Lecture 2: Linear Perturbation Theory

Structure Formation
and the
Dark Sector

Wayne Hu

Trieste, June 2002

Outline
Covariant Perturbation Theory
Scalar, Vector, Tensor Decomposition
Linearized Einstein-Conservation Equations
Dark (Multi) Components
Gauge
Applications:
Bardeen Curvature

Baryonic wiggles

Scalar Fields

Parameterizing dark components

Transfer function

Massive neutrinos

Sachs-Wolfe Effect

Dark energy

COBE normalization

Covariant Perturbation Theory

Covariant = takes same form in all coordinate systems
Invariant = takes the same value in all coordinate systems
Fundamental equations: Einstein equations, covariant conservation
of stress-energy tensor:
G = 8GT
T = 0
Preserve general covariance by keeping all degrees of freedom: 10
for each symmetric 44 tensor
1 2 3 4
5 6 7
8 9
10

Metric Tensor
Expand the metric tensor around the general FRW metric
g00 = a2 ,

gij = a2 ij .

where the 0 component is conformal time = dt/a and ij is a

spatial metric of constant curvature K = H02 (tot 1).
Add in a general perturbation (Bardeen 1980)
g 00 = a2 (1 2A) ,
g 0i = a2 B i ,
g ij = a2 ( ij 2HL ij 2HTij ) .
(1) A a scalar potential; (3) B i a vector shift, (1) HL a
perturbation to the spatial curvature; (6) HTij a trace-free distortion
to spatial metric = (10)

Matter Tensor
Likewise expand the matter stress energy tensor around a
homogeneous density and pressure p:
T 00 = ,
T 0i = ( + p)(vi Bi ) ,
T0i = ( + p)v i ,
T ij = (p + p) ij + pij ,
(1) a density perturbation; (3) vi a vector velocity, (1) p a
pressure perturbation; (5) ij an anisotropic stress perturbation
So far this is fully general and applies to any type of matter or
coordinate choice including non-linearities in the matter, e.g.
cosmological defects.

Counting DOFs
20
10

Variables (10 metric; 10 matter)

Einstein equations

Conservation equations

+4

Bianchi identities

Gauge (coordinate choice 1 time, 3 space)

Degrees of freedom

Without loss of generality these can be taken to be the 6

components of the matter stress tensor
For the background, specify p(a) or equivalently
w(a) p(a)/(a) the equation of state parameter.

Scalar, Vector, Tensor

In linear perturbation theory, perturbations may be separated by
their transformation properties under rotation and translation.
The eigenfunctions of the Laplacian operator form a complete set
2 Q(0) = k 2 Q(0)
(1)

= k 2 Qi

(2)

= k 2 Qij

2 Qi

2 Qij

S,

(1)

V,

(2)

T,

and functions built out of covariant derivatives and the metric

(0)

Qi

(0)

Qij

(1)

Qij

= k 1 i Q(0) ,
1
2
= (k i j ij )Q(0) ,
3
1
(1)
(1)
= [i Qj + j Qi ] ,
2k

Spatially Flat Case

For a spatially flat background metric, harmonics are related to
plane waves:
Q(0) = exp(ik x)
i
(1)
Qi
= (
e1 i
e2 )i exp(ik x)
2
s

(2)
Qij

3
=
(
e1 i
e2 )i (
e1 i
e2 )j exp(ik x)
8

3 k k.
where e
For vectors, the harmonic points in a direction orthogonal to k
suitable for the vortical component of a vector
For tensors, the harmonic is transverse and traceless as appropriate
for the decompositon of gravitational waves

Perturbation k-Modes
For the kth eigenmode, the scalar components become
A(x) = A(k) Q(0) ,

HL (x) = HL (k) Q(0) ,

(x) = (k) Q(0) ,

p(x) = p(k) Q(0) ,

the vectors components become

Bi (x) =

1
X

(m)

B (m) (k) Qi

vi (x) =

m=1

1
X
m=1

and the tensors components

HT ij (x) =

2
X

(m)

(m)

HT (k) Qij ,

m=2

ij (x) =

2
X
m=2

(m)

(m) (k) Qij ,

(m)

v (m) (k) Qi

Homogeneous Einstein Equations

Einstein (Friedmann) equations:
1 da
a dt

!2

8G

=
3

4G
1 d2 a
( + 3p)
=
2
3
a dt

so that w p/ < 1/3 for acceleration

Conservation equation T = 0 implies

= 3(1 + w)
a

Homogeneous Einstein Equations

Counting exercise:
20
17

Variables (10 metric; 10 matter)

Homogeneity and Isotropy

Einstein equations

Conservation equations

+1

Bianchi identities

Degree of freedom

without loss of generality choose ratio of homogeneous & isotropic

component of the stress tensor to the density w(a) = p(a)/(a).

Covariant Scalar Equations

Einstein equations (suppressing 0) superscripts (Hu & Eisenstein 1999):
1
a 1
(k 2 3K)[HL + HT +
(kB H T )]
2
3
ak


a
= 4Ga2 + 3 ( + p)(v B)/k ,
a


1
d
a
k 2 (A + HL + HT ) +
+2
(kB H T )
3
d
a

Poisson Equation

= 8Ga2 p ,
a
1
K
A H L H T 2 (kB H T )
a
3
k
= 4Ga2 ( + p)(v B)/k ,
"
#

 2

2
d
1
a

a
a d
k
a

A
+
(HL + kB)
2 2
a
a
a d
3
d a
3
1
= 4Ga2 (p + ) .
3

Covariant Scalar Equations

Conservation equations: continuity and Navier Stokes


d
a
a
+ 3 + 3 p = ( + p)(kv + 3H L ) ,
d
a
a



a
(v B)
d
2
K
( + p)
= p (1 3 2 )p + ( + p)A ,
+4
d
a
k
3
k

Equations are not independent since G = 0 via the Bianchi

identities.
Related to the ability to choose a coordinate system or gauge to
represent the perturbations.

Covariant Scalar Equations

DOF counting exercise
8

Variables (4 metric; 4 matter)

Einstein equations

Conservation equations

+2

Bianchi identities

Gauge (coordinate choice 1 time, 1 space)

Degrees of freedom

without loss of generality choose scalar components of the stress

tensor p, .

Covariant Vector Equations

Einstein equations
(1)
(1 2K/k 2 )(kB (1) H T )

= 16Ga2 ( + p)(v (1) B (1) )/k ,



a
d
(1)
+ 2 (kB (1) H T )
d
a
= 8Ga2 p(1) .

Conservation Equations


d
a
+ 4 [( + p)(v (1) B (1) )/k]
d
a
1
= (1 2K/k 2 )p(1) ,
2

Gravity provides no source to vorticity decay

Covariant Vector Equations

DOF counting exercise
8

Variables (4 metric; 4 matter)

Einstein equations

Conservation equations

+2

Bianchi identities

Gauge (coordinate choice 1 time, 1 space)

Degrees of freedom

without loss of generality choose vector components of the stress

tensor (1) .

Covariant Tensor Equation

Einstein equation



d
a d
(2)
2
2
(2)
+
2
+
(k
+
2K)
H
=
8Ga
p
.
T
d 2
a d

DOF counting exercise

4

Variables (2 metric; 2 matter)

Einstein equations

Conservation equations

+0

Bianchi identities

Gauge (coordinate choice 1 time, 1 space)

Degrees of freedom

wlog choose tensor components of the stress tensor (2) .

Arbitrary Dark Components

Total stress energy tensor can be broken up into individual pieces
Dark components interact only through gravity and so satisfy
separate conservation equations
Einstein equation source remains the sum of components.
To specify an arbitrary dark component, give the behavior of the
stress tensor: 6 components: p, (i) , where i = 2, ..., 2.
Many types of dark components (dark matter, scalar fields,
massive neutrinos,..) have simple forms for their stress tensor in
terms of the energy density, i.e. described by equations of state.
An equation of state for the background w = p/ is not sufficient
to determine the behavior of the perturbations.

Gauge
Metric and matter fluctuations take on different values in different
coordinate system
No such thing as a gauge invariant density perturbation!
General coordinate transformation:
= + T
xi = xi + Li
free to choose (T, Li ) to simplify equations or physics.
Decompose these into scalar and vector harmonics.
G and T transform as tensors, so components in different
frames can be related

Gauge Transformation
Scalar Metric:
a

A = AT T ,
a
= B + L + kT ,
B
k
a

HL = HL L T ,
3
a
T = HT + kL ,
H

Scalar Matter (Jth component):

J

= J J T ,

pJ

= pJ pJ T ,

= vJ + L,

vJ

Vector:
(1) = B (1) + L (1) , H
(1) = H (1) + kL(1) , v(1) = v (1) + L (1) ,
B
T
T
J
J

Gauge Dependence of Density

Background evolution of the density induces a density fluctuation
from a shift in the time coordinate

Common Scalar Gauge Choices

A coordinate system is fully specified if there is an explicit
prescription for (T, Li ) or for scalars (T, L)
Newtonian:

T = 0
= H
A (Newtonian potential)
L (Newtonian curvature)
H
L = HT /k
T

= B/k + H T /k 2

Good: intuitive Newtonian like gravity; matter and metric

algebraically related; commonly chosen for analytic CMB and
lensing work
Bad: numerically unstable

Example: Newtonian Reduction

In the general equations, set B = HT = 0:
(k 2 3K)

k 2 ( + )



a
4Ga2 + 3 ( + p)v/k
a

= 8Ga2 p

so = if anisotropic stress = 0 and



a
a
d
+ 3 + 3 p
a
a
d


a
d
+ 4 ( + p)v
a
d

,
= ( + p)(kv + 3)

K
2
= kp (1 3 2 )p k + ( + p) k ,
k
3

Competition between stress (pressure and viscosity) and potential

gradients

Relativistic Term in Continuity

Continuity equation contains relativistic term from changes in the

spatial curvature perturbation to the scale factor

For w=0 (matter), simply density dilution; for w=1/3 (radiation)
density dilution plus (cosmological) redshift

a.k.a. ISW effect photon redshift from change in grav. potential

Common Scalar Gauge Choices

Comoving:

B
HT

= v (Ti0 = 0)

0
= A
L
= H

(Bardeen curvature)

(v B)/k

L = HT /k

Good: is conserved if stress fluctuations negligible, e.g. above

the horizon if |K|  H 2




p
+ Kv/k = a p + 2 1 3K
0
a
+p 3
k2 + p

Bad: explicitly relativistic choice

Common Scalar Gauge Choices

Synchronous:
=0
A = B
L 1 H
T
H
3
T or h = 6HL
hT = H
Z
T = a1 daA + c1 a1
Z
L = d(B + kT ) + c2
L

Good: stable, the choice of numerical codes

Bad: residual gauge freedom in constants c1 , c2 must be
specified as an initial condition, intrinsically relativistic.

Common Scalar Gauge Choices

Spatially Unperturbed:
L
H

T = 0
= H

L = HT /k
=
A , B
metric perturbations
 1 

a
1
T =
HL + HT
a
3

Good: eliminates spatial metric in evolution equations; useful in

inflationary calculations (Mukhanov et al)
Bad: intrinsically relativistic.
Caution: perturbation evolution is governed by the behavior of
stress fluctuations and an isotropic stress fluctuation p is gauge
dependent.

Hybrid Gauge Invariant Approach

With the gauge transformation relations, express variables of one
gauge in terms of those in another allows a mixture in the
equations of motion
Example: Newtonian curvature above the horizon. Conservation of
the Bardeen-curvature =const. implies:
3 + 3w

=
5 + 3w
e.g. calculate from inflation determines for any choice of
matter content or causal evolution.
Example: Scalar field (quintessence dark energy) equations in
comoving gauge imply a sound speed p/ = 1 independent of
potential V (). Solve in synchronous gauge (Hu 1998).

Transfer Function Example

Example: Transfer function transfers the initial Newtonian
curvature to its value today (linear response theory)
(k, a = 1)
T (k) =
(k, ainit )
Conservation of Bardeen curvature: Newtonian curvature is a
constant when stress perturbations are negligible: above the
horizon during radiation and dark energy domination, on all scales
during matter domination
When stress fluctuations dominate, perturbations are stabilized by
the Jeans mechanism
Hybrid Poisson equation: Newtonian curvature, comoving density
perturbation (/)com implies decays
(k 2 3K) = 4G 2

Transfer Function Example

Freezing of stops at eq
(keq )2 H (keq )2 init
1
Transfer function has a k 2 fall-off beyond keq eq

T(k)

k2
0.1
wiggles

0.01
0.0001

0.001

0.01
(h1 Mpc)

0.1

Gauge and the Sachs-Wolfe Effect

Going from comoving gauge, where the CMB temperature
perturbation is initially negligible by the Poisson equation, to the
Newtonian gauge involves a temporal shift
t
=
t
Temporal shift implies a shift in the scale factor during matter
domination
2 t
a
=
3 t
a
CMB temperature is cooling as T a
Induced temperature fluctuation
T
a
2
= =
T
a
3

Gauge and the Sachs-Wolfe Effect

Add the gravitational redshifta photon suffers climbing out of the
gravitational potential
T
T

!
obs

T
1
=+
=
T
3

COBE Normalization
Sachs-Wolfe Effect relates the COBE detection to the gravitational
potential on the last scattering surface

Last Scattering Surface

1
n, )
[ + ](
n, x) = (x + D
3
D = 0

D
x, 0
jl(kD)Yl 0

Decompose the angular and spatial information into normal modes:

spherical harmonics for angular, plane waves for spatial
n, x, k)
Gm
` (

= (i)

4
Y`m (
n)eikx .
2` + 1

COBE Normalization cont.

Multipole moment decomposition for each k
(n, x) =

d3 k X (m)
m

(k)G
`
` (x, k, n)
3
(2) `m

Power spectrum is the integral over k modes

C` = 4

d3 k X
(2)3 m

(m) (m)
` `

(2` + 1)2

Fourier transform Sachs-Wolfe source

1
[ + ](
n, x) =
3

d3 k
ik(D n
+x)
(

k,

)e

(2)3

Decompose plane wave

) =
exp(ikD n

X
`

(i)` 4(2` + 1)j` (kD)Y`0 (n) ,

COBE Normalization cont.

Extract multipole moment, assume a constant potential
(0)

1
`
=
(k, )j` (kD)
2` + 1
3
1
(k, 0)j` (kD)
=
3
Construct angular power spectrum
Z

1 2
dk 2
j` (kD)
C` = 4
k
9
For scale invariant potential (n=1), integral reduces to
Z

dx 2
1
j` (x) =
x
2`(` + 1)

Log power spectrum = Log potential spectrum / 9

1 2
`(` + 1)
C` =
2
9

(n = 1)

COBE Normalization cont.

Relate to density fluctuations: Poisson equation and Friedmann eqn.

k 2 = 4Ga2
3 2 2
= H0 m
2
Power spectra relation


9 H0
2
=
4 k

4

2m 2

In terms of density fluctuation at horizon and transfer function

2

For scale invariant potential

2
H

k
H0

n+3

1 2 2
`(` + 1)
C` =
m H
2
4

T 2(k)

(n = 1)

COBE Normalization cont.

Some numbers
1 2 2
`(` + 1)
C` =
m H
2
4
=

(n = 1)

28K
2.726 106 K

!2

1010

H (2 105 )1
m

Detailed calculation from Bunn & White (1997) including decay of

potential in low density universe and tilt
5

H = 1.94 10

0.7850.05 ln m 0.95(n1)0.169(n1)2
m
e

Matter Power Spectrum

Combine the transfer function with the COBE normalization

2(k) [=k3P(k)/22]

101

non-linear
scale
no

10-1

10-2

10-3

0.01

0.1

k (h Mpc-1)

Matter Power Spectrum

Usually plotted as the power spectrum, not log-power spectrum

P(k) (h-1 Mpc)3

105

104

103

0.01

0.1

k (h Mpc-1)

Galaxy Power Spectrum Data

Galaxy clustering tracks the dark matter but as a biased tracer
105

P(k) (h-1 Mpc)3

2dF
PSCz
<1994
104

103

0.01

0.1

k (h Mpc-1)

Galaxy Power Spectrum Data

Each galaxy population has different linear bias in linear regime
105

P(k) (h-1 Mpc)3

2dF
PSCz
<1994
104

norm
adjusted

103

0.01

0.1

k (h Mpc-1)

Acoustic Oscillations
Example: Stabilization accompanied by acoustic oscillations
Photon-baryon system - under rapid scattering


a
a
d
,
+ 3 b + 3 pb = (b + pb )(kvb + 3)
a
a
d


a
d
+ 4 [(b + pb )vb /k] = pb + ( + p) ,
a
d

or with = / and R = 3b /
= k vb

3
1
R
k + k
vb +
v b =
1+R
1+R

Forced oscillator equation see Zaldarriagas talks

Anisotropic stresses and entropy generation through non-adiabatic
stress Silk damps fluctuations Silk 1968

Acoustic Peaks in the Matter

Baryon density & velocity oscillates with CMB
Baryons decouple at / R ~ 1, the end of Compton drag epoch
Decoupling: .b(drag) Vb(drag), but not frozen
Continuity: b = kVb
Velocity Overshoot Dominates: b Vb(drag) k >> b(drag)
Oscillations /2 out of phase with CMB
Infall into potential wells (DC component)

End of Drag Epoch

Velocity Overshoot + Infall

Hu & Sugiyama (1996)

Features in the Power Spectrum

P(k)

(arbitrary norm.)

Features in the linear power spectrum

Break at sound horizon
Oscillations at small scales; washed out by nonlinearities

1
nonlinear
scale

0.1

Eisenstein & Hu (1998)

numerical

0.01

k (h Mpc-1)

0.1

Combining Features in LSS + CMB

Consistency check on thermal history and photonbaryon ratio
Infer physical scale lpeak(CMB) kpeak(LSS) in Mpc1

Power (arbitrary norm.)

CDM
8

k3P(k)
2

0.1

0.05

k (Mpc1)

Eisenstein, Hu & Tegmark (1998)

Hu, Eisenstein, Tegmark & White (1998)

Combining Features in LSS + CMB

Consistency check on thermal history and photonbaryon ratio
Infer physical scale lpeak(CMB) kpeak(LSS) in Mpc1
Measure in redshift survey kpeak(LSS) in h Mpc1 h

Power (arbitrary norm.)

CDM
8

k3P(k)

Pm(k)
0.1

0.05

k (Mpc1)

Eisenstein, Hu & Tegmark (1998)

Hu, Eisenstein, Tegmark & White (1998)

Parameterizing Dark Components

Prototypes:
Cold dark matter

equation of state

sound speed

viscosity

wg

ceff2

cvis2

(WIMPs)

Hot dark matter

1/30

(light neutrinos)

Cosmological constant

arbitrary

arbitrary

variable

(vacuum energy)

Exotica:
Quintessence
(slowly-rolling scalar field)

Decaying dark matter

1/301/3

(massive neutrinos)

Radiation backgrounds

1/3

1/3

01/3

scale
dependent

(rapidly-rolling scalar field, NBR)

Ultra-light fuzzy dark mat.

Hu (1998)

Massive Neutrinos
Relativistic stresses of a light neutrino slow the growth of structure
Neutrino species with cosmological abundance contribute to matter
as h2 = m /94eV, suppressing power as P/P 8 /m

Massive Neutrinos
Current data from 2dF galaxy survey indicates m<1.8eV

assuming a CDM model with parameters constrained by the

CMB.
105

P(k) (h-1 Mpc)3

2dF

104

103

0.01

0.1

k (h Mpc-1)

Dark Energy Stress & Smoothness

Raising equation of state increases redshift of dark energy

domination and raises large scale anisotropies
Lowering the sound speed increases clustering and reduces
ISW effect at large angles
1010

Total

Power

ISW Effect
ce

ff =

1011

ce

ff =

1/3

w=2/3
w=1
1012
Hu (1998); Hu (2001)

10

100 Coble et al. (1997)

Caldwell et al. (1998)

LensingCMB Temperature Correlation

Any correlation is a direct detection of a smooth energy

density component through the ISW effect

Show dark energy smooth >5-6 Gpc scale, test quintesence

"Perfect"
Planck

cross power

109

1010

1011
Hu (2001); Hu & Okamoto (2001)

10

100

1000

Summary
In linear theory, evolution of fluctuations is completely defined
once the stresses in the matter fields are specified.
Stresses and their effects take on simple forms in particular
coordinate or gauge choices, e.g. the comoving gauge.
Gauge covariant equations can be used to take advantage of these
simplifications in an arbitrary frame.
Curvature (potential) fluctuations remain constant in the absence
of stresses.
Evolution can be used to test the nature of the dark components,
e.g. massive neutrinos and the dark energy by measuring the
matter power spectrum.
Problem: luminous tracers of the matter clustering are biased
next lecture.