CIR Associated Energetic Particles in the Inner and Middle Heliosphere

Energetic particles associated with Corotating Interaction Regions (CIRs) are observed throughout the inner and middle heliosphere, showing large positive (>100%/AU) radial intensity gradients. Their appearance at 1 AU is associated with the appearance of fast, recurrent solar wind streams. At several AU, CIR energetic particles are accelerated at shocks which propagate away from the interface of fast and slow solar wind streams. CIR energy spectra at 1 AU cover the range >35 keV to several MeV/amu; the spectra steepen above ∼1 MeV/amu, and show no turnover even at the lowest energies. The ion composition of CIRs is similar to solar material, but with significant differences that might be due to properties of the seed population and/or the acceleration process. This paper summarizes properties of energetic particles in CIRs as known through the early 1990s, prior to the launch of the Ulysses, and WIND spacecraft, whose new results are presented in Kunow, Lee et al. (1999) in this volume. This revised version was published online in August 2006 with corrections to the Cover Date.     

Corotating Interaction Regions at High Latitudes

Ulysses observed a stable strong CIR from early 1992 through 1994 during its first journey into the southern hemisphere. After the rapid latitude scan in early 1995, Ulysses observed a weaker CIR from early 1996 to mid-1997 in the northern hemisphere as it traveled back to the ecliptic at the orbit of Jupiter. These two CIRs are the observational basis of the investigation into the latitudinal structure of CIRs. The first CIR was caused by an extension of the northern coronal hole into the southern hemisphere during declining solar activity, whereas the second CIR near solar minimum activity was caused by small warps in the streamer belt. The latitudinal structure is described through the presentation of three 26-day periods during the southern CIR. The first at ∼24°S shows the full plasma interaction region including fast and slow wind streams, the compressed shocked flows with embedded stream interface and heliospheric current sheet (HCS), and the forward and reverse shocks with associated accelerated ions and electrons. The second at 40°S exhibits only the reverse shock, accelerated particles, and the 26-day modulation of cosmic rays. The third at 60°S shows only the accelerated particles and modulated cosmic rays. The possible mechanisms for the access of the accelerated particles and the CIR-modulated cosmic rays to high latitudes above the plasma interaction region are presented. They include direct magnetic field connection across latitude due to stochastic field line weaving or to systematic weaving caused by solar differential rotation combined with non-radial expansion of the fast wind. Another possible mechanism is particle diffusion across the average magnetic field, which includes stochastic field line weaving. A constraint on connection to a distant portion of the CIR is energy loss in the solar wind, which is substantial for the relatively slow-moving accelerated ions. Finally, the weaker northern CIR is compared with the southern CIR. It is weak because the inclination of the streamer belt and HCS decreased as Ulysses traveled to lower latitudes so that the spacecraft remained at about the maximum latitudinal extent of the HCS. This revised version was published online in August 2006 with corrections to the Cover Date.     

Particle acceleration in solar flares and some related phenomena

Observational features concerning solar energetic particles are compactly reviewed with some emphasis on the spectra and time histories. Velocity dependent characteristics in the energy spectra are pointed out, and compared to the results of the interplanetary shocks. A shock drift acceleration is introduced in order to interpret the observational features, especially a very fast acceleration to MeV energies within an order of second. There is a strong evidence of the shock drift acceleration in the interplanetary shocks. When some conditions are satisfied in the corona, only one or several encounters of particles with a near perpendicular shock accelerates protons to gamma-ray emitting energies (> 10 MeV). Pre-acceleration is inevitable for any kind of acceleration mechanisms in solar flares. To fulfill the requirements from the abundance ratios between various species of accelerated ions, pre-acceleration to the same velocities before the injection into a main acceleration process turns out to be absolutely necessary.     

IMF connection for energetic protons observed at Ulysses via mid-latitude solar wind rarefaction regions

As Ulysses moved inward and southward from mid-1992 to early 1994 we noticed the occasional occurrence of inter-events, lasting about 10 days and falling between the recurrent events, observed at proton energies of 0.48–97 MeV, associated with Corotating Interaction Regions (CIR). These inter-events were present for several sequences of two or more solar rotations at intensity levels around 1% of those of the neighbouring main events. When we compared the Ulysses events with those measured on IMP-8 at 1 AU we saw that the inter-events appeared at Ulysses after the extended emission (>10 days) of large fluxes of solar protons of the same energy that lasted at least one solar rotation at 1 AU. The inter-events fell completely within the rarefaction regions (dv/dt<0) of the recurrent solar wind streams. The interplanetary magnetic field (IMF) lines in the rarefactions map back to the narrow range of longitudes at the Sun which mark the eastern edge of the source region of the high speed stream. Thus the inter-events are propagating at mid-latitudes to Ulysses along field lines free from stream-stream interactions. They are seen in the 0.39–1.28 MeV/nucleon He, which exhibit a faster decay, but almost never in the 38–53 keV electrons. We show that the inter-events are unlikely to be accelerated by reverse shocks associated with the CIRs and that they are more likely to be accelerated by sequences of solar events and transported along the IMF in the rarefactions of the solar wind streams.     

Shock acceleration of energetic particles in the heliosphere

The theory of shock acceleration of energetic particles is briefly discussed and reviewed with an emphasis on clarifying the apparent distinction between the V × B and Fermi mechanisms. Attention is restricted to those situations in which the energetic particles do not themselves influence the given shock structure. In particular, application of the theory to the acceleration of energetic particles in corotating interaction regions (CIR) in the solar wind is presented. Here particles are accelerated at the forward and reverse shocks which bound the CIR by being compressed between the shock fronts and magnetic irregularities upstream from the shocks, or by being compressed between upstream irregularities and those downstream from the shocks. Particles also suffer adiabatic deceleration in the expanding solar wind, an effect not included in previous shock models for acceleration in CIRs. The model is able to account for the observed exponential spectra at Earth, the observed behavior of the spectra with radial distance, the observed radial gradients in the intensity, and the observed differences in the intensity and spectra at the forward and reverse shocks.Calculations and resulting energy spectra are also presented for shock acceleration of energetic particles in large solar flare events. Based on the simplifying assumption that the shock evolves as a spherically symmetric Sedov blast wave, the calculation yields the time-integrated spectrum of particles initially injected at the shock which eventually escape ahead of the shock into interplanetary space. The spectra are similar to those observed at Earth. Finally further applications are suggested.An invited paper presented at STIP Workshop on Shock Waves in the Solar Corona and Interplanetary Space, 15–19 June, 1980, Smolenice, Czechoslovakia.     

A Brief History of Recurrent Solar Modulation of the Galactic Cosmic Rays (1937-1990)

This brief review of the pre-Ulysses era begins with the first measurements by ionization chambers in 1937 of a cosmic ray 27-day intensity variation that was believed to have its origin in recurrent variations of the geomagnetic field. However, with the introduction of neutron monitor analysis of the nucleonic component, it was shown in the 1940s and 1950s that this cosmic ray intensity variation arose from interplanetary dynamical phenomena. Beginning in the 1960s direct spacecraft investigations in the heliosphere with Pioneer-10, Pioneer-11, Voyager-1 and Voyager-2 proved that Corotating Interaction Regions were not only the source of the cosmic ray recurrent intensity modulation, but also the source of charged particles accelerated in corotating forward and reverse shocks associated with the corotating interaction regions.These early investigations, confined to low latitudes, have contributed to the understanding of solar phenomena, interplanetary dynamics, charge particle acceleration and the Sun-Earth convection.     

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.     

Particle Acceleration by the Sun: Electrons, Hard X-rays/Gamma-rays

Observations of hard X-ray (HXR)/γ-ray continuum and γ-ray lines produced by energetic electrons and ions, respectively, colliding with the solar atmosphere, have shown that large solar flares can accelerate ions up to many GeV and electrons up to hundreds of MeV. Solar energetic particles (SEPs) are observed by spacecraft near 1 AU and by ground-based instrumentation to extend up to similar energies, but it appears that a different acceleration process, one associated with fast Coronal Mass Ejections (CMEs) is responsible. Much weaker SEP events are observed that are generally rich in electrons, ³He, and heavy elements. The energetic particles in these events appear to be similar to those accelerated in flares. The Ramaty High Energy Solar Spectroscopic Imager (RHESSI) mission provides high-resolution spectroscopy and imaging of flare HXRs and γ-rays. The observations of the location, energy spectra, and composition of the flare accelerated energetic particles at the Sun strongly imply that the acceleration is closely related to the magnetic reconnection that releases the energy in solar flares. Here preliminary comparisons of the RHESSI observations with observations of both energetic electrons and ions near 1 AU are reviewed, and the implications for the particle acceleration and escape processes are discussed.     

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.     

Ulysses solar wind observations to 56° south

In the 25 months since Jupiter flyby, the Ulysses spacecraft has climbed southward to a heliolatitude of 56°. This transit has been marked by an evolution from slow, dense coronal streamer belt solar wind through two regions where the rotation of the Sun carried Ulysses back and forth between streamer belt and polar coronal hole flows, and finally into a region of essentially continuous fast, low density solar wind from the southern polar coronal hole. Throughout these large changes, the momentum flux normalized to 1 AU displays very little systematic variation. In addition, the bulk properties of the polar coronal hole solar wind are quite similar to those observed in high speed streams in the ecliptic plane at 1 AU. Coronal mass ejections and forward and reverse shocks associated with corotating interaction regions have also been observed at higher heliolatitudes, however they are seen less frequently with increasing southern heliolatitude. Ulysses has thus far collected data from 20° of nearly contiguous solar wind flows from the polar coronal hole. We examine these data for characteristic variations with heliolatitude and find that the bulk properties in general show very little systematic variation across the southern polar coronal hole so far.     

Ion acceleration at shocks in interplanetary space: A brief review of recent observations

The mechanism by which ions are accelerated near the Earth's bow shock and near shocks propagating outward from the Sun in response to solar activity appears to be essentially the same. For both types of shock the solar wind thermal distribution acts as a seed population. Leaked magnetospheric ions and resident flare ions are additional seed populations for the bow shock and outward propagating shocks respectively. The acceleration of solar wind ions at these shocks begins with either the reflection of ions off the shock or leakage of shocked plasma back through the shock. Interaction with a disruption wave field self-generated by these backstreaming ions is responsible for the remainder of the acceleration at the bow shock. Both the disruption wave field and the ambient interplanetary wave field play important roles in accelerating ions at outward propagating shocks, but on different time scales. The geometry of the shock and the duration of field line connection to the shock play decisive roles in determining what is observed.     

Computer modeling of test particle acceleration at oblique shocks

We review the basic techniques and results of numerical codes used to model the acceleration of charged particles at oblique, fast-mode, collisionless shocks. The emphasis is upon models in which accelerated particles (ions) are treated as test particles, and particle dynamics is calculated by numerically integrating along exact phase-space orbits. We first review the case where ions are sufficiently energetic so that the shock can be approximated by a planar discontinuity, and where the electromagnetic fields on both sides of the shock are defined at the outset of each computer run. When the fields are uniform and static, particles are accelerated by the scatter-free drift acceleration process at a single shock encounter. We review the characteristics of scatter-free drift acceleration by considering how an incident particle distribution is modified by interacting with a shock. Next we discuss drift acceleration when magnetic fluctuations are introduced on both sides of the shock, and compare these results with those obtained under scatter-free conditions. We describe the modeling of multiple shock encounters, discuss specific applications, and compare the model predictions with theory. Finally, we review some recent numerical simulations that illustrate the importance of shock structure to both the ion injection process and to the acceleration of ions to high energies at quasi-perpendicular shocks.     

Cosmological Shock Waves

Large-scale structure formation, accretion and merging processes, AGN activity produce cosmological gas shocks. The shocks convert a fraction of the energy of gravitationally accelerated flows to internal energy of the gas. Being the main gas-heating agent, cosmological shocks could amplify magnetic fields and accelerate energetic particles via the multi-fluid plasma relaxation processes. We first discuss the basic properties of standard single-fluid shocks. Cosmological plasma shocks are expected to be collisionless. We then review the plasma processes responsible for the microscopic structure of collisionless shocks. A tiny fraction of the particles crossing the shock is injected into the non-thermal energetic component that could get a substantial part of the ram pressure power dissipated at the shock. The energetic particles penetrate deep into the shock upstream producing an extended shock precursor. Scaling relations for postshock ion temperature and entropy as functions of shock velocity in strong collisionless multi-fluid shocks are discussed. We show that the multi-fluid nature of collisionless shocks results in excessive gas compression, energetic particle acceleration, precursor gas heating, magnetic field amplification and non-thermal emission. Multi-fluid shocks provide a reduced gas entropy production and could also modify the observable thermodynamic scaling relations for clusters of galaxies.     

High-latitude observations of energetic ions during the first Ulysses polar pass

We present observations of energetic ions from the Ulysses COSPIN Low Energy Telescope in the mid and high-latitude regions of the heliosphere prior to and during the first polar pass of the Ulysses spacecraft. After the encounter with Jupiter, Ulysses started on its journey out-of-the-ecliptic. Between 13°S and 29°S the spacecraft sampled the solar wind from both the streamer belt and the polar coronal hole. Here, co-rotating magnetic structures with forward and reverse shocks and containing accelerated energetic ions were observed.At latitudes greater than 29°S, Ulysses was completely immersed in the solar wind from the polar coronal hole. Here the co-rotating magnetic structures were weaker, and in general had only reverse shocks, but were still capable of accelerating the energetic ions, albeit with reduced intensity. The most recent results show that beyond 50°S, very few if any, reverse shocks are observed. However, accelerated ions from magnetic interaction regions are still observed. We report also on an intensity enhancement at 50°S due to the passage of a high-latitude CME.     

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.     

Optical and UV Diagnostics of Supernova Remnant Shocks

The relatively faint optical and UV emission from non-radiative shock waves provides diagnostics for processes related to cosmic ray acceleration in collisionless shocks. Emission line profiles and intensities can be used to determine the efficiencies of electron-ion and ion-ion thermal equilibration, which influence the population of fast particles injected into the acceleration process. It is found that T _e/T _p declines with shock speed and that T _i is roughly proportional to mass in fast shocks. Important information about cosmic ray precursors may be available, but the interpretation is still somewhat ambiguous. The compression ratios in shocks which efficiently accelerate cosmic rays are predicted to be substantially larger than the factor of 4 expected for a strong shock in a = 5/3 perfect gas, and some limits may be available from observations.     

The plasma physics of shock acceleration

The notion that plasma shocks in astrophysical settings can and do accelerate charged particles to high energies is not a new one. However, in recent years considerable progress has been achieved in understanding the role particle acceleration plays both in astrophysics and in the shock process itself. In this paper we briefly review the history and theory of shock acceleration, paying particular attention to theories of parallel shocks which include the backreaction of accelerated particles on the shock structure. We discuss in detail the work that computer simulations, both plasma and Monte Carlo, are playing in revealing how thermal ions interact with shocks and how particle acceleration appears to be an inevitable and necessary part of the basic plasma physics that governs collisionless shocks. We briefly describe some of the outstanding problems that still confront theorists and observers in this field.     

Solar Energetic Particle Composition, Energy Spectra, and Space Weather

Recent progress in measuring the composition and energy spectra of solar energetic particles (SEPs) accelerated by CME-driven shocks is reviewed, including a comparison of the observed charge-to-mass dependence of breaks in SEP spectra with model predictions. Also discussed is a comparison of SEP and CME kinetic energies in seventeen large SEP events, and estimates of the SEP radiation dose that astronauts would be subject to once they venture outside the protective cover of Earth’s magnetosphere.     

Shock Acceleration of Ions in the Heliosphere

Energetic particles constitute an important component of the heliospheric plasma environment. They range from solar energetic particles in the inner heliosphere to the anomalous cosmic rays accelerated at the interface of the heliosphere with the local interstellar medium. Although stochastic acceleration by fluctuating electric fields and processes associated with magnetic reconnection may account for some of the particle populations, the majority are accelerated by the variety of shock waves present in the solar wind. This review focuses on “gradual” solar energetic particle (SEP) events including their energetic storm particle (ESP) phase, which is observed if and when an associated shock wave passes Earth. Gradual SEP events are the intense long-duration events responsible for most space weather disturbances of Earth’s magnetosphere and upper atmosphere. The major characteristics of gradual SEP events are first described including their association with shocks and coronal mass ejections (CMEs), their ion composition, and their energy spectra. In the context of acceleration mechanisms in general, the acceleration mechanism responsible for SEP events, diffusive shock acceleration, is then described in some detail including its predictions for a planar stationary shock, shock modification by the energetic particles, and wave excitation by the accelerating ions. Finally, some complexities of shock acceleration are addressed, which affect the predictive ability of the theory. These include the role of temporal and spatial variations, the distinction between the plasma and wave compression ratios at the shock, the injection of thermal plasma at the shock into the process of shock acceleration, and the nonlinear evolution of ion-excited waves in the vicinity of the shock.     

Modeling of 3-D Corotating Cosmic-Ray Structures in the Heliosphere

We present a brief review of the modeling of corotating 3-dimensional features in heliospheric cosmic rays. The model heliosphere incorporates a wavy current sheet and Corotating Interaction Regions (CIRs). We find that present models can qualitatively account for the observed extension of recurrent 26-day cosmic-ray variations to high heliospheric latitudes if perpendicular diffusion is significant. The recurrent enhancement of low-energy (MeV) particles accelerated at CIR-s is also shown to fit into this same picture.