Einstein Equations, Dark Matter and Dark Energy

Tian Ma & Shouhong Wang

https://fluid.sitehost.iu.edu
http://physicalprinciples.wordpress.com

I. Einstein’s General Relativity

II. New Gravitational Field Equations
III. A Black Hole Theorem
IV. Structure of the Universe
V. PID-Cosmological Model

OSU PDE Seminar, March 7, 2023

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 I. Einstein’s General Relativity
Inspired by the vision of Albert Einstein and Paul Dirac, ..., our study follows the
two guiding principles; see e.g. [Ma-Wang, Mathematical Principles of Theoretical
Physics, Science Press, 2015, pp. 550]:
Guiding Principle 1
1 the entire theoretical physics is built upon a few fundamental first principles;
2 the laws of Nature are simple and aesthetic with clear physical pictures.

Guiding Principle 2
All physical systems obey laws and principles of Nature. For each system,
1 there is a group of functions u = (u1 , · · · , uN ) describing its states, and the
laws and principles obeyed by the system can be expressed as:

physical laws = mathematical equations;

2 there is a functional F (u), which dictates mathematical equations, and

usually represents a specific form of energy;
3 All physical systems obey certain symmetries, which essentially determine the
mathematical forms of the functionals F .
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General relativity (Albert Einstein, 1915)
Principle of Equivalence (PE): the space-time is a 4D Riemannian manifold
(M, gµν ) with gµν being regarded as gravitational potentials.

Principle of General Relativity (PGR): the law of gravity be covariant under

general coordinate transformations, and dictates the Einstein-Hilbert action:
√
Z  
8πG
LEH ({gµν }) = R+ 4 S −gdx. (1)
M c

Euler-Lagrangian equations of LEH :

d
0= LEH (gµν + λXµν ) = (δLEH (gµν ), Xµν ) ∀Xµν .
dλ λ=0

Einstein gravitational field equations

1 8πG
Rµν − gµν R = − 4 Tµν , rµ Tµν = 0. (2)
2 c

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Schwarzschild solution (1916)
Consider a centrally symmetric gravitational field generated by a ball BR with
radius R and mass m. Outside the ball (r > R), the metric takes the form:

ds2 = −eu c2 dt2 + ev dr2 + r2 (dθ2 + sin2 θdϕ2 ), u = u(r), v = v(r). (3)

Then the Einstein equations take the form

1
v 0 + (ev − 1) = 0,
r
0 1
u − (ev − 1) = 0, (4)
r 
00 1 0 1
u + u + (u0 − v 0 ) = 0.
2 r

Schwarzschild solution of the Einstein equations (Rs = 2mG/c2 ):

   −1
Rs Rs
ds2 = − 1 − c2 dt2 + 1 − dr2 + r2 dθ2 + r2 sin2 θdϕ2 . (5)
r r

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II. New Gravitational Field Equations (Ma-Wang, 2012)
Dark matter and dark energy

People are searching for potential can-

didates of dark matter, including e.g.
weakly interacting massive particles
(WIMP). In more than 50 years, many
people are involved in detecting dark
matter such as Alpha Magnetic Spec-
trometer (AMS) (Samuel Ding, ...). So
far there are still no trace of it!

Galactic rotation curve of a typical spiral

galaxy: predicted (A) and observed (B).
In the late 1990s, astronomers found ev-
GM (r) v2 GM (r) idence that the expansion of the uni-
2
= ⇐⇒ v 2 =
r r r verse was increasing. Dark energy is
the name given to the mysterious force
The notion of dark matter was intro-
that’s causing the rate of expansion of
duced to explain the ’flat’ appearance of
our universe to accelerate over time.
the velocity curve out to a large radius.
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New Gravitational Field Equations (Ma-Wang, 2012)
The presence of dark matter and dark energy implies that the energy-momentum
tensor of visible matter Tµν may no longer be conserved: rµ Tµν 6= 0.

Consequently, the variation of LEH must be taken under energy-momentum

conservation constraint, leading us to postulate a general principle, called principle
of interaction dynamics (PID) (Ma-Wang, 2012):

d
LEH (gµν + λXµν ) = 0 ∀X = {Xµν } with rµ Xµν = 0. (6)
dλ λ=0

Then we derive a new set of gravitational field equations

1 8πG
Rµν − gµν R = − 4 Tµν − rµ Φν ,
 2 c 
(7)
µ 8πG
r Tµν + rµ Φν = 0.
c4

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Remarks

The Einstein-Hilbert action is dictated by the symmetry principle (principle of

general relativity), together with simplicity of laws of Nature, and
the Einstein-Hilbert action should not be altered.
The new term rµ Φν is non-variational, and cannot be derived
from any existing f (R) theories, and
from any scalar/tensor field theories.
Namely,
the term rµ Φν does not correspond to any Lagrangian action density,
and is the direct consequence of PID.

The field equations (7) establish a natural duality:

gravitational field {gµν } ←→ dual vector gravitational field {Φµ }

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Non Well-Posedness of the Einstein Equations

Landau: The four coordinates xi can be subjected to an arbitrary transformation.

By means of these transformations we can arbitrarily assign four of the ten of the
10 components of the tensor gik . Therefore there are only six independent
quantities gik .

The Einstein equations contain 10 equations with 6 unknowns {gµν }, and may
lead to ill-posedness in general. With the introduction of Ψµ , the new
gravitational field equations contain exactly 10 equations, resolving this difficulty.

Example: The metric of central gravitational field takes the form

ds2 = −c2 eu dt2 + ev dr2 + r2 (dθ2 + sin2 θdϕ2 ), u = u(r, t), v = v(r, t).
 
−g00 ρ 0
Take Tµν = , where ρ is the energy density, a constant. Then the
0 0
Einstein equations have no solutions.

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In fact, the Einstein equations take the form:
4πG 4πG
R00 = g00 ρ, R11 = − 4 g11 ρ,
c4 c (8)
4πG
R22 = − 4 g22 ρ, Dµ Tµν = 0.
c
It is then easy to verify that u and v are independent of t, and the nonzero Ricci
tensors are
 00
u0 u0 u00 v0 u0

u
R00 = −eµ−ν + + (u0 − v 0 ) , R11 = − + (u0 − v 0 ),
2 r 4 2 r 4 (9)
−v
h
v r 0 0
i
2
R22 = e 1 − e + (u − v ) , R33 = sin θR22 .
2
We derive from Dµ Tµν = 0 that Γ010 T00 = 21 u0 ρ = 0. Hence u0 = 0. Then by (9)
we have
R00 = 0,
which is a contradiction to the first equation of (8).

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Central Gravitational Field
Consider a central gravitational field generated by a ball Br0 with radius r0 and
mass M . In this case, the gravitational field equations becomes
1 8πG
Rµν − gµν R = − 4 Tµν − rµν φ, with φ being a scalar function. (10)
2 c
It is known that the metric of the central field for r > r0 can be written in the
form

ds2 = −eu c2 dt2 + ev dr2 + r2 (dθ2 + sin2 θdϕ2 ), u = u(r), v = v(r). (11)

Then the field equations (10) take the form

1 r
v 0 + (ev − 1) = − u0 φ0 ,
r 2
1 v 1
u − (e − 1) = r(φ00 − v 0 φ0 ),
0
(12)
r  2
00 1 0 1 2
u + u + (u − v ) = − φ0 .
0 0
2 r r

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We have derived in (Ma & Wang, 2012) an approximate gravitational force
formula:
mc2 u
 
1
F = e − (ev − 1) − rφ00 . (13)
2 r
This can be further simplified as
 
1 k0
F = mM G − 2 − + k1 r for r > r0 ,
r r (14)
−18 −1 −57 −3
k0 = 4 × 10 Km , k1 = 10 Km ,

demonstrating the presence of both dark matter and dark energy.

Here the first term represents the Newton gravitation, the attracting second term
stands for dark matter and the repelling third term is the dark energy. We note
that our modified new formula is derived from first principles.

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Hernandez, Ma & Wang, 2015

def s
Let x(s) = (x1 (s), x2 (s), x3 (s)) = es u0 (es ), ev(e ) − 1, es φ0 (es ) . Then the
�

non-autonomous gravitational field equations (12) become an autonomous system:

1 1 1 1
x01 = −x2 + 2x3 − x21 − x1 x3 − x1 x2 − x21 x3 ,
2 2 2 4
1 1
x02 = −x2 − x1 x3 − x22 − x1 x2 x3 ,
2 2 (15)
0 1 1
x3 = x1 − x2 + x3 − x2 x3 − x1 x23 ,
2 4
(x1 , x2 , x3 )(s0 ) = (α1 , α2 , α3 ) with r0 = es0 .

• The asymptotically flat space-time geometry (Minkowski) is represented by

x = 0, which is a fixed point of the system (15).

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• There is a 2D stable manifold E s near x = 0, which can be parameterized by
1 1 1 1
x3 = h(x1 , x2 ) = − x1 + x2 + x21 − x22 + O(|x|3 ). (16)
2 2 16 16
The field equations (15) are reduced to a 2D dynamical system:
1 1 3
x01 = −x1 − x21 − x22 − x1 x2 + O(|x|3 ),
8 8 4
1 1 (17)
x02 = −x2 + x12 − x22 − x1 x2 + O(|x|3 ),
4 4
(x1 , x2 )(s0 ) = (α1 , α2 ),

with x3 being slaved by (16).

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Figure: Only the orbits on Ω1 with x1 > 0 will eventually cross the x2 -axis, leading to
the sign change of x1 , and to a repelling gravitational force. x = 0 is Minkowski,
x1 = x2 is Schwarzschild.

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Asymptotic Repulsion Theorem [Hernandez-Ma-Wang, 15]

For a central gravitational field, the following assertions hold true:

1) The gravitational force F is given by

mc2 u 0
F =− e u,
2
and is asymptotic zero:

F →0 if r → ∞. (18)

2) If the initial value α in (17) is near the Schwarzschild solution with

0 < α1 < α2 /2, then there exists a sufficiently large r1 such that the
gravitational force F is repulsive for r > r1 :

F >0 for r > r1 . (19)

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Remarks

• The above theorem is valid provided the initial value α is small. Also, all
physically meaningful central fields satisfy the condition (note that a black
hole is enclosed by a huge quantity of matter with radius r0  2M G/c2 ).
In fact, the Schwarzschild initial values are as
δ 2M G
x1 (r0 ) = x2 (r0 ) = , δ= . (20)
1−δ c2 r0
The δ-factors for most galaxies and clusters of galaxies are

galaxies δ = 10−7 , cluster of galaxies δ = 10−5 . (21)

• The dark energy phenomenon is mainly evident between galaxies and between
clusters of galaxies, and consequently the above theorem is valid for central
gravitational fields generated by both galaxies and clusters of galaxies.
• The asymptotic repulsion of gravity (dark energy) plays the role to stabilize
the large scale homogeneous structure of the Universe.

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Ma-Wang, 2012

• (Einstein’s PE). The space-time is a 4D Riemannian manifold {M, gµν },

with the metric {gµν } being the gravitational potential;
• The Einstein PGR dictates the Einstein-Hilbert action (23);
• The gravitational field equations (7) are derived using PID, and determine
gravitational potential {gµν } and its dual vector field Φµ ;

1 8πG
Rµν − gµν R = − 4 Tµν − rµ Φν
2 c
• Gravity can display both attractive and repulsive effect, caused by the duality
between the attracting gravitational field {gµν } and the repulsive dual vector
field {Φµ }, together with their nonlinear interactions via the new
gravitational field equations.
• The nonlinear interaction between {gµν } and the dual field Φµ gives rise to
the phenomena of dark matter and dark energy:

Dark energy and dark matter are intrinsic properties of gravity.

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 III. A Black Hole theorem
Inside the massive ball (r < R), the energy-momentum tensor of an idealized
√
fluid is in the form T µν = (ρ + p)uµ uν + pg µν , and uµ = (1, 0, 0, 0)/ −g00 .
The 00 component of the Einstein equations is equivalent to
2
1 dM (r) def c r
= 4πρ, M (r) = (1 − e−v ).
r2 dr 2G
Rr
So M (r) = 0 4πr2 ρdr, for 0 < r < R, is clearly the mass in the ball Br .
Tolman-Oppenheimer-Volkoff (TOV) (1934 & 1939) metric:
−1
r2 r2
  
1
2
ds = − 2 2
1 − 2 c dt + 1 − 2 dr2 + r2 (dθ2 + sin2 θdϕ2 ). (22)
4 Rs Rs

Theorem (Ma-Wang, 2014)

If the matter field in a ball BR of radius R is spherically symmetric, and the mass
MR and the radius R satisfy
 −1 !
2GMR v 2GM (r)
=1 ⇒ e = 1− is singular at r = R
c2 R c2 r

then the ball BR must be a blackhole. 20 / 30

Black Hole Theory Based on Einstein’s GR
In the exterior of the centrally symmetric massive ball BRs with total mass M ,
the Schwarzschild solution is
−1
ds2 = − [1 − Rs /r] c2 dt2 + [1 − Rs /r] dr2 + r2 dΩ2 for r > Rs . (23)
In the interior, the Tolman-Oppenheimer-Volkoff (TOV) metric is
−1
r2 2 2 r2
  
2 1
ds = − 1 − 2 c dt + 1 − 2 dr2 + r2 dΩ2 for r < Rs . (24)
4 Rs Rs
Both metrics have a singularity at r = Rs , which is called the event horizon:
1/2 −1/2
dτ = [1 − Rs /r] dt → 0, dre = [1 − Rs /r] dr → ∞ for r → Rs+ , (25)
1/2 −1/2
r2 r2
 
1
dτ = 1− 2 dt → 0, dre = 1 − 2 dr → ∞ for r → Rs− , (26)
2 Rs Rs
So time freezes at r = Rs : there is no motion crossing the event horizon. Namely
the black hole enclosed by the event horizon r = Rs is closed:
Nothing gets inside a black hole, and nothing gets out of the black
hole either.
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1) Singularity at Rs is physical
• The Schwarzschild solution is derived from the Einstein equations under the
spherical coordinate system, which has no singularity for r > 0.
Consequently, the singularity of the Schwarzschild solution at r = Rs must
be intrinsic to the Einstein equations, and is not caused by the particular
choice of the coordinate system. In other words, the singularity at r = Rs is
real and physical.

• Mathematically forbidden coordinate transformations are used:

Classical transformations such as e.g. those by Eddington and Kruskal are
singular, and therefore they are not valid for removing the singularity at the
Schwarzschild radius. Consider for example, the Kruskal coordinates involving
 
r
u = t − r∗ , v = t + r∗ , r∗ = r + Rs ln −1 .
Rs

This coordinate transformation is singular at r = Rs , since r∗ becomes

infinity when r = Rs . Namely
all the coordinate systems, such as the Kruskal and Eddington-Finkelstein
coordinates, that are derived by singular coordinate transformations, are
singular and are mathematically forbidden.
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2) Metric of a block hole
the Schwarzschild metric is valid only outside of a black hole.
in the interior of a black hole, the metric is the Tolman-Oppenheimer-Volkoff
(TOV) metric.
there is no singularity at the center r = 0.

Black Hole Theorem (Ma-Wang, J. Math. Study, 47:4(2014), 305-378)

Assume the validity of the Einstein theory of general relativity, then the following
assertions hold true:
black holes are closed: matters can neither enter nor leave their interiors;
black holes are innate: they are neither born to explosion of cosmic objects,
nor born to gravitational collapsing; and
black holes are filled and incompressible, and if the matter field is
nonhomogeneously distributed in a black hole, then there must be
sub-blackholes in the interior of the black hole.
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 IV. Structure of the Universe
FLRW metric
Assume the validity of the cosmological principle that the Universe is
homogeneous and isotropic. A. Friedmann (1922), G. Lemaı̂tre (1927), H.
Robertson (1935), and A. Walker (1936) demonstrated that the Universe is either
the 3D sphere S 3 , or the flat R3 , or the 3D Lobachevsky space L3 .
The FLRW metric of the spacetime is

dr2
 
2 2 2 2 2 2 2
ds = −c dt + R(t) + r (dθ + sin θdϕ ) , (27)
1 − kr2

where R(t) is the scalar factor representing the radius of the Universe, and
k = 1, 0, −1 stand for the sign of space scalar curvature.

Λc2
 
¨ 4πG 3p
R=− ρ+ 2 R+ R, (28)
3 c 3
!2
Ṙ 8πG Λc2 kc2
= ρ+ − 2, (29)
R 3 3 R
!
Ṙ  p
ρ̇ + 3 ρ + 2 = 0. (30)
R c
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Observations

• If our Universe were born to the Big-Bang, assuming at the initial stage, all
energy is concentrated in a ball with radius R0 < Rs , by the theory of black
holes, then the energy contained in BR0 must generate a black hole in R3
with fixed radius Rs = 2M G/c2 .

In fact, according to the basic cosmological principle that the universe is

homogeneous and isotropic, given the energy density ρ0 > 0 of the universe,
the universe will always be bounded in a black hole of open ball with the
Schwarzschild radius: s
3c2
Rs = ,
8πGρ0
as the mass in the ball BRs is given by MRs = 4πRs3 ρ0 /3. This argument
also clearly shows that

there is no unbounded universe.

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• If we assume that at certain stage, the Universe were contained in ball of a
radius R with R0 < R < Rs , then we can prove that the Universe must
contain a sub-black hole with radius r given by
r
R
r= R.
Rs
In fact, consider a homogeneous universe with radius R < Rs . Then the
mass density ρ is given by
3M
ρ= . (31)
4πR3
It is easy to show that the condition for a ball Br with radius r to form a
black hole is that the mass Mr in Br satisfies that
Mr c2
= . (32)
r 2G
By (31), we have
4π 3 r3
Mr = r ρ = 3 M.
3 R
Then it follows from (32) that
r
R
r= R. (33)
Rs
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Based on this property, the expansion of the Universe, with increasing R to Rs ,
will give rise to an infinite sequence of black holes with one embedded to another.
Apparently, this scenario is clearly against the observations of our Universe, and
demonstrates that our Universe cannot be originated from a Big-Bang.

Theorem (Ma-Wang, 2014)

Assume the Einstein theory of general relativity, and the cosmological principle,
then the following assertions hold true:
our Universe is not originated from a Big-Bang, and is static;
the topological structure of our Universe is the 3D sphere S 3 such that to
each observer, the corresponding equator with the observer at the center of
the hemisphere can be viewed as the black hole horizon;
the total mass Mtotal = 3πM/2 in the Universe includes both the cosmic
observable mass M and the non-observable mass, regarded as dark matter,
due to the space curvature energy; and
a negative pressure is present in our Universe to balance the gravitational
attracting force, and is due to the gravitational repelling force, also called
dark energy.

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Redshift problem

The natural and important question that one has to answer is the consistency
with astronomical observations, including the cosmic edge, the flatness, the
horizon, the redshift, and the cosmic microwave background (CMB) problems.
These problems can now be easily understood based on the structure of the
Universe and the blackhole theorem we derived.
There are three sources of redshifts: the Doppler effect, the cosmological redshift,
and the gravitational redshift. Due to black hole properties of our Universe, the
black hole and cosmological redshifts cannot be ignored. Due to the horizon of
the sphere, for an arbitrary point in the spherical Universe, its opposite hemisphere
relative to the point is regarded as a black hole. Hence, we derive the following
redshift formula, which is consistent with the observed redshifts:
√
1 2Rs − r
1+z = q =p for 0 < r < Rs . (34)
Rs
α(r)(1 − re ) α(r)(R s − r)

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V. PID-Cosmological Model (Ma-Wang, 2015)

Metric of a homogeneous spherical universe:

dr2
 
2
ds2 = −c2 dt2 + R2 + r 2
(dθ 2
+ sin θdϕ2
) , (35)
1 − r2

where R = R(t) is the cosmic radius. By (7) and with ϕ = φ00 , we have
 
4πG 3p ϕ
R00 = − ρ+ 2 + R,
3 c 8πG
1
(R0 )2 = (8πGρ + ϕ)R2 − c2 , (36)
3
0 3R0 24πG R0
ϕ + ϕ=− 2 p.
R c R

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The model describing the static Universe is in the form (Ma-Wang, 2015):
 
3p
ϕ = −8πG ρ + 2 ,
c
4 (37)
c
p=− ,
8πGR2
p = f (ρ, ϕ).

The negative pressure contains two parts:

1 c2
p = − ρc2 − ϕ = observable energy + dark energy. (38)
3 24πG
The CMB and the Wilkinson Microwave Anisotropy Probe (WMAP)
measurements manifest that the cosmic radius R is greater than the blackhole
radius of the normal energy. The deficient energy is compensated by the dual
gravitational potential, i.e. by the second term of (38).

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