An Introduction to Theory and Models of CMEs, Shocks, and Solar Energetic Particles

We present a brief introduction to the essential physics of coronal mass ejections as well as a review of theory and models of CME initiation, solar energetic particle (SEP) acceleration, and shock propagation. A brief review of the history of CME models demonstrates steady progress toward an understanding of CME initiation, but it is clear that the question of what initiates CMEs has still not been solved. For illustration, we focus on the flux cancellation model and the breakout model. We contrast the similarities and differences between these models, and we examine how their essential features compare with observations. We review the generation of shocks by CMEs. We also outline the theoretical ideas behind the origin of a gradual SEP event at the evolving CME-driven coronal/interplanetary shock and the origin of “impulsive” SEP events at flare sites of magnetic reconnection below CMEs. We argue that future developments in models require focused study of “campaign events” to best utilize the wealth of available CME and SEP observations.     

The Origin of Solar Energetic Particle Events: Coronal Acceleration versus Shock Wave Acceleration

We review evidence that led to the view that acceleration at shock waves driven by coronal mass ejections (CMEs) is responsible for large particle events detected at 1 AU. It appears that even if the CME bow shock acceleration is a possible model for the origin of rather low energy ions, it faces difficulties on account of the production of ions far above 1 MeV: (i) although shock waves have been demonstrated to accelerate ions to energies of some MeV nucl^–1 in the interplanetary medium, their ability to achieve relativistic energies in the solar environment is unproven; (ii) SEP events producing particle enhancements at energies 100 MeV are also accompanied by flares; those accompanied only by fast CMEs have no proton signatures above 50 MeV. We emphasize detailed studies of individual high energy particle events which provide strong evidence that time-extended particle acceleration which occurs in the corona after the impulsive flare contributes to particle fluxes in space. It appears thus that the CME bow shock scenario has been overvalued and that long lasting coronal energy release processes have to be taken into account when searching for the origin of high energy SEP events.     

Multi-Wavelength Observations of CMEs and Associated Phenomena

This chapter reviews how our knowledge of CMEs and CME-associated phenomena has been improved, since the launch of the SOHO mission, thanks to multi-wavelength analysis. The combination of data obtained from space-based experiments and ground based instruments allows us to follow the space-time development of an event from the bottom of the corona to large distances in the interplanetary medium. Since CMEs originate in the low solar corona, understanding the physical processes that generate them is strongly dependant on coordinated multi-wavelength observations. CMEs display a large diversity in morphology and kinematic properties, but there is presently no statistical evidence that those properties may serve to group them into different classes. When a CME takes place, the coronal magnetic field undergoes restructuring. Much of the current research is focused on understanding how the corona sustains the stresses that allow the magnetic energy to build up and how, later on, this magnetic energy is released during eruptive flares and CMEs. Multi-wavelength observations have confirmed that reconnection plays a key role during the development of CMEs. Frequently, CMEs display a rather simple shape, exhibiting a well known three-part structure (bright leading edge, dark cavity and bright knot). These types of events have led to the proposal of the ‘`standard model’' of the development of a CME, a model which predicts the formation of current sheets. A few recent coronal observations provide some evidence for such sheets. Other more complex events correspond to multiple eruptions taking place on a time scale much shorter than the cadence of coronagraph instruments. They are often associated with large-scale dimming and coronal waves. The exact nature of these waves and the physical link between these different manifestations are not yet elucidated. We also discuss what kind of shocks are produced during a flare or a CME. Several questions remain unanswered. What is the nature of the shocks in the corona (blast-wave or piston-driven?) How they are related to Moreton waves seen in Hα? How they are related to interplanetary shocks? The last section discusses the origin of energetic electrons detected in the corona and in the interplanetary medium. “Complex type III-like events,”which are detected at hectometric wavelengths, high in the corona, and are associated with CMEs, appear to originate from electrons that have been accelerated lower in the corona and not at the bow shock of CMEs. Similarly, impulsive energetic electrons observed in the interplanetary medium are not the exclusive result of electron acceleration at the bow shocks of CMEs; rather they have a coronal origin.     

A Twin-CME Scenario for Ground Level Enhancement Events

Ground Level Enhancement (GLEs) events are extreme Solar Energetic Particle (SEP) events. Protons in these events often reach ～GeV/nucleon. Understanding the underlying particle acceleration mechanism in these events is a major goal for Space Weather studies. In Solar Cycle 23, a total of 16 GLEs have been identified. Most of them have preceding CMEs and in-situ energetic particle observations show some of them are enhanced in ICME or flare-like material. Motivated by this observation, we discuss here a scenario in which two CMEs erupt in sequence during a short period of time from the same Active Region (AR) with a pseudo-streamer-like pre-eruption magnetic field configuration. The first CME is narrower and slower and the second CME is wider and faster. We show that the magnetic field configuration in our proposed scenario can lead to magnetic reconnection between the open and closed field lines that drape and enclose the first CME and its driven shock. The combined effect of the presence of the first shock and the existence of the open close reconnection is that when the second CME erupts and drives a second shock, one finds both an excess of seed population and an enhanced turbulence level at the front of the second shock than the case of a single CME-driven shock. Therefore, a more efficient particle acceleration will occur. The implications of our proposed scenario are discussed.     

Theoretical modeling for the stereo mission

We summarize the theory and modeling efforts for the STEREO mission, which will be used to interpret the data of both the remote-sensing (SECCHI, SWAVES) and in-situ instruments (IMPACT, PLASTIC). The modeling includes the coronal plasma, in both open and closed magnetic structures, and the solar wind and its expansion outwards from the Sun, which defines the heliosphere. Particular emphasis is given to modeling of dynamic phenomena associated with the initiation and propagation of coronal mass ejections (CMEs). The modeling of the CME initiation includes magnetic shearing, kink instability, filament eruption, and magnetic reconnection in the flaring lower corona. The modeling of CME propagation entails interplanetary shocks, interplanetary particle beams, solar energetic particles (SEPs), geoeffective connections, and space weather. This review describes mostly existing models of groups that have committed their work to the STEREO mission, but is by no means exhaustive or comprehensive regarding alternative theoretical approaches.     

Properties of Ground Level Enhancement Events and the Associated Solar Eruptions During Solar Cycle 23

Solar cycle 23 witnessed the most complete set of observations of coronal mass ejections (CMEs) associated with the Ground Level Enhancement (GLE) events. We present an overview of the observed properties of the GLEs and those of the two associated phenomena, viz., flares and CMEs, both being potential sources of particle acceleration. Although we do not find a striking correlation between the GLE intensity and the parameters of flares and CMEs, the solar eruptions are very intense involving X-class flares and extreme CME speeds (average ～2000?km/s). An M7.1 flare and a 1200?km/s CME are the weakest events in the list of 16 GLE events. Most (80?%) of the CMEs are full halos with the three non-halos having widths in the range 167 to 212?degrees. The active regions in which the GLE events originate are generally large: 1290?msh (median 1010?msh) compared to 934?msh (median: 790?msh) for SEP-producing active regions. For accurate estimation of the CME height at the time of metric type?II onset and GLE particle release, we estimated the initial acceleration of the CMEs using flare and CME observations. The initial acceleration of GLE-associated CMEs is much larger (by a factor of 2) than that of ordinary CMEs (2.3?km/s² vs. 1?km/s²). We confirmed the initial acceleration for two events for which CME measurements are available in the inner corona. The GLE particle release is delayed with respect to the onset of all electromagnetic signatures of the eruptions: type?II bursts, low frequency type?III bursts, soft X-ray flares and CMEs. The presence of metric type?II radio bursts some 17?min (median: 16?min; range: 3 to 48?min) before the GLE onset indicates shock formation well before the particle release. The release of GLE particles occurs when the CMEs reach an average height of ～3.09?R _s (median: 3.18?R _s ; range: 1.71 to 4.01?R _s ) for well-connected events (source longitude in the range W20–W90). For poorly connected events, the average CME height at GLE particle release is ～66?% larger (mean: 5.18?R _s ; median: 4.61?R _s ; range: 2.75–8.49?R _s ). The longitudinal dependence is consistent with shock accelerations because the shocks from poorly connected events need to expand more to cross the field lines connecting to an Earth observer. On the other hand, the CME height at metric type?II burst onset has no longitudinal dependence because electromagnetic signals do not require magnetic connectivity to the observer. For several events, the GLE particle release is very close to the time of first appearance of the CME in the coronagraphic field of view, so we independently confirmed the CME height at particle release. The CME height at metric type?II burst onset is in the narrow range 1.29 to 1.8?R _s , with mean and median values of 1.53 and 1.47?R _s . The CME heights at metric type?II burst onset and GLE particle release correspond to the minimum and maximum in the Alfvén speed profile. The increase in CME speed between these two heights suggests an increase in Alfvénic Mach number from?2 to?3. The CME heights at GLE particle release are in good agreement with those obtained from the velocity dispersion analysis (Reames in Astrophys. J. 693:812, 2009a; Astrophys. J. 706:844, 2009b) including the source longitude dependence. We also discuss the implications of the delay of GLE particle release with respect to complex type?III bursts by ～18?min (median: 16?in; range: 2 to 44?min) for the flare acceleration mechanism. A?similar analysis is also performed on the delay of particle release relative to the hard X-ray emission.     

Coronal mass ejections at high heliographic latitudes: Ulysses

Nine coronal mass ejections (CMEs) have been detected in the solar wind by the Ulysses plasma experiment between 31° and 61° South. One of these events, which was also a magnetic cloud, was directly associated with an event observed by the soft X-ray telescope on Yohkoh in which large magnetic loops formed in the solar corona directly beneath Ulysses. This association suggests that the flux rope topology of the magnetic cloud resulted from reconnection between the legs of neighboring magnetic loops within the rising CME. The average CME speed (740 km s^–1) at these latitudes was comparable to that of the normal solar wind there and is much greater than average CME speeds observed either in the solar wind in the ecliptic plane or in the corona close to the Sun. We suggest that the same basic acceleration process applies to both slow CMEs and the normal solar wind at any latitude.     

Electron Acceleration in the Heliosphere

We review the evidence for electron acceleration in the heliosphere putting emphasis on the acceleration processes. There are essentially four classes of such processes: shock acceleration, reconnection, wave particle interaction, and direct acceleration by electric fields. We believe that only shock and electric field acceleration can in principle accelerate electrons to very high energies. The shocks known in the heliosphere are coronal shocks, traveling interplanetary shocks, CME shocks related to solar type II radio bursts, planetary bow shocks, and the termination shock of the heliosphere. Even in shocks the acceleration of electrons requires the action of wave particle resonances of which beam driven whistlers are the most probable. Other mechanisms of acceleration make use of current driven instabilities which lead to electron and ion hole formation. In reconnection acceleration is in the current sheet itself where the particles perform Speiser orbits. Otherwise, acceleration takes place in the slow shocks which are generated in the reconnection process and emanate from the diffusion region in the Petschek reconnection model and its variants. Electric field acceleration is found in the auroral zones of the planetary magnetospheres and may also exist on the sun and other stars including neutron stars. The electric potentials are caused by field aligned currents and are concentrated in narrow double layers which physically are phase space holes in the ion and electron distributions. Many of them add up to a large scale electric field in which the electrons may be impulsively accelerated to high energies and heated to large temperatures.     

Particle acceleration at the Sun and in the heliosphere

Energetic particles are accelerated in rich profusion at sites throughout the heliosphere. They come from solar flares in the low corona, from shock waves driven outward by coronal mass ejections (CMEs), from planetary magnetospheres and bow shocks. They come from corotating interaction regions (CIRs) produced by high-speed streams in the solar wind, and from the heliospheric termination shock at the outer edge of the heliospheric cavity. We sample many populations near Earth, but can distinguish them readily by their element and isotope abundances, ionization states, energy spectra, angular distributions and time behavior. Remote spacecraft have probed the spatial distributions of the particles and examined new sources in situ. Most acceleration sources can be ‘seen’ only by direct observation of the particles; few photons are produced at these sites. Wave-particle interactions are an essential feature in acceleration sources and, for shock acceleration, new evidence of energetic-proton-generated waves has come from abundance variations and from local cross-field scattering. Element abundances often tell us the physics of the source plasma itself, prior to acceleration. By comparing different populations, we learn more about the sources, and about the physics of acceleration and transport, than we can possibly learn from one source alone. This revised version was published online in August 2006 with corrections to the Cover Date.     

The Evolving Sigmoid: Evidence for Magnetic Flux Ropes in the Corona Before, During, and After CMES

It is generally accepted that the energy that drives coronal mass ejections (CMEs) is magnetic in origin. Sheared and twisted coronal fields can store free magnetic energy which ultimately is released in the CME. We explore the possibility of the specific magnetic configuration of a magnetic flux rope of field lines that twist about an axial field line. The flux rope model predicts coronal observables, including heating along forward or inverse S-shaped, or sigmoid, topological surfaces. Therefore, studying the observed evolution of such sigmoids prior to, during, and after the CME gives us crucial insight into the physics of coronal storage and release of magnetic energy. In particular, we consider (1) soft-X-ray sigmoids, both transient and persistent; (2) The formation of a current sheet and cusp-shaped post-flare loops below the CME; (3) Reappearance of sigmoids after CMEs; (4) Partially erupting filaments; (5) Magnetic cloud observations of filament material.     

GeV Particle Acceleration in Solar Flares and Ground Level Enhancement (GLE) Events

Ground Level Enhancement (GLE) events represent the most energetic class of solar energetic particle (SEP) events, requiring acceleration processes to boost ?1?GeV ions in order to produce showers of secondary particles in the Earth’s atmosphere with sufficient intensity to be detected by ground-level neutron monitors, above the background of cosmic rays. Although the association of GLE events with both solar flares and coronal mass ejections (CMEs) is undisputed, the question arises about the location of the responsible acceleration site: coronal flare reconnection sites, coronal CME shocks, or interplanetary shocks? To investigate the first possibility we explore the timing of GLE events with respect to hard X-ray production in solar flares, considering the height and magnetic topology of flares, the role of extended acceleration, and particle trapping. We find that 50% (6 out of 12) of recent (non-occulted) GLE events are accelerated during the impulsive flare phase, while the remaining half are accelerated significantly later. It appears that the prompt GLE component, which is observed in virtually all GLE events according to a recent study by Vashenyuk et al. (Astrophys. Space Sci. Trans. 7(4):459–463, 2011), is consistent with a flare origin in the lower corona, while the delayed gradual GLE component can be produced by both, either by extended acceleration and/or trapping in flare sites, or by particles accelerated in coronal and interplanetary shocks.     

Numerical Magnetohydrodynamic (MHD) Modeling of Coronal Mass Ejections (CMEs)

The Coronal Mass Ejection (CME) is arguably the most important discovery of solar eruptive phenomena in the 20th century. It is now also recognized that CMEs have great impact on the Earth's environment by inducing geomagnetic storms. Thus, development of simulation models to understand the physical mechanisms of CME initiation and propagation has become a challenge in the solar MHD community. In this paper we shall summarize chronologically the development of the theoretical analyses, and the successes and failures of the numerical magnetohydrodynamic (MHD) simulations of coronal mass ejections (CMEs) during the past two decades. The chronological development of numerical simulation models and the evolution of the numerical methods to treat this class of problems are presented. The most appropriate way to model CMEs is to have (i) a realistic pre-event coronal atmosphere, and (ii) realistic driving mechanisms. Details of the progress and assessment of the theoretical and modeling efforts for the understanding of the physics of the CME initiation and propagation will be presented, and the numerical methods to construct these simulation models will be discussed.     

Solar Sources of Heliospheric Energetic Electron Events—Shocks or Flares?

Electrons with near-relativistic (E≳30 keV, NrR) and relativistic (E≳0.3 MeV) energies are often observed as discrete events in the inner heliosphere following solar transient activity. Several acceleration mechanisms have been proposed for the production of those electrons. One candidate is acceleration at MHD shocks driven by coronal mass ejections (CMEs) with speeds ≳1000 km s⁻¹. Many NrR electron events are temporally associated only with flares while others are associated with flares as well as with CMEs or with radio type II shock waves. Since CME onsets and associated flares are roughly simultaneous, distinguishing the sources of electron events is a serious challenge. On a phenomenological basis two classes of solar electron events were known several decades ago, but recent observations have presented a more complex picture. We review early and recent observational results to deduce different electron event classes and their viable acceleration mechanisms, defined broadly as shocks versus flares. The NrR and relativistic electrons are treated separately. Topics covered are: solar electron injection delays from flare impulsive phases; comparisons of electron intensities and spectra with flares, CMEs and accompanying solar energetic proton (SEP) events; multiple spacecraft observations; two-phase electron events; coronal flares; shock-associated (SA) events; electron spectral invariance; and solar electron intensity size distributions. This evidence suggests that CME-driven shocks are statistically the dominant acceleration mechanism of relativistic events, but most NrR electron events result from flares. Determining the solar origin of a given NrR or relativistic electron event remains a difficult proposition, and suggestions for future work are given.     

A Comparison of Ground Level Event e/p and Fe/O Ratios with Associated Solar Flare and CME Characteristics

Solar energetic particle (SEP) events reaching rigidities >1 GV are observed at 1?AU as ground-level events (GLEs). They are considered to be extreme cases of gradual SEP events, produced by shocks driven by wide and fast CMEs that are usually associated with long-duration (>1 hour) soft X-ray (SXR) flares. However, some large gradual SEP events, including GLEs, are associated with flares of short-duration (<1 hour) timescales comparable to those of flares seen with impulsive, low-energy SEP events with enhanced charge states, heavy-element abundances, and e/p ratios. The association of some GLEs with short-duration SXR events challenges us to understand the GLE event-to-event variation with SXR durations and whether it truly reflects the nature of the particle acceleration processes or simply the characteristics of the solar regions from which large, fast CMEs arise. We examine statistically the associated flare, active region (AR), and CME characteristics of ～40?GLEs observed since 1976 to determine how the GLE e/p and Fe/O ratios, each measured in two energy ranges, depend on those characteristics. The abundance ratios trend weakly to lower, more coronal, and less scattered values with increasing flare timescales, thermal and nonthermal peak fluxes, and measures of source AR sizes. These results and the wide range of solar longitude connections for GLEs with high abundance ratios argue against a significant role for flare effects in the GLEs. We suggest that GLE SEPs are accelerated predominately in CME-driven shocks and that a coupling of flare size and timescales with CME properties could explain the SEP abundance correlations with flare properties.     

Coronal Observations of CMEs

CMEs have been observed for over 30 years with a wide variety of instruments. It is now possible to derive detailed and quantitative information on CME morphology, velocity, acceleration and mass. Flares associated with CMEs are observed in X-rays, and several different radio signatures are also seen. Optical and UV spectra of CMEs both on the disk and at the limb provide velocities along the line of sight and diagnostics for temperature, density and composition. From the vast quantity of data we attempt to synthesize the current state of knowledge of the properties of CMEs, along with some specific observed characteristics that illuminate the physical processes occurring during CME eruption. These include the common three-part structures of CMEs, which is generally attributed to compressed material at the leading edge, a low-density magnetic bubble and dense prominence gas. Signatures of shock waves are seen, but the location of these shocks relative to the other structures and the occurrence rate at the heights where Solar Energetic Particles are produced remains controversial. The relationships among CMEs, Moreton waves, EIT waves, and EUV dimming are also cloudy. The close connection between CMEs and flares suggests that magnetic reconnection plays an important role in CME eruption and evolution. We discuss the evidence for reconnection in current sheets from white-light, X-ray, radio and UV observations. Finally, we summarize the requirements for future instrumentation that might answer the outstanding questions and the opportunities that new space-based and ground-based observatories will provide in the future.     

The Localization of Particle Acceleration Sites in Solar Flares and CMES

We review the particular aspect of determining particle acceleration sites in solar flares and coronal mass ejections (CMEs). Depending on the magnetic field configuration at the particle acceleration site, distinctly different radiation signatures are produced: (1) If charged particles are accelerated along compact closed magnetic field lines, they precipitate to the solar chromosphere and produce hard X-rays, gamma rays, soft X-rays, and EUV emission; (2) if they are injected into large-scale closed magnetic field structures, they remain temporarily confined (or trapped) and produce gyrosynchrotron emission in radio and bremsstrahlung in soft X-rays; (3) if they are accelerated along open field lines they produce beam-driven plasma emission with a metric starting frequency; and (4) if they are accelerated in a propagating CME shock, they can escape into interplanetary space and produce beam-driven plasma emission with a decametric starting frequency. The latter two groups of accelerated particles can be geo-effective if suitably connected to the solar west side. Particle acceleration sites can often be localized by modeling the magnetic topology from images in different wavelengths and by measuring the particle velocity dispersion from time-of-flight delays.     

Modelling of Solar Wind, CME Initiation and CME Propagation

Simulations of coronal mass ejections (CMEs) evolving in the interplanetary (IP) space from the Sun up to 1 AU are performed in the framework of ideal magnetohydrodynamics (MHD) by the means of a finite-volume, explicit solver. The aim is to quantify the effect of the background solar wind and of the CME initiation parameters, such as the initial magnetic polarity, on the evolution and on the geo-effectiveness of CMEs. First, three different solar wind models are reconstructed using the same numerical grid and the same numerical scheme. Then, different CME initiation models are considered: Magnetic foot point shearing and magnetic flux emergence. For the fast CME evolution studies, a very simple CME model is considered: A high-density and high-pressure magnetized plasma blob is superposed on a background steady state solar wind model with an initial velocity and launch direction. The simulations show that the initial magnetic polarity substantially affects the IP evolution of the CMEs influencing the propagation velocity, the shape, the trajectory (and thus, the geo-effectiveness).     

What Determines the Composition of SEPs in Gradual Events?

Gradual solar energetic particle (SEP) events are evidently accelerated by coronal/interplanetary shocks driven by coronal mass ejections. This talk addresses the different factors which determine the composition of the accelerated ions. The first factor is the set of available seed populations including the solar wind core and suprathermal tail, remnant impulsive events from preceding solar flares, and remnant gradual events. The second factor is the fractionation of the seed ions by the injection process, that is, what fraction of the ions are extracted by the shock to participate in diffusive shock acceleration. Injection is a controversial topic since it depends on the detailed electromagnetic structure of the shock transition and the transport of ions in these structured fields, both of which are not well understood or determined theoretically. The third factor is fractionation during the acceleration process, due to the dependence of ion transport in the turbulent electromagnetic fields adjacent to the shock on the mass/charge ratio. Of crucial importance in the last two factors is the magnetic obliquity of the shock. The form of the proton-excited hydromagnetic wave spectrum is also important. Finally, more subtle effects on ion composition arise from the superposition of ion contributions over the time history of the shock along the observer’s magnetic flux tube, and the sequence of flux tubes sampled by the observer.     

The Pre-CME Sun

The coronal mass ejection (CME) phenomenon occurs in closed magnetic field regions on the Sun such as active regions, filament regions, transequatorial interconnection regions, and complexes involving a combination of these. This chapter describes the current knowledge on these closed field structures and how they lead to CMEs. After describing the specific magnetic structures observed in the CME source region, we compare the substructures of CMEs to what is observed before eruption. Evolution of the closed magnetic structures in response to various photospheric motions over different time scales (convection, differential rotation, meridional circulation) somehow leads to the eruption. We describe this pre-eruption evolution and attempt to link them to the observed features of CMEs. Small-scale energetic signatures in the form of electron acceleration (signified by nonthermal radio bursts at metric wavelengths) and plasma heating (observed as compact soft X-ray brightening) may be indicative of impending CMEs. We survey these pre-eruptive energy releases using observations taken before and during the eruption of several CMEs. Finally, we discuss how the observations can be converted into useful inputs to numerical models that can describe the CME initiation.