One-Loop Power Spectrum in Ultra Slow-Roll Inflation and Implications For Primordial Black Hole Dark Matter

IFT UAM-CSIC 24-60
One-loop power spectrum in ultra slow-roll inflation and

implications for primordial black hole dark matter
Guillermo Ballesteros1,2∗ and Jesús Gambı́n Egea2†
1
Departamento de Fı́sica Teórica, Universidad Autónoma de Madrid (UAM),
Campus de Cantoblanco, 28049 Madrid, Spain and
2
Instituto de Fı́sica Teórica UAM-CSIC, Campus de Cantoblanco, 28049 Madrid, Spain
We apply the in-in formalism to address the question of whether the size of the one-loop spectrum
of curvature fluctuations in ultra-slow-roll inflation models designed for producing a large population
arXiv:2404.07196v1 [astro-ph.CO] 10 Apr 2024
of primordial black holes implies a breakdown of perturbation theory. We consider a simplified

piece-wise description of inflation, in which the ultra-slow-roll phase is preceded and followed by
slow-roll phases linked by transitional periods. We work in the δϕ-gauge, including all relevant cubic
and quartic interactions and the necessary counterterms to renormalize the ultraviolet divergences,
regularized by a cutoff. The ratio of the one-loop to the tree-level contributions to the spectrum
of curvature perturbations is controlled by the duration of the ultra-slow-roll phase and of the
transitions. Our results indicate that perturbation theory does not necessarily break in well-known
models proposed to account for all the dark matter in the form of primordial black holes.
CONTENTS
I. Introduction 2
II. Model of USR inflation 2
III. In-In formalism, regularization and counterterms 3
IV. Structure of Pζ 5
V. Discussion 7
A. In-in formalism in more detail 9
B. Action for fluctuations in the δϕ-gauge 11

1. Expansion of the potential 13
2. Expansions of N and Ni 13
3. Quadratic, cubic and quartic actions for fluctuations 14
C. Classical dynamics of super-Hubble modes 15
D. Change of gauge 16
1. Scalar field transformation 17
2. Metric transformation 17
3. Two-point correlation function of ζ 19
E. Tadpoles 20
F. Asymptotic limits 21
1. Limit k → 0 21
2. Limit k → ∞ 22
G. Dimensional analysis and a quick estimate of Pζ 23
∗ guillermo.ballesteros@uam.es
† j.gambin@csic.es
2
1. The limit δN → 0 24
H. Bispectrum and consistency condition 27
References 29
I. INTRODUCTION
Primordial black holes (PBHs) in the range that goes from 10−16 to 10−12 Solar masses might account for all the
dark matter (DM) of the Universe [1–7]. Although the existence of PBHs has not been demonstrated, that possibility
alone makes them worth studying. Indeed, they have become serious contenders for the solution to the dark matter
problem, on the same footing as particle candidates such as e.g. WIMPS and warmer candidates, the QCD axion and
axion-like particles. Moreover, whether they are discovered or ruled out in the future, PBH physics can help us learn
about the very early Universe.
A popular mechanism to form PBHs consists in the collapse of Hubble-sized density fluctuations in the radiation
epoch [8]. These collapsing regions, with densities above a certain threshold [9, 10], could have originated from specific
dynamics during a preceding inflationary period. The most studied model of that kind posits a phase of so-called
ultra slow-roll (USR) [11, 12] during inflation. In terms of a single scalar field –the inflaton, ϕ– driving inflation as it
descends a potential V (ϕ), this corresponds to ϕ undergoing a significant deceleration, such that ϕ̈ ≃ −3H ϕ̇, where
dots indicate derivatives with respect to cosmic time, t, and H is the Hubble function measuring the (accelerated)
expansion of the Universe. This dynamics implies a rapid growth of curvature fluctuations, which in turn leads to
large density perturbations during the subsequent radiation epoch.
A simple estimate assuming Gaussian primordial curvature fluctuations indicates that their spectrum Pζ (which
we will define later on) must be ∼ 10−2 at comoving wavenumbers of the order of 1012 Mpc−1 – 1014 Mpc−1 if all
the dark matter is made of PBHs formed from that mechanism in the aforementioned mass range. This spectral
value is much larger than the inferred one from the cosmic microwave background (CMB), which is Pζ ≃ 2 · 10−9
[13]. Since Pζ scales as the square of the curvature fluctuation, ζ, values of Pζ of order 10−2 almost beg the question
of the validity of perturbation theory. A paper by J. Kristiano and J. Yokoyama from November 2022 [14] studied
this question considering the one-loop correction to Pζ in USR inflation, using the in-in formalism [15–17]. They
concluded that such large values of ζ imply the breakdown of perturbation theory at CMB scales, which, according
to their work, would severely threaten USR as a possibility for PBH formation. Other papers on the same issue
have been appearing since then, with contradicting conclusions that have kept the question open, see [18–22] for a
non-exhaustive but representative list of references.
We weigh in this debate improving the treatment of the problem in several respects. As in most earlier works on
the topic, we use the in-in formalism to compute Pζ at one-loop and compare the result to its tree-level counterpart.
However, we include the complete set of relevant interactions (cubic, quartic and boundary terms) for fluctuations,
several of which where ignored in previous analyses.1 We manage to do this by working on the δϕ-gauge, choosing
spacetime coordinates for which ζ = 0 and the physical content of the primordial fluctuations is contained in the
perturbation of the inflaton, δϕ. In addition, we implement a regularization procedure of ultraviolet divergences at
the level of the action for fluctuations. We use a cutoff to regularize the ultraviolet divergences, similarly to what
has been done in previous literature on the topic, see e.g. [14, 20]. However, we also absorb the divergences by
introducing adequate counterterms, whereas in previous works the cutoff was given a numerical value motivated by
physical intuition (which made the result depend on its value). Although we do not implement a full renormalization
procedure, we are able to analyze the validity of perturbation theory, providing an answer to the issue raised in [14].
We find that whether perturbation theory breaks down depends on the duration of the transition between slow-roll
(SR) inflation and USR inflation. Our results indicate that for Pζ ∼ 10−2 and well-motivated inflationary models
considered in the literature [23, 24], cosmological perturbation theory is valid, in the sense that the one-loop spectrum
is significantly smaller than the tree-level one.
II. MODEL OF USR INFLATION
We consider a two-parameter, piece-wise, description of the inflationary dynamics leading to a large tree-level
Pζ . We assume a phase of SR followed by USR and then, again, SR. The transitions between these phases are
1 Although there are no boundary terms in the set of interactions we consider, these interactions are related to boundary terms in the
ζ-gauge, on which the problem has been studied in previous works.
3
characterized by a single parameter, which controls the duration of both transitions. The other parameter of the
model is the duration of the USR phase. Imposing a value for Pζ establishes a one-to-one correspondence between
both parameters. The dynamics of the SR phases is controlled by the small quantity 0 < ϵ = −Ḣ/H 2 ≪ 1, whose
actual value is largely irrelevant in what follows. The quantity η = ϵ̇/(Hϵ) is, by definition, exactly equal to −6 in
the USR phase and, will be assumed to vanish during both SR phases. The transitions between phases are described
in terms of a third quantity, ν, as we explain next.
Assuming a single inflaton ϕ, with a canonical kinetic term and a potential V (ϕ), working in conformal time, τ ,
and neglecting terms suppressed by powers of ϵ, the action for fluctuations in the δϕ-gauge is
 
2 n
a Vn δϕ 
Z
2 2
X
S = dτ d3 x  (∂τ δϕ) − (∂i δϕ) − a4 (1)
2 n!
n≥2
and Vn = dn V /dϕn . The interactions that arise from the metric fluctuations are suppressed (see Appendix B), and
only the interactions coming from the potential survive at lowest order in ϵ:
aH(ν 2 )′ 1 2 ′′ η
a2 V2 = −(aH)2 (ν 2 − 9/4) , a2 V3 = − √ , a2 V4 = − 2 (ν ) − aH(ν 2 )′ 1 + , (2)
2ϵMP 2ϵMP 2
where primes denote derivatives with respect to conformal time,
η2 η′

9 1
ν2 ≡ + 3η + + ∈R (3)
4 2 2 aH
and MP2 = 1/(8π G) is the reduced Planck mass squared. In both SR (ϵ, |η| ≪ 1) and USR, ν = 3/2, see also [25–27].
We impose that ν 2 is piece-wise constant. The function ν 2 in the transition from SR to USR and, also in the subsequent
transition from USR to SR, is then set by their (equal) duration. This in turn determines η and ϵ completely, which
are found integrating their respective
R definitions. Figure 1 shows in an example ν 2 , ϵ and η as functions of the number
of e-folds of inflation (N = Hdt) elapsed from the beginning of the first transition. In terms of this variable, the
duration of the USR phase is denoted ∆N and that of the transitions is δN . For δN = 0, we recover the model used
in [14]. For the (well-motivated) known potentials that lead to transient USR compatible with Pζ ∼ 10−2 [23, 24],
the function ν 2 is indeed approximately constant during the transitions, which satisfy δN ≲ 1 < ∆N .
Since ν is discontinuous at the beginning and at the end of each transition, the self-interactions of δϕ (proportional
to V3,4 ) are Dirac deltas centered on those instants. In the limit δN → 0, ν 2 satisfies ν 2 → 3/δN during the
transitions; i.e. the interactions diverge in the limit of instantaneous transitions between SR and USR. It is therefore
important to consider smooth transitions. This effect is not as transparent in the ζ-gauge because the dependence on
ν 2 itself does not arise so naturally.
Although we use the δϕ-gauge, we are interested in Pζ , defined, at any order in perturbation theory, through the
two-point correlation function:
d3 k ik(x−y)
Z
⟨ζ(x)ζ(y)⟩ = e Pζ (τ, k) . (4)
4πk 3
For modes satisfying k ≡ |k| ≪ aH in the last SR phase (η = 0) we have ⟨δϕ(x)δϕ(y)⟩ = 2ϵMP2 ⟨ζ(x)ζ(y)⟩ (see
Appendix D).2
III. IN-IN FORMALISM, REGULARIZATION AND COUNTERTERMS
In the in-in formalism [17, 28], at second order in the interaction Hamiltonian, HI , the vacuum expectation value
of an operator Q(τ ) can be obtained as (see Appendix A)
Z τ
′ ′
⟨Q(τ )⟩ = ⟨0| QI (τ ) |0⟩ + 2 Im dτ ⟨0| QI (τ )HI (τ− ) |0⟩
−∞
Z τ Z τ
′ ′′ ′′ ′′ ′

+ 2 Re dτ dτ ⟨0| HI (τ+ )QI (τ ) − QI (τ )HI (τ− ) HI (τ− ) |0⟩ . (5)
−∞ τ′
2 In a general model where in the last phase of inflation η ̸= 0, this expression has corrections proportional to the value of η in that phase.
4
12 10-3
SR ✏
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USR SR
9 10-4
6
⌫2
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10-5
3
0 10-6
-3 10-7
⌘
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-6
10-8
-9
- 12 10-9
0 0.5 1 1.5 2 2.5
N
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FIG. 1. Evolution of ν 2 (black dotted), η (black continuous) and ϵ (orange continuous, right axis) as functions of N for
δN = 0.25, ∆N = 2 and ϵ(N < 0) = 10−3 . The transitions (of duration δN ) between SR (η = 0) and USR (η = −6) are shown
as shaded bands.
On the right hand side of this expression, the fields are in the interaction picture (I ), i.e. they are described by the
free Hamiltonian and satisfy canonical commutation rules. |0⟩ is the vacuum in the interaction picture. We use
τ± ≡ τ (1 ± iω) (with ω > 0) to guarantee the correct projection onto the interaction vacuum in τ → −∞.
In a model with cubic and quartic interactions, the topology of the diagrams generated from equation (5) for the
two-point function of δϕ are shown in Figure 2.3 It can be checked that we do not have to include the bubble diagrams
to the actual computation we perform. The calculation at one-loop of the two-point function gives an ultraviolet (UV)
divergence that needs to be renormalized, see [29, 30]. For the regularization of the divergences, we use a UV cutoff
ΛUV . Whereas the time integrals can be done explicitly, for the spatial part we work in Fourier space. The cutoff
goes into the momentum loops as usual, but its effect on the time integrals needs to be worked out. In practice, we
remove from the integral a domain where the time intervals are smaller than those allowed by ΛUV [29], as follows:
Z τ Z τ Z τ +1/(a(τ )ΛUV ) Z τ
′ ′′ ′
dτ dτ → dτ dτ ′′ . (6)
−∞ τ′ −∞ τ ′ +1/(a(τ ′ )ΛUV )
Once the divergences have been regularized, we introduce counterterms to absorb the dependence of the loops on
the regulator ΛUV [31]. To obtain the counterterms we can think in terms of the action for the inflaton, ϕ. General
covariance implies that the wave function renormalization, ϕ → Zϕ ϕR (where the subscript R stands for renormalized)
requires the quantity Zϕ ≡ 1 + δϕ to be constant.4 Similar arguments may in principle be used for the counterterms
coming from the potential. However, in the model under consideration, V (ϕ) is given by the background evolution
described in the previous section. Therefore, just as Vn are functions of time, by renormalizing Vn → VR,n + δVn ,
the counterterms δVn are functions of time. The counterterms that will affect the renormalization of the two-point
correlation will be δϕ and δV2 ≡ δV . Including these counterterms in the action (1) we extract the complete interaction
Hamiltonian in the interaction picture:5
V3 δϕ3 V4 δϕ4
Z
HI (τ ) = d3 x a4 + + (a2 δϕ δϕ δϕ′ )′ + 2a2 δϕ a2 δ̃V − δϕ ∇2 δϕ , (7)
3! 4!
where δ̃V = δϕ V2 + δV /4. This Hamiltonian includes all possible interaction terms and counterterms that affect Pζ
at one-loop at leading order in ϵ.
We quantize δϕ –in the interaction picture– with creation and annihilation operators satisfying standard commu-
tation relations,
d3 k ikx
Z
∗ †
δϕ(x) = e δϕk (τ )a k + δϕk (τ )a−k , (8)
(2π)3/2
3 Diagrams that are suppressed by powers of MP are not shown, e.g. the diagrams induced at second order by the quartic interaction.
4 This renormalization also changes the background action. However, by introducing a renormalization of the vacuum expectation value
(VEV) of ϕ, ϕ0 (t), one can impose that the background dynamics remains unchanged, equivalent to what happens with the Higgs VEV
(see e.g. [32]).
5 For convenience, we will omit the subscript R , always keeping in mind that we are working with renormalized quantities.
5
k
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O(HI0 )
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:
x
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y
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O(HI1 ) :
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O(HI2 ) :
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FIG. 2. Diagrams arising from eq. (5) when calculating δϕ2 . We distinguish the tree-level (first row), the one-loop (first
diagrams of rows second and third) and the counterterms (second diagram of the second row). In addition, we have a term
proportional to the tadpole, bubble diagrams and a term composed of two tadpoles. None of the latter diagrams (in shaded boxes)
contribute to Pζ .
where ∗ indicates complex conjugation. The√modes δϕk obey δϕ′′k + 2aHδϕ′k + (k 2 + a2 V2 )δϕk = 0 with Bunch-Davies
initial conditions δϕk (τ → −∞) = e−ikτ / 2ka2 , which guarantee canonical commutation rules for δϕ [33]. Their
evolution in time is
δϕk (τ ) = (−kτ )3/2 (αk Jν (−kτ ) + βk Yν (−kτ )) , (9)
where Jν and Yν are the first and second kind Bessel functions, respectively. We stress that during the first transition
ν 2 can be negative and therefore ν can be imaginary. The coefficients αk and βk are obtained in each phase imposing
that δϕk and δϕ′k are continuous across the boundaries.
IV. STRUCTURE OF Pζ
Due to momentum conservation

d3 k ik(x−y)
Z
⟨δϕ(τ, x)δϕ(τ, y)⟩ ≡ e D(τ, k) , (10)
(2π)3
at all loop orders, for some function D(τ, k) = D(τ, k)tl + D(τ, k)1l + D(τ, k)ct , where we have split the contributions
at tree-level (tl), one-loop (1l) and those coming from the counterterms (ct) (see Figure 2), so that Pζ (τ, k) =
k 3 D(τ, k)/(4π 2 MP2 ϵ). The tree-level contribution is just
k3 2
Pζtl (τ, k) = |δϕk (τ )| . (11)
4π 2 MP2 ϵ(τ )
The one-loop can be separated into terms coming from cubic and quartic interactions. The quartic part is
Z τ
k3 d3 p
Z
1l,V4 2 ′ 4 ′ ′ ∗2 ′ ′ 2
Pζ (τ, k) = Im δϕk (τ ) dτ a (τ )V4 (τ )δϕk (τ ) |δϕp (τ )| , (12)
4π 2 MP2 ϵ(τ ) −∞ (2π)3
′
Since the transitions are instantaneous, the prescription τ− = τ ′ (1 − iω) has no effect on Pζ1l,V4 and we omit it. The
loop integral has no dependence on the external momentum k, so Pζ1l,V4 can be fully absorbed by the counterterms,
as we shall see below. The cubic part is
Z τ+ 1 Z τ
1l,V3 k3 a(τ )Λ
′ 4 ′ ′ ∗ ′
Pζ (τ, k) = 2 2 Im dτ a (τ− ) V3 (τ− ) δϕk (τ )δϕk (τ− ) dτ ′′ a4 (τ ′′ )V3 (τ ′′ ) Im{δϕk (τ )δϕ∗k (τ ′′ )}
π MP ϵ(τ ) −∞ τ ′ + a(τ1′ )Λ

d3 p
Z
′′ ∗ ′ ′′ ∗ ′
× δϕp (τ ) δϕp (τ− ) δϕ|k−p| (τ ) δϕ|k−p| (τ− ) . (13)
(2π)3
In this case, the iω prescription is important for the convergence of the loop integral, and therefore we must keep
it.6 Since the interactions V3 are Dirac deltas at the edges of the transitions, only a few points contribute to the
6 In principle, we should also keep this prescription in τ ′′ . However, it has no effect and convergence is guaranteed simply by keeping τ−
′ .
6
t00
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t0
<latexit sha1_base64="GCjuq6DksNEFVoIpB+8Inad2nqg=">AAAB6XicbVBNS8NAEJ34WetX1aOXxSJ6KolI9Vj04rGK/YA2lM120y7dbMLuRCih/8CLB0W8+o+8+W/ctjlo64OBx3szzMwLEikMuu63s7K6tr6xWdgqbu/s7u2XDg6bJk414w0Wy1i3A2q4FIo3UKDk7URzGgWSt4LR7dRvPXFtRKwecZxwP6IDJULBKFrpAc96pbJbcWcgy8TLSRly1Hulr24/ZmnEFTJJjel4boJ+RjUKJvmk2E0NTygb0QHvWKpoxI2fzS6dkFOr9EkYa1sKyUz9PZHRyJhxFNjOiOLQLHpT8T+vk2J47WdCJSlyxeaLwlQSjMn0bdIXmjOUY0so08LeStiQasrQhlO0IXiLLy+T5kXFq1aq95fl2k0eRwGO4QTOwYMrqMEd1KEBDEJ4hld4c0bOi/PufMxbV5x85gj+wPn8AUQ+jTQ=</latexit>
FIG. 3. The orange shaded region represents the integration domain of the (cosmic) time integrals that arises calculating Pζ
at second-order in HI . The red diagonal line represents t′ = t′′ . The (thinner) black line parallel to it restricts the integration
regime due to the cutoff, see eq. (6). The separation between the two lines is given by Λ−1 UV . The green lines mark the times
of the transitions between different phases. Their intersections within the shaded area correspond to the points (black dots)
contributing to the time integrals in our model. At each point, the interaction is a Dirac delta in time, which simplifies the
integration greatly.
integrals of (13). Let us determine which ones are relevant. We can denote by τ1 the conformal time corresponding
to N = 0 in Figure 1. Then, we denote as τ2 and τ3 the conformal times at which the USR phase starts and ends,
respectively. The beginning of the final SR phase is identified with τ4 . Considering the time integrals in (13), points
falling along the diagonal (τ ′ = τ ′′ ) in the plane {τ ′ , τ ′′ } are removed by the regulator (see eq. (6)).7 The pairs (τi , τj )
that contribute to the one-loop spectrum are those that satisfy τ ′ = τi < τ ′′ = τj , see Figure 3. Taking this into
account,
4 4
k3 H 2 X X a3 ∆ν 2 a3 ∆ν 2
Pζ1l,V3 (τ, k) = √ √ Im{δϕk (τ )δϕ∗k (τj )} Im{δϕk (τ )δϕ∗k (τi ) l(k; j, i)} , (14)
2π 2 MP2 ϵ(τ ) MP2 i=1 j=i+1 ϵ τi ϵ τj
where ∆ν 2 (τi ) is the change in ν 2 at τi and l(k; j, i) comes from the loop integral in the second line of (13). We can
write l(k; j, i) conveniently with a change of variables [34],8
Z ∞ Z 1
k3
l(k; j, i) = ds dd (s2 − d2 ) δϕk(s−d)/2 (τj )δϕ∗k(s−d)/2 (τi− )δϕk(s+d)/2 (τj )δϕ∗k(s+d)/2 (τi− ) . (15)
16π 2 1+ΛIR /k 0
We note that l(k; i, j) has no UV divergence, thanks to the τi− prescription. Without this prescription, l would
be oscillatory in the UV (see Appendix F). It is also crucial that the contributions from the diagonal of Figure 3
are excluded by the regulator, as these would introduce a divergent contribution that cannot be absorbed by the
counterterms because of the different momentum dependence of eq. (14) and the contribution from the counterterms
(see eq. (16) below).9 Previous works (see e.g. [14]) obtained UV divergences from a cubic interaction in the ζ-gauge,
whereas we obtain a finite result thanks to the regulator we use (and the appropriate use of the iω prescription).
However, l shows an infrared (IR) divergent part (lIR ), which we regularize with an IR cutoff ΛIR . This type of IR
divergence arises from eq. (5) in perturbation theory for massless free fields. In this work we are only concerned
with UV divergences, and assume that IR divergences are either unphysical and disappear when calculating physical
observables [35–37] or can be addressed beyond perturbation theory [38].10 Therefore, in practice, we redefine l as
7 If we used a regulator that does not exclude the points on the diagonal (red line in Figure 3), such as dimensional regularization, the
result of the finite part of Pζ at one-loop would be different. This difference would be compensated by the finite part of the counterterms.
See Appendix G, where the equivalence between this type of regulators and a cutoff is shown in the limit δN → 0.
8 We define p = k(s − d)/2 and |k − p| = k(s + d)/2 and we use the fact that eq. (13) is symmetric under the exchange of p and k − p to
integrate over half of the integration domain.
9 If the points on the diagonal are included, l(k; i, i) would be real and linearly divergent in the UV. The structure of the divergence would
2
be Pζ1l,V3 ∼ k3 Im δϕk (τ )δϕ∗k (τi ) , while the structure of the counterterms would be Pζct ∼ k3 Im δϕ2k (τ )δϕ∗2

k (τi ) .
10 In the latter case, we will assume that the finite contribution of the IR effect will not be larger than the finite part of the rest of the
calculation we make.
7
2.5
N
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1.5
0.5
0.05 0.1 0.2 0.5 1
N
<latexit sha1_base64="jcvXY04AVuqhNhoHmyJM2FP9uf0=">AAAB73icbVBNS8NAEN34WetX1aOXxSJ4KolI9Vj04kkq2A9oQ9lsJu3SzSbuToRS+ie8eFDEq3/Hm//GbZuDtj4YeLw3w8y8IJXCoOt+Oyura+sbm4Wt4vbO7t5+6eCwaZJMc2jwRCa6HTADUihooEAJ7VQDiwMJrWB4M/VbT6CNSNQDjlLwY9ZXIhKcoZXa3RAkMnrXK5XdijsDXSZeTsokR71X+uqGCc9iUMglM6bjuSn6Y6ZRcAmTYjczkDI+ZH3oWKpYDMYfz+6d0FOrhDRKtC2FdKb+nhiz2JhRHNjOmOHALHpT8T+vk2F05Y+FSjMExeeLokxSTOj0eRoKDRzlyBLGtbC3Uj5gmnG0ERVtCN7iy8ukeV7xqpXq/UW5dp3HUSDH5IScEY9ckhq5JXXSIJxI8kxeyZvz6Lw4787HvHXFyWeOyB84nz+Kr4+p</latexit>
FIG. 4. The dotted curves represent lines of constant Pζ (with values 1, 10−2 , 10−4 and 10−6 from top to bottom), computed
at tree-level. In the shaded region, the one-loop contribution to Pζ is larger than its tree-level counterpart at the scales near the
maximum of the latter. The three black dots correspond to the three examples shown in Figure 5. The region where Pζ1l > Pζtl
is approximately scale invariant, as can be seen in Figure 8.
follows: l → l − lIR . Finally, the contribution of the counterterms (ct) will be

Z τ
k3

2
ct
Pζ (τ, k) = 2 δ ϕ |δϕk (τ )| + 8 Im δϕ2
k (τ ) dτ ′ a2 (δϕ k 2 + δ̃V )δϕ∗2
k . (16)
4π 2 MP2 ϵ(τ ) −∞ τ′
Making the replacement

1 d3 p
Z
2
δ̃V → δ̃V − a2 V4 |δϕp | (17)
8 (2π)3
the (divergent and finite) contributions of Pζ1l,V4 can be completely absorbed by the counterterms –as it happens in
λϕ4 in Minkowski–. We stress that we can make this redefinition thanks to the arbitrary time dependence of δ̃V .
The situation is different for Pζ1l,V3 , where the counterterms cannot absorb its finite part for all k. Therefore, the
only relevant contribution at one-loop –and the only one we include– comes from Pζ1l,V3 ≡ Pζ1l . Since the only UV
divergence appearing in the one-loop calculation is reabsorbed with the counterterms, the two-point correlation is,
after this procedure, completely finite.
We note that in Figure 2 there are diagrams that are not relevant in our calculation at one-loop. These diagrams
fall in one of the following three categories: 1) bubble diagrams (whose contribution vanishes), 2) diagrams that do
not contribute to Pζ ,11 and 3) diagrams proportional to the tadpole (which vanishes imposing ⟨δϕ⟩ = 0 at loop level,
using counterterms, as shown in Appendix E).
V. DISCUSSION
A full renormalization procedure would require imposing a set of conditions on Pζ allowing us to extract the finite
part of the counterterms that make the theoretical prediction of the total power spectrum coincide with the one
inferred from observations, which is currently unconstrained at small enough scales. Although we have not performed
a full renormalization, which would have required working with a tractable functional form for the potential, we can
use our results to draw conclusions about the validity of perturbation theory. The validity of eq. (5), which is the
basis of our analysis, assumes Pζ1l ≪ Pζtl . For consistency, eq. (5) also requires Pζct ∼ Pζ1l ≪ Pζtl . The contributions
to Pζ coming from the counterterms must be of the same order as those coming from the loops because otherwise the
divergences cannot be absorbed. Taking the condition Pζ1l ∼ Pζtl as a proxy for perturbation theory breakdown, we
find that whether perturbation theory breaks or not depends on the values chosen for the two parameters, δN and
11 We have only one diagram in this category, the disconnected one formed by two tadpoles (last diagram of the last row of Figure 2).
Although this diagram does affect the two-point correlation, its momentum structure is different from that of the power spectrum, so it
does not modify Pζ .
10-8 10-810-8 10-8 1010-8 -180-8 1010--8 8 10-18 0-8 10-8 10-8 10-8 10-8 10-8 8
10-2 10-2 10-2
--1010 -10 -10 -10 -10 -10 -1010

-4
-10 -10 1010-10 -10 -10-10 -10

-4
10-4
-10
10 1010 10 1100 10 1010
10
-6
-8
1010 10 10-6
10-8
10 10 10 10 10-6
10-8
10-10 10-10 10-10
10-12 10-1120-12 10-12 1100-12 -1210-12 10-10-1212 101-120-12 10-12 10-12 10-12 10-12 10-12 10-12
10-2 -1
10 10 0
10 1
10-12
10-2 -1
10 10 0
10 1 2
10
10-12
10-2 10-1 100 101 102
1010-2 110-1 11000 10-221 101-02-1 10100-210-1201-110-120 1010101010-121-0-2110-21 10110010-12 010101--110221021100101 101--2 1011-02-1102 10100 10-101-101-102 1010101100-1 101 10101010102 10101 110-2102 1010-1110-210100 210-1 101 10100 2102 10101 -1202 10-210-1 10-1 1010 1010 101 101 102 1
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k/k0 <latexit sha1_base64="Cs1JrVATzCjce8TQFUT659Vz03A=">AAAB6HicbVA9SwNBEJ2LXzF+RS1tFoNgFe5EomXAJmUC5gOSI+xt5pI1e3vH7p4QjoC9jYUitv4kO/+Nm49CEx8MPN6bYWZekAiujet+O7mNza3tnfxuYW//4PCoeHzS0nGqGDZZLGLVCahGwSU2DTcCO4lCGgUC28H4bua3H1FpHst7M0nQj+hQ8pAzaqzU8PrFklt25yDrxFuSEixR7xe/eoOYpRFKwwTVuuu5ifEzqgxnAqeFXqoxoWxMh9i1VNIItZ/ND52SC6sMSBgrW9KQufp7IqOR1pMosJ0RNSO96s3E/7xuasJbP+MySQ1KtlgUpoKYmMy+JgOukBkxsYQyxe2thI2ooszYbAo2BG/15XXSuip7lXKlcV2q1p4WceThDM7hEjy4gSrUoA5NYIDwDK/w5jw4L86787FozTnLCE/hD5zPH6X9jUY=</latexit> <latexit sha1_base64="Cs1JrVATzCjce8TQFUT659Vz03A=">AAAB6HicbVA9SwNBEJ2LXzF+RS1tFoNgFe5EomXAJmUC5gOSI+xt5pI1e3vH7p4QjoC9jYUitv4kO/+Nm49CEx8MPN6bYWZekAiujet+O7mNza3tnfxuYW//4PCoeHzS0nGqGDZZLGLVCahGwSU2DTcCO4lCGgUC28H4bua3H1FpHst7M0nQj+hQ8pAzaqzU8PrFklt25yDrxFuSEixR7xe/eoOYpRFKwwTVuuu5ifEzqgxnAqeFXqoxoWxMh9i1VNIItZ/ND52SC6sMSBgrW9KQufp7IqOR1pMosJ0RNSO96s3E/7xuasJbP+MySQ1KtlgUpoKYmMy+JgOukBkxsYQyxe2thI2ooszYbAo2BG/15XXSuip7lXKlcV2q1p4WceThDM7hEjy4gSrUoA5NYIDwDK/w5jw4L86787FozTnLCE/hD5zPH6X9jUY=</latexit>
k/k0 <latexit sha1_base64="Cs1JrVATzCjce8TQFUT659Vz03A=">AAAB6HicbVA9SwNBEJ2LXzF+RS1tFoNgFe5EomXAJmUC5gOSI+xt5pI1e3vH7p4QjoC9jYUitv4kO/+Nm49CEx8MPN6bYWZekAiujet+O7mNza3tnfxuYW//4PCoeHzS0nGqGDZZLGLVCahGwSU2DTcCO4lCGgUC28H4bua3H1FpHst7M0nQj+hQ8pAzaqzU8PrFklt25yDrxFuSEixR7xe/eoOYpRFKwwTVuuu5ifEzqgxnAqeFXqoxoWxMh9i1VNIItZ/ND52SC6sMSBgrW9KQufp7IqOR1pMosJ0RNSO96s3E/7xuasJbP+MySQ1KtlgUpoKYmMy+JgOukBkxsYQyxe2thI2ooszYbAo2BG/15XXSuip7lXKlcV2q1p4WceThDM7hEjy4gSrUoA5NYIDwDK/w5jw4L86787FozTnLCE/hD5zPH6X9jUY=</latexit> <latexit sha1_base64="Cs1JrVATzCjce8TQFUT659Vz03A=">AAAB6HicbVA9SwNBEJ2LXzF+RS1tFoNgFe5EomXAJmUC5gOSI+xt5pI1e3vH7p4QjoC9jYUitv4kO/+Nm49CEx8MPN6bYWZekAiujet+O7mNza3tnfxuYW//4PCoeHzS0nGqGDZZLGLVCahGwSU2DTcCO4lCGgUC28H4bua3H1FpHst7M0nQj+hQ8pAzaqzU8PrFklt25yDrxFuSEixR7xe/eoOYpRFKwwTVuuu5ifEzqgxnAqeFXqoxoWxMh9i1VNIItZ/ND52SC6sMSBgrW9KQufp7IqOR1pMosJ0RNSO96s3E/7xuasJbP+MySQ1KtlgUpoKYmMy+JgOukBkxsYQyxe2thI2ooszYbAo2BG/15XXSuip7lXKlcV2q1p4WceThDM7hEjy4gSrUoA5NYIDwDK/w5jw4L86787FozTnLCE/hD5zPH6X9jUY=</latexit>
FIG. 5. Tree-level (red dashed) and absolute value of renormalized one-loop (black continuous) contributions to Pζ (k) for three
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different choices of δN and ∆N . From left to right: {δN = 0.1 , ∆N = 2.07}, {δN = 0.2 , ∆N = 1.99}, {δN = 0.5 , ∆N = 1.77}.
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k/k0 k/k0 k/k/k0 k0 k/k/k0 k0 k/k0 k/k0 k/k

k/k0 0k/k
k/k0 0 The vertical green bands indicate the ranges of momenta becoming super-Hubble during the equally-shaded transitions of Figure
1. The value k = k0 corresponds to the Fourier mode becoming super-Hubble at the beginning of the first transition (between
SR and USR).
k/k0 k/k0 k/k0k/k0
∆N , of the model. The contribution to Pζ at one-loop depends strongly on the width δN of the transitions between
SR and USR. Moreover, we find that when δN is made arbitrarily small, the one-loop contribution diverges (see
Appendix G), invalidating any prediction based on perturbation theory through the in-in formalism. In models that
can account for all DM in the form of PBHs –which requires Pζ ∼ O(0.01) at the peak in the Gaussian approximation,
see e.g. [23]–, δN needs to be ≳ 0.1 for perturbation theory to hold, as shown in Figures 4 and 5. In realistic USR
inflationary models [23, 24] this parameter is δN ∼ 0.4 − 0.5. For such values of δN , perturbation theory does indeed
appear to hold in the model we have considered for our analysis. Even though inflation does not end in our model
and Pζ does not feature a peak but rather a plateau-like feature for k → ∞, we think that our results are evidence
that models in which all of the DM is comprised of PBHs originating from USR inflation are not necessarily hampered
by perturbation theory breaking, contrary to what was argued in [14]. In future work our analysis can be extended
to include |η| ∼ O(1) in the last phase of Figure 1, as well as using dimensional regularization to deal with UV
divergences in Pζ1l . Another possible direction consists in exploring what happens assuming a given functional form
for the potential V (ϕ), such as the one in [24].
We note that the Gaussian approximation, and hence the benchmark Pζ ∼ O(0.01), may not be enough to compute
the PBH abundance for realistic USR models accurately. We expect that the effect of small non-Gaussian corrections
around the maximum of the distribution of ζ will not change our results significantly [39]. However, there exist
indications that the tail of the distribution in USR models may fall exponentially, differing substantially from a
Gaussian one, see e.g. [40, 41]. If this were the case, a smaller maximum Pζ would be sufficient to account for all DM,
which would make attaining the conditions needed for perturbation theory to hold even easier.
The debate has been intense since [14] appeared. An early reaction already suggested the need of smoothing the
transition between the SR and USR phases, see [18]. More detailed calculations implementing smooth transitions
gave contradictory results, in some cases supporting the thesis of [14] (see e.g. [42]) and in others indicating that
the tension could be relaxed, see e.g. [20]. Before our work, previous Ranalyses have primarily focused on the specific
cubic interaction in the ζ-gauge that was first considered in [14] (S ∝ d4 x ϵ η ′ a2 ζ ′ ζ 2 ). It turns out that the quartic
interaction induced by this cubic term in the action for ζ, which has been ignored in previous works, is the origin of
the divergence in the limit of instantaneous transitions (δN → 0) in this gauge (as shown in Appendix G). However,
the quartic action [42] and some boundary terms [19, 21, 43, 44] were also partially considered before our work.12 It
is worth mentioning the work presented in [21], where it was claimed that Maldacena’s consistency relation [45] and
the iω prescription guarantee that the one-loop power spectrum has to be suppressed with respect to the tree-level
one. We have however verified that the consistency relation is satisfied in our analysis (see Appendix H).
In previous works, the loop integrals (mainly involving the cubic interaction in the ζ-gauge mentioned above) have
been cut between two values of the momentum (in particular, between the wavenumbers becoming super-Hubble at
the beginning and at the end of USR). That procedure makes the resulting computation of the one-loop contribution
to Pζ dependent on those cutoffs, casting a doubt on any conclusions extracted from it. In our analysis, we have dealt
12 In the cubic action in the ζ-gauge [45], there are several boundary terms arising from integrating by parts, see also [46]. It is necessary to
include all of them in Hi to compute correlation functions correctly. However, the boundary terms without time derivatives of the fields
cannot contribute to any correlator, as it is argued e.g. in [47] using path integral arguments. See [17] for more details on path integral
methods in the in-in formalism. Although several boundary terms disappear from the cubic action for ζ after the field redefinition of
[45], care must be taken to always include all relevant contributions.
9
with this problem regularizing and absorbing the relevant divergences with appropriate counterterms. We have found
that, after regularization, the cubic interactions in the δϕ-gauge give a finite one-loop contribution to Pζ . However,
the quartic interactions (on the same gauge) required appropriate counterterms to absorb divergent contributions.
Acknowledgments.
This work has been funded by the following grants: 1) Contrato de Atracción de Talento (Modalidad 1)
de la Comunidad de Madrid (Spain), 2017-T1/TIC-5520 and 2021-5A/TIC-20957, 2) PID2021-124704NB-I00
funded by MCIN/AEI/10.13039/501100011033 and by ERDF A way of making Europe, 3) CNS2022-135613 MI-
CIU/AEI/10.13039/501100011033 and by the European Union NextGenerationEU/PRTR, 4) the IFT Centro de
Excelencia Severo Ochoa Grant CEX2020-001007-S, funded by MCIN/AEI/10.13039/501100011033. JGE has been
supported by a PhD contract contrato predoctoral para formación de doctores PRE2021-100714 associated to the afore-
mentioned Severo Ochoa program, CEX2020-001007-S-21-3. We thank Gabriele Franciolini and Thomas Konstadin
for comments and Marco Taoso for questions. We thank Jaime Fernández Tejedor for comments and discussions. We
thank José Ramón Espinosa for discussions.
Appendix A: In-in formalism in more detail
Let Q(t) be a generic Hermitian operator whose vacuum expectation value (VEV) for which we want to calculate
⟨Q(t)⟩ ≡ H ⟨Ω| QH (t) |Ω⟩H , (A1)
where |Ω⟩H is the ground state, i.e. the vacuum of the system. This is customarily done in the so-called in-in formalism;
see [15, 16] and also [17, 28, 46] for later descriptions. We work in the Heisenberg (H ) picture, in which |Ω⟩H does
not evolve in time, and instead all the time evolution falls on the operators, such as QH (t). The time evolution of the
operators in this picture is given by the equation
QH (t) = U −1 (t, t0 )QS U (t, t0 ) , (A2)
where U −1 (t, t0 )U (t, t0 ) = 1 . Here we are introducing an auxiliary time t0 in which all objects in the Heisenberg and
Schrödinger (S ) picture coincide. U (t, t0 ) is the time evolution operator that satisfies
∂t U (t, t0 ) = −iH(t)U (t, t0 ) , U (t0 , t0 ) = 1 . (A3)
The Hamiltonian H(t) can be separated into a free part and an interaction part, H = H0 + Hi . Thus, we can define
the operators in the interaction picture (I )
QI (t) = U0−1 (t, t0 )QS U0 (t, t0 ) , where ∂t U0 (t, t0 ) = −iH0 (t)U0 (t, t0 ), U0 (t0 , t0 ) = 1 . (A4)
The operators in the interaction picture follow the dynamics governed by the free (quadratic) Hamiltonian, without
interactions. That is, one can understand the operators in the interaction picture as operators in the Heisenberg
picture, but with the Hamiltonian of the system being simply the free Hamiltonian. Therefore, the fields in the
interaction picture can be expressed in terms of the creation and annihilation operators –which will allow us to use
Wick’s theorem when computing correlators–. We can now write the operators in the Heisenberg picture in terms of
the operators in the interaction picture,
QH (t) = F −1 (t, t0 )QI (t)F (t, t0 ), F (t, t0 ) ≡ U0−1 (t, t0 )U (t, t0 ) . (A5)
Differentiating, we obtain the equation that is satisfied by the operator F (t, t0 ):
∂t F (t, t0 ) = −iHI (t)F (t, t0 ) , (A6)
where the Hermitian operator
HI (t) ≡ U0−1 (t, t0 )Hi (t)U0 (t, t0 ) (A7)
represents the interaction Hamiltonian in the interaction picture, and then the fields that compose HI are in the
interaction picture. The formal solution of eq. (A6) and its inverse are, respectively:
Z t Z t
F (t, t0 ) = T exp −i dt′ HI (t′ ) , F −1 (t, t0 ) = T̄ exp i dt′ HI (t′ ) , (A8)
t0 t0
10
where T and T̄ indicate time and anti-time ordering. The VEV of Q(t) is then
−1
⟨Q(t)⟩ = H ⟨Ω| F (t, t0 )QI (t)F (t, t0 ) |Ω⟩H . (A9)
We note that all the elements of the latter expression are in the interaction picture except for H ⟨Ω| and |Ω⟩H .
Therefore, we need to rewrite this expression using the vacuum in the interaction picture |0⟩I (i.e. the vacuum of the
Hamiltonian without interactions). Like |Ω⟩H , |0⟩I does not evolve over time. Let us consider
Z t Z t X
exp −i dt′ H(t′ ) |0⟩I = exp −i dt′ H(t′ ) |n⟩H H ⟨n|0⟩I
t0 t0 n
 
Z t X Z t
= exp −i dt′ EΩ (t′ )  H ⟨Ω|0⟩I |Ω⟩H + exp −i dt′ (En (t′ ) − EΩ (t′ )) H ⟨n|0⟩I |n⟩H  . (A10)
t0 n̸=Ω t0
Since En (t) > EΩ (t) for all n and t, if we make the replacement t0 → −∞− ≡ −∞(1 − iω) with ω > 0, all excited
states are suppressed and we get
Z t Z t
exp −i dt′ H(t′ ) |0⟩I = H ⟨Ω|0⟩I exp −i dt′ H(t′ ) |Ω⟩H . (A11)
−∞− −∞−
Applying time ordering,
U (t, −∞− ) |0⟩I

U (t, −∞− ) |Ω⟩H = , (A12)
H ⟨Ω|0⟩I
and we obtain the following useful relation between the vacuum in the interaction and Heisenberg picture:13
F (t, −∞− ) |0⟩I

F (t, −∞− ) |Ω⟩H = ≡ N F (t, −∞− ) |0⟩I and H ⟨Ω| F
−1
(t, −∞+ ) = N ∗ I ⟨0| F −1 (t, −∞+ ) ,
H ⟨Ω|0⟩I
(A13)
where ∞+ ≡ ∞(1 + iω). This allows us to write all the elements of the VEV in the interaction picture:
2 −1
⟨Q(t)⟩ = |N | I ⟨0| F (t, −∞+ )QI (t)F (t, −∞− ) |0⟩I , (A14)
2
where F −1 (t, −∞+ ) can be read from (A8). The last piece we need to understand is what is |N | . Assuming that
|Ω⟩H is properly normalized, i.e. H ⟨Ω|Ω⟩H = 1, if we calculate the VEV of the identity operator (Q = 1), we get that
1
2 = I ⟨0| F −1 (t, −∞+ )F (t, −∞− ) |0⟩I . (A15)
|N |
−2
Making a perturbative expansion, it becomes clear that |N | is the sum over the bubble-type diagrams, defined as
the set of diagrams with at least one part disconnected from any external leg. Thus, the final formula to be used for
the calculation of the VEV of any operator Q(t) is (see also [48])
−1
I ⟨0| F (t, −∞+ )QI (t)F (t, −∞− ) |0⟩I
⟨Q(t)⟩ = −1 (t, −∞+ )F (t, −∞− ) |0⟩
= I ⟨0| F −1 (t, −∞+ )QI (t)F (t, −∞− ) |0⟩I . (A16)
I ⟨0| F I no bubbles
For brevity, we write |0⟩I as |0⟩ in what follows (and in the main body of this work) and, even if we will not write it
explicitly, bubble diagrams will be assumed to be removed.
The main expression we use in this paper, eq. (5), is a second order expansion in the interaction Hamiltonian of the
in-in formalism for the calculation of a VEV. To derive it we proceed by first expanding F (t, −∞− ) from eq. (A8):
Z t Z t Z t
1
F (t, −∞− ) = 1 − i dt′ HI (t′ ) − T dt′ dt′′ HI (t′ )HI (t′′ ) . (A17)
−∞ − 2 −∞ − −∞ −
13 We interpret the prescription iω as a way to turn off the interactions in the limit t → −∞, well motivated by the Bunch-Davies initial
conditions.
11
Now, we make a redefinition of time such that the prescription iω passes from the lower integration limit to the time
of the Hamiltonian, t → t− = t(1 − iω), such that
Z t Z t Z t
− ′ ′ 1 ′
F (t, −∞ ) = 1 − i dt HI (t− ) − T dt dt′′ HI (t′− )HI (t′′− ) . (A18)
−∞ 2 −∞ −∞
In principle, the upper integration limit should also be modified, but this change has no effect when, at the end of the
calculation, we take ω → 0. The only effect of the prescription iω is observed in the limit t′ , t′′ → −∞, introducing
a damping in the time integrals, which is interpreted as a projection onto the interaction vacuum. Now we use the
definition of time ordering to rewrite
t t t t′ t t
1
Z Z Z Z Z Z
T dt′ dt′′ HI (t′− )HI (t′′− ) = dt′ dt′′ HI (t′− )HI (t′′− ) = dt′ dt′′ HI (t′′− )HI (t′− ) . (A19)
2 −∞ −∞ −∞ −∞ −∞ t′
Therefore, F and its inverse are

Z t Z t Z t
− ′
F (t, −∞ ) = 1 − i dt HI (t′− ) − dt ′
dt′′ HI (t′′− )HI (t′− ) , (A20)
−∞ −∞ t′
Z t Z t Z t
† †
F −1 (t, −∞+ ) = 1 + i dt′ HI (t′− ) − dt′ dt′′ HI (t′′− )HI (t′− ) , (A21)
−∞ −∞ t′
so that the VEV of Q can be written as

Z t Z t Z t
⟨Q(t)⟩ = ⟨0| QI (t) |0⟩ + 2 Im dt′ ⟨0| QI (t)HI (t′− ) |0⟩ + dt′ dt′′ ⟨0| HI (t′′+ )QI (t)HI (t′− ) |0⟩
−∞ −∞ −∞
Z t Z t
− 2 Re dt′ ′′ ′′ ′
dt ⟨0| QI (t)HI (t− )HI (t− ) |0⟩ . (A22)
−∞ t′
Using that
∗
⟨0| HI (t′+ )QI (t)HI (t′′− ) |0⟩ = ⟨0| HI (t′′+ )QI (t)HI (t′− ) |0⟩ (A23)
we can rewrite the last term of the first line of (A22) as

Z t Z t Z t Z t
dt′ dt′′ ⟨0| HI (t′′+ )QI (t)HI (t′− ) |0⟩ = 2 Re dt′ dt′′ ⟨0| HI (t′′+ )QI (t)HI (t′− ) |0⟩ , (A24)
−∞ −∞ −∞ t′
so that the final expression is

Z t
′
⟨Q(t)⟩ = ⟨0| QI (t) |0⟩ + 2 Im dt ⟨0| QI (t)HI (t′− ) |0⟩
−∞
Z t Z t
dt′ dt′′ ⟨0| HI (t′′+ )QI (t) − QI (t)HI (t′′− ) HI (t′− ) |0⟩ .

+ 2 Re (A25)
−∞ t′
We emphasize that this expression does not include the bubble diagrams and we stress the importance of the pre-
scription iω (represented by t± ) for the convergence of the time integrals.
Appendix B: Action for fluctuations in the δϕ-gauge
In the ADM formalism [45, 46, 49] the spacetime metric is written as follows:
ds2 = −N 2 dt2 + γij N i dt + dxi N j dt + dxj ,

(B1)
where the lapse N and the shift N i are non-dynamical quantities acting as Lagrange multipliers in the action, and are
therefore determined in terms of the dynamical quantities of the system. We use the scalar-vector-tensor decomposition
of the metric
γij = a2 eΓ ij , Γij = 2ζδij + ∂ij E + ∂(i Ej) + hij , N = 1 + α , Ni = ∂i β + βi ,

(B2)
12
where ∂ i Ei = ∂ i βi = ∂ i hij = hii = 0. We also decompose the inflaton field ϕ into a homogeneous background ϕ0 and
fluctuations:
ϕ(t, x) = ϕ0 (t) + δϕ(t, x) . (B3)
Doing an infinitesimal coordinate (gauge) transformation we can eliminate two scalar and two vector degrees of
freedom, leaving only one scalar and two tensor physical degrees of freedom. Although we are primarily interested
in scalar modes, for completeness we will also include tensor modes.14 One possible choice of gauge is: δϕ = E = 0,
which is known as the ζ-gauge. The variable ζ, defined via eq. (B2), eventually becomes constant for k ≪ H [45, 50],
which allows us to relate it to observable quantities in a simple way, see e.g. [51]. However, the one-loop calculation
of Pζ in the model we are interested in is simplified if we work in the δϕ-gauge, where ζ = E = 0. This is because in
the inflationary model we consider, the scalar interactions coming from the Ricci scalar R in the action
1 √
Z
S= −g d4 x MP2 R − g µν ∂µ ϕ∂ν ϕ − 2V (ϕ) , (B4)
2
are suppressed with respect to the interactions coming from the potential V (ϕ). The δϕ-gauge allows us to study
simultaneously cubic and quartic interactions, avoiding writing interactions in the form of boundary terms that may
become relevant in the loop calculation [43, 52].15
Let us see which are the most relevant interactions of the action (B4) in the δϕ-gauge under the assumption that
ϵ ≡ −Ḣ/H 2 ≪ 1 and η ≡ ϵ̇/(Hϵ) ∼ 1 at most. We write the components of the metric and its inverse as
−N 2 + N k Nk Ni −1/N 2 N i /N 2

µν
gµν = , g = . (B5)
Nj γij N j /N 2 γ ij − N i N j /N 2
The Ricci scalar decomposes according to
1 1
R = R(3) − (K 2 − K ij Kij ) + boundary term , Kij = (γ̇ij − ∇i Nj − ∇j Ni ) , K = K ii . (B6)
N2 2
We use that the spatial indices (which we have been denoting with Latin letters) are risen and lowered with γij , so
that N i = γ ij Nj , where γ ij is the inverse of γij . In our notation, R(3) is the Ricci scalar for
√γij , ∇i is the covariant
√
derivative associated to γij and N −1 Kij is the extrinsic curvature. In addition, we now have −g = N γ. Therefore,
the action (B4) is rewritten as
2
√ MP 1 1 1 ij
Z
4 (3) 2 ij i 2

S = d xN γ R − 2 K − K Kij + (ϕ̇ − N ∂i ϕ) − γ ∂i ϕ∂j ϕ − V (ϕ) , (B7)
2 N 2N 2 2
where we have eliminated the boundary terms so that the variational principle is well defined [53–55]. This action is
valid at any order in perturbation theory. As anticipated, the lapse N and the shift Ni have no time derivatives, so
these fields behave as Lagrange multipliers. Varying the action with respect to them, we obtain that
K ik

2 K 1
MP ∂j − γjk ∇i + (ϕ̇ − N i ∂i ϕ)∂j ϕ = 0 , (B8)
N N N
MP2

1 1 1
R(3) + 2 K 2 − K ij Kij (ϕ̇ − N i ∂i ϕ)2 − γ ij ∂i ϕ∂j ϕ − V (ϕ) = 0 .

− (B9)
2 N 2N 2 2
where
K ik K ik K ik j K ij k
∇i ≡ ∂i + Γij + Γ . (B10)
N N N N ij
By solving these algebraic equations, we can reintroduce N and Ni into the action, eliminating the Lagrange multi-
pliers. We are interested in the action in the δϕ-gauge up to order four in powers of δϕ and hij . In order to get there,
we start by studying next the properties of the potential, the lapse and the shift.
14 By including the tensor modes, we can obtain the action describing the gravitational waves induced at second order by scalar fluctuations.
15 In ref. [52], the role of the boundary terms in the tree-level calculation of the bispectrum of ζ is analyzed, concluding that there is
only one relevant boundary term and that it is cancelled by the field redefinition introduced by Maldacena in [45]. However, in the
calculation of other observable quantities, and specifically at loop level, there is a larger set of relevant boundary terms that needs to
be included in the calculations. This difficulty is circumvented using the δϕ-gauge.
13
1. Expansion of the potential
The interaction terms coming from the potential are obtained by making the expansion
∞
X δϕn ∂ n V (ϕ0 ) 1 dVn−1 (ϕ0 )
V (ϕ) = V (ϕ0 + δϕ) = Vn (ϕ0 ) where Vn (ϕ0 ) = = . (B11)
n=0
n! ∂ϕ0 n
ϕ˙0 dt
2
Using that ϕ˙0 = 2H 2 MP2 ϵ and V0 = H 2 MP2 (3 − ϵ) and defining ϵ = −Ḣ/H 2 , η = ϵ̇/(Hϵ) = ϵ2 and, in general,
ϵn = ϵ̇n−1 /(Hϵn−1 ) for n ≥ 2, the derivatives of the potential are
√
H 2 MP ϵ
V1 = √ (−6 + 2ϵ − η) , (B12)
2

1 2 2
2 2 9
V2 = − H 8ϵ − 2ϵ(12 + 5η) + η(6 + η + 2ϵ3 ) ≃ −H ν − , (B13)
4 4
H2 H
8ϵ3 − 6ϵ2 (4 + 3η) + ϵη(18 + 6η + 7ϵ3 ) − ηϵ3 (3 + ϵ4 + η + ϵ3 ) ≃ − √ (ν˙2 ) ,

V3 = √ √ (B14)
2 2 ϵMP 2ϵMP
H2
32ϵ4 − 16ϵ3 (6 + 7η) + 2ϵ2 η(72 + 39η + 32ϵ3 ) − ϵη 6η 2 + η(18 + 35ϵ3 ) + 6ϵ3 (8 + 3ϵ4 + 3ϵ3 )

V4 = − 2
8ϵMP

1 ¨2 ) − Hη (ν˙2 ) ,
+ηϵ3 −η 2 + η(−3 + ϵ4 + 3ϵ3 ) + 2ϵ4 (3 + ϵ4 + ϵ5 ) + 6ϵ3 (1 + ϵ4 ) + 2ϵ23 ≃ −

(ν (B15)
2ϵMP2 2
where
η2 η′

9 1
ν2 ≡ + 3η + + ∈ R, (B16)
4 2 2 aH
and we recall that primes denote derivatives with respect to conformal time and dots to cosmic time. In the approxi-
mations leading to the above expressions, we have applied that ϵ ≪ 1 and ϵn ∼ 1 for n ≥ 2. By changing to conformal
time we recover the expressions given in eq. (2). We note that Vn ∼ ϵ1−n/2 for n ≥ 1. This implies that in the limit
ϵ ≪ 1 the interactions coming from the potential dominate over those coming from the purely gravitational part of
the action, since these are not accompanied by this enhancement, as we shall see below.
2. Expansions of N and Ni
Since we want to calculate the action up to fourth order, we must obtain the fluctuations of N and Ni up to second
order. This is because when calculating the action at order n, the fluctuations at order n and n − 1 of both the lapse
and the shift cancel out [46]. We define
N = 1 + α = 1 + α1 + α2 + . . . , Ni = ∂i β + βi = ∂i β1 + ∂i β2 + β1,i + β2,i + . . . , (B17)
where the subscript n (e.g. in αn ) refers to the perturbative order. In this way, we seek to obtain α, β and βi , for
which we only have to use the eqs. (B8) and (B9) and expand them perturbatively. Starting with the first order, we
obtain
r √
ϵ δϕ 1 2 ϵ
˙ ,
α1 = , ∂ β 1 = √ Hηδϕ − 2δϕ β1,i = 0. (B18)
2 MP a2 2 2MP
14
√
We stress that α1 and β1 are order ϵ. We now study the lapse and the shift at second order,
2HMP2 2 2 − ϵ ˙ 2 Hϵη ˙
0 = 2H 2 MP2 (ϵ − 3)α2 − 2
∂ β2 − δϕ − δϕδϕ
a 4 4
1 √ H2

9
+ 2 2 2ϵHMP ∂ i β1 − ∂ i δϕ ∂i δϕ + −8ϵ2 + ϵ 24 − 4η + η 2 + 8 ν 2 − δϕ2

2a 16 4
M2 M2

1 1
− P ḣij ḣij + 2 ∂ k hij ∂k hij + P2 4Hhij + ḣij − 2 ∂ ij β1 ∂ij β1 , (B19)
8 a 2a a
√
M2 M2 M2 ϵMP
0 = P2 ∂ 2 β2,j − 2HMP2 ∂j α2 + P ḣik (∂j hik − ∂k hij ) + hik ∂k ḣij − P2 ∂ 2 hij ∂ i β1 + √ ḣij ∂ i δϕ
2a 4 2a 2 2
√
ϵMP i 1
˙ ∂j δϕ .
− √ ∂ δϕ∂ij β1 + Hϵ (4 + η) δϕ − 2 (ϵ − 2) δϕ (B20)
2a2 4
Even though the expressions for the lapse and the shift fluctuations at second order are cumbersome, since our
√ goal is to
obtain the action in the limit ϵ ≪ 1 and η ∼ O(1) (at most), it is enough to note that α2 ∼ β2 ∼ β2,i ∼ δϕ2 + ϵ h φ+h2 .
3. Quadratic, cubic and quartic actions for fluctuations
To obtain the quadratic, cubic and quartic actions, we have to introduce the elements studied above in the action
(B7) and make a perturbative expansion in powers of the fields. In addition, we will systematically apply integration
by parts with spatial derivatives, but not with time derivatives, due to known subtleties regarding boundary terms
[52] (which affect the n-point correlation functions). The quadratic action is then
2 3
a3 ˙ 2

MP a 1 k ij 1 i 2
Z
4 ij 3
2 2
S2 = d x ḣ ḣij − 2 ∂ h ∂k hij + δϕ − 2 ∂ δϕ∂i δϕ + 3 ∂t Ha ϵ δϕ − V2 δϕ
8 a 2 a a

1
− ∂t Ha3 ϵδϕ2

(B21)
2
MP2 a3 a3 ˙ 2

1 1
Z
≃ d4 x ḣij ḣij − 2 ∂ k hij ∂k hij + δϕ − 2 ∂ i δϕ∂i δϕ − V2 δϕ2 . (B22)
8 a 2 a
In the second line we have taken the limit ϵ ≪ 1 to keep only the terms we are interested in. As we have commented
above, the self-interactions of δϕ coming from the purely gravitational part of the action are suppressed with respect
to those coming from the potential. Therefore, at this level, the action for the scalar field is simply the action of a
free scalar field in a FLRW universe.
The complete cubic action (without any approximations) is
( √
MP2 a ij MP a3 ϵ

1
Z
4
S3 = d x h 4hkl ∂lj hik − 3hkl ∂kl hij + 2∂k hjl ∂ l hik − √ δϕ ḣij ḣij + 2 ∂ k hij ∂k hij
24 8 2 a
√
1 MP a ϵ ij M2 a
− MP2 aḣjk ∂i hjk ∂ i β1 + √ ḣ δϕ∂ij β1 + P ∂i hjk ∂ i β1 ∂ jk β1 + hij ∂i δϕ∂j δϕ
4 2 2 2a 2
2 3 3/2 2

3
√ 3
H a ϵ 24 − 8ϵ + 4η + η a ϵV2 3 a Ha ϵ3/2 (η − 2) 2 ˙
3
+ √ δϕ3 − √ δϕ − V3 δϕ3 − √ δϕ δϕ
16 2MP 2 2MP 6 4 2MP
√ √ √ )
a3 ϵ(ϵ − 2) 2
˙ − aδϕ∂ i M P ϵ
˙ i δϕ∂ β1 − √ δϕ∂ij β1 ∂ β1 − √
ij a ϵ i
+ √ δϕδϕ δϕ∂i δϕ∂ δϕ . (B23)
4 2MP 2 2a 2 2MP
√
Considering that β1 ∼ ϵ δϕ and taking the limit ϵ ≪ 1, we obtain
2 √
MP a3 ϵ

MP a ij 1 k ij
Z
4 kl kl l k ij
S3 ≃ d x h 4h ∂lj hik − 3h ∂kl hij + 2∂k hjl ∂ hi − √ ḣ ḣij + 2 ∂ h ∂k hij δϕ
24 8 2 a
3

1 a a
− MP2 aḣjk ∂i hjk ∂ i β1 + hij ∂i δϕ∂j δϕ − V3 δϕ3 . (B24)
4 2 6
Again, since V3 ∼ ϵ−1/2 , the term ∼ V3 δϕ3 dominates over any other self-interaction of the scalar field.
15
We now turn to study the quartic action. Due to the large number of terms that appear at this order, we will keep
only those that are of our interest. For the calculation of the scalar power spectrum, we need the terms that scale
as ∼ δϕ4 . We will also keep the terms ∼ h2 δϕ2 , which contribute to the tensor power spectrum induced by scalar
modes. We obtain:
(
a a3 V4 4
Z
δϕ4 h2 δϕ2
S4 + S4 ≃ d x − hik hjk ∂ i δϕ∂ j δϕ −
4
δϕ
4 24
2
2HMP2 2

3 MP ij 1 k ij 1 ˙ 2 1 i 2 2 2
− a α2 ḣ ḣij + 2 ∂ h ∂k hij + δϕ + 2 ∂ δϕ∂i δϕ + V2 δϕ + 3H MP α2 + ∂ β2
8 a 2 a a2
2 )
2 2

MP jk i ˙ i δϕ (∂i β2 + β2,i ) + MP a hk[i ḣj] ∂i β2,j − MP β2,i ∂ 2 β i .
−a ḣ ∂ hjk + δϕ∂ k 2 (B25)
4 2 4a
The second and third lines are simplified using the equations of motion of α2 , β2 and β2,i at lower order in ϵ,
2HMP2 2 MP2

2 1 k ij 1 ˙ 2 1 i
0 = 6H MP2 α2 + ∂ β2 + ij
ḣ ḣij + 2 ∂ h ∂k hij + δϕ + 2 ∂ δϕ∂i δϕ + V2 δϕ2
, (B26)
a2 8 a 2 a
MP2 2 M2
˙ j δϕ ,
0= ∂ β2,j − 2HMP2 ∂j α2 + P ḣik (∂j hik − ∂k hij ) + hik ∂k ḣij + δϕ∂ (B27)
2a2 4
obtaining
( )
a a3 V4 4
Z
4 2 2
S4δϕ + S4h δϕ ≃ 4
d x − hik hjk ∂ i δϕ∂ j δϕ − δϕ + 3a3 H 2 MP2 α22
4 24
( )
a a3 V4 4 3a3 −2 i jk
Z
≃ 4
d x − hik hjk ∂ i δϕ∂ j δϕ − δϕ + ˙ l δϕ
∂ ∂ ḣ ∂i hjk ∂ −2 ∂ l δϕ∂ . (B28)
4 24 8
We conclude that the set of important self-interactions of δϕ up to fourth order are those coming from the potential.
This conclusion can be generalized to any perturbative order. The reason is that the interactions coming from the
potential at order n depend on Vn , while the interactions coming from the metric depend on N(n−2) and N(n−2),i at
most, and therefore on V(n−2) . As we have seen above V(n−2) /Vn ∼ ϵ. It is important to stress that this only takes
into account that ϵ ≪ 1, assuming that the rest of SR parameters are ∼ 1 –at least in some phase of inflation that we
are interested in–. Hence, this result does not apply to standard SR but does apply to USR.
Appendix C: Classical dynamics of super-Hubble modes
We study now the classical dynamics of the fields δϕ and hij . First, let us define a variable with respect to which
all calculations will be much simpler,
δϕ
φ ≡ −H . (C1)
ϕ̇0
We work in the super-Hubble limit, i.e. k ≪ aH (and not in the ϵ ≪ 1 limit, which we will not use again), in which
we neglect gradients. We are also interested in taking a late time limit, which is formally the limit a → ∞. Moreover,
we will assume that 1/(a3 ϵ) → 0. Under these simplifications, and working with the variable φ, the quadratic action
simplifies to
( )
MP2 a3 ij η 2
Z
4 2 3 2 2 3
S2 = d x ḣ ḣij + MP a ϵφ̇ + ∂t HMP a ϵ −ϵ + φ . (C2)
8 2
The equations of motion are

∂t a3 ḣij = O(2) , ∂t a3 ϵφ̇ = O(2),

(C3)
16
where we write O(2) because we have not included the effects of the cubic action. That is, these equations of motion
have corrections that are quadratic in the fields. Neglecting them, for k ≪ aH and at late times, both φ and hij are
constant, i.e. φ̇ = O(2) and ḣij = O(2).
We will now consider what those quadratic corrections are, for which we have to study the cubic action under the
same approximations. When neglecting gradients, special care must be taken with terms of the form ∼ ∂ 2 β1 , since
β1 is defined with the inverse of the Laplacian, see eq. (B18). Terms with two time derivatives contribute to the
equations of motion as a third order correction, so we can neglect them.16 With these considerations, the cubic action
simplifies to
2 3

4 HMP a ϵ
Z
2ϵ3 − 3ϵ2 (2 + 3η) + ϵ η (9 + 6η + 4ϵ3 ) − η ϵ3 (3 + η + ϵ4 + ϵ3 ) H φ3

S3 = d x
6

2
−3ϵ (2ϵ − 3η) φ φ̇ . (C4)
Taking into account simultaneously S2 and S3 , the updated equations of motion are
η
∂t a3 ḣij = O(3), ∂t a3 ϵ∂t φ + φ2 = O(3) , (C5)
4
where we have used the fact that φ2 enters and leaves the time derivative as if it were a constant, since the corrections
left by this operation are of cubic order. Now, neglecting gradients and at late times we have that
∂t φ + η φ2 /4 = O(3) and ḣij = O(3) .

(C6)
As we will see in Appendix D , the variable ζ of Maldacena is ζ = φ + η/4φ2 at second order in fluctuations. That
is, obtaining that φ + η φ2 /4 is constant for super-Hubble modes is consistent with the result that ζ̇ = 0 at all orders
in the limit k ≪ aH [45, 50].
Finally, we analyze the lapse and the shift in this limit in terms of φ. At first order,
1 2
α1 = −ϵφ , ∂ β1 = ϵφ̇ , β1,i = 0 . (C7)
a2
By using the equation of motion of φ, we obtain that ∂ 2 β1 /a2 = −H ϵ η ϵ3 φ2 /4 = O(2). At second order, neglecting
gradients and, again, using the equations of motion of φ and h (i.e. imposing that φ̇ ∼ ḣ ∼ O(2)), we obtain that
ϵ(2ϵ + η) 2 1 2 H ϵ η ϵ3 2
α2 = φ , ∂ β2 = φ , β2,i = 0 . (C8)
4 a2 4
Appendix D: Change of gauge
Starting from the decomposition of the metric and the scalar field of the eqs. (B2) and (B3), we can choose the
coordinate system so that we are in the ζ-gauge (δϕ = E = Ei = 0) or the δϕ-gauge (ζ = E = Ei = 0). The question
we are going to solve is what is the relation between the variables in one gauge and the other at third order, see also
e.g. [45, 56, 57]. In particular, starting from the δϕ-gauge, we are going to make a coordinate transformation that
leads to the ζ-gauge. At the end of this appendix we will explain why we must go up to third order to be consistent
with the calculation we do of the power spectrum of ζ.
In what follows we use a tilde to distinguish among the two gauges. Concretely, the transformation we are looking
for is such that
˜ = 0,
δϕ → δϕ ζ = 0 → ζ̃ , E = 0 → Ẽ = 0 , Ei = 0 → Ẽi = 0 , hij → h̃ij . (D1)
Both the lapse and the shift will also transform under the change of gauge, but they will still be algebraic variables
and therefore we do not need to worry about their transformation
P properties. The fields in the new gauge will be
a series expansion of the fields in the old gauge, e.g. ζ̃ ≡ n ζ̃n , where the subscript n indicates the order of the
expansion. The coordinate change that sends one gauge to the other is
X µ
xµ → x̃µ = xµ − ξ µ (x) , where ξ µ (x) ≡ ξ 0 (x), ξ i (x) = ∂ i ξ(x) + ξ i (x) = ξn . (D2)
n
16 For instance, for L ⊃ f (t)φφ̇2 , we obtain ∼ ∂t (f (t)φφ̇) + O(4) ∼ O(3).

17
We also need the inverse transformation x̃µ → xµ = x̃µ + ξ˜µ (x̃), where ξ˜µ (x̃) is related to ξ µ (x) by the expression
1
ξ˜µ (x̃) = ξ µ (x) = ξ µ (x̃ + ξ(x̃))
˜ = ξ µ (x̃) + (ξ ρ (x̃) + ξ σ (x̃)∂σ ξ ρ (x̃)) ∂ρ ξ µ (x̃) + ξ ρ (x̃)ξ σ (x̃)∂ρσ ξ µ (x̃) + O(4) . (D3)
2
1. Scalar field transformation
Being the inflaton field ϕ a scalar, it transforms as ϕ(x) → ϕ̃(x̃) = ϕ(x), which implies that ϕ̃0 (t̃) = ϕ0 (t) + δϕ(x).
From here, we obtain
˙ 1 0 2 ¨ 1 0 3 ...
δϕ(x) = ϕ̃0 (t) − ϕ0 (t) − ξ 0 (x)ϕ̃0 (t) + ξ (x) ϕ̃0 (t) − ξ (x) ϕ̃ 0 (t) . (D4)
2 3!
At zeroth order, ϕ0 (t) = ϕ̃0 (t). To study higher orders, we have to expand ξ 0 (x) = n ξn0 (x) in the expression above:
P
1 0 3 ...

1 0 2
δϕ = −ξ10 ϕ̇0 + −ξ20 ϕ̇0 + ξ1 ϕ̈0 + −ξ30 ϕ̇0 + ξ10 ξ20 ϕ̈0 − ξ1 ϕ 0 (D5)
2 3!
so that, up to order three we obtain
0
3  !2 ... 
δϕ(x) φ(x) 1 0 2 ϕ̈0 ξ (x) ϕ̈ 0 1 ϕ0
ξ10 (x) = − = , ξ20 (x) = ξ (x) , ξ30 (x) = 1 − , (D6)
2 1

ϕ̇0 (t) H ϕ̇0 2 ϕ̇0 3 ϕ̇0
where the variable φ was defined in (C1) and, in terms of slow-roll parameters:
...
√ η2

ϕ̈0 η ϕ0 5 η̇
ϕ̇0 = HMP 2ϵ , = H −ϵ + , = H 2 2ϵ2 + − ϵη + . (D7)
ϕ̇0 2 ϕ̇0 4 2 2H
We note that the scalar field transformation only constrains ξ 0 but leaves ξ i completely free, which allows us to impose
the rest of the conditions of the gauge transformation.
2. Metric transformation
The metric transforms as

∂xρ ∂xσ
gµν (x) → g̃µν (x̃) = µ ν
gρσ (x) = δµρ + ∂µ ξ˜ρ (x̃) δνσ + ∂ν ξ˜σ (x̃) gρσ (x̃ + ξ(x̃))
˜ , (D8)
∂ x̃ ∂ x̃
where ∂µ ξ˜ρ (x̃) = ∂ ξ˜ρ (x̃)/∂ x̃µ and gρσ (x̃ + ξ(x̃))
˜ P 1 ˜δ1
= n n! ξ (x̃) . . . ξ˜δn (x̃)∂δ1 ...δn gρσ (x̃) . Since we have written all the
fields at the same point x̃, for simplicity we will no longer write the spatial dependence. By expanding eq. (D8), we
will be able to impose the rest of the conditions of our gauge transformation, obtaining ξ˜i , ζ̃ .and h̃ij .
Let us consider an object Mij = Mji with two spatial indices, which we can decompose as follows:
Mij = δij A + 2∂ij B + 2∂(i Cj) + Dij , (D9)
where ∂ i Ci = 0 and δ ij Dij = ∂ i Dij = 0. To extract each of these variables from Mij , we define ad-hoc projectors
1 kl
P̂ kl Mkl ≡ δ − ∂ −2 ∂ kl Mkl = A ,

(D10)
2
1 −2
Q̂kl Mkl 3∂ −2 ∂ kl − δ kl Mkl = B ,

≡ ∂ (D11)
4
Ŵikl Mkl ≡ ∂ −2 δi l ∂ k − ∂ −2 ∂i kl Mkl = Ci ,

(D12)

1 1 −2 −2
F̂ijkl Mkl k l
≡ δi δj − δij δ + ∂ kl kl l k kl
δij ∂ − 4δ(i ∂ j) + ∂ij δ + ∂ ∂ij kl
Mkl = Dij . (D13)
2 2
18
These projectors will allow us to analyze the gauge transformations of the fields. Before expanding eq. (D8) in
fluctuations, let us write down the metric fluctuations we will need, in both gauges. Starting from gij = γij , we have
1 2 k 1 2 k l
g0,ij = a2 δij , g1,ij = a2 hij , g2,ij = a hi hkj , g3,ij = a hi hk hlj , (D14)
2 6
where, again, the subscript n denotes the perturbative order of gn,ij and we use a comma just to separate it from the
spacetime indices. The expressions of g̃ij are:
g̃0,ij = a2 δij , (D15)

g̃1,ij = a2 2ζ̃1 δij + h̃1,ij , (D16)

1
g̃2,ij = a2 2 ζ̃2 + ζ̃12 δij + 2ζ̃1 h̃1,ij + h̃2,ij + h̃1,ik h̃1,kj , (D17)
2

2
g̃3,ij = a2 2 ζ̃3 + 2ζ̃2 ζ̃1 + ζ̃13 δij + 2h̃2,ij + h̃1,ik h̃1,kj ζ̃1
3

1
+ 2 ζ̃2 + ζ̃12 h̃1,ij + h̃3,ij + h̃2,(i k h̃1,k j) + h̃1,ik h̃1,kl h̃1,lj . (D18)
6
We stress that it is here that we have made use of the gauge freedom we had left (ξi ) to impose that Ẽ = Ẽi = 0. In
addition, we will also need to know g00 = −N 2 + γ ij Ni Nj and g0i = Ni ,
g0,00 = −1 , g1,00 = −2α1 , (D19)

g0,0i = 0 , g1,0i = ∂i β1 , g2,0i = ∂i β2 + β2,i , (D20)
where α and β are introduced in eq. (B17). Now we can expand eq. (D8), so that at zeroth order g̃0,µν = g0,µν . At
first order,
g̃1,µν = g1,µν + ξ1δ ∂δ g0,µν + 2∂(µ ξ1ρ g0, ν)ρ . (D21)
Since we are only interested in obtaining ζ̃ and h̃, we can focus on the component ij,
g̃1,ij = g1,ij + 2a2 φδij + 2a2 ∂(i ξ1,j) . (D22)
To obtain ξ i , ζ̃ and h̃ij , we use the projectors introduced in eqs. (D10)–(D13),
ζ̃1 = φ , h̃1,ij = hij , ξ1i = 0 . (D23)
At second order,

η 2 φφ̇
g̃2,ij = g2,ij + 2a2 1+ φ + δij + 2a2 ∂(i ξ2,j) + 2a2 φhij − χ2,ij , (D24)
4 H
a2
χ2,ij ≡ ∂i ξ10 ∂j ξ10 − 2∂(i β1 ∂ j) ξ10 − φḣij . (D25)
H
Projecting, we obtain
η 2 φφ̇ 1 1 kl 1 kl 1 kl
ζ̃2 = φ + − 2 P̂ kl χ2,kl , h̃2,ij = − F̂ χ2,kl , ξ2 = Q̂ χ2,kl and ξ2,i = Ŵ χ2,kl . (D26)
4 H 2a a2 ij a2 a2 i
At third order, the number of terms involved in the gauge transformation becomes very large. Therefore, we use the
super-Hubble limit, where φ̇ = ḣ = O(2) and gradients are neglected. Then, the transformation at third order is
η2

2 2 η ηϵ3 η 2
g̃3,ij = g3,ij + 2a + + + φ3 δij + 2a2 1 + φ hij + a2 φhik hkj + 2a2 ∂(i ξ3,j) − χ3,ij , (D27)
3 2 12 6 4
where χ3,ij = −2∂(i β2 ∂j) ξ10 , which is the only non-zero term for k ≪ aH, because β2 depends on the inverse of the
Laplacian (eq. (C8)). Again, we project to obtain that
η 2 + 2ηϵ3 3 1 1 kl 1 kl 1 kl
ζ̃3 = φ − 2 P̂ kl χ3,kl , h̃3,ij = − F̂ χ3,kl , ξ3 = Q̂ χ3,kl and ξ3,i = Ŵ χ3,kl . (D28)
12 2a a2 ij a2 a2 i
19
Although it seems that χ2,ij and χ3,ij have an effect on the gauge transformation, their contribution vanishes for
super-Hubble modes, as we will demonstrate. Let us consider ζ̃,
η φφ̇ η 2 + 2ηϵ3 3 1
ζ̃ = ζ̃1 + ζ̃2 + ζ̃3 = φ + φ2 + + φ − 2 P̂ kl (χ2,kl + χ3,kl ) . (D29)
4 H 12 2a
Because we are working at third order, and because φφ̇ = O(3), we cannot neglect this term. In the above expression,
we get the combination
a2
χ2,kl + χ3,kl = −2∂(i ξ10 ∂j) (β1 + β2 ) − φḣij . (D30)
H
Since ḣij = O(3), we can neglect the term ∼ φ ḣij . On the other hand,

Hηϵ3 2 η
β1 + β2 = a2 ϵ∂ −2 φ̇ + φ = a2 ϵ∂ −2 ∂t φ + φ2 + O(3) = O(3) , (D31)
4 4
where we have used eq. (C6). We conclude that χ2 + χ3 = O(4) and therefore we can neglect its effect at third order,
η η 2 − η ϵ3 3
ζ̃ = φ + φ2 + φ . (D32)
4 12
The same applies to h̃ij and ξi , so that finally
h̃ij = h̃1.ij + h̃2,ij + h̃3,ij = hij , (D33)

ξi = ξ1,i + ξ2,i + ξ3,i = 0 . (D34)
An important conclusion is that at third order hij is invariant under a change of gauge from the ζ-gauge to the
δϕ-gauge. Although we do not prove it, this result suggests it can be generalized at higher orders in perturbation
theory.
Let us assume that eq. (D34) can be extended to all orders in perturbation theory. We stress that this is not a
given. As we have just seen eq. (D34) holds thanks to a subtle cancellation involving the inverse of the Laplacian, see
eqs. (D30) and (D31). Therefore in the transformation of the metric (D8) we are going to neglect ∂i ξ˜ρ :
X 1 X 1 n ∂ n
˜
g̃ij (x̃) = gij (x̃ + ξ(x̃)) = ξ˜δ1 (x̃) . . . ξ˜δn (x̃)∂δ1 ...δn gij (x̃) ≃ ξ˜0 (x̃) g (x̃) = gij (t̃ + ξ˜0 (x̃), x̃) , (D35)
n! n! ∂tn ij
n n
where we have also neglected the gradients of the metric, ∂k gij . Then, from γ̃ij (x̃) = γij (t̃ + ξ˜0 (x̃), x̃) we get

2 log a(t̃) + ζ̃(x̃) δij + h̃ij (x̃) = 2 log a(t̃ + ξ˜0 (x̃))δij + hij (t̃ + ξ˜0 (x̃), x̃) . (D36)
Taking into account that hij is constant for k ≪ H (hij (t̃ + ξ˜0 (x̃), x̃) ≃ hij (t̃, x̃)), we have finally that17
a(t)
ζ̃(x̃) = log , h̃ij (x̃) = hij (x̃) . (D37)
a(t̃)
We stress that the decomposition (B2) has been instrumental in the derivation of this result. A different decomposition
would mix hij with lower helicity variables.
3. Two-point correlation function of ζ
At late times, the relation between the variables ζ and δϕ in their respective gauges is
2 3 4
η 2 − ηϵ3

δϕ η δϕ δϕ δϕ
ζ = −√ + √ − √ +O . (D38)
2ϵMP 4 2ϵMP 12 2ϵMP MP
17 See e.g. [58] for the connection with the δN -formalism for large scale modes of ζ.
20
1
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V3 ⇠ V3 ⇠
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MP2 P
x
1 y
V3 ⇠
MP 1
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1
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1 V4 ⇠
h 3
i⇠
⇥
MP2
MP3 MP3
} }
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1
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1
<latexit sha1_base64="wqCwv75aV3k03xbrLda1kOVl7FU=">AAAB+nicbVBNS8NAEJ3Ur1q/Uj16WSyCp5KIVI9FL16ECvYD2hg22027dLMJuxulxP4ULx4U8eov8ea/cdvmoK0PBh7vzTAzL0g4U9pxvq3Cyura+kZxs7S1vbO7Z5f3WypOJaFNEvNYdgKsKGeCNjXTnHYSSXEUcNoORldTv/1ApWKxuNPjhHoRHggWMoK1kXy73AslJpk7yW78xv3ZBCHfrjhVZwa0TNycVCBHw7e/ev2YpBEVmnCsVNd1Eu1lWGpGOJ2UeqmiCSYjPKBdQwWOqPKy2ekTdGyUPgpjaUpoNFN/T2Q4UmocBaYzwnqoFr2p+J/XTXV44WVMJKmmgswXhSlHOkbTHFCfSUo0HxuCiWTmVkSG2GShTVolE4K7+PIyaZ1W3Vq1dntWqV/mcRThEI7gBFw4hzpcQwOaQOARnuEV3qwn68V6tz7mrQUrnzmAP7A+fwAh6JNH</latexit>
4
h i⇠
⇥
+
<latexit sha1_base64="7CDz+hFii/hnzm/SPcG6JVj1JjA=">AAAB6HicbVDLSgNBEOyNrxhfUY9eBoMgCGFXJHoMevGYgHlAsoTZSW8yZnZ2mZkVQsgXePGgiFc/yZt/4yTZgyYWNBRV3XR3BYng2rjut5NbW9/Y3MpvF3Z29/YPiodHTR2nimGDxSJW7YBqFFxiw3AjsJ0opFEgsBWM7mZ+6wmV5rF8MOME/YgOJA85o8ZK9YteseSW3TnIKvEyUoIMtV7xq9uPWRqhNExQrTuemxh/QpXhTOC00E01JpSN6AA7lkoaofYn80On5MwqfRLGypY0ZK7+npjQSOtxFNjOiJqhXvZm4n9eJzXhjT/hMkkNSrZYFKaCmJjMviZ9rpAZMbaEMsXtrYQNqaLM2GwKNgRv+eVV0rwse5VypX5Vqt5mceThBE7hHDy4hircQw0awADhGV7hzXl0Xpx352PRmnOymWP4A+fzB3UXjLo=</latexit>
MP4 MP4
FIG. 6. Complete set of diagrams that affect the calculation at one-loop of ζ 2 in terms of correlations of δϕ. Bubble diagrams
and terms proportional to tadpoles have been omitted.
This relation is exact in the sense that it does not make any SR approximation. We compute Pζ at one-loop using
correlations of δϕ. Knowing the expression above, we can explain why it is necessary to make the expansion up to
third order. The two-point correlation of ζ is, schematically,
5
2 1 2 1 3 1 4 H
ζ ∼ 2 δϕ + 3 δϕ + 4 δϕ + O , (D39)
MP MP MP MP
where we introduce H as it is the only energy scale of inflation. Assuming the set of interactions we work with
in this paper, the contributions to the two-point correlation of ζ at order (H/MP )4 are shown in Figure 6. Since
V3 ∼ H(H/MP ) and V4 ∼ (H/MP )2 , the one-loop diagrams that contribute to ⟨δϕ2 ⟩ are of the same order in (H/MP )
as the contribution to ⟨ζ 2 ⟩ coming from ⟨δϕ3 ⟩ and ⟨δϕ4 ⟩.
In the model we consider, η = 0 at late times and therefore only the first term of the expansion (D38) survives.
However, we stress that (D38) is valid for any inflationary model as long as at late times φ̇ ∝ 1/(a3 ϵ) → 0.
Appendix E: Tadpoles
In this appendix we discuss why we do not need to include tadpoles in our calculations. Since we work with a
theory with cubic interactions, we inevitably get a non-zero one-loop contribution to the correlator ⟨δϕ(x)⟩, as shown
in Figure 7. In principle, this type of interaction implies the need of considering contributions to the power spectrum
beyond those studied in the main body of this work. However, by using counterterms we can avoid having to include
these effects, imposing that ⟨δϕ(x)⟩ = 0.
The interaction Hamiltonian we are going to use is
3

4 V3 δϕ
Z
3
HI (τ ) = d x a + δtp δϕ . (E1)
3!
The coupling of the counterterm, δtp , will be responsible for the renormalization of the tadpole. Since this counterterm
comes from renormalizing the potential (in particular, from making V1 → V1 + δV1 ), δtp will have an arbitrary time
dependence, as well as δV ≡ δV2 . The reason why we do not include the quartic interaction here is that it contributes
to the next order in loops. Using eq. (5), we see that if we impose
Z τ ′ 3 ′
′ V3 (τ− )δϕ (x− )
Z
⟨δϕ(x)⟩ = 2 Im dτ ′ ⟨0| δϕ(x) d3 x′ a4 (τ− ) + δtp (τ−′
)δϕ(x′− ) |0⟩
−∞ 3!
Z τ
d3 p
Z
′ ∗ ′ 4 ′ ′ ′ 2 ′
= dτ Im δϕ0 (τ )δϕ0 (τ− ) a (τ− )V3 (τ− ) δϕp (τ− ) + 2δtp (τ− ) = 0, ∀τ , (E2)
−∞ (2π)3
in order for this equation to be satisfied, we need the counterterm to be
d3 p
Z
4 2
2δtp (τ ) = −a (τ )V3 (τ ) |δϕp (τ )| . (E3)
(2π)3
Considering this functional form of δtp , it is easy to see that the tadpole contributions to the two-point correlation
(diagrams in Figure 7) through the eq. (5) vanish.
21
h h +···
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(x)i = + (x) (y)i = +

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x
x
y
FIG. 7. Diagrams that contribute to the tadpole ⟨δϕ(x)⟩ (left) or are proportional to it and contribute to two-point correlation
⟨δϕ(x)δϕ(y)⟩ (right).
Appendix F: Asymptotic limits
In this appendix we analyze in detail some aspects of the calculation of Pζ at one-loop. First, we consider the limit
k → 0, concluding that all the contributions to Pζ are scale invariant in this limit, but different from zero in general.
For completeness, we also discuss briefly the limit k → ∞. Finally, we study the parameter dependence of Pζ and use
this dependence to estimate its magnitude.
1. Limit k → 0
Looking at the equation of motion for δϕk ,

δϕ′′k + 2Haδϕ′k + (k 2 + a2 V2 )δϕk = 0 , (F1)
√
and the Bunch-Davies initial conditions δϕk (τ → −∞) → e−ikτ / 2ka2 , we note that δϕk admits a series expansion
around k = 0
∞
1 X n
δϕk (τ ) = 3/2 k δϕn (τ ) . (F2)
k n=0
Each term δϕn can be obtained by solving the equation of motion and imposing the initial (and boundary) conditions
order by order in k. In particular, the solution of the modes in the first SR phase is
iHe−ikτ
δϕk (τ < τ1 ) = √ (1 + ikτ ) . (F3)
2k 3
√
Then, it is straightforward to obtain the evolution of δϕn along inflation. Since δϕk / ϵ is constant in the limit k → 0,
s
ϵ(τ ) iH
δϕ0 (τ ) = √ , (F4)
ϵSR 2
where ϵSR ≡ ϵ(τ < τ1 ) is constant. We can now analyze the limit k → 0 of the loop integral l(k; i, j), which is IR
divergent. Starting from the general expression, eq. (15),
Z ∞ Z 1
k3
l(k; i, j) = ds dd (s2 − d2 )δϕk(s−d)/2 (τi )δϕ∗k(s−d)/2 (τj− )δϕk(s+d)/2 (τi )δϕ∗k(s+d)/2 (τj− ) , (F5)
16π 2 1+ΛIR /k 0
we observe that the IR divergence comes from the region s ∼ 1 and d ∼ s, given that
1
δϕ0 (τi ) + O k 2 (s − d)2 .

δϕk(s−d)/2 (τi ) = 3/2
(F6)
(k(s − d)/2)
The prescription τj− has an effect only on the UV, so we can omit it for the calculation of the IR divergence. Then,
the IR divergent part of l(k; i, j) is
Z 1
δϕ0 (τi )δϕ∗0 (τj ) s
Z
IR ∗ 2
l (k; i, j) = ds dd δϕ ks (τ i )δϕks (τ j ) + O(s − d)
π2 1+ΛIR /k 0 (s − d)2
∗
δϕ0 (τi )δϕ0 (τj ) 1
Z
= 2
ds (δϕks (τi )δϕ∗ks (τj ) + finite)
π 1+ΛIR /k s−1
log ΛIR /k
=− δϕ0 (τi )δϕ∗0 (τj )δϕk (τi )δϕ∗k (τj ) + finite . (F7)
π2
22
The IR divergence is ∼ log k/ΛIR , a standard result in this type of calculations. As already mentioned, it is not the
aim of our work to deal with IR divergences, so we eliminate them by hand, by redefining l(k; i, j) subtracting from
it its IR divergent part, lIR (k; i, j). With this redefinition there are no IR divergences (by construction), but neither
UV divergences due to the τj− prescription.
Now, we compute the limit k → 0,
Z ∞ Z 1
4 dd log ΛIR /k 2
lim l(k; i, j) = 2 3 δϕ20 (τi )δϕ∗20 (τj ) ds + δϕ0 (τi )δϕ∗2
0 (τj )
k→0 π k (s 2 − d2 )2 π 2 k3
1+ΛIR /k 0
log 2 − 1 2 ∗2 ϵ(τi )ϵ(τj )H 4
(log 2 − 1) + O 1/k 2 ,

= δϕ 0 (τi )δϕ 0 (τj ) = (F8)
π2 k3 4π 2 ϵ2SR k 3
which is real and its dependence on k is Re{l(k)} ∼ k −3 . The first imaginary contribution is Im{l(k)} ∼ k 0 . However,
calculating it is complicated because it receives a contribution from both the IR and the UV, so we cannot do an
expansion around k = 0 as we have done to calculate the dominant real part. Nevertheless, the imaginary contribution
plays an important role in the IR limit (k → 0) of the power spectrum at one-loop.
We are now in a position to analyze each of the contributions to the power spectrum in this limit. Starting with
the tree-level,
k3 2 k3 1 2 H2
Pζtl (τ, k) = + O k2 ,

|δϕk (τ )| → |δϕ0 (τ )| = (F9)
4π 2 MP2 ϵ(τ ) 4π 2 MP2 ϵ(τ ) k 3 8π 2 MP2 ϵSR
we recover the usual scale invariant spectrum. The contribution of the counterterms is
Z τ
k3

2 ′ 2 ∗2
Pζct (τ, k) = 2 δ ϕ |δϕ k (τ )| + 8 Im δϕ 2
k (τ ) dτ a (δ ϕ k 2
+ δ̃ V )δϕk
4π 2 MP2 ϵ(τ ) −∞ τ′
3
τ
2k
Z
→ 2 δϕ Pζtl (τ, k) + 2 2 Im δϕ2k (τ ) dτ ′ a2 δ̃V δϕ∗2k . (F10)
π MP ϵ(τ ) −∞ τ′
′ ∗ ′ ∗ ′
We have to analyze the term Im δϕ2k (τ )δϕ2∗

k (τ ) = 2 Im{δϕk (τ )δϕk (τ )} Re{δϕk (τ )δϕk (τ )}. Making an expansion
around k → 0, we get
1 H2
p Re{δϕk (τ )δϕ∗k (τ ′ )} → 3 + O(1/k) , (F11)
ϵ(τ )ϵ(τ ′ ) 2k ϵSR
3+η
1 1 − (a(τ ′ )/a(τ ))
Im{δϕk (τ )δϕ∗k (τ ′ )} → + O k2 ,

p 3 ′ ′
(F12)
ϵ(τ )ϵ(τ ′ ) 2(3 + η)a (τ )Hϵ(τ )
where we have made a set of simplifications, taking η as a constant and assuming that τ and τ ′ belong in the same
phase. We note that the imaginary part is ∼ k 0 , because it satisfies the boundary conditions Im{δϕk (τ )δϕ∗k (τ )} = 0
and Im{δϕ′k (τ )δϕ∗k (τ )} = −1/(2a2 (τ )). We also note that this imaginary part has two solutions: one constant and
one decaying (with the well-known exception occurring when η < −3). When the simplifications we have made are
no longer valid, the solution for the real part remains the same, but imaginary part is more complicated. However,
its dependence with the momentum k in the IR limit will still be Im{δϕk (τ )δϕ∗k (τ ′ )} → O k 0 . Keeping this in mind,
we observe that the leading contribution of the counterterms to the power spectrum is also scale invariant, analogous
to the tree-level one. Finally, we analyze the one-loop contribution:
4 4
k3 2H 2 X X a3 ∆ν 2 a3 ∆ν 2
Pζ1l (τ, k) = √ √ Im{δϕk (τ )δϕ∗k (τj )} Im{δϕk (τ )δϕ∗k (τi ) l(k; j, i)} . (F13)
As with the counterterms, we note that Im{δϕk (τ )δϕ∗k (τj )} Im{δϕk (τ )δϕ∗k (τi ) l(k; j, i)} → O 1/k 3 , indicating that

the one-loop contribution is scale invariant as well in this limit. Consequently, we deduce that all contributions to the
total power spectrum (tree-level, one-loop and counterterms) are scale invariant in the limit k → 0.
2. Limit k → ∞
For completeness, we will analyze the behavior in the UV limit k → ∞ of the one-loop contribution to the power
spectrum. In this limit, the modes are sub-Hubble, they do not feel the effects of the background and then they are
23
√
still in Bunch-Davies, δϕk→∞ (τ ) → e−ikτ / 2ka2 . Then, the loop integral is
√
log ΛIR /k ϵi ϵj H 2 e−ik(τi −τj )
Z ∞ Z 1
k −iks(τi −τj− )
lim l(k; i, j) = ds dd e +
k→∞ 16π 2 a2i a2j 1+ΛIR /k 0 π2 4 ϵSR k ai aj
ie−ik(τi −τj )
= + O(1/k) . (F14)
16π 2 a2i a2j (τj − τi )
Here we see the importance of the prescription τj− in the convergence of the integral. If it were missing, we would
obtain a result that oscillates in the UV. We also note that if we had not subtracted the IR divergence, it would
not play any role since it is suppressed by a factor ∼ O(1/k). Because in the UV limit l(k; i, j) ∼ k 0 , the one-loop
contribution to the power spectrum in this limit is
4 4
k3 2H 2 X X a3 ∆ν 2 a3 ∆ν 2
Pζ1l (τ, k) = √ √ Im{δϕk (τ )δϕ∗k (τj )} Im{δϕk (τ )δϕ∗k (τi ) l(k; j, i)}
1
∼ k 2 δϕ2k (τ ) ∼ Pζtl (τ, k) . (F15)
k
That is, the contribution of the one-loop is suppressed with respect to that of the tree-level.
Appendix G: Dimensional analysis and a quick estimate of Pζ
τ
Let us define a dimensionless comoving wave number κ ≡ k/k0 . In terms of k0 , k0 τ = − = −eN0 −N , where
τ0
k0 τ0 ≡ −1. We use the freedom we have to set N0 = 0. Examining the equations of motion for δϕk (τ ), we observe
that its solution will always be a function of x ≡ kτ = −κe−N . Therefore, δϕk (τ ) = C δϕ ˜ (x), where δϕ˜ (x) is a
κ κ
dimensionless function and C is a constant that may depend on k and captures all √ the dimensions of δϕk (τ ). To
determine C, we analyze the initial conditions of δϕk (τ ), δϕk (τ → −∞) ∝ Hτ e−ix / k, concluding that
H ˜
δϕk (τ ) ≡ 3/2
δϕκ (x) . (G1)
k0
H4 ˜
Now, the loop integral is l(k; i, j) ∼ k 3 dsdd δϕ4 ≡ l(κ; i, j), where again ˜l(κ; i, j) is dimensionless. We will also
R
k03
1 k0 τ0 k0
need a(τ ) = − = = ã(x/κ). With all that, we can move on to analyze the contribution to the power
Hτ Hτ H
spectrum of the tree-level
k3 2 H2 κ3 2
˜ (x) ,
Pζtl (τ, k) = 2 |δϕk (τ )| = 2 δϕκ (G2)
4π 2 MP ϵ(τ ) MP 4π 2 ϵ(τ )
and the one-loop
4 4
k3 2H 2 X X a3 ∆ν 2 a3 ∆ν 2
Pζ1l (τ, k) = √ √ Im{δϕk (τ )δϕ∗k (τj )} Im{δϕk (τ )δϕ∗k (τi ) l(k; j, i)}
4 4
H4 κ3 X X ã3 ∆ν 2 ã3 ∆ν 2 n
˜ ∗ (xj ) Im δϕ
˜ (x)δϕ
o n
˜ ∗ (xi ) ˜l(κ; j, i) .
˜ (x)δϕ
o
= 4 2
√ √ Im δϕκ κ κ κ (G3)
MP 2π ϵ(τ ) i=1 j=i+1
ϵ τi ϵ τj
We obtain, as it should be, that both contributions to the power spectrum are dimensionless. The factor that controls
(naively) the perturbative expansion is H 2 /MP2 . Moreover, we find that the dependence on k0 disappears. This was
expected since k0 is only a reference value without physical meaning.
Finally, we will make an estimate of the value of Pζ1l /Pζtl in a general scenario, i.e. for any value of δN and ∆N
(always being δN ≪ ∆N ). From the previous analysis Pζ1l /Pζtl ∼ H 2 /MP2 ∼ Pζtl . Moreover, since Pζ1l includes two
factors of ∆ν 2 ∼ 1/δN , we expect
Pζ1l (k) 1
∝ P tl (k) . (G4)
Pζtl (k) δN 2 ζ
10 10 10 10
--88 ---8 88 -8 --88 --88
-8 -8
10 -2 1-02 10--22101010---228 101010 -8-2 1-02 10 10 -8
10 -2 1-02 -8 10
10 ---228 --10
102 -8 24
10 10 10 10
1010-21010-2 10 10
2 10-
10 10 1010-21010--102 -1100 10 --1010 --1010
10
10
10
10 10-2 10 -2 - 2
10---
10
10----
10
10
10-- 10 10 -2
10
10
10
-10
-10
-
-
-
10-
2 ---
-10 -10
10 -4 10-4 10--441010--44 101010 -4 10-4 10 --1010 10---110100 -10 -10
10 -4 10-4 -10 10
1010---104410101010--44-10
-2 -2
10 10
10-410-4
1010
10
10
10 -4
10
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10-4
10-2 1010
10-4 10-4
10-4 10
10-4 1010
-2
-4 --
--2
10 -2 10
2
4
10 -4 4 10-4
-2 10
10----
10
10-
10
10
10
-
-
-
10-2
10-4
10-2
10-4
10
10
10
10
10
10
10
10
-2
-2
-4
-4
2 --
10
10
-2 -
-10
4 --
10
-10
4-
10
-
10 10 1010-41010--124 -1120 10 10 10 1010-41010-4 10-610-6 10

10
10
10
1010-6 10-6
10
10-6 10 -6
10-6 1010
10
-6 --
-6
10 6 6 10-6 10
10
10---
10
10
-
10----
10- 10-6 10-6
10
10
10
10
10
10
-4
-6
-6
4 ---
-10
-10
6-
10
-10
10
6
10----
-10
--1212 --1212 10-8 10--68 10 10 10 -6 10
106--
-12 -12
10 -6 10-6 10--661010--66 101010 -6 10-6 10 --1212 10---112122 -12 -12
10 -6 10-6 -12 10
1010---126610101010--66-12
10
10-810-8 10 103-8 10-8
10
10--88 1010
10-10 10--108
10
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10 8 8 10-8
10--
10
7 10
7
5 10
10
-
10---
-
10-8 10-8
10
10
10
10
10
10
10
10
-8
-8
-10 1
1
10
-8-
10
-8-
10
-8 k/k0 -8 -
10
10---
-10
3 10-10 10 -
10 10-6 -6
1010---111 101011000 101011000 1010111 1100-2 1010111100-1110100-2 2221101001010-110101101002221 1010 1010102---102221 11101000-1202---22211010100-110----2111 1010101010-1 ---111011010101011000102 101101011110000-12010102 1110-110-210101001110-11010101222100 1010102 10101222 10101010102 ---222 1010---2221010---111 1010---111101011000 101011000 1010111 1010111 1010222 1010222
2 7 1010--- 1
-6 -6 10-1010 -10 10-32110 10-10 10-10 10 10-1010--1010 10-10 5
7
3
5 10
7 10---- 10
-10
10-10 10 10 -10
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1-10
7
7
7
1
4
10
10--
10
10-12 10--10 3
5 10 - 10 10 7-
1
4 10
10--
2
1 10-12 10 12 1
5 10
10
3 10- -
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101 k/k 101 10 10 10k/k -108 k/k-108 10 10-8 k/k10 k/k 101 k/k 101 -810 -8 10k/k 10k/k 10 --1088 --88 10 10 10k/k 101 k/k 101 10 10 10 10
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One-Loop Power Spectrum in Ultra Slow-Roll Inflation and Implications For Primordial Black Hole Dark Matter

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One-Loop Power Spectrum in Ultra Slow-Roll Inflation and Implications For Primordial Black Hole Dark Matter

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IFT UAM-CSIC 24-60

One-loop power spectrum in ultra slow-roll inflation and

of primordial black holes implies a breakdown of perturbation theory. We consider a simplified

II. Model of USR inflation 2

III. In-In formalism, regularization and counterterms 3

A. In-in formalism in more detail 9

B. Action for fluctuations in the δϕ-gauge 11

C. Classical dynamics of super-Hubble modes 15

G. Dimensional analysis and a quick estimate of Pζ 23

H. Bispectrum and consistency condition 27

II. MODEL OF USR INFLATION

III. IN-IN FORMALISM, REGULARIZATION AND COUNTERTERMS

Due to momentum conservation

0.05 0.1 0.2 0.5 1

follows: l → l − lIR . Finally, the contribution of the counterterms (ct) will be

Making the replacement

10-2 10-2 10-2

--1010 -10 -10 -10 -10 -10 -1010

-10 -10 1010-10 -10 -10-10 -10

k/k0 k/k0 k/k/k0 k0 k/k/k0 k0 k/k0 k/k0 k/k

Appendix A: In-in formalism in more detail

⟨Q(t)⟩ ≡ H ⟨Ω| QH (t) |Ω⟩H , (A1)

QH (t) = U −1 (t, t0 )QS U (t, t0 ) , (A2)

∂t U (t, t0 ) = −iH(t)U (t, t0 ) , U (t0 , t0 ) = 1 . (A3)

Differentiating, we obtain the equation that is satisfied by the operator F (t, t0 ):

∂t F (t, t0 ) = −iHI (t)F (t, t0 ) , (A6)

where the Hermitian operator

HI (t) ≡ U0−1 (t, t0 )Hi (t)U0 (t, t0 ) (A7)

Applying time ordering,

U (t, −∞− ) |0⟩I

F (t, −∞− ) |0⟩I

Therefore, F and its inverse are

so that the VEV of Q can be written as

we can rewrite the last term of the first line of (A22) as

so that the final expression is

Appendix B: Action for fluctuations in the δϕ-gauge

ds2 = −N 2 dt2 + γij N i dt + dxi N j dt + dxj ,

γij = a2 eΓ ij , Γij = 2ζδij + ∂ij E + ∂(i Ej) + hij , N = 1 + α , Ni = ∂i β + βi ,

1. Expansion of the potential

N = 1 + α = 1 + α1 + α2 + . . . , Ni = ∂i β + βi = ∂i β1 + ∂i β2 + β1,i + β2,i + . . . , (B17)

3. Quadratic, cubic and quartic actions for fluctuations

Appendix C: Classical dynamics of super-Hubble modes

The equations of motion are

Appendix D: Change of gauge

16 For instance, for L ⊃ f (t)φφ̇2 , we obtain ∼ ∂t (f (t)φφ̇) + O(4) ∼ O(3).

1. Scalar field transformation

so that, up to order three we obtain

The metric transforms as

Mij = δij A + 2∂ij B + 2∂(i Cj) + Dij , (D9)

g̃0,ij = a2 δij , (D15)

g0,00 = −1 , g1,00 = −2α1 , (D19)

g̃1,µν = g1,µν + ξ1δ ∂δ g0,µν + 2∂(µ ξ1ρ g0, ν)ρ . (D21)

g̃1,ij = g1,ij + 2a2 φδij + 2a2 ∂(i ξ1,j) . (D22)

To obtain ξ i , ζ̃ and h̃ij , we use the projectors introduced in eqs. (D10)–(D13),

ζ̃1 = φ , h̃1,ij = hij , ξ1i = 0 . (D23)

h̃ij = h̃1.ij + h̃2,ij + h̃3,ij = hij , (D33)

3. Two-point correlation function of ζ

(x)i = + (x) (y)i = +

Appendix F: Asymptotic limits

Looking at the equation of motion for δϕk ,

Appendix G: Dimensional analysis and a quick estimate of Pζ

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