the scalar curvature and Λ = const is the cosmological constant. On the left hand

side of Eq. (1.46) stands the energy-momentum tensor T

α

β

of matter, which is symmetric in its indecies,

i.e.,

T

αβ

= g

βδ

T

α

δ

= T

βα

. (1.49)

1.5. FRIEDMAN EQUATIONS 13

The energy momentum tensor is deﬁed by the conservation equation (or equation of motion)

∂T

αβ

∂x

β

= 0, (1.50)

in Minkowski spacetime. In cured spacetime the equation is modiﬁed to

T

αβ

;β

=

∂T

αβ

∂x

β

+ Γ

α

γβ

T

γβ

+ Γ

β

γβ

T

αγ

= 0. (1.51)

The equation (1.51) follows from the Einstein equations as consequence of the Bianchi identities satisﬁed

by the Einstein tensor:

G

α

β;α

= 0. (1.52)

For most of the application the matter can be assumed to be perfect ﬂuid with th energy and momentum

tensor given by

T

α

β

= (ǫ +p)u

α

u

β

−pδ

α

β

, (1.53)

where p = p(ǫ) is the equation of state of matter, which needs to be speciﬁed at each particular case, u

α

is the four velocity of the ﬂuid, p is the pressure, ǫ - the energy density. For ultrarelativistic particles

p = ǫ/3; in cosmology we will ﬁnd often that p = wǫ, where w is a constant.

In relativistic theory the invariant with respect to coordinate transformation is the inﬁnitesimal

spacetime interval between events. It is convenient to take the interval in the following form

ds

2

= dt

2

−dl

2

= dt

2

−a(t)

2

_

dr

2

1 −kr

2

+ r

2

dΩ

2

_

≡ g

αβ

dx

α

dx

β

; (1.54)

the corresponding metric is called the Robertson-Walker metric. Note that the spatial coordinates are

comoving, which means that every object with zero peculiar velocity has constant coordinates r, θ and

φ. The distance between two comoving observers is ∝ a(t).

1.5 Friedman equations

We have already derived the equations for cosmological evolution in Newtonian theory; these are given

by (1.12), (1.16) and (1.21). Einstein equations determine the evolution of the universe in general

relativity; we shall discuss the formal derivation somewhat later; for the moment we can heuristically

derive the general relativistic equation by modifying the Newtonian equations. The main modiﬁcation

comes from the fact that we need to relax the assumption that we are dealing with a “dust” and include

the contribution of pressure. The change in the energy due to the work done by the pressure is given

by (we assume that the entropy of the system is constant, i.e., dissipative processes are negligible)

dE = −pdV. (1.55)

Since E = ǫV and V ∝ a

3

, we obtain V dǫ + ǫdV = −pdV or dǫ = −V

−1

(p + ǫ)dV . Then we ﬁnd that

dV/V = 3a

2

da/a

3

= 3da/a = 3d ln a. Thus,

dǫ = −3(ǫ + p)d ln a ⇒ ˙ ǫ + 3(ǫ + p)H = 0, (1.56)

where we substituted H = ˙ a/a. This equation is the relativistic version of Eq. (1.12) and it reﬂects the

energy conservation in an isotropic and homogeneous universe, T

α

0;α

= 0. Thus, we see that the general

14 CHAPTER 1. EXPANDING UNIVERSE

relativistic counterparts of the Newtonian equations are obtained by addition of a term arising from

pressure. The acceleration equation is now modiﬁed from (1.16) to

¨ a = −

4π

3

G(ǫ + 3p)a. (1.57)

The form of the pressure term arises from the sum of the diagonal terms in the spatial part of the

Einstein equations. Equation (1.56) is the ﬁrst Friedman equation. To obtain the second Friedman

equation we use the second Eq. (1.56) to eliminate pressure from Eq. (1.57) and multiply the resulting

equation by ˙ a to bring it to a form suitable for integration. The details are reﬂected in the following

chain (note that as before ǫ = ǫ

0

a

3

0

/a

3

)

˙ a¨ a = −

4πG

3

_

−2ǫ −

˙ ǫ

H

_

a˙ a = −

4πG

3

ǫ

0

_

−

2a

3

0

a

3

+ 3

a

3

0

˙ a

a

2

H

_

a˙ a = −

4πGa

3

0

3

ǫ

0

˙ a

a

3

. (1.58)

Now we can integrate this equation to obtain

˙ a

2

2

=

4πGa

3

0

3

ǫ

0

1

a

2

+ E. (1.59)

Upon reintroducing the Hubble constant H = ˙ a/a and deﬁning k = −2E, simple algebraic manipula-

tions lead us to

H

2

+

k

a

2

=

8πG

3

ǫ(t). (1.60)

This is the second Friedman equation. The diﬀerence to the non-relativistic counterpart (1.21) is that

this equation applies for arbitrary equation of state. Another important point is that k here has the

meaning of the curvature, as introduced above, i.e., k = 0, ±1. This identiﬁcation is possible if we

derive the Friedman equations from the 0 −0 component of Einstein’s equations. Now we can rewrite

(1.24) as

k = −

2πG

3

a

2

ǫ

cr

[1 −Ω(t)] . (1.61)

Thus we see that the value of the cosmological parameter Ω = ǫ/ǫ

cr

determines the geometry of the

universe; speciﬁcally, when Ω > 1, the Universe is closed and has a geometry of three-dimensional

sphere k = +1; Ω = 1 corresponds to the ﬂat universe (k = 0); and Ω < 1 corresponds to open universe

with hyperbolic geometry (k = −1).

The two Friedman equations (1.57) and (1.60) form a closed system of equations if the equation of

state p = p(ǫ) is speciﬁed. Note that Eq. (1.57) can be replaced by the second equation of (1.56), i.e.,

the conservation law.

1.5.1 Derivation from Einstein’s equations

To derive the Friedman equations from Einstein’s equations and to ﬁnd particular solutions to them it

is more convenient to deﬁne the conformal time η as

dt = a(t)dη, η ≡

_

dt

a(t)

. (1.62)

To be speciﬁc let us ﬁrst consider the universe with positive curvature, i.e., k = +1. In terms of

conformal time the metric is written as

ds

2

= a

2

(η)[dη

2

−dχ

2

−sin

2

χ(dθ

2

+ sin

2

θdφ

2

)]. (1.63)

1.5. FRIEDMAN EQUATIONS 15

Now we would like to write down the Einstein’s equations for this metric. For that purpose we identify

the non-vanishing metric functions by comparing Eq. (1.63) with ds

2

= g

αβ

dx

α

dx

β

. This gives (note

that the coordinates x

0

, x

1

, x

2

, x

3

here should be identiﬁed with η, χ, θ, φ):

g

00

= a

2

, g

11

= −a

2

, g

22

= −a

2

sin

2

χ, g

33

= −a

2

sin

2

χsin

2

θ. (1.64)

Note that because of isotropy of the space (i.e., equivalence of all directions, the components of metric

tensor g

0α

must be zero in the system of coordinates we have chosen). Now we use the deﬁnition of

Christoﬀel symbols (1.48) to compute the components

Γ

0

00

=

a

′

a

, Γ

0

αβ

= −

a

′

a

δ

α

β

, Γ

0

α0

= Γ

α

00

= 0, (1.65)

where prime means diﬀerentiation with respect to η. Now the components of the Ricci tensor can be

computed via Eq. (1.47). We obtain

R

0

0

=

3

a

4

(a

′

2

−aa

′′

). (1.66)

From symmetry considerations (isotropy of the space) the components R

0α

= 0. The remaining com-

ponents are

R

β

α

= −

1

a

4

(2a

2

+ a

′

2

+ aa

′′

)δ

β

α

. (1.67)

The Ricci scalar is then obtained as

R = R

0

0

+ R

α

α

= −

6

a

3

(a + a

′′

). (1.68)

Finally, we need to specify the form of the energy-momentum tensor; in the comoving system of coor-

dinates u

α

= 0, and u

0

= 1/a, therefore from the deﬁnition

T

ik

= (p + ǫ)u

i

u

k

−pg

ik

, (1.69)

it follows that T

0

0

= ǫ. These results should be substituted in the 0−0 component of Einstein’s equations,

i.e.,

R

0

0

−

1

2

R = 8πGT

0

0

, (1.70)

which gives

a

2

+ a

′

2

a

4

=

8πG

3

ǫ. (1.71)

A more convenient form of this equation is obtained upon diﬀerentiating it with respect to η. To

compute the derivative note that from the ﬁrst equation of (1.56) we have

dǫ

dη

= −3(ǫ + p)

d

dη

ln a = −3(ǫ + p)

a

′

a

. (1.72)

Then we ﬁnd that

2a

′

a

′′

+ 2kaa

′

=

8πG

3

[a

3

a

′

(ǫ −3p)], ⇒ a

′′

+ka =

4πG

3

(ǫ −3p)a

3

. (1.73)

16 CHAPTER 1. EXPANDING UNIVERSE

Next we wish to compare the results that we have obtained with those derived heuristically. For that

purpose, we go over from derivative with respect to the conformal time to the ordinary time (which

induces an extra factor a). We obtain

1

a

2

+

˙ a

2

a

2

= H

2

+

1

a

2

=

8πG

3

ǫ, (1.74)

which coincides with the second Friedman equation (1.60) for k = +1. The second equation (which

closes the system of equations for the unknowns a and ǫ) can be chosen one of those in Eq. (1.56), e.g,

dǫ = −3(ǫ + p)d ln a. (1.75)

How the calculations are modiﬁed in the case of open universe with negative curvature? The metric in

this case is given by

ds

2

= a

2

(η)[dη

2

−dχ

2

−sinh

2

χ(dθ

2

+ sin

2

θdφ

2

)]. (1.76)

This can be obtained formally from Eq. (1.63) by replacements η →iη, χ →iχ, and a →ia. Equation

(1.75) will not change its form, whereas Eq. (1.74) becomes

H

2

−

1

a

2

=

8πG

3

ǫ, (1.77)

which is consistent with Eq. (1.60).

1.6 Solutions of Friedman equations

To analyze the solutions of the Friedman equations we start with Eq. (1.73)

a

′′

+ka =

4πG

3

(ǫ −3p)a

3

, (1.78)

which can be solved provided the equation of state p(ǫ) is given. We will also use Eq. (1.60) which we

rewrite in terms of conformal time

H

2

+

k

a

2

=

8πG

3

ǫ, ˙ a

2

+ k =

8πG

3

ǫa

2

, ⇒ a

′2

+ ka

2

=

8πG

3

ǫa

4

. (1.79)

In the following we will consider solutions of the Frideman equations for speciﬁc equations of state.

1.6.1 Radiation dominated universe, p = ǫ/3, k = 0, ±1

This case is particularly simple since the right hand side of (1.78) vanishes, i.e.

a

′′

+ ka = 0. (1.80)

The solution of this diﬀerential equation is

a(η) = a

m

_

_

_

sinh η, k = −1

η, k = 0

sin η. k = +1

1.6. SOLUTIONS OF FRIEDMAN EQUATIONS 17

where a

m

is one of the integration constants, the other is ﬁxed from the condition a(η = 0) = 0. The

physical time is the integral of a(η)dη. Integration in Eq. (1.81) gives

t = a

m

_

_

_

cosh η −1, k = −1

η

2

/2, k = 0

1 −cos η. k = +1

One conclusion that can be drawn from these equations is that in the case of ﬂat universe a ∝ t

1/2

,

form which it follows that H = 1/2t. We can also ﬁnd the energy density from Eq. (1.60) with k = 0:

ǫ =

3

32πGt

2

∝ a

−4

. (1.81)

The same can be found from the Eq. (1.56)

dǫ = −4ǫd ln a ⇒ d ln ǫ = d ln a

−4

+ C ⇒ ǫ ∝ a

−4

. (1.82)

This means that the energies of particles (whose number is conserved) is reduced proportional to a

−1

.

1.6.2 Dust dominated universe p = 0, k = 0, ±1

First we note that Eq. (1.56) in this case implies

dǫ = −3ǫd ln a ⇒ d ln ǫ = d ln a

−4

+ C ⇒ ǫ ∝ a

−3

. (1.83)

Therefore ǫa

3

= const and

a

′′

+ka = C. (1.84)

The solutions of this equation read

a(η) = a

m

_

_

_

cosh η −1, k = −1

η

2

, k = 0

1 −cos η, k = +1

and the physical time is given via integration

t = a

m

_

_

_

sinh η −η, k = −1

χ

3

/3, k = 0

η −sin η. k = +1

Since the scale factor varies in the range 0 ≤ a ≤ ∞ we see that the conformal time varies in the

range 0 ≤ η ≤ ∞ in the cases of open or ﬂat universes independent whether it is radiation or matter

dominated. In a closed universe the conformal time is bounded and assumes values in the range η ∈ [0; π]

for radiation dominated universe and η ∈ [0; 2π] for matter dominated universe.

1.6.3 Strongly interacting universe p ∼ ǫ

We consider a concrete case of ﬂat universe k = 0. We already saw that the energy density for radiation

scales as ǫ

R

∝ a

−4

and for matter scales as ǫ

M

∝ a

−3

. The total energy density is the sum of both,

which we write as

ǫ = ǫ

R

+ ǫ

M

= C

R

a

−4

+C

M

a

−3

, (1.85)

18 CHAPTER 1. EXPANDING UNIVERSE

where C

M

and C

R

are constants. It will be convenient to work with the energy of universe when these

two contributions are equal; we denote the scale factor and the total energy density in these cases as ˜ a

and ˜ ǫ. By deﬁnition

˜ ǫ = C

R

˜ a

−4

+ C

M

˜ a

−3

, C

R

˜ a

−4

= C

M

˜ a

−3

⇒ C

R

˜ a

−1

= C

M

(1.86)

Substituting the last relation in Eq. (1.86) in the ﬁrst one we ﬁnd

˜ ǫ = C

R

˜ a

−4

+ C

R

˜ a

−4

, ⇒ C

R

=

˜ ǫ

2

˜ a

4

, C

M

=

˜ ǫ

2

˜ a

3

. (1.87)

Thus the total energy density is given by

ǫ =

˜ ǫ

2

_

a

−4

˜ a

4

+ a

−3

˜ a

3

¸

. (1.88)

Taking a derivative of Eq. (1.79) we obtain

a

′′

=

2πG

3

˜ ǫ˜ a

3

. (1.89)

Because the right hand side is a constant, we can straightforwardly integrate this equation to obtain

a(η) =

πG

3

˜ ǫ˜ a

3

η

2

+ C

1

η + C

2

. (1.90)

From the condition a(η = 0) = 0 it follows that C

2

= 0. To obtain the second integration constant we

substitute in Eq. (1.79) written for the case k = 0

a

′2

=

8πG

3

ǫa

4

, (1.91)

the solution (1.90):

_

πG

3

˜ ǫ˜ a

3

η + C

1

_

2

=

4πG

3

˜ ǫ

_

˜ a

4

+a˜ a

3

¸

, (1.92)

where in the right hand side we substituted Eq. (1.88). Note that the ﬁrst term in the right hand side

is due to radiation and the second due to the matter. Substituting the initial condition a(η = 0) = 0

once more we obtain

C

2

1

=

4πG

3

˜ ǫ˜ a

4

, ⇒ C

1

= +

_

4πG

3

˜ ǫ˜ a

4

_

1/2

. (1.93)

We see that the term ∝ C

1

is controlled by the radiation contribution, since the matter contribution

dropped out upon imposing the initial conditions. The plus sign in the last relation follows from the

requirement of positivity of the scale factor. Then the solution (1.90) can be written in an elegant form

a(η) = ˜ a

_

η

2

η

2

∗

+ 2

η

η

∗

_

, (1.94)

where

η

−1

∗

=

_

πG

3

˜ ǫ˜ a

2

_

1/2

. (1.95)

1.7. MILNE UNIVERSE 19

In Eq. (1.94) the ﬁrst term can be identiﬁed with the matter contribution, while the second term with

the radiation contribution. When ˜ a = a the conformal time satisﬁes the equation

η

2

η

2

∗

+ 2

η

η

∗

= 1, (1.96)

whose solution (which we will denote by ˜ η) is given by

˜ η = η

∗

(

√

2 −1). (1.97)

Note, however, that for the purpose of order of magnitude estimates we can use both η’s, since η

∗

∼ ˜ η.

We see that if η ≪ ˜ η the linear term, representing the radiation contribution, in Eq. (1.94) dominates.

The scale factor grows linearly with η. Conversely, when η ≫ ˜ η the matter contribution dominates and

a(η) ∝ η

2

.

1.7 Milne universe

An interesting special case is the case of Milne universe, which is deﬁned as an open universe (k = −1)

with zero matter energy density. In that case from Eq. (1.79) we obtain

˙ a

2

(t) = 1, ⇒ a(t) = t. (1.98)

Then the Robertson-Walker (RW) metric becomes

ds

2

= dt

2

−a(t)

2

_

dr

2

1 −kr

2

+ r

2

dΩ

2

_

= dt

2

−t

2

_

dr

2

1 + r

2

+ r

2

dΩ

2

_

= dt

2

−t

2

_

dχ

2

+ sinh

2

χdΩ

2

_

,

(1.99)

where the χ coordinate is deﬁned via Eq. (1.38). Since the Milne universe does not have any matter

content we can expect that its metric should be related to the Minkowski metric which corresponds to

the metric of empty space. It can be written

ds

2

= dτ

2

−dr

2

−r

2

dΩ

2

. (1.100)

(The Minkowski coordinate r should not be confused with the one appearing in the RW-metric). To

map the Minkowski metric (1.100) onto the RW metric we deﬁne new coordinates

τ = t coshχ, r = t sinhχ. (1.101)

We can compute further the diﬀerentials

dτ = dt coshχ + t sinhχdχ, dr = dt sinhχ + t coshχdχ, (1.102)

from which we see that

dτ

2

−dr

2

= dt

2

−t

2

dχ

2

. (1.103)

We conclude that (1.99) and (1.100) are equivalent. However, the Milne coordinates do not cover

the entire Minkowski space. To see this consider a particle which has ﬁxed comoving coordinates; its

velocity is equal

[v[ =

r

τ

= tanh χ < 1. (1.104)

20 CHAPTER 1. EXPANDING UNIVERSE

Figure 1.6: The constant t hyperboloids in the Minkowski space cover the Milne universe.

The proper time of the particle is given by

_

1 −[v[

2

τ = t. (1.105)

Note that on the left hand side of these equation are the Minkowski coordinates, on the right hand

sides the Milne coordinates. Now we ﬁnd the hypersurfaces of constant time t which in the Minkowski

coordinates are given expressed

t =

√

τ

2

−r

2

= Const. (1.106)

These can be plotted in the Minkowski space (i.e. as a function of the coordinates τ and r). The result

is shown in ﬁgure Fig. (1.6). We see that the hypersurface t = 0 is simply the light cone; the surfaces

of constant t > are hyperboloids in the Minkowski coordinates which are within (half of) the forward

light cone. Thus the Milne universe covers only 1/4 of the entire Minkowski space (the uncovered parts

include the backward light-cone, a half of the forward light cone). Some remarks are in order

• The Milne universe has a center, which is apparent from its coverage shown in the ﬁgure.

• The Milne universe is an example of a universe which is ﬂat in the 4d space, but has a curvature

in the 3d space (since k = −1).

• In the universes with energy content the correct foliation of the space is given by the constant

energy hypersurfaces. Obviously in the Milne universe we have a translational symmetry in time

- all the hypersurface have the same zero energy.

1.8 De Sitter universe

The de Sitter universe is a space-time void of matter and radiation with positive constant 4-curvature

which is isotropic and homogeneous. Since it is a space-time, it can be derived from purely geometrical

considerations. (We will return to more physical derivation from Friedman equations later on). We have

seen that in the case of purely spatial spaces we were able to represent curved spaces as embeddings of

various (hyper)surfaces in higher dimensional ﬂat spaces. To make the discussion intuitively accessible

1.8. DE SITTER UNIVERSE 21

Figure 1.7: de Sitter space-time in two dimensions.

we will consider only two spatial dimensions. Addition of third dimension will be trivial. Consider

three-dimensional Minkowski metric given by

ds

2

= dz

2

−dx

2

−dy

2

. (only spatial) (1.107)

In this space we consider an embedding (hyperboloid) deﬁned as

H

Λ

−2

= z

2

−x

2

−y

2

. (1.108)

The hyperboloid will be parameterized in terms of the coordinates x and y. Since zdz = xdx+ydy and

z =

_

x

2

+ y

2

−H

Λ

−2

¸

1/2

the metric can be expressed entirely in terms of the variable x and y

ds

2

=

(xdx + ydy)

2

x

2

+ y

2

−H

Λ

−2

−dx

2

−dy

2

. (1.109)

where according to (1.107) x

2

+y

2

> H

Λ

−2

. This metric describes the de Sitter space in two-dimensions.

By coordinate transformation this metric can be brought in a more compact form (which also make

apparent its symmetries) by, for example, transformation

x = H

Λ

−1

cosh(H

Λ

t) cos χ, y = H

Λ

−1

cosh(H

Λ

t) sin χ. (1.110)

Where −∞≤ t ≤ ∞ and χ ∈ [0; 2π]. Then, the metric takes the form

ds

2

= dt

2

−H

Λ

−2

cosh

2

(H

Λ

t)dχ

2

. (1.111)

This space-time is described by the hyperboloid shown in Fig. 1.7. In four dimensions this metric

corresponds to closed universe with positive curvature.

Now we consider the four-dimensional de Sitter universe, which is described by the equation of

state p

Λ

= −ǫ

Λ

. The index Λ indicates that the pressure originates from cosmological constant in the

Einstein’s equations. The general equation (1.56) in this case shows that

dǫ = −3(ǫ +p)d ln a ⇒ dǫ

Λ

= −3(ǫ

Λ

+ p

Λ

)d ln a = 0, ⇒ ǫ

Λ

= Const. (1.112)

22 CHAPTER 1. EXPANDING UNIVERSE

Figure 1.8: Scale factor in de Sitter universe as a function of time. Note the exponential expansion for

t →∞.

Then the acceleration equation (1.57) reads

¨ a = −

4π

3

G(ǫ + 3p)a ⇒ ¨ a −

8π

3

Gǫ

Λ

a = 0, ¨ a −H

Λ

2

a = 0, (1.113)

where H

Λ

= [8πGǫ

Λ

/3]

1/2

. The solution of Eq. (1.113) is given by

a(t) = C

1

exp(H

Λ

t) + C

2

exp(−H

Λ

t), (1.114)

with C

1

and C

2

being the integration constants. To ﬁx the integration constants we go back to the

second Friedman equation (1.60) and write it as

H

2

+

k

a

2

=

8πG

3

ǫ

Λ

≡ H

2

Λ

. (1.115)

Inserting H = ˙ a/a in this equation, we rewrite it as

H

2

Λ

a

2

− ˙ a

2

= k. (1.116)

We substitute the solution (1.114) in this equation to obtain

C

1

C

2

=

k

4H

2

Λ

. (1.117)

Now let us consider separately the following cases:

• Flat universe k = 0; either C

1

= 0 or C

2

= 0. If C

2

= 0 we obtain exponentially expanding

universe.

1.8. DE SITTER UNIVERSE 23

• For closed universe k = 1 and we can choose [C

1

[ = [C

2

[ to obtain C

1

= C

2

= (2H

Λ

)

−1

. In this

case the scale factor becomes

a(t) = H

−1

Λ

_

exp(H

Λ

t) + exp(−H

Λ

t)

2

_

= H

−1

Λ

sinh(H

Λ

t). (1.118)

• For open universe k = −1 and we can choose [C

1

[ = [C

2

[, i.e., C

1

= −C

2

= (2H

Λ

)

−1

. In this case

the scale factor reads

a(t) = H

−1

Λ

_

exp(H

Λ

t) −exp(−H

Λ

t)

2

_

= H

−1

Λ

cosh(H

Λ

t). (1.119)

The metric for these three cases can be written (upon substituting the scale factor a(t)) as

ds

2

= dt

2

−H

−2

Λ

_

_

sinh

2

(H

Λ

t)

exp(2H

Λ

t)

cosh

2

(H

Λ

t)

_

_

_

_

dχ

2

+

_

_

sinh

2

χ

χ

2

sin

2

χ

_

_

dΩ

2

_

_

.

24 CHAPTER 1. EXPANDING UNIVERSE

Chapter 2

Light propagation in expanding universe

Most of the universe is seen by us in the electromagnetic spectrum. Although the existence of the

gravitational waves has been indirectly proven in the binary systems involving two compact stars, their

direct detection has not been achieved yet. Thus vast astronomical information reaches us in form

of photons of diﬀerent wave-lengths. (Neutrinos and high energy cosmic rays are other sources that

complement our information on the universe).

The fact (known from the special relativity) that the speed of any particle is limited to that of the

light limits the amount of information that can be transmitted. Indeed since no information can travel

faster than light their exist horizons beyond which we can not obtain information about the universe.

2.1 Light trajectories

Consider a massless particle propagating in a ﬂat universe at the speed of light (e.g. photon). Its

trajectory is given by the geodesics that satisﬁes the condition

ds

2

= 0. (2.1)

We know that in the curved universes we can always choose a local frame where physics corresponds to

a ﬂat universe so that the condition (2.1) remains intact.

Consider isotropic universe, with light propagating radially in a coordinate system where observer

is at the origin. To describe the trajectories we use the conformal time

η =

_

dt

a(t)

. (2.2)

The metric is written as

ds

2

= a

2

(η)

_

dη

2

−dχ

2

−Φ

2

(χ)(dθ

2

+ sin

2

θdφ

2

)

¸

, (2.3)

where

Φ

2

(χ) =

_

_

sinh

2

k = −1

χ

2

k = 0

sin

2

χ k = +1

_

_

.

Since we have spherical symmetry the radial trajectories with θ, φ = const are geodesics (i.e. dθ = 0 =

dφ). Then, from the requirement ds

2

= 0 it follows

dη

2

−dχ

2

= 0. (2.4)

25

26 CHAPTER 2. LIGHT PROPAGATION IN EXPANDING UNIVERSE

The solution of this equation is

χ(η) = ±η + C. (2.5)

We see that the trajectories are simply straight lines at 45 degree in the χ −η plane.

2.2 Horizons

The information that we receive about the universe around us is limited by the speed of light and the

fact that the universe has a ﬁnite age. We can receive only information about parts of the universe

from which the light could have traveled within the time equal or less than the age of the universe.

The volume from which we can obtain information is the bounded; its boundary is called the particle

horizon.

The age of the universe is 1.5 10

10

yr, so that the size of particle horizon is about 1.5 10

10

light

yr. Let us examine now the distance that light can propagate in an expanding universe. According to

(2.5)

χ

p

(η) = η −η

i

=

_

t

t

1

dt

a

. (2.6)

where t

1

is the initial time (start of the universe). Therefore, at time η an event with χ > χ

p

(η) is

inaccessible to the observer located at the origin of the coordinate system χ = 0. Note that we cannot

always put η

i

= 0 = t

i

; this is only valid for the universes that are singular at the beginning. There are

example of other (e.g. de Sitter) universes where the initial state is non-singular. The physical distance

is obtained upon multiplying the the comoving coordinate with the scale factor

d

p

(t) = a(t)χ

p

= a(t)

_

t

t

∗

dt

a

. (2.7)

Now we need to take into account the fact that the early universe was dense and photons where in termal

equilibrium with matter. Their decoupling from matter occured at the time of hydrogen recombination.

At that time the universe was about 1000 time smaller than now. Therefore, it is easy to see that

the information that we obtain is, in fact, limited by the distance that the light can travel since the

recombination time. Eﬀectively the initial time is replaced by the recombination time

d

opt

(t) = a(t)χ

p

= a(t)

_

t

t

∗

dt

a

, (2.8)

where t

∗

is the time of recombination. This horizon is clearly less distant that the particle horizon. It

is called optical horizon. Only primordial neutrinos or gravitational wave can allow us to see beyond

the optical horizon (but only up to the particle horizon).

For any concrete model of the universe for which the scale factor is know we can compute the

horizons. As an example let us take a ﬂat universe and assume that radiation dominates; then a(t) ∝ t

1/2

and we ﬁnd that d

p

= 2t (note that c = 1); in the case of matter dominated universe a(t) ∝ t

2/3

and

d

p

= 3t.

There is another scale in the universe that sometimes is called “horizon”. Evidently we have the

length scale 1/H (again c = 1). This is called curvature horizon and Hubble horizon. In some models

curvature horizon could be of the same order as the particle horizon. However there are counterexamples.

One such counterexample is the ﬂat de Sitter space where a(t) ∝ exp(H

Λ

t) and therefore

d

p

(t) = exp(H

Λ

t)

_

t

t

∗

exp(−H

Λ

t)dt = H

Λ

−1

¦exp[H

Λ

(t −t

∗

)] −1¦ . (2.9)

2.3. REDSHIFT 27

For times satisfying t−t

∗

≫H

−1

, d

p

grows exponentially, i.e., the particle horizon is very large compared

with the Hubble horizon H

−1

which is constant.

One can also deﬁne an event horizon. The event horizon is deﬁned with respect to a given time (in

terms of conformal time η). It is the boundary of the volume from which no signal can be obtained by

the observer in the future. The coordinates of these points are deﬁned

χ > χ

e

(η) =

_

η

max

η

dη = η

max

−η. (2.10)

where η

max

refers to the ﬁnal time. The physical location of the horizon at the time t is given by

d

e

(t) = a(t)

_

t

max

t

dt

a

, η

max

=

_

t

max

t

dt

a(t)

. (2.11)

If universe expands forever then by deﬁnition the time t

max

→∞. The value of η

max

and d

e

(t) obviously

depends on the convergence of the integral deﬁning these quantities. Let is consider several examples.

• Open or ﬂat universe; since t

max

and η

max

are inﬁnite there are two possibilities:

– the integrand in Eq. (2.11) is convergent, i.e., there is a ﬁnite event horizon

– this integrand is divergent, i.e., there is no event horizon.

The convergence of the integrand depends on the function a(t).

– For linear or slower growing a(t) the integrand is divergent (in the linear case logarithmically).

This corresponds to decelerating universe. Mathematically, this means that ¨ a ≤ 0.

– If a(t) grows faster than linear the integrand is convergent. This corresponds to accelerating

universe (¨ a > 0) (gebremstes Universum).

• de Sitter universe. For the event horizon we obtain

d

e

(t) = exp(H

Λ

t)

_

∞

t

exp(−H

Λ

t)dt = H

Λ

−1

. (2.12)

This means that the event horizon is equal to the curvature scale. All the events that occur at a

given moment at a distance greater than 1/H have no eﬀect on an observer because the universe

is expanding too fast. In closed and decelerating universes the t

max

is ﬁnite and therefore there

always exists an event horizon and a particle horizon.

• In the closed universe there is always an event horizon because the integration range is limited

from above.

2.3 Redshift

Imagine a photon emitted from a distance galaxy. If we (observers) were static with respect to that

galaxy, then the wave-length of the photon will be the same for us as it was at the moment of emission.

This is not true in an expanding universe. The wave-length of the photon will undergo a redshift because

the universe is expanding.

28 CHAPTER 2. LIGHT PROPAGATION IN EXPANDING UNIVERSE

Figure 2.1: Illustration of light propagation from the source to the observer in an expanding universe.

Consider a source or radiation at η

em

and t

em

. Suppose it emits a signal with a duration ∆η. The

equation deﬁning the light trajectory is then [see Eq. (2.5), where we take the sign

′′

−

′′

]

χ(η) = −η + C. (2.13)

The integration constant is ﬁxed from the initial condition χ(η

em

) = −η

em

+ C or C = χ

em

+ η

em

.

Substituting this constant in the above equation we obtain

χ(η) = χ

em

−(η −η

em

), (2.14)

which deﬁnes the trajectory of a photon. The photon reaches the observer at the location χ

obs

= 0 at

time η

obs

= η

em

+ χ

em

. The physical intervals for the emission of light at the point of emission and

detection are diﬀerent and are given by

∆t

em

= a(η

em

)∆η

. ¸¸ .

emission point

, ∆t

obs

= a(η

obs

)∆η

. ¸¸ .

observation point

. (2.15)

The wave-length and the period of the photonic wave are related simply by (c = 1) λ

em

= ∆t

em

If ∆t

is the period of the light wave, the light is emitted with the wavelength λ

em

= ∆t

em

; similar relation

holds for the observed wavelength. Their ratio is then given by

λ

obs

λ

em

=

∆t

obs

∆t

em

=

a

obs

a

em

. (2.16)

We see that the expansion of the universe leads to the scaling λ(t) ∝ a(t). Then the frequency ω(t) ∝

1/λ(t) ∼ 1/a(t).

If all the photons have their frequencies shifted by ω → ω/a the shape of the Planck distribution

does not change. The temperature, which is determined from the maximum of the Planck distribution

is therefore shifted by the amount 1/a. Therefore the energy radiation (photon luminosity ∝ T

4

) scales

as 1/a

4

. Because the number density of photons scales as n

γ

∝ T

3

∝ a

−3

, while the volume scales as

V ∝ a

3

, the total number photons N

γ

= n

γ

V is conserved.

2.4. DOPPLER SHIFT 29

2.4 Doppler shift

The redshift of photons can be interpreted as a Doppler shift due to the relative expansion of two

galaxies. Let us denote the observed frequency as ω

o

and source frequency as ω

s

. The relativistic

Doppler eﬀect states that

ω

o

= γ(1 −β)ω

s

, β =

v

c

, γ =

1

_

1 −β

2

. (2.17)

If the velocities are non-relativistic β ≪1, then γ = 1 and we can write the Doppler law

ω

s

−ω

o

= βω

s

. (2.18)

Suppose we have two galaxies (1 and 2) at a distance l ≪H

−1

. At these small scales we can identify a

local inertial frame in which the eﬀects of general relativity can be neglected and space can be assumed

to be ﬂat (i.e., we can use the Special Theory of Relativity). Hubble law tells us that the galaxies are

moving apart with the velocity v = Hl.

Consider now a photon which has a frequency ω

1

in (source) galaxy 1 at the moment t

1

. Its frequency

is measured at a later time t

2

when it reaches the (observation) galaxy 2. The shift in the frequency is

given then by the Doppler law (2.18)

∆ω = ω(t

1

) −ω(t

2

) ≃ ω(t

1

)v = ω(t

1

)H(t)∆l. (2.19)

Since ∆t = t

2

−t

1

= ∆l we can rewrite this as

∆ω

∆t

= ˙ ω = −H(t)ω (2.20)

which has the solution

ω ∝

1

a

. (2.21)

Applying this argument to small pieces of photon trajectories we conclude that our solution is valid in

general relativistic case as well.

2.5 Peculiar velocity induced redshifts

Motions that are superimposed on the general expansion of the universe were deﬁned as peculiar ve-

locities. We can expect redshifts originating from these velocities. Suppose we have two observers (1

and 2). The observer 1 is located in the lab frame; the observer 2 is located at the origin of a frame

which moves with respect to the lab frame according to the Hubble law with the velocity v = H(t)∆l,

where ∆l is the distance between the origins of the two reference frames. The velocity measured by

the observer 1 is denoted by w

1

(t

1

) and that by the observer 2 by w

2

(t

2

). Then applying the Galilean

transformation to connect the velocities w(t) in both frames we obtain

w(t

1

) −w(t

2

) ≈ v = H(t)∆l. (2.22)

We assume that the times t

1

and t

2

are inﬁnitesimally close; in fact we will take the limit t

1

→t

2

shortly.

The time that will take a particle to move from observer 1 to observer 2 is ∆t = t

2

−t

1

= ∆l/w. Then

from Eq. (2.22) w(t

1

) −w(t

2

) = H(t)w∆t. Taking the limit ∆t →0 we obtain

˙ w = −H(t)w ⇒ w ∼

1

a

. (2.23)

30 CHAPTER 2. LIGHT PROPAGATION IN EXPANDING UNIVERSE

We see that the peculiar velocity of a particle decays inversely as the scale factor increases. We conclude

that the overall expansion of the universe leads to a damping of the peculiar motions in the comoving

frame!

Consider as an example now a non-relativistic non-interacting gas. Its temperature is proportional

to their kinetic energy of particles, i.e., their peculiar velocity squared

T

non−rel.gas

∝ w

2

∼ a

−2

. (2.24)

This behavior diﬀers from that for photons (radiation) for which T

γ

∼ a

−1

. We see that if radiation

and (non-relativistic) matter are decoupled, then the gas cools faster than the radiation as the universe

expands. As in the case of radiation we can extend our argument to the case of General Relativity by

considering piece-wise tracks with locally inertial systems attached to them.

2.5.1 Redshift as a measure of time

Next we deﬁne the redshift parameter (or simply redshift) through the following relation

z =

λ

obs

−λ

em

λ

em

, (2.25)

where λ

obs

is the wave-length of the photon observed currently on the Earth, λ

em

is the wave-length of

the photon emitted by a distant galaxy. However, according to Eq. (2.16) λ

obs

/λ

em

= a

obs

/a

em

and we

can write

1 + z =

a

obs

a(t

em

)

. (2.26)

We will take further the observation time t

obs

= t

0

, i.e., the contemporary time, and therefore a(t

obs

) =

a

0

.

Equation (2.26) establishes a one-to-one correspondence between the time and the redshift. There-

fore, we conclude that redshift can be used to parameterize the history of the universe, instead of time,

i.e. all the functions of time can be rewritten in terms of z. Applying Eq. (2.26) to the current time we

obtain

1 + z =

a

0

a(t

em

)

. (2.27)

This relation tells us that the universe was 1 + z times smaller at redshift z than now.

It is useful to rewrite some of our previous expressions in terms of the redshift. For example,

Eq. (1.56), which reads dǫ = −3(ǫ + p)d ln a can be integrated to obtain

_

ǫ(z)

ǫ

0

dǫ

ǫ + p(ǫ)

= −3 ln

a(z)

a

0

,

_

ǫ(z)

ǫ

0

dǫ

ǫ +p(ǫ)

= 3 ln(1 + z), (2.28)

where we inserted (2.26) for the ratio scale factor under the logarithm. Next, let us obtain the expression

for the Hubble parameter H in terms of z. We modify the second Friedman equation (1.74) as

H

2

+

k

a

2

→H

2

+

k

a

2

0

(1 + z)

2

,

8πG

3

ǫ =

8πG

3

ǫ

cr

. ¸¸ .

H

2

0

ǫ

0

ǫ

cr

.¸¸.

Ω

0

ǫ(z)

ǫ

0

, (2.29)

which gives us ﬁnally

H

2

(z) +

k

a

2

0

(1 +z)

2

= Ω

0

H

2

0

ǫ(z)

ǫ

0

. (2.30)

2.5. PECULIAR VELOCITY INDUCED REDSHIFTS 31

Note that z = 0 point corresponds to the current time (i.e. all the quantities have an index 0) and

z = ∞ corresponds to the initial time. If z = 0 then H(z) = H

0

and Eq. (2.30) reduces to

k

a

2

0

= (Ω

0

−1)H

2

0

. (2.31)

This is an interesting relation, since it expresses the current value of the scale factor a

0

in terms of

current values of Hubble constant H

0

and cosmological parameter Ω

0

provided the universe is not ﬂat,

i.e., k = ±1. Now let us substitute (2.31) back into (2.30) to eliminate the factor k/a

2

0

; then

H(z) = H

0

_

(1 −Ω

0

)(1 + z)

2

+ Ω

0

ǫ(z)

ǫ

0

_

1/2

. (2.32)

This is an alternative to Eq. (2.30) which expresses the time dependence of the Hubble parameter in

terms of ǫ

0

, Ω

0

and ǫ(z).

Next we would like to express the time in terms of the redshift. Expression (2.26) 1 + z = a

0

/a(t)

provides an indirect relation. To obtain a direct expression let us diﬀerentiate it

dz = −

a

0

a

2

(t)

˙ a(t)dt = −(1 +z)H(t)dt, (2.33)

which, after integrating, gives

t =

_

∞

z

dz

′

H(z

′

)(1 +z

′

)

. (2.34)

Thus given ǫ(z) we can obtain from Eq. (2.30) H(z) after which we can integrate (2.34) to obtain the

time. Note that the upper limit z = ∞ corresponds to the initial time (t = 0).

2.5.2 Redshift as a measure of distance

If we measure the redshift of light from a distant galaxy we can determine the distance to that galaxy,

i.e., the redshift can be used eﬀectively to measure not only time but also distances. The comoving

distance is generally given by

χ = η

0

−η

em

=

_

t

0

t

em

dt

a(t)

=

1

a

0

_

t

0

t

em

dt(1 + z) (2.35)

where we have substituted a(t) = a

0

/(1 + z). According to Eq. (2.33) (1 + z)dt = −dz/H(t) and we

ﬁnd

χ(z) =

1

a

0

_

z

0

dz

′

H(z

′

)

. (2.36)

If the universe is curved k ,= 0 then according to (2.31)

1

a

0

=

_

[Ω

0

−1[H

0

, χ(z) =

_

[Ω

0

−1[H

0

_

z

0

dz

′

H(z

′

)

. (2.37)

Now let us give an example, where we know the function ǫ(z). Such example is provided by the

dust-dominated universe where ǫ(z) = ǫ

0

(1 + z)

3

. Substituting this in Eq. (2.32)

H(z) = H

0

(1 + z)

_

1 + Ω

0

z. (2.38)

32 CHAPTER 2. LIGHT PROPAGATION IN EXPANDING UNIVERSE

Figure 2.2: Illustration of geometry of light emission by a standard ruler.

Further assume that the universe is ﬂat Ω

0

= 1. Then Eqs. (2.34) and (2.36) valid for this case can be

integrated analytically upon substituting (2.38) and we ﬁnd

t(z) =

2

3H

0

(1 + z)

−3/2

, χ(z) =

2

a

0

H

0

_

1 −

1

√

1 + z

_

. (2.39)

In the limit z →0 (current time) we obtain χ = 0 and t = 2/3H

0

, as expected.

2.6 Determining cosmological parameters

We already mentioned that there are two ways to determine the cosmological parameters. First, one can

measure the angular size of certain objects and ﬁnd the evolution of the angular size with the redshift.

If these objects have about the same size (standard rulers) we can make conclusion about the dynamics

of the universe. Similarly, by using objects which have same total brightness (standard candles) we

can determine their apparent luminosities at diﬀerent redshifts to ﬁx the cosmological parameters. By

using such observation one can study the recent expansion of the universe with diﬀerent matter content

and distinguish between diﬀerent models.

2.6.1 Standard rulers

We start by considering an object with the size l at distance χ

em

, where it emits light. Without loss

of generality we can assume that the light propagates along the geodesics, and therefore the ends of

this object have angular coordinates φ

0

, θ

0

and φ

0

, θ

0

+∆θ, (see Fig. 4.2) We are interested in photons

emitted by the endpoints of the standard ruler. The observer is located at comoving coordinate χ

0

= 0

and observes at t = t

0

. The size of the object is given by the interval

l =

√

−∆s

2

= a(t

em

)Φ(χ

em

)∆θ, (2.40)

2.6. DETERMINING COSMOLOGICAL PARAMETERS 33

where we used the metric (2.3)

ds

2

= a

2

(η)

_

dη

2

−dχ

2

−Φ

2

(χ)(dθ

2

+ sin

2

θdφ

2

)

¸

, (2.41)

with φ = const for ﬁxed conformal time and comoving coordinate. The angle is then given by

∆θ =

l

a(t

em

)Φ(χ

em

)

=

l

a(η

0

−χ

em

)Φ(χ

em

)

(2.42)

where we have replaced t

em

→η

0

−χ

em

. Consider limiting cases:

• the object is close to us χ

em

≪η

0

[i.e. the emission time η

em

≃ η

0

], therefore

a(η

0

−χ

em

) ≃ a(η

0

), Φ(χ

em

) ≃ χ

em

, ⇒ ∆θ =

l

a(η

0

)χ

em

=

l

d

, (2.43)

where d is the distance to the object and the second relation assumes approximately ﬂat universe.

The last expression is the one that we would expect from the Euclidean geometry.

• the object is located far away (close to the particle horizon) η

em

= η

0

−χ

em

≪η

0

, then

a(η

em

) ≪a

0

, Φ(χ

em

) →Φ(χ

p

) = Const, (2.44)

and the general formula for this case reads

∆θ ∝

l

a(η

em

)

. (2.45)

We see that as a → 0 the angle increases to inﬁnity and the object covers the whole horizon.

However, the luminosity of the object drops drastically with the distance (otherwise it will outshine

all the objects in the vicinity of the observer).

To compare with concrete predictions of cosmological models we ﬁrst express the angular size in

terms of redshift instead of emission time:

∆θ(z) = (1 + z)

l

a

0

Φ(χ

em

(z))

, χ

em

(z) =

1

a

0

_

z

0

dz

′

H(z

′

)

, (2.46)

where we used that (1 + z)/a

0

= 1/a(t

em

) and (2.36) for χ

em

.

This ﬁrst formula can be applied to concrete cosmological models. Let us take the example of ﬂat,

dust dominated universe, in which case χ

em

is given by Eq. (2.39) and Eq. (2.4) implies Φ(χ

em

) = χ

em

.

Then substituting χ

em

from Eq. (2.36) we obtain

∆θ(z) =

lH

0

2

(1 + z)

3/2

(1 + z)

1/2

−1

. (2.47)

The behavior of this curve is as follows: z ≪ 1, ∆θ(z) ∝ z

−1

, it has a minimum at 5/4 and is ∝ z

for z ≫ 1. If we could experimentally determine the angular diameter for several redshifts, we could

test the cosmological models. However, such measurements are seldom because of the lack of standard

rulers. The only successful example is the measurement of the cosmic microwave background (i.e.

just one standard ruler). The measurements of acoustic peaks in the power spectrum of temperature

autocorrelation function allows to determine the cosmological parameter in an almost model independent

way from the ﬁrst acoustic peak. We will return to this problem in a later lecture.

34 CHAPTER 2. LIGHT PROPAGATION IN EXPANDING UNIVERSE

2.6.2 Standard candles

Consider a source located at the comoving coordinate χ

em

with total luminosity L. The energy output

at time t

em

within the conformal interval ∆η is given by

∆E

em

= L∆t

em

= La(t

em

)∆η. (2.48)

We see that the energy of emitted photons depends on the scale factor, however the conformal width

of the shell from which the photons are emitted ∆η = const. Therefore, at the moment of observation

the energy output will be

∆E

obs

= ∆E

em

a(t

em

)

a

0

= L

a

2

(t

em

)

a

0

∆η. (2.49)

Generalizing Eqs. (1.41) and (1.43) for surface area of spheres in expanding universe we can write

S(t

0

) = 4πa

2

0

Φ

2

(χ

em

), (2.50)

since χ

em

= χ

obs

= Const. The time interval needed for the shell to pass over the observers position is

∆t = ∆l, where ∆l is the width of the shell is given by

∆l = a

0

∆χ = a

0

∆η. (2.51)

The measured energy per unit area per unit time is equal to

F =

∆E

obs

S(t

0

)∆t

=

L∆η

S(t

0

)∆t

a

2

(t

em

)

a

0

=

L∆η

4πΦ

2

(χ

em

)∆t

a

2

(t

em

)

a

3

0

=

L

4πΦ

2

(χ

em

)

a

2

(t

em

)

a

4

0

. (2.52)

But the ratio of the scale factors can be expressed via the redshift according to Eq. (2.26), so that

F =

L

4πa

2

0

Φ

2

[χ

em

(z)](1 +z)

2

, χ(z) =

1

a

0

_

z

0

dz

′

˙ a(z

′

)

2

a(z

′

)

2

. (2.53)

In astronomy we measure the bolometric magnitude

m

bol

= −2.5 log

10

F = −2.5 log

10

L + 2.5 log

10

(4πa

2

0

Φ

2

[χ

em

(z)](1 + z)

2

)

= 5 log

10

(1 + z) + 5 log

10

(Φ[χ

em

(z)]) + 2.5 log

10

(4πa

2

0

) −2.5 log

10

L. (2.54)

The last two terms are constants independent of z. Now let us expand this function in the limit z ≪1

(contemporary time). Since to leading order in small χ we have sin χ ≃ χ and sinh χ ≃ χ, then

independent of the curvature of the universe we can substitute Φ[χ

em

(z)] = χ

em

(z). The expansion to

leading order gives

m

bol

(z) = 5 log

10

z +

2.5

ln 10

(1 −q

0

)z + O(z

2

), q = −

¨ a

aH

2

. (2.55)

where q

0

is the deceleration parameter deﬁned as

q

0

=

1

2

Ω

0

_

1 + 3

p

ǫ

_

0

. (2.56)

By determining the function m

bol

(z) experimentally from observations and ﬁtting it by some choice of

parameters entering q

0

we can determine these parameters, i.e., Ω

0

, p

0

and ǫ

0

.

Type IA supernovae are suitable standard candles. Their observation led to the following conclusions:

2.6. DETERMINING COSMOLOGICAL PARAMETERS 35

Figure 2.3: Fitting the supernova data with models with various fractional contributions from matter

and cosmological constant.

• The expansion of the Universe is accelerating.

• From Friedman equation

¨ a = −

4π

3

G(ǫ + 3p)a (2.57)

we see that the universe will be accelerating if ¨ a > 0, which means that the right hand side of

this equation must be positive, which in turn means that a substantial fraction of the total energy

density is dark energy with negative pressure (e.g. p = wǫ, with w being negative).

• What is the origin of the dark energy?

– Cosmological constant, i.e., w = −1.

– Dynamical ﬁeld, e.g., time-dependent scalar ﬁeld (called quintessence).

• Following problems of modern cosmology are related to the acceleration of the universe:

– Why the dark energy is dominating the universe at the current time (much later than the

birth of the universe)

– The long term future of the universe can not be predicted since we can not predict the

behavior of the dark matter (e.g. the scalar ﬁeld can dissipate by creating matter and

radiation)

The expansion (2.55) is not valid for typical observed supernovae, since their redshifts are of order of

unity. One then needs to carry out a numerical study by using diﬀerent models of the universe. For

example, assume that the universe is ﬂat and consists of cold dark matter and cosmological constant,

i.e., Ω

0

= Ω

Λ

+ Ω

m

= 1. Then

Φ[χ

em

(z)] = χ

em

(z) =

1

H

0

a

0

_

z

0

dz

′

_

Ω

m

(1 + z

′

)

3

+ (1 −Ω

m

)

. (2.58)

36 CHAPTER 2. LIGHT PROPAGATION IN EXPANDING UNIVERSE

With this assumption we can compute the exact expression (2.55) for bolometric luminosity and compare

to observations. The data is best described by Ω

m

= 0.3.

2.6.3 Further methods

Let us calculate the number of a galaxies at a given redshift. We will need to make some simpliﬁcations;

we assume that the density is uniform and is given by n(z). The diﬀerential number of the galaxies is

given by

∆N = n(z)∆V (z) (2.59)

where ∆V (z) is an element of volume at a distance z. To calculate the latter quantity we note that a

surface element can be written

dS(z) = a(z)

2

Φ(χ(z))

2

dΩ, (2.60)

where dΩ is a element of a solid angle. This quantity should be multiplied with the third (physical)

dimension ∆d = a(z)∆χ, so that we obtain

∆V = a(z)

3

Φ

2

(χ)∆χ(z)∆Ω. (2.61)

Next we use that ∆z = aH

0

∆χ and 1 +z = a

0

/a(z) [Eq. (2.26)] to obtain

∆V = (1 + z)

−3

a

3

0

Φ

2

(χ)(a

0

H)

−1

∆z∆Ω = (1 + z)

−3

a

2

0

Φ

2

(χ)H

−1

(z)∆z∆Ω. (2.62)

To show a concrete example, we substitute the following expression for Φ

2

(χ),

Φ(χ(z)) =

2

_

[Ω

0

−1[

Ω

2

0

(1 + z)

¦Ω

0

z + (Ω

0

−2)[(1 + Ω

0

z)

1/2

−1]¦, (2.63)

which is valid for dust dominated universe (obtained in an Exercise)

∆N

∆z∆Ω

=

4n(z)

H

3

0

Ω

4

0

_

Ω

0

z + (Ω

0

−2)[(1 + Ω

0

z)

1/2

−1]

_

2

(1 + z)

6

(1 + Ω

0

z)

1/2

. (2.64)

Given the function n(z) measurements of ∆N/∆z∆Ω can be used to test cosmological models. This

method does not take into account the fact that the galaxies undergo some evolution (e.g. merge and

interact); however this is not a real problem if we can compute the galaxy dynamics.

An additional, higher order eﬀect arises from the evolution of the redshift. Consider again the

example of light emitted at the conformal time η

em

at a distance χ which is observed at the current

conformal time η

0

. Then,

z(η

0

) =

a

0

a

e

=

a(η

0

)

a( η

0

−χ

. ¸¸ .

emission t

)

. (2.65)

Now let us look at the time derivative of the redshift

dz(t)

dt

=

1

a(η

0

)

dz(η)

dη

0

=

1

a(η

0

)

d

dη

0

a(η

0

)

a(η

0

−χ)

=

1

a(η

0

)

_

a

′

(η

0

)

a(η

0

−χ)

−

a(η

0

)

a(η

0

−χ)

2

a

′

(η

0

−χ)

_

=

˙ a

0

a

e

−

˙ a

e

a

e

(2.66)

2.6. DETERMINING COSMOLOGICAL PARAMETERS 37

where prime denotes derivative with respect to conformal time η and dot denotes derivative with respect

to physical time (dt = adη). Further,

˙ z =

˙ a

0

a

e

−

˙ a

e

a

e

=

a

0

a

e

.¸¸.

1+z

˙ a

0

a

0

−

˙ a

e

a

e

= (1 + z)H

0

−

˙

H(z). (2.67)

Consider a concrete example of universe which consists of a mixture of matter and vacuum density such

that its energy density is given by

ǫ(z) = ǫ

cr

0

[Ω

Λ

+ Ω

m

(1 + z)

3

]. (2.68)

We use the expression for the Hubble parameter (2.32)

H(z) = H

0

_

(1 −Ω

0

)(1 + z)

2

+ Ω

0

ǫ(z)

ǫ

0

_

1/2

. (2.69)

Substituting we obtain

˙ z = (1 +z)H

0

_

1 −

_

(1 −Ω

0

+ Ω

m

(1 +z) + Ω

Λ

(1 + z)

−2

¸

1/2

_

. (2.70)

Suppose the universe is ﬂat: Ω

0

= 1 and Ω

Λ

= 1−Ω

m

. The change in the redshift is ∆u = ∆z/(1+z) =

˙ z∆t/(1 + z) and thus

∆u = −∆tH

0

_

_

(Ω

m

(1 +z) + (1 −Ω

m

)(1 + z)

−2

¸

1/2

−1

_

. (2.71)

We see that when Ω

m

→1, ∆u > 0 and when Ω

m

→0, ∆u < 0. Suppose Ω

m

= 1 and Ω

λ

= 0 and we

make an observation with an interval 1 yr; then

∆v ≈ −2(

√

1 + z −1) cm s

−1

. (2.72)

Currently it is possible to measure shifts that are by several orders of magnitude larger than those that

are required. However, it is conceivable that in the future decades such a shift can be measured. Such

measurements will provide a direct probe of acceleration of the universe and should be a complement

to other tests discussed above.

38 CHAPTER 2. LIGHT PROPAGATION IN EXPANDING UNIVERSE

Chapter 3

Thermal evolution of the universe

This chapter deals with the evolution of the universe at energies below few MeV. Compared to the

earlier (higher-energy) stages the physics at this scales is well understood.

The main elements of the composition of the universe at this stage are:

• Primordial radiation. This is the cosmic microwave radiation at temperature T = 2.73 K. We can

scale back the temperature (T ∝ a

−1

) to see that it was very high in the early universes. The

current energy content of this radiation is negligibly small (ǫ

γ

= 10

−34

g cm

−3

, which is only 10

−5

fraction of the total energy density).

• Baryonic matter. This is the component of matter from which ordinary objects are made. The

contribution of the baryonic matter to the total energy density is small, of the order of several

percent.

• Dark matter. Experiments indicate that a large fraction of matter and energy of the universe

is dark, i.e., invisible in ordinary light. The total of experimental data indicates that the dark

matter is cold and can contribute to the gravitational instability and structure formation in the

early universe; cold dark matter contributes about 1/4 of the critical density. A good candidate

for such matter are weakly interacting massive particles (WIMPs) predicted by supersymmetric

theories.

• Dark energy is non-clustered, i.e., it does not participate in the gravitational instability forma-

tion and has negative pressure, which is equivalent to a cosmological constant (p

Λ

= −ǫ

Λ

). It

constitutes the signiﬁcant rest ∼ 3/4 of the energy density of the universe.

• Primordial neutrinos are relicts of the early stage of the evolution of the universe. They have

negligible contribution to the energy density of the universe and their temperature (in the case of

only three neutrino families) is 1.9 K.

The energy densities of these components (actually, those that contribute substantially to the total

energy density) scale with the redshift as

ǫ

D

= ǫ

cr

0

Ω

D

(1 + z)

3(1+w)

, ǫ

m

= ǫ

cr

0

Ω

m

(1 +z)

3

, ǫ

γ

= ǫ

γ0

Ω

m

(1 +z)

4

, (3.1)

where ǫ

cr

0

= 3H

2

0

/8πG is the current value of the critical density, Ω

m

is the contribution of the baryonic

and cold dark matter to the cosmological parameter, Ω

D

is the same for dark energy with w ∼ −1/3

(currently). From the large z asymptotics we see that initially dominated the radiation, then the

39

40 CHAPTER 3. THERMAL EVOLUTION OF THE UNIVERSE

Figure 3.1: The thermal evolution of the universe. This chapter deals with the stages below the few

MeV temperatures, i.e., nucleosynthesis and recombination.

baryonic matter, and ﬁnally the dark energy. The transition from baryonic to dark energy dominated

universe occurs at modern times.

Comparing the redshifts at which the energy densities of these components become comparable we

obtain three basic epochs of evolution in terms of redshift:

• radiation dominated epoch z

R

> 10

4

, ultra-relativistic matter p = ǫ/3 and a ∝

√

t.

• matter dominated epoch 10

4

≤ z

M

≤ 0.33 −1.33, p = 0 component (dark matter) determines the

evolution with a ∝ t

2/3

.

• dark energy dominated epoch z < z

M

, the equation of state is p = wǫ and a ∝ t

2/3

(1 + w), where

w is typically negative.

Let us take a closer look at the evolution of the universe and the main events that occur. If we start

from cold universe and go back in time to the hot universe, there are roughly the following stages in

times/energies:

• 10

16

−10

17

s. Galaxy formation through gravitational instability.

3.1. PHYSICS AT LEPTON ERA 41

• 10

12

− 10

13

s. Free electrons and protons recombine to form neutral hydrogen. Last scattering

surface forms for photons - imprints are seen in the CMB (Hintergrundstrahlung) temperature

ﬂuctuations.

• 10

11

s (T ∼ eV). Matter - radiation equipartition.

• 200 −300 s (T ∼ 0.05 MeV). Light elements are formed from free neutrons and protons through

the nuclear reactions. We can measure the abundances of the light elements from primordial

nucleosynthesis.

• 1 s (T ∼ 0.5 MeV) The temperature is of the order of the electron mass - electron-positron

annihilation takes place leaving behind photons. (Only a small fraction of electrons survives).

• 0.2 s (T ∼ 1−2 MeV) Weak interactions are out of equilibrium and primordial neutrinos decouple

from the rest of the matter. The ratio of neutrons to protons remains ﬁxed as there is no chemical

equilibrium among them.

• 10

−5

s/200 MeV. The quark-gluon phase transition takes place.

• 10

−10

− 10

−14

s/100 GeV-10 TeV. The electroweak symmetry is restored and gauge bosons are

massless.

• 10

−14

− 10

−43

s/10 TeV-10

19

GeV. Up to these times/energies the classical general relativity

remains likely intact. Matter composition is unclear. Possibly supersymmetry plays a role by

requiring that the supersymmetric partners of the particles in the standard model be present.

• 10

−43

s/10

19

GeV (the Planckian scale). Classical gravity is not valid and should be replaced by

quantum gravity. Several orders below this energy scale one expects a Grand Uniﬁcation of all

forces in Nature.

3.1 Physics at lepton era

In this section we consider matter below the phase transition from free quarks to baryons, i.e., the

temperature T ≤ 100 MeV and the time t > 10

−4

s. At these energies the matter composition is given

by

γ n, p e

+

, e

−

ν

e

, ν

µ

, ν

τ

. (3.2)

Other components are

π, ρ, . . . (µ, τ negligible) (3.3)

where . . . stand for other mesons. The leptons, i.e., electrons, muons, tauons and neutrinos play a

crucial role in the reactions taking place at these times, therefore one calls this epoch lepton era.

For each conserved quantity we need one chemical potential; in the lepton era the conserved quan-

tities are electric charge, baryon number, and lepton number. Suppose the particles p

i

, i = 1, 2, 3, 4 are

in equilibrium via a reaction

p

1

+ p

2

= p

3

+ p

4

. (3.4)

Then the equilibrium means the equality of their chemical potentials

µ

1

+µ

2

= µ

3

+ µ

4

. (3.5)

42 CHAPTER 3. THERMAL EVOLUTION OF THE UNIVERSE

Thus, in general we need to establish the equilibrium reactions among the particles, form which we

determine the chemical potentials for each conserved quantity:

µ

Q

, µ

B

, µ

l

, (3.6)

i.e. we need three equations. The chemical potentials of anti-particles are equal to that of the particle

in magnitude but have an opposite sign.

Let us outline how this works on an example where we have the following constituents of matter

n, p, (baryons) (3.7)

π

0

, π

±

, (mesons) (3.8)

e, µ, τ, ν

e

, ν

µ

, ν

τ

(leptons). (3.9)

The reactions taking place in such a mixture and relation between the chemical potentials that follow

from application of the rules (3.5) are as follows:

n →p +e

−

+ ¯ ν

e

, ⇒ µ

n

= µ

p

+ µ

e

+ µ

ν

e

. (3.10)

The life time of the pion is short (in free space) so that

π

0

→γγ, ⇒ µ

π

0 = 0 = µ

γ

(3.11)

Heavy muon decays into light particles

µ →e

−

+ ¯ ν

e

+ ν

e

, ⇒ µ

µ

= µ

e

− −µ

ν

e

−µ

ν

µ

. (3.12)

The same applies for τ lepton

τ →e

−

+ ¯ ν

e

+ ν

τ

, ⇒ µ

τ

= µ

e

− −µ

ν

e

−µ

ν

τ

. (3.13)

Finally

π

−

→ ¯ ν

e

+ e

−

, ⇒ µ

π

− = µ

e

+ µ

ν

e

. (3.14)

Conservation of baryon number implies that the number of baryons minus the number of anti-baryons

scales as a

−3

; if there is no dissipation in matter then the entropy scales also as a

−3

and the entropy

per baryon remains constant:

B =

1

s

(n

p

− ¯ n

p

+ n

n

− ¯ n

n

) = const. (3.15)

Conservation of the total electric charge is

Q =

1

s

i=p,e,µ,τπ

−

(n

i

− ¯ n

i

). (3.16)

Finally the lepton number conservation for each lepton family f = e, µ, τ is given by

L

i

=

1

s

f=e,µ,τ

(n

f

− ¯ n

f

). (3.17)

3.1. PHYSICS AT LEPTON ERA 43

The equilibrium distribution functions for fermionic and bosonic constituents are (we omit here the

degeneracy factors that take into account their internal degrees of freedom, but will recover them in

the following section)

f =

1

exp

_

E−µ

T

_

+ 1

, g =

1

exp

_

E−µ

T

_

−1

, (3.18)

so that the densities deﬁned as

n

f

=

_

d

3

p

(2π)

3

f(E(p), µ, T), n

g

=

_

d

3

p

(2π)

3

g(E(p), µ, T). (3.19)

The entropy conservation implies

d

dt

_

sa

3

_

= 0; (3.20)

note that s is the entropy density and should be multiplied with the volume to yield the entropy of

the system; since V ∝ a

3

, we obtain (3.20). The conservation laws above determine the six unknown

functions

T, µ

e

−, µ

n

, and µ

ν

f

(f = e, µ, τ). (3.21)

The entire universe is electrically neutral, therefore

Q = 0. (3.22)

Baryon per entropy is established from observations to be in the range

B ≃ 10

−10

−10

−9

. (3.23)

The lepton to entropy ratio is not well established. From the arguments that will become clear in the

later chapters, the numbers of leptons and baryons can not be very diﬀerent; this implies that

[L

i

[ < 10

−9

. (3.24)

When the temperature is much larger than the mass m of the particles - many particle and anti-particle

pairs are created from vacuum, i.e., the number of pairs are of the order of the number of photons, which

scales as n

γ

∼ T

3

. What happens when T < m? We might expect that the pairs annihilate until a

small number of particles are left. We will need to recover some basic relations from thermodynamics

in order to quantify the particle number excess.

3.1.1 A recourse in thermodynamics

Let us recall some basics thermodynamics. We have pointed out above that the equilibrium distribution

functions for fermions and bosons are given in terms of the Fermi-Dirac and Bose-Einstein distribution

functions as

f =

1

exp

_

E−µ

T

_

+ 1

, g =

1

exp

_

E−µ

T

_

−1

. (3.25)

The density of the Fermi/Bose particles is then given as

n = g

_

∞

0

d

3

p

(2π)

3

1

exp

_

E−µ

T

_

±1

, (3.26)

44 CHAPTER 3. THERMAL EVOLUTION OF THE UNIVERSE

where the upper sign corresponds to fermions and the lower sign to bosons, g is the degeneracy factor

(g = 2s+1, where s is the value of the spin of particles). Suppose now the particle spectrum is given by

E =

_

p

2

+ m

2

, which corresponds to an ideal, i.e., non-interacting gas of relativistic particles. Then

we have

EdE = pdp, 0 ≤ p ≤ ∞, m ≤ E ≤ ∞. (3.27)

Changing the integration in Eq. (3.3) from momentum to energy we obtain

n =

g

2π

2

_

∞

m

dE E

√

E

2

−m

2

exp

_

E−µ

T

_

±1

, (3.28)

where we have carried out the angular integration over the phases dΩ = sin θdθdφ = 4π, since the

spectrum and, therefore, the integrand are independent of direction. The energy of the system can be

written as

ǫ = g

_

∞

0

d

3

p

(2π)

3

E

exp

_

E−µ

T

_

±1

=

g

2π

2

_

∞

m

dE E

2

√

E

2

−m

2

exp

_

E−µ

T

_

±1

. (3.29)

The expression for the pressure is then given by

1

p =

ǫ

3

−

m

2

g

6π

2

_

∞

m

√

E

2

−m

2

exp

_

E−µ

T

_

±1

. (3.30)

Adding the contribution from anti-particles amounts to adding identical integrals, but with µ → −µ.

Thus, we see that to compute the thermodynamics quantities of non-interacting relativistic gas we need

integrals of the type

I

(ν)

±

(α, β) =

_

∞

α

(x

2

−α

2

)

ν/2

e

x−β

±1

+ (β →−β), (3.31)

where we have introduced non-dimensional quantities α = m/T, β = µ/T and the variable x = E/T.

Using these deﬁnitions we can write the previous expression in a compact form. The energy becomes

ǫ + ¯ ǫ =

gT

4

2π

2

_

I

(3)

±

+ α

2

I

(1)

±

_

. (3.32)

For the pressure we obtain

p =

gT

4

6π

2

I

(3)

±

. (3.33)

Finally, the excess of particles over the anti-particles can be written as

n − ¯ n =

gT

3

6π

2

∂

∂β

I

(3)

±

. (3.34)

While the integrals (3.31) are easily calculated numerically it is instructive to consider several limiting

cases.

1

We will accept this expression without proof. See any text on thermodynamics for further detail.

3.1. PHYSICS AT LEPTON ERA 45

High temperature expansion of the integrals

Consider the limit where T ≫ m, we have α, β ≪ 1. and the corresponding expansions for fermions

and bosons

I

(1)

±

=

_

π

3

3

−

β

2

2

−π

_

α

2

−β

2

−

1

2

α

2

˜ α + O(α

4

, α

2

β

2

),

π

2

6

+

β

2

2

+

α

2

2

˜ α + O(α

4

, α

2

β

2

),

(3.35)

where C

F

= 0.577 is the Euler number and

˜ α =

_

α

4π

+ C

E

−

1

2

_

. (3.36)

Further

I

(3)

±

=

_

2π

4

15

+

π

2

2

(2β

2

−α

2

) + π(α

2

−β

2

)

3/2

−

˜

β + O(α

6

, α

4

β

2

),

7π

4

60

+

π

2

4

(2β

2

−α

2

) +

˜

β −

3

4

(ln 2)α

4

+ O(α

4

, α

4

β

2

),

(3.37)

where

˜

β =

1

8

_

2β

4

−6α

2

β

2

−3α

4

ln

_

C

E

α

4πe

3/4

__

. (3.38)

Low temperature expansion of the integrals

The low temperature limit is given by the conditions α = m/T ≫ 1 and α − β ≫ 1. In this limit we

obtain

I

(1)

±

=

√

2παe

−α

cosh β

_

1 +

3

8α

+ O(α

−2

)

_

, (3.39)

and

I

(3)

±

=

√

18πα

3

e

−α

cosh β

_

1 +

15

8α

+ O(α

−2

)

_

. (3.40)

With this formulae we can compute the thermodynamic quantities of of non-relativistic particles in the

limit α − β ≫ 1. It is clear that in this case the Fermi and Bose distribution functions reduce to the

Boltzmann distribution function, i.e., the thermodynamic parameters are the same for both statistics.

3.1.2 Thermodynamics of ultra-relativistic and non-relativistic gases

Now using the general formulae we can obtain explicit results for some speciﬁc examples that are of

interest in cosmology.

Ultrarelativistic particles: bosons

The form of the Bose distribution function implies that in order the distribution to be positive deﬁnite

the chemical potential of a boson can not exceed its mass µ ≤ m. We take the high-temperature

expansion for bosons (3.37) and evaluate the particle-anti-particle asymmetry from (3.34). The result

is

n − ¯ n =

gT

3

µ

3T

, (µ < m). (3.41)

Note that this equation does not take into account the possibility of Bose-Einstein condensation, in

which case a macroscopically large number of particles can occupy the ground state with

ǫ = lim

p→0

_

p

2

+ m

2

= m. (3.42)

46 CHAPTER 3. THERMAL EVOLUTION OF THE UNIVERSE

For ultra-relativistic particles ǫ ≃ p; setting µ = 0 in Eq. (3.26) we obtain the estimate

n ≃

ζ(3)gT

3

π

2

. (3.43)

Note that Eqs. (3.41) and (3.43) can not be compared to each other since the latter is taken in the limit

of Bose-Einstein condensation while the former excludes that limit. We stress again that The number

of particles that can be accommodated by Bose condensate in its ground state can be macroscopically

large.

However, in the absence of Bose-Einstein condensation then n−¯ n ≪n and particle and anti-particles

contribute equally to the thermodynamic quantities - energy density, pressure, and entropy

ǫ =

1

2

(ǫ + ¯ ǫ) ≃

π

2

gT

4

30

, (3.44)

p =

ǫ

3

, (3.45)

s =

4ǫ

3T

=

2π

4

45ζ(3)

n. (3.46)

Ultrarelativistic particles: fermions

For fermions the chemical potential is not bounded from above. We take the ultrarelativistic limit by

formally putting m = 0, i.e., α = 0 in Eq. (3.37) to obtain

ǫ + ¯ ǫ =

7π

2

120

gT

4

_

1 +

30β

2

7π

2

+

15β

4

7π

4

_

, (3.47)

which is valid at arbitrary chemical potentials for ultrarelativistic gas. As before we have p = ǫ/3.

Using Eq. (3.34) we obtain for particle-antiparticle asymmetry

n − ¯ n =

gT

3

6

β

_

1 +

β

2

π

2

_

. (3.48)

The entropy can be computed from a thermodynamical equation s = T

−1

(ǫ + p −µn):

s + ¯ s =

7π

2

90

gT

3

_

1 +

15β

2

7π

2

_

. (3.49)

As noted Eqs. (3.1.3)-(3.49) are valid at any µ. Let us consider now some limiting cases.

Large µ. This constitutes the degenerate Fermi gas, where T ≪µ. In that case the rightmost terms

in these equations are dominant. The energy density and entropy of a degenerate Fermi gas to leading

order in µ/T is then given by

ǫ + ¯ ǫ =

gµ

4

8π

2

+

gT

2

µ

2

4

, (3.50)

s + ¯ s =

gµ

2

T

4

. (3.51)

We see that to leading order the energy of degenerate gas is independent of temperature and is entirely

due to the degeneracy pressure (Pauli principle). The next to leading correction arises from the narrow

3.1. PHYSICS AT LEPTON ERA 47

shell around the Fermi surface. The entropy again is linear in temperature and vanishes in the zero

temperature limit (as it should).

Small µ. This corresponds to µ/T = β ≪ 1, i.e., we can neglect the chemical potentials in (3.26).

The integral is the straightforward and gives

n =

3ζ(3)gT

3

4π

2

. (3.52)

At the same time from the general equation (3.48) we obtain in this limit

n − ¯ n ≈

gT

3

6

β ≪n, (3.53)

i.e., the particle over anti-particle densities are parametrically suppressed by β compared to the particle

density. For the remaining parameters one ﬁnds

ǫ =

7π

2

240

gT

4

, p =

ǫ

3

, s =

4ǫ

3T

. (3.54)

If we have simultaneously bosons and fermions with the same number of internal degrees for freedom

(i.e. g is the same) then their entropies are related by

s

fermions

=

7

8

s

bosons

. (3.55)

Non-relativistic particles

Here we use the results obtained in the case of low-temperature expansion. We saw that it is valid in

the limit α − β = (m− µ)/T ≫ 1. In this case the exponential factor is larger than the unity and we

have Boltzmann distribution function. For this case we use again Eq. (3.34) to obtain

n − ¯ n ≃ 2g

_

Tm

2π

_

3/2

exp

_

−

m

T

_

sinh

_

µ

T

_

_

1 +

15T

8m

_

. (3.56)

The number density of the particle is given by

n ≃ g

_

Tm

2π

_

3/2

exp

_

−

m−µ

T

_

sinh

_

µ

T

_

_

1 +

15T

8m

_

. (3.57)

The number density of anti-particles is obtained via the replacement µ → −µ and is suppressed by a

factor exp(−2µ)/T) (the second exponent arises from sinh function). Substituting (3.39) and (3.40)

into the expression for the energy (3.32) and pressure the energy (3.33) we obtain

ǫ = mn +

3

2

nT, p ≃ nT. (3.58)

The entropy is again computed from s = T

−1

(ǫ + p −µn) to be

s ≃

_

m−µ

T

+

5

2

_

n. (3.59)

If the opposite condition is satisﬁed for fermions, i.e., (µ −m)/T ≫1 then we have a degenerate Fermi

gas. This case case is not of interest for our discussion.

48 CHAPTER 3. THERMAL EVOLUTION OF THE UNIVERSE

3.1.3 Particle-antiparticle annihilation and neutrino decoupling

Having determined the general formulae for thermodynamic functions let’s resume the study the lepton

era. We start with the eﬀect of extinction of the particle-anti-particle pairs:

• When the temperature is higher than the particle mass there are many particle-anti-particle pairs.

Once the temperature drops below the particle mass there is a substantial excess of particle over

anti-particles.

To quantify this eﬀect consider the particle-anti-particle asymmetry

α =

1

s

(n − ¯ n). (3.60)

This equation can be solved by squaring it, i.e., n

2

−2n¯ n + ¯ n

2

−s

2

α

2

= 0 and eliminating ¯ n

2

by using

the deﬁnition (3.60) ¯ n = n −sα and denoting n¯ n = b we obtain

n

2

−sαn −b = 0, ⇒ n =

sα +

√

s

2

α

2

+ 4b

2

, ¯ n =

−sα +

√

s

2

α

2

+ 4b

2

, (3.61)

In the case of non-relativistic particle we can use Eq. (3.57) to obtain the estimate

b = n¯ n = g

2

_

Tm

2π

_

3

exp

_

−

2m

T

_

. (3.62)

It is seen that the anti-particles will become extinct when

α ≫

2

√

b

s

∝ exp

_

−

m

T

_

. (3.63)

Since for m ≫ T the right-hand side is exponentially suppressed, we see that once the temperature

drops below the particle mass the anti-particles are strongly suppressed.

Baryon parameters

Now let us look at the baryon number again

B =

1

s

(n

p

− ¯ n

p

+ n

n

− ¯ n

n

+ n

Λ

− ¯ n

Λ

) = const. (3.64)

where we have added the Λ particles to our collection of baryons. Since the equilibrium tells us that

µ

Λ

= µ

n

we see that

n

Λ

− ¯ n

Λ

n

n

− ¯ n

n

=

_

m

λ

m

n

_

3/2

exp

_

−

m

Λ

−m

n

T

_

∼ exp

_

−

176 MeV

T

_

. (3.65)

We see that below the temperature of the order 100 MeV the Λ particles do not contribute to the total

baryon number. Furthermore since the temperatures are well below the mass of the nucleons 938 MeV,

the contribution due to the anti-baryons can be neglected and the baryon number in the lepton era is

due to the neutrons and protons only; thus we obtain (assuming n

p

∼ n

n

)

B =

1

s

n

p

_

1 +

n

n

n

p

_

≃

1

s

n

p

≃

g

s

_

Tm

p

2π

_

3/2

exp

_

−

m

p

−µ

p

T

_

sinh

_

µ

p

T

_

(3.66)

3.1. PHYSICS AT LEPTON ERA 49

or, equivalently,

m

p

−µ

p

T

≃ ln

_

1

B

_

m

p

T

_

3/2

_

, s ≃ T

3

. (3.67)

The chemical potential of protons is estimated to be in the range −100 ≤ µ

p

≤ 1000 MeV for temper-

atures in the range 40 ≤ T ≤ 1. The entropy of protons is given by

s

p

s

=

n

p

s

_

m

p

−µ

p

(t)

T

+

5

2

_

= Bln

_

1

B

_

m

p

T

_

3/2

_

∼ 10

−8

, (3.68)

if we assume that B ∼ 10

−10

.

To derive Eq. (3.66) we have assumed that n

n

∼ n

p

. Let us clarify when this is the case. From

the β-equilibrium between neutrons and protons we have the condition µ

n

= µ

p

+µ

e

+ ¯ µ

ν

, where ¯ µ

ν

is

the chemical potential of anti-neutrinos and can be replaced by the chemical potential of neutrinos via

µ

ν

= −¯ µ

ν

. Neglecting the diﬀerence in the masses of neutrons and protons we obtain from Eq. (eq:3.122)

n

n

n

p

= exp

_

−

m

n

−m

p

+ µ

ν

−µ

e

T

_

≃ exp

_

−

Q

T

_

, (3.69)

where Q = m

n

− m

p

= 1.293 MeV. We will show below that the chemical potentials of electrons and

neutrino can be neglected compared to Q.

Lepton parameters

In the lepton number conservation we shall keep only the electrons, and the three sorts of neutrinos;

the µ-on and τ-on are to heavy to be present at signiﬁcant amounts in matter. We rewrite the lepton

number conservation for these species as

L

e

=

1

s

(∆n

e

+ ∆n

ν

e

), L

µ

=

1

s

∆n

ν

µ

, L

τ

=

1

s

∆n

ν

τ

. (3.70)

We use the fact that [see Eq. (3.48)] and that s ∼ T

3

∆n

ν

µ

s

≃

gµ

µ

6T

∼ L

µ

,

∆n

ν

τ

s

∆n

ν

τ

≃

gµ

τ

6T

∼ L

τ

. (3.71)

Since L

i

= const., we conclude that the chemical potentials of leptons decrease inversely proportional to

the temperature as the universe expands. In the electronic sector we have

∆n

e

+ ∆n

ν

e

≃

g

e

µ

e

+ g

ν

µ

ν

e

6T

∼ L

e

= const. (3.72)

This does not allow us to estimate the chemical potential of electrons. This can be estimate from

the conservation of charge (electrons are responsible for compensating the positive charge of protons).

Indeed we have

∆n

e

s

≃

µ

e

T

=

∆n

p

s

∼ B ∼ 10

−10

⇒µ

e

∼ 10

−10

T. (3.73)

50 CHAPTER 3. THERMAL EVOLUTION OF THE UNIVERSE

Neutrino decoupling

Consider a universe where where we have photons, electrons, and the three neutrino species in equilib-

rium. All the species are ultrarelativistic. The energy density of such a mix follows from Eqs. () and ()

to leading order in β

ǫ ≃

π

2

T

4

30

_

g

B

+

7

4

g

F

_

. (3.74)

where g

B/F

are the total number of internal degrees of freedom of bosons and fermions, respectively. The

only bosons in our mixture are photons, which have two polarizations, hence g

B

= 2. Electrons have to

spin orientations, whereas each of the three neutrino species have one orientation (since neutrinos are

left-handed). In total the contribution of fermionic particles is g

F

= 2+1+1+1 = 5. The anti-particles

double this value, so that ﬁnally g

F

= 10. Computing the numerical factor we obtain

ǫ = 3.54T

4

. (3.75)

For the ﬂat radiation dominated universe we had a ∝

√

t and ǫ = 3/32πGt

2

[see Eq. (1.81)]. From

which it follows that

t ≃

1

√

32π

T

−2

, t(sec) ≃ (T MeV)

−2

. (3.76)

We see that the lepton era which corresponds to temperatures of the order of few MeV occurs at about

1 sec after the beginning of the Universe.

Lepton era is characterized by the following events:

• The neutrino decoupling. This occurs when the mean free path of neutrino scattering oﬀ other

constituents of matter becomes of the order of the cosmological time given by Eq. (3.76). This

occurs when the temperature is of the order 1.5 MeV

• The departure of baryons from chemical equilibrium via weak interactions. This occurs when the

temperature is of the order of 0.8 MeV.

• The electron-positron annihilation at temperature T ∼ m

e

heats up the universe.

Now we concentrate on the ﬁrst eﬀect. The key processes are

e

+

+ e

−

↔ν

e

+ ¯ ν

e

(electron −positron annihilation) (3.77)

e

±

+ ν

e

↔e

±

+ ν

e

(electron/positron −neutrino scattering) (3.78)

e

±

+ ¯ ν

e

↔e

±

+ ¯ ν

e

(electron/positron −anti −neutrino scattering) (3.79)

The diagram showing the scattering of the neutrino oﬀ the electron is shown in Fig. 3.3. The matrix

element for this weak neutral process is given by

/=

g

2

Z

8M

2

Z

_

¯ u(3)γ

µ

(1 −γ

5

)u(1)

¸ _

¯ u(4)γ

µ

(c

V

−c

A

γ

5

)u(2)

¸

, (3.80)

where c

V

and c

A

are the weak coupling constants and the particle spinors u(1) etc and antiparticle

spinors v(1) etc satisfy the Dirac equation

(,p −m)u(p) = 0, (,p + m)v(p) = 0. (3.81)

3.1. PHYSICS AT LEPTON ERA 51

Figure 3.2: Key processes contributing to the thermalization of neutrinos. (a) Electron-positron annihi-

lation, (b) electron neutrino scattering via Z

0

boson exchange, electron-neutrino (exchange) scattering

with W

−

boson exchange.

p

p p

p

1

3

4

2

ν

ν

e

e

Figure 3.3: The Feynman diagram for neutrino-electron scattering.

The matrix element squared (which is an average over the initial spin states and sum over all possible

ﬁnal ones) is given by

¸[/

2

[¸ = 2

_

g

Z

4M

Z

_

4

Tr

_

γ

µ

(1 −γ

5

),p

1

γ

ν

(1 −γ

5

),p

3

¸

Tr

_

γ

µ

(c

V

−c

A

γ

5

)(,p

2

+m)γ

ν

(c

V

−c

A

γ

5

)(,p

4

+ m)

¸

=

1

2

_

g

Z

M

Z

_

4

_

(c

V

+ c

A

)

2

(p

1

p

2

)(p

3

p

4

) + (c

V

−c

A

)

2

(p

1

p

4

)(p

2

p

3

) −m

2

(c

2

V

−c

2

A

)(p

1

p

3

)

¸

.

(3.82)

We shall assume that electrons are ultrarelativistic m = 0 and go to the center-of-mass frame. Then

¸[/

2

[¸ =

1

2

_

g

Z

M

Z

_

4

_

(c

V

+ c

A

)

2

(p

1

p

2

)(p

3

p

4

) + (c

V

−c

A

)

2

(p

1

p

4

)(p

2

p

3

)

¸

. (3.83)

The four scalar products are done according to the rule p

1

p

2

= E

1

E

2

− p

1

p

2

and we ﬁnally obtain

¸[/

2

[¸ = 2

_

g

Z

M

Z

_

4

E

4

_

(c

V

+c

A

)

2

+ (c

V

−c

A

)

2

cos

4

θ

2

_

. (3.84)

Now we can deﬁne the diﬀerential cross-section as

dσ

eν

dΩ

=

1

64π

2

¸[/

2

[¸

(E

1

+ E

2

)

2

[ p

f

[

[ p

i

[

=

2

π

2

_

g

Z

4M

Z

_

4

E

2

_

(c

V

+ c

A

)

2

+ (c

V

−c

A

)

2

cos

4

θ

2

_

. (3.85)

where p

i

and p

f

are the initial and ﬁnal momenta in a general center of mass frame and have equal

moduli since the scattering is elastic. For the order of magnitude estimate we will need only the total

cross section

σ

eν

=

2

3π

_

g

Z

2M

Z

_

4

E

2

(c

2

V

+ c

2

A

+ c

V

c

A

) =

32π

3

3

α

2

W

M

4

Z

E

2

(c

2

V

+ c

2

A

+ c

V

c

A

). (3.86)

52 CHAPTER 3. THERMAL EVOLUTION OF THE UNIVERSE

where α

W

= g

2

W

/4π = 1/29 is the weak coupling constant and we used g

W

= g

Z

cos θ

W

, where θ

W

=

28.7

o

, [sin

2

θ

W

= 0.23]. Similar estimate is valid for the charge current reactions. Thus we obtain an

estimate

σ

eν

∼

α

2

W

M

4

W,Z

T

2

. (3.87)

Using the scattering rate from kinetic theory with the cross-section (3.87) we obtain

τ

ν

∼ (σ

eν

n

e

.¸¸.

T

3

)

−1

∼ α

−2

W

M

4

W

T

−5

. (3.88)

From the condition τ

ν

∼ t, the latter given by (3.76), we obtain the temperature at which the electron

neutrinos decouple M

T

ν

e

= α

−2/3

W

M

4/3

W

≃ 1.5 MeV. (3.89)

The µ and τ neutrinos couple to the rest of the matter via their charge neutral scattering oﬀ the electrons

e + ν

µ,τ

→e + ν

µ,τ

. (3.90)

The rates of these processes that proceed via Z

0

exchange are smaller than that for electron neutrinos,

therefore the µ and τ neutrinos decouple earlier, i.e., at higher temperature than the electron neutrinos.

After the decoupling neutrinos do not interact with matter and their spectrum remains Planckian

spectrum at T = 1.5 MeV. Their temperature changes because of the expansion of the universe as

T ∝ a

−1

and can be calculated in any speciﬁc model of evolution of the universe.

The next event is the departure of the baryons from chemical equilibrium, which we will treat in

more detail later in the context of nucleosynthesis. For now we concentrate on the eﬀect of electron-

positron annihilation as the temperature becomes of the order of electron mass. This process will rise the

temperature of the radiation. Since the neutrinos decouple before the annihilation, their temperature

will be unaﬀected and will stay at the value derived above.

We can now make a robust estimate of the ratio of the neutrino to the radiation temperatures. Note

that after neutrino decoupling the entropy density stays constant. The net entropy of the remaining

matter also stays constant

s

ν

= Const. s

γ

+ s

e

± = Const. (3.91)

Since s

ν

∝ T

3

ν

and s

γ

∝ T

3

γ

, then

s

γ

+ s

e

±

s

ν

=

s

γ

s

ν

+

s

γ

s

ν

s

e

±

s

γ

=

T

3

γ

T

3

ν

_

1 +

s

e

±

s

γ

_

= Const. (3.92)

Just before decoupling of neutrinos we have T

ν

= T

γ

and the ratio of the entropies can be computed

from Eq. (3.55), i.e., s

e

= (7/8)s

γ

since the number of internal degrees of freedom of a photon (two

polarizations) and electron (two spin directions) are equal. Taking into account the positrons we have

s

e

±

s

γ

=

7

4

. (3.93)

at the decoupling. Substituting this and T

ν

= T

γ

in (3.91) we obtain the value of the constant 11/4.

Asymptotically, when the electron-positron pairs are annihilated their entropy vanishes and we obtain

T

γ

T

ν

=

_

11

4

_

1/3

= 1.401. (3.94)

Since the measured microwave background temperature is 2.73 K, then the primordial neutrino tem-

perature should be equal 1.95 K. However, there is no detection of the background primordial neutrinos

to date.

3.2. NUCLEOSYNTHESIS 53

3.2 Nucleosynthesis

Current universe consist of ∼ 75% Hydrogen and about ∼ 25%

4

He. The remaining element contribute

only trace amount to the matter density.

The

4

H nucleus has mass number A = 4 and is a bound state of two neutrons and two protons, with

bound state energy 28 MeV. It is much more stable than the neighboring nuclei with mass number 3

and 6 (a stable nucleus with mass number 5 does not exist in Nature). The fact that helium is so stable

is the consequence of the closed shell structure of this nucleus. The key question we ask now is when

and where was such a large amount of Helium created?

We know that at least some elements were created in stars through nuclear fusion reactions. This

is however not the case for Helium. The reason is the following: The observed luminosity vs mass ratio

in the universe is

_

L

M

B

_

obs

≤ 0.05

L

⊙

M

⊙

. (3.95)

where L

⊙

is the solar luminosity and M

⊙

= 1.3310

33

g is the solar mass. Let us compute this number

assuming that it was created in stars. The energy released as radiation when a Helium nucleus is created

is E

H

= 28/4 = 7 MeV per nucleon; note that if we do the calculations in the cgs units common in

astrophysics we should convert the MeV to ergs. The conversion formula is 1 MeV= 1.610

−6

erg. The

mass of a nucleon is m

B

= 1.67 10

−24

g and the age of the universe is approximately τ ≃ 3.2 10

17

s. Then

L

M

B

≃

E

H

τ

1

4m

B

= 5

erg

gs

= 2.5

L

⊙

M

⊙

. (3.96)

The discrepancy between (3.95) and (3.96) can be attributed to the fact that most of the Helium was

created in the early universe and not in stars.

It is clear that when the temperature is much higher than the binding energy of the Helium nucleus

(28 MeV) the nucleus will be easily dissociated. Therefore the nucleus must have been created after

the temperature drop below 28 MeV, when the universe seconds old. The approximate analysis below

shows that the primordial elements were created seconds to minutes after the birth of the universe when

the temperatures are few MeV.

We start by the analysis of the evolution of neutron and proton numbers in the regime of temper-

atures relevant for the nucleosynthesis. Neutron and proton abundances are maintained in equilibrium

via the charge current weak interactions

n + ν

e

→p + e, n +e

+

→p + ¯ ν

e

. (3.97)

The momenta and energies involved in this process are much smaller than the mass scale of gauges

bosons. Therefore, we can approximate the gauge boson propagator by a contact term. In that case

the matrix elements of the processes (3.97) is given by

[/[

2

= 16(1 + 3g

2

A

)G

2

F

(p

n

p

ν

)(p

p

p

e

), (3.98)

where G

F

= 1.17

−5

GeV

−2

. The ﬁrst term in the bracket is due to the vector coupling (i.e. the vertex

is just a Dirac spinor γ

µ

) the second term corresponds to the axial-vector coupling, i.e., the vertex is of

the type γ

µ

γ

5

; the factor g

A

≃ 1.26 is the axial vector coupling constant.

Now we wish to calculate in some detail the cross-section for the process n+ν →p+e. The general

formula for the diﬀerential cross-section is given by

dσ

eν

dΩ

=

1

(8π)

2

[/[

2

(p

ν

+ p

n

)

2

_

(p

p

p

e

)

2

−m

2

p

m

2

e

(p

n

p

ν

)

2

−m

2

n

m

2

ν

_

1/2

. (3.99)

54 CHAPTER 3. THERMAL EVOLUTION OF THE UNIVERSE

Note that we deal here with four-vectors so that p

2

= E

2

−p

2

and p

1

p

2

= E

1

E

2

−p

1

p

2

. Furthermore,

since E

2

= p

2

+ m

2

we see that p

2

= m

2

. We will ignore the mass of electron neutrino, which is small

compared to the other scales in the problem (temperature, masses of other particles). Applying these

general relations to Eq. (3.99)

(p

n

+p

ν

)

2

= p

2

n

+ p

2

ν

+ 2p

n

p

ν

= m

2

n

+ E

n

E

ν

_

1 −

p

n

p

ν

E

n

E

ν

_

≃ m

2

n

+ m

n

E

ν

_

1 −

[p

n

[E

ν

cos θ

E

n

E

ν

_

≃ m

2

n

,

(3.100)

where θ is the angle formed by the vectors p

n

and p

ν

and in the last step we have taken into account

that for relevant temperatures of order few MeV neutrons (as well as protons) are non-relativistic, i.e.,

E

n

≃ m

n

≫[p

n

[. Furthermore,

p

n

p

ν

= E

n

E

ν

−[p

n

[[p

ν

[ cos θ = E

n

E

ν

−[p

n

[E

ν

cos θ = E

n

E

ν

_

1 −

[p

n

[

E

n

cos θ

_

≃ m

n

E

ν

. (3.101)

Note that the velocity of an electron is deﬁned as

v

e

=

∂E

∂[p[

=

∂

∂[p[

_

[p[

2

+ m

2

=

[p[

E

=

_

E

2

−m

2

E

2

=

_

1 −

m

2

E

2

. (3.102)

Therefore, we obtain for the following factor from the cross-section

(p

p

p

e

)

2

−m

2

p

m

2

e

= (E

p

E

e

−[p

p

[[p

e

[ cos θ

pe

)

2

−m

2

p

m

2

e

≃ E

2

p

E

2

e

_

1 −

m

2

p

E

2

p

m

2

e

E

2

e

_

≃ m

2

p

E

2

e

_

1 −

m

2

e

E

2

e

_

. ¸¸ .

v

2

e

.

(3.103)

With the approximations above we obtain for the matrix element

[/[

2

= 16(1 + 3g

2

A

)G

2

F

m

n

m

p

E

ν

E

e

, (3.104)

and the cross-section (m

ν

= 0)

dσ

eν

dΩ

=

1

4π

2

(1 + 3g

2

A

)G

2

F

E

2

e

v

e

_

m

p

m

n

_

2

. (3.105)

We would like now to ﬁnd the change in the number of neutrons in a unit volume in a comoving

coordinates due to the reactions above. Let us write down the kinetic equation for neutron distribution

function

∂f

n

∂t

= −

i=e,ν,p

_

d

3

p

i

(2π)

3

2E

i

. ¸¸ .

phase space element

f

ν

[1 −f

e

][1 −f

p

][/[

2

(2π)

4

δ(p

n

+ p

ν

−p

e

−p

p

). (3.106)

We can obtain a rate equation for neutron density by summing up over the neutron phase space on the

left and right hand sides of the kinetic equation:

∂n

n

∂t

= −

_

d

3

p

n

(2π)

3

2E

n

∂f

n

∂t

=

i=e,ν,p,n

_

d

3

p

i

(2π)

3

2E

i

f

ν

[1−f

e

][1−f

p

][/[

2

(2π)

4

δ(p

n

+p

ν

−p

e

−p

p

). (3.107)

3.2. NUCLEOSYNTHESIS 55

Note that now the product on the right-hand-side includes also neutrons. The energy conservation

in the non-relativistic approximation can be approximated as δ(ǫ

n

+ ǫ

ν

− ǫ

e

− ǫ

p

) = δ(ǫ

ν

+ Q − ǫ

e

).

We now substitute the cross section and use the non-relativistic approximation E

i

= m

i

for i = p, n,

which cancel similar factor in the matrix element. The integration over the phase space of neutrons and

protons on the right-hand-side gives n

n

and 1 − n

p

and we assume n

p

≪ 1. Furthermore for electron

and neutrinos we have

_

d

3

p

i

(2π)

3

2E

i

=

_

4π[p

i

[

2

dE

i

(2π)

3

2E

i

=

_

E

i

dE

i

4π

2

[p

i

[

E

i

.¸¸.

v

i

(3.108)

We thus obtain for the rate equation (v

ν

= 1)

∂n

n

∂t

= −8πn

n

(1 + 3g

2

A

)G

2

F

_

E

2

e

dE

e

4π

2

E

2

ν

dE

ν

4π

2

f

ν

[1 −f

e

](2π)δ(ǫ

ν

+ Q−ǫ

e

)

= −n

n

(1 + 3g

2

A

)G

2

F

_

∞

Q

E

2

e

dE

e

2π

3

(E −Q)

2

ν

v

e

f(E −Q)[1 −f(E

e

)] = −λ

nν

n

n

. (3.109)

The one-dimensional integral λ

n

can be computed numerically. A good approximation is provided by

the formula

λ

nν

≃ 1.63

_

T

ν

Q

_

3

_

T

ν

Q

+ 0.25

_

2

s

−1

. (3.110)

Where T

ν

is the neutrino temperature and before electron-positron annihilation it is equal to the tem-

perature of the ambient matter (electrons).

The rate of the reaction ne

+

→ p¯ ν is calculated in the similar fashion and diﬀers only in the

integration limits

∂n

n

∂t

= n

n

(1 + 3g

2

A

)G

2

F

_

−m

e

−∞

E

2

e

dE

e

2π

3

(E −Q)

2

ν

v

e

f(E −Q)[1 −f(E

e

)] = −λ

ne

n

n

. (3.111)

For T

ν

= T and T > m

e

the both results are numerically close λ

ne

≃ λ

nν

. The rates of the inverse

reactions

p + e

−

→n + ν, p + ¯ ν →n +e

+

, (3.112)

can be related to the direct reaction through the so-called detailed balance equations which state that

λ

pe

= exp

_

−

Q

T

_

λ

nν

, λ

p¯ ν

= exp

_

−

Q

T

_

λ

ne

. (3.113)

Now let us introduce the concentrations of neutrons and protons as

X

n

=

n

n

n

, X

p

=

n

p

n

, (3.114)

56 CHAPTER 3. THERMAL EVOLUTION OF THE UNIVERSE

where n = n

n

+n

p

is the net density of baryons. The rate equation for neutron concentration becomes

d

dt

X

n

= −(λ

nν

+λ

ne

)X

n

+ (λ

pe

+λ

pν

)X

p

= −(λ

nν

+λ

ne

)

_

¸

_

X

n

−exp

_

−

Q

T

_

(1 −X

n

)

. ¸¸ .

X

p

_

¸

_

= −(λ

nν

+λ

ne

)

_

X

n

_

1 + exp

_

−

Q

T

__

−exp

_

−

Q

T

__

= −(λ

nν

+λ

ne

)

_

1 + exp

_

−

Q

T

__

_

¸

¸

¸

¸

_

X

n

−

1

_

1 + exp

_

Q

T

_¸

. ¸¸ .

˜

X

n

_

¸

¸

¸

¸

_

= −A(X

n

−

˜

X

n

), (3.115)

where

˜

X

n

must be the asymptotic (equilibrium) value of the neutron concentration, since when dX

n

/dt =

0 we get automatically X

n

=

˜

X

n

. The formal solution of this diﬀerential equation is

X

n

(t) =

˜

X

n

(t) −

_

t

0

I(t, τ)

d

˜

X

n

dτ

dτ, (3.116)

where the integral is given by

I(t, τ) = −

_

t

τ

A(y)dy. (3.117)

We now wish to estimate the freeze-out concentration. We have

˜

X

n

→0 when T →0. (3.118)

Therefore the concentration is given by the second term in (3.116) when the limit t →∞is taken. Thus

the freeze-out density is given by

X

f

=

_

∞

0

I(t, τ)

d

˜

X

n

dτ

dτ, (3.119)

where we need the relation between time and temperature [see Eq. (3.76)]

t

sec

= 1.39

1

√

κT

2

MeV

, κ =

π

2

30

_

g

b

+

7

8

g

f

_

≃ 3.537, (3.120)

where we inserted g

b

= 2 for bosons, g

f

= 10 for fermions present in the lepton era. The numerical

calculation shows that

X

f

= 0.158, κ ≃ 3.537. (3.121)

If there is an additional neutrino (with its anti-particle) then κ →kappa + 0.58 and then X

f

= 0.163.

We can generalize this to

X

f

≃ 0.158 + 0.005(N

ν

−3), (3.122)

where N

ν

is the number of neutrino species (equal to 3 in the standard model).

3.2. NUCLEOSYNTHESIS 57

Neutron decay

On time-scales that are much shorter than the life-time of a neutron τ

n

≃ 886 s we can neglect the

process of neutron decay

n →p + e + ¯ ν

e

. (3.123)

After the freeze-out this is the only reaction that changes the number of neutrons. The decrease of the

neutron concentration is then given

X

n

(t) = X

f

exp

_

−

t

τ

n

_

. (3.124)

The nucleosynthesis occurs at about t ∼ 250 sec, which is non-negligible compared to the neutron

life-time; therefore we need to take into account the neutron decay to obtain the number of neutrons

at the start of the nucleosynthesis.

3.2.1 Deuterium

Now we turn to the question on how the light nuclei are created. This is a key test of Big Bang

cosmological model. Our goal will be to show how to compute the elemental abundances and compare

them with their observed abundances in the current universe. Most of them are created in a two-step

process. The ﬁrst process is

p + n ↔D + γ. (3.125)

where D stand for deuterium. We need now to consider a mixture of neutrons, protons and deuterium.

Let us start by giving some general formulae. Suppose we have only one type of nuclei i with mass

number A

i

and Z

i

. Their density is then given by

n

i

= g

i

(2πm

i

T)

3/2

e

µ

i

−µ

i

T

, (3.126)

where g

i

is the number of the spin state of the nucleus, m

i

is the mass of the nucleus and the chemical

potential is given by

µ

i

= Z

i

µ

p

+ (A

i

−Z

i

)µ

n

. (3.127)

We can eliminate the nucleon chemical potentials by deﬁning

n

i

n

Z

i

p

n

A

i

−Z

i

n

=

g

i

2

A

i

A

3/2

i

(2πm

N

T)

3(1−A

i

)/2

e

B

i

/T

, (3.128)

where the binding energies B

i

are deﬁned as

m

i

= Z

i

m

p

+ (A

i

−Z

i

)m

n

−B

i

. (3.129)

Deﬁning the fractions

X

i

=

n

i

n

B

, X

n

=

n

n

n

B

, X

p

=

n

p

n

B

, (3.130)

where n

B

is the total number of baryons we can rewrite the last equation as

X

i

=

g

i

2

X

Z

i

p

X

A

i

−Z

i

n

A

3/2

i

ǫ

A

i

−1

e

B

i

/T

. (3.131)

58 CHAPTER 3. THERMAL EVOLUTION OF THE UNIVERSE

Here we have deﬁned a dimensionless quantity

ǫ =

1

2

n

B

(2πm

n

T)

−3/2

= 2.96 10

−11

_

a

10

−10

a

0

_

−3

_

T

10

10

K

_

−3/2

, (3.132)

where we have used for the baryon number

n

B

=

3Ω

B

H

2

0

8πGm

N

_

a

0

a

_

3

. (3.133)

Sometimes the baryon density is parameterized in terms of the baryon to photon ratio, which deﬁned

η

10

≡ 10

10

n

N

n

γ

(3.134)

and is related to the parameter Ω

B

via the relation

Ω

B

h

2

≃ 6.53 10

−3

η

10

. (3.135)

Using the key formula (3.131) with g

D

= 3 the deuterium abundance can be written as

X

D

= 5.7 10

−14

η

10

T

3/2

MeV

exp

_

B

D

T

_

X

p

X

n

. (3.136)

where from Eq. (3.129) follows that B

D

= m

p

+m

n

−m

D

≃ 2.23 MeV.

When the build-up of substantial amounts of deuterium possible? We can not simply apply the

formula for X

D

, because high energy photons with energies ǫ

γ

> B

D

will destroy deuterium nuclei. An

estimate of the number of such photons follows from

n

γ

(ǫ

γ

> B

D

)

n

D

≃

B

2

D

Te

−B

D

/T

n

N

X

D

∼ 10

10

1

η

10

X

D

_

B

D

T

_

2

e

−B

D

/T

. (3.137)

This number becomes of the order of one at T ≤ 0.06 MeV.

The reates of the other reactions that convert deuterium into somewhat heavier elements scales with

the density of deuterons. Therefore, up to the point where substantial number of deuterons has been

built up heavier elements can not be created. This picture persist until large amounts of deuterons

opens up the way for built up of heavier elements. As pointed out above this occurs at temperatures

below 0.06 MeV. This picture is called deuterium bottleneck.

3.3 Cosmological nucleosynthesis

• formation of light elements (D,

3

He,

H

e,

7

Li) in the early universe

• goal is to compute abundances of these elements and to compare this with observations

• key-test for Big-Bang model

• the main cosmological parameter one can obtain from this analysis is baryon to photon ratio

η =

n

B

n

γ

. (3.138)

From η one can obtain Ω

B

, the current density in baryons over the critical energy density

3.3. COSMOLOGICAL NUCLEOSYNTHESIS 59

Ω

B

=

n

B

m

P

ǫ

cr

=

n

B

m

P

(3H

2

0

)/(8πG)

= η n

γ

m

P

(3H

2

0

)/(8πG)

, (3.139)

H

0

= h 100

km

s Mpc

, (3.140)

ǫ

cr

=

3 (100

km

s·Mpc

) h

2

8π 6.67 10

−11

m

3

kg·s

2

= 1.0 10

−26

h

2

kg

m

3

, (3.141)

h ≈ 0.70 , (3.142)

n

γ

= 2

1

(c)

3

_

d

3

p

(2π)

3

1

e

βp

−1

= 2

1

π

2

ζ(3)

(k

B

T)

3

(c)

3

= 4.08 10

8

m

−3

, (3.143)

T = 2.7358 K, (3.144)

ζ(3) =

∞

k=1

1

k

3

∼

= 1.202 , (3.145)

ω

B

= η n

γ

m

P

ǫ

cr

= η 4.08 10

8

1.67 10

−27

1.9 10

−26

h

2

, (3.146)

Ω

B

h

2

= 3.6 10

7

η . (3.147)

We know (ﬂat universe!): Ω

B

≤ 1 . Estimate: η ≤

0.7

2

3.6·10

7

∼

= 1.4 10

8

.

(Attention: Zeile in Vorlage nicht lesbar!!!)

Properties light elements:

A

Z Binding Energy g(2I+1) observed abundance

m

A

n

A

m

H

n

H

2

H = D 2.22 MeV 3 2.78

+0.44

−0.38

10

−5

3

He 2.22 MeV 2 ≤ (1.1 ±0.2) 10

−5

4

He 2.22 MeV 1 0.2477 ±0.0029

6

Li 2.22 MeV 3 (Attention:??????)

7

Li 2.22 MeV 4 2.07

+0.15

−0.04

10

−10

(

3

H decays to

3

He via β−decay, no stable nuclei with mass 5 and 8,

7

Be EC →

7

Li) .

To ”cook” nuclei, T ∼ 0.01 −10 MeV. At this point all nuclei are non-relativistic (m

N

≫T) . The

universe then consisted of γ, ν and e

+

, e

−

. Since

n

B

n

γ

≤ 10

−8

, and from exercise 4.1 we know radiation

dominates for t < 2 10

4

y, nuclei are just a tiny perturbation to the energy density of the universe at

time they were formed.

60 CHAPTER 3. THERMAL EVOLUTION OF THE UNIVERSE

We can get T(t) in the era where nuclei were cooked from the γ, ν, e

+

, e

−

plasma.

Radiation dominates: ǫ = g

π

2

30

T

4

a ∼

√

t

˙ a

a

=

1

2t

_

˙ a

a

_

2

=

1

4t

2

=

8πG

3

ǫ (3.148)

ǫ(t) =

3

8πG

1

4t

2

= g

π

2

30

t

4

(3.149)

T =

_

g

0

32π

3

gG

_

1/4

1

√

t

=

_

_

_

_

g

0

32π

3

2

.¸¸.

only γ

6.67 10

−11

_

_

_

_

(Attention :???) (3.150)

t ∼ 0.2 s neutrino decoupling

T ∼ 1 −2 MeV proton neutron ratio freezes out

t ∼ 1 s e

+

e

−

−annihilation

T ∼ 0.5 MeV

t ∼ 200 −300 s nucleosynthesis

T ∼ 0.05 MeV

t ∼ 10

11

s matter domination starts

T ∼ eV

t ∼ 10

12

−10

13

s ∼ 3 10

5

y recombination

So how to form nuclei. We start building them from protons and neutrons. From freeze-out we

know (see previous lecture) that X

n

=

N

n

N

n

+N

p

∼ 0.158.

First one has to make Deuterium (p +p +n +n →

4

He has very low cross section (”rare process”), we

have to go via D!)

D can be formed in the following reaction:

p + n ⇆D + γ (3.151)

for t < 10

3

s, Γ ≫H. (no problem this reaction).

Let us try to compare the Deuterium abundance per weight:

X

D

≡

2n

D

n

N

(3.152)

where n

N

is the total number of nucleons.

g

D

= 3 , B

D

= 2.23 MeV, g

n

= g

p

= 2 . (3.153)

3.3. COSMOLOGICAL NUCLEOSYNTHESIS 61

For

p + n ⇄D + γ (3.154)

to be in chemical equilibrium we have

µ

p

+µ

n

= µ

D

. (3.155)

All particles are non-relativistic,

n

A

= g

A

_

d

3

p

(2π)

3

1

e

β(

√

p

2

+m

2

−µ)

+ 1

∼

= g

A

_

m

A

T

2π

_

3/2

exp

_

µ

A

−m

A

T

_

(3.156)

where T is temperature of the universe.

X

D

=

2n

D

n

N

, (3.157)

X

D

=

n

p

n

N

, (3.158)

X

D

=

n

n

n

N

, (3.159)

B

D

= m

p

+ m

n

−m

D

= 233 MeV, (3.160)

X

D

=

2n

D

n

p

n

n

X

P

X

n

n

n

= 2

g

0

g

p

g

n

_

m

D

m

p

m

n

_

3/2

_

2π

T

_

3/2

exp (B

D

/T) n

N

. (3.161)

Now we can use that n

N

/n

γ

is constant.

η =

n

N

n

γ

, (3.162)

n

γ

=

2

π

3

ζ(3) T

3

, (3.163)

n

N

= η n

γ

, (3.164)

X

D

= 2

3

4

_

m

D

m

p

m

n

_

3/2

_

2π

T

_

3/2

exp B

D

/T η n

γ

(3.165)

m

N

= 938 MeV m

D

∼ 2 m

N

. (3.166)

X

D

= 2

3

4

2

3/2

(2π)

3/2

2

π

2

ζ(3)

1

m

3/2

N

T

3/2

exp(B

D

/T)η

= 5.67 10

−4

η T

3/2

MeV

exp(B

D

/T

MeV

)X

p

X

n

= 5.67 10

−4

η

10

T

3/2

MeV

exp(B

D

/T

MeV

)X

p

X

n

, (3.167)

where η

10

= η 10

10

.

At T = 1 MeV X

D

= 5.27 10

−13

η

10

X

p

X

n

extremely small, η

10

∼ 7

T = 0.1 MeV X

D

= 2.7 10

−4

η

10

X

p

X

n

T = 0.08 MeV X

D

= 7.2 10

−2

η

10

X

p

X

n

T = 0.07 MeV X

D

= 3.9 η

10

X

p

X

n

T = 0.06 MeV X

D

= 7.8 10

2

η

10

X

p

X

n

62 CHAPTER 3. THERMAL EVOLUTION OF THE UNIVERSE

Hence between T = 0.06 MeV and T = 0.08 MeV D concentration should raise enormously. Why only

signiﬁcant production at these rather low temperatures, T ≪B?

Many photons → although majority has energy ≪B, the tail has photons with energy ∼ B, tail only

suppressed at small T.

The rates of converting D into heavier elements are proportional to the D concentration and negligible

after T < 0.1 MeV. This is called the ”Deuterium battleneck”. We have to wait for D to be formed

before heavier elements which have much higher B can be formed.

Now how to make the earlier elements:

D +D →

3

He + n, (3.168)

D +D → T + p , (3.169)

where T =

3

H (Tritium) . It turns out that these reactions become eﬃcient when X

D

≥ 10

−4

. Bottle-

neck opens up. Complicated set of reactions possible.

It is not easy to go further.

4

He +

4

He →

8

?, no stable 8, also no stable 5 ⇒ other battleneck.

Show abundances as a function of time with computer.

Show picture of ﬁnal abundances.

Some words about

4

He.

It turns out that when X

D

∼ 10

−2

in a short time nearly all available neutrons end up in

4

He.

X

D

∼ 10

−2

at t

N

= 269 (1 −0.07(N

ν

−3) −0.06 ln(???)η

10

) s = 238 s (3.170)

X4

He

= 2X

n

(t) = 2X

∗

n

e

−t

N

/τ

= 0.23 ±0.012(N

ν

−3) + 0.005 log η

10

= 0.24 , (3.171)

where τ = 886 s and X

∗

n

= 0.158 .

Not so sensitive to η

10

.

Conclusions:

3.4. RECOMBINATION 63

• Light element abundances can be explained.

• Remarkable since abundances span many orders of magnitude. One can extract the value of η:

4 10

−10

≤ η ≤ 7 10

−10

(old values from (19??)), then 0.014 ≤ Ω

B

h

2

≤ 0.025,

h = 0.7 ⇒0.029 ≤ Ω

B

≤ 0.051 .

• D/H ratio:

η = 5.9 ±0.5 10

−10

(???) . Ω

B

h

2

= 0.0214 ±0.020 .

• Independent measurement CMB ﬂuctuations, WMAP:

Ω

B

h

2

= 0.0224 ±0.0009, Ω

B

= 0.044 ±0.004, η = (6.1 ±0.3) 10

−10

(Perfect agreement!).

• Note that Ω

B

∼ 0.044 < Ω

M

≈ 0.3. So most of matter is not baryonic. What can it be? Dark

matter.

• Slight problem with

7

Li in nucleosynthesis: predicted value ∼ 3 10

−10

, observed value ∼ 2 10

−10

.

3.4 Recombination

After the nucleosythesis the matter composition of the universe is the following

• Thermal radiation (photons)

• Electrons

• Protons (hydrogen nuclei)

• Fully ionized Helium nuclei (i.e. n + n + p + p).

Next the recombination occurs. The process is very fast and we call it recombination moment.

Physically this means that the electrons are captured on protons to form Hydrogen nuclei

e + p →H (3.172)

and two electron are captures on alpha particle to form

4

He

e + e + p +p + n + n →

4

He. (3.173)

The ionization energy of Helium is much larger than that of the Hydrogen, therefore these two events

diﬀerent somewhat in time. First comes the Helium recombination then the Hydrogen. When all the

ionized atoms have capture the available electrons and have become electrically neutral the universe

becomes transparent to the radiation. This radiation carries the imprint of the early universe and exists

up to our days - it is called Cosmic Microwave Background (CMB). We will return to CMB and study

its features in future lectures.

64 CHAPTER 3. THERMAL EVOLUTION OF THE UNIVERSE

3.4.1 Helium recombination

Let us consider the recombination of Helium. The recombination of Helium occurs in two steps.

Step one: capture of one electron on He nucleus leads to a singly ionized Helium atom

B

+

= m

e

+ m

2+

−m

+

= 54.4 eV (3.174)

where m

2+

and m

+

are the masses of He

2+

and He

+

. This energy corresponds to 6.32 10

5

K. Let us

estimate the temperature at which this process occurs. We assume a chemical equilibrium

He

2+

+ e

−

↔He

+

+ γ. (3.175)

The chemical equilibrium implies then that the chemical potentials satisfy the following relation

µ

2+

+ µ

e

= µ

+

. (3.176)

Now we consider the ratio

n

2+

n

e

n

+

=

g

2+

g

e

g

+

_

Tm

e

2π

_

3/2

exp

_

−

B

+

T

_

(3.177)

where the densities are given by the usual equation for non-relativistic particles (3.57). The ratio of

statistical weights is equal 1. The complete recombination of Helium reduces the number of electrons

only by 12%. Therefore, the number density of electrons before the Hydrogen recombination is

n

e

≃ 0.8n

N

≃ 2 10

−11

η

10

T

3

. (3.178)

We substitute Eq. (3.178) into Eq. (3.177) to obtain

n

2+

n

+

≃ exp

_

35.6 +

3

2

ln

_

B

+

T

_

−

_

B

+

T

_

−ln η

10

_

. (3.179)

This is a transcendental equation for temperature which can be used by interactions. It is clear that

when the exponent is positive then the number of complete ionized He nuclei is much larger than that

of singly ionized ones. Thus, for the temperature at which this ratio is of order of unity:

T

+

=

B

+

42 −ln η

10

≃ 15000K(1 + 0.023 ln η

10

)K. (3.180)

This half of the nuclei and doubly ionized whereas the other half is singly ionized. Now consider the

case when the temperature falls slightly, i.e., ∆T = T

+

− T ≪ T

+

is a small number. Then we can

substitute in Eq. (3.179) T = T

+

−∆T and expand to leading order in ∆T, which gives

n

2+

n

+

≃ exp

_

−

B

+

∆T

T

2

+

_

∼

_

−42

∆T

T

+

_

(3.181)

This equation tells us that, for example, if the temperature falls by 1/5 of T

+

(typically going from 15

000 K to 12 000 K) we get n

2+

/n

+

∼ 0.0001.

A further observation is that the temperature T

+

varies as a logarithm of the baryon density η.

Therefore the larger the baryon density the earlier the recombination of He takes place (at a higher

temperature).

3.4. RECOMBINATION 65

Second step. Another electron is captured on a singly ionized He atom. In this case we have for the

binding energy

B = m

e

+ m

1+

−m

He

= 24.62 eV (3.182)

Note that both the ﬁrst and second electron end up in the ﬁrst orbit. Because the binding ionization

energy (3.182) is lower than for the ﬁrst electron this second stage occurs at lower temperature, which

is typically 5000 K. At this temperature Hydrogen is still ionized and the universe is still opaque to

photons.

3.4.2 Hydrogen recombination

After the Helium recombination the key reaction that maintains the equilibrium between the radiation

and matter is this

p + e

−

↔H + γ. (3.183)

Here H is the neutral Hydrogen atom. In the ground state the binding energy is

B

H

= m

p

+ m

e

−m

H

= 13.6 eV (3.184)

which translates into temperature T

H

= 158000 K. We can again derive the Saha equation, which now

reads

n

p

n

e

n

H

=

_

Tm

e

2π

_

3/2

exp

_

−

B

H

T

_

(3.185)

where n

H

is the number density of the hydrogen atoms in the ground state; the ratio of the statistical

weights is again equal 1. In principle, higher states of atoms can be populated (these are denoted as

2

S,

2

P after the scheme

(2S+1)

L

J

, where L is the orbital momentum, J is the total angular momentum, and

S is the total spin. For the temperatures of interest T ≤ 5000 K, the relative concentration is given by

n

2P

n

H

=

g

2P

g

H

= exp

_

−

3

4

B

H

T

_

< 10

−10

, (3.186)

and therefore is negligible. It is common to introduce the ionization factor

X

e

=

n

e

n

e

+ n

H

. (3.187)

Since the charge neutrality implies n

p

= n

e

and

n

e

+ n

H

≃ 0.75 10

−10

η

10

n

γ

= 3.1 10

−8

η

10

_

T

T

γ0

_

3

cm

−3

, (3.188)

we can rewrite (3.185) as

X

2

e

1 −X

e

= exp

_

37.7 +

3

2

ln

_

B

H

T

_

−

B

H

T

−ln η

10

_

. (3.189)

The expression in the exponent vanishes at the temperature

T

rec

≃

B

H

43.4 −ln η

10

≃ 3650(1 + 0.023 ln η

10

)K. (3.190)

At this point the recombination of hydrogen begins; the fractional value of the electrons is X

e

= 0.6.

The recombination proceeds very rapidly. We obtain from Eq. (3.189) that a fractional change in the

temperature of the order 0.1 reduce the fraction X

e

∼ 10

−4

. The description above gives only very crude

picture of the recombination. In fact, the ionization fraction does not decrease exponentially, rather it

freezes-out. Furthermore, the equilibrium description fails shortly after the recombination starts.

66 CHAPTER 3. THERMAL EVOLUTION OF THE UNIVERSE

Figure 3.4: The leakage scheme leading to formation of neutral hydrogen.

Nonequilibrium hydrogen recombination

The simple picture where an electron is captured to the ground state

p + e

−

↔H + γ (3.191)

does not describe properly the recombination because the photon emitted in this process is very energetic

and ionizes immediately another atom. More eﬀective are the cascade processes where

p + e

−

→H(excited) + γ →H(2P) + γ →H(1S) + γ. (3.192)

During the last process emitted photon is called Lyman-α photon It has energy and cross-section

3B

H

/4 = 117000 K, σ

α

≃ 10

−17

−10

−16

. (3.193)

The Lyman-α photons are reabsorbed on short-timescales

τ ≃ (σ

α

n

H

)

−1

∼ 10

3

−10

4

s. (3.194)

This timescale should be compared with the cosmological timescale. At the recombination we have

matter dominated universe. We take the energy of cold particles, whose critical density is

ǫ

cr

= (6πt

2

)

−1

. (3.195)

3.4. RECOMBINATION 67

Using for the temperature T = T

γ0

(1 + z) we obtain

t

sec

= 2.75 10

17

(Ω

m

h

2

75

)

−1/2

_

T

γ0

T

_

3/2

∼ 10

13

s. (3.196)

Since

τ ≪t

sec

(3.197)

the photons does not see the cosmological expansion and therefore are not redshifted. We can neglect

the redshift eﬀects.

To give a qualitative kinetic approach to the problem the following assumptions are made

• Keep only 1S, 2S, and 2P states of neutral hydrogen and neglect all the excited states.

• electrons, protons and thermal photons are present

• non-thermal L

α

photons are present

The rate of ionization obeys the following equation

dX

e

dt

= −

dX

1S

dt

= −W

2S

X

2S

, (3.198)

where X

e

= n

e

/n

T

, X

2S

= n

2S

/n

T

, where n

T

is the total number of neutral atoms and electrons.

Eq. (3.198) is a good approximation once about 50% of neutral hydrogen is formed until the end of

recombination.

We consider now the 2S reservoir and the quasi-equilibrium condition for it becomes

¸σv¸

ep→γ2S

n

e

n

p

−¸σ¸

γ2S→ep

n

eq

γ

n

2S

−W

2S→1S

n

2S

= 0, (3.199)

where n

eq

γ

is the number density of thermal photons. The relation between the cross-section for the

direct and inverse reactions ep ↔γ2S is given by

¸σ¸

γ2S→ep

n

eq

γ

¸σv¸

ep→γ2S

=

n

eq

e

n

eq

p

n

eq

2S

=

_

Tm

e

2π

_

3/2

exp

_

−

B

H

4T

_

, (3.200)

where we used the Saha equation and the fact that the binding energy for the 2S state is B

H

/4. Then

we have

X

2S

=

_

W

2S

¸σv¸

ep→2S

+

_

Tm

e

2π

_

3/2

exp

_

−

B

H

4T

_

_

−1

n

T

X

2

e

(3.201)

and then we become from (3.198)

dX

e

dt

= −W

2S

_

W

2S

¸σv¸

ep→2S

+

_

Tm

e

2π

_

3/2

exp

_

−

B

H

4T

_

_

n

T

X

2

e

. (3.202)

We have now two cases

• The ﬁrst term in the bracket is small, then we have a Saha equation for excited state of Hydro-

gen and electrons. At T > 2450 K the reaction γ2S ↔ ep is eﬃcient in maintaining chemical

equilibrium between the electrons, protons and hydrogen 2S states.

68 CHAPTER 3. THERMAL EVOLUTION OF THE UNIVERSE

• for temperatures T < 2450 K the thermal radiation is unimportant; the rate is determined by the

equilibrium between recombination and to the 2S level and two-photon decay.

In the latter case we obtain

dX

e

dt

≃ −¸σv¸

ep→2S

n

T

X

2

e

. (3.203)

The rate is entirely determined by the recombination to the 2S level and does not depend on the W

2S

(two photon decay from the 2S state). The recombination cross-section can be ﬁtted by

¸σv¸

rec

≃ 8.7 10

−14

_

B

H

T

_

0.8

cm

3

s

−1

. (3.204)

It is convenient to rewrite the rate equation in terms of the redshift parameter

z =

T

T

γ0

−1 (3.205)

instead of cosmological time. One ﬁnds that

dX

e

dz

≃ 0.1

η

10

_

Ω

m

h

2

75

_

0.72

_

z

14400

_

0.3

+ 10

4

z exp

_

−

14400

z

__

−1

X

2

e

(3.206)

which can be integrated to ﬁnd

X

e

(z) ≃ 6.9 10

−4

_

Ω

m

h

2

75

η

10

__

z/14400

dy

0.72y

0.3

+ 1.44 10

8

y exp(−1/y)

_

−1

. (3.207)

At T > 2450 K the ﬁrst term in the denominator can be neglected; then we obtain

X

e

(z) ≃ 1.4 10

9

_

Ω

m

h

2

75

η

10

z

−1

exp

_

−

14400

z

_

. (3.208)

At low temperatures, asymptotically the integral goes to 0.27, therefore

X

f

e

≃ 2.5 10

−3

_

Ω

m

h

2

75

η

10

≃ 1.6 10

−5

√

Ω

m

Ω

b

h

75

(3.209)

Finally, let us ﬁnd out when the universe becomes transparent to radiation. This occurs when the photon

scattering time exceeds the cosmological time. The photon opacity is due to Thomson scattering (elastic

scattering of radiation (photon) by free charged particle). The scattering cross-section σ

T

≃ 6.6510

−25

cm

2

and the cosmological time

t

sec

= 2.75 10

17

(Ω

m

h

2

75

)

−1/2

_

T

γ0

T

_

3/2

∼ 10

13

s. (3.210)

and the total number density

n

e

+ n

H

≃ 0.75 10

−10

η

10

n

γ

= 3.1 10

−8

η

10

_

T

T

γ0

_

3

cm

−3

. (3.211)

3.4. RECOMBINATION 69

Substituting all this in the standard equation

t ∼

1

σ

T

n

t

X

e

(3.212)

we obtain

X

dec

e

∼ 6 10

3

_

Ω

m

h

2

75

η

10

_

T

γ0

T

dec

_

3/2

. (3.213)

For T

dec

∼ 2500 K z ∼ 900 independent of the cosmological parameters. For Ω

m

h

2

75

≃ 0.3 and η

10

≃ 5

the ionization fraction is 2 10

−2

.

70 CHAPTER 3. THERMAL EVOLUTION OF THE UNIVERSE

Chapter 4

Gravitational instabilities

The universe was homogeneous at the time of decoupling of radiation, as is evidenced by the isotropy

of the microwave background radiation. Afterwards structures developed. The simple explanation of

how structures developed in a homogeneous universe is based on the notion of gravitational instability.

The build up of instabilities is natural for the gravity because matter is attracted to high density

regions which ampliﬁes the existing inhomogeneities. It is convenient to start with the Newtonian

theory.

4.1 Newtonian theory

In this section we treat matter as a perfect ﬂuid, which can be characterized by the energy density

ǫ(x), where x = (x, t), entropy S(x, t) and three-velocity v(x, t). The prefect ﬂuid is characterized by

conservation laws of energy density

∂ǫ(x, t)

∂t

+∇(ǫ(x, t)v) = 0, (4.1)

Euler equation

∂v

∂t

+ (v

∇)v +

∇p

ǫ

+∇φ = 0, (4.2)

and entropy conservation

∂S(x, t)

∂t

+∇(S(x, t)v) = 0. (4.3)

This latter equation neglects the dissipation in matter. In the Newtonian theory these equations should

be supplemented by the Poisson equation

∆φ = 4πGǫ, (4.4)

and ﬁnally the equation of state

p = p(ǫ, S). (4.5)

These equations are suﬃcient to determine the unknowns, which are

ǫ(x, t), S(x, t), v(x, t), φ(x, t) p. (4.6)

71

72 CHAPTER 4. GRAVITATIONAL INSTABILITIES

4.1.1 Instabilities in the static universe (Jeans instability)

We consider ﬁrst a static universe assuming that it is homogeneous and the energy density is constant

in time

ǫ(t, x) = const. (4.7)

We have seen in our exercise that this assumption is inconsistent with the Newtonian gravity and perfect

hydrodynamics. This problem is avoided however in the Einstein universe where the gravitational force

is compensated by oppositely directed cosmological constant. Let us look at Small perturbations

ǫ(x, t) = ǫ

0

+δǫ(x, t), (4.8)

v(x, t) = v

0

+δv(x, t), (4.9)

φ(x, t) = φ

0

+ δφ(x, t), (4.10)

S(x, t) = S

0

+ δS(x, t). (4.11)

where all perturbations are much small than the background values, i.e., δǫ ≪ ǫ

0

, etc. The pressure

can be written as

p(x, t) = p(ǫ

0

+ δǫ, S

0

+δS) = p

0

+ δp(x, t). (4.12)

where we can write

δp = c

2

S

δǫ + σδs (4.13)

where c

2

S

= (∂p/∂)

S

, with c

S

being the speed of sound, and σ = (∂p/∂S)

ǫ

.

Perturbation equations are

∂δǫ

∂t

+ ǫ

0

∇(δv) = 0, (4.14)

∂δv

∂t

+

c

2

S

ǫ

0

∇(δǫ) +

σ

ǫ

0

∇(δS) +∇δφ = 0, (4.15)

∂δS

∂t

= 0, (4.16)

∆δφ = 4πGδǫ (4.17)

The solution of Eq. () is independent of time

δS(x, t) = δS(x). (4.18)

We apply the ∇ operation to Eq. (4.15) and use the Poisson equation to eliminate the function ∆δφ

to obtain a second order diﬀerential equation for the energy density

∂

2

δǫ

∂t

2

−c

2

S

∆δǫ −4πGǫ

0

δǫ = σ∆δS(x). (4.19)

Adiabatic solutions

Adiabatic processes proceed at constant entropy δS = 0. Then the solutions of Eq. () can be obtained

by inserting the Fourier transform

δǫ(x, t) =

_

δǫ

k

(t)e

i

k·x

d

3

k

(2π)

3/2

. (4.20)

4.1. NEWTONIAN THEORY 73

Then we obtain

δ¨ ǫ

k

+ (k

2

c

2

S

−4πGǫ

0

)δǫ

k

= 0. (4.21)

This is the equation of harmonic oscillator and has the standard solution

δǫ

k

∝ exp(±iω(k)t). (4.22)

where

ω(k) =

_

k

2

c

2

S

−4πGǫ

0

. (4.23)

Deﬁne the Jeans length from the condition ω(k) = 0

λ

J

=

2π

k

J

= c

S

_

π

Gǫ

0

_

1/2

(4.24)

We have now two cases: when λ < λ

J

the contribution from gravity (the term 4πGǫ

0

) only changes

the eﬀective frequency of the sound modes. The solutions in this case are thus sound modes with the

eigenvector

δǫ ∝ sin(ωt +

k x + ϕ) (4.25)

which propagate with the phase velocity

c

∗

=

ω

k

= c

S

_

1 −

k

2

J

k

2

. (4.26)

In the limit k ≫k

J

the gravity is much smaller than the pressure, therefore, c

∗

→c

S

. In the opposite

limit λ > λ

J

the solutions are not oscillatory, i.e., we have

δǫ

k

∝ exp (±[ω[t) . (4.27)

The plus sign describes exponentially fast growing mode while the minus sign describes exponential

decaying perturbations. If we look at very large scales, i.e., very small wave-vectors, we can write

[ω[t ≃ t/t

GR

, where t

GR

= 1/

√

4πGǫ

0

can be interpreted as a characteristic collapse time for a region

with initial density ǫ

0

. The Jeans length characterizes the scales at which the gravity and pressure

perturbations are coupled via the sound mode propagation.

4.1.2 Vector perturbations

Eq. (4.19) has trivial solutions δǫ = 0 and δS = 0, but the complete system of hydrodynamical equations

has still a solution which give

∇δv = 0,

∂δv

∂t

= 0. (4.28)

The second equation requires only that the function be independent of time and could in principle be

an arbitrary function of coordinate. The ﬁrst equation tells us that the plane wave perturbations

δv =

A

k

exp(i

k x). (4.29)

are transverse (i.e. are perpendicular to the wave vector k)

A

k

k = 0. (4.30)

(Recall that this is the case for the electromagnetic waves). The vector perturbations describe the shear

motions of the media which do not disturb the energy density. As in the case of electromagnetism we

can have two independent ﬁelds that satisfy the condition (4.30).

74 CHAPTER 4. GRAVITATIONAL INSTABILITIES

4.1.3 Entropy perturbations

Now consider the case where δS ,= 0, in which case

δ¨ ǫ

k

+ (k

2

c

2

S

−4πGǫ

0

)δǫ

k

= −σk

2

δS

k

. (4.31)

This is an inhomogeneous equation whose solution is the sum of the general (homogeneous) solution

and some particular solution. The particular solutions is given by

δǫ

k

= −

σk

2

δS

k

k

2

c

2

S

−4πGǫ

0

. (4.32)

It is easy to check that it satisﬁes (4.32) by direct substitution. The perturbations (4.32) are called

entropy perturbations. It is interesting that in the limit when k is large we have

lim

k→∞

δǫ

k

= −

σδS

k

c

2

S

, (4.33)

i.e., the gravitational term does not contribute. That is the pressure perturbations are exactly compen-

sated by entropy perturbations so that δp

k

= c

2

S

δǫ

k

+ σδS

k

= 0.

The complete set of modes thus includes two adiabatic perturbations, two vector perturbations and

one entropy perturbation. The phenomenologically most important mode is the exponentially growing

one, which is responsible for the structure formation in the Universe.

4.1.4 Instabilities in the expanding universe

So far we have considered a universe which is static. Now we reconsider the same problem of gravitational

instability by taking into account the expansion of the Universe. The background energy density and

background velocities are given by

ǫ = ǫ

0

(t),

V =

V

0

= H(t)x. (4.34)

In the Newtonian theory we have the following equations

˙ ǫ

0

+ 3Hǫ

0

= 0, (4.35)

˙

H + H

2

= −

4πG

3

ǫ

0

. (4.36)

The ﬁrst one the energy conservation equation, the second one is the Friedman equation. Consider

again small perturbations that are given by

ǫ(x, t) = ǫ

0

+ δǫ(x, t), (4.37)

v(x, t) =

V

0

+ δv(x, t), (4.38)

φ(x, t) = φ

0

+ δφ(x, t), (4.39)

p(x, t) = p

0

+ δp(x, t) = p

0

+ c

2

S

δǫ(x, t). (4.40)

Here we neglect the entropy perturbations. The perturbation equations are

∂δǫ

∂t

+ ǫ

0

∇(δv) +∇(δǫ

V

0

) = 0, (4.41)

∂δv

∂t

+ (

V

0

∇)δv + (δv

∇)V

0

c

2

S

ǫ

0

∇(δǫ) +∇δφ = 0, (4.42)

∆δφ = 4πGδǫ. (4.43)

4.1. NEWTONIAN THEORY 75

Obviously we cannot proceed as before because

V

0

depends on the coordinates. So far we considered

only Eulerian perturbations (denoted by δ) which are perturbations with respect to a ﬁx reference

frame. The method of Fourier transform does not help here to solve the equations. It is much more

convenient to work with Lagrangian perturbations which are deﬁned with respect to the moving ﬂuid.

Let us see how this works. Denote by q the Lagrangian coordinate which we relate to the Eulerian

coordinate by

x = a(t)q, (4.44)

where a(t) is the scale factor. Now we need to be careful in computing the partial derivatives with

respect to time in the Eulerian and Lagrangian coordinate frames. Consider the time derivative of a

general function f(x = aq, t)

∂f

∂t

¸

¸

¸

q

=

∂f

∂t

¸

¸

¸

x

+ ˙ a q

∂f

∂x

¸

¸

¸

t

=

∂f

∂t

¸

¸

¸

x

+

˙ a

a

(aq)

∂f

∂x

¸

¸

¸

t

(4.45)

∂

∂t

¸

¸

¸

x

=

∂

∂t

¸

¸

¸

q

−(V

0

∇

x

). (4.46)

The coordinate derivatives are related by

∇

x

= a

−1

∇

q

(4.47)

Now we rewrite the equations (4.41) -(4.43) in the Lagrangian coordinates and introduce the normalized

energy density ε ≡ ǫ/ǫ

0

∂

∂t

ε + a

−1

∇

q

εv = 0, (4.48)

∂

∂t

δv +Hδv +

c

2

S

a

δε +

1

a

∇

q

δφ = 0 (4.49)

∆δφ = 4πGa

2

ǫ

0

ε. (4.50)

Now we carry out the same steps as in the case of static universe; take the divergence of the equation

(4.49) and use the Poisson equation to obtain

¨ ε + 2H ˙ ε −

c

2

S

a

2

∆ε −4πGǫ

0

ε = 0. (4.51)

The latter equation describes the gravitational instability in the expanding universe.

Adiabatic perturbations

Next take a Fourier transform with respect to the comoving coordinate q

¨ ε

k

+ 2H ˙ ε

k

+

_

a

−2

c

2

S

k

2

−4πGε

0

_

ε

k

= 0. (4.52)

where we have written

ε(t, q) =

_

ε

k

(t) exp(ik q)

d

3

k

(2π)

3/2

(4.53)

76 CHAPTER 4. GRAVITATIONAL INSTABILITIES

Now we introduce the Jeans length as

λ

∗

J

=

2πa

k

J

= c

S

_

π

Gǫ

0

(4.54)

where λ

∗

J

is the physical scale, which is related to the comoving wavelength via λ = 2π/k and λ

∗

= aλ.

Assuming ﬂat, mater-dominated universe ǫ

0

= (6πGt

2

)

−1

, therefore

λ

∗

J

∼ c

S

t. (4.55)

Jeans length is of the order of sound horizon. Now consider the two cases of λ being much smaller and

much larger than the Jeans length scale.

For the case λ ≪λ

J

the solution is given by

ε

k

∝

1

√

c

S

a

exp

_

±k

_

c

S

dt

a

_

. (4.56)

For the case λ ≫λ

J

gravity dominates and one can neglect the k-dependent pressure term (c

2

s

k

2

= 0).

The solution is then simply ε = H(t), which corresponds to decaying solution of the perturbation in

matter dominated universe of arbitrary curvature.

The most general solution in the long-wave limit is then given by (we accept this result without

derivation)

ε = C

1

H

_

dt

a

2

H

2

+ C

2

H. (4.57)

If we assume matter-dominated universe, then a ∝ t

2/3

and H ∝ t

−1

. Then

ε = C

1

t

2/3

+ C

2

t

−1

. (4.58)

Thus in an expanding universe the gravitational instability is much less eﬃcient, i.e., it increases as a

power law (as opposed to the static universe, where it was exponential). This implies that the initial

perturbation at the very early stages of the universe must have been quite large. This condition is

satisﬁed by the inﬂationary scenario.

Vector perturbations

If we set ε = 0 in Eqs. (4.48)-(4.50) then we ﬁnd that

∇δv = 0,

∂δv

∂t

+ Hδv = 0. (4.59)

If we assume that δv

k

(t) exp(ik q) then from the ﬁrst Eq. (4.59) it follows that k δv

k

(t) = 0. Upon

Fourier transformation, the second equation becomes

δ ˙ v

k

+

˙ a

a

δv

k

= 0. (4.60)

The solution of this equation is of the form

δv

k

∝

1

a

. (4.61)

We conclude that vector perturbations decay as the universe expands. Their current amplitudes must

be very small; in fact, if we assume that their amplitudes are rather large in the universe, this would

destruct the initial homogeneity of the universe. Vector perturbations can be important in explaining

the rotation of galaxies, i.e., after the stage when inhomogeneities are formed in the universe.

4.1. NEWTONIAN THEORY 77

4.1.5 Self-similar solutions

For large scale perturbations we can neglect the pressure, therefore the spatial derivatives can be dropped

in Eq. (4.51). The solutions can be written directly in the coordinate space as

ε(q, t) = A(q)ε

i

(t) +B(q)ε

d

(t). (4.62)

where the indices i and d refer to the increasing and decaying modes. The initial conditions are chosen

such that at the initial time t

0

we have ε

i

(t

0

) = ε

d

(t

0

) = 1. We assume that the energy distribution

at the initial moment is described by ε(q, t

0

) and the matter is at rest with respect to the Hubble ﬂow

δv = 0) initially. Then, using the initial conditions, we obtain

ε(q, t) = ε(q, t

0

)

_

ε

i

(t)

1 −( ˙ ε

i

/ ˙ ε

d

)

t

0

+

ε

d

(t)

1 −( ˙ ε

d

/ ˙ ε

u

)

t

0

_

, (4.63)

where we have eliminated the constants A and B in favor of the initial value of perturbation ε(q, t

0

) and

its ﬁrst derivative. Such perturbations preserve their initial shape and are called self-similar. This is

the case at late times (t ≫t

0

), where we can omit the mode corresponding to the decay (i.e., ∝ B(q)).

4.1.6 Eﬀects of dark matter on the instabilities

Here we wish to study the eﬀect of dark energy component on the development of instabilities in the

universe within the Newtonian theory. We are interested in the case where the we have a homogeneous

relativistic energy component. This comes in two possible versions: radiation, with the equation of

state w = 1/3 and dark matter with w < −1/3.

The dynamical equations for instabilities

¨ ε + 2H ˙ ε −

c

2

S

a

2

∆ε −4πGǫ

0

ε = 0 (4.64)

contain the same perturbations for the cold component, but the Hubble constant now is determined

by energy density which contains components listed above as well as cold matter; the energy density is

given by

ǫ

tot

=

ǫ

eq

2

_

_

a

eq

a

_

3

+

_

a

eq

a

_

3(1+w)

_

, (4.65)

where a

eq

is the scale factor at the point where the energy densities of the relativistic and cold matter

components are equal. The value of the Hubble constant is given by that for the ﬂat universe

H

2

=

8πG

3

ε

tot

. (4.66)

We wish now to solve Eq. (4.64). Instead of time we introduce a variable x = a/a

eq

. We replace ǫ

0

by

the energy density of the cold matter

ε

d

=

ε

eq

2

_

a

eq

a

_

3

(4.67)

We also use Eq. (4.66) to write the Hubble parameter in terms of the variable x. Then Eq. (4.64)

becomes

x

2

(1 +x

−3w

)

d

2

ε

dx

2

+

3

2

x

_

1 + (1 −w)x

−3w

_

dε

dx

−

3

2

ε = 0. (4.68)

where we dropped the term ∝ c

S

is negligible (it is determined by the cold component alone).

78 CHAPTER 4. GRAVITATIONAL INSTABILITIES

There are several special cases when we can solve (4.68) analytically The ﬁrst case is that of cosmo-

logical constant: w = −1. It can be veriﬁed that a special solution is this

ε

1

(x) =

√

1 + x

−3

(4.69)

by a direct substitution. The most general solution for w = −1 is given by

ε(x) = C

1

√

1 + x

−3

+ C

2

√

1 + x

−3

_

x

0

(

y

1 + y

3

)

3/2

dy. (4.70)

where C’s are constants of integration. At early times when cold matter dominates (x ≪ 1) the

perturbations grow as

ε(x) = C

1

x

−3/2

+

2

5

C

2

x + O(x

3/2

), (4.71)

which is in agreement with the previous result when the cold matter dominates. In the later times when

the cosmological constant dominates and in the limit x ≫1 we obtain

ε(x) = (C

1

+ IC

2

) −

1

2

C

2

x

−2

+ O(x

−3

) (4.72)

where

I =

_

∞

0

_

y

1 + y

3

_

3/2

≃ 0.57. (4.73)

Thus we conclude that in the presence of cosmological constant the perturbation stop to grow and

the amplitude of the perturbations is frozen at the late times. This is not surprising because the

cosmological constant acts as anti-gravity.

Now we consider the case where the homogeneous relativistic background is given by the radiation.

This corresponds to setting w = 1/3 in previous equations. In this case the solutions are as follows. A

special solution is

ε

1

(x) = 1 +

3

2

x. (4.74)

The most general solution can be checked to be

ε(x) = C

1

_

1 +

3

2

x

_

+ C

2

__

1 +

3

2

x

_

ln

√

1 +x + 1

√

1 + x −1

−3

√

1 + x

_

. (4.75)

Now consider the limiting behaviour. In the limit x ≪1 (early times) we have the asymptotics

ε(x) = (C

1

−3C

2

) −C

2

ln

x

4

+O(x), (4.76)

i.e., the perturbations grow very slowly (logarithmically). Thus the radiation suppresses the growth of

instabilities in cold matter. In the limit x ≫1, i.e., when matter takes over the radiation we have the

asymptotics

ε(x) = C

1

(1 +

3

2

x) +

4

15

C

2

x

−3/2

+ O(x

−5/2

) (4.77)

Thus the perturbations grow proportional to the scale factor. It is clear that in the initial radiation

era the structures can not be formed, therefore one needs quite early transition to the cold matter

dominated epoch to get the perturbations grow. This implies that there should be a minimal amount

of cold matter so that it can dominate over the radiation.

4.1. NEWTONIAN THEORY 79

4.1.7 Nonlinear perturbations

Linear perturbations are stretched by the Hubble ﬂow. Their energy density in the linear regime is

given by

ǫ = ǫ

0

(1 + ε + O(ε

2

)) (4.78)

and it does not diﬀer much from the background value ǫ

0

. However, when the perturbations are of

order of unity (non-linear regime) the perturbation expansion does obviously break down.

What happens to the density perturbations when they reach the non-linear regime? The answer

is that the gravitational perturbation wins over the Hubble expansion, so that the dynamics is now

determined by the local gravitational forces; the increase in the energy density leads ﬁnally to a collapse

of the region to a stable non-linear structure.

It is a diﬃcult numerical problem to ﬁnd exact solutions in the non-linear regime. It is useful to

consider two limiting cases

• spherically symmetric perturbations; the solutions are called Tolman solutions

• one-dimensional perturbations: the solutions are called Zel’dovich solution

Obviously, the general case interpolated between these two limit and idealized cases. Nevertheless it is

useful to understand how the non-linear regime develops in these cases.

Hydrodynamics equations in the non-linear regime

We rewrite the continuity equation in the following form

_

∂

∂t

[

x

+ V

i

∇

i

_

ε + ε∇

i

V

i

= 0. (4.79)

where ∇

i

≡ ∂/∂x

i

. Let us write the Euler equation in new notations and assume that the pressure is

equal zero

_

∂

∂t

+ (V

j

∇

j

)

_

V

i

+∇

i

φ = 0. (4.80)

Acting on this equation by a ∇ operator and using in the last term the Poisson equation we obtain

_

∂

∂t

+ (V

j

∇

j

)

_

∇

i

V

i

+ (∇

i

V

j

)(∇

j

V

i

) + 4πGǫ = 0. (4.81)

We go over from the Eulerian to the Lagrangian coordinates to take into account the expansion of the

ﬂuid. As before we can write

x = x(q, t). (4.82)

These comoving coordinates can be used as long as the ﬂuid trajectories do not cross. By deﬁnition

V

i

=

dx

i

dt

=

dx

i

(q, t)

dt

(4.83)

Now we need to compute in these coordinates the quantity

∇

j

V

i

=

∂q

k

∂x

j

∂

∂q

k

_

∂x

i

(q, t)

∂t

_

=

∂q

k

∂x

j

∂

∂t

_

∂x

i

(q, t)

∂q

k

_

. ¸¸ .

J

i

k

. (4.84)

80 CHAPTER 4. GRAVITATIONAL INSTABILITIES

The quantity J

i

k

is called the strain tensor. The time derivatives are related in the Eulerian and

Lagrangian description by the following relation

_

∂

∂t

+ (V

j

∇

j

)

_

=

∂

∂t

¸

¸

¸

¸

¸

x

+

∂x

i

(q, t)

∂t

¸

¸

¸

¸

¸

q

∂

∂x

i

=

∂

∂t

¸

¸

¸

¸

¸

q

. (4.85)

We have established the time and spatial derivatives entering the hydrodynamics equations; substituting

these into Eqs. (4.79) and (4.81) we obtain

∂ε

∂t

+ε

∂q

k

∂x

i

∂J

k

i

∂t

= 0, (4.86)

and

∂

∂t

_

∂q

k

∂x

i

∂J

i

k

∂t

_

+

_

∂q

k

∂x

i

∂J

i

k

∂t

__

∂q

l

∂x

j

∂J

i

l

∂t

_

+ 4πGε = 0. (4.87)

It is useful to deﬁne a 3 3 matrix

J = [[J

i

k

[[. (4.88)

Now we note that

∂q

k

∂x

j

∂x

i

∂q

k

=

∂x

i

∂x

j

= δ

i

j

. (4.89)

This identity implies that the ∂q

k

/∂x

j

≡ J

−1

, i.e., those coeﬃcients are elements of the inverse matrix.

In the matrix notations we can now write

˙ ε + εTr(

˙

J J

−1

) = 0, (4.90)

and

_

Tr(

˙

J J

−1

)

_

′

+ Tr

_

(

˙

J J

−1

)

2

_

+ 4πGε = 0. (4.91)

where the prime (as well as dot) denotes here the time-derivative for Lagrangian coordinates. Use the

identity

Tr(

˙

J J

−1

) = (ln Det J)

′

. (4.92)

which we substitute in Eq. (4.90) to obtain

˙ ε + ε(ln Det J)

′

= 0,

˙ ε

ε

+ (ln Det J)

′

= 0. (4.93)

The variables separate, and we can trivially integrate it to obtain

ln ε + (ln Det J) −C = 0, ln(εDet J) = C, ε =

C

Det J

. (4.94)

Substitute the last two equations in (4.91) we rewrite it

[(ln Det J)

′

]

′

+ Tr

_

(

˙

J J

−1

)

2

_

+

4πGC

Det J

= 0. (4.95)

This is our new perturbation equation. The general solution of this equation is a complicated numerical

problem. We will ﬁnd the solution of this equation in some special cases.

4.1. NEWTONIAN THEORY 81

4.1.8 Tolman solution

The Tolman solution refers to the spherically symmetrical solutions of Eq. (4.95). In the spherically

symmetrical case the matrix J

i

k

is diagonal, i.e., we can write

J

i

k

= a(R, t)δ

i

k

. (4.96)

Recall that the Eulerian and Lagrangian coordinates are related by the relation x = a(t)q and that is

why the scale factor enters this equation. Now we can compute

Det J = Det

_

_

a 0 0

0 a 0

0 0 a

_

_

= a

3

. (4.97)

and

˙

J J

−1

=

_

_

˙ a 0 0

0 ˙ a 0

0 0 ˙ a

_

_

_

_

1/a 0 0

0 1/a 0

0 0 1/a

_

_

, (4.98)

and, therefore,

Tr(J J

−1

)

2

= 3

_

˙ a

a

_

2

. (4.99)

Thus Eq. (4.95) reduces to

¨ a(R, t) = −

4πGρ

0

(R)

3a

2

(R, t)

, (4.100)

which after integration (multiply this equation by ˙ a to complete the integrand)

˙ a

2

(R, t) −

8πGρ

0

(R)

3a(R, t)

= F(R). (4.101)

where F(R) is an integration constant. This would be simply the Friedman equation, if there was no

dependence on R of the functions a, ρ

0

and F.

The solutions to Eq. (4.101) depend on the sign of the function F. If we assume negative F then

a(R, η) =

4πGρ

0

3[F[

(1 −cos η), (4.102)

t(R, η) =

4πGρ

0

3[F[

3/2

(η −sin η) + t

0

, (4.103)

and when F is positive

a(R, η) =

4πGρ

0

3[F[

(cosh η −1), (4.104)

t(R, η) =

4πGρ

0

3[F[

3/2

(sinh η −η) +t

0

. (4.105)

Here t

0

is an integration constant. We can put it to zero, if we assume that the initial singularity occurs

at the same moment of physical time t = 0 everywhere in space (at that point the scale factor a →0.)

Now we specify the general discussion to the most realistic case of ﬂat, matter-dominated universe.

Consider a perturbation of density which has as spherical form. On the spatial inﬁnite the matter

82 CHAPTER 4. GRAVITATIONAL INSTABILITIES

density is constant, i.e., ρ

0

(R →∞) = ρ

∞

= const. Because we assume ﬂat universe, F →0 as R →∞

(this you can see by comparing Eq. (4.101) with the corresponding Friedman equation, which tells us

that the factor F plays the role curvature term.) We take the limit F → 0 in Eq. (4.101); since the

variables separate, it can be easily integrated, and we ﬁnd

a(R →∞, t) = (6πGρ

∞

)

1/3

t

2/3

. (4.106)

The energy density is then given by

ǫ(R →∞, t) =

ρ

∞

a

3

=

1

6πGt

2

. (4.107)

So far we have obtained the solutions at inﬁnity. Let us now characterize the evolution of the density

perturbation.

The sign of F is negative in the region where we have density perturbation. So we can use the

solutions given by Eq. (4.102). We see that because of the cos term the scale factor is oscillating; it is

maximal when η = π, i.e., cos η = −1 and has the value

a

max

=

8πGρ

0

3[F[

. (4.108)

The value of the physical time we then obtain on substituting η = π in Eq. (4.103):

t

max

=

4π

2

Gρ

0

3[F[

3/2

. (4.109)

The energy density at this point is

ε

max

=

ρ

0

(R)

a

3

m

(R)

=

27[F[

3

(8πG)

3

ρ

2

0

=

3π

32Gt

2

max

. (4.110)

This should be compared with background value, which is given by Eq. (4.107) with t = t

max

ǫ

max

ǫ(R →∞)

=

9π

2

16

∼ 5.6. (4.111)

What happens when this ratio exceeds the maximal value given above? The matter then decouples

from the Hubble ﬂow and collapses. Note that since the Tolman solution admits a = 0 solutions, which

appear when η = 2π, physically speaking t = 2t

max

. Indeed

t

∞

= 2t

max

=

8π

2

Gρ

0

3[F[

3/2

, η = 2π. (4.112)

In this case the energy density ǫ ∼ a

−3

diverges (i.e., becomes inﬁnite). This unphysical behavior of the

Tolman solution is related to the idealized assumption that the perturbation is spherically symmetric.

We will now study another extreme limit of one-dimensional perturbation. The physical reality

corresponds to perturbations that are neither spherical nor one-dimensional, but these two extreme are

useful to get feeling of the behavior of more complicated solutions.

4.1. NEWTONIAN THEORY 83

4.1.9 Zel’dovich solution

Zel’dovoch’s solution describes the non-linear evolution of one-dimensional perturbation on the back-

ground of three-dimensional Hubble ﬂow. The Eulerian and Lagrangian coordinates are related by

x

i

= a(t)

_

q

i

−f

i

(q

j

, t)

¸

. (4.113)

We implement this is the perturbation equation; for that let us ﬁrst deﬁne the matrix J

i

k

= ∂x

i

/∂q

k

.

Assume that the one-dimensional perturbation is along the x

1

-axis. The matrix J becomes

J = a(t)

_

_

1 −λ(q

1

, t) 0 0

0 1 0

0 0 1

_

_

. (4.114)

where λ(q

1

, t) ≡ ∂f

1

/∂q

1

. If one ignores the vector perturbations, then f

i

= ∂ψ/∂q

i

, where ψ is the

potential that induces the peculiar velocities. The other elements in the perturbation equation are given

by

Det J = a

3

(1 −λ), Tr

_

_

˙

J J

−1

_

2

_

=

_

H −

˙

λ

1 −λ

_

2

+ 2H

2

. (4.115)

We substitute these elements in the general perturbation equation

[(ln Det J)

′

]

′

+ Tr

_

(

˙

J J

−1

)

2

_

+

4πGC

Det J

= 0. (4.116)

and assume that C(q) = const; then we obtain

˙

H +H

2

= −

4πG

3

ǫ

0

, (4.117)

¨

λ + 2H

˙

λ −4πGǫ

0

λ = 0, (4.118)

where ǫ

0

(t) = C/a

3

. The ﬁrst equation is the Friedman equation for the background. According to

Eq. (4.94)

ǫ(q, t) =

C

Det J

=

ǫ

0

(t)

1 −λ(q

1

, t)

. (4.119)

We can decompose then perturbations into decaying and increasing modes

λ(q

1

, t) = α(q

1

)δ

i

(t) +κ(q

1

)δ

d

(t), (4.120)

where δ

i

(t) and δ

d

(t) are the growing an decaying modes of linearized theory. For ﬂat matter dominated

universe

δ

i

∝ t

2/3

δ

d

∝ t

−1

. (4.121)

If λ ≪ 1 we can expand the exact solution (4.120). The decaying mode become quickly negligible, so

that we obtain

ǫ(q, t) =

ǫ

0

(t)

1 −α(q

1

)δ

i

(t)

. (4.122)

For positive α the energy density is larger than the average one ǫ

0

. However the total energy density is

decaying because of the Hubble expansion. The perturbation drops out the expansion in the non-linear

regime, where α(q

1

)δ

i

(t) ∼ 1. This happens when ˙ ǫ(q, t) = 0, therefore from (4.122)

˙ ǫ(q, t) = 0 →

ǫ(q, t)

ǫ

0

(t)

= 1 + 3

H

[ln δ

i

]

′

. (4.123)

84 CHAPTER 4. GRAVITATIONAL INSTABILITIES

In a ﬂat, matter-dominated universe δ

i

∝ a(t) then

[ln δ

i

]

′

= [ln a(t)]

′

=

˙ a(t)

a(t)

= H(t). (4.124)

The second term in Eq. (4.123) is then of the order of 3; once the ratio ǫ(q, t)/ǫ

0

(t) > 4 the region starts

to collapse. This can be compared with Eq. (4.111), where this number was 5.6. The one-dimensional

collapse then leads to a two dimensional structures, which are sometimes called Zel’dovich pancakes.

Inversely, when α(q

1

) is negative the energy density decreases and the region becomes empty.

In general the perturbations are neither spherically symmetrical nor one-dimensional. A possible

generalization of the one-dimensional solution is given by the following function

ǫ(q, t) =

ǫ

0

(t)

(1 −αδ

i

(t))(1 −βδ

i

(t))(1 −γδ

i

(t))

. (4.125)

where α, β and γ are the deformation parameters along the three principle axis of the strain tensor. In

this case the strain tensor can be written as

J = aI −aδ

i

_

_

α 0 0

0 β 0

0 0 γ

_

_

, (4.126)

where I is a unit tensor, where I satisﬁes Eq. (4.95). If we substitute this solution into (4.95) we obtain

ǫ(q, t) =

ǫ

0

(t)¦1 −[(αβ +αγ + βγ)δ

2

i

−2αβγδ

3

i

]¦

(1 −αδ

i

(t))(1 −βδ

i

(t))(1 −γδ

i

(t))

. (4.127)

This is close to the postulated solution Eq. (4.125) when the second term in the numerator is small.

The Zel’dovich approximation is unreliable in the non-linear regime and can not reproduce the very

basic properties of non-linear collapse.

Large-scale structure of the universe

We have seen that the strain tensor completely characterizes the inhomogeneities in the universe. It

can be parameterized by three scalar numbers α, β and γ. In any local regions the following possibilities

are possible (based on the results obtained above)

• α ≫β, γ the collapse is one dimensional and produces pancakes

• α ∼ β ≫γ the collapse is two dimensional and produces one dimensional ﬁlaments

• α ∼ β ∼ γ nearly spherical collapse

We can use the analogy with the mountains and planes to envision the ﬂuctuations in the density

superimposed on the homogeneous density background. The simulations and observations show that

the cosmic web consists of nearly spherical dense regions, with spherical and/or elliptical objects (case

3 in the list above).

The peaks are connected by side-ridges where one curvature scale is much smaller than the others

(case 2). The collapse is is two-dimensional and produces ﬁlaments.

Thus, we have the picture where 3-dimensional spherically symmetrical dense regions are connected

by ﬁlaments.

4.1. NEWTONIAN THEORY 85

In the regions when only one scale is large (case 1) (here we do not have a two-dimensional analog

in terms of mountains and valleys) the collapse leads to formation of domain walls. The walls are

connected to the ﬁlaments.

The regions where the density is lower than the average will be expanding forever, and will be emptied

from matter. Smaller scales become parts of larger inhomogeneities and eventually upon equilibration

(virialization) disappear. Thus, the formation of structures is a transition from one homogeneous state

to another equilibrated state.

Presently we observe ﬁlaments and pancakes on scales which recently entered the non-linear regime.

The density in these regions is about only factor 4 larger than the average density of the universe. The

spherical inhomogeneities are connected by ﬁlaments.

If we make a distinction between the luminous and dark matter one can say that the baryons fall in

the gravitational wells formed by the cold dark matter to form galaxies. Such spherically wells contain

galaxies or clusters of galaxies of the size of several Mpc. Some galaxies could be found in the ﬁlaments

with scales of the order of 10-30 Mpc, while others in the pancakes.

86 CHAPTER 4. GRAVITATIONAL INSTABILITIES

Figure 4.1: Numerical simulations of the cosmic web - structure formation in the universe

Figure 4.2: Photograph taken by the Hubble space telescope in the infrared. Each blob is a galaxy.

Chapter 5

Instabilities in General Theory of

Relativity

In this chapter we extend the discussion of the gravitational instabilities studied in the Newtonian

theory in the previous chapter to General Relativistic description. The key diﬀerence in the physical

description is that the metric of space-time is not static, rather the matter motions and gravity are

coupled. So, apart from the usual hydrodynamics perturbations we need to look for metric perturbations

in a self-consistent manner.

5.1 Types of perturbations

Consider Friedman universe which is ﬂat. The metric of such universe, which includes small perturba-

tions, can be written as

ds

2

=

_

(0)

g

αβ

+ δg

αβ

(x

γ

)

¸

dx

α

dx

β

. (5.1)

where the perturbation is much smaller than the background metric [δg

αβ

[ ≪[

(0)

g

αβ

[. The background

metric can be written as

(0)

g

αβ

dx

α

dx

β

= a

2

(η)(dη

2

−δ

ij

dx

i

dx

j

). (5.2)

The metric perturbations can be of three types scalar, vector, and tensor. This reﬂects the group

properties of the background metric. The scalar perturbations can be written

δg

00

= 2a

2

φ. (5.3)

The spatial component is then written as a gradient of a scalar plus a vector (which should be divergence

free)

δg

0i

= a

2

(B

,i

+ S

i

). (5.4)

In the following we will use B

,i

to denote the derivative ∂B/∂x

i

. As pointed out the vector S

i

satisﬁes

S

i

,i

= 0 (i.e. it is transverse and has only two independent components). The most general form of

tensor perturbation is given by

δg

ij

= a

2

(2ψδ

ij

+ 2E

,ij

+ F

i,j

+ F

j,i

+h

ij

), (5.5)

where ψ and E are scalar functions, the vector F

i

satisﬁes the condition F

i

,i

= 0 and the tensor h

ij

satisﬁes the conditions

h

i

i

= 0, h

i

j,i

= 0, (5.6)

87

88 CHAPTER 5. INSTABILITIES IN GENERAL THEORY OF RELATIVITY

i.e. this tensor is traceless and transverse.

Let us now classify the perturbations

• Scalar perturbations are described by fours scalar functions ψ, φ, B and E.

• Vector perturbations are described by two vectors S

i

and F

i

. These are related to rotational

motions, decay quickly and are not important for cosmology.

• Tensor perturbations are purely general relativistic and describe gravitational waves. In the linear

order gravitational waves do not induce any perturbations in the perfect ﬂuid.

These perturbations are decoupled from each other and can be studied separately.

5.2 Gauge transformations and gauge invariance

We consider coordinate transformation

x

α

→ ˜ x

α

= x

α

+ ξ

α

. (5.7)

where ξ

α

is inﬁnitisemally small change. Under such a transformation the metric changes according to

˜ g

αβ

(˜ x

ρ

) =

∂x

γ

∂˜ x

α

∂x

δ

∂˜ x

β

g

γδ

(x

ρ

) =

(0)

g

αβ

(x

ρ

) + δg

αβ

−

(0)

g

αβ

ξ

δ

,β

−

(0)

g

γβ

ξ

γ

,α

. (5.8)

The ﬁrst relation follows directly from the fact that the interval ds

2

= g

αβ

dx

α

dx

β

is an invariant

quantity. This expansion keeps only terms that are linear in δξ and δg. At the new point ˜ x

ρ

we can

also split the metric into background and perturbation part

˜ g

αβ

(˜ x

ρ

) =

(0)

g

αβ

(˜ x

ρ

) + δ˜ g

αβ

(5.9)

where the unperturbed part is given by the Friedman metric (5.2), with the coordinate being now ˜ x

instead of x. Next we note that we can also expand the equilibrium part of the metric

(0)

g

αβ

(x

ρ

) ≈

(0)

g

αβ

(˜ x

ρ

) +

(0)

g

αβ,γ

ξ

γ

. (5.10)

Now compare Eqs. (5.8) and (5.9). If we take into account (5.10) we can deduce the following gauge

transformation law

δg

αβ

→δ˜ g

αβ

= δg

αβ

−

(0)

g

αβ,γ

ξ

γ

−

(0)

g

γβ,

ξ

γ

,α

−

(0)

g

αδ

ξ

δ

,β

. (5.11)

Next we consider a 4-scalar function which is slightly perturbed from its background value

q(x

ρ

) =

(0)

q(x

ρ

) +δq. (5.12)

We wish to establish the transformation of the quantity δq. In principle this could be done in analogy

to the metric function. Let us write this scalar at the new point ˜ x

ρ

= x

ρ

+ξ

ρ

as

˜ q(˜ x

ρ

) =

(0)

q(˜ x

ρ

) + δ˜ q =

(0)

q(x

ρ

) +

(0)

q(x

ρ

)

,ρ

ξ

ρ

+ δ˜ q. (5.13)

where in the last step we expanded the equilibrium background value of the function. Comparing (5.12)

and (5.13) we see that the scalar is invariant against transformations (5.7) if

δq →δ˜ q = δq −

(0)

q

,α

ξ

α

. (5.14)

5.2. GAUGE TRANSFORMATIONS AND GAUGE INVARIANCE 89

In the similar fashion we derive the gauge transformation for the covariant 4-vector

δu

α

→δ˜ u

α

= δu

α

−

(0)

u

α,γ

ξ

γ

−

(0)

u

γ

ξ

γ

,α

. (5.15)

Let us decompose the spatial part of the inﬁnitisemal perturbation ξ

α

= (ξ

0

, ξ

i

) in two components

ξ

i

= ξ

i

⊥

+ ζ

,i

, ξ

i

⊥,i

= 0, (5.16)

where ξ

i

⊥

is a three-vector with zero divergence and ζ is a scalar function. In the Friedman universe

(0)

g

00

= a

2

(η) and

(0)

g

ij

= −a

2

(η)δ

ij

[compare with (5.2)]. Now we can use the rule for the metric

transformations

δ˜ g

αβ

= δg

αβ

−

(0)

g

αβ,γ

ξ

γ

−

(0)

g

γβ,

ξ

γ

,α

−

(0)

g

αδ

ξ

δ

,β

. (5.17)

to obtain for each component the following relations:

δ˜ g

00

= ˜ g

00

−2a(aξ

0

)

′

, (5.18)

δ˜ g

0i

= ˜ g

0i

+ a

2

_

ξ

′

⊥i

+ (ζ

′

−ξ

0

)

,i

¸

, (5.19)

δ˜ g

ij

= ˜ g

ij

+ a

2

_

2

a

′

a

δ

ij

ξ

0

+ 2ζ

,ij

+ (ξ

⊥i,j

+ ξ

⊥j,i

)

_

, (5.20)

where the prime denotes derivative with respect to the conformal time η.

5.2.1 Scalar perturbations

Suppose we have only scalar perturbations. We wish to write down the metric which includes the

background metric plus the scalar perturbations. In this case the metric takes the form:

ds

2

=

(0)

g

αβ

+ δg

00

+ δg

0j

+ δg

i0

+ δg

ij

= a

2

_

(1 + 2φ)dη

2

+ 2B

,i

dx

i

dη −[(1 −2ψ)δ

ij

−2E

,ij

]dx

i

dx

j

_

. (5.21)

First note that all the terms that are proportional to 1 refer to the background metric. There are

two such terms, one for the time-like coordinate, the other for the space-coordinates. Furthermore, we

substituted the scalar perturbations from Eqs. (5.3)-(5.5). Now we can use the deﬁnitions Eqs. (5.3)-

(5.5) and transformations (5.18) and (5.20) to establish the transformation properties of the scalar

functions

φ →

˜

φ = φ −

1

a

(aξ

0

)

′

, B →

˜

B = B +ζ

′

−ξ

0

, (5.22)

ψ →

˜

ψ = ψ +

a

′

a

ξ

0

, E →

˜

E = E +ζ. (5.23)

We may also consider the combination

˜

B −

˜

E

′

= B −E

′

−ξ

0

, (5.24)

which tells us that the combination B−E

′

has purely time-like shift under transformations. Now we see

that only the perturbations ξ

0

and ζ contribute to the transformations of the scalars. They can be chosen

such that two of the four scalar functions vanish. The simplest gauge-invariant linear combination of

the scalar functions is given by

Φ ≡ φ −

1

a

[a(B −E

′

)]

′

, Ψ ≡ ψ +

a

′

a

(B −E

′

). (5.25)

90 CHAPTER 5. INSTABILITIES IN GENERAL THEORY OF RELATIVITY

This means that they do not change under coordinate transformations; if they vanish in one particular

coordinate system, then they should vanish in any other coordinate system. Note that one can construct

inﬁnite set of gauge invariant variables and it is a matter of choice and convenience which coordinate

system will be used.

To give a concrete physical example consider energy perturbations. We have seen that the four-

scalars are transformed according to (5.13). For the energy density this equation translates into

δǫ = δǫ −ǫ

′

0

ξ

0

= δǫ −ǫ

′

0

(B −E

′

). (5.26)

In the homogeneous universe the ﬂuid four-velocity us given by

(0)

u

α

= (a, 0, 0, 0) and the velocity

perturbation are transformed according to

δu

0

= δu

0

−[a(B −E

′

)] , δu

i

= δu

i

−a(B −E

′

). (5.27)

5.2.2 Vector perturbations

Now consider the case where there are only vector perturbations

ds

2

= a

2

_

dη

2

+ 2S

i

dx

i

dη −(δ

ij

−F

i,j

−F

j,i

)dx

i

dx

j

.

¸

(5.28)

The vectors transform as

S

i

→

˜

S

i

= S

i

+ ξ

′

⊥i

, F

i

→

˜

F

i

= F

i

+ξ

⊥i

. (5.29)

and we can construct a gauge-invariant combination as

¯

V

i

= S

i

−F

′

i

. (5.30)

Out of four independent function S

i

and F

i

only two describe real physical perturbations; the other two

reﬂect the freedom to choose the coordinate system. The variables (5.30) span a two-dimensional space

of physical perturbations and describe rotational motions.

5.2.3 Tensor perturbations

For tensor perturbations

ds

2

= a

2

_

dη

2

−(δ

ij

−h

ij

)dx

i

dx

j

¸

. (5.31)

and h

ij

does not change under coordinate transformations and describes the gravitational waves in a

gauge-invariant manner.

5.3 Gauge ﬁxing

The gauge ﬁxing means that we can choose arbitrarily the functions ζ and ξ

0

which will provide

connections on the functions φ, ψ B, E δǫ and velocity perturbations δu

,i

= φ

,i

.

Gauge ﬁxing is equivalent to the choosing a special coordinate system. We will consider below two

examples

5.3. GAUGE FIXING 91

Longitudinal gauge

This gauge is deﬁne by the condition

B = E = 0. (5.32)

This implies that the perturbations ζ = ξ

0

= 0 [to verify this substitute this condition in Eq. (5.25)].

The metric then takes the form

ds

2

= a

2

_

(1 + 2φ

l

)dη

2

−(1 −2ψ

l

)δ

ij

dx

i

dx

j

¸

. (5.33)

The metric can be even further more simpliﬁed if the spatial perturbations of the energy-momentum

tensor are diagonal δT

i

j

∝ δ

i

j

. We will see below that in that case

ψ = φ, (5.34)

i.e., the metric perturbations are characterized just by one scalar function, say, φ. This is a generaliza-

tion of the Newtonian potential therefore this gauge and the corresponding coordinate system is often

called conformal Newtonian. In this gauge all the variables are the simple meaning

Φ = φ Ψ = ψ = φ (5.35)

are the amplitudes of the metric, δǫ is the amplitude of the energy density and δu

α

are the amplitudes

of the velocity perturbations.

Synchronous gauge

In the synchronous the following conditions are imposed

φ = 0, B = 0. (5.36)

This choice does not ﬁx the gauge completely, since the following transformation deﬁne an equivalent

systems of coordinates corresponding to ˜ x

α

→x

α

, where

˜ η = η +

C

1

a

, ˜ x

i

= x

i

+C

1,i

(x

j

)

_

dη

a

+ C

2,i

(x

j

). (5.37)

The connection to the longitudinal gauge is easily established if we note the relations (5.25) in the

synchronous gauge can be inverted

Φ =

1

a

[aE

′

]

′

⇒ E =

_

1

a

__

η

aΦd˜ η

_

dη, (5.38)

Ψ = ψ −

a

′

a

E

′

s

⇒ ψ = Ψ +

a

′

a

2

_

aΦdη, (5.39)

so that they are expressed only the unknown function Φ (which can be computed by some means, e.g.,

in the Newtonian conformal gauge). The energy density perturbation can be likewise written as

δǫ

s

=

¯

δǫ −

ǫ

′

0

a

_

aΦdη. (5.40)

92 CHAPTER 5. INSTABILITIES IN GENERAL THEORY OF RELATIVITY

5.4 Cosmological perturbations

In this section we consider the perturbation of the Einsteins equations on the background of Friedman

universe. The unperturbed equations read

G

α

β

= R

α

β

−

1

2

δ

α

β

R = 8πGT

α

β

. (5.41)

The background metric is given by Eq. (5.2)

(0)

g

αβ

dx

α

dx

β

= a

2

(η)(dη

2

−δ

ij

dx

i

dx

j

). (5.42)

The components of the Einstein tensor are given by

(0)

G

0

0

=

3H

2

η

a

2

,

(0)

G

0

i

= 0,

(0)

G

i

j

=

2H

′

η

+ H

2

η

a

2

δ

ij

, (5.43)

where H

′

η

= a

′

/a. Comparing (5.41) and (5.43) we conclude that

(0)

T

0

0

= 0,

(0)

T

i

j

∝ δ

ij

. (5.44)

For small perturbation from the background we can write the perturbed equations as

δG

α

β

= 8πGδT

α

β

. (5.45)

The perturbed quantities are non-invariant. The transformation laws for the perturbations of the

energy-momentum tensor are

δT

0

0

= δT

0

0

−(

(0)

T

0

0

)

′

(B −E

′

), (5.46)

δT

0

i

= δT

0

i

−

_

(0)

T

0

0

−

T

k

k

3

_

(B −E

′

)

,i

, (5.47)

δT

i

j

= δT

i

j

−

_

(0)

T

i

j

_

′

(B −E

′

). (5.48)

Here T

k

k

is the trace of the spatial components, which is gauge invariant. Analogously, we have

δG

0

0

= δG

0

0

−(

(0)

G

0

0

)

′

(B −E

′

), (5.49)

δG

0

i

= δG

0

i

−

_

(0)

G

0

0

−

G

k

k

3

_

(B −E

′

)

,i

, (5.50)

δG

i

j

= δG

i

j

−

_

(0)

G

i

j

_

′

(B −E

′

). (5.51)

The perturbation equations can be written as

δG

α

β

= 8πGδT

α

β

. (5.52)

Note that the both sides of this equation can be decomposed into scalar, vector and tensor perturbations.

Let us consider these separately.

5.5. METRIC PERTURBATIONS 93

5.5 Metric perturbations

Scalar perturbation

We need to compute the perturbations for the metric (5.53) containing only scalar perturbations

ds

2

= a

2

¦(1 + 2φ)dη

2

+ 2B

,i

dx

i

dη −[(1 −2ψ)δ

ij

−2E

,ij

]dx

i

dx

j

¦ . (5.53)

A direct calculation of the perturbation δG

β

α

gives the following set of equations

∆Ψ−3H

η

(Ψ

′

+ H

η

Φ) = 4πGa

2

δT

0

0

, (5.54)

(Ψ

′

+ H

η

Φ)

,i

= 4πGa

2

δT

0

i

, (5.55)

_

Ψ

′′

+H

η

(2Ψ + Φ)

′

+ (2H

′

η

+ H

2

η

)Φ +

∆

2

(Φ −Ψ)

_

δ

ij

−

1

2

(Φ −Ψ)

,ij

= −4πGa

2

δT

i

j

. (5.56)

The equations for the metric perturbations in the conformal Newtonian and in terms of the gauge

invariant potentials are identical.

Vector perturbation

The perturbation equations for the vector perturbations take the form

∆V

i

= 16πGa

2

δT

0

i

, (5.57)

(V

i,j

+ V

j,i

)

′

+ 2H

η

(V

i,j

+ V

j,i

) = 16πGa

2

δT

i

j

. (5.58)

where δT

α

β

is the vector part of the energy-momentum tensor and V

i

= S

i

−F

′

i

[see Eq. (5.30)] and the

discussion there.

Tensor perturbation

As we already said the tensor perturbations correspond to the gravitational waves. The tensor pertur-

bations obey the equations

h

′′

ij

+ 2H

η

h

′

ij

−∆h

ij

= 16πGa

2

δT

i

j

. (5.59)

where T

i

j

is the part of the energy-momentum tensor that have the tensor structure of h

ij

.

5.6 Perturbations of the matter

Now we consider the matter perturbations which arise from perturbations of the energy-momentum

tensor. For simplicity we assume that the matter can be described as a perfect ﬂuid, therefore, its

energy and momentum tensor can be written as

T

α

β

= (ε + p)u

α

u

β

−pδ

α

β

. (5.60)

We have already computed the relevant perturbations in Eq. (5.46). They can be written as

δT

0

0

= δǫ, (5.61)

δT

0

i

=

1

a

(ε

0

+ p

0

)(δu

⊥i

.¸¸.

vector

+ δu

i

.¸¸.

scalar

), (5.62)

δT

i

j

= −δp δ

i

j

. (5.63)

94 CHAPTER 5. INSTABILITIES IN GENERAL THEORY OF RELATIVITY

[see (5.26) and (5.27) for deﬁnitions]. All the perturbations contribute to the scalar perturbation except

the term that is marked by “vector”.

Now we specify the equations for the case of scalar perturbations. Consider the elements of Eq. (5.56)

with i ,= j. In this case it term ∝ δ

i

j

will not contribute and we obtain

(Φ −Ψ)

,ij

= 0 i ,= j. (5.64)

This equation has the solution

Φ = Ψ. (5.65)

Next we substitute Eqs. (5.61)-(5.63) into the equations for scalar perturbations (5.54)-(5.56) and obtain

∆Φ −3H

η

(Φ

′

+H

η

Φ) = 4πGa

2

δǫ, (5.66)

(aΦ)

′

,i

= 4πGa

2

(ǫ

0

+ p

0

)δu

i

, (5.67)

aΦ

′′

+ 3H

η

Φ

′

+ (2H

η

+ H

2

η

)Φ = 4πGa

2

δp. (5.68)

It is instructive to consider the case of non-expanding universe, i.e., the limit H = 0. Then the

ﬁrst equation is just the Poisson equation for the gravitational potential. Thus Eq. (5.66) is just a

generalization of the Poisson equation to the case of Hubble expansion. We can use the relation

δp = c

2

S

δε +τδS, (5.69)

to eliminate the pressure perturbations from Eq. (5.68). Combining the Eqs. (5.66)-(5.68) we ﬁnally

obtain one perturbation equation

Φ

′′

+ 3(1 + c

2

S

)H

η

Φ

′

−c

2

S

∆Φ +

_

2H

′

η

+ (1 + 3c

2

S

)H

2

η

¸

Φ = 4πGa

2

τδS. (5.70)

Our aim in the following will be to ﬁnd the solutions to this equation in several interesting cases.

Nonrelativistic matter

We consider now ﬂat, matter-dominated universe, such that a ∝ η

2

and H

η

= 2/η. Then only the ﬁrst

two terms in Eq. (5.68) survive and one ﬁnds

Φ

′′

+

6

η

Φ

′

= 0. (5.71)

Integration of this equation gives

Φ = C

1

(x) +

C

2

(x)

η

5

(5.72)

where C

1

(x) and C

2

(x) are arbitrary functions of the comoving spatial coordinates. With this solution

at hand we can go back to Eq. (5.66) and ﬁnd the energy perturbations as

δǫ

ǫ

0

=

1

6

_

(∆C

1

η

2

−12C

1

) + (∆C

2

η

2

+ 18C

1

)

1

η

5

_

. (5.73)

This equation can be analysed numerically. However, simple solutions can be obtained in the limiting

cases. Consider perturbations such that C

1,2

∝ exp(ik x). Deﬁne a physical scale λ ∼ a/k which is

related to the perturbation with wave number k; this can be compared with the Hubble scale 1/H ∼ aη.

The ratio of the Hubble scale over the physical scale is given by the parameter kη. The interesting

limiting cases are

5.6. PERTURBATIONS OF THE MATTER 95

• kη ≪1, which is the long-wave length limit, the energy perturbation is given by

δǫ

ǫ

0

≃ −2C

1

+

3C

2

η

5

. (5.74)

If we neglect the decaying mode (the second term) then we obtain simply δǫ/ǫ

0

= −2Φ.

• kη ≫1 - the short-wave-length limit leads to

δǫ

ǫ

0

≃ −

k

2

6

(C

1

η

2

+C

2

η

−3

) =

˜

B

1

t

2/3

+ B

2

/t, (5.75)

which is in agreement with (4.58). In this limit the Newtonian and GR treatments lead to the

same result.

Ultrarelativistic matter

Consider now the universe, which is dominated by relativistic matter, whose equation of state is p = wǫ,

where w is a positive constant. The scale factor behaves as

a ∝ η

2/(1+3w)

. (5.76)

For such equation of state c

2

S

= w. Assuming plane-wave perturbations Φ = Φ

k

exp(ik x) we have

Φ

′′

k

+

6(1 +w)

(1 + 3w)η

Φ

′

k

+ wk

2

Φ

k

= 0. (5.77)

The solution of this equation is

Φ

k

=

1

η

ν

_

C

1

J

ν

(

√

wkη) + c

2

Y

ν

(

√

wkη)

¸

, ν ≡

1

2

_

5 + 3w

1 + 3w

_

. (5.78)

Here J

ν

and Y

ν

are the Bessel functions of order ν. Consider again the cases

•

√

wkη ≪ 1, which is the long-wave length limit. In this case we can use the expansion of Bessel

functions for small arguments to obtain

δǫ

ǫ

0

≃ −2Φ (5.79)

If we neglect the decaying mode (the second term) then we obtain simply δǫ/ǫ

0

= −2Φ.

•

√

wkη ≫1 - the short-wave-length limit leads to

Φ

k

∝ η

−ν−1/2

exp

_

±i

√

wkη

_

(5.80)

which is in agreement with (4.58). In this limit the Newtonian and GR treatments lead to the

same result.

96 CHAPTER 5. INSTABILITIES IN GENERAL THEORY OF RELATIVITY

Special case: w = 1/3 (radiation dominated universe)

In this special case the order of Bessel functions is ﬁxed ν = 3/2. And these could be expressed in

terms of elementary functions (x = kη/

√

3)

Φ

k

=

1

x

2

_

C

1

_

sin x

x

−cos x

_

+ C

2

_

cos x

x

+ sin x

_

_

, (5.81)

and the energy-density perturbation is given by

δǫ

ǫ

0

= 2C

1

__

2 −x

2

x

2

__

sin x

x

−cos x

_

+ 4C

2

_

1 −x

2

x

2

_

_

cos x

x

+ sin x

_

_

. (5.82)

Entropy perturbations

If a medium is multi-component, then we can have in principle both adiabatic perturbation and entropy

perturbations. Quite generally the number of dynamical variables doubles in this case and the analysis

is rather complicated.

A simpliﬁed model arises when one has cold baryonic component coupled to radiation plasma. These

two components are coupled tightly to each other, i.e., there is no relative motion between them. Then

we can use a one-component perfect ﬂuid approximation. The main diﬀerence is that the pressure

depends not only on energy density but also the entropy per baryon S ∼ T

3

γ

/n

b

, where n

b

is the density

of baryons. This one can have entropy perturbations. Then our master equation (5.70)

Φ

′′

+ 3(1 + c

2

S

)H

η

Φ

′

−c

2

S

∆Φ +

_

2H

′

η

+ (1 + 3c

2

S

)H

2

η

¸

Φ = 4πGa

2

τδS. (5.83)

can be used with the understanding that δS is a constant because the entropy per baryon is conserved.

First we determine the parameter

τ =

_

∂p

∂S

_

ǫ

. (5.84)

The contribution to the pressure arises from the radiation w = 1/3, so that we can write

δp = δp

γ

=

1

3

δǫ

γ

. (5.85)

The total energy perturbation can be written as a sum of that of the components

δǫ = δǫ

γ

+ δǫ

b

. (5.86)

We need to ﬁnd the scaling of the entropy

S ∼

T

3

γ

n

b

=

ǫ

3/4

γ

ǫ

b

⇒

δS

S

=

3

4

δǫ

γ

ǫ

γ

−

δǫ

b

ǫ

b

(5.87)

Now we use Eqs. (5.85) and (5.86) to write

δp =

1

3

_

1 +

3ǫ

b

4ǫ

γ

_

−1

_

δǫ + ǫ

b

δS

S

_

. (5.88)

By matching this equation to [see Eq. (5.69)]

δp = c

2

S

δε +τδS, (5.89)

5.6. PERTURBATIONS OF THE MATTER 97

we can identify the parameters

c

2

S

=

1

3

_

1 +

3ǫ

b

4ǫ

γ

_

−1

, τ =

c

2

S

ǫ

b

S

. (5.90)

Now let us come back to the solution of Eq. (5.83). When there non-zero entropy perturbation the

solution of this equation is a sum of the homogeneous equation with δS = 0 and some special solution.

We have found the solutions to the homogeneous equation in some interesting cases. Let us look for a

solution of the special case. We ﬁrst slightly modify the term ∝ Φ as follows

2H

′

η

+ (1 + 3c

2

S

)H

2

η

= 8πGa

2

(c

2

S

ǫ −p) = 2πGc

2

S

a

2

ǫ

b

. (5.91)

Furthermore, for long-wavelength perturbations the term with spatial gradient can be dropped. The

new equation then reads

Φ

′′

+ 3(1 +c

2

S

)H

η

Φ

′

+ 2πGa

2

c

2

S

ǫ

b

Φ = 4πGa

2

c

2

S

ǫ

b

δS

S

. (5.92)

where we substituted the value for the τ parameter. Thus we see that

Φ

p

=

2δS

S

= const. (5.93)

is a solution to Eq. (5.92). However, in the very early universe we should have a homogeneous background

radiation plus ﬂuctuations in the baryon ﬁeld, so that one would expect that

Φ →0 (η →0). (5.94)

The solution that satisﬁes this condition is the following

Φ =

α

5

(α

2

+ 6α + 10)

(α + 2)

3

δS

S

. (5.95)

where α = η/η

∗

[for deﬁnition see Eq. (1.95)].

Vector and tensor perturbations

Substituting the expressions for the perturbations of energy-momentum tensor δT

0

i

= a

−1

(ǫ

0

+p

0

)δu

⊥i

we obtain the perturbation equations for the vector ﬁelds

∆V

i

= 16πGa(ǫ

0

+ p

0

)δu

⊥i

(5.96)

and

(V

i,j

+ V

j,i

)

′

+ 2H

η

(V

i,j

+ V

j,i

) = 0. (5.97)

The solution of the second equation is

V

i

=

C

⊥i

a

2

(5.98)

where C is a constant of integration. For the physical velocity

δv

i

= a

_

dx

i

ds

_

= −a

−1

δu

⊥i

(5.99)

98 CHAPTER 5. INSTABILITIES IN GENERAL THEORY OF RELATIVITY

we obtain

δv

i

∝

1

a

4

(ǫ

0

+ p

0

)

. (5.100)

In agreement with the Newtonian theory the vector perturbations decay inversely with the scale factor.

Therefore, the expansion of the universe leads to a damping of the vector perturbations.

The tensor perturbations; assuming a perfect ﬂuid δT

i

j

= 0 and the perturbation equation simpliﬁes

to

h

′′

ij

+ 2H

η

h

′

ij

−∆h

ij

= 0. (5.101)

This equation can be brought to a compact form by deﬁning

h

ij

=

v

a

e

ij

. (5.102)

where e

ij

is polarization tensor. Now we consider plane-wave perturbations to obtain

v

′′

+

_

k

2

−

a

′′

a

_

v = 0. (5.103)

In the radiation dominated era a ∝ η, a

′′

= 0 and v ∝ exp(±ikη) then there exists an exact solution

h

ij

=

1

η

[C

1

sin(kη) + C

2

cos(kη)]e

ij

. (5.104)

For long-wavelength perturbations with kη ≪ 1 we can neglect the k

2

term in Eq. (5.103) and the

solution reads

v ≃ C

1

a +C

2

a

_

dη

a

2

, (5.105)

which can be translated into

h

ij

=

_

C

1

+ C

2

_

dη

a

2

_

e

ij

. (5.106)

For short-wavelength perturbations (kη ≫1) we obtain k

2

≫a

′′

/a and h ∝ exp(±ikη)/a.

Chapter 6

Phase transitions in the early universe

In this chapter we will study the physics of early universe, i.e., the evolution of the universe at high

energies. There are two important energy scales that mark the high energy landscape. One is the Planck

scale ∼ 10

19

GeV where we expect that the classical gravity will break down and quantum eﬀects will

become important. Below the TeV = 10

3

GeV scale experimental studies of matter are feasible. This

energy domain is well described by the Standard Model of particle physics and we start our discussion

by an overview of the standard model.

6.1 Elements of the Standard Model

6.1.1 Local gauge invariance and quantum electrodynamics

There are four forces known in Nature: the strong, weak, electromagnetic and gravitational. The

Standard Model describes the physics of particles and ﬁelds interacting by the ﬁrst three forces. The

gravity is described by the theory of General Relativity. The electromagnetism and weak force are

uniﬁed in an electroweak theory, while the strong force is described by quantum chromodynamics.

These theories are based on the ideas of quantum ﬁelds theories or QFT, where particles are elementary

excitations of ﬁelds.

Let us start with an example. The fermions are described by the Dirac equation

(iγ

µ

∂

µ

−m)ψ = 0, (6.1)

where ψ is a four-component Dirac spinor γ

µ

are 44 Dirac matrices. The Dirac equation follows from

the Euler-Lagrange equation of the Lagrangian

L = i

¯

ψγ

µ

∂

µ

ψ −m

¯

ψψ (6.2)

where

¯

ψ ≡ ψ

†

γ

0

.

An important feature of this Lagrangian is that it is invariant with respect to global gauge trans-

formations. This means that it will not change is the ﬁelds are transformed as

ψ →ψe

−iθ

(6.3)

where the phase θ is a constant in space and time. The transformed Lagrangian is

L

′

= i

¯

ψe

iθ

γ

µ

∂

µ

ψe

−iθ

−m

¯

ψe

iθ

ψe

−iθ

= L. (6.4)

99

100 CHAPTER 6. PHASE TRANSITIONS IN THE EARLY UNIVERSE

We see that the Lagrangian remained invariant because we could commute the phase factor with the

remaining terms.

The next question is what if eθ(x

α

), i.e., the phase depends on the local space-time coordinate; the

appearance of the constant charge e will be clear shortly. Such transformation is called local gauge

transformation. Now, obviously will not commute with the operator of diﬀerentiation:

L

′

= i

¯

ψe

iθ

γ

µ

∂

µ

ψe

−iθ

−m

¯

ψψ = i

¯

ψγ

µ

(∂

µ

−ie∂

µ

θ)ψ −m

¯

ψψ. (6.5)

The gauge invariance of the Lagrangian is now spoiled by the gradient term (which is a four-vector).

However, we can restore the gauge invariance by introducing a new vector called gauge ﬁeld A

µ

. The

Lagrangian is now redeﬁned to contain a covariant derivative

D

µ

= ∂

µ

+ ieA

µ

. (6.6)

Physically, the new term in the Lagrangian describes the interaction of the gauge ﬁeld with the Dirac

fermion. What are the transformation properties of this new gauge ﬁeld? In fact, we use the freedom of

this transformation to postulate a transformation law such that the Dirac Lagrangian is locally gauge

invariant. The following transformation does the job:

A

′

µ

= A

µ

+ ∂

µ

θ. (6.7)

The gauge invariant Lagrangian then reads

L = i

¯

ψγ

µ

D

µ

ψ −m

¯

ψψ (6.8)

Simultaneously transforming the fermionic and gauge ﬁelds

ψ

′

→ψe

−ieθ(x

µ

)

, A

′

µ

= A

µ

+ ∂

µ

θ. (6.9)

we see that the changes are in the term

D

′

µ

ψe

−ieθ(x

ν

)

. ¸¸ .

ψ

′

= (∂

µ

+ ieA

′

µ

)ψe

−ieθ(x

ν

)

= e

−ieθ(x

ν

)

∂

ν

ψ + ieA

′

µ

ψe

−ieθ(x

ν

)

−ieψe

−ieθ(x

ν

)

∂θ(x

ν

)

= e

−ieθ(x

ν

)

∂

ν

ψ +ieA

µ

ψ + ie∂

µ

θψe

−ieθ(x

ν

)

−ieψe

−ieθ(x

ν

)

∂

µ

θ(x

ν

) = e

−ieθ(x

ν

)

D

µ

ψ.

(6.10)

Now the kinetic term in the Lagrangian transforms as

¯

ψ

′

γ

µ

D

′

µ

ψ

′

= (

¯

ψe

ieθ

)γ

µ

D

′

µ

ψe

−ieθ(x

ν

)

= (

¯

ψe

ieθ

)γ

µ

e

−ieθ(x

ν

)

D

µ

ψ =

¯

ψγ

µ

D

µ

ψ, (6.11)

i.e., it is invariant with respect local gauge transformations. The ﬁeld A

µ

contributes its energy density

to the Lagrangian (this contribution should be scalar that is invariant under Lorentz transformations).

It is given by the contraction of the ﬁeld strength tensor with itself F

µν

F

µν

, where the ﬁeld-strength

tensor is deﬁned via

F

µν

= ∂

µ

A

ν

−∂

ν

A

µ

. (6.12)

The full Lagrangian can be now written as the sum of the fermionic part plus the gauge ﬁeld part

L = i

¯

ψγ

µ

D

µ

ψ −m

¯

ψψ −

1

4

F

µν

F

µν

. (6.13)

This Lagrangian describes the Quantum Electrodynamics. The meaning of e constant is then clear

- it is the charge of the fermion. The coupling constant of this theory is the ﬁne-structure constant

α = e

2

/4π ≃ 1/137. Since α ≪ 1 the interaction term is small and one can develop systematic

perturbation theory to compute the observables. The Quantum Electrodynamics is in an excellent

agreement with the experimental data.

6.1. ELEMENTS OF THE STANDARD MODEL 101

6.1.2 Non-abelian quantum ﬁeld theories

The idea of gauge invariance can be extended to groups larger than the U(1) group of quantum elec-

trodynamics. Indeed, the gauge transformation we have discussed corresponds to a multiplication of

the wave function with a unitary 1 1 matrix with complex elements U = exp(−ieθ(x

α

)), such that

U

†

U = 1. Next we follow the historical path and extend the idea of local gauge invariance to the so-

called SU(1) group. This program was carried out by Yang and Mills and was later used to construct

the electroweak theory.

We generalize our gauge transformation by going from a 1 1 matrix to an N N matrix. The

group of all N N matrices is called U(N) group and the gauge transformation generated by such

matrices is called U(N) gauge transformation. To see how this works let us consider a Lagrangian of

N free Dirac ﬁelds with equal masses. Let us introduce vectors of these ﬁelds

ψ =

_

_

ψ

1

. . .

ψ

N

_

_

,

¯

ψ =

_

¯

ψ

1

. . . ψ

N

_

. (6.14)

Each of the elements is by itself a Dirac spinor (i.e. has four components). We have assumed that the

massed of the particles are the same but we will not imply that they all posses the same charges. The

new Lagrangian is now

L = i

¯

ψγ

µ

∂

µ

ψ −m

¯

ψψ. (6.15)

The property U

†

U = 1 guarantees that this Lagrangian is invariant under global gauge transformations,

that is it does not change under replacements

ψ →Uψ. (6.16)

Now we repeat the steps that lead us to construction of local gauge invariant Lagrangian. First we

check that our Lagrangian is not invariant under local gauge transformations. Indeed

∂

µ

ψ

′

= ∂

µ

(Uψ) = U∂

µ

ψ +ψ∂

µ

U = U[∂

µ

+ U

−1

∂

µ

U]ψ. (6.17)

The second term spoils the gauge invariance of the Lagrangian. The solution of the problem is the same

as above; we introduce gauge ﬁelds via a new matrix

D

µ

= ∂

µ

+ igA

µ

(6.18)

and postulate their gauge transformations as

A

′

µ

= UA

µ

U

−1

+

i

g

(∂

µ

U)U

−1

. (6.19)

Now we compute

D

′

µ

ψ

′

= (∂

µ

+ igA

′

µ

)ψ

′

= ∂

µ

Uψ + igA

′

µ

Uψ = U[∂

µ

+ U

−1

∂

µ

U]ψ + ig(UA

µ

U

−1

+

i

g

(∂

µ

U)U

−1

)Uψ

= U∂

µ

ψ + igUA

µ

= UD

µ

ψ. (6.20)

Now noting that

¯

ψ

′

=

¯

ψU

†

and again that U

†

U = 1 we see that the Lagrangian is invariant under local

gauge transformations. The ﬁeld strength tensor for the gauge ﬁeld is constructed as

F

µν

= D

µ

A

ν

−D

ν

A

µ

= (∂

µ

+igA

µ

)A

ν

−(∂

ν

+igA

ν

)A

µ

= ∂

µ

A

ν

−∂

ν

A

µ

+ig(A

µ

A

ν

−A

µ

A

ν

). (6.21)

102 CHAPTER 6. PHASE TRANSITIONS IN THE EARLY UNIVERSE

The ﬁeld strength tensor transforms as F

′

µν

= UF

µν

U

−1

, which follows from the commutation rules

D

′

µ

U = UD

µ

. The full Lagrangian is then given by

L = i

¯

ψγ

µ

∂

µ

ψ −m

¯

ψψ −g

¯

ψγ

µ

A

µ

ψ −

1

2

Tr(F

µν

F

µν

). (6.22)

The key diﬀerence between the (6.12) and (6.21) is the appearance of the additional term ∝ g in the last

equation, which is a manifestation of the non-abelian nature of the gauge ﬁelds. Mathematically this

comes from the fact that the N N matrices do not commute as opposed to the numbers. Physically,

this means that self-interactions between the ﬁelds is possible. The ﬁeld theories with this property are

called non-abelian gauge theories.

A natural question is what is the number of independent gauge ﬁelds that are need to insure the

gauge invariance? For that purpose we turn to some properties of complex matrices and state these

properties without proof.

1. Any unitary matrix can be written as U = exp(iH), where H is a Hermitian matrix.

2. The number of independent real number in a N N matrix is equal N

2

.

3. Any Hermitian matrix can be decomposed into linear superposition of N

2

−1 basis matrices and

the unit matrix

H = θ1 +

N

2

−1

i=1

θ

i

T

i

(6.23)

where T

i

are traceless matrices and θ

i

are real numbers.

4. The unitary matrix can be written then as

U = exp(iθ)

. ¸¸ .

U(1)

exp

_

i

i

θ

i

T

i

_

. ¸¸ .

SU(N)

. (6.24)

where U(1) and SU(N) are the subgroups of the group U(N).

Mathematically the lats statement is written as U(N) = U(1) SU(N). (The notation SU stands for

special unitary). The SU(N) group has N

2

−1 independent generators. We can now consider separately

the gauge invariance within the SU(N) group by introducing N

2

−1 independent gauge ﬁelds A

i

µ

. The

Hermitian matrix of the gauge ﬁelds now can be written in the basis of the generators as

A

µ

=

i

A

i

µ

T

i

(6.25)

In the case of the SU(2) group the basis matrices are the given by σ/2, where σ are the Pauli matrices.

In the case of SU(3) group the 22 Pauli matrices are replaced by the 33 Gell-Mann matrices. Note

that the basis matrices are traceless.

6.1. ELEMENTS OF THE STANDARD MODEL 103

6.1.3 Quark-hadron phase transition in the early universe

The quantum chromodynamics is the theory of strong interactions. It is built on the idea of SU(3) local

gauge invariance of quantum ﬁeld theory of quarks (fermions of the theory) and gluons (gauge ﬁelds).

The phenomenology of hadrons - particles interacting via the strong force - is described in terms quarks

which come in six ﬂavors and three colors. The quark ﬂavors are up, down, strange, charm, bottom

and top and the colors are red, blue, and green. (Note that ﬂavor and color are just internal quantum

numbers characterizing the elementary particles, such as e.g. spin). The up, charm and top quarks have

+2/3 electric charge, while the others (down, strange and bottom) have -1/3 electric charge. The bare

(or so-called current) masses of the quarks are strongly ﬂavor dependent, i.e., for the up quark 1.5 −4.5

MeV, down quark 5 − 8.5 MeV, strange quark 80 − 155 MeV, charm quark 1.3 GeV, bottom quark 4.3

GeV, top quark 170 GeV.

The quarks allow us to classify all the (several hundreds of) hadrons known in Nature. The baryons

(e.g. the neutron and proton) appear as the bound states of three quarks. The bosons (e.g. pion)

appear as bound states of quark and anti-quark pairs.

L =

f,i

_

i

¯

ψ

f

γ

µ

∂

µ

ψ

f

−m

f

¯

ψ

f

ψ

f

−

1

2

g

s

(i

¯

ψ

f

γ

µ

λ

i

ψ

f

)A

i

µ

_

−

1

2

Tr(F

µν

F

µν

), (6.26)

where f sums up the quark ﬂavors, the index i = 1, 2, . . . 8 labels the Gell-Mann matrices. The

eight gauge ﬁelds A

i

µ

correspond to the gluons which are transmitters of the strong interactions (like

the photons are transmitters of the electromagnetic interactions). In writing the Lagrangian we have

chosen to organise the diﬀerent colors into a color-triplet of given ﬂavor as

ψ

f

=

_

_

r

f

b

f

g

f

_

_

, (6.27)

where r stands for red, b for blue, and g for green. Each of the eight gluons (because there are

8 gluons we speak of gluon octet) carries one charge of color and one charge of anti-color. There

are nine combinations in which we can pair gluons and anti-gluons: r¯ r, r¯ g, r

¯

b, g¯ r, g¯ g, g

¯

b, b¯ r, b¯ g, b

¯

b.

The colorless combinations are now allowed in the Lagrangian; such combination is r¯ r + b

¯

b + g¯ g.

(Such combination would appear in a theory with U(3) symmetry where the unit matrix is among the

generators of the group, however the corresponding charge neutral boson would induce a long range

interaction between the hadrons, which would contradict the experimental data). The last term in

the Lagrangian (6.26) correspond to the self-interaction among gluons and includes three-leg and four-

leg processes. (This is in contrast to the quantum electrodynamics, where there is no self-interaction

between the photons).

There are a number of conservation laws associated with the processes involving quarks and gluons

• The ﬂavor is unchanged in the interaction term of the Lagrangian; thus strong interactions do not

change the quark ﬂavors.

• The total number of quarks minus the number of anti-quarks remains unchanged, i.e. the baryon

number is conserved (quarks carry the baryon number 1/3, antiquarks -1/3, so that a baryon has

baryon number 1, and an anti-baryon a baryon number -1).

• The color is conserved in any process.

104 CHAPTER 6. PHASE TRANSITIONS IN THE EARLY UNIVERSE

An important feature of the QCD is the property of conﬁnement, which states that all the particles

in nature must occur in color-neutral states. Familiar examples are neutron, which is built of ddu quarks

and proton, which built of duu quarks. Mesons are built of quark and anti-quark pairs, for example the

π

−

is a bound state of d¯ u quarks.

Another important feature of the QCD is the asymptotic freedom, which is the consequence of the

running coupling constant in QCD. The latter means that the coupling constant is a function of the

momentum transfer: it is large at small momentum transfers and becomes large as it increases. The

dependence of the strong coupling constant on the magnitude of the momentum transfer is given by

α

s

(q

2

) =

12π

11n −2f ln(q

2

/Λ

QCD

)

, (6.28)

where n is the number of colors, f is the number of ﬂavors: f = 5 for energies below the top quark

mass ∼ 170 GeV and f = 6 above this energy. Λ

QCD

= 220 MeV is a characteristic scale of QCD. For

example, for energies of the order 10 GeV the strong coupling constant is of the order of 0.2 (f = 5).

Thus, for energies ∼ GeV and larger QCD is a perturbative theory, i.e., one can carry out systematic

calculations where the processes are arranged in increasing powers of the coupling constant. For lower

energies one need non-perturbative methods (e.g. lattice calculations).

Now let us come back to the early universe. At temperatures T ≫Λ

QCD

the matter is most likely

to be in the deconﬁned state in which the quarks are not localized in hadrons (as in our world) but form

a plasma of free particle, which in view of smallness of α

s

at these energies interact weekly with each

other. As the temperature decreases the quarks become conﬁned in hadrons for T ≪Λ

QCD

. Thus we

may expect that there occurs a phase transition from quark-gluon plasma to hadronic matter as the

universe expands and cools. This phase transition will be referred to as the cosmological quark-hadron

phase transition.

To understand this phase transition let us discuss the thermodynamic parameters of the quark-gluon

plasma. The total pressure of the plasma can be written as

p

q

=

k

q

3

T

4

−B(T), (6.29)

where

κ

q

=

π

2

30

[2 8

. ¸¸ .

gluons

+

7

8

3 2 2 N

f

. ¸¸ .

quarks

]. (6.30)

The counting of the degrees of freedom is as follows: ﬁrst term contains the contribution from 8 gluons

with two polarizations, the second term is the contribution from quarks with 3 colors, two spins, and

N

f

ﬂavors, where an extra factor of 2 arises from the anti-particles.

The terms B(T) is called the bag constant (which in general may depend on temperature and density)

and can be phenomenologically adjusted with simpliﬁed models, such as the MIT bag model. It seem

that the bag constant produced a negative pressure on quarks so that remain conﬁned in a certain

volume corresponding to hadrons. The quark and gluon ﬁelds vanish outside the hadrons. This mimics

the conﬁnement of quarks with the hadrons. The quark-gluon plasma state corresponds to the one

where the bags overlap and therefore these can move free from one to another volume with “feeling”

the action of the bag constant over the space.

From the pressure (6.29) we can derive the energy density and the entropy of quark gluon plasma

6.1. ELEMENTS OF THE STANDARD MODEL 105

as

s

qg

=

4

3

κ

qg

T

3

−

∂B

∂T

, (6.31)

ǫ

qg

= κ

qg

T

4

+ B −T

∂B

∂T

. (6.32)

When the temperature drops below the critical temperature of phase transition from the quark to

hadronic phase

T

c

≃ Λ

QCD

≃ 200 MeV, (6.33)

the quarks become conﬁned to hadrons - mostly the lightest hadrons, i.e., pions π

±

, π

0

. Since the pion

masses are about 134 −140 MeV one can treat them at T

c

as massless bosons. Assuming that we deal

with an ideal gas of pions the pressure and entropy are given by

p

h

=

κ

h

3

T

4

, s

h

=

4κ

h

3

T

3

, (6.34)

where κ

h

= π

2

/10. We see that the number of degrees of freedom dramatically drops from 16 +12 N

f

to only 3. An important question to answer is the order of the phase transition. The answer depends

on the masses of the light quarks, and since the calculations are diﬃcult it is hard to say which order

of phase transition we have or whether there is a phase transition at all (the alternative is a crossover).

Here are the possibilities:

• Pure gluonic matter (no quarks) - the phase transition is ﬁrst order;

• Two massless quarks and gluons - the phase transition is second order;

• Three massless quarks and gluons - the phase transition is ﬁrst order;

• Massive quarks and gluons - the phase transition becomes a crossover.

As mentioned above there is a sharp change in the thermodynamical parameters such as the entropy and

energy density around the critical temperature T

c

. But even in the case of ﬁrst order phase transition

the pressure of the two phases must be continuous, so that equating the pressure of these two phases

we obtain an estimate of the critical temperature as a function of the gap constant B

0

T

c

=

_

3B

0

κ

qg

−κ

h

_

1/4

∼

_

B

0

1.42 + N

f

_

1/4

= 0.7B

1/4

0

(6.35)

We see that to obtain T

c

= 200 MeV we need B

1/4

0

= 286 MeV.

A ﬁrst order phase transition occurs via formation of seeds of the new phase (in our case hadronic

phase) which grow and form larger bubble until the new phase does not ﬁll the whole space (a good

example from daily life is the boiling of water as a special case of liquid-gas phase transition). Further-

more, during such phase transition there is a latent heat released, which is equal to the T∆S, where

∆S = (4/3)(κ

qg

− κ

h

)T

3

c

is the jump in the entropy at the phase transition. At the phase transition

T = T

c

, i.e., it stays constant throughout the phase transition. Thus, the released heat during the

cosmological phase transition can be absorbed by the other components of the ﬂuid (the radiation -

photons, and the leptons) and their temperature may stay constant despite of the fact that the universe

expands.

The entropy is continuous through the phase transition if it is second order or a crossover. In the

case of the ﬁrst order phase transition the formation of inhomogeneities may lead to some violent eﬀect

that may be observables. Examples are formation of black holes, generation of gravitational waves and

magnetic ﬁelds.

106 CHAPTER 6. PHASE TRANSITIONS IN THE EARLY UNIVERSE

6.1.4 Electroweak phase transition in the early universe

The electroweak theory uniﬁes the electromagnetic and the weak forces within a theory which is based

on the SU(2) U(1) gauge symmetry. We can not combine them into a U(2) theory, since the coupling

constants in each group should be adjusted to the experiment independently.

The particle content of the electroweak theory includes the following elementary particles:

d, u, s, c, b, t,

. ¸¸ .

quarks

e, µ, τ,

neutrinos

¸ .. ¸

ν

e

, ν

µ

, ν

τ

. ¸¸ .

leptons

. (6.36)

All the fermions carry two spin degrees of freedom, except of neutrinos, which appear in nature only

in the left-handed states (anti-neutrinos only in the right handed states). Each quark ﬂavor carries the

color degrees of freedom. Furthermore, the neutrinos are special because they have very small masses

compared to the other fermions and can be treated, in a ﬁrst approximation, as massless. This implies

that helicity of neutrinos is a good quantum number (by convention the helicity of neutrinos is −1, that

of anti-neutrinos +1). The leptons can be organized into three generations

_

ν

e

e

_

L

, e

R

;

_

ν

µ

µ

_

L

, µ

R

;

_

ν

τ

τ

_

L

, τ

R

. (6.37)

Since neutrinos appear only as left handed states we assign a SU(2) duplet to the left-handed states,

whereas the right-handed states are singlets with respect to the SU(2) group. The organisation in

generations reﬂect the fact that the weak interactions convert particles only within the same generation

and the lepton numbers are conserved in each generation separately. The quarks can be arranged in

three generations as well

_

u

d

′

_

L

, u

R

, d

′

R

;

_

c

s

′

_

L

, c

R

, s

′

R

;

_

t

b

′

_

L

, t

R

, b

′

R

. (6.38)

The primed ﬂavors u

′

, s

′

, b

′

are linear superpositions of the ﬂavors u, s, d that are conserved in the

strong interactions. Thus the weak interactions violate the ﬂavor conservation laws.

There are three gauge bosons of the electroweak theory

W

±

, Z

0

. (6.39)

where the ﬁrst two are electrically charged, while the third is electrically neutral. The ﬁrst two are

responsible for charge current interactions and the third one for the charge neutral current interactions.

The masses of fermions can not be introduced in the Lagrangian in a ad hoc manner, since this is

known to spoil the gauge invariance of any chiral theory. We shell assume for the time being that the

fermions are massless and will return later to the problem of generation of fermion masses from their

interactions with a classical scalar ﬁeld (known as the Higgs ﬁeld). Now we are ready to write down

the Lagrangian of the electroweak theory

L

f

= i

¯

ψ

L

γ

µ

(∂

µ

+ igA

µ

+ ig

′

Y

L

B

µ

ψ

L

) + i

¯

ψ

R

γ

µ

(∂

µ

+ ig

′

Y

R

B

µ

ψ

R

). (6.40)

Note that this Lagrangian is written for one particular ﬂavor and can be applied to each ﬂavor gen-

eration. Furthermore, the left and right handed “sectors” are separated - this is characteristic for the

so-called chiral theories (chiral means handedness). Note that the Lagrangian is not chirally symmetric.

The Lagrangian (6.40) is invariant under the SU(2) transformations

ψ

′

L

= Uψ

L

, ψ

′

R

= ψ

R

(6.41)

6.1. ELEMENTS OF THE STANDARD MODEL 107

where U is a unitary 2 2 matrix and U(1) transformation

ψ

′

L

= e

−ig

′

Y

L

θ(x)

ψ

L

, ψ

′

R

= e

−ig

′

Y

L

θ(x)

ψ

R

. (6.42)

The gauge transformation by which the gauge ﬁelds A

µ

and B

µ

have been deﬁned in Eqs. (6.19) and

(6.7) respectively. Not only the fermions, but also three out of four gauge bosons should acquire masses

in the electroweak theory to comply with the experimental data. And as in the case of fermions, the

masses of bosons are generated via the Higgs mechanism. Let us see how this works on a simple example

Spontaneous symmetry breaking in scalar ﬁeld theories

To illustrate the mechanism of mass generation let us consider a theory described by the Lagrangian

L =

1

2

[(∂

µ

+ ieA

µ

)φ]

∗

[(∂

µ

+ ieA

µ

)φ] −V (φ

∗

φ) −

1

4

F

µν

F

µν

. (6.43)

This Lagrangian is invariant under U(1) gauge transformation

φ

′

= e

−ieθ

φ, A

′

µ

= A

µ

+ ∂

µ

θ. (6.44)

If we write the complex ﬁeld φ in terms of an amplitude and a phase

φ = χe

ieζ

(6.45)

we see that the transformation (6.44) leaves the amplitude unchanged, where the phase changes as

ζ

′

= ζ −λ. Then, the second relation in (6.44) suggest that we can deﬁne a new vector

G

µ

= A

µ

+ ∂

µ

ζ. (6.46)

If we rewrite the Lagrangian in terms of the new variables χ and G

µ

the kinetic term can be written

entirely in terms of gauge invariant quantities

L =

1

2

∂

µ

χ∂

µ

χ +

e

2

2

χ

2

G

µ

G

µ

−

1

4

F

µν

F

µν

−V (χ

2

). (6.47)

Suppose the amplitude has a minimum at χ

0

and consider small perturbations around this value

χ = χ

0

+ϕ. This new Lagrangian describes a real scalar ﬁeld ϕ, which posses mass m

Higgs

=

_

∂

χ

V (χ

0

)

and interacts with a massive vector ﬁeld of mass M

G

= eχ

0

. Given that the starting Lagrangian is

renormalizable we expect that rewriting the Lagrangian in new variables does not spoil the renormal-

izability of the Lagrangian. Thus the new ﬁelds representing the observable particles of the theory is a

real scalar ﬁeld (Higgs ﬁeld) and a massive vector ﬁeld.

We have seen how a massive ﬁeld arises from initial Lagrangian featuring only massless ﬁelds. This

mechanism of mass generation is known as Higgs mechanism.

Generating the masses of gauge bosons

We now consider step by step the generation of masses of gauge bosons, masses of fermions and their

interactions. Our discussion will concentrate on the essential ideas; please consult any textbook on

quantum ﬁeld theory for more details. We start by considering the SU(2) U(1) extension of the U(1)

model discussed above; the gauge part is left for later; keeping the kinetic and potential terms only we

obtain the Lagrangian

L

1

=

1

2

(D

µ

φ)

†

(D

µ

φ) −V (φ

†

φ), D = ∂

µ

+ igA

µ

−

g

′

2

B

µ

. (6.48)

108 CHAPTER 6. PHASE TRANSITIONS IN THE EARLY UNIVERSE

Note that the hypercharge is set to −1/2. The scalar ﬁeld can be written in terms of a real amplitude

and complex SU(2) matrix U as

φ = χU

_

0

1

_

. ¸¸ .

φ

0

. (6.49)

Upon substituting (6.49) in (6.48) one ﬁnds

L

1

=

1

2

(∂

µ

χ∂

µ

χ) −V (χ

2

) +

χ

2

2

φ

†

0

_

gG

µ

−

g

′

2

B

µ

__

gG

µ

−

g

′

2

B

µ

_

φ

0

. (6.50)

where

G

µ

= U

−1

A

µ

U −

i

g

U

−1

∂

µ

U. (6.51)

Conventionally one writes the matrix G

µ

as

G

µ

=

_

−G

3

µ

/2 −W

+

/

√

2

−W

−

/

√

2 G

3

µ

/2

_

, (6.52)

and uses instead of the variables B

µ

and G

µ

the variables

_

A

µ

Z

µ

_

=

_

cos θ

W

sin θ

W

−sin θ

W

cos θ

W

__

B

µ

G

3

µ

_

, (6.53)

where θ

W

, which is deﬁned via cos θ

W

= g/

_

g

2

+ g

′

2

is the Weinberg angle. In the new variables the

Lagrangian reads

L

1

=

1

2

(∂

µ

χ∂

µ

χ) −V (χ

2

) +

(g

2

+ g

′

2

)χ

2

8

Z

µ

Z

µ

+

g

2

χ

2

4

W

+

µ

W

−µ

. (6.54)

Now assume that the ﬁeld χ has a non-zero expectation value χ

0

and consider as in the case of the

U(1) model small ﬂuctuations around this value. Expanding the ﬁeld potential V (χ

2

) we see that the

Lagrangian describes the Higgs scalar ﬁeld φ with mass

M

Higgs

=

_

∂

χ

V [

χ

0

=

√

2λχ

0

(6.55)

and massive vector mesons ﬁelds Z

µ

and W

±

µ

with masses

M

Z

=

_

g

2

+g

′

2

χ

0

2

M

W

=

gχ

0

2

= M

Z

cos θ

W

. (6.56)

In addition it contains one massless gauge boson related to the ﬁeld A

µ

, which is identiﬁed with the

photon. The relation between the coupling constants is given by

e = g

′

cos θ

W

= g sin θ

W

. (6.57)

The gauge bosons W

±

and Z

0

are the physical ﬁelds that appear in the weak interactions. We see that

the charged boson couple to matter at about the same strength as the electromagnetism. The weak

interactions appear to be weak because the eﬀective coupling constant contains inverse second power

of the mass of the gauge boson, which is rather large M

W

= 80.4 GeV and M

Z

= 91.2 GeV. One can

deﬁne the weak ﬁne structure constant

α

W

=

g

2

4π

=

e

2

4π sin

2

θ

W

, (6.58)

which is in fact larger than the ordinary ﬁne structure constant e

2

/4π = 1/137.

6.1. ELEMENTS OF THE STANDARD MODEL 109

Generating the masses of fermions

The masses of the fermions are generated via the interactions with the scalar ﬁeld ϕ. The Lagrangian

of this interaction can be written (for simplicity we take only the ﬁrst generation) as

L

int

= −f

e

(

¯

ψ

L

ϕe

R

+ ¯ e

R

ϕ

†

ψ

L

), (6.59)

where f

e

is the coupling constant. (In order to be U(1) invariant the hypercharges of the scalar ﬁeld

and the left/right handed fermions should satisfy the relation Y

L

= Y

R

+ Y

ϕ

). As before we substitute

for the scalar ﬁeld ϕ = χUφ

0

, which then leads to

L

int

= −f

e

χ

¯

Ψ

L

ϕ

0

e

R

+ h.c. = −f

e

(¯ e

L

e

R

+ ¯ e

R

e

L

) = −f

e

χ¯ ee, (6.60)

where

Ψ

L

= U

−1

ψ

L

=

_

ν

L

e

L

_

. (6.61)

Again, if the scalar ﬁeld has non-zero expectation value, we can write χ = χ

0

+ φ, and read-oﬀ the

electron mass as

m

e

= f

e

χ

0

. (6.62)

Note that f

e

is a free parameter in the electroweak theory and can be adjusted to reproduce the electron

mass given an estimate for χ

0

. The ﬂuctuation term that arises from contribution ∝ φ is

f

e

φ¯ ee (6.63)

and describes the interaction of Higgs boson with electrons. Note that only the electron, i. e., one

component of the doublet becomes a mass, while neutrino remains massless. The magnitude of the

Higgs ﬁeld can be ﬁxed from the measured masses of gauge bosons

M

W

= 80.4 GeV M

Z

= 91.2 GeV, (6.64)

and the weak coupling constant

G

F

=

1

4

√

2

g

2

M

2

W

= 1.166 10

−5

GeV

−2

. (6.65)

and the relations (6.56)

χ

0

=

2M

W

sin θ

W

e

≃ 250 GeV. (6.66)

The electron mass is then reproduced if we choose f

e

= 2 10

−6

.

Now we turn to the generation of quark masses. Consider SU(2) gauge invariant quark doublets

u

i

= (u, c, t) d

′

i

= (d

′

, s

′

, b

′

), i = 1, 2, 3. (6.67)

(recall that the three quark states d

′

, s

′

, b

′

acting in the weak interactions are linear superpositions

of mass eigenstates d, s, b and this leads to ﬂavor non-conservation in the weak interactions). In the

three-ﬂavor cases these vectors are related by the unitary 3 3 Kobayashi-Maskawa matrix V

i

j

d

′

i

= V

i

j

d

j

. (6.68)

110 CHAPTER 6. PHASE TRANSITIONS IN THE EARLY UNIVERSE

The quark interaction term can be written as

L

Q

int

= −f

d

ij

χ

¯

Q

i

L

ϕ

0

d

′

j

R

−f

u

ij

χ

¯

Q

i

L

ϕ

1

u

j

R

+ h.c., Q

i

L

=

_

u

i

d

′

i

_

, ϕ

1

=

_

1

0

_

. (6.69)

The second term involving the upper components of the doublet allows one to generate also the masses

of the quarks belonging to that doublet. If we substitute Eq. (6.68) in (6.69) we and keeping only the

non-ﬂuctuating part of the Higgs ﬁeld χ

0

we obtain the part of the Lagrangian describing the masses

of quarks

L

Q

m

= −

_

V

i∗

m

f

d

ij

V

j

k

_

χ

¯

d

m

L

d

k

R

−f

u

ij

χ

¯

d

i

L

u

j

R

+ h.c. (6.70)

The quark masses are introduced as follows

_

V

i∗

m

f

d

ij

V

j

k

_

χ

0

= m

d

k

δ

mk

, f

u

ij

χ

0

= m

u

i

δ

ij

. (6.71)

To obtain for example to mass of the top quark m

t

= 170 GeV one has to choose f

t

= 0.7.

6.2 Phase transitions and symmetry restoration at high T

We now consider how the Higgs ﬁeld behaves as the temperature is varied. This is of obvious interests to

us in the context of expanding and cooling universe. For simplicity we start by consider an interacting

scalar ﬁeld

g

αβ

∂

α

∂

β

χ + V

′

(χ) = 0, V

′

(χ) =

∂V

∂χ

. (6.72)

The ﬁeld is inhomogeneous in general and can be written as the background homogeneous component

plus inhomogeneous component

χ(t, x) = ¯ χ(t) + φ(t, x). (6.73)

We substitute Eq. (6.73) into Eq. (6.72) and expand the potential in powers of (small) φ to obtain

g

αβ

∂

α

∂

β

¯ χ + V

′

( ¯ χ) +

1

2

V

′′′

( ¯ χ)¸φ

2

¸ = 0. (6.74)

to second order in the average of the ﬂuctuating ﬁeld φ (note that ¸φ¸ = 0). At the classical level the

inhomogeneous ﬁeld obeys the equation

g

αβ

∂

α

∂

β

φ + V

′′

( ¯ χ)φ = 0, V

′′

( ¯ χ) ≡ m

2

φ

( ¯ χ). (6.75)

We will use here a result from quantum ﬁeld theory of scalar ﬁelds (for a derivation see any textbook

on QFT)

¸φ

2

(x)¸ =

_

d

3

k

(2π)

3

)E

k

_

n

k

+

1

2

_

=

1

2π

2

_

dk k

2

E

k

_

n

k

+

1

2

_

, (6.76)

where E

k

=

_

k

2

+m

2

φ

( ¯ χ). One contribution arises from vacuum ﬂuctuations and is ∝ 1/2 and the

other from thermal ﬂuctuations and is ∝ n

k

. The vacuum ﬂuctuation part is divergent as k → ∞

linearly in k. To regularized the integral we simply cut-oﬀ it at some frequency k

c

. It is easy to check

that the vacuum contribution to the third term in Eq. (6.74) can be written as a derivative of some

integral

1

2

V

′′′

( ¯ χ)¸φ

2

¸ =

∂V

φ

∂ ¯ χ

, V

φ

=

1

4π

2

_

k

c

0

dk k

2

E

k

. (6.77)

6.2. PHASE TRANSITIONS AND SYMMETRY RESTORATION AT HIGH T 111

The derivatives in Eq. (6.75) thus can be combined

g

αβ

∂

α

∂

β

¯ χ + V

′

eﬀ

( ¯ χ) = 0. (6.78)

where V

eﬀ

= V +V

φ

. The calculation of the integral in Eq. (6.77) and subsequent expansion in powers

of 1/k

c

gives

V

φ

=

1

32π

2

_

k

c

(2k

2

c

+ m

2

φ

)E

k

c

+ m

4

φ

ln

m

φ

k

c

+ E

k

c

_

. (6.79)

In the limit k

c

→∞ we have E

k

c

→k

c

and

V

φ

=

1

32π

2

_

k

2

c

(2k

2

c

+ m

2

φ

) + m

4

φ

ln

m

φ

2k

c

_

=

1

64π

2

_

¸

¸

_

2k

2

c

(2k

2

c

+ m

2

φ

) −m

4

φ

ln

4k

2

c

µ

2

. ¸¸ .

v

∞

+m

4

φ

ln

m

2

φ

µ

2

_

¸

¸

_

(6.80)

where µ is a characteristic scale, v

∞

is a divergent term, which can be absorbed through a redeﬁnition

of constants. Thus the eﬀective potential can be written as

V

eﬀ

= V +

m

4

φ

64π

2

ln

m

2

φ

µ

2

. (6.81)

The changes in the scale µ induces a term ∝ m

4

φ

which can be reabsorbed in the deﬁnition of the

potential and therefore leads to ﬁnite renormalization of constants.

The thermal contribution can be written in terms of the integral deﬁned by Eq. (3.31)

¸φ

2

¸ =

1

2π

2

_

dkk

2

E

k

(e

E

k

/T

−1)

=

T

2

4π

2

I

(1)

−

(m

φ

/T, 0). (6.82)

Further we have

1

2

V

′′′

( ¯ χ)¸φ

2

¸ =

∂V

T

φ

∂ ¯ χ

, V

T

φ

=

T

4

4π

2

_

m

φ

/T

0

dxxI

(1)

−

(x, 0) =

T

4

4π

2

I

T

(m

φ

/T). (6.83)

Thus the total potential is the sum of the vacuum and thermal parts

V

eﬀ

= V +

m

4

φ

64π

2

ln

m

2

φ

µ

2

+

T

4

4π

2

I

T

(m

φ

/T). (6.84)

where the mass term is deﬁned as m

2

φ

= V

′′

( ¯ χ).

Now we consider the same problem, but instead of the scalar ﬂuctuations described by the φ ﬁeld,

we consider the vector particles described by the ﬁeld G

µ

in the Lagrangian (6.47)

g

αβ

∂

α

∂

β

¯ χ +V

′

eﬀ

( ¯ χ) −e

2

χG

µ

G

µ

= 0. (6.85)

Here we neglect the eﬀect of the scalar particles. Physically this corresponds to the limit where the

mass of the gauge bosons is much larger than the mass of the Higgs particles. As in the case of the

scalars there two contributions to the eﬀective potential - one from vacuum ﬂuctuations, another from

thermal ﬂuctuations. The vacuum part can be written as

−e

2

¯ χ¸G

µ

G

µ

¸ =

∂V

G

∂ ¯ χ

, V

G

= 3V

φ

, (6.86)

112 CHAPTER 6. PHASE TRANSITIONS IN THE EARLY UNIVERSE

where the factor 3 arises from the vector nature of the ﬁeld G

µ

. The mass of the vector ﬁeld is

m

G

( ¯ χ) = e¯ χ. (6.87)

The thermal contribution can be computed as in the case of the scalar ﬁeld and the ﬁnal result is

V

eﬀ

= V +

3m

4

G

64π

2

ln

m

2

G

µ

2

+

3T

4

4π

2

I

T

(m

G

/T). (6.88)

We can now specify some form of the potential V . As an example, we take the quartic potential and

consider the zero temperature limit

V

eﬀ

=

λ

R

4

¯ χ

4

+

m

2

R

2

¯ χ

2

+ Λ

R

+

3e

4

32π

4

¯ χ

4

ln

¯ χ

χ

0

. (6.89)

where we substituted the value of m

G

. The renormalized coeﬃcients λ

R

, m

R

and Λ

R

can be expressed

completely through the observable quantities e, m

H

, and χ

0

from the set of equations

V

eﬀ

(χ

0

) = 0, V

′

eﬀ

(χ

0

) = 0, V

′′

eﬀ

(χ

0

) = m

2

H

, (6.90)

where m

H

is the Higgs mass. These are given by (for the computation see the exercise 11.1)

λ

R

=

m

2

H

2χ

2

0

−3α, m

2

R

= −

m

2

H

2

+ 2χ

2

0

α, Λ

R

=

χ

2

0

4

_

m

2

H

2

−αχ

2

0

_

, α ≡

3e

4

32π

2

. (6.91)

It is seen that when m

2

H

< 4αm

2

G

(χ

0

), then m

R

> 0 and the potential has a second minimum at the

origin. Furthermore if m

2

H

< 2αm

2

G

(χ

0

), then Λ

R

< 0 and the minimum at the origin is deeper than at

the ﬁnite χ

0

. Therefore we conclude that if

• if m

2

H

> 2αm

2

G

then symmetry will remain unbroken and the particle are massless;

• if m

2

H

< 2αm

2

G

the symmetry is broken and the particles obtain a mass through the Higgs

mechanism.

We do expect that the symmetry was indeed broken in the early universe, therefore this fact sets a

lower bound on the mass of the Higgs boson (within the model we discusses). This bound is known as

Linde-Weinberg bound.

For further applications it is useful to consider the case m

2

R

= 0, i.e. V

′′

eﬀ

( ¯ χ) = 0. In that case we

obtain

m

2

H

2

= 2χ

2

0

α, λ

R

= −α, Λ

R

= α

χ

4

0

4

, (6.92)

and the eﬀective potential becomes

V

eﬀ

= −α

¯ χ

4

4

+ α

χ

4

0

4

+ α¯ χ

4

ln

¯ χ

χ

0

, (6.93)

which is known as the Coleman-Weinberg potential and can be used to construct inﬂationary scenarios.

Now we include the ﬁnite temperature contribution to the eﬀective potential. For that purpose we

need to calculate

I

T

(m

G

/T) =

_

m

G

/T

0

dxxI

(1)

−

(x, 0) . (6.94)

6.2. PHASE TRANSITIONS AND SYMMETRY RESTORATION AT HIGH T 113

Using the high temperature expansion

I

(1)

−

(x, 0) =

π

2

3

−πx −

x

2

2

_

ln

_

x

4π

_

+ C −

1

2

_

, (6.95)

we obtain

V

eﬀ

( ¯ χ, T) =

λ

T

4

¯ χ

4

−

e

3

4π

T ¯ χ

3

+

m

2

T

2

¯ χ

2

+ Λ

R

(6.96)

where

λ

T

=

m

2

H

2χ

2

0

+ 2αln

bT

2

e

2

χ

2

0

, m

T

=

e

2

_

T

2

−T

2

0

, ln b = 2 ln 4π −2C ≃ 3.5. (6.97)

This analysis is valid in the limit m

G

= e¯ χ ≪T, i.e., in the regime where the expansion for the integral

(6.95) is valid. One may also use the low-temperature expansion of the integral to obtain the behavior

in that regime, or simply carry out the integration numerically.

6.2.1 Symmetry restoration at high temperatures

The potential (6.96) is illustrated in Fig. 6.1. It has the following features. For largest temperatures in

Figure 6.1: The eﬀective potential deﬁned in Eq. (6.96).

has a minimum only at the origin χ = 0. In this case the gauge bosons have no mass and the symmetry

is restored. Below the temperature

T

1

= T

0

_

1 −

6α

λ(T

1

)

_

−1/2

, ¯ χ

1

=

3e

3

T

1

8πλ

T

(6.98)

there appears a second minimum at the non-zero value of the ﬁeld χ

1

. For smaller temperatures the

value of the minimum is larger than χ

1

. At the critical temperature and critical value of the ﬁeld χ

c

T

c

= T

0

_

1 −

16α

3λ(T

0

)

_

−1/2

¯ χ

c

=

e

3

T

c

2πλ

T

(6.99)

114 CHAPTER 6. PHASE TRANSITIONS IN THE EARLY UNIVERSE

the two minima are equal. The potential barrier separating these two minima has a height

∆V

c

=

e

12

T

4

c

4(4π)

4

λ(T

c

)

3

, max( ¯ χ) = ¯ χ

c

/2. (6.100)

with the maximum at ¯ χ = ¯ χ

c

/2. As the temperature is further lowered and reaches T

0

, we ﬁnd that

m

2

T

is negative and there is no minimum at the origin. Asymptotically the potential reaches its zero

temperature limit.

If the situation is realized where there is a double-well structure of the potential with two minima

the system will undergo a ﬁrst order phase transition from the state with χ = 0 to the state χ ,= 0. The

ﬁrst order phase transitions proceed by bubble nucleation of the new phase with subsequent coalescence

of the bubbles which ﬁnally occupy all the space. Such a phase transition in the early universe would

be a very violent event with strong deviations from the thermal equilibrium.

The other possibility is a second order phase transition where there is a smooth transition between

the phases. This would be the case where the potential does not have a double well structure, i.e., there

is no potential barrier separating the two minima. Because the Higgs symmetry is not broken in the

Figure 6.2: The eﬀective potential in the case of second order phase transition; the double-well structure

is absent.

phase transition (practically there is no symmetry to be broken) one expects that there is a cross-over,

rather than a second order phase transition. For cosmological purposes one distinguishes basically the

violent phase transitions from smooth phase transitions.

One can give a qualitative answer to the question, when the phase transition is ﬁrst or second order.

For that purpose we note that the ﬂuctuations of the ﬁeld are given by

δφ =

_

¸φ

2

¸

T

≃

T

24

, ¸φ

2

¸

T

=

T

2

4π

2

J

(1)

−

_

m

φ

( ¯ χ)

T

, 0

_

. (6.101)

If the value of χ is smaller that the δφ there is no mass generation and the vector bosons should be

treated as massless particles. In this case the χ

3

term that is responsible for the appearance of a barrier

will not be present in the eﬀective potential (recall that m

G

= e¯ χ) and the phase transition will be

second order. In the opposite case there is a barrier and the phase transition is frist order.

6.2. PHASE TRANSITIONS AND SYMMETRY RESTORATION AT HIGH T 115

6.2.2 Electroweak phase transition in the early universe

Now we consider the electroweak phase transition in the early universe. The relevant pieces of the

Lagrangian are given by Eqs. (6.54), (6.60) and (6.69). The equation of motion of the ﬁeld that follows

upon assumption that the scalar particles can be neglected is

∂

α

∂

α

χ + V

′

(χ) −

g

2

+ g

′2

4

¯ χ¸Z

µ

Z

µ

¸ −

g

2

2

¯ χ¸W

+

µ

W

−µ

¸ + f

t

¸t

¯

t¸ = 0. (6.102)

Here the coupling of the t-quarks is given by

f

t

¸t

¯

t¸ =

∂V

t

∂ ¯ χ

, V

t

= 3 4

_

−

I

T

(m

t

)

4π

2

+

T

4

4π

2

F

+

_

m

t

T

_

_

. (6.103)

where m

t

= f

t

¯ χ and

F

+

_

m

t

T

_

=

_

m

t

/T

0

xI

(1)

+

(x, 0)dx. (6.104)

We have kept only the contribution from the t quarks since their coupling is largest and they dominate

the contribution from other quarks. The integral in Eq. (6.103) above is deﬁned in Eq. (6.83) which

we reproduce for completeness

I

T

(m

t

) =

_

m

t

/T

0

dxxI

(1)

−

(x, 0). (6.105)

The extra factor 3 in Eq. (6.103) accounts for three colors of t-quark, factor 4 stands for the spin plus

antiparticle degrees of freedom. The calculation of the corresponding eﬀective potential proceeds in full

analogy to the scalar potential and is then given

V

eﬀ

= V +

3

64π

2

_

m

4

Z

ln

m

2

Z

µ

2

+ 2m

4

W

ln

m

2

W

µ

2

−4m

4

t

ln

m

2

t

µ

2

_

+

3T

4

4π

2

_

F

−

_

m

Z

T

_

+ 2F

−

_

m

W

T

_

+ 4F

−

_

m

t

T

__

, (6.106)

where

m

Z

=

_

g

2

+ g

′

2

¯ χ

2

, m

W

=

g

2

¯ χ, m

t

= f

t

¯ χ. (6.107)

For most of the application it is suﬃcient to consider the high-temperature expansion of the potential

V

eﬀ

, which is given by

V

eﬀ

( ¯ χ, T) ≃

λ

T

4

¯ χ

4

−

Θ

3

T ¯ χ

3

+

Ξ(T

2

−T

2

0

)

2

¯ χ

2

+ Λ

R

. (6.108)

where the temperature-dependent coupling constant is given by

λ

T

=

m

2

H

2χ

2

0

+

3

16π

2

χ

4

0

_

M

4

Z

ln

bT

2

M

2

Z

+ 2M

4

W

ln

bT

2

M

2

W

−4M

4

t

ln

bT

2

M

2

t

.

_

(6.109)

where the values of the masses are taken at the minimum of the χ ﬁeld, i.e., M

Z

= m

Z

(χ

0

). The

constant are deﬁned as ln b = 2 ln 4π −2C ≃ 3.5, b

f

= 2 ln π −2C = 1.4. The dimensionless constants

are given by

Θ =

3(M

3

Z

+ 2M

3

W

)

4πχ

3

0

≃ 2.7 10

−2

(6.110)

Ξ =

M

2

Z

+ 2M

2

W

+ 2M

2

t

4χ

2

0

≃ 0.3. (6.111)

116 CHAPTER 6. PHASE TRANSITIONS IN THE EARLY UNIVERSE

where the temperature of the phase transition is given by

T

2

0

=

1

2Ξ

_

m

2

H

−

3(M

4

Z

+ 2M

4

W

−4M

4

t

)

8π

2

χ

2

0

_

= 1.7[m

2

H

+ (44 GeV)

2

]. (6.112)

This temperature explicitly depend on the unknown Higgs mass. As a next step we would like to study

the temperature dependence of the eﬀective potential. First, in analogy to the scalar ﬁeld the masses

can be taken as “real” is the value of χ, which corresponds to the breaking of symmetry is outside of

the ﬂuctuation region of the ﬁeld at any given temperature. The terms corresponding to the t quarks

should be kept only if the temperature is much higher than the their masses m

t

( ¯ χ) = M

t

¯ χ/¯ χ

0

≪ T.

Within the range

T

M

Z,W

χ

0

> ¯ χ >

T

M

t

χ

0

(6.113)

the t quarks should be omitted as they are non-relativistic, whereas the W, Z-bosons are relativistic.

The analysis of the eﬀective potential shows the following features. At very high temperatures

T ≫T

1

=

T

0

[1 −(Θ

2

/4Ξλ(T

c

))]

1/2

(6.114)

the potential has one minimum at the origin ( ¯ χ = 0) the symmetry is intact and the gauge bosons and

fermions are massless. Below the temperature T

1

the second minimum appears and at T = T

c

, deﬁned

by

T

c

=

T

0

_

1 −2Θ

2

/9Ξλ

T

c

, (6.115)

the depth of the minimum, which is deﬁned by

¯ χ

c

=

2ΘT

3λ(T

c

)

(6.116)

becomes of the same as that at ¯ χ = 0. At this point the transition to the phase with the broken

symmetry becomes possible. We have seen that the barrier at ¯ χ ,= 0 is “real” if the location of the

minimum is larger than the ﬂuctuation region of the ﬁeld, i.e., ¯ χ

c

/2 > T/5. Using Eq. (6.116) we obtain

the condition on the coupling constant λ(T

c

) <

_

8/3Ξ for the strong ﬁrst order phase transition to

occur. This condition can be translated upon a bound on the Higgs mass via Eq. (6.109), which implies

m

H

< 75 GeV. Thus, if the Higgs particle is light the electroweak phase transition will be ﬁrst order (for

m

H

∼ 50 GeV the critical temperature is of the order T

c

≃ 90 GeV. However, the experimental lower

bound on the Higgs mass if m

H

> 114 GeV. Therefore, the analysis above implies that the breaking of

the electroweak symmetry will be smooth. For large Higgs mass one can neglect the barrier inducing

χ

3

-term in Eq. (6.108). In this case there is only one minimum of the potential, which at T < T

0

is

located at

¯ χ

2

c

=

Ξ

λ

T

(T

2

0

−T

2

), (6.117)

and the symmetry is broken. Thus, we conclude that the data indicates that the Higgs mass is large

and therefore the cosmological electroweak transition is smooth. The value of the critical temperature

depends on the mass of the Higgs boson, e.g., if m

H

≃ 120 GeV then T

0

≃ 170 GeV or if m

H

≃ 180

GeV then T

0

≃ 240 GeV.

6.3. PHYSICS BEYOND THE STANDARD MODEL 117

6.3 Physics beyond the Standard Model

The experimentally veriﬁed Standard Model is expected to work up to energies of the order of 100 GeV.

Beyond this energy we expect the Standard Model to be replaced by a more general theory, whose low

energy limit is the standard model. Indeed the standard model contains many ﬁne-tuned constants

whose speciﬁc values have no explanation within the standard model.

Cosmology needs to answer a number of questions, whose roots lie in the physics of the early universe.

The most prominent ones are the nature of the dark energy, the baryon asymmetry and those problems

that are solved by the inﬂationary theory.

6.3.1 Grand-uniﬁcation theories

Grand uniﬁed theories combine the electroweak and strong interactions into a single force at energy

much larger than those encountered in the Standard Model. The idea is based on the “running” of the

coupling constats of the two theories. The strong coupling constant runs according to Eq. (6.28) On

the other hand the weak coupling constant varies with the momentum transfer as

α

w

(q

2

) =

g

2

4π

≃

α

0

w

1 + 0.265α

0

w

ln(q

2

/q

2

0

)

. (6.118)

where the low-energy value at q

0

∼ 100 GeV is α

0

w

= α

w

(q

0

) = 1/29. It can be see that the condition

that the both coupling constant of the same of order of magnitude deﬁnes the uniﬁcation energy as

follows

α

s

(q

2

) ≃ α

w

(q

2

) ⇒ q ≃ 10

17

GeV. (6.119)

In the group theory terminology the idea of grand uniﬁcation is the combination of the groups governing

Figure 6.3: The inverse running coupling constants in the Standard Model meet at about the Planck

scale

the strong and weak interactions into a larger group. The group of the strong interactions is SU(3),

118 CHAPTER 6. PHASE TRANSITIONS IN THE EARLY UNIVERSE

whereas that of the weak interactions is SU(2) U(1). These can be combined minimally into a larger

group SU(5). To allow for a uniﬁcation one needs the ﬁne structure constant to meet the other coupling

constants at the same point. Within the standard model these three couplings do not meet at the same

point. The discovery of the neutrino masses rules out the models based on the SU(5) symmetry, because

it can incorporate the right-handed neutrinos in the fermionic content. Indeed the SU(5) group has

5

2

−1 = 24 generators. The corresponding gauge bosons are 8 gluons, 1 photon, and 3 gauge bosons of

the electroweak theory. There remain 12 bosons form two charged colored triplets (whose elements are

labeled by the index i = r, b, g)

X

±4/3

i

, Y

±1/3

i

. (6.120)

The upper index corresponds to the charge of the bosons. After the SU(5) symmetry breaks down to

SU(3) SU(2) (1) these bosons acquire mass of the order of the breaking energy scale ≤ 10

17

and the

transitions from the diﬀerent sectors are strongly suppressed. At larger energies one expects processes

which connect these two groups, i.e., transitions from quarks to leptons and visa versa. In the SU(5)

the baryon number is not conserved (an example of such a process is X → ql (end baryon number is

2/3 2). On the other hand the number of baryons minus the number of leptons B − L is conserved

and models which generate baryon asymmetry from non-conservations of B−L number can not operate

with the SU(5) theory.

Thus, we conclude that we need to look for larger symmetry groups. We expect to be able to solve

the following issues

• including the right-handed neutrinos in the theory, as there are much mode fermions present in

the model

• there theories violate B−L number and thus allow one to generate baryon asymmetry from this.

• the coeﬃcients of the renormalization group equation for the running of coupling constant depend

on the fermion content and this can be tuned so that all the coupling constant meet at the same

point.

• the new particles can serve as candidates of dark matter in the universe.

The candidate theories that include larger that SU(5) group are based on the following groups

SO(10), SO(14), SO(22), E

6

, E

7

E

8

, etc. (6.121)

It is not possible to distinguish between the competing theories as they operate at very high energies

of order of 10

17

GeV and in the low-energy limit always reduce to the standard model.

6.3.2 Supersymmetric theories

Supersymmetry states that every fermion has its superpartner which is a boson and, visa versa, every

boson have its fermionic supersymmetric partner. The superparticles are paired in so-called supermu-

tiplets, which contain both bosons and fermions. (This is in contrast to the standard model, where the

multiplets contain either fermions or bosons.)

Supersymmetry transformation cannot be decoupled from space transformation (the bosons and

fermions transform diﬀerently under the Poincare group). The algebra of supersymmetry generators Q

closes only if one includes the generators of space and time translations. Supersymmetry transformations

at the local level require inclusion of curvature of the space and time. Local supersymmetry is called

supergravity.

6.3. PHYSICS BEYOND THE STANDARD MODEL 119

The extension of the standard model to the supersymmetry is not unique. First, supersymmetry

can be local or global. Supermutiplets can include a many pairs of fermions. For example N = 8

supergravity contains in the supermultiplet left and right-handed particles with spins 0, 1/2, 3/2, and

2.

Unfortunately all known fermions are pairs of unknown bosons and all known bosons are pairs to

unknown fermions. Therefore in supersymmetric theories there at least twice as many particles as in

the standard model. The absence of the observed superpartners implies that supersymmetry must be

broken at scales larger than that reached by current day accelerators, otherwise we had observed bosons

and fermions of the same mass.

Figure 6.4: The running coupling constants in the Minimal Supersymmetric Standard Model meet at

the same point.

The minimal supersymmetric extension of the Standard Model (MSSM) every lepton or quark has

a supersymmetric boson partner of spin 0 called slepton (squark). Every gauge boson have a fermionic

superpartner with spin 1/2, called gaugino (gluino is the superpartner of gluon, winos and zinos are

superpartners of gauge bosons of the electroweak theory). The Higgs particle is accompanied by a

higgsino. The lightest neutral combination s of all inos, called the neutralino, must be stable. If the

scale of breaking of supersymmetry was at the electroweak scale the neutralino would interact weakly

with the standard model particles. Thus, neutralino is an ideal candidate for cold dark matter. Finally

one should mention the fermionic counterpart of the graviton – gravitino, which is a fermion of spin

3/2; it could also serve as candidate for dark matter.

One interesting property of supersymmetric theories is that the degrees of freedom of any particle

and ist supersymmetric partner is equal. For example, a spin-1/2 fermion has a bosonic superpartner

described by a complex scalar ﬁeld. The energy of vacuum ﬂuctuations of fermions and boson then

have the same magnitude but opposite sign, and therefore exactly cancel each other. In cosmology this

means that cosmological constant is exactly zero if the supersymmetry is unbroken (this is of course

not the case). If the supersymmetry is broken at the TeV scale the mismatch in the vacuum energies of

the superpartners can lead to a cosmological constant which is ∼ 10

−64

in Planck units, which however

is much larger than the observational limit.

120 CHAPTER 6. PHASE TRANSITIONS IN THE EARLY UNIVERSE

Finally, in supersymmetric theories the degrees of freedom combine in such a way that the run-

ning coupling constants meet at a single point. This impressive results hints to the correctness of

supersymmetric theories.

6.3.3 Dark matter

The origin of dark matter is not understood yet and, therefore, there are many potential candidates.

One class of dark matter candidates are thermal relics which originate via decoupling from matter.

Furthermore, if these relics where relativistic at the moment of decoupling these belong to the class

of hot dark matter (an example is neutrino). Those relics which at the decoupling are non-relativistic

belong to the class of cold dark matter (an example are neutralinos).

The non-thermal relics are, for example, condensates of weakly interacting massive scalar ﬁelds.

An example of such particle is axion, which despite of its small mass has a zero momentum in the

condensate and therefore belongs to the cold non-thermal relics.

Hot relics

Hot relics decouple from matter when their relativistic. Their number density decreases as the volume

expands, therefore n

ψ

∝ a

−3

. On the other hand the entropy density of the rest matter scales also as

a

−3

so that the ratio n

ψ

/s = const throughout the evolution of the universe. We use the fact that the

entropy to density ratio is conserved. Suppose the relics have mass m

ψ

and zero chemical potential.

Their contribution to the cosmological parameter is given by

Ω

ψ

h

2

75

=

g

ψ

g

∗

_

m

ψ

19 eV

_

, (6.122)

where g

ψ

is the total number of degrees o freedom of the hot relics and g

∗

= g

b

+ (7/8)g

f

is the

eﬀective number of bosonic and fermionic degrees of freedom at the freeze-out of all particles which

later annihilate and convert their energy to photons.

Let us give an example. Suppose the left-handed neutrinos constitute the hot relics. Then, g

ψ

= 6

(three families of neutrinos plus their anti-neutrinos). The decoupling temperature of neutrinos is

about O(1) MeV. Those particles that will annihilate later and therefore contribute to g

∗

are electrons,

positrons and photons. Thus g

∗

= 2(+(7/8) 4) = 5.5. Therefore, if each of the neutrinos would

contribute 17 eV, then we would obtain Ω

ψ

= Ω

total

, that is the neutrinos would close the universe.

However, observations tell us that the dark matter contributes about 30% of the density of the universe.

Therefore the sum of the masses of neutrinos should be smaller than 15 eV, or if they are equal then

m

ν

< 5 eV.

However, the models which simulate the evolution of the universe with dominant contribution from

hot relics cannot explain the inhomogeneities of the universe; these are washed out by the free streaming

of this matter on all scales up to the horizon scale. The large scale of the universe can not be explained

if the dominant part of the dark matter are hot relics.

Thermal cold relics

The cold relics decouple from the matter at temperatures that are much less than their mass m

χ

≪T

∗

Therefore their number density is exponentially suppressed compared to the number of photons. An

estimate of the number of thermal cold relics one can simply equate the annihilation rate of relics to

6.3. PHYSICS BEYOND THE STANDARD MODEL 121

the Hubble expansion rate

n

∗

χ

¸σv¸

∗

≃ H

∗

=

_

8π

3

90

_

1/2

˜ g

1/2

∗

T

2

∗

(6.123)

where the left hand side is the standard classical rate equation. Alternatively

n

∗

χ

σ

∗

¸

T

∗

m

χ

≃

_

8π

3

90

_

1/2

˜ g

1/2

∗

T

2

∗

. (6.124)

The eﬀective number of degrees of freedom ˜ g

∗

counts all the particles which are relativistic at T

∗

. The

number density of relics can be obtained from their equilibrium distributions by setting µ = 0, so that

n

∗

χ

≃ g

χ

T

3

∗

(2π)

3/2

x

3/2

∗

e

−x

∗

, (6.125)

where x

∗

= m

χ

/T

∗

. From the ratio of the last two equations we obtain

x

∗

≃ ln(0.038g

χ

˜ g

1/2

∗

σ

∗

m

χ

) ≃ 16 + ln

_

g

χ

˜ g

−1/2

∗

_

σ

∗

10

−38

cm

2

_

_

m

χ

GeV

_

_

. (6.126)

From the condition that the relic should be cold x

∗

> 3 one obtains a bound on the product σ

∗

n

χ

>

10

3

√

˜ g

∗

/g

χ

. The present day energy density of the relics can be estimated as

ǫ

0

χ

≃ m

χ

n

∗

χ

s

0

s

∗

=

2

g

∗

m

χ

n

∗

χ

_

T

0

T

∗

_

3

(6.127)

where T

0

= 2.73 K is the temperature of the background radiation, s

0

/s

∗

is the ratio of he present day

entropy density of radiation to the total entropy density at freeze-out of all the components of matter

(eﬀective degree of freedom g

∗

) which later transfer their entropy to radiation. Finally substituting the

density of relics from Eq. (6.123) one ﬁnally ﬁnds

Ω

χ

h

2

75

≃

√

˜ g

∗

g

∗

x

3/2

∗

_

3 10

−38

σ

∗

_

. (6.128)

Since x

∗

depends only logarithmically on the mass of the relics, the main uncertainty in Eq. (6.127)

arises from the annihilation cross-section at the decoupling.

The leading candidates for cold relics are weakly interacting massive particles with masses in the

range 10 GeV ≤ m

χ

≤ 1 TeV with the cross-section of the same of order of magnitude as in Eq. (6.128).

For these particles x

∗

∼ 20 and therefore they can easily contribute the needed 30% to the total density

of the universe and thus can constitute the main component of dark matter. One example of such

particles is the lightest supersymmetric particle (most likely this the neutralino with large admixture

of bino and photino.)

Nonthermal relics

The nonthermal relics are never in equilibrium, since they are out of the equilibrium at all times.

Therefore, their contribution to the thermodynamical quantities depends on the dynamics of the system.

We consider here a speciﬁc example of a homogeneous condensate of massive scalar particles and neglect

their interactions with other particles in the environment. The dynamics of the scalar ﬁeld is described

by

¨

φ + 3H

˙

φ + m

2

φ = 0. (6.129)

122 CHAPTER 6. PHASE TRANSITIONS IN THE EARLY UNIVERSE

We now introduce conformal time dt = adη and rescaled variable u = aφ. The rescaled equation of

motion can be written now as

u

′′

+a

2

_

m

2

−

a

′′

a

3

_

u = 0, (6.130)

where as before the prime denotes derivative with respect to the conformal time. In the case where

a

′′

/a

3

∼ H

2

≫m

2

the ﬁrst term in the bracket can be neglected and the equation motion has a solution

u ≃ a

_

C

1

+ C

2

_

dη

a

2

_

. (6.131)

where C

1

and C

2

are integration constants. The second term describes a decaying mode, where as the

ﬁrst term is the dominant constant mode

φ

1

= C

1

. (6.132)

We can conclude that when the mass of the particle is much smaller than the Hubble constant the

scalar ﬁeld is static and its energy density can be read-oﬀ from the Lagrangian as

ǫ

φ

=

1

2

_

˙

φ

2

+ m

2

φ

2

_

. (6.133)

The energy density thus depends only on the mass, and if this is constant, then it can be interpreted

as a cosmological constant.

In the opposite limit H

2

≪m

2

we can neglect the second term in Eq. (6.130). The solution of the

equation of motion is then

φ ∼

1

√

ma

3

sin

__

mdt

_

. (6.134)

This we see that once the Hubble constant drops below the mass of the particle the condensate starts

to oscillate. The energy density which was constant now decreases as ma

−3

, so that the condensate

essentially behaves as matter with zero pressure. The current energy density of scalar ﬁeld is

ǫ

0

φ

≃ m

0

_

ǫ

φ

m

_

∗

s

0

s

∗

≃

˜ g

3/4

∗

g

∗

m

0

√

m

∗

φ

2

in

T

3

0

, (6.135)

where all the quantities label with 0 are present day values, whereas the quantities label with * refer

to the moment of the transition from the constant to oscillating solution (H ≃ m). The initial value of

the ﬁeld is φ

in

. To make an estimate of the contribution from the scalar ﬁeld to the energy density of

the universe we will assume that the mass stayed roughly constant since the oscillating solution sets in

(m

0

= m

∗

). Then, the energy density is given by

Ω

φ

h

2

75

≃

˜ g

3/4

∗

g

∗

_

m

0

100GeV

_

1/2

_

φ

in

3 10

9

GeV

_

2

. (6.136)

The two parameters can be adjusted to ﬁt the required amount of the energy density of the dark matter.

Axions

Axions are an example of relic particles. The idea of axions arises from the conjecture that the vacuum

of the QCD is a so-called θ vacuum which is deﬁned as a superposition of several vacua with diﬀerent

winding numbers

[θ¸ =

e

−inθ

[n¸, (6.137)

6.3. PHYSICS BEYOND THE STANDARD MODEL 123

where θ is an arbitrary constant to be obtained from experiment. Such a assumption induces an addi-

tional contribution to the eﬀective Lagrangian θα

s

tr(F

˜

F). Such term generally violates the following

symmetry transformations CP, P, and T. Experimental constraint coming from the measurements of

the neutron dipole moment constrain the magnitude of the parameter θ < 10

−10

.

In the model by Peccei and Quinn the θ-parameter is replaced by dynamical axion ﬁeld. This is

generally described by a complex scalar ﬁeld φ = χexp(i

¯

θ), which has chiral U(1) symmetry. Below

a certain scale f this symmetry is broken and the ﬁeld χ acquires the expectation value f. The axion

ﬁeld is deﬁned as the product a = f

¯

θ. It is important to note that the symmetry is global and can

not be absorbed in gauge ﬁelds. Through interaction of the axions with gluons these acquire a mass of

order of

m

a

≃

√

m

u

m

d

m

u

+ m

d

m

π

f

π

f

∼

6 10

6

f

GeV

eV, (6.138)

where m

u

and m

d

are the masses of the light quarks, m

π

= 140 meV is the pion mass and f

π

= 93 MeV

is the pion decay constant. This is the key fact that we need to estimate the contribution of axions to

the energy density of the universe. Quite generally the axion mass depends on the temperature as

m

a

(T) ∼ m

a

_

Λ

QCD

T

_

4

. (6.139)

From the condition m

a

(T

∗

) = H

∗

we obtain the temperature at which the axions become cold relics

T

∗

∼ g

−12

∗

m

1/6

a

Λ

2/3

QCD

, m

∗

∼ ˜ g

1/3

∗

m

1/3

a

Λ

4/3

QCD

. (6.140)

This value of m

∗

can be used in (6.133) with a

in

= fθ

in

to obtain the estimate

Ω

a

h

2

75

∼

_

6 10

−6

m

a

_

7/6

¯

θ

2

in

, (6.141)

where θ

in

∼ 1. This axions of mass m

a

∼ 10

−5

eV are suﬃcient to provide a substantial contribution

to mass density of the universe. In some models (such as the inﬂationary model) it is possible to have

¯

θ

in

≪1 in which case similar contributions can be achieved with much smaller masses of axions.

The theories beyond the Standard Model provide one with more candidates for dark matter; these

include for example the gravitino, axino etc.

6.3.4 Baryogensis

The observed universe around us is asymmetric with respect the baryon number, i.e., there are many

more baryons than anti-baryons. Although we observe anti-baryons in experiments on colliders, there

are no observations of anti-matter on larger scales. There is a relative excess of baryons over anti-

baryons B ≡ (n

b

− ¯ n

b

)/s ∼ 10

−10

. It is needed to explain the observed abundances of light elements

and the observed spectrum of CMB ﬂuctuations (to be discussed later). In principle one can put a

baryon asymmetry “by hand” as an initial condition. However, in the inﬂationary scenario, any initial

asymmetries are erased by the inﬂationary expansion and one needs a generation mechanism. The key

features of any dynamical mechanism of generation of baryogenesis must have the following features

• baryon number violation

• C and CP violation

124 CHAPTER 6. PHASE TRANSITIONS IN THE EARLY UNIVERSE

• departure from equilibrium

These criteria are known as Sakharov criteria. The ﬁrst condition is obvious as one needs to violate

the baryon conservation at some point to generate the present day observed asymmetry. If the baryon

number is not conserved in must vanish in thermal equilibrium, i.e., we need a non-equilibrium situation

to maintain some baryon number. The second condition insures that the rates of decays of particles

and anti-particles are diﬀerent. Indeed, if this condition is not fulﬁlled, the baryons and anti-baryons

will be produced in equal amounts.

These conditions can not be fulﬁlled in the Standard model; for example, although weak interactions

violate CP the electroweak phase transition is most likely a crossover without any violent events and

deviations from equilibrium so that the third condition is not fulﬁlled.

Currently accepted scenarios of baryogenesis are all based on the ideas that lie beyond the standard

model. We review below some of the most popular ons.

Grand Uniﬁed Theories

As we have already discussed on the example of SU(5) theory there are gauge bosons that mediate the

interactions between the quark and lepton sectors. The possible channels of decay for such a gauge

boson are

X →qq, B = 2 2/3, (6.142)

X → ¯ q

¯

l, B = −1/3. (6.143)

Similarly,

¯

X → ¯ q¯ q, B = 2 (−2/3), (6.144)

¯

X →ql, B = 1/3. (6.145)

The total decay rates for both bosons are equal by CPT invariance. However, in each channel they

could be diﬀerent. If C and CP are violated then the transition rates

Γ(X →qq) ≡ r ,= Γ(

¯

X → ¯ q¯ q) ≡ ¯ r (6.146)

are not the same. The scenario of baryogenesis should work as follows. At very high temperature the

X and

¯

X bosons are in thermal equilibrium and their abundances are the same n

X

= n ¯

X

∼ n

γ

. Now

suppose that the temperature drops below the mass of the X boson m

X

and these bosons drop out

of equilibrium at concentration γ = n

X

/s. As given by the third criterion of Sakharov only out of

equilibrium decays are important. The mean baryon number in the decays can be estimated as

B

X

= (2/3)r + (−1/3)(1 −r), B¯

X

= (−2/3)¯ r + (1/3)(1 − ¯ r) (6.147)

Thus the resulting baryon asymmetry is

B = γ(B

X

+B¯

X

) = γ(r − ¯ r) = γǫ. (6.148)

The parameter ǫ characterizes the amount of CP violation. The term ǫ arises from higher order

perturbation and in the SU(5) this occurs at 10th order. Consequently, the order of magnitude of such

asymmetry turns out to be much smaller than the required value 10

−10

. As mentioned above one non-

attractive feature of the SU(5) model is that B −L is conserved and the baryon asymmetry generated

under this conditions will be washed out in any inﬂationary stage. The SU(10) model does not have

this feature and the required magnitude of asymmetry can be obtained. There are problems for grand

uniﬁed theories related to the inﬂation; one believes that inﬂation ends below the electroweak energy

scale, which in turn implies that X bosons were never in equilibrium.

6.3. PHYSICS BEYOND THE STANDARD MODEL 125

Baryogenesis via leptogenesis

The key idea here is the following. In topological phase transitions in the early universe B + aL → 0

whereas B−L = Const, where a is a constant which is equal to 28/51 in the Standard Model. Suppose

initially we have B

i

= 0 and L

i

,= 0 (where i refers to the initial state). Using the conditions above we

obtain for the ﬁnal baryon number

B

f

= −

a

1 + a

L

i

. (6.149)

This formula shows that if by some process we can generate ﬁnite lepton number L

i

the topological

phase transitions will do the work of converting this into ﬁnite baryon number - hence the name -

baryogenesis via leptogenesis.

Thus we need to concentrate below on the problem how the lepton number can be generated. One

possibility is that it is generated by lepton number non-conserving out-of-equilibrium decays of heavy

neutrinos.

We will now assume that there exist right-handed neutrinos and the neutrino masses are described

by the Lagrangian

L

(ν)

= −

1

2

(¯ ν

L

¯ ν

c

R

)

_

0 m

D

m

D

M

__

ν

c

L

ν

R

_

+ h.c. (6.150)

The mass matrix in this Lagrangian term is not diagonal. We can turn to a new basis, where the ﬁelds

are deﬁned as

ν ≃ ν

L

+ ν

c

L

N ≃ ν

R

+ ν

c

R

. (6.151)

In this new basis the Lagrangian has the form

L

(ν)

= −

1

2

_

¯ ν

¯

N

c

_

_

m

ν

0

0 m

N

__

ν

c

N

_

+ h.c. (6.152)

where the mass matrix is diagonal with elements deﬁned as

m

ν

= −

m

2

D

M

, m

N

≃ M. (6.153)

The fermions entering the mass matrix are so-called Majorana fermions (ν = ν

c

, N = N

c

), i.e., the anti-

particles and particles are equivalent. If m

D

∼ m

t

∼ 170 GeV and M ≃ 3 10

15

GeV then m

ν

= 10

−2

eV. This value of neutrino mass is in agreement with those found in experiments on neutrino oscillations.

This way of obtaining very small masses is called the seesaw mechanism.

The heavy neutrinos can decay into a lepton plus Higgs particle pair:

N →

¯

l +

¯

φ, N →l + φ, (6.154)

which violates the lepton number. In addition in the case of three generations of neutrinos the mass and

ﬂavor eigenstates are connected by the complex Kobayashi-Maskawa matrix. This has the consequence

that the couplings in the decay rates are complex and therefore violate the CP symmetry. As a result

the rates of these reactions can be written in general as

Γ(N →lφ) =

1

2

(1 + ǫ)Γ

total

Γ(N →

¯

l

¯

φ) =

1

2

(1 −ǫ)Γ

total

, (6.155)

where the parameter ǫ ≪ 1 measures the amount of CP violation. We assume at some early point

of the evolution of the universe the neutrino concentration freezes out the decays above occur under

conditions of non-equilibrium (i.e. the third Sakharov condition is satisﬁed).

126 CHAPTER 6. PHASE TRANSITIONS IN THE EARLY UNIVERSE

There exist other ways to solve the problem of baryogenesis. One is the so called Aﬄeck-Dine scenario

which is based on the supersymmetric theories where there could appear B, L and CP violating terms

in the Lagrangian related to the scalar superpartners of quarks and leptons. There are further scenarios

in the literature which we will not discuss.

Chapter 7

Inﬂation

7.1 Motivating inﬂationary theories

In classical mechanics the trajectories of particles are completely determined if we know the initial

positions of all particles and their velocities. The state of a mechanical system is completely determined

thereafter on the basis of the laws of mechanics. In cosmology we are interested in the initial energy

density distribution and velocities. When we attempt to determine these quantities from observations

we are stumbled over several problems. Let us address them.

Horizon problem (homogeneity and isotropy problem)

We have said that the universe is homogeneous and isotropic over scales larger than that about 100

Mpc. The maximal scale for which this statement is valid is the present horizon scale which is the age

of the universe times the speed of light; this scale is about l

0

= ct

0

≃ 10

28

cm. If the current value of

the scale factor is a

0

and at some moment its value (which we will call initial) was a

i

then the size of

the horizon was then a

i

/a

0

times smaller.

Assume that the expansion process does not aﬀect the homogeneity and isotropy features of the

universe. The size of the homogenous/isotropic patch at the moment t

i

then should be

l

i

l

0

∼

a

i

a

0

, ⇒l

i

∼ ct

0

a

i

a

0

. (7.1)

The size of the causal region on the other hand is l

c

∼ ct

i

. Comparing these two scales we obtain

l

i

l

c

∼

t

0

a

i

t

i

a

0

. (7.2)

Let us now specify some initial value; we will assume that the initial time could be identiﬁed with the

Planck time t

i

∼ t

PL

∼ 10

−43

s, when the temperature is T

PL

∼ 10

32

K. Since the current temperature

is given by the Cosmic Microwave Background temperature and is O(1) we obtain an estimate

a

i

a

0

∼

T

0

T

PL

∼ 10

−32

. (7.3)

Then taking for t

0

∼ 10

17

we can estimate the ratio (7.2) as

l

i

l

c

∼ 10

−32

10

17

10

43

∼ 10

28

. (7.4)

127

128 CHAPTER 7. INFLATION

We see that the elementary extrapolation back implies a size of the universe that was 10

28

times

larger than the size of the causal region. This translates into (10

28

)

3

causally disconnected volume

elements in each of which the energy density was distributed homogeneously with fractional ﬂuctuations

not exceeding 10

−4

. Therefore, we come to an unnatural conclusion that the matter was distributed

homogeneously in a lagre number domains which had no causal contact.

If we assue that the scale factor grows as some power of time a ∝ t

n

, then a/t ∝ a

n−1

and at the

same time ˙ a = na

n−1

, so that a/t ∼ ˙ a. Thus, we immediately ﬁnd that

l

i

l

c

∼

˙ a

i

˙ a

0

. (7.5)

Thus we conclude that the mismatch between the causal region and back-extrapolated size of the

universe is given by the ratios of the expansion rates of the universe at the initial time and at present.

Since the gravity always acts to contract the expansion one may conclude that homogeneity scale l

i

was

always larger than the causality scale l

c

. This problem is thus essentially a horizon problem.

Flatness problem (initial velocities problem)

Apart from the positioning the matter in a smooth way, we also need to specify the velocities so that

the Universe can be propagated in time. The initial velocities should obey Hubble law, otherwise their

relaxation to the Hubble law could spoil the homogeneity of the Universe.

Consider a spherical region of matter whose energy contains the kinetic energy of Hubble expansion

E

k

and gravitational energy of attraction E

g

. The total energy is conserved so that we can equate it

at some initial time and the present time

E = E

k

0

+ E

g

0

= E

k

i

+ E

g

i

= Const. (7.6)

Obviously E

k

∼ v

2

∼ ˙ a

2

, where v is the velocity, and we ﬁnd that

E

k

i

= E

k

0

_

˙ a

i

˙ a

0

_

2

. (7.7)

Now we can estimate

E

E

k

i

=

E

k

0

+ E

g

0

E

k

i

=

E

k

0

+ E

g

0

E

k

0

. ¸¸ .

O(1)

_

˙ a

0

˙ a

i

_

2

≤ 10

−56

, (7.8)

where in the last step we used the estimate (7.4) and the relation (7.5). Thus the velocities need to

be tuned to this high accuracy to have the present evolution of the universe; otherwise the universe

will either collapse or become empty too fast. This problem is known also as the problem of initial

velocities.

These statements can be put somewhat diﬀerently by using the Friedman equation in the following

form

Ω(t) −1 =

k

(Ha)

2

. (7.9)

or

Ω

i

(t) −1 = (Ω

0

−1)

(Ha)

2

0

(Ha)

2

i

= (Ω

0

−1)

a

2

0

a

2

i

≤ 10

−56

. (7.10)

Thus we see that the cosmological parameter needs to be very close to the unity, i.e., correspond to ﬂat

universe to very high accuracy. This problem therefore is also referred as the ﬂatness problem.

7.1. MOTIVATING INFLATIONARY THEORIES 129

Initial perturbations problem

A further problem is the origin of primordial inhomogeneities needed for the large scale of the universe

to develop. These should be of the order of δǫ/ǫ ∼ 10

−5

on galactic scales. This problem will be

addressed later.

7.1.1 What is inﬂation?

If we look back at the problems we have encountered, we will see that they all originate in the large

value of ˙ a

i

/˙ a

0

. Because gravity is attractive this ratio will be always larger than unity. That is, gravity

tends to decelerate the expansion of the universe, i.e., the acceleration is always larger at any earlier

time than at a given time of interest.

It turns out that the problem can be avoided if at some stage of its evolution the gravity acted as an

eﬀective repulsive force, which would accelerate the expansion of the universe. Inﬂation arises exactly

in this context: it can be view as a stage of accelerated expansion where the gravity acts as a repulsive

force.

Thus, the old picture of constantly decelerating Friedman universe is replaced with a new picture

where during an inﬂationary phase ¨ a > 0, i.e., the expansion is accelerated. However, some of the

predictions of the Friedman universe agree well with observations (such as the nucleosynthesis) therefore

the inﬂation must start early enough and also end early enough in order not to spoil this feature of

Friedman universe. The theory of primordial ﬂuctuations also restricts the stage of inﬂation to times

earlier than 10

−34

s. A part of successful inﬂationary theory is the graceful exit which requires a smooth

transition to the Friedman stage of evolution. The inﬂation thus produces a whole observable universe

from a small homogenous patch even if the universe was highly inhomogeneous outside of this patch.

Inﬂation solves the problem of homogeneity of the universe by assigning an accelerated expansion to a

Figure 7.1: The big-bang is followed by a stage of inﬂation before the universe enters via a graceful exit

into a stage of Friedman evolution.

small ball of the universe which blows to the size of a horizon at the end of inﬂation. This processes is

independent of the conditions that are prevailing outside of the ball.

130 CHAPTER 7. INFLATION

Can the inﬂation also damp the initial inhomogeneities? The answer is yes. Let us assume we have

an inhomogeneity δǫ/ǫ on the scale of the order of H

−1

i

and it is of order of unity

_

δǫ

ǫ

_

t

i

∼

∇ǫ

ǫ

(H

i

a

i

)

−1

∼ O(1), (7.11)

where ∇ is the derivative with respect to comoving coordinates. At some later time t ≫t

i

the contri-

bution of this same inhomogeneity would be

_

δǫ

ǫ

_

t

i

∼

∇ǫ

ǫ

[H(t)a(t)]

−1

∼ O(1)

˙ a

i

˙ a(t)

. (7.12)

where it is assumed that δǫ/ǫ does not change substantially over the period of the time. We see that if

˙ a(t) > ˙ a

i

for t > t

i

, i.e., for an accelerated universe the perturbations are damped.

Thus, the inﬂation also destroy large initial inhomogeneities and produces a homogeneous and

isotropic domain which blows to the size of the universe. The observations of the CMB require that the

variations of the energy density on the present horizon scale do not exceed 10

−5

. This requires that the

ratio of the initial to present date accelerations be ˙ a

i

/˙ a

0

≪1. We rewrite Eq. (7.10)

Ω

i

(t) −1 = (Ω

0

−1)

(Ha)

2

0

(Ha)

2

i

⇒ Ω

0

= 1 + (Ω

i

−1)

_

˙ a

i

˙ a

0

_

2

. (7.13)

We see that if [Ω

i

−1[ ∼ 1, then

Ω

0

= 1, (7.14)

to a very high accuracy. This is a robust prediction of the inﬂationary theory, namely, that the total

energy density of all components of matter irrespective of their origin should be equal to the critical

density today.

7.1.2 Equation of state for inﬂation

To understand how the universe undergoes a stage of accelerated expansion let us look at the Friedman

equation

¨ a = −

4π

3

G(ǫ + 3p)a. (7.15)

We see that the answer is in the sign of the factor ǫ + 3p. If it is positive then ¨ a < 0 and gravity

decelerates the expansion. The universe can undergo a stage of accelerated expansion with ¨ a > 0 if

we could arrange of an equation of state that leads to ǫ + 3p < 0. One special case that we already

encountered in that of the cosmological constant for which p

Λ

= −ǫ

Λ

and therefore ǫ +3p = −2ǫ

Λ

< 0.

Then solutions of the Einstein’s equations in this case correspond to the de Sitter universe which we

discussed in Chapter 1. In particular we found that the de Sitter universe expands exponentially,

a ∝ exp(H

Λ

t) for t ≫H

−1

Λ

. However, the “proper” de Sitter solution fails to produce a graceful exit to

a Friedman stage. To obtain the latter feature one needs to allow for time-dependent Hubble constant.

We now turn to some general conditions that must be satisﬁed by inﬂationary models. We start

with the equation for the acceleration

¨ a

a

= H

2

+

˙

H. (7.16)

7.2. FIELD THEORY MODELS OF INFLATION 131

The requirements are ¨ a > 0 during the inﬂation and ¨ a < 0 at the transition to the Friedman universe

(graceful exit). Obviously H

2

is always positive, so that

˙

H needs to become negative at the graceful

exit. Also we need that

˙

H ∼ H

2

. A crude estimate for these two terms to be equal is

t

f

∼

H

i

[

˙

H

i

[

, (7.17)

where i refers to the initial time.

The inﬂation should last long enough so that the small seed expands to the size of the universe. We

now rewrite the condition ˙ a

i

/˙ a

0

< 10

−5

as

˙ a

i

˙ a

f

˙ a

f

˙ a

0

=

a

i

a

f

H

i

H

f

˙ a

f

˙ a

0

≤ 10

−5

. (7.18)

We have obtained that ˙ a

f

/˙ a

0

∼ 10

28

(the size of the causal domain). Therefore using this in the above

we obtain

a

f

a

i

> 10

33

H

i

H

f

. (7.19)

Let us assume that the Hubble time variations can be neglected. Then

a

f

a

i

> 10

33

. (7.20)

On the other hand, taking into account that the inﬂationary phase is similar to the de Sitter expansion

we obtain

a

f

a

i

∼ exp(H

i

t

f

), ⇒ t

f

∼ H

−1

i

log

a

f

a

i

∼ 75H

−1

i

. (7.21)

Using the Friedman equations with k = 0 we can obtain a rough estimate on the equation of state

(ǫ + p)

i

ǫ

i

≤ 10

−2

. (7.22)

This brings us to the conclusion that before the inﬂation the equation state must be very close to the

vacuum one to better than 1 per cent.

7.2 Field theory models of inﬂation

We now turn to a discussion of a ﬁeld theory model in which the requirements above can be realized. The

key idea is the introduction of a scalar ﬁeld “inﬂaton”. A homogeneous classical ﬁeld is characterized

by energy density and pressure

ε =

1

2

˙

φ

2

+ V (φ), p =

1

2

˙

φ

2

−V (φ). (7.23)

The spatial derivative are neglected as the matter is homogenous through the inﬂation. From the sum

of Eqs. (7.23) we see that

p + ǫ =

˙

φ

2

⇒ p = −ǫ +

˙

φ

2

. (7.24)

Thus, we would have a vacuum type equation of state if the kinetic term vanishes

˙

φ →0. This implies

that during the inﬂationary stage the kinetic term should be small. We now study the equations of

132 CHAPTER 7. INFLATION

motion of the scalar massive ﬁeld and the conditions under which the solutions admit an inﬂationary

stage. The equation of motion of the ﬁeld is given by

¨

φ + 3H

˙

φ + V

,φ

= 0, (7.25)

where V

,φ

= ∂V/∂φ. To ﬁnd the evolution of the ﬁeld in the expanding universe we need to supplement

it with the Friedman equation

H

2

=

8π

3

_

1

2

˙

φ

2

+ V (φ)

_

(7.26)

where G = 1 and k = 0 (ﬂat universe). Eq. (7.25) and (7.26) form a couple set of equations that need

to be solved self-consistently.

We now consider the special case of the ﬁeld

V (φ) =

1

2

m

2

φ

2

. (7.27)

Substituting Eq. (7.26) into (7.25) we obtain a closed equation for the ﬁeld

¨

φ +

_

12π(

˙

φ

2

+ m

2

φ

2

)

_

1/2

˙

φ +m

2

φ = 0. (7.28)

This equation is second order and non-linear. It does not contain any time-dependence. It can be

reduced to a ﬁrst order equation for

˙

φ(φ). We note ﬁrst that trivially

¨

φ =

˙

φ

d

˙

φ

dφ

. (7.29)

Then we can rewrite Eq. (7.28) as

˙

φ

d

˙

φ

dφ

= −

_

12π(

˙

φ

2

+ m

2

φ

2

)

_

1/2

˙

φ + m

2

φ. (7.30)

The numerical solutions of this equation are shown in Fig. 7.2. One can see that there are attractor

Figure 7.2: Numerical solution to Eq. (7.30).

7.2. FIELD THEORY MODELS OF INFLATION 133

solutions in this ﬁgure, i.e. all the solutions tend to the same point. Of special interest is the solution

corresponding of ultra-hard equation of state, which corresponds to the limit

˙

φ ≫ V . In this case we

ﬁnd immediately from (7.23) that the equation of state is ultra-hard p ≃ +ǫ. In Eq. (7.30) we can

neglect mφ compared to

˙

φ we obtain

d

˙

φ

dφ

≈

√

12π

˙

φ ⇒

˙

φ = C exp

_

√

12πφ

_

(7.31)

where C < 0 is a constant of integration. Solving the last equation for φ(t) we obtain

φ = C

1

−(12π)

−1/2

ln t. (7.32)

Substituting this result in (7.26) we obtain

H

2

≡

_

˙ a

a

_

2

≃

1

9t

2

. (7.33)

Thus we see that a ∝ t

1/3

and ǫ ∝ a

−6

. This solutions are exact for massless ﬁelds. From the solutions

we see that the initial large value of

˙

φ is quickly damped within time that is much shorter than that

for the ﬁeld itself.

We see that the diagram has an attractor solution. To ﬁnd that solution we put d

˙

φ/dφ = 0, which

gives us the solution

˙

φ

atr

≃ −

m

√

12π

. (7.34)

which can be integrated to obtain

φ

atr

≃ φ

i

−

m

√

12π

(t −t

i

) ≃

m

√

12π

(t

f

−t), (7.35)

where t

i

is the time when the trajectory joins the attractor, t

f

is the moment when the φ = 0. Thus

the scalar ﬁeld decreases linearly with time during the inﬂationary stage. The equation of state has the

form

p ≃ −ǫ +

m

2

12π

. (7.36)

Thus when the additional term in Eq. (7.36) becomes of the order of the potential term the inﬂation is

over, i.e.,

m

2

12π

∼ m

2

φ

2

. (7.37)

This occurs when φ → 1 (in Planckian units). An important quantity is the value of the scale factor

during the inﬂation. We start with Eq. (7.26) where we neglect the kinetic term

H(t) ≃

_

4π

3

mφ(t). (7.38)

Upon substituting (7.35) herein and integrating we obtain

a(t) ≃ a

f

exp

_

−

m

2

6

(t

f

−t)

2

_

≃ a

i

exp

_

H

i

+ H(t)

2

(t −t

i

)

_

, (7.39)

134 CHAPTER 7. INFLATION

where the i index refers to the initial values of the scale factor and Hubble constant. From the solution

(7.35) we also obtain the duration of the inﬂation

∆t = t

f

−t

i

≃

√

12π

φ

i

m

. (7.40)

The increase in the scale factor is

a

f

= a

i

exp

_

2πφ

2

i

_

. (7.41)

Now we wish to obtain the largest possible increase of the scale factor during the inﬂation. Consider a

ﬁeld of mass 10

13

GeV. Since the Planckian energy domain starts at 10

19

GeV, the maximal value of

the ﬁeld which will allows us to stay at sub-Planckian energies is 10

6

. Therefore, we ﬁnd that

_

a

f

a

i

_

max

= exp

_

10

12

_

. (7.42)

Thus the inﬂation oﬀers far more increase in the scale factor than the 75 e-fold increase we have deduced

in the our hydrodynamical study. Another important feature of inﬂation is that the Hubble constant

decreases only by a factor 10

−6

, i. e., we conclude that

H

i

H

f

≪

a

f

a

i

. (7.43)

Now we turn to the discussion of the graceful exit and the following evolution. In this regime the ﬁeld

is described by the equation of motion

˙

φ

2

+ m

2

φ

2

=

3

4π

H

2

. (7.44)

We introduce two new independent variables, the Hubble constant H and an angle θ which obviously

obey the following equations

˙

φ =

_

3

4π

H sin θ mφ =

_

3

4π

H cos θ. (7.45)

Then we can rewrite (7.30) as a set of two ﬁrst order diﬀerential equations

˙

H = −3H

2

sin

2

θ (7.46)

˙

θ = −m−

3

2

H sin 2θ. (7.47)

We see that the second equation contains an oscillating term, whose amplitude is decaying (the decaying

feature is seen from the ﬁrst equation). If we neglect this decaying term we obtain the solution

θ ≃ −mt + θ

0

, (7.48)

where the constant phase θ

0

can be set to zero. Thus we conclude that the scalar ﬁeld oscillates at a

frequency m. Substituting this in Eq. (7.47) we can integrate it to obtain

H(t) =

2

3t

_

1 −

sin(2mt)

2mt

_

−1

(7.49)

7.2. FIELD THEORY MODELS OF INFLATION 135

where the constant of integration is removed by a shift in time. The solution is applicable for mt ≫1

(as we have ignored the decaying oscillations with decaying amplitude above). Therefore, the oscillating

term is small compared to unity and we can expand the left-hand side in powers of (mt)

−1

.

Substituting Eq. (7.48) and (7.49) in the second equation in (7.45) we obtain the solution for the

ﬁeld

φ(t) =

cos(mt)

√

3π

2

mt

_

1 +

sin(2mt)

2mt

+ O((mt)

−3

)

_

. (7.50)

Furthermore Eq. (??) can be integrated to obtain the evolution of the scale factor

a ∝ t

2/3

_

1 −

cos(2mt)

6m

2

t

2

−

1

24m

2

t

2

+ O((mt)

−3

)

_

. (7.51)

We see that the scale factor to leading order ∝ 1 behaves as in a universe which is matter dominated

with zero pressure.

To summarize, the inﬂation can be modeled in terms of heavy scalar particles. The theory has a

smooth exist into a Friedman universe. The inﬂationary stage last long enough to solve the horizon

problem. Eventually we want the cold matter to be converted into radiation, leptons and baryons.

7.2.1 Slow-roll approximation

So far we have studied a speciﬁc form of the quadratic potential. Let us go back to Eq. (7.25) and see

what can be said in the case of a general potential. The equation of motion of the ﬁeld in the general

case reads

¨

φ + 3H

˙

φ + V

,φ

= 0, (7.52)

This equation has the form of an oscillator whereby the term proportional to the Hubble constant acts

as a friction. As is well know if we wait enough we can neglect the acceleration term compared to the

frictional damping term (this is called slow-roll approximation). Thus we will omit the

¨

φ term we ﬁnd

3H

˙

φ + V

,φ

≃ 0 H =

d ln a

dt

≃

_

(8π/3)V (φ). (7.53)

Now we use the identity

d ln a

dt

=

˙

φ

d ln a

dφ

= −

V

,φ

3H

d ln a

dφ

(7.54)

to rewrite Eq. (7.54) in the form

−V

,φ

d ln a

dφ

= 8πV. (7.55)

Integration gives

a(φ) = a

i

exp

_

8π

_

φ

i

φ

V

V

,φ

dφ

_

. (7.56)

This solution is valid in the limit of slow role approximation

[

˙

φ

2

[ ≪[V [ [

¨

φ[ ≪3H

˙

φ ∼ [V

,φ

[. (7.57)

This conditions can be written entirely in terms of the properties of the potential

_

V

,φ

V

_

2

≪1 [

V

,φφ

V

[ ≪1. (7.58)

136 CHAPTER 7. INFLATION

If now we assume a general power law potential

V =

1

n

λφ

n

, (7.59)

then both conditions are satisﬁed for [φ[ ≫1. The solution for the scale factor is then

a(φ(t)) ≃ a

i

exp

_

4π

n

(φ

2

i

−φ

2

(t))

_

. (7.60)

One can use the power law potential above to compute the behavior of the scale factor and the duration

of the inﬂation.

7.3 Reheating after inﬂation

The theory of reheating deals with creation of thermal Friedman universe after the inﬂationary stage

is over. The details of the theory obviously depends on the details of the particle theory. Nevertheless,

some robust futures of the reheating theory can be studied in general terms. Consider the inﬂaton ﬁeld

φ interacting with a scalar ﬁeld χ and a spinor ﬁeld ψ. The tree-level interaction Lagrangian is given

by

L

int

= −gφχ

2

−hφ

¯

ψψ. (7.61)

The rates of the processes leading to decay of inﬂaton are given by

Γ(φ →χχ) =

g

2

8πm

Γ(φ →ψψ) =

h

2

m

8π

. (7.62)

We model the time dependence of the inﬂaton ﬁeld as

φ(t) = Φ(t) cos(mt), (7.63)

where Φ(t) is the slowly decaying amplitude. The number density of inﬂatons is given by

n

φ

=

ǫ

φ

m

=

1

2m

(

˙

φ

2

+ m

2

φ

2

) ≃

1

2

mΦ

2

. (7.64)

Since Φ ∼ 1 after the end of the inﬂation and m ∼ 10

13

GeV we have n

φ

∼ 10

92

cm

−3

. Out of the

two processes above the second one is much more eﬃcient. The reason is that g < m and h <

√

m in

order the loop corrections to be negligible, them Γ(φ → χχ) ∼ m and Γ(φ → ψψ) ∼ m

2

. Thus while

the ﬁrst process will die out quickly, the second process will be the one that will eﬀectively entre the

rate equations. Another important eﬀect is the phase space occupation of the ﬁnal states. In the case

of fermions the ﬁnal states must be non-occupied in order the process to work. On the other hand for

scalar particle, there is no such restrictions since the ﬁnal states are always open and even further the

eﬀects of Bose condensation can enhance the decay rate.

Keeping only the scalar particles we obtain the following rate equations

1

a

3

d

dt

(a

3

n

φ

) = −Γ

eﬀ

n

φ

;

1

a

3

d

dt

(a

3

n

χ

) = 2Γ

eﬀ

n

φ

; (7.65)

(the factor 2 is due to the fact that one φ particle decays into two χ particles.)

7.3. REHEATING AFTER INFLATION 137

An estimate can be made of the temperature of the matter after the inﬂation and reheating. Suppose

the number of inﬂaton oscillations are N

T

and N is the number of degrees of freedom of light ﬁelds at

these temperatures. The temperature is given by the formula

T

R

∼

√

m

√

N

T

N

1/4

. (7.66)

For typical values N

T

∼ 10

6

, N ∼ 10

2

and m

13

GeV one ﬁnds T

R

∼ 10

12

GeV.

We have seen that one can produce thermal Friedman universe through the reheating process. The

details were not given here and depend on the underlying particle theory. It should be noted that apart

from the reheating the particle theories need to answer the problem of baryogensis.

The precise nature of the inﬂaton depends on the particle theory that describes physics and sub-

Planckian scales. This could be a scalar ﬁeld or fermionic condensate. However, there is a further

possibility which is related to modiﬁed theory of gravity. If one accepts that Einstein gravity is a low-

curvature limit of more complicated theory whose action contains higher powers of curvature then the

inﬂaton can be purely general-relativistic eﬀect. Consider for example the action

S = −

1

16π

_

(R + αR

2

βR

µν

R

µν

+ γR

3

+. . . )

√

−gd

4

x. (7.67)

As opposed to the Einstein theory this theory contains higher that the second order derivatives. There-

fore, in addition to the gravitational waves, which are related to the existence of the graviton, there

could exist spin 0 ﬁelds.

Another example are the ﬁeld theories described by the action

S =

1

16π

_

f(R)

√

−gd

4

x, (7.68)

where f(R) is an arbitrary function of the scalar curvature. The equation of motion for this action are

given by

∂f

∂R

R

ν

µ

−

1

2

δ

µ

ν

f +

_

∂f

∂R

_

;α

;α

δ

µ

ν

f −+

_

∂f

∂R

_

;ν

;µ

. (7.69)

Consider conformal transformation

g

′

µν

= Fg

µν

. (7.70)

The Ricci tensor and the scalar curvature transform as

R

′

µ

ν

= F

−1

R

µ

ν

−F

−2

F

;µ

;ν

−

1

2

F

−2

F

;α

;α

δ

ν

µ

+

3

2

F

−3

F

;ν

F

;µ

. (7.71)

R

′

= F

−1

R −3F

−2

F

;α

;α

+

3

2

F

−3

F

;α

F

;α

. (7.72)

For a scalar ﬁeld deﬁned as

ϕ =

_

3

16π

ln F(R) (7.73)

the ﬁeld equations

R

µ

ν

−

1

2

Rδ

µ

ν

= 8πT

µ

ν

(φ) (7.74)

coincide with (7.69) if we assue that F = ∂f/∂R and the potential for the scalar is

V (ϕ) =

1

16π

f −R∂F/∂R

(∂f/∂R)

2

. (7.75)

138 CHAPTER 7. INFLATION

We conclude that the higher derivative gravity theory is conformally equivalent to the Einstein theory

with an extra scalar ﬁeld.

Inﬂationary solution can be realized even without any potential in the so-called Born-Infeld type

theories where the action depends nonlinearly on the kinetic energy of the scalar ﬁeld. The action of

such theory can be written as

S =

_

p(X, φ)

√

−gd

4

x, (7.76)

where p is an arbitrary function of φ and X = (1/2)∂

µ

φ∂

µ

φ. The energy-momentum tensor of this ﬁeld

can be written as

T

µ

ν

= (ǫ + p)u

µ

ν

−pδ

µ

ν

, (7.77)

where the “Lagrangian” p play the role of the pressure and

ǫ = 2X

∂p

∂X

−p, u

ν

=

∂

ν

φ

√

2X

. (7.78)

Figure 7.3: The behavior of the potential in the old, new and chaotic inﬂationary scenarios.

If the Lagrangian p satisﬁes in some range of parameters the condition

2X

∂p

∂X

≪p (7.79)

we obtain the desired equation state ǫ ≃ −p needed for the inﬂationary solution. The inﬂationary

scenarios that are based on the non-trivial dependence of the Lagrangian on the kinetic terms are called

k-inﬂation.

7.4 Scenarios for inﬂation

There are several inﬂationary scenarios: they can be roughly divided into

• scalar ﬁelds with a potential

• higher-derivative gravity theories

7.4. SCENARIOS FOR INFLATION 139

• k-inﬂation theories

The physical predictions of these theories are almost identical. We shall discuss a bit more the case

of the scalar ﬁeld with canonical energy. The potential can have three diﬀerent shapes, each of which

corresponds to a scenario called old inﬂation, new inﬂation, and chaotic inﬂation.

In the old inﬂation the scalar ﬁeld reaches the minimum of the potential at ϕ = 0 as a result of

supercooling of initially hot universe. After the inﬂationary expansion the universe undergoes graceful

exit via bubble nucleation. However, the energy here is concentrated at the walls of the bubbles and

the graceful exit is not guaranteed. In the new inﬂationary scenario the potential is ﬂat and has a

maximum at φ = 0. It reaches its minimum via quantum ﬂuctuations and slow roll, where the energy

of the phase transition is released homogeneously. The chaotic inﬂation correspond to a borad class of

potentials that satisfy the slow-roll conditions. The name chaotic refers to the initial conditions, which

can be almost arbitrary.

140 CHAPTER 7. INFLATION

Chapter 8

Cosmic microwave background

The cosmic microwave radiation we observe today are those photons which have been decoupled from the

rest of the universe at the recombination, when universe became transparent to photons. To summarize

the physical picture of the CMB:

• no interaction after recombination - photons have been freely streaming

• last interaction of photons with rest of matter was at z ≈ 1000

• the CMB provides a snapshot of the universe when it was 10

5

times younger than now, i. e.,

thousand times smaller

• CMB is extremely isotropic - variations across sky on average less 0.01%. Therefore we conclude

that the universe was very isotropic at the time of recombination.

The purpose of this chapter is to study the properties of the CMB and discuss what can be learned

from such studies.

Figure 8.1: The microwave background ﬂuctuations as measured by the COBE satellite.

141

142 CHAPTER 8. COSMIC MICROWAVE BACKGROUND

8.1 Basic equations

Before recombination the matter is a perfect ﬂuid. After recombination, when suﬃcient hydrogen is

formed, photons are out of equilibrium and should be described by a kinetic equation. Let us start by

introducing the notion of the phase-space. A photon at conformal time η is completely characterized by

its position in space x

i

(η) and its three-momentum p

i

(η), i = 1, 2, 3 (spatial index). The phase-space

element is given by

d

3

xd

3

p = dx

1

dx

2

dx

3

dp

1

dp

2

dp

3

. ¸¸ .

covariant components

of momentum

. (8.1)

The phase-space is invariant under general coordinate transformations. To prove this statement let us

deﬁne a new system, which we denoted by tilde

˜ η = ˜ η(η, x

i

) , ˜ x

i

= ˜ x

i

(η, x

i

) . (8.2)

Take a constant ˜ η =const

d

3

˜ xd

3

˜ p = J d

3

xd

3

p , (8.3)

where J is the Jacobian of the transformation:

J =

∂(˜ x

1

, ˜ x

2

, ˜ x

3

, ˜ p

1

, ˜ p

2

, ˜ p

3

)

∂(x

1

, x

2

, x

3

, p

1

, p

2

, p

3

)

(8.4)

for transition

x

i

→ ˜ x

i

(x

j

, η) , p

i

→ ˜ p

i

=

_

∂x

α

∂˜ x

i

_

˜ x

p

α

. (8.5)

Since ∂˜ x/∂p = 0 we obtain

J = det

_

∂˜ x

i

∂x

j

¸

¸

¸

¸

˜ η=const

_

det

_

∂x

i

∂˜ x

k

¸

¸

¸

¸

˜ η=const

_

= det(δ

i

j

) = 1 . (8.6)

Therefore, we conclude that the phase volume is a invariant quantity.

Boltzmann equation

Consider ensemble of non-interacting identical particles. The number of particles dN is related to the

phase-space volume element d

3

xd

3

p via

dN = f(x

i

, p

j

, t) d

3

xd

3

p . (8.7)

where f(x

i

, p

j

, t) is the distribution function. Since d

3

xd

3

p is invariant it follows that f(x

i

, p

j

, t) is a

spacetime scalar. If there are no scattering processes the distribution function obeys the collisionless

Boltzmann equation

Df(x

i

(η), p

i

(η), η)

Dη

=

∂f

∂η

+

dx

i

dη

∂f

∂x

i

+

dp

i

dη

∂f

∂p

i

= 0. (8.8)

The derivatives dx

i

/dη and dp

i

/dη are calculated along geodesics.

8.1. BASIC EQUATIONS 143

Temperature

Consider universe which is homogeneous and isotropic and is ﬁlled by slightly perturbed thermal ra-

diation. Suppose an observer measures the frequency (or energy) of a photon. If p

α

is the photon

four-momentum, then the observer measures the zero component in comoving local inertial frame. In

an arbitrary frame, where the observer has the velocity u

α

, this frequency is

ω = p

α

u

α

. (8.9)

Deﬁne a direction of radiation by the vector

l

i

≡ −

p

i

p

2

i

. (8.10)

The spectrum of photons is then Planckian

f = f

_

ω

T

_

=

2

exp

_

ω

T(x

α

,l

i

)

_

−1

, (8.11)

where factor 2 stands for the two polarizations. The temperature T(x

α

, l

i

) depends on the direction l

i

,

observers location x

i

and time-moment η. For nearly isotropic universe

T(x

α

, l

i

) = T

0

(η) +δT(x

α

, l

i

) , (8.12)

where δT ≪T

0

. How do the ﬂuctuation δT depend on the coordinate system? Consider two observers O

and

˜

O in coordinate systems κ and ˜ κ, which are related by the coordinate transformation ˜ x

α

= x

α

+ξ

α

.

in the rest frame of each observer:

g

αβ

u

α

u

β

= g

00

(u

0

)

2

= 1 ⇒u

0

=

1

√

g

00

. (8.13)

Then the photon frequencies:

ω = p

α

u

α

= p

0

u

0

− p

i

u

i

.¸¸.

≡0

=

p

0

√

g

00

, (8.14)

˜ ω =

˜ p

0

√

˜ g

00

. (8.15)

p

0

and ˜ p

0

as well as g

00

and ˜ g

00

are related by coordinate transformations. Since the photon is massless,

p

α

p

α

= 0, the transformation law is

˜ ω = ω

_

1 +

∂ξ

i

∂η

l

i

_

,

˜ ω

ω

−1 =

∂ξ

i

∂η

l

i

(8.16)

to ﬁrst order in ξ

i

. Now we wish to relate the temperature ﬂuctuations in two reference frames. First

note that the distribution function is a scalar, so that

ω

T(x

α

)

=

˜ ω

T(˜ x

α

)

. (8.17)

Furthermore:

˜

T

0

(˜ x

α

) = T

0

(x

α

+ ξ

α

) = T

0

(x

α

) + T

′

0

ξ

0

. (8.18)

144 CHAPTER 8. COSMIC MICROWAVE BACKGROUND

By deﬁnition:

δ

˜

T =

˜

T(x

α

, l

i

) −

˜

T

0

(η) =

˜ ω

ω

T(x

α

) −T

0

(x

α

) −T

′

0

ξ

0

. (8.19)

Now we eliminate T

0

(x

α

):

δ

˜

T =

˜ ω

ω

T(x

α

) −T(x

α

) + δT(x

α

, l

i

) −T

′

0

ξ

0

=

_

˜ ω

ω

−1

_

T(x

α

) + δT(x

α

, l

i

) −T

′

0

ξ

0

=

∂ξ

i

∂η

l

i

T

0

. ¸¸ .

dipole

−T

′

0

ξ

0

+ δT(x

α

)

. ¸¸ .

monopole

. (8.20)

Both components depend on the coordinate system. If we observe only from one point (which we do)

then the monopole term can be removed by redeﬁnition of the background temperature. The dipole

component depends on the motion of observer with respect to the preferred frame deﬁned by the

background radiation. Therefore, we have to look at higher order multipoles (quadrupole and higher),

which do not depend on coordinate system and motion of observer.

8.2 Sachs-Wolfe eﬀect

In this section we will be working in the conformal Newtonian coordinate system where the metric is

given by (Φ ≪1 is the gravitational potential of scalar metric perturbations)

ds

2

= a

2

_

(1 + 2Φ)dη

2

−(1 −2Φ)δ

ik

dx

i

dx

k

¸

. (8.21)

The equation for geodesics quite generally is given by

du

α

ds

+ Γ

α

βγ

u

β

u

γ

= 0 (8.22)

and it can be rewritten as

du

α

ds

−

1

2

∂g

βγ

∂x

α

u

β

u

γ

= 0 . (8.23)

For the case of photons we use somewhat diﬀerent notation:

dp

α

dλ

=

1

2

∂g

βγ

∂x

α

p

β

p

γ

, p

α

=

dx

α

dλ

, (8.24)

where λ is called aﬃne parameter. Since photon is massless p

α

p

α

= 0, p

0

p

0

−p

i

p

i

= 0

p

0

=

1

a

2

_

p

2

i

_

1/2

=

p

a

2

, p

0

= (1 + 2Φ)p . (8.25)

We can use equation Eq. (8.24) to write

dx

i

dη

=

p

i

p

0

=

−

1

a

2

(1 + 2Φ)p

i

p

0

= l

i

(1 + 2Φ) , (8.26)

8.2. SACHS-WOLFE EFFECT 145

where l

i

= −p

i

/p. Now express p

0

and p

i

in terms of p

i

and substitute the metric (8.21) in the frist

equation of (8.24) to obtain

dp

α

dη

=

1

2

∂g

γδ

∂x

α

p

γ

p

δ

p

0

= 2p

∂Φ

∂x

α

. (8.27)

Now we substitute dx

i

/dη and dp

α

/dη in the Boltzmann equation (8.8) to obtain

∂f

∂η

+ l

i

(1 + 2Φ)

∂f

∂x

i

+ 2p

∂Φ

∂x

j

∂f

∂p

j

= 0 . (8.28)

To leading order in Φ and δT

y =

ω

T

=

p

0

T

√

g

00

∼

=

p

T

0

a

_

1 + Φ −

δT

T

0

_

. (8.29)

Since f = f(y) to leading order:

(T

0

a)

′

= 0 (8.30)

and to next-to-leading order:

_

∂

∂η

+ l

i

∂

∂x

i

__

δT

T

+ Φ

_

= 2

∂Φ

∂η

. (8.31)

Solutions

From the Boltzmann equation we conclude that

• The zeroth order equation implies T

0

a = Const and T

0

∼ a

−1

.

• The next-to-leading order allows to solve for δT. After recombination the universe is matter

dominated and Φ

∼

= const. Therefore ∂Φ/∂η = 0. Then we obtain

δT

T

+ Φ = const. (8.32)

along the null geodesics. The eﬀect of gravitational potential on δT is called Sachs-Wolfe eﬀect.

• Because at recombination there is a small contribution to the energy density from radiation, Φ is

actually varying in time. Then δT/T + Φ varies as an integral of ∂Φ/∂η along a geodesics of a

photon. This is called early integrated Sachs-Wolfe eﬀect.

• Currently the vacuum energy overtakes the matter energy and Φ is varying again. This causes

contributions to δT. It is called late integrated Sachs-Wolfe eﬀect.

• Both eﬀects contribute less than 10 −20% to the amplitude of δT and will be neglected below.

Initial conditions

Assume a photon from direction l

i

arrives at present space-time point η

0

, x

i

0

. Its geodesics is given as

x

i

(η)

∼

= x

i

0

+ l

i

(η −η

0

) . (8.33)

Using the fact that δT/T + Φ = Const we can ﬁnd the quantity δT/T in the direction of l

i

on the sky

today to be

δT

T

(η

0

, x

i

0

, l

i

) =

δT

T

(η

r

, x

i

(η

r

), l

i

) + Φ(η

r

, x

i

(η

r

)) −Φ(η

0

, x

i

0

) . (8.34)

146 CHAPTER 8. COSMIC MICROWAVE BACKGROUND

Here η

r

is the conformal time at recombination and x

i

(η

r

) is deﬁned via Eq. (8.33). The last term

contributes to the monopole and can be ignored. We see that present day temperature ﬂuctuations are

set by two factors:

• Initial temperature ﬂuctuations at recombination (i.e. the last scattering surface);

• Value of the gravitational potential at the same location point (x

r

, η

r

) .

The ﬁrst term in Eq. (8.34) can be expressed via the gravitational potential and the ﬂuctuations of the

photon energy density on the last scattering surface. To do this we use matching conditions between the

hydrodynamic energy-momentum tensor, which describes the radiation before decoupling, and kinetic

energy-momentum tensor, which describes the photon gas after decoupling . The latter is given by

T

α

β

=

1

√

−g

_

f

p

α

p

β

p

0

d

3

p , (8.35)

Substituting the metic (8.21) and assuming the Planckian distribution we obtain for the 0−0 component

of the energy-momentum tensor

T

0

0

=

1

a

4

(1 −2Φ)

_

¯

f

_

ω

T

_

p

0

d

3

p

∼

= T

4

0

_ _

1 + 4

δT

T

0

_

¯

f(y)y

3

dyd

2

l . (8.36)

where y = ω/T and p

0

and p are expressed in terms of ω using (8.25) Before recombination

T

0

0

= ǫ

γ

(1 + δ

γ

) . (8.37)

By matching

δ

γ

= 4

_

δT

T

d

2

l

4π

. (8.38)

For other components of energy momentum tensor

T

i

0

= 4ǫ

γ

_

δT

T

l

i

d

2

l

4π

. (8.39)

Upon taking the divergence of this expression and comparing with

T

i

0i

=

4

3

ǫ

γ

u

0

u

i

,i

= (4Φ −δ

γ

)

′

ǫ

γ

(8.40)

the matching gives

δ

′

γ

= −4

_

l

i

∇

i

_

δT

T

_

d

2

l

4π

, (8.41)

where we have neglected the radiation contribution to the gravitational potential and we have set

Φ

′

(η

r

) = 0. These equation are satisﬁed if

_

δT

T

_

k

(

l, η

r

) =

1

4

_

δ

k

+

ξ

i

k

2

(k

m

l

m

)

_

δ

′

k

. (8.42)

Substituting back

l ≡ (l

1

, l

2

, l

3

), and the observed location x

0

= (x

1

, x

2

, x

3

) for the Fourier expansion

of (8.34) we obtain

δT

T

(η

0

, x

0

,

l) =

_ __

Φ +

δ

4

_

k

−

3δ

′

k

4k

2

∂

∂η

0

_

exp i

k( x

0

+

l(η

r

−η

0

))

d

3

k

(2π)

3/2

. (8.43)

8.3. CORRELATION FUNCTIONS 147

Since η

r

/η

0

< 1/30 we can put η

r

≪ η

0

and neglect it. First term in the square brackets comes from

initial inhomogeneities in the radiation energy density and Sachs-Wolfe eﬀect; second term is related

to the velocities of the baryon-radiation plasma at recombination. The latter term is referred to as

Doppler term contribution to the ﬂuctuations.

8.3 Correlation functions

The sky map of the cosmic microwave background temperature ﬂuctuations can be completely charac-

terized by the two-point correlation function (assuming that the spectrum of ﬂuctuations is Gaussian)

C(θ) ≡

_

δT

T

(

l

1

)

δT

T

(

l

2

)

_

. (8.44)

¸ ¸ denotes averaging over all directions of

l

1

and

l

2

, such that

l

1

l

2

= cos θ. The squared temperature

diﬀerence between two directions separated by angle θ, averaged over the sky is related to the correlation

function C(θ) as

_

_

δT

T

0

(θ)

_

2

_

=

__

T(

l

1

) −T(

l

2

)

T

0

_

2

_

= 2

_

C(0) −C(θ)

¸

. (8.45)

The correlation function C(θ) can be used to discriminate between the cosmological models and within

a given model to determine the fundamental parameters of the model.

Apart from the temperature correlation function one can also deﬁne polarization correlation function,

since the CMB shows some degree of polarization. But we will not discuss this correlation function any

further.

Now we deﬁne the cosmic mean of temperature correlation function: it is obtained by keeping the

direction

l

1

and

l

2

constant and averaging over all the possible observers at positions x

0

. We substitute

the expression (8.43) for temperature ﬂuctuations into the deﬁnition of correlation function and integrate

over the angular part of

k integration. We then obtain

C(θ) =

_ _

φ

k

+

δ

4

k

−

3δ

′

k

4k

2

∂

∂η

1

__

φ

k

+

δ

4

k

−

3δ

′

k

4k

2

∂

∂η

2

_

∗

sin

_

k

¸

¸

¸

l

1

η

1

−

l

2

η

2

¸

¸

¸

_

k

¸

¸

¸

l

1

η

1

−

l

2

η

2

¸

¸

¸

k

2

dk

2π

2

, (8.46)

where after the diﬀerentiation with respect of η

1

and η

2

one should set η

1

= η

2

= η

0

. We can make use

of the expansion

sin

_

k

¸

¸

¸

l

1

η

1

−

l

2

η

2

¸

¸

¸

_

k

¸

¸

¸

l

1

η

1

−

l

2

η

2

¸

¸

¸

=

∞

l=0

(2l + 1) j

l

(kη

1

)j

l

(kη

2

) P

l

(cos θ) , (8.47)

where P

l

(cos θ) and j

l

(kη) are Legendre polynomials and spherical Bessel functions of corder l, respec-

tively. Quite generally we can also expand the correlation function in the Legendre polynomials

C(θ) =

1

4π

∞

l=2

(2l + 1) c

l

P

l

(cos θ). (8.48)

148 CHAPTER 8. COSMIC MICROWAVE BACKGROUND

Here the monopole and dipole components corresponding to l = 0, 1 are excluded, while the remaining

coeﬃcients can be identiﬁed by comparing (8.48) with (8.46)

c

l

=

2

π

_

¸

¸

¸

¸

_

φ

k

(η

r

) +

δ

k

(η

r

)

4

_

j

l

(kη

0

) −

3δ

′

k

4k

2

∂j

l

(kη

0

)

∂(kη

0

)

¸

¸

¸

¸

2

k

2

dk. (8.49)

Similarly we can expand the temperature ﬂuctuations in spherical harmonics

δT(θ, φ)

T

0

=

l,m

a

l,m

Y

l,m

(θ, φ) (8.50)

and the coeﬃcients (in a homogeneous and isotropic universe) satisfy the condition

¸a

∗

l

′

m

′ , a

lm

¸ = δ

ll

′ δ

mm

′ c

l

, (8.51)

where the brackets refer to taking the cosmic mean. The multipole moments c

l

≡ ¸[a

lm

[

2

¸ receive

their main contribution from angular scale θ ∼ π/l and l(l + 1)c

l

is the typical squared temperature

ﬂuctuation on this scale.

8.3.1 Large scale anisotropies

It is convenient to discuss the anisotropies on the large and small scales separately. With start with

the former. We assume that the angular scales characterizing the CMB ﬂuctuation are θ ≫ 1. For

such large angular scales the inhomogeneities have wave lengths that are larger than the Hubble radius

at recombination. Therefore they had no chance to evolve substantially after the inﬂation.

The relative energy density ﬂuctuations in the radiation component can be expressed in terms of

the gravitational potential (see ....) for adiabatic perturbations with wave-vectors kη

r

≪1.

δ

k

(η

r

) ≃ −

8

3

Φ

k

(η

r

), δ

′

k

≃ 0. (8.52)

We substitute this result in (8.43) to obtain

δT

T

(η

0

, x

0

,

l) ≃ −

1

3

Φ(η

r

, x

0

−

lη

0

). (8.53)

Now we can substitute (8.52) into (8.49) and carry out the integral with the help of the formula

_

∞

0

y

n−1

j

2

l

(y)dy = 2

m−3

π

Γ(2 −n)Γ(l + m/2)

Γ

2

((3 −m)/2)Γ(l + 2 −m/2)

. (8.54)

The result is

l(l + 1)c

l

=

9B

100π

= const. B = [(Φ

0

k

)

2

k

3

[. (8.55)

This result is valid for

l ≪200 (8.56)

but is a good approximation for only l < 20. For larger l the eﬀects of subhorizon modes can not be

neglected in the computation of c

l

which includes k integration over all the modes (sub and supra-

horizon).

8.3. CORRELATION FUNCTIONS 149

Finite thickness eﬀects

In the previous section we assumed that the recombination is an instantaneous eﬀects. This is not

true and can lead to modiﬁcations on the modes characterized with small angular scales. In fact the

recombination time is ﬁnite, and this leads to a suppression of the temperature ﬂuctuations on small

scales.

Suppose a photons arrives at the detector from the direction

l. The redshift spanned by the re-

combination lies in the range 1200 > z > 900. If the last scattering was at the conformal time η

L

the

photon position is given by

x(η

L

) = x

0

+

l(η

L

−η

0

). (8.57)

The photons emitted during the duration ∆η

r

(roughly the duration of recombination) will be registered

from the direction

**l. The temperature inhomogeneities that have scales smaller than ∆η
**

r

wil be smeared

out.

The probability that a photon scattered within the time interval ∆t

L

and a time t

L

(conformal time

η

L

) and propagated further without interactions to the detector is given by (prime is derivative with

respect to the conformal time)

dP(η

L

) = µ

′

(η

L

) exp[−µ(η

L

)]

. ¸¸ .

visibility function

dη

L

(8.58)

and µ(η

L

) is the optical depth

µ(η

L

) =

_

t

0

t

L

dt

τ(t)

=

_

η

0

η

L

σ

T

n

t

X

e

a(η)dη

. ¸¸ .

dt

(8.59)

where τ is the mean-free time for Thomson scattering, n

t

is the number density of all electrons and X

is the ionization fraction. The expression for temperature ﬂuctuations now need to be weighted with

the probability above, i.e., instead of (8.43) we obtain

δT

T

(η

0

, x

0

,

l) =

_ __

Φ +

δ

4

_

k

−

3δ

′

k

4k

2

∂

∂η

0

_

exp i

k( x

0

+

l(η

L

−η

0

)) µ

′

e

−µ

dη

L

. ¸¸ .

P

L

d

3

k

(2π)

3/2

. (8.60)

The visibility function vanishes in two limits: η

L

→ 0 then µ → ∞, and η

L

→ ∞ when µ

′

→ 0. The

visibility function has it maximum in the range 1200 > z > 900. And this condition follows from

dµ

′

e

−µ

dµ

= 0, (µ

′′

−µ

′

2

)e

−µ

= 0, ⇒ µ

′′

= µ

′

2

. (8.61)

The main quantity that changes in this time interval is the ionisation fraction X. Substituting (8.59)

into the last condition in Eq. (8.61) we obtain

X

′

(η

r

) ≃ (σ

T

n

t

a)

r

X

2

r

(8.62)

where r refers to the time η

r

. The time variation of electron fraction is well described by

X

e

(z) ≃ 1.4 10

9

_

Ω

m

h

2

75

η

10

z

−1

exp

_

−

14400

z

_

. (8.63)

150 CHAPTER 8. COSMIC MICROWAVE BACKGROUND

Using this equation we can compute

X

′

≃ −

1.44 10

4

z

1X, 1 =

a

′

a

, (8.64)

substituting this in Eq. (8.62) we obtain

X

r

= 1

r

κ(σ

T

n

t

a)

−1

r

, κ =

14400

z

r

. (8.65)

We can then deduce that the visibility function reaches its maximum at z

r

≃ 1050.

We can approximate the visibility function near the maximum as a Gaussian

µ

′

exp(−µ) ≃ exp

_

−

1

2

(µ −ln µ

′

)

′

r

(η

L

−η

r

)

2

_

. (8.66)

We can calculate the derivatives with the help of (8.64) and (8.65) to obtain

µ

′

exp(−µ) ≃

(κ1η)

r

√

2πη

r

exp

_

−

1

2

(κ1η)

2

r

_

η

L

η

r

−1

_

2

_

. (8.67)

where the pre-factor is chosen to satisfy the normalization

_

µ

′

exp (−µ) dη

L

= 1. (8.68)

To obtain an new expression for (8.60) we note that the factor in front of the exponent does not change

over the time-scales we are interested, so that it can be taken at η

L

= η

r

. Substituting (8.67) in (8.60)

and performing the integration over η

L

we get

δT

T

=

_ _

Φ +

δ

4

−

3δ

′

4k

2

∂

∂η

0

_

η

r

exp

_

−(σkη

r

)

2

¸

exp

_

i

k(x

0

+

l(η

r

−η

0

)

_

d

3

k

(2π)

3/2

, (8.69)

where

k

l = k

3

/3 due to isotropy, one can neglect η

r

compared to η

0

and

σ =

1

√

6(κ1η)

r

. (8.70)

Thus the ﬁnite time-scale of recombination introduces an extra exponential factor in the temperature

ﬂuctuations. The dependence of the function σ on cosmological parameters can be obtained if we ignore

the dark energy contribution at the recombination. Then,

(1η)

r

= 2

1 + (η

r

/η

∗

)

2 + (η

r

/η

∗

)

. (8.71)

and

_

η

r

η

∗

_

2

+ 2

_

η

r

η

∗

_

≃

z

eq

z

r

. (8.72)

Then we ﬁnally obtain

σ ≃ 0.015

_

1 +

_

1 +

z

eq

z

r

_

−1/2

_

. (8.73)

8.3. CORRELATION FUNCTIONS 151

The value of z

eq

depends on the matter contribution to the total energy density and the number of

ultra-relativistic species in the early universe. For three types of neutrinos we have

z

eq

z

r

= 12.8(Ω

m

h

2

75

). (8.74)

To summarize the ﬁnite duration of the recombination leads to the extra exponential factor in the

temperature ﬂuctuations and Eq. (8.49) now reads

c

l

=

2

π

_

¸

¸

¸

¸

_

φ

k

(η

r

) +

δ

k

(η

r

)

4

_

j

l

(kη

0

) −

3δ

′

k

4k

2

∂j

l

(kη

0

)

∂(kη

0

)

¸

¸

¸

¸

2

exp[−2(σkη

r

)

2

]k

2

dk. (8.75)

i.e., there is an extra exponential factor in the integrand.

8.3.2 Small-scale anisotropies

So far we have discussed results valid for l ≪ 200. The multipole moment l ∼ 200 corresponds to

the sound horizon scale at recombination. Therefore (i) for perturbations responsible for ﬂuctuations

with l > 200 entered the horizon before the recombination. These perturbations undergo substantial

evolution. Before computing the perturbations for these l of interest we need to improved source

functions in the integrands, i.e., we need a better approximation to functions Φ

k

+ δ

k

/4.

The source function appropriate for the conditions at recombination can be written for an input

gravitational potential Φ

0

k

as

Φ

k

+

δ

k

4

≃ Φ

0

k

_

T

p

_

1 −

1

3c

2

s

_

+ T

0

√

c

s

cos

_

k

_

η

r

0

c

s

dη

_

e

−k

2

/k

2

D

_

(8.76)

and

(δ

′

k

)

r

≃ −4T

0

lc

3/2

s

sin

_

k

_

η

r

0

c

s

dη

_

e

−k

2

/k

2

D

Φ

0

k

. (8.77)

The transfer functions T

p

and T

0

can be calculated analytically in two limiting cases. When kη

eq

≪ 1

(where η

eq

corresponds to the equipartition between the matter and radiation) we have

T

p

→

9

10

, T

0

→

9

10

3

−3/4

≃ 0.4. (8.78)

For perturbations with kη

eq

≫1 we have the limits

T

p

→

ln(0.15kη

eq

)

(0.27kη

eq

)

2

→0, T

0

=

3

5/4

2

= 1.97. (8.79)

However one generally needs to complete transfer functions since the perturbations with kη

eq

∼ O(1)

determine the amplitude of the temperature ﬂuctuations in the region of the ﬁrst peaks in the CMB

spectrum. Figure 8.2 shows the dependence of the transfer functions with the dimensionless wave-

vectors kη

eq

. Now we can compute the multipoles of the CMB by substituting (8.76) and (8.77) into

(8.75). The result of lengthly calculation is [we put l(l + 1) = l

2

for large l]

c

l

=

1

16π

_

∞

lη

−1

0

_

[4Φ

k

+ δ

k

[

2

k

2

(kη

0

)

_

(kη

0

)

2

−l

2

+

9

_

(kη

0

)

2

−l

2

(kη

0

)

3

[δ

′

[

2

_

exp

_

−2(σkη

r

)

2

¸

dk. (8.80)

152 CHAPTER 8. COSMIC MICROWAVE BACKGROUND

Figure 8.2: The behavior of the transfer functions as a function of kη

eq

.

Here we need to substitute (8.76) and (8.77) with the transfer functions deﬁned above and carry out

integrals to obtain the multipoles.

We consider now the case of scale invariant spectrum of initial density perturbations [(Φ

0

k

)

2

k

3

[ = B,

where B is a constant.

Then Eq. (8.79) can be written as

l

2

C

l

=

B

π

(O + N) (8.81)

where O and N refer to oscillating and non-oscillating parts of the integral. The oscillating part can

be written as a sum of two parts O = O

1

+ O

2

where

O

1

= 2

√

c

s

_

1 −

1

3c

2

s

__

∞

1

T

p

T

0

exp[−

1

2

l

2

x

2

(l

−2

f

+l

−2

s

)

2

] cos(l̺x)

x

2

√

x

2

−1

dx. (8.82)

O

2

=

c

s

2

_

∞

1

T

2

0

(1 −9c

2

s

)x

2

+ 9c

2

s

x

4

√

x

2

−1

exp(−l

2

x

2

/l

2

s

) cos(2l̺x), (8.83)

where x = kη

0

/l. These two terms give rise to constructive and deconstructive interference and to

associated peaks in the spectrum. The parameter

̺ =

1

η

0

_

η

r

0

c

s

(η)dη (8.84)

gives the locations of the peaks.

The non-oscillating part contains three integrals N = N

1

+ N

2

+N

3

, which are

N

1

=

_

1 −

1

3c

2

s

_

2

_

∞

1

T

2

p

e

−(l/l

f

)

2

x

2

x

2

√

x

2

−1

dx (8.85)

(note that this integral vanishes as c

2

s

→1/3, i.e., when baryon density vanishes),

N

2

=

c

s

2

_

∞

1

T

2

0

e

−(l/l

f

)

2

x

2 1

x

2

√

x

2

−1

, (8.86)

N

3

=

9c

3

s

2

_

∞

1

T

2

0

e

−(l/l

f

)

2

x

2

√

x

2

−1

x

4

. (8.87)

8.3. CORRELATION FUNCTIONS 153

The integrals which determine the multipoles depend on the following parameters

c

s

, l

f

, l

S

, ̺, T

0

, T

p

, (8.88)

which can be related to the cosmological parameters

Ω

B

Ω

m

, Ω

Λ

, w, h

75

. (8.89)

For the range of interest 1000 > l > 200 the dominant contribution to integrals comes from the vicinity

of the point x ∼ 1 and around this point the transfer functions can be approximated as

T

p

(x) ≃ 0.74 −0.25(P + ln x) (8.90)

T

0

(x) ≃ 0.5 + 0.36(P + ln x) (8.91)

(8.92)

where

P = ln

_

I

Λ

l

200

_

Ω

m

h

2

75

_

. (8.93)

where

I

Λ

= 3

_

Ω

Λ

Ω

m

_

1/6

__

y

0

dx

(sinh x)

2/3

_

−1

(8.94)

As pointed out above the main contribution to the integrals O

1

and O

2

arises from the vicinity of the

lower bound x = 1. One can use this fact to obtain approximate expressions for the total oscillating

part

O ≃

_

π

ρl

_

A

1

cos(l̺ + π/4) + A

2

cos(2l̺ + π/4) exp (−l/l

S

)

2

¸

(8.95)

where the amplitudes which are weakly dependent on l are deﬁned as

A

1

= 0.1ξ

(P −0.78)

2

−4.3

(1 +ξ)

1/4

exp

_

l

2

2

(l

−2

S

−l

−2

f

)

_

, (8.96)

A

2

= 0.14

(0.36P + 0.5)

2

(1 + ξ)

1/2

. (8.97)

Here the parameters are deﬁned as

ξ =

1

3c

2

s

−1 ≃ 17(Ω

b

h

2

75

). (8.98)

where c

s

is the speed of sound. For the non-oscillating parts one can use the following analytical ﬁts

N

1

≃ 0.063ξ

2

P −0.22(l/l

f

)

0.3

−2.6

1 + 0.65(l/l

f

)

1.4

exp(−l

2

/l

2

f

), (8.99)

N

2

≃

0.037

√

1 + ξ

P −0.22(l/l

f

)

0.3

+ 1.7

1 + 0.65(l/l

s

)

1.4

exp(−l

2

/l

2

s

), (8.100)

N

3

≃

0.037

(1 + ξ)

3/2

P −0.5(l/l

s

)

0.55

+ 2.2

1 + 2(l/l

s

)

2

exp(−l

2

/l

2

s

). (8.101)

154 CHAPTER 8. COSMIC MICROWAVE BACKGROUND

Figure 8.3: Upper panel gives multipoles on the linear scales which allows to see the details over the

large l. The lower panel is logarithmic and allows us to see the better the eﬀect of small l

The ratio of small-scale to large scale ﬂuctuations is given by

l(l + 1)C

l

l(l + 1)C

l

[

low l

=

100

9

(O + N

1

+ N

2

+N

3

). (8.102)

The results for the concordance model which assumes the following values of the parameters

Ω

m

= 0.3 Ω

Λ

= 0.7, Ω

b

= 0.04, Ω

tot

= 1, H = 70 km/s/Mpc (8.103)

are in agreement with the experimental data, see ﬁgure.

The most important feature of our universe is that, in a first approximation, the universe is homogeneous
and isotropic. This statement is known as the cosmological principle.

The most important feature of our universe is that, in a first approximation, the universe is homogeneous

and isotropic. This statement is known as the cosmological principle.

and isotropic. This statement is known as the cosmological principle.

Are you sure?

This action might not be possible to undo. Are you sure you want to continue?

We've moved you to where you read on your other device.

Get the full title to continue

Get the full title to continue listening from where you left off, or restart the preview.

scribd