The Physics of Interstellar Dust

**Series in Astronomy and Astrophysics
**

Series Editors: M Birkinshaw, University of Bristol, UK M Elvis, Harvard–Smithsonian Center for Astrophysics, USA J Silk, University of Oxford, UK The Series in Astronomy and Astrophysics includes books on all aspects of theoretical and experimental astronomy and astrophysics. Books in the series range in level from textbooks and handbooks to more advanced expositions of current research. Other books in the series Dark Sky, Dark Matter J M Overduin and P S Wesson Dust in the Galactic Environment, 2nd Edition D C B Whittet An Introduction to the Science of Cosmology D J Raine and E G Thomas The Origin and Evolution of the Solar System M M Woolfson The Physics of the Interstellar Medium J E Dyson and D A Williams Dust and Chemistry in Astronomy T J Millar and D A Williams (eds) Observational Astrophysics R E White (ed) Stellar Astrophysics R J Tayler (ed) Forthcoming titles Very High Energy Gamma Ray Astronomy T Weekes Numerical Methods in Astrophysics P Bodenheimer, G Laughlin, M Rozyczka and H W Yorker

Series in Astronomy and Astrophysics

The Physics of Interstellar Dust

**Endrik Kr¨ gel u
**

Max-Planck-Institut f¨ r Radioastronomie, u Bonn, Germany

Institute of Physics Publishing Bristol and Philadelphia

c IOP Publishing Ltd 2003 All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, without the prior permission of the publisher. Multiple copying is permitted in accordance with the terms of licences issued by the Copyright Licensing Agency under the terms of its agreement with Universities UK (UUK). British Library Cataloguing-in-Publication Data A catalogue record for this book is available from the British Library. ISBN 0 7503 0861 3 Library of Congress Cataloging-in-Publication Data are available

Series Editors: M Birkinshaw, University of Bristol, UK M Elvis, Harvard–Smithsonian Center for Astrophysics, USA J Silk, University of Oxford, UK Commissioning Editor: John Navas Production Editor: Simon Laurenson Production Control: Sarah Plenty Cover Design: Victoria Le Billon Marketing: Nicola Newey and Verity Cooke Published by Institute of Physics Publishing, wholly owned by The Institute of Physics, London Institute of Physics Publishing, Dirac House, Temple Back, Bristol BS1 6BE, UK US Ofﬁce: Institute of Physics Publishing, The Public Ledger Building, Suite 929, 150 South Independence Mall West, Philadelphia, PA 19106, USA

A Typeset in LTEX 2ε by Text 2 Text, Torquay, Devon Printed in the UK by MPG Books Ltd, Bodmin, Cornwall

F¨ r meine Frau u

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Contents

Preface 1 The dielectric permeability 1.1 Maxwell’s equations 1.1.1 Electric ﬁeld and magnetic induction 1.1.2 Electric polarization of the medium 1.1.3 The dependence of the dielectric permeability on direction and frequency 1.1.4 The physical meaning of the electric susceptibility χ 1.1.5 Magnetic polarization of the medium 1.1.6 The magnetic susceptibility 1.1.7 Dielectrics and metals 1.1.8 Free charges and polarization charges 1.1.9 The ﬁeld equations 1.2 Waves in a dielectric medium 1.2.1 The wave equation 1.2.2 The wavenumber 1.2.3 The optical constant or refractive index 1.2.4 Energy dissipation of a grain in a variable ﬁeld 1.3 The harmonic oscillator 1.3.1 The Lorentz model 1.3.2 Free oscillations 1.3.3 The general solution to the oscillator equation 1.3.4 Dissipation of energy in a forced oscillation 1.3.5 Dissipation of energy in a free oscillation 1.3.6 The plasma frequency 1.3.7 Dispersion relation of the dielectric permeability 1.4 The harmonic oscillator and light 1.4.1 Attenuation and refraction of light 1.4.2 Retarded potentials of a moving charge 1.4.3 Emission of an harmonic oscillator 1.4.4 Radiation of higher order 1.4.5 Radiation damping

xix 1 1 1 2 3 4 6 7 7 8 9 10 10 11 12 13 15 15 16 17 18 19 20 20 22 23 24 26 27 28

viii

Contents

1.4.6 The cross section of an harmonic oscillator 1.4.7 The oscillator strength 1.4.8 The natural linewidth Waves in a conducting medium 1.5.1 The dielectric permeability of a conductor 1.5.2 Conductivity and the Drude proﬁle 1.5.3 Electromagnetic waves in a plasma with a magnetic ﬁeld 1.5.4 Group velocity of electromagnetic waves in a plasma Polarization through orientation 1.6.1 Polarization in a constant ﬁeld 1.6.2 Polarization in a time-variable ﬁeld 1.6.3 Relaxation after switching off the ﬁeld 1.6.4 The dielectric permeability in Debye relaxation 29 30 31 32 33 34 36 37 38 38 39 40 41 44 44 44 46 47 47 47 50 51 52 52 54 54 56 57 57 57 58 60 61 62 64 64 66 67 67 68 69 71 72

1.5

1.6

2

How to evaluate grain cross sections 2.1 Deﬁning cross sections 2.1.1 Cross section for scattering, absorption and extinction 2.1.2 Cross section for radiation pressure 2.1.3 Efﬁciencies, mass and volume coefﬁcients 2.2 The optical theorem 2.2.1 The intensity of forward scattered light 2.2.2 The refractive index of a dusty medium 2.3 Mie theory for a sphere 2.3.1 The generating function 2.3.2 Separation of variables 2.3.3 Series expansion of waves 2.3.4 Expansion coefﬁcients 2.3.5 Scattered and absorbed power 2.3.6 Absorption and scattering efﬁciencies 2.4 Polarization and scattering 2.4.1 The amplitude scattering matrix 2.4.2 Angle-dependence of scattering 2.4.3 The polarization ellipse 2.4.4 Stokes parameters 2.4.5 Stokes parameters of scattered light for a sphere 2.5 The Kramers–Kronig relations 2.5.1 Mathematical formulation of the relations 2.5.2 The electric susceptibility and causality 2.5.3 The Kramers–Kronig relation for the dielectric permeability 2.5.4 Extension to metals 2.5.5 Dispersion of the magnetic susceptibility 2.5.6 Three corollaries of the KK relation 2.6 Composite grains 2.6.1 Effective medium theories

Contents

2.6.2 2.6.3 2.6.4 2.6.5 3 Garnett’s mixing rule The mixing rule of Bruggeman Composition of grains in protostellar cores How size, ice and porosity change the absorption coefﬁcient

ix 73 74 74 76

Very small and very big particles 80 3.1 Tiny spheres 80 3.1.1 When is a particle in the Rayleigh limit? 80 3.1.2 Efﬁciencies of small spheres from Mie theory 81 3.1.3 A dielectric sphere in a constant electric ﬁeld 82 3.1.4 Scattering and absorption in the electrostatic approximation 84 3.1.5 Polarization and angle-dependent scattering 85 3.1.6 Small-size effects beyond Mie theory 86 3.2 A small metallic sphere in a magnetic ﬁeld 87 3.2.1 Slowly varying ﬁeld 87 3.2.2 The magnetic polarizability 89 3.2.3 The penetration depth 89 3.2.4 Limiting values of the magnetic polarizability 90 3.3 Tiny ellipsoids 90 3.3.1 Elliptical coordinates 91 3.3.2 An ellipsoid in a constant electric ﬁeld 92 3.3.3 Cross section and shape factor 93 3.3.4 Randomly oriented ellipsoids 95 3.3.5 Pancakes and cigars 95 3.3.6 Rotation about the axis of greatest moment of inertia 97 3.4 The ﬁelds inside a dielectric particle 99 3.4.1 Internal ﬁeld and depolarization ﬁeld 99 3.4.2 Depolarization ﬁeld and the distribution of surface charges 100 3.4.3 The local ﬁeld at an atom 101 3.4.4 The Clausius–Mossotti relation 101 3.5 Very large particles 103 3.5.1 Babinet’s theorem 103 3.5.2 Reﬂection and transmission at a plane surface 104 3.5.3 Huygens’ principle 106 3.5.4 Fresnel zones and a check on Huygens’ principle 109 3.5.5 The reciprocity theorem 111 3.5.6 Diffraction by a circular hole or a sphere 111 3.5.7 Diffraction behind a half-plane 113 3.5.8 Particles of small refractive index 116 3.5.9 X-ray scattering 117

x 4

Contents

Case studies of Mie calculus 4.1 Efﬁciencies of bare spheres 4.1.1 Pure scattering 4.1.2 A weak absorber 4.1.3 A strong absorber 4.1.4 A metal sphere 4.1.5 Efﬁciency versus cross section and volume coefﬁcient 4.1.6 The atmosphere of the Earth 4.2 Scattering by bare spheres 4.2.1 The scattering diagram 4.2.2 The polarization of scattered light 4.2.3 The intensity of scattered light in a reﬂection nebula 4.3 Coated spheres 4.4 Surface modes in small grains 4.5 Efﬁciencies of idealized dielectrics and metals 4.5.1 Dielectric sphere consisting of identical harmonic oscillators 4.5.2 Dielectric sphere with Debye relaxation 4.5.3 Magnetic and electric dipole absorption of small metal spheres 4.5.4 Efﬁciencies for Drude proﬁles 4.5.5 Elongated metallic particles Particle statistics 5.1 Boltzmann statistics 5.1.1 The probability of an arbitrary energy distribution 5.1.2 The distribution of maximum probability 5.1.3 Partition function and population of energy cells 5.1.4 The mean energy of harmonic oscillators 5.1.5 The Maxwellian velocity distribution 5.2 Quantum statistics 5.2.1 The unit cell h 3 of the phase space 5.2.2 Bosons and fermions 5.2.3 Bose statistics 5.2.4 Bose statistics for photons 5.2.5 Fermi statistics 5.2.6 Ionization equilibrium and the Saha equation 5.3 Thermodynamics 5.3.1 The ergodic hypothesis 5.3.2 Deﬁnition of entropy and temperature 5.3.3 The canonical distribution 5.3.4 Thermodynamic relations for a gas 5.3.5 Equilibrium conditions of the state functions 5.3.6 Speciﬁc heat of a gas 119 119 119 120 122 123 123 126 127 127 128 131 132 133 136 136 138 139 141 142 145 145 145 146 147 149 149 151 151 152 154 156 157 158 160 160 162 163 164 166 168

5

3 Transition probability for a time-variable perturbation 6.3 Quantization of the electromagnetic ﬁeld 6.2.4.3 The reciprocal lattice 7.3.3.4 Potential wells and tunneling 6.4.2.1.and high-frequency limit 5.4.1 The perturbation energy 6.2 Small perturbations 6.2.3 The Hamilton operator in quantum mechanics 6.2 The interstellar extinction curve 7.3 Metals 7.4.1.3 Wien’s displacement law and the Stefan–Boltzmann law 5.4.4 The double potential well Structure and composition of dust 7.Contents 5.4.1 A charged particle in an electromagnetic ﬁeld 6.2.1.7 The work done by magnetization 5.3.2 Low.4 van der Waals forces and hydrogen bridges 7.1.3.2 The Hamiltonian of an electron in an electromagnetic ﬁeld 6.2 Selection rules and polarization rules 6.1 Induced and spontaneous transitions 6.4 The Planck function and harmonic oscillators xi 168 169 170 170 171 172 173 175 175 175 176 177 179 179 181 181 181 182 183 183 186 186 188 192 192 192 194 198 201 201 201 203 207 207 208 209 211 213 214 214 216 219 220 5.1 Translational symmetry 7.2 The transition probability 6.3 Reddening by interstellar grains 7.1.1 Covalent bonding 7.2.2 Lattice types 7.3.3.1 Wavefunction of a particle in a constant potential 6.3.4.2 Binding in crystals 7.4.1 The Planck function 5.1.2 Ionic bonding 7.3 Rectangular potential barriers 6.2 Potential walls and Fermi energy 6.4 6 The radiative transition probability 6.4 Spectral indices 7 .2.1 Stellar photometry 7.1.3 Two-color diagrams 7.3.1 The classical Hamiltonian 6.4 The dipole moment in quantum mechanics 6.3.1 Crystal structure 7.3.1.5 The quantized harmonic oscillator 6.4 Quantum-mechanical derivation of A and B 6.3 The Einstein coefﬁcients A and B 6.2.8 Susceptibility and speciﬁc heat of magnetic substances Blackbody radiation 5.

1 The size distribution 7.5.5.4.2 Constant temperature and arbitrary optical depth 8.1 The emissivity of dust 8.4.4 Silicates 7.1 Origin of the two major dust constituents 7.4.6.2 Strong ﬂuctuations 8.4.xii Contents 7.5.4.4 Caloriﬁc properties of solids 8.5.2 The bonding in carbon 7.2.5 The mass absorption coefﬁcient Carbonaceous grains and silicate grains 7.4 The stochastic time evolution of grain temperature 8.2.3.3 Absorption and emission in thermal equilibrium 8.4.6 Two-dimensional lattices 8.4.2.2 Approximate absorption efﬁciency at infrared wavelengths 8.1 Kirchhoff’s law 8.6 The emission spectrum of very small grains 8.1.4.2 The transition matrix 8.3 Carbon compounds 7.3 Temperature ﬂuctuations and ﬂux ratios .1 Small and moderate ﬂuctuations 8.3 The emission spectrum of big grains 8.3 Temperature estimates 8.4 Equipartition of energy 8.5 8 Dust radiation 8.4 The density of vibrational modes in a crystal 8.3.1.2 Thermal emission of grains 8.1 Normal coordinates 8.4.5 Speciﬁc heat 8.5.1 Constant temperature and low optical depth 8.5.2 Collisional fragmentation 222 224 224 225 227 232 233 234 234 236 239 239 239 240 241 242 243 243 243 245 247 248 249 251 251 253 254 254 256 257 258 259 261 262 263 263 265 266 268 268 270 272 7.5 Temperature ﬂuctuations of very small grains 8.3 Practical considerations 8.6 Dust temperatures from observations 8.2 The temperature of big grains 8.1.4.5 Temperature of dust grains near a star 8.2.5 A standard set of optical constants Grain sizes and optical constants 7.6.3 Standing waves in a crystal 8.4 7.6.1 The energy equation 8.4.2.2 Internal energy of a grain 8.4 Relation between grain size and grain temperature 8.1 The probability density P(T ) 8.3.2.1.

7 The Poynting–Robertson effect 9.5.3.1 Normal incidence and picket fence alignment 10.1 Evaporation temperature of dust 9.2.4 Polarization p(λ) of ellipsoids in the Rayleigh limit 10.4 Absorption efﬁciency as a function of wavelength 10.1.1 Random walk 9.2 Destruction processes 9.1.5.1 Charge equilibrium in the absence of a UV radiation ﬁeld 9.1.3 Grain motion 9.3 The sticking probability 9.2 The drag on a grain subjected to a constant outer force 9.1 Grain surfaces 9.2.4 Equations for time-dependent homogeneous nucleation 9.4.3.1.1 Mass balance in the Milky Way 9.2.5 Grain formation 9.3.2 Vapor pressure of small grains 9.1.2.2.6 Scanning time 9. evaporation and reactions with activation barrier 9.3.3 Brownian motion of a grain 9.3.1.1.1 Efﬁciency of inﬁnite cylinders 10.5.5 Tunneling between surface sites 9.5.5.4 Thermal hopping.6 A falling rain drop 9.3.1.2 Physical adsorption and chemisorption 9.5.7 Similarity relations xiii 275 275 275 276 279 281 283 284 285 285 286 289 289 289 292 293 295 296 297 298 298 299 301 301 304 305 307 308 311 316 319 319 319 322 322 325 327 327 329 331 334 337 10 Polarization 10.4 The disorder time 9.3.4 Grain destruction 9.1 Gas accretion on grains 9.2 Linear polarization through extinction 10.2.4.3 Polarization p(λ) of inﬁnite cylinders 10.Contents 9 Dust and its environment 9.5 Polarization p(λ) of spheroids at optical wavelengths .2 The photoelectric effect 9.2.1 Effective optical depth and degree of polarization p(λ) 10.1.6 Solutions to time-dependent homogeneous nucleation 9.3 Critical saturation 9.5.1.2 The Serkowski curve 10.3 Rotating cylinders 10.2 Grain charge 9.5 Laminar and turbulent friction 9.2 Oblique incidence 10.5 Equilibrium distribution and steady-state nucleation 9.

3 Ferromagnetism 357 11.1.2.3.4 The magnetization of iron above and below the Curie point 358 11.1 What are PAHs? 12.1 Grain rotation 347 11.2 The wavelength dependence of circular polarization 338 339 340 340 341 342 343 344 11 Grain alignment 347 11.3.5 Suprathermal rotation 353 11.1.1.2 Infrared emission of spheroids 10.2.3 Super-paramagnetism 368 11.1 The phase shift induced by grains 10.2.3.2.3.1 Euler’s equations for a rotating body 347 11.4.3.xiv Contents 10.2 Symmetric tops 349 11.1 Gas streaming 373 11.2 Microcanonic emission of PAHs 12.3.4 Rotational Brownian motion 351 11.2.3 Magnetic alignment 364 11.4.2.6 The magnetic susceptibility for spin–lattice relaxation 360 11.2 Timescales for alignment and disorder 367 11.2 Anisotropic illumination 375 12 PAHs and spectral features of dust 12.3.2 Paramagnetism 355 11.1 Thermodynamics of PAHs 12.1.3.1 A rotating dipole in a magnetic ﬁeld 365 11.3 The vibrational modes of anthracene 12.1 The wavelength dependence of polarized emission for cylinders 10.3 Polarized emission versus polarized extinction 10.2.4 Microcanonic versus thermal level population 12.1.1.6 Mechanical and magnetic damping 372 11.4.3 Polarized emission 10.1 Diamagnetism 355 11.7 The magnetic susceptibility in spin–spin relaxation 362 11.6 Polarization and reddening 10.4 Ferromagnetic relaxation 369 11.1.4 Non-magnetic alignment 373 11.2.1.2 Magnetic dissipation 355 11.1.4 Circular polarization 10.3 Atomic magnet in a magnetic ﬁeld 351 11.3.4.5 Does an ensemble of PAHs have a temperature? 377 377 377 378 379 381 382 .1.5 Alignment of angular momentum with the axis of greatest inertia 371 11.5 Paramagnetic dissipation: spin–spin and spin–lattice relaxation 359 11.

2.1.1 Moment equations for spheres 13.2.3 Passive disks 13.2.2 Spherical clouds 13.3 Differential equations for the intensity 13.2 Frequency averages 13.1.2.3.2 Population of levels in CO 14.1 Hot spots in a spherical stellar cluster 13.1 The three dust components 12.2 The excitation temperature of a line 13.2 Icy grain mantles 12.5.2 Cutoff wavelength for electronic excitation 12.3 The brightness temperature 13.3 Radiative transfer in lines 14 Diffuse matter in the Milky Way 14.3.1 Global parameters 14.2.1.3.2.2.2 The grazing angle in an inﬂated disk 13.1.2 The relevance of dust 14.3.1 The silicate features and the band at 3.1.4 The main-beam-brightness temperature of a telescope 13.4 Formation of molecular hydrogen on dust surfaces xv 384 384 385 386 387 388 389 389 390 392 395 395 396 396 396 398 400 401 402 403 404 405 407 407 409 409 414 415 415 416 418 418 419 420 425 425 425 426 427 428 431 435 435 .5 Line radiation 13.3 Molecular hydrogen 14.5.2.2.4.2.4.2 Molecular clouds 14.4.2.4 Cross sections and line proﬁles of PAHs 12.Contents 12.4 Integral equations for the intensity 13.2 PAH emission 12.2 Extinction coefﬁcient in the diffuse medium 12.1 Radiative transfer in a plane parallel layer 13.1 Overview of the Milky Way 14.1.1 Absorption coefﬁcient and absorption proﬁle 13.4.1 Photoexcitation of PAHs 12.2.4 An overall dust model 12.3 Big grains and ices 12.2 Low and high luminosity stars 13.2.2 The transfer equation and its formal solution 13.1 Basic transfer relations 13.4 µm 12.3 Extinction coefﬁcient in protostellar cores 13 Radiative transport 13.3 Photo-destruction and ionization 12.4.4 Galactic nuclei 13.1 The CO molecule 14.5 Practical hints 13.5.1 Radiative intensity and ﬂux 13.

1.3 Dusty HII regions 14.7 Magnetic ﬁelds and ambipolar diffusion 15.4.1 Nuclear burning and the creation of elements 15.2 Hydrodynamic collapse simulations 15.3.3 Gravitational collapse 15.6 Implications of the Jeans criterion 15.3.4.4.3.3 The Kepler disk 15.1 Stars on and beyond the main sequence 15.4 Bremsstrahlung 14.1.2.4.2.4.3.4.6 Electron density and magnetic ﬁeld in the diffuse gas 14.3 Similarity solutions of collapse 15.3.3.5 The deuterium hyperﬁne line 14.3 Clouds of atomic hydrogen 14.4 The 3α process 15.1 Virialized clouds 15.4 Free-fall of a gas ball 15.4 Disks 15.2 Dynamical equations of the thin accretion disk 15.5.3.2.2 Clouds near gravitational equilibrium 15.5.1.4.1 General properties of the diffuse gas 14.2 The 21 cm line of atomic hydrogen 14.3.4 Gas density and temperature from the 21 cm line 14.3 Structure and stability of Ebert–Bonnor spheres 15.4 Why a star accretes from a disk 15.1 Viscous laminar ﬂows 15.5 The critical mass for gravitational instability 15.4.5 Recombination lines 14.4.3.1 Ionization and recombination 14.1.5 Mass estimates of interstellar clouds 14.5.3 How the hyperﬁne levels of atomic hydrogen are excited 14.4 HII regions 14.4.5 Lifetime and luminosity of stars 15.1.1 From optically thin CO lines 14.2 The binding energy of an atomic nucleus 15.2 Isothermal cloud in pressure equilibrium 15.2.2 From the CO luminosity 14.2.3 From dust emission 438 438 439 440 443 444 446 448 448 450 453 455 456 457 457 458 459 461 461 461 463 465 467 469 470 471 471 474 475 479 480 482 484 486 486 487 491 494 494 497 498 499 501 15 Stars and their formation 15.2.1.2 Dust–free HII regions 14.3 Hydrogen burning 15.xvi Contents 14.5 The stationary accretion disk .2.1 The presolar nebula 15.6 The initial mass function 15.

Contents 15.3.6 The α-disk 15.6.4.6.5 Cold and warm dust in galaxies 16.2.7 Disk heating by viscosity 16 Emission from young stars 16.1 The density structure of a protostar 16.1 A ﬂat blackbody disk 16.1.1.2 Dust emission from starburst nuclei Appendix A Appendix B References Index Mathematical formulae List of symbols xvii 501 503 505 505 505 506 508 508 513 515 518 518 521 522 524 526 531 531 535 539 545 549 552 .3 Kinematics of protostellar collapse 16.2.2 The collapse phase 16.3 Radiative transfer in an inﬂated disk 16.1 The earliest stages of star formation 16.2 A ﬂat non-blackbody disk 16.1 Globules 16.1 Repetitive bursts of star formation 16.2 Dust emission from a solar-type protostar 16.2.4 Reﬂection nebulae 16.3.2 Isothermal gravitationally-bound clumps 16.4.3.3 Accretion disks 16.6 Starburst nuclei 16.

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however. can convince only by more subtle tones. A good lecturer may be likened to a salesman at the front door. Lecture and written text. over a steaming pot of tea or the curly smoke rings of a pipe. He is like the unobtrusive shopkeeper whom we have been visiting for years. and the wish to hand students a more polished and lasting description of the tools for future work. most of all through thoroughness. Whereas an opinion about a lecture is formed quickly and is not likely to change afterwards. The topic The central theme of this book is cosmic dust. but complementary: they are two independent didactical challenges. The speaker stresses ideas and concepts and does not waste time in elaborating lengthy formulae. We know we can trust his goods. we esteem a book only at second sight. there is opportunity to contemplate a ﬁgure. a comet or a globular cluster. formula or paragraph at leisure. Its relevance for astronomy and for the evolution of the cosmos is not obvious. are disappointingly small and would xix . his arguments are compelling and what he says sounds exciting which prevents us from slamming the door in his face. In a lecture. A serious writer. the student should be able to follow from beginning to end. From lecture notes to print The incentive to turn my scribbled lecture notes into a book was twofold: the desire to reach a larger audience. Unless we use special equipment. Its constituents. Instead. the grains. should not be identical in their contents. it does not catch our attention as does a variable star. more sophisticated than binoculars. He is aggressive. Not every chapter has to be grasped at ﬁrst reading. even when covering the same topic. although he himself may be a bit boring.Preface Dear reader Before you is a compilation of lectures held at the University of Bonn all revolving around interstellar dust and the formation of stars. Dust only screens the light at optical wavelengths.

Another reason to concentrate on matters where there is consensus and to avoid being speciﬁc or touching upon controversial topics lies in the very nature of the dust itself. and this is best exempliﬁed by the inﬂuence it has on star formation and on the appearance of young stars and galaxies. Interstellar dust is not an isolated component of the universe. this book will also be of service to astronomers in general. However. the mass of a planet or the distance to a star. and when one thinks of the progress achieved by new telescopes. is reason to study it in depth. nor for fear that excitement might be detrimental to the heart. say. But there is more to it. Instead. when one recalls how astronomical satellites have widened our outlook on the universe. it is in intimate contact with the rest of the world. one can happily apply it in further work without worrying how it was derived. the goal was to supply the student with those basic facts about small solid particles that passed the test of time. The total dust mass in the Milky Way is negligible compared to that of the stars or even the interstellar gas. not because a book is never fresh. physically founded and adapted to the particular problem. be stretched. Astronomy is a branch of physics This is a provocative statement and may arouse indignation. As many of the basic facts are scattered over the literature and are sometimes hard to dig up. Only then can one estimate how far it may. one should know the physical and technical pillars upon which its derivation rests. it seems justiﬁed to consider astronomy a branch of Space Project Management. by itself.xx Preface barely be visible under a microscope. or come up with a new number. It was new- . or should. Hardly any two dust grains in the universe are alike and this immense diversity explains. why all numbers about interstellar dust are vague and insecure. Instead. When an astronomical number is certain. a selected compilation was thought to be useful. It is also aimed at PhD students who are starting research and have come across interstellar dust in one of its many manifestations. astronomy appears as a subﬁeld of Telescope Engineering or Receiver Development. But when the number is ill determined. which could be removed and everything else would stay the same. giving and taking. The addressee This text was conceived for students who have received an elementary but comprehensive introduction to physics—this is usually the case after two years of university studies—and who have taken a general course in astronomy. like pulsars or white dwarfs. to a large degree. we believe that man is made of this very dust and that. As if I had forgotten how the great discoveries of the past 30 years have come about: As a result of revolutionary technologies and grand enterprises! Indeed. Hopefully. Only being acquainted with the old results can one fully enjoy the new. I admit that it contains hardly any exciting new results.

So I freely acknowledge the priority of management and technology over physics. If words are needed to explain a formula. tend to forget technical terms in our mother tongue or do not update them and this has the deplorable consequence that we speak and write about our favourite subject clumsily in two languages: in English and in our own. the majority of astronomers. we.Preface xxi technology instruments that have allowed us to peep into hitherto hidden realms. nothing else. too. I consider it a triﬂe that no sentence came easy. It is erroneous to think that the ﬁndings of natural sciences are fully expressed in numbers or formulae. I solve equations containing time but do not very well know what time is. astronomy would continue to thrive for a decade or two. Even ADM (Advanced Data Manipulation) may be more important to astronomy than physics in view of the gigantic quantities of data that have to be crunched and transformed into convincing numbers and pictures. The obvious needs no words but there are lamentable aspects about using the modern lingua franca. even for three. But the strongest point in a plea to retain in science one’s mother tongue in all its might. Words are needed. For example. without polemizing against higher resolution or higher sensitivity. A serious argument against writing in a tongue one has not fully mastered is that style and clarity are akin because improving the style usually means improving the thought. If one were to reduce the physics in astronomy courses to a minimum (one cannot do entirely without it) and teach instead the ﬁelds mentioned earlier. Nor do I mind that one suspects behind simple phrases a simple mind. German would have been beneﬁcial to the reader. parallel to the lingua franca. More important still is the obligation to preserve and develop one’s language as an inherited gift and an attribute of culture of no less import than the collection of national wines. and each path offers its speciﬁc outlook. A poignant style enhances the understanding. Pondering a problem in different languages means approaching it on different paths. It attempts to summarize the major physical topics with direct application to interstellar grains and wishes to encourage students to try the physical approach to an astronomical problem. As English has become so pervasive in our daily scientiﬁc work. A formula lacks cross relations and does not sufﬁciently take into account the analogous character of what it asserts. if one includes Science Marketing. Ach. After all. it did me good learning some more of a foreign language while composing the text. in this respect. Despite all this. out of sheer pleasure for the subject. Indeed. this book stresses the link between astronomy and physics. is that each language imprints on the mind its own pattern of thinking. this supposition may be true. how many more are required to arrive at it? What would quantum mechanics be if it were reduced to equations . helps memorize and carries the reader over difﬁcult stretches. The language It is obviously English. a textbook on physical sciences is not a railway timetable.

Malcolm Walmsley and Jan Martin Winters. by words from an authority outside the ﬁeld. I wish to follow this custom. Richard Porcas. Werner Tscharnuter. When the proofs. to add. Each has. Aigen Li. with the eyes of a physicist. one outstanding merit: L Spitzer’s Diffuse Matter in Space is of dazzling perfection. Armin Kirfel. Here is what Whitman left us: When I heard the learn’d astronomer. they are the usual ones but because of the way the story is told. Till rising and gliding out I wandered off by myself . Michaela Kraus. And a successful struggle with an astronomical problem also needs a vivid. and measure them. The philosophical headline A long scientiﬁc text is frequently preceded. Nikolaj Voshchinnikov. It has been on my desk for decades (and I am still struggling with parts of it today). divide. Antonella Natta. one might even say embellished. When I sitting heard the astronomer where he lectured with much applause in the lecture-room. helped with their expertise and advice and encouraged me. I am grateful to those who undertook the pains of critically reading parts of the manuscript: Christian Henkel. Ralf Siebenmorgen. addressing the student and enlightening the professor. were ranged in columns before me. It is the following verse by the 19th century North-American poet Walt Whitman which they had calligraphically written onto cardboard.xxii Preface without extensive accompanying text? Who would shorten R Feynman’s Lectures on Physics? They are the work of a genius not because of the formulae. Johannes Schmid-Burgk and Alexandr Tutukov. Two books served as guides (Vorbilder) which I tried to follow. without pretending to match them. Although far from being an expert in the scientiﬁc subject itself. his words carry weight because they shed light on the topic from a different angle of cognition and reassure the natural scientist in his moments of doubt. such as a philosopher or a poet. to my mind. precise and powerful language to put all its facets into a fruitful perspective. the ﬁgures. in particular: David Graham. When I was shown the charts and diagrams. I found numerous aphorisms suitable for such a purpose but the most appropriate headlines for this book came to me as a birthday gift from my daughters. Dabbling in poetry and philosophical treatises. M Harwit pioneered in his Astrophysical Concepts to teach astronomy anew. How soon unaccountable I became tired and sick. To whom I am indebted I owe to my colleagues who bore with me.

including the quest of an astronomer to understand the cosmos. well hmm! Let this be the concluding remark. At a beneﬁt party. Yours sincerely EK Bonn Easter 2002 . like the mystical moist night-air. I take their objections very serious but ﬁnd the occasional vehemence of their arguments soothing. a line comes to mind by F M Dostojevskji from his novel The Demons. the aging hero of the narrative. Reﬂected or not. At the end of this longish foreword. The reason for picking this poem as the philosophical headline is that it pays a wise tribute to the irrational. being a layman in literature. any literary praise of these lines from my side is out of place. Stepan Verchovenskji. and from time to time. xxiii Of course. corroborating. irrationality. Nor will I marvel at his prophetic power to foresee and congenially describe the feelings of a backbencher at an astronomical meeting more than a century after his time. that they are not moved by logic and astronomical data alone. condenses into anger and transforms into serenity.Preface In the mystical moist night-air. at least. I will not admire how irresistibly Whitman conjures the lure of the night sky and contrasts it to the unnerving ambition of scholars. I venture in the present context the translation: Hmm well. makes an ambitious opening speech which Dostojevskji laconically summarizes by the words ÆÓ Ú× Ý «ØÓ Ò Õ Ó¸ ØÓ Ò ÞÒ Ø ÚØÓÖ× ÔÖ ×ÐÓÚ ˘ After intensive consultations with linguists and psychologists. So I will not say a word about the magic beat that pervades the poem: How the rhythm starts from impatience. is at the root of any sincere endeavour. Looked up in perfect silence at the stars. Some colleagues strongly disagree and regard with contempt those who let themselves be charmed by such a poem.

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a dielectric medium where the charge distribution in the atomic dipoles is ﬁxed but the dipoles themselves may rotate. such as the interaction of light with interstellar dust. far from it. ﬁrst deﬁne the quantities which describe the electromagnetic ﬁeld.1 Electric ﬁeld and magnetic induction A charge q traveling with velocity v in a ﬁxed electric ﬁeld E and a ﬁxed magnetic ﬁeld of ﬂux density B experiences a force 1 F=q E+ v×B c (1. therefore. 1. we.Chapter 1 The dielectric permeability We begin by acquainting ourselves with the polarization of matter. They can be written in different ways and the symbols. We summarize the properties of harmonic oscillators. We recall the basic equations of electrodynamics and outline how plane waves travel in an inﬁnite non-conducting (dielectric) medium and in a plasma.1. we learn how its dielectric permeability changes with frequency. are Maxwell’s formulae.1 Maxwell’s equations At the root of all phenomena of classical electrodynamics. Before we exploit Maxwell’s equations. Approximating a solid body by an ensemble of such dipoles (identical harmonic oscillators). The fundamental quantity describing how an interstellar grain responds to an electromagnetic wave is the dielectric permeability which relates the polarization of matter to the applied ﬁeld. and a metal where the electrons are free.1) 1 . This study is carried out for three scenarios: • • • a dielectric medium where the electron clouds oscillate about the atomic nuclei. including the absorption. scattering and emission of light by individual dipoles. their names and meaning are not universal. 1.

1. E and P being deﬁned. the term (v × B)/c in formula (1. A typical value is the velocity of the electron in the ground state of the hydrogen atom for which classically v/c equals the ﬁne structure constant α= e2 c 1 137 1.1. we introduce as an additional quantity the displacement D.2) The dipole moment per unit volume is called the polarization P (capital letter). the integral of the local charge density ρ(x) at locus x over any volume V vanishes. V However.3) P= . When the moving charges are electrons in an atom driven by an electromagnetic wave.1) is much smaller than E and usually irrelevant for the motion of the charge. and a magnetic component.2 Electric polarization of the medium 1.1) shows what happens mechanically to a charge in an electromagnetic ﬁeld and we use it to deﬁne E and B. B is also called the magnetic induction.4) . V It may be interpreted as the number density N of molecules multiplied by the average electric dipole moment pmol per molecule: P = Npmol .1 Dielectric permeability and electric susceptibility In an electrically neutral medium. (q/c)v × B.1. For an electromagnetic wave in vacuum.2. their velocities are small. It adds nothing new and is just another way of expressing the polarization of matter. the cross × denotes the vector product. (1. (1.2 The dielectric permeability called the Lorentz force. therefore. a neutral body of volume V may have a dipole moment p (small letter) given by p= V xρ(x) d V. Protons move still more slowly because of their greater inertia. |E| = |B| and. P. ρ(x) d V = 0. Equation (1. through an electric ﬁeld E: D = E + 4πP. p (1. which pulls a positive charge in the direction of E. The force F has an electric part. working perpendicular to v and B. qE.

D and E are proportional to each other and we can write D = εE P = χE with χ= (1. the ﬁeld in the vicinity of the grain becomes distorted. We have. The polarization P (capital letter) depends linearly both on Ei (from (1. In the trivial case of a vacuum. however. There is also a ﬁeld Ei inside the grain.6) ε−1 .4. This differs from the constant outer ﬁeld E. (1. In a dielectric medium.5) (1. the polarization P vanishes.1. It no has longer the value E but some other value.8) Because of the dipole moment. For example. it acquires a dipole moment p = αe V E. P = χEi = αe E. Therefore. a constant ﬁeld E induces a dipole moment so that ε > 1 and P = 0.3 The dependence of the dielectric permeability on direction and frequency Unless speciﬁed otherwise. Equation (1. (1. As one recedes from the grain.9) In the general case. Ee approaches E asymptotically.5) is the ﬁrst of two constitutive relations complementing the set of Maxwell’s formulae. we could replace D in all equations by εE.2.Maxwell’s equations 3 The local polarization P and the local average electric ﬁeld E in the dielectric medium are much weaker than the ﬁelds on the atomic level and constitute just a small perturbation. 1. E and P. The relation between them is described in detail in section 3. although two would sufﬁce. If we place a small grain of volume V into a constant electric ﬁeld E. altogether. say Ee (e for external). ε is called the dielectric permeability or dielectric constant or permittivity.1.2 The electric polarizability Another quantity we will need is the electric polarizability αe . three quantities describing the electric ﬁeld: D. they mean more or less the same. and the dipole moment and the ﬁelds do not have the same direction. αe and χ are tensors. χ bears the name electric susceptibility. (1. P.7) 4π The proportionality factors ε and χ are material constants. the proportionality factors being αe and χ. respectively. we always assume (on a macroscopic level with dimensions much greater than an atom) homogeneity so that the dielectric . E = D and ε = 1.6)) and on E (from (1.8)). 1.

that ε shows dispersion. and can always be brought into a diagonal form by the appropriate choice of coordinate system. It is an essential feature for a discussion of interstellar dust that ε is a function of frequency: ω = 2πν or. χ1 χ(0) (1. as one says.10) (1. which is the other frequently used name for ε(ω). εik = εki .5) must then be generalized to Di = i εik E i + D0i .1.1. a grain is made up of atoms and is thus not homogeneous. is linear. only one parameter is needed to specify the polarization and χ or ε are real. D = εE. one needs for each frequency ω two independent numbers which. The tensor εik is symmetric. However. are written as one complex variable: χ(ω) = χ1 (ω) + i χ2 (ω) ε(ω) = ε1 (ω) + i ε2 (ω). The vector representing the complex ﬁeld E then rotates in the complex plane clockwise. In electrostatics. in an alternating ﬁeld. 1. So the term dielectric constant. as depicted in ﬁgure 1.4 The dielectric permeability permeability ε does not depend on the position in the grain. The constant term D0i implies a frozen-in dipole moment even in the absence of an outer ﬁeld. The relation (1. which means that ε is independent of the ﬁeld strength. We use scalar notation for the moment and let E 0 be real. The functional form of ε(ω) is called the dispersion relation and will be used extensively in what follows.11) .4 The physical meaning of the electric susceptibility χ We explain the physical meaning of χ in the case of a harmonically and slowly varying ﬁeld. E = E 0 e−iωt . three independent components. However. out of mathematical convenience. ε reduces to a scalar and the grain is said to be isotropic. This happens only in special cases known as pyroelectricity.1). Crystals of the cubic system have this pleasant property but in interstellar grains we will also encounter anisotropy. it may depend on the direction of the ﬁelds because. for mono-crystals with a cubic structure (see section 7. Equation (1. the susceptibility χ is close to its static value: χ2 χ2 (0) = 0. If the three diagonal elements are equal. D0i is always zero. at most. For a slowly varying ﬁeld with small ω. is misleading when taken at its face value. on a microscopic level.5). It then has.

E. Therefore. P lags behind E by a small angle ϕ. for a given χ1 . As the ﬁeld changes. It induces a complex polarization P in the material of length P. The polarization P. which implies dissipational losses. While adapting to the ﬁeld. which rotates at frequency ω. The electric ﬁeld vector. Only the real components of P and E have a physical meaning. in the medium is presented as a complex quantity of length E. the complex representation is for mathematical convenience. the imaginary part χ2 is positive and determines. Obviously the real part χ1 determines the maximum polarization during one cycle via the relation Pmax χ1 E 0 .Maxwell’s equations 5 imaginary P ϕ E real Figure 1. decreasing its entropy which contradicts the second law of thermodynamics. the ﬁeld would draw energy from the dielectric body. the time lag. whereas the imaginary part gives the phase lag.1. lags behind by some time t ω−1 corresponding to a small angle ϕ = ω t = tan(χ2 /χ1 ) χ2 /χ1 1. therefore. When damping is weak.12) The interval t must be positive for reasons of causality: sensible people squeal only after they have been pinched. Even χ2 = 0 is impossible as it would mean that E and P are absolutely synchronous . The real part of the complex electric susceptibility is equal to the ratio of the radii of the two circles. χ1 = P/E. (1. Some of the ﬁeld energy is inevitably drained into the dielectric medium. E and P are not in phase because the electrons always need a little while to adjust. If χ2 and t were negative. The static value χ1 (0) is positive because the polarization must point in the direction of the electric ﬁeld. the electrons have to overcome internal friction. χ2 = χ1 ϕ.

the accompanying ﬁeld is that of a dipole. When E = E 0 eiωt . The maximum of P is now given by Pmax = 2 2 χ1 + χ2 E 0 . however. a stationary motion of charges with density ρ and velocity v. conventions urge us to drag D and H along. again with positive χ2 .10). If the frequency ω is not small but arbitrary. V (1.15) Similar to the situation of the electric ﬁeld. in the classical picture. from the atomic currents (electron orbits). produces a magnetic moment 1 m= (x × J) d V. χ1 . the magnetic ﬂux density B as well as the polarizations P and M allow a direct physical interpretation. we could replace H by B in all equations and retain two ﬁeld quantities. Of course. it is called the magnetization M. If A is small. the magnetization of matter comes. The sign of i is just a convention.13) 2c When the integral extends over a unit volume. corresponding to a current density J = ρv. a charge q traveling with velocity v in a circular orbit of radius r constitutes a current I = qv/2πr . because the electric ﬁeld E. Without the motion of the macroscopic charge. (1. P) and (B. M). instead of three. we could also choose a time dependence eiωt for the ﬁeld and nothing would change. would be χ(ω) = χ1 (ω) − i χ2 (ω).14) For example. Nevertheless.5 Magnetic polarization of the medium In a macroscopic picture. The magnetic moment of this moving charge is qvr AI m= = 2c c where A = πr 2 signiﬁes the area of the loop. . The real part of the susceptibility. may become zero as well as negative. the angle ω t is also not necessarily small. we can exclude χ2 ≤ 0 for the same reasons as before. M= m . The magnetic ﬁeld H is deﬁned by H = B − 4πM. B and M. the ﬁeld rotates anticlockwise in ﬁgure 1. although one that must be followed consistently. however.6 The dielectric permeability and dissipation is completely absent. instead of (1.1.1 and the susceptibility. The magnetic moment per unit volume M may be interpreted as the number density N of molecules in the substance multiplied by the total magnetic moment mmol per molecule: M = Nmmol . (1. 1. We would prefer the pairs (E.

a steady current ﬂows under the inﬂuence of an electric ﬁeld.18) (1. µ is the magnetic permeability and also generally complex.5): B = µH. This is a synonym for conductors and. one must explicitly write χm or χe for the magnetic or electric case.7).1. which are weakly magnetic substances with |µ| close to one. These are insulators and no constant current can be sustained within them. a constant outer magnetic ﬁeld H induces in a small body of volume V a magnetic dipole moment m = V M = αm V H (1. in this sense.6 The magnetic susceptibility 7 The second constitutive equation concerns the magnetic ﬁeld H and the induction B. In these currents.16) where αm is the magnetic polarizability and M the magnetization within the body. For diamagnetic substances. • In the interstellar medium. µ = µ1 + i µ 2 . If the substance is not ferromagnetic.8). In vacuo. 1. and χ α. one usually writes M = χB. alternating currents produced by a time-variable electric ﬁeld are possible.1. If B denotes the interstellar magnetic ﬁeld and M the magnetization of the grain.17) χ= 4π so that M = χH. the charges do not travel far from their equilibrium positions. .7 Dielectrics and metals We will be dealing with two kinds of substances for which Maxwell’s equations are often formulated separately: • Dielectrics. For interstellar grains.Maxwell’s equations 1. the charges accumulate at its surface and arrange themselves in such a way that the electric ﬁeld inside vanishes and then there is no internal current. for paramagnetic substances a little bigger. However. Nevertheless. a linear relation holds as in (1. If there is any chance of confusion. µ is large only for ferromagnets. they are the opposite of dielectrics. When a piece of metal is connected at its ends to the poles of a battery. When this piece of metal is placed in a static electric ﬁeld. Metals. we deﬁne the magnetic susceptibility by µ−1 (1. one ﬁnds both dielectric and metallic particles but the latter are probably far from being perfect conductors. In analogy to (1. It also shows dispersion. B = H and µ = 1. µ is a little smaller than one. the magnetic induction and magnetic ﬁeld are practically the same inside and outside. time-varying electric ﬁelds and currents are possible. Similar to (1.

If the polarization within the particle is uniform. which are smooth on a macroscopic scale.22) .8 The dielectric permeability 1. when the polarization is constant.19). ρfree = 0. the medium becomes structured. The total current density Jtot may also be split into parts similarly to (1. An electron. In an uncharged body. The ﬁrst arises from polarization. sometimes we have to dive into the atomic world. It contains protons and electrons and the net charge divided by δV gives the total local charge density ρtot . the only exception is the surface of the particle where charges of one kind accumulate. Jtot = Jfree + Jpol + Jmag . (1.19). comprises all other charges besides ρpol . of course. positive and negative.21) The ﬁrst term on the right-hand side is associated with the motion of the free charges.20) The second term in (1.1. Moving charges constitute a current. (1. So we usually picture the grain material to be a continuous medium. ˚ On a scale of 1 A or less. In a dielectric medium. the electric ﬁeld polarizes the atoms and thus produces aligned dipoles. When charges are brought in from outside. Consider a microscopic volume δV in some piece of matter.803 × 10−10 esu (electrostatic ˙ Jpol = P Jmag = c · rot M. the second with the time-varying polarization of the medium and the third represents the current that gives rise to its magnetization: Jfree = vρfree 1. div P = 0 and ρfree stands for all charges. P = 0.1. Atoms appear with positive nuclei and negative electrons spinning and moving in complicated orbits and the electric and magnetic ﬁelds. if the polarization P is spatially non-uniform. has a negative charge. However. ρpol is zero because the positive and negative charges of the neighboring dipoles exactly balance. Then the separation of charges is inhomogeneous and leads to a charge density ρpol = − div P. ρfree . Often ρtot is written as the sum of two terms: (1. ρpol does not vanish.19) ρtot = ρpol + ρfree . For example.8 Free charges and polarization charges We are generally interested in the electromagnetic ﬁeld averaged over regions containing many atoms. However. (1. have huge gradients. its absolute value being e = 4.1 Sign conventions We have to make a remark about the sign convention. electrons and protons exactly cancel and ρtot integrated over the body is zero.8. For an electrically neutral body. Within a metal. and polarization charges can only appear on the surface. their sum is zero.

The moment p of a dipole created by two opposite but equal charges is. we can explain the minus sign in equation (1. . With the help of this ﬁgure.27) (1. D the electric displacement.29) (1. The gradient there is positive and thus a negative charge appears on the surface. directed from the minus to the plus charge and anti-parallel to the electric ﬁeld along the line connecting the two charges. the electric ﬁeld pulls a small charge δq out of a tiny volume δV leaving behind an unbalanced negative charge −δq. the velocity of light. ﬁrst. rot H = D + c c (1. the electric ﬁeld of an isolated positive charge (proton) is directed away from it and repels other positive charges according to (1. of course.20). In the case of nonuniform polarization within the grain. B = ∂B/∂t.Maxwell’s equations 9 units). for a neutral dielectric medium: div D = 0 div B = 0 1˙ rot E = − B c 1˙ rot H = D c second. at a place where div P > 0. Going from left to right. for a medium with free charges and currents: div D = 4πρfree div B = 0 1˙ rot E = − B c 4π 1˙ Jfree . for instance.30) (1.23) (1.26) ˙ A dot above a letter stands for partial time derivative.30) gives the expression for charge conservation: ρfree + div Jfree = 0.2). Hence a dielectric grain in a constant ﬁeld E has a polarization P parallel to E and surface charges as depicted in ﬁgure 3.28) (1.25) (1.1.24) (1. from (1. B the magnetic induction.1).27). Applying the operator div to (1. J the current density and c. ˙ (1. Our choice of mathematical symbols is summarized in appendix A together with some common relations of vector analysis. 1. After Maxwell’s equation (1.4 of chapter 3. the polarization jumps at the left edge of the grain from zero to its value inside.9 The ﬁeld equations We have now deﬁned all quantities that appear in Maxwell’s equations and we write them down.31) E denotes the electric and H the magnetic ﬁeld.

when E 0 denotes the amplitude of the electric ﬁeld vector.10 The dielectric permeability 1.25) and (1. at E+ or E− ω2 µεE = 0 c2 µε ¨ E=0 c2 H+ H− ω2 µεH = 0 c2 µε ¨ H = 0. All waves in interstellar space that interact with interstellar matter are planar because the sources from which they arise are very distant.34) is a plane harmonic wave. rot H = − i c rot E = i (1. the time average is c 2 S = E . c2 (1.2.37) where k is a vector with k2 = ω2 µε/c2 . with the help of formula (A. t) = H0 · e i(k·x−ωt ) (1.2 Waves in a dielectric medium We derive from Maxwell’s equations how a plane wave propagates in an inﬁnite medium.35) These are the wave equations which describe the change of the electromagnetic ﬁeld in space and time.38) S= 4π In a vacuum.33) Applying the operator rot to (1.32) and (1. is given by the Poynting vector S.6) of vector analysis. which have a sinusoidal time dependence proportional to e−iωt .36) (1.39) 8π 0 . E(x. deﬁne the optical constant. 1. The characteristics of a plane harmonic wave are an eik·x space variation and an e−iωt time variation.34) (1. The ﬂux. ﬂux and momentum of the electromagnetic ﬁeld. we arrive. 1.1 Flux and momentum of the electromagnetic ﬁeld An electromagnetic wave carries energy.26) become simpler: ωµ H c ωε E. In an inﬁnite medium. t) = E0 · ei(k·x−ωt ) H(x. Maxwell’s equations (1. (1.1.2.1 The wave equation In harmonic ﬁelds. For real ﬁelds. (1. or refractive index and recall a few formulae concerning energy.32) (1.33). its momentary value is c E × H. which is the energy per unit time and area. one solution to (1.

2. 8π (1. which are responsible for the dissipation of energy.43) and ωε E = −k × H c (1.37) into equations (1.33) yields ωµ H = k×E c and after scalar multiplication with k k · E = k · H = 0. kz ) in (1. we consider the standard case in which k is real. must be zero.42) and (1. in the most general case. Its magnitude is then k= ω√ εµ c and the imaginary parts ε2 and µ2 . has an energy hν.32) and (1.33). from (A.44) .36). the time average of the Poynting vector is a real quantity and.2 The wavenumber The vector k = (kx . • (1. (1. Inserting the ﬁeld of a plane wave given x y z by (1. 1. k y .Waves in a dielectric medium 11 When we use complex ﬁelds.36) is called the wavenumber and is. As k speciﬁes the direction of wave propagation. This is strictly possible only in a vacuum.40) H∗ is the complex conjugate of H. through a unit area at a rate S/c. k εµ (1. Any other medium is never fully transparent and an electromagnetic wave always suffers some losses. is given by S = c Re{E × H∗ }.41) Of course. it follows from (1.42) First. complex: k = k1 + i k2 with real k1 . The wave is planar and travels with undiminished amplitude at a phase velocity vph = c ω = √ . k2 = k · k = k2 + k2 + k2 .43) that the vectors of the electric and magnetic ﬁeld are perpendicular to each other and to k. k2 and obeys the relation k2 = k2 − k2 + 2i k1 · k2 = 1 2 ω2 µε. an individual photon travels at the speed of light. a momentum hν/c and an angular momentum . c2 (1. The wave also transports momentum. In the corpuscular picture.

It is clear from the deﬁnition of the optical constant (1. t) = E0 · e−k2 ·x · ei(k1 ·x−ωt ) . The phase of the wave is constant in a plane perpendicular to k1 and the amplitude is constant in a plane perpendicular to k2 . too.46) that m does not contain any new information. If k1 and k2 are not parallel.41)) or by the optical constant m= √ εµ. H0 = (1.42). m(ω) = n(ω) + i k(ω) (1. and the electric ﬁeld vector equals E(x. There is a unit vector e parallel to k deﬁning the direction of wave propagation such that k = (k1 + i k2 ) · e.47) with real part n and imaginary part k.5). When the medium is metallic and has a conductivity σ . The name optical constant is unfortunate as m is not constant but varies with frequency. the planes of constant phase and constant amplitude coincide. In the common case of a non-magnetic medium.2. It is a complex dimensionless number. where µ=1 . in fact less than all material constants ε. one speaks of an inhomogeneous wave and the surface where the ﬁeld is constant is not a plane. µ and σ taken together.45) µ In particular. one must use the dielectric permeability ε as deﬁned in (1.43) then lose their obvious interpretation. (1. where k1 .115). are related through ε E0 . k2 . If the vectors k1 and k2 are parallel. c λ • Next. E 0 and H0.12 The dielectric permeability The real amplitude of the magnetic and electric ﬁeld.46) m is also called the (complex) refractive index. 1. (1. in a vacuum vph = c H0 = E 0 k= ω 2π = . Such a wave is called homogeneous. the electromagnetic properties of matter may be described either by the wavevector (from (1. rather than (1.3 The optical constant or refractive index For the propagation of light. Then ε2 and µ2 are complex. The geometrical relations (1. As the wave propagates. light is absorbed and the wave amplitude suffers damping proportional to e−k2 ·x . let k be complex. k2 are the lengths of k1 .

is U= 1 8π E · E dV where the integration extends over all space. 1. some small dielectric object of volume V .46) has two solutions and we pick the one with positive n and non-negative k 1 .2.53). vice versa. This formula follows readily from the potential energy between the charges.50) (1. 2 (1. 2 1 In order to abide by the customary nomenclature. 8π 1 E · D.Waves in a dielectric medium the real and imaginary parts of the optical constant follow from ε1 and ε2 . If the outer ﬁeld slowly oscillates. u= (1.52) If the space between the charges is ﬁlled with a dielectric. .4 Energy dissipation of a grain in a variable ﬁeld The total energy of an electrostatic ﬁeld E in vacuum. we ﬁnd that the energy density of the dielectric medium contains an extra term 1 EP which accounts for the work 2 needed to produce in the medium a polarization P.53) When we compare (1. ε1 = n 2 − k 2 ε2 = 2nk. It suggests an energy density u= 1 E · E. produced by a ﬁxed distribution of charges. 2 2 ε1 + ε2 + ε1 2 2 ε1 + ε2 − ε1 13 (1.54) It becomes smaller because some work is expended on the polarization of the grain. into a constant ﬁeld in a vacuum. which is due to their Coulomb attraction. E = E0 e−iωt . so does the polarization and for small energy changes dw = − 1 V d(P · E) = −V P · dE. we use the same letter for the imaginary part of the optical constant (italic type k) and for the wavenumber (Roman type k). Therefore.48) (1. if we place.49) (1. 8π (1. the total ﬁeld energy changes by an amount w = − 1 V P · E.52) with (1.51) (1. 1 n=√ 2 1 k=√ 2 and.

1 The symmetry of the polarizability tensor We have already mentioned that. The same applies to the polarizability. one gets. These currents also exert a force F on a charge but from (1. we write more generally Pi = j αi j E j .55) It is positive and proportional to frequency ω and volume V . for the total energy of the magnetostatic ﬁeld.57) (1. U= 1 8π H · B dV which implies an energy density of the magnetic ﬁeld u= 1 H · B.14 The dielectric permeability The time derivative w. one has to evaluate its energy by changing H. Therefore. leads in a small body of volume V and magnetic polarizability αm (see (1.18)) to a heat dissipation rate W = 1 V ω Im{αm }|H0|2 . hold for magnetism.57) are the basic equations for understanding the absorption of radiation by interstellar grains. static magnetic ﬁelds are produced by constant currents.8).1) do no work because F · v = (q/c)v · (v × B) = 0. So instead of (1.56) In complete analogy to the electric ﬁeld. Because of the mathematical relation (A. for an anisotropic substance. gives the dissipated power ˙ and its mean is ˙ W = −V PE = 1 V ω Im{αe }|E0 |2 > 0.4. . which we denote by W .55) and (1. Formally similar expressions but based on different physics. a time-variable magnetic ﬁeld. We ﬁrst look for the formula of the magnetic energy density. . in the case of a magnetic ﬁeld. denotes the time average. After some elementary vector analysis. 2 (1. and we have used P = αe E from (1. 2 (1. 8π (1. 1.2.33). The bracket . This produces according to (1.25) an electric ﬁeld E and thus a loss rate E · J. Whereas static electric ﬁelds are produced by ﬁxed charges and the total energy of the electric ﬁeld is found by bringing the charges to inﬁnity (which determines their potential energy). which makes sense. the real part of the ˙ dielectric polarizability Re{αe } disappears in the product PE conﬁrming that only the imaginary part Im{αe } is responsible for heating the grain. the dielectric permeability ε is a tensor and symmetric. H = H0 e−iωt .9). .

me (1. although a precise idea of what we mean by it is often missing. and (c) a restoring force. say. the particle is unpolarized. Despite its simplicity and the fact that electrons ‘move’ in reality in complicated paths. If the cycle is loss-free.59) . Putting 2 ω0 = κ me γ = b me we get 2 x + γ x + ω0 x = ¨ ˙ eE . −b x. −κ x. in the second step in the y-direction. the condition W = 0 requires αxy = αyx . Using this concept. one applies an electric ﬁeld in the x-direction. Then one takes back the component E x and ﬁnally the component E y . that grows linearly with the displacement from the equilibrium position. (b) a frictional force. Usually we have in mind the electrons in an atom but occasionally the oppositely charged atomic nuclei of a crystal or some other kind of dipoles are meant. Its motion is governed by the equation m e x + b x + κ x = F. ¨ ˙ (1. H A Lorentz applied the harmonic oscillator model to the motion of an electron in an atom. there is (a) an inertia term m e x. in the x-direction. the Lorentz model is quite successful in a quantitative description of many phenomena that occur on the atomic level and reveal themselves in the macroscopic world.58) On the left-hand side.1 The Lorentz model We imagine the following idealized situation: An electron of mass m e and charge e is attached to a spring of force constant κ.54) the total energy W expended on polarizing a particle in a cycle consisting of four steps. A harmonic wave with electric ﬁeld E = E 0 e−iωt exerts a force F = eE which causes the electron to move. In a similar way. we later derive the dispersion relation ε = ε(ω) of the dielectric permeability around a resonance at frequency ω0 .3 The harmonic oscillator In the early history of atomic theory.3. The oscillator concept is very fruitful.The harmonic oscillator 15 The symmetry of the tensor αi j can be shown by computing after (1. ¨ ˙ which is proportional to velocity and leads to damping of the system unless it is powered from outside. 1. 1. But generally we assume that a grain is built up of a system of oscillators. At the beginning. one ﬁnds αxz = αzx and αyz = αzy . In the ﬁrst step.

If friction is strong.3. It is assumed that the electric ﬁeld is spatially constant over the displacement x of the electron. In the following. The electron then oscillates at a frequency ωγ somewhat smaller than the natural frequency ω0 . If there is friction (γ = 0) but no external force. B = A∗ 2 which means Re{A} = Re{B} and Im{A} = − Im{B}.e. 2 x + γ x + ω0 x = 0 ¨ ˙ (1. ωγ is real. This is correct as long as the velocity v of the electron is small. The amplitude then subsides exponentially without any oscillations. It has the general form x = e−γ t /2 · (Ae−iωγ t + Beiωγ t ) where A and B are complex constants and ωγ = 2 ω0 − γ 2 /4. (1. Indeed. (1. with an exponentially decaying 2 amplitude.62) For x to be real. when there is no friction (γ = 0) and no perturbation from outside (E = 0). ω0 = 0).59) reduces to 2 x + ω0 x = 0 ¨ (1. damping constant γ and resonant frequency ω0 (if the electron is unbound. because then x v/ω can be neglected in comparison to the wavelength c/ω of the ﬁeld.60) and the electron oscillates harmonically forever at its natural frequency ω0 . it is required that B be the complex conjugate of A. i.16 The dielectric permeability The oscillator has only three properties: • • • charge-to-mass ratio e/m e . we discuss only the one-dimensional oscillator.61) the solution is called a transient. γ 2 > 4ω0 and ωγ is imaginary. the velocity of an electron in an atom is typically of order v/c ∼ 1%. when damping is weak. 1. (1.63) . Critical damping occurs for γ = 2ω0 .2 Free oscillations In the simplest case. v c. where the electron moves along the x-axis but one may readily generalize this to three dimensions. If γ 2 < 4ω0 .

64) One obtains the general solution of this inhomogeneous equation by adding to the general solution (1. So if we assume an harmonic ﬁeld. satisfying certain initial values for x and x at some earlier time t0 .3 The general solution to the oscillator equation 17 In the most general case of equation (1. It is now convenient to write the displacement and the electric ﬁeld as complex variables.62) of the associated homogeneous equation (1.67) If damping (γ ) is small and the incoming wave vibrates with the natural frequency of the electron (ω = ω0 ). Equation (1. The electron then oscillates at frequency ω and not ω0 . ¯ ¯ (1.65) describes the steady-state solution into which any particular solution. (1. ¯ ¯ E = E 0 e−iωt .65) In such a sum. . for example x = x 0 e−iωt . the amplitude x 0 is proportional to γ −1 and can become very large. For the complex ˙ amplitude of the displacement of the electron one ﬁnds x0 = ¯ ¯ e E0 2 m e (ω0 − ω2 − i ωγ ) .3.62) eventually dies out and only (1. 2 m e ω0 One can apply this equation to atoms to obtain a rough estimate for the dipole moment induced by a ﬁeld E 0 if one chooses for the characteristic frequency ω0 a value such that ω0 is of order of the ionization potential of the atom. (1. the transient (1. there is friction plus an external ﬁeld that acts on the electron.59). ¯ ¯ E and E 0 are complex and e ¯ −iωt 2 ¨ ˙ ¯ . sometimes for clarity we mark the complexity of a quantity explicitly by a bar. A static ﬁeld E 0 induces in the oscillator a permanent dipole moment p = ex 0 = e2 E 0 .61) one particular solution of (1.64). E0 e x + γ x + ω0 x = ¯ ¯ me (1.66) ¯ ¯ Putting E 0 = | E 0 | and x 0 = |x 0 |. evolves. the real amplitude of the electron’s displacement becomes x0 = eE 0 2 m e (ω0 − ω2 )2 + ω2 γ 2 .The harmonic oscillator 1.65) remains.

1. This is not a miracle but reﬂects the steady-state response of the electron. Then the electron moves opposite to the direction in which it is being pushed by the external force eE.18 The dielectric permeability 1. the ¯ complex variables for position and ﬁeld. of course.3.69) . Without friction (γ = 0). Around the resonance frequency. ˙ 2 The terms in the brackets represent the total energy. The electron always lags behind the ﬁeld by a positive angle = • • • tan−1 (x) tan−1 (x) + π if ω < ω0 if ω > ω0 where x = ωγ 2 ω0 − ω2 .3. when the ﬁeld E was switched on. which is converted in a forced oscillation into heat. equals force multiplied by velocity: W = Fx ˙ multiplication of formula (1. it approaches 180◦. the electron and the ﬁeld are synchronous. it moves in the forced oscillation with the frequency ω of the external ﬁeld. in the same direction as the electric ﬁeld. x and E.1 The phase shift Equation (1. the time derivative of the total energy almost vanishes and only the term γ m e x 2 remains. the phase shift changes continuously and amounts to 90◦ at ω = ω0 . 2 The total energy declines when there is friction. friction results from collisions of the electrons with the lattice and this leads to heating.65) tells us that although the electron has a natural frequency ω0 .3. For ω ω0 .58) with x gives ˙ W = Fx = ˙ d dt 1 ˙2 2 mex 2 + 1 m e ω0 x 2 + γ m e x 2 . which has the dimension s−1 . If we think of a grain as being composed of many oscillators (atoms). the acceleration vector of the electron pointed. the lag is small. With friction. is then interpreted as the collisional frequency. 2 2 2m e (ω0 − ω2 )2 + ω2 γ 2 (1. the time-averaged dissipation rate is ˙ W = 2 γ e2 E 0 ω2 1 2 γ m e ω2 x 0 = .66). The damping constant γ . Initially. are out of phase because of ¯ the imaginary term i ωγ in (1.68) T + V = 1 m e (x 2 + ω0 x 2 ). At low frequencies (ω ω0 ). Because the mechanical power W . ˙ With x = −ωx.4 Dissipation of energy in a forced oscillation The total energy of the oscillator is the sum of kinetic energy T plus potential energy V : 2 ˙ (1. If γ is small.

70) the total energy E (unfortunately. Near the resonance frequency (ω ω0 ). x(t) = 1 2π ∞ −∞ ∞ −∞ x(t)eiωt dt (1.70). If the motion of the electron is described by x(t) = x 0 e−γ t /2e−iω0 t 0 for t ≥ 0 for t < 0 (1.5 Dissipation of energy in a free oscillation If the system is not driven by an external force and if damping is small.73) The two functions x(t) and f (ω) form the Fourier transform pair. while its amplitude gradually declines like e−γ t /2. (1.74) . 2 The Fourier transform of x(t) in equation (1. the initial loss rate is 2 2 W = 1 γ m e ω0 x 0 . the heating rate W goes to zero because the velocities are small. i (ω0 − ω) + γ /2 (1. into harmonic functions e−iωt of amplitude f (ω) and with continuously varying frequencies ω. by deﬁnition.70) is. the power W becomes large.3. the electron swings almost freely near its natural frequency ω0 . in view of the reciprocity relation. x(t). f (ω) = or.The harmonic oscillator 19 (In fact. For the amplitudes in the Fourier expansion of the free oscillator of (1.) • • When the frequency is very high or very low. however. (1. The integral (1. we ﬁnd f (ω) = x 0 0 ∞ e−γ t /2e−i(ω0 −ω)t dt = x0 .72) f (ω)e−iωt dω. the same letter as for the electric ﬁeld) at time t = 0 is 2 2 E 0 = 1 m e ω0 x 0 2 and afterwards it falls due to dissipational losses like E = E 0 e−γ t . and especially when damping is weak. 1.73) can be regarded as an inﬁnite expansion of the motion of the electron.71) The energy of the system drops by a factor e in a time τ = 1/γ or after ω0 /2πγ cycles. we should denote the time average by W but for simplicity we write W .

only frequencies with a substantial amplitude f (ω) are relevant. The electric ﬁeld E arising from the charge separation as a result of shifting electrons from S1 to S2 exerts a force F on the displaced electrons and accelerates them: F = Ne x · E = N xm e x. Prior to the disturbance.75) −1 where N is the number density of free electrons. All electrons inside S1 are suddenly displaced along the x-axis by the inﬁnitesimal length x. 1. A real grain contains many such oscillators ¯ (electrons) that are driven by the incoming wave up and down. ¨ 4π Ne2 x = m e x. −κ x. Comparison with (1.75). gives the relaxation time of the electron density.6 The plasma frequency The plasma frequency is deﬁned by ωp = 4π Ne2 me (1. y. Now consider in the plasma a slab S1 with sides x.3.7 Dispersion relation of the dielectric permeability Because the restoring force.4. the mean charge density ρ over any macroscopic volume V is zero: positive and negative charges balance. we may consider the oscillating electron as an alternating dipole of strength xe. ωp . and the net charge density (ions plus electrons) in S2 is no longer zero but equal to Ne. in (1.74) is the basis for the Lorentz proﬁle to be discussed in section 1. therefore. After this disturbance.60) shows that the electrons will oscillate around their equilibrium position with the frequency ωp of (1. so that the volume of the slab V = x. If they swing in . 1. Equation (1. The loss rate corresponding to each frequency component is then proportional to the square of the amplitude: W (ω) ∝ γ | f (ω)|2 ∝ γ (ω − ω0 )2 + (γ /2)2 . they are in the neighboring slab S2 . immobile positive ions and unbound light electrons. z and y · z = 1.20 The dielectric permeability In the decomposition of x(t) into harmonics. To prove it. The inverse. As we assume weak damping. they all cluster around ω0 .3. we apply a perturbation to a plasma in equilibrium which consists of heavy. which has the same shape and volume as S1 . ¨ The ﬁeld E = 4π Nex is found by integrating the basic equation 4πρ = div D.58) is due to electrostatic attraction between the electron and a proton.

The induced dipole moment per .76) where the equals sign on the far right comes from (1. equivalently.77) Figure 1.The harmonic oscillator 21 Figure 1. The dispersion relation speciﬁes how the dielectric permeability ε = ε1 + iε2 or. • In a constant ﬁeld E. where N is the number density of free electrons. The vertical line helps us to locate the maxima with respect to the resonance frequency. ¯ ε−1 ¯ E Ne2 ¯ = E P = Nxe = ¯ 2 − ω2 − i ωγ m e ω0 4π (1. The bar designates complex quantities.2 also gives the dispersion relation for n and k. phase and their volume density equals N. we get ε = ε1 + i ε2 = 1 + 2 2 ωp (ω0 − ω2 ) 2 (ω0 − ω2 )2 + γ 2 ω2 +i 2 ωp γ ω 2 (ω0 − ω2 )2 + γ 2 ω2 . (1. from (1. ﬁgure 1. change with frequency.6).49).48) and (1. the dipole moment per unit volume becomes. Equation (1.2. If we use the plasma frequency of (1. Despite this particular choice.66). here for a harmonic oscillator after (1.77). As we can compute m from ε after (1.75).76) represents the so called dispersion relation of the complex dielectric permeability and speciﬁes how ε varies with frequency. all quantities are real. the optical constant m = n + ik.2 and ωp = ω0 . it shows the characteristic behavior of the dielectric permeability at a resonance.2 presents an example of the dispersion relation ε(ω) calculated with γ /ω0 = 0. Also of interest are the limiting values in very rapidly and very slowly changing ﬁelds.

n goes towards a constant value and k falls to zero.22 The dielectric permeability unit volume and the static permeability are: P= Ne2 E 2 m e ω0 2 ωp 2 ω0 ε(0) = 1 + • In a slowly varying ﬁeld (ω ω0 ). Correspondingly. ε1 (ω0 ) = 1 and 2 ε2 (ω0 ) = ωp /γ ω0 . and the material becomes transparent because there are no dissipational losses (k. At high frequencies (ω ω0 ) and far from the resonance. At exactly the resonance frequency.2. This is a necessary condition for the fulﬁlment of the Kramers–Kronig relations (see section 2. ε1 increases from its static value as ω nears ω0 . It may become zero or negative. whereas ε2 becomes proportional to frequency ω times the damping constant γ and is thus small. there is very little polarization as the electrons cannot follow the ﬁeld due to their inertia and ε can be approximated by ε =1− 2 ωp ω2 +i 2 ωp γ ω3 . then sharply drops and rises again. (1. Around the resonance frequency. ε2 → 0). 2 ωp 2 ω0 . But note in ﬁgure 1. 1. as displayed in ﬁgure 1. ε2 is quite symmetric and has a prominent peak.79) • ε is then an essentially real quantity asymptotically approaching unity. when the wavelength is reduced to the size of an atom. k and ε1 with respect to ω0 . ε =1+ +i 2 ωp γ 4 ω0 ω. . (1. The imaginary part ε2 goes to zero far away from the resonance on either side but always remains positive. At very high frequencies. We derive the emission of an accelerated charge.78) • • • The real part ε1 approaches the electrostatic value ε(0).5).2 the signiﬁcant shifts of the extrema in n. Refraction disappears (n → 1). compute how an oscillator is damped by its own radiation and evaluate the cross section for absorption and scattering of a single oscillator. the concept of a continuous medium breaks down and modiﬁcations are necessary.4 The harmonic oscillator and light We continue to discuss the optical constant from the viewpoint that matter is made of harmonic oscillators.

from (1. the path is a maximum. In an idealized loss-free medium ε2 and k vanish. if it is on the curve C which has a curvature radius smaller than the ellipse at M. which is impossible for a dust grain in thermodynamic equilibrium. ε2 or k can never be negative as this would imply ampliﬁcation of light. the total path length F1 MF2 is indifferent to variations around M. c vph = . ε2 has its maximum value close to but not coinciding with the natural frequency ω0 (see ﬁgure 1. Fermat’s principle formally explains how spectacles and binoculars work and why a light ray changes its direction when it passes from a medium with index n 1 to one with n 2 . More precisely.46).1 Attenuation and refraction of light The attenuation of light is due to the dissipation of energy. 1. Without damping one ﬁnds. According to Fermat’s principle.3. In the harmonic oscillator model. The loss rate depends foremost on the imaginary part of the dielectric constant ε2 .44) and (1. If the reﬂection point M lies on the tangent T. may take up positive and negative values. the travel time does not change.3). the quickest. for example. ε1 . n.4. the phase velocity in glass is different from that in vacuum is contained in the concept of superposition which . from among all possible paths. light traveling in a medium of varying n chooses. is always positive. So the chosen route might be a local minimum or a local maximum (see ﬁgure 1. when inﬁnitesimally varying the actual path. to ﬁrst order.2). however. The real part of the optical constant. The index n determines the phase velocity vph of the wave. The real part of the dielectric constant. In a resonance. the actual path is a minimum. n n is responsible for the phenomenon of refraction. the electrons transfer kinetic energy in collisions to the lattice. For light traveling from focus F1 of an ellipse to focus F2 via the reﬂection point M on the circumference of the ellipse. which itself is proportional to the frictional parameter γ .The harmonic oscillator and light 23 T M C F1 F2 Figure 1. The physical reason that.

80) So for small attenuation. When n rises with ω. if dn/dω < 0. So the phase velocity c/n follows. Consider.131)). However. (1. in a subtle way. when the damping is weak and γ ω0 . the expression for n reduces.e.2). to n 1+ 2 ωp 2 2(ω0 − ω2 ) .24 The dielectric permeability states that the ﬁeld at any given point is the sum of the ﬁelds from all oscillators anywhere in the world. for example. When one computes E a (it is not too difﬁcult). i. thin sheet of glass oriented perpendicular to the direction of wave propagation. in turn.e. on the value of ω0 . for historical reasons. which is composed of waves of different frequencies and is capable of carrying a message. a plane wave that encounters a ﬂat.4. The ﬁeld E a far ahead of the sheet is. the phase velocity exceeds the velocity of light in vacuum. an electromagnetic wave is emitted. One gets exactly the same phase shift if one neglects the ﬁelds from the electrons altogether and assumes the wave has traveled in the sheet at a reduced phase velocity c/n. we ﬁrst summarize what the electric and magnetic ﬁelds produced by arbitrarily moving charges . dips afterwards below one and goes asymptotically to unity at high frequencies. This does not violate special relativity as it is not possible to transmit information with a monochromatic wave. n rises. The electric ﬁeld of the wave accelerates the electrons in the glass and they start to radiate themselves. from the interference of the incoming wave with waves generated by the excited oscillators. i. 1. to the left of ω0 in ﬁgure 1. A wave package. one speaks of normal dispersion. to the wave if there were no sheet. As one approaches the resonance (see ﬁgure 1.80) n(ω) 1+ 2πe2 me Nj j ω2 j − ω2 . When n is less than one.77). one ﬁnds that it has a phase shift relative to the incident wave. induces an electric ﬁeld and so on. it all depends. For a medium that is almost transparent. cannot travel faster than c (see (1. reaches its maximum shortward of ω0 . for glass in the visible range: blue light entering a prism is bent more than red light.2. of course. To calculate the emission. according to the principle of superposition. from (1. the dispersion is called anomalous. This is true. n is nearly constant at low frequencies and equal to 2 2 1 + ωp /2ω0 .48) and (1. i. one has instead of (1. for this purpose. If a substance has several resonances arising from different oscillators with number density N j and natural frequency ω j . the sum of the ﬁelds created by all electrons plus the ﬁeld of the incident wave.2 Retarded potentials of a moving charge An oscillating electron represents a current that is surrounded by a time-variable magnetic ﬁeld which.e. In terms of actual frequencies. in the end.

30) with the help of (1.86) and (1. t) = ρ(x1 . the potentials at the point x2 of the observer are (see any textbook on electrodynamics): φ(x2 .19)–(1. The delay corresponds to the time it takes light to travel from x1 to x2 : t =t− |x2 − x1 | . c |x2 − x1 | (1. there exists a scalar potential φ with 1˙ E + A = −∇φ. they become wave equations and their right-hand sides vanish. there exists a vector potential A such that B = rot A (1. If the charges are localized around the center of the coordinate sytem and if their position is denoted by x1 . c c c (1.86) (1.83) ˙ and because rot(E + A/c) = 0.88) (1.90) .87) (1. We now ˙ drop the sufﬁx ‘tot’. Then φ and A obey the relations A− 1 ¨ 4π J A= − 2 c c 1 ¨ φ − 2 φ = − 4πρ. c (1.87) are equivalent to Maxwell’s equations. ρtot + div Jtot = 0. t ) dV |x2 − x1 | J(x1 . We start with Maxwell’s equations in the so-called microscopic form where all contributions to charge and current are included. c These potentials are gauged by imposing on them the Lorentz condition.22).85) (1. Again there is charge conservation.84) which leaves the ﬁelds E and B untouched.82) They follow immediately from the equation set (1. 1˙ div A + φ = 0 c (1. not only the ‘free’ parts: div B = 0 div E = 4πρtot 1˙ 4π 1˙ rot B = E + rot E = − B Jtot .The harmonic oscillator and light 25 of density ρ look like. c (1. t ) d V.89) The potentials A and φ are called retarded as they refer to the present time t but are determined by the conﬁguration at an earlier epoch t . Because div B = 0. In vacuum.27)–(1.81) (1. t) = A(x2 .

so t t − (r − x1 · e)/c.4. where v is the non-relativistic charge velocity.3 Emission of an harmonic oscillator Under such simpliﬁcations. ∇φ in (1.93) because the current density is J = ρv and the wiggling charge q constitutes a dipole p = qx1 whose derivative is given by the integral over the current density.10)) and the electric ﬁeld of a charge .91) If the d is also small compared with the wavelength. the wave is planar and H =e×E E = H × e. If there is only one small charge q of space density ρ(x) that is oscillating about an opposite charge at rest. Far away. d r (astronomers are always at a safe distance from the action).92) This expression applies.26 The dielectric permeability If the size d ∼ |x1 | of the region over which the charges are spread is small compared with the distance r = |x2 | to the observer. The vector potential A follows from a volume integral over the current density J at the earlier epoch t = t − r/c. t − r/c) cr (1.92) yields A(x2 . Moreover. so we can write t and A(x2 . we may put r |x2 −x1 | and take r out from under the integrals. where e is the unit vector pointing from the atom to the observer. |x2 −x1 | |x2 |−x1 ·e. (1. Far away from the charge. equation (1. If there are many charges qi shaking at velocity vi . d λ there will be no phase shift among the waves emitted from different parts of the source and the emission is coherent. for example. t − r/c) d V. to atoms where a charge is oscillating at a frequency ν and the linear dimension of the system d ∼ ν −1 v = λv/c. (1. the result is the same with p = qi xi . t) = 1 ˙ p(x1 . one obtains the dipole ﬁeld. We do not discuss the near ﬁeld here. t) = 1 cr t − r/c J(x1 .84) is negligible because φ represents the potential of the charge (see the comment after equation (6. 1.

93) is modiﬁed and at ﬁrst order one has to add two correction terms: A= 1 1 ¨ 1 ˙ ˙ p + m × e + 2 Q. Having determined the ﬁelds E and H via the dipole moment p.13) and Qi j = ρ(x)[3x i x j − x 2 δi j ] d V (1. From Q i j one deﬁnes the vector Q.89) for small x1 · e. δi j denotes the Kronecker symbol. if one does not make the simpliﬁcation t = t − r/c but sticks to equation (1. equation (1. the timeaveraged power equals half the maximum value of W in (1. Q 3 ) with Q i = j Qi j e j (i = 1.38). (1. The vector potential A in formula (1. so ¨ |p|2 sin2 θ d . one ﬁnds the Poynting vector ˙ S = (c/4π)E × H from E = −A/c and H = e × E.96) dW = 4πc3 The emission is zero in the direction of the motion of the charge and maximum perpendicular to it.98) is also evaluated at the time t = t − r/c. Again. 1.4.98). t ) in (1. This ﬂux is given by the Poynting vector of (1. we can compute the ﬂux d W carried in a solid angle d = sin θ dθ dφ into the direction e which forms an angle θ with the dipole moment p.The harmonic oscillator and light 27 falls off like 1/r 2 .97). Integration over all directions yields for the total momentary power radiated by a dipole: W = 2 ¨ |p|2 . cr cr 6c r (1.95) where we have assumed that the dipole varies harmonically at frequency ω.99) the electric quadrupole moment.4 Radiation of higher order More generally. a traceless tensor. whereas the ﬁeld of a light source falls off more slowly like ˙ 1/r . We thus have E = −A/c and H= ω2 1 ¨ p×e= 2 e×p 2r c c r ω2 E = 2 (e × p) × e c r (1.98) m is the magnetic dipole moment of equation (1.97) If the dipole oscillates harmonically proportional to cos ωt. 3) and this Q is used in (1. . Q = (Q 1 . Q 2 .91) and expands J(x1.94) (1. 3c3 (1. The vector x has the components x i and the length x. 2.

3m e c3 Frad has to be added in the equation of motion of the harmonic oscillator. the two atoms in ¨ ¨ the hydrogen molecule H2 . Averaged over some time ˙ interval t. for instance. the steady-state solution is again x = x 0 e−iωt ¯ ¯ with . ˙ t When we integrate the right-hand side by parts and assume a periodic motion where u u = 0 at the beginning and at the end of the time interval t. there is currently no strict.27 × 10−24 s. we write the equation of motion in the form ˙ F + Frad = m e u. 1. associated with Q and m. We describe the feedback in classical terms here. When a force F accelerates a free and otherwise undamped electron. the time derivatives p and m are zero so that only the electric quadrupole radiation remains. because u = −ω2 u for a ¨ harmonic oscillation. respectively but they are several orders of magnitude weaker. Frad acts oppositely to F.28 The dielectric permeability Even when the electric dipole moment vanishes. self-consistent description of the feedback. we assume that the emitted power due to the radiative deceleration (see (1. we ﬁnd ˙ Frad − t 2e2 2 u u dt = 0. The additional force Frad accounts for the retardation caused by the radiative loss and u = x is the velocity.97)) is equal to the work that the force Frad has done on the electron: − t Frad u dt = 2e2 3c3 u 2 dt. so (1.59) becomes eE 0 −iωt 2 ˙ ¨ e . One can easily show that if all particles have the same charge-to-mass ratio as.5 Radiation damping An accelerating electron radiates and the emitted light reacts on the electron because of the conservation of energy and momentum. ω0 x + γ u + u − τ u = me τ= It contains time derivatives in x up to third order but. Although theory (quantum electrodynamics) and experiment agree extremely well.4. ¨ 3c3 So the force becomes ¨ Frad = m e τ u 2e2 = 6. there may still be electric ¨ ˙ quadrupole or magnetic dipole radiation.

γrad = 1.4. deﬁned as the scattered power 2 divided by the incident ﬂux S = (c/4π)E 0 of (1.67) and (1.103) 3 is the Thomson scattering cross section of a single electron. 2 m e ω0 − ω2 − i ω(γ + τ ω2 ) 29 This is the same expression for x 0 as in (1.38). the power W sca = 2 ω4 2 4 2 2 e4 E 0 ω p0 = 3 2 3c3 3c m 2 (ω0 − ω2 )2 + ω2 γ 2 e The term (1.69) to the 2 2 time-averaged radiated power p0 ω4 /3c3 of (1. from (1.102) 2 8πr0 = 6. r0 is the classical electron radius and follows from equalling the rest mass energy m e c2 to the electrostatic energy e2 /r0 : σT = r0 = e2 = 2.65 × 10−25 cm2 (1. 2e2 2 ω (1.100) 3m e c3 is the damping constant due to radiation alone and follows from equating the 2 time-averaged losses 1 γrad m e ω2 x 0 of the harmonic oscillator after (1.82 × 10−13 cm.104) . becomes σ sca (ω) = where W sca ω4 = σT 2 S (ω0 − ω2 )2 + ω2 γ 2 (1. it is frequency independent.The harmonic oscillator and light (a bar denotes complexity) and the complex amplitude becomes x0 = ¯ ¯ e E0 1 .6.1 Scattering An oscillating electron with dipole moment ¯ p = p0e−iωt = e x 0 e−iωt ¯ ¯ scatters. m e c2 (1.97).101) ¯ where we put p0 = | p0|.6 The cross section of an harmonic oscillator 1.97).4. So its cross section σ sca .66) if one replaces there the ¯ dissipation constant γ by γ + τ ω2 = γ + γrad . Note that we always assume the radiative losses over one cycle to be small in comparison to the energy of the oscillator.

74). we have to set γ = γrad after (1.2 Absorption In a similar way.7 The oscillator strength Integrating σ (ω) after (1.108) σtot = σ (ω) dω = mec The integrand has signiﬁcant values only around ω0 . 1. we get from (1.107) A frequency dependence according to the middle line of (1. . We note that ∞ 0 γ (ω − ω0 )2 + (γ /2)2 dω = 2 ∞ −2ω0 /γ dx 1 + x2 2π (γ ω0 ).4. 1.30 The dielectric permeability If there is only radiative damping. It has the characteristic feature that the intensity over an emission or absorption line changes proportional to [(ω−ω0 )2 +(γ /2)2 ]−1 . at the root of such a proﬁle is the exponential decline e−γ t /2 of the amplitude of the electron. (1. From equation (1.100). the electron is essentially free and the cross section constant and equal to σT .102) we ﬁnd the following approximations for the scattering cross section at the resonance. When the frequency is high. 2π 2 e2 .105) results in a Lorentz proﬁle. When the frequency is small.105) σ (ω) = σT ω0 if ω ω0 4 (ω − ω )2 + (γ /2)2 0 σT if ω ω0 .107). so to evaluate σtot we could also use the approximate second formula of (1. Near the resonance. (1.106) over frequency yields the total cross section for absorption.6. we have put 2 ω2 − ω0 2ω0 (ω − ω0 ).106) (ω) = πe2 −4 2 4γ ω0 ω γ m e c (ω − ω0 )2 + (γ /2)2 4γ ω−2 (1. and at low and high frequencies: 4 σT ω if ω ω0 ω0 sca 2 (1.107) or (1.4. σ sca falls with the fourth power of ω (Rayleigh scattering). As we have seen in the Fourier analysis of the motion of a free oscillator after (1.69) for the absorption cross section of the harmonic oscillator σ abs (ω) = with the approximations σ abs 4πe2 ω2 γ W abs = 2 S m e c (ω0 − ω2 )2 + ω2 γ 2 if ω if ω if ω ω0 ω0 ω0 .

111) This is the natural linewidth as derived from classical physics. . its energy decays exponentially like e−γrad (ω0 )t (see (1. The intensity of emission.18 × 10−4 A.4. expressed in wavelength. 3 (1. B j i and A j i (see section 6.8 The natural linewidth If the oscillator is not driven by an external ﬁeld but swings freely near the resonance frequency ω0 . all intrinsic properties of the oscillator have canceled out. we have ω2 − ω0 2ω0 (ω − ω0 ) and the full width 2 ω of the resonance curve x 0 (ω) taken at half maximum becomes ω = γrad = or.4). I (ω). at a frequency ω is 2 proportional to x 0 (ω). It is of order unity for strong lines.The harmonic oscillator and light When the cross section σ is a function of ν = ω/2π.109) where f j i is called oscillator strength. mec 31 The true quantum mechanical cross section for a downward transition j → i integrated over frequency is often written as σtot = πe2 f ji mec (1. 1.71) and (1.3). In quantum mechanics. in analogy to the classical formula. through πe2 hν c2 f ji = B ji = A ji mec c 8πν 2 where hν is the energy difference between level j and i . λ = 2πc ω 2 ω0 (1. f j i is related to the Einstein coefﬁcients for induced and spontaneous emission.3). the square of the elongation given in (1. otherwise smaller. One may 2 (ω) the resonance curve (see ﬁgure 1. we get σtot = σ (ν) dν = πe2 . It does not depend on the frequency of the transition.67). A j i speciﬁes the rate at which a system in level j spontaneously decays to a lower level i (see section 6. Because all relevant frequencies call x 0 2 for emission are close to ω0 .100)). The probability of ﬁnding the system in state j decreases with time like e−A j i t .110) 2r0 2 ω 3c 0 = 4π ˚ r0 = 1. the Einstein coefﬁcient A j i is the counterpart to the radiative damping constant γrad of classical electrodynamics.

We show that. 1. The medium is then a plasma and the dispersion relation is known as the Drude proﬁle. unless it is the ground state. one has to sum the A coefﬁcients of all possible downward transitions starting in j and something similar must be done for the lower level i . The emission thus cannot be strictly monochromatic but has ji a frequency spectrum centered at ω0 . As the pulse travels with the velocity of light. the energy E j of state j is fuzzy because of the uncertainty principle.32 The dielectric permeability Figure 1. Here t A−1 is the average ji time that the atom stays in level j .4. the ˚ width of the line is 1.) The time A−1 that the atom resides in state j also gives the duration of the ji emitted pulse. in the presence of a magnetic ﬁeld. Furthermore. This leads .18 × 10−4 A in wavelengths or γrad in frequency. E t ≥ . E j is undetermined by an amount E = A j i resulting in a frequency uncertainty ω = A j i . the length of the wave train is c A−1 .5 Waves in a conducting medium We modify the expression for the dielectric permeability or the complex wavenumber for the case that some of the electrons in the material are not bound to individual atoms but are free so that they can conduct a current. in quantum mechanics. when calculating ω. The emitted intensity of a classical oscillator with a resonance at λ0 that is damped only radiatively with a damping constant γrad after (1. (More accurately.100). the optical constant n of a plasma depends for circularly polarized plane waves on the sense of rotation. Therefore. Irrespective of λ0 .

Waves in a conducting medium 33 to the phenomenon of Faraday rotation. as we know from everyday experience with electricity.29) and (1. 1. in a vacuum. σ = 0.113) reduces to rot H = 4πσ E c (1. however. When a conductor is placed in a static ﬁeld. (1. of course. J = σ E. An electric ﬁeld may exist in a metal. Let us start with the Maxwell equations (1. more precisely when |ε| Then equation (1. Formally.5. a static electric ﬁeld is. We also derive the group velocity of a wave package in a plasma. ω which describes the magnetic ﬁeld produced by a quasi-stationary current. c . no current can ﬂow because the charges arrange themselves on its surface in such a way that the electric ﬁeld inside it cancels out. Ohm’s law asserts a proportionality between the electric ﬁeld E and the current density J (omitting the sufﬁx ‘free’). 1˙ rot E = − B c rot H = 1˙ 4π D+ J.112) σ is called the conductivity and is usually deﬁned for a quasi-stationary electric ﬁeld.1 The dielectric permeability of a conductor A conductor contains free charges that can support a constant current.113) as an expansion of rot H into powers of ω.112) ωµ H c ω 4πσ rot H = −i ε+i c ω rot E = i E. possible. The term with the conductivity σ dominates at low frequencies. c c When we insert harmonic ﬁelds into these formulae.114) 4πσ . either because it varies rapidly and the charges do not have time to reach their equilibrium positions or it is produced by a changing magnetic ﬁeld according to (1. we get for a homogeneous medium with the help of (1.30) which are appropriate for conductors. We treat conductors because some interstellar grains have metallic properties and because the interstellar medium is a plasma.113) We may look at (1.25). (1. In a dielectric medium. we can retain the ﬁeld equation ε˙ rot H = E.

34). is in a conducting medium k2 = ω2 µ 4πσ εd + i c2 ω . ω0 = 0 in (1.116) √ The optical constant m follows from ε of (1. they experience no restoring force after an elongation and.115) via m = εµ (see (1.59). (1. From (1. This happens around ω 1017 s−1 .5). we ﬁnd the velocity of a free electron in an harmonic electric ﬁeld: v= ¯ e ¯ E.2 Conductivity and the Drude proﬁle We repeat the analysis of the harmonic oscillator in section 1.34 The dielectric permeability as formulated in (1. written here as εd to indicate that it refers to a dielectric. 1.123) for an exact expression) ε(ω) = i 4πσ . also large and roughly equal: n k→∞ for ω → 0. (1. also for a conducting medium.48) and (1.5. −κ x. (1. which appears in the wave equations (1. much greater than one (|ε| has a singularity at ω = 0. At low frequencies.46)).3 for a plasma. in (1. However. ω 1) and ε is then purely imaginary (ε1 = 0). therefore.115) ε = εd + i ω The complex wavenumber of (1. the dielectric permeability of a metal is approximately (see (1. Then the restoring force. plus a term relating to the conductivity: 4πσ .118) . ¯ ¯ therefore. The electrons are then free. If there are N free electrons per cm3 .117) The difference between dielectrics and metals vanishes when the electromagnetic ﬁeld changes so rapidly that the electrons make elongations that are small compared to the atomic radius. σ = 2 ωp Ne2 = m e (γ − i ω) 4π(γ − i ω) (1.58) is negligible and all electrons are essentially free. With the same ansatz x = x 0 e−iωt as before. m e (γ − i ω) The conductivity follows from the current density J = σ E = Nev.33) for a dielectric medium.49) the optical constants n and k are. ε must then denote the sum of the dielectric permeability of (1.41).

116).41)): ε(ω) = 1 − 2 ωp γ 2 + ω2 +i 2 ωp γ . It is then an essentially real quantity approaching the direct-current limit σ (ω = 0) = 2 ωp 4πγ (1.119) At long wavelengths (ω γ ).Waves in a conducting medium 35 where ωp = 4π Ne2 /m e is the plasma frequency of (1.121) is known as the Drude proﬁle (see (1. we ﬁnd for the wavenumber of a plasma k2 = Without damping. The conductivity depends on the density of free electrons through ωp and on the collision time through γ .122) In this case. For ω = ωp . the conductivity is purely imaginary and inversely proportional to frequency.118) into (1.75). vph > c. 4π γ 2 + ω2 4π γ 2 + ω2 2 ωp (1.48). If the frequency is high or damping weak (γ ω). the expression from (1. There is then no dissipation of energy in the current. ω γ 2 + ω2 (1. here are two examples: • Copper is a pure metal with a free electron density N 8 × 1022 cm−3 . so the phase velocity is greater than the velocity of light.6 × 10 . the real part n of the optical constant is. (1. and substitute.60)) are illustrations. smaller than one. σ becomes frequency independent. µ = 1. when ω is greater than the plasma frequency. The bending of short-wavelength radio waves in the ionosphere or the reﬂection on metals (see (3. When we put εd = 0. The dielectric permeability ε(ω) corresponding to (1. σ (ω) = σ1 (ω) + i σ2 (ω) = • 2 ωp γ ω +i . k2 = ω2 c2 1− 2 ωp ω2 c2 1− 2 ωp γ 2 + ω2 +i 2 ωp γ ω γ 2 + ω2 . 16 s−1 and a damping constant γ a plasma frequency ωp = 1. So generally speaking.121) ω2 . A wave with ω ≤ ωp cannot penetrate into the medium and is totally reﬂected.120) • which appears in Ohm’s law. n becomes zero. for the conductivity σ . (1. from (1. the conductivity is a complex function and depends on ω.123) To get some feeling for the numbers associated with the conductivity.

The presence of the magnetic ﬁeld B modiﬁes the orbit. put r± = x ± i y E± = E x ± i E y and interpret the (x. i. • 1. Graphite is a reasonable conductor only when the electrons move in the basal plane. If the wave is linearly polarized. 0) travels without attenuation through a plasma parallel to a constant magnetic ﬁeld B = (0.36 The dielectric permeability 3 × 1013 s−1 . 0. 0) + (1. it is two orders of magnitude smaller than for copper. and E + and E − as the electric vectors of two circularly polarized waves associated with the electron trajectories r+ (t) and r− (t). it can be regarded as a superposition of two oppositely circularly polarized waves. ¨ F = m e r. ˙ Ey − me mec (1.125) e/m e E± ω2 ± ωωcyc A circularly polarized wave makes an electron rotate. x= ¨ e eB y ˙ Ex + me mec y= ¨ e eB x. ˙ E± ∓ i me mec 1 (1. Therefore copper cables are ideal for carrying electricity. 0)E 0 e−iωt = We. if the electric vector stays along the x-axis. E = (1. We consider the fairly simple situation when a plane wave with electric vector E = (E x . which is found in interstellar space. where F is the Lorentz force of (1. It has a high direct-current conductivity σ ∼ 7 × 1017 s−1 . For example. 2 The solution to this differential equation is r± = with the cyclotron frequency ωcyc = eB . y)-plane as a complex plane. It follows from (1. and the modiﬁcation is different for clockwise .3 Electromagnetic waves in a plasma with a magnetic ﬁeld In the presence of a magnetic ﬁeld.1). The trajectory r(t) = (x. therefore. E y .5. 0. B) oriented in the z-direction.124) The variable magnetic ﬁeld of the wave is neglected. y. Graphite.4 × 1020 cm−3 12 s−1 . mec (1. 0) E 0 e−iωt . −i. wave propagation is generally complicated. so the direct-current conductivity becomes σ and γ 5 × 10 7 × 1015 s−1 .124) that r± = ¨ e eB r± . 0)(t) of an electron follows from integrating the equation of motion. has N 1.

therefore. t) = exp i dω k0 − ω0 t dk =C ∞ −∞ ∞ −∞ A(k)eikx dk. dk (1. the optical constant n 2 = ε1 . If there are N electrons per unit volume. This leads to a change in the direction of the polarization vector of the linearly polarized wave. (1.4 Group velocity of electromagnetic waves in a plasma A one-dimensional wave package is a superposition of monochromatic waves (see (1.127) in which the amplitude A(k) has a sharp peak at some wavenumber k = k0 .129) . The dielectric permeability ε is given in (1.128) into (1.128) Here ω0 = ω(k0 ) and the derivative dω/dk is evaluated at k = k0 . 0) = Inserting (1.36)): u(x.126) We conclude that the two circularly polarized waves travel with different phase velocities vph = c/n ± . This effect is called Faraday rotation. ω(k) = ω0 + dω (k − k0 ). where the conductivity σ± = i Ne2 /m e .Waves in a conducting medium 37 and anti-clockwise rotation. 1. ω ∓ ωcyc Without damping. n2 = 1 − ± 2 ωp ω2 1± ωcyc ω −1 . A(k) exp i k x − dω t dk dk = C · u x . At the time t = 0. We therefore develop the dispersion relation ω = ω(k) around k0 . their motion ˙ implies a current J± = σ± E ± = Ner± . dk (1.0 with x =x− dω t. t) = ∞ −∞ A(k) · ei(kx−ωt ) dk (1.115) with εd = 1.5.127) gives u(x. the wave package has the form u(x.

θ + dθ . 1.131) For the product of group and phase velocity vph = ω/k (see (1. as the factor C is purely imaginary and irrelevant. (1. cos θ = f (θ ) cos θ d f (θ ) d (1.135) .134) The average value of cos θ follows from integrating f (θ ) over all directions.6 Polarization through orientation The polarization which we have modeled with the help of the harmonic oscillator of section 1. (1. The potential energy is at its minimum when the dipole moment lines up with the ﬁeld and θ = 0. The atoms are never perfectly aligned because they are tossed around by the motions of their neighbors. for a plasma without damping vg = dω =c· dk 2 1 − ωp /ω2 ≤ c. dk (1.38 The dielectric permeability Therefore. In this section. If f (θ ) dθ denotes the number of atoms that have angles between θ . In thermal equilibrium at temperature T .132) 1. . the distribution of orientations is expressed by the Boltzmann factor e−U/ kT .6. their lengths being p and E. provided the molecules are sufﬁciently ‘round’ so that they can turn and are not hooked too strongly to their neighbors.44)). This process is principally relevant to gases and liquids and only marginally to solids.133) where θ is the angle between the vectors p and E. then f (θ ) = f 0 e−U/ kT = f 0 e p E cos θ/ kT .1 Polarization in a constant ﬁeld An atom or molecule with a dipole moment p in an electric ﬁeld E has a potential energy U that depends on orientation.3 is due to the deformation of atoms in the sense that their internal charges are shifted relative to each other.122). the wave package travels with the group velocity vg = dω . U = −p · E = − p E cos θ (1.130) According to (1. . (1. vph · vg = c2 . However. we consider molecules with an intrinsic dipole moment and a rigid charge distribution that are allowed to rotate. the analysis which we develop here also applies to the alignment of atomic magnets and we will use the results later in chapter 11 on grain alignment.

the mean cosine is given by cos θ = L(x) where L(x) denotes the Langevin function: L(x) = coth(x) − 1 x x3 = − + ···. so we have to write f (θ. 1. the polarization P in the direction of E equals P = N p cos θ . The time enters into f for two reasons. (1. the ﬁeld exerts on each dipole a torque τ = p E sin θ (1. If there are N dipoles per unit volume. t) d be the number of dipoles whose axes fall into a small solid angle d and make an angle θ with respect to the ﬁeld E. Easy to handle and relevant to our applications are weak ﬁelds ( p E kT ) for which pE N 1+ cos θ . The directions of the individual . We now sketch how one derives an expression for the distribution function leaving aside the mathematical details. 3kT An identical formula holds for magnetic dipoles (dipole moment m) in a magnetic ﬁeld.136) In our particular case. all directions are almost equally likely and the average angle is pE cos θ = .139) ˙ which makes it rotate.Polarization through orientation 39 where d is an element of the solid angle. First.2 Polarization in a time-variable ﬁeld The distribution function f for the orientation of dipoles in the case of a timevariable ﬁeld is considerably more complicated. (1.137) with x = pE kT We see that the strength of the net polarization P depends on temperature. t) instead of f (θ ).6. there is Brownian motion because the dipoles are jostled about in collisions. so ˙ τ = ζθ (1. Let f (θ. The rotation speed θ is assumed to be proportional to the torque τ .140) where ζ is a friction coefﬁcient. It now depends not only on the angle θ between dipole moment and ﬁeld but also on time. where f (θ ) ∝ e p E cos θ/ kT . Second.138) f (θ ) = 4π kT f (θ ) is now almost constant. x 3 45 (1. One just has to replace p E by m B.

because δt is small. One computes the change = f˙ d δt in the number of dipoles f (θ. so f˙ vanishes. t) = 1 + ϕ(t) cos θ kT . (1. To solve (1. Then for t > 0. t) d over the time interval δt.3 Relaxation after switching off the ﬁeld The average orientation in a constant time ﬁeld is described by the Maxwell– Boltzmann equation (1.40 The dielectric permeability dipoles vary smoothly with time due to Brownian motion and the alternating electric ﬁeld.141) for f˙ = 0.141) ζ f˙ = sin θ ∂θ ∂θ The ﬁrst term in brackets on the right-hand side of (1. The axes are turned at an ˙ angular velocity θ by a variable torque τ (see (1.141) is due to Brownian motion. This leads to an expression for Brown that depends on f and its spatial derivatives times the mean square angular distance φ 2 which the axis of an individual dipole travels during the time δt. one can restrict the discussion to the dipoles in the vicinity of d .134) is. The interval δt is chosen long enough so that the dipole axes manage to escape from d but also sufﬁciently short so that their directions are modiﬁed only by a small angle. • Altogether. 1.6. indeed. the torque τ is absent and the orientations begin to randomize. This process is called relaxation and governed by the equation 1 ∂ ζ ˙ f = kT sin θ ∂θ sin θ ∂f ∂θ (1. Suppose now that the ﬁeld is suddenly switched off at time t = 0. The change is split into a contribution due to Brownian motion and one due to the ﬁeld = Brown + ﬁeld . the second term due to the rotation of the dipoles by the ﬁeld. complete disorder is established. We may convince ourselves that (1.142) which follows from (1. a solution to (1.141) for τ = 0. we try a distribution function p E0 f (θ. after a while. It does of course not depend on time.140)) that tries to align the moments with the ﬁeld. Debye [Deb29] found for the time derivative of the distribution function ∂f 1 ∂ sin θ kT +τf .134). The other term ﬁeld is much easier to calculate.142). But φ 2 is known: for Brownian motion φ 2 = kT δt/4ζ . • To evaluate Brown . The difference in the number of axes that leave and enter the solid angle d is ﬁeld .

t) = 1 + Ae−iωt kT 2 When inserted into (1.141) when the variable ﬁeld is weak.145) For a static ﬁeld (ω = 0).4 The dielectric permeability in Debye relaxation In the presence of an harmonic ﬁeld E = E 0 e−iωt . We can now compute the polarization P of such a medium according to (1.144) 2kT 1.136). (1. f becomes constant and is independent of the direction of the ﬁeld. it yields A= 1 .134) is then no longer applicable and needs to be generalized. we try an ansatz for f in the spirit of (1.Polarization through orientation 41 which is similar to (1. 2 2 1 + ω2 trel 1 + ω2 trel (1. f (θ.138) but for the relaxation function ϕ(t) and the factor N/4π which has been dropped.6. We have here the novelty . The Maxwell–Boltzmann formula (1.5.e. Because P = χ E. Substituting f (θ. i.143) The form of the relaxation function implies exponential decay. when p E0 kT.141) and terms with E 0 are neglected.142) yields ϕ(t) = e− 2kT ζ t . At very high frequencies. Naturally.123).77) and (1. (1. i. For cos θ in (1. again without the factor N/4π.e. kT 1 − i ωtrel (1. p E0 cos θ. with (1. t) = 1 + e−iωt p E0 cos θ .146) This function is plotted in ﬁgure 1. we are back to Maxwell–Boltzmann. It is easy to ﬁnd a solution to Debye’s equation (1. The system relaxes from statistical alignment in a constant ﬁeld to random orientation on a time scale ζ trel = .138). t) into (1.145). 1 − i ωtrel So the full expression for the distribution function in a variable weak ﬁeld is f (θ. we obtain for the susceptibility χ (or the dielectric permeability ε) in the case of rotational polarization: χ= N p2 1 N p2 ε−1 = = 4π 3kT 1 − i ωtrel 3kT ωtrel 1 +i .135) we have to use the distribution function from (1. It should be compared with ε(ω) for a dielectric and a metal. the distribution function f depends explicitly on time.

If the water molecules are approximated by spheres of radius a. here we put 4π N p2 /3kT = 1. trel 2 × 10−12 s approximately. ˙ ˙ θ θ (1. do not coincide. one may approximate the imaginary part of χ by χ2 = χ0 ωtrel 2 1 + ω2 trel ωχ0 trel χ0 = N p2 3kT . With the support of experimental data. (1. The associated frequency lies in the microwave region. ζ = −1 trel Fa τ ∼ ∼ 6πηa 3. Shown are n.9 Debye. inversely proportional to temperature and otherwise determined by the relaxation time trel .5. that ε depends on temperature.139) and the force F of Stokes’ law (see (9.147) χ0 is the static value of χ(ω) and refers to a time constant ﬁeld. k and ε1 − 1 and ε2 . resulting in a permanent dipole moment p = 1. For small frequencies.146) and the optical constant m = n + ik for the case that polarization is due to the alignment of molecules with a permanent dipole moment p. Therefore the center of positive charge. Liquid water has. a viscosity η 0. which lies in the midst between the hydrogen atoms.42 The dielectric permeability Figure 1.148) ˚ For a ∼ 1 A. The dielectric permeability ε = ε1 + iε2 after (1. one can . at room temperature. The water molecule has an intrinsic electric dipole moment as the three nuclei in H2 O form a triangle with an obtuse angle of 105◦ .41)). The dissipation rate is proportional to ω. located near the oxygen atom.01 g cm−1 s−1 . and the center of negative charge. the friction constant ζ follows from the viscosity using the equation for the torque (1. Let us consider water as an example of rotational polarization.

the molecules ﬁnd it hard to adjust their orientation because they cannot rotate freely in a solid.3 × 1022 cm−3 . As the density of water is N = 3.Polarization through orientation 43 improve the estimate to trel 8 × 10−12 s but the ﬁrst guess was not bad. When water freezes. Then the viscosity and the relaxation time jump by a large factor and the frequency at which ε2 has its maximum drops and polarization due to Debye relaxation becomes unimportant. at room temperature we have roughly N p2 /3kT ∼ 1. .

Section 2. we learn how to compute the scattering and absorption coefﬁcients of particles. In the ﬁnal section. φ) = 2 2 Ä(θ.1) F(θ. absorption and extinction For a single particle. We have included in the denominator the wavenumber k= 44 2π λ . we.4. In sections 2. write F0 (2.1. which is received at a large distance r from the particle is obviously proportional to F0 /r 2 . φ) as depicted in ﬁgure 2. therefore. The ﬂux is the energy carried per unit time through a unit area and given in (1.2 deals with the optical theorem which relates the intensity of light that is scattered by a particle into exactly the forward direction to its extinction cross section. we approximate the material constants of matter that is a mixture of different substances. The ﬂux from this scattered light. Section 2.1 Cross section for scattering.5 is concerned with a strange but important property of the material constants that appear in Maxwell’s equations. φ) does not depend on r nor on F0 . such as ε or µ.1. the scattering cross section is deﬁned as follows.1 Deﬁning cross sections 2. When the wave hits the particle. F(θ. φ). the most important quantity describing the interaction between light and interstellar grains.1.3 and 2. Consider a plane monochromatic electromagnetic wave at frequency ν and with ﬂux F0 .Chapter 2 How to evaluate grain cross sections In section 2. The problem was ﬁrst solved in the general case for spheres by G Mie [Mie08] and the underlying theory bears his name. some light is scattered into the direction speciﬁed by the angles (θ. φ). 2. we deﬁne cross sections. They are complex quantities and Kramers and Kronig discovered a dependence between the real and imaginary parts. k r The function Ä(θ.39) as the absolute value of the Poynting vector.

. C sca . In this respect.1. (2. a particle inevitably absorbs some light. an object with a high albedo scatters a lot of light. C ext (2. Consequently.4) • It lies between 0 and 1. The albedo is deﬁned as the ratio of scattering over extinction. The corresponding cross section C abs is deﬁned by the condition that F0 C abs equals the energy absorbed by the particle per unit time. The sum of absorption plus scattering is called extinction. the scattered ﬂux is F(θ. A grain scatters light from a plane wave with ﬂux F0 into the direction (θ. φ) d = 1 k2 2π π dφ 0 0 dθ Ä(θ. C sca = 1 k2 4π Ä(θ.2) • • The scattering cross section C sca has the dimension of an area. • The cross section for scattering of the particle. In this direction.3) C ext = C abs + C sca determines the total amount of energy removed from the impinging beam of light. Besides scattering. the wavelength λ is then the natural length unit with which to measure the distance r . The extinction cross section. φ). A= C sca . follows from the condition that F0 C sca equals the total energy scattered in all directions per unit time. φ) sin θ with the element of solid angle d = sin θ dθ dφ.Deﬁning cross sections 45 φ F 0 θ F (θ. All these various cross sections do not generally depend on the radiation ﬁeld. (2. to make Ä(θ. it is much simpler to calculate cross sections of grains than of gas atoms.φ) Figure 2. φ). It is assumed that the frequency of radiation is not changed in the scattering process. φ) dimensionless. the temperature or density of the dust material (which only changes very little anyway).

c (2.1). g is positive. the cross section for radiation pressure. φ). In the limit of pure forward scattering.6) It is easy to verify that g lies between −1 and 1. When there is mainly forward scattering. Again f = 1 for isotropic scattering and the normalization condition is 1= 1 2 +1 −1 f (x) d x. which is proportional to Ä(θ.1. 2. for pure backscattering g = −1. we have to divide by the velocity of light c. (2. C rp . This number is the asymmetry factor g. g = 1.7) As g can be negative. the grain receives only the fraction (1 − cos θ ). C ext . one sometimes uses just one number to characterize the scattering pattern.1. although this case is unusual.5) When one does not know or does not need the full information contained in f (cos θ ). and thus independent of direction.46 How to evaluate grain cross sections 2.2.1). g = 0.2 Cross section for radiation pressure 2. A photon that is absorbed deposits its full momentum hν/c.2 The momentum imparted on a grain by radiation Electromagnetic radiation also exerts a pressure on a grain. only on θ . If it is scattered at an angle θ (see ﬁgure 2. φ) but normalized so that the integral of f˜ over all directions equals 4π: f˜(θ.1 Phase function and asymmetry factor In equation (2. so the transmitted momentum is F · C rp . can be written as C rp = C ext − g · C sca . We form a new function f˜(θ. (2. φ) d 4π = 4π and call it the phase function. When scattering is isotropic. g = cos θ = • • • 1 2 +1 −1 f (x) x d x. An isotropic scatterer has f˜ = 1. so we put f (cos θ ) = f˜(θ ). no dependence on the angle φ.8) . It is then convenient to have a phase function f which has cos θ as the argument. Therefore. C rp may be greater than To obtain the momentum transmitted per second to the grain by a ﬂux F. (2.2. for reasons of symmetry. there is. the mean of cos θ over all directions weighted by the phase function f (cos θ ).1. Ä(θ. For spheres. otherwise it is negative. φ) speciﬁes how the intensity of the scattered radiation changes with direction.

where a is the grain radius.3 Efﬁciencies.11) • • With the exception of spheres.1.9) Q= σgeo For spheres. Q. and some is scattered. The optical theorem asserts that the reduction of intensity in the forward direction fully determines the particle’s extinction cross section. or 1 cm3 of space. We use the following nomenclature (omitting the dependence on frequency): • • The cross section of a single particle is denoted by the letter C. mass and volume coefﬁcients 47 The deﬁnition of the cross section of a single particle can be extended to 1 g of interstellar matter or 1 g of dust.2 The optical theorem When a beam of light falls on a particle. 2. There are efﬁciencies for absorption. (2. (2. scattering. σgeo as well as the Cs and Qs change with the direction of the incoming light. (2. When the wave encounters a grain located at the origin of the coordinate system. The latter quantity is some hundred times smaller.The optical theorem 2. some light is absorbed and the rest is scattered into all . we neglect the vector character of the ﬁeld and assume a unit amplitude. some light is absorbed by the grain.10) (2. It refers either to 1 cm3 in space (which typically contains 10−23 g of interstellar matter and 10−25 g of dust) or to 1 cm3 of dust material with a mass of about 1 g. σgeo = πa 2 .12) For easier writing. It refers either to 1 g of dust or to 1 g of interstellar matter. is the ratio of C over the projected geometrical surface area σgeo : C . Efﬁciency. extinction and radiation pressure. again Q ext = Q abs + Q sca Q rp = Q ext − g · Q sca . K . 2. Volume coefﬁcient is the cross section per unit volume and also denoted by the letter K .1 The intensity of forward scattered light Consider a plane electromagnetic wave of wavelength λ propagating in a vacuum in the z-direction with electric ﬁeld E i = ei(kz−ωt ) . Mass coefﬁcient. heating it.2. is the cross section per unit mass.

1) tells us that |S(θ. φ) dimensionless. It lies in the (x. Its center coordinates are (x = 0. φ). φ) ei(kr−ωt ) .13) with (2. φ)|2 corresponds to Ä(θ.13) The information about the amplitude of the scattered wave lies in the complex function S(θ. z)-plane. z directions (θ. the factor −i in the denominator is just a convention. y = 0. All points (x. they have to be added: F= A |E i + E s |2 d A. so d 2 ∼ A. the exponential term contains the phase. (2. At a distance r which is large when measured in wavelength units (kr = 2πr/λ 1). Light enters from the left. Let us now determine the ﬂux F through a disk of area A far behind the grain. the scattered ﬁeld can be presented as E s = S(θ. The two ﬁelds interfere and to obtain the ﬂux through the disk.14) . Because |E s |2 is proportional to the scattered intensity. The disk has a diameter d. approximately. y)-plane and is thus oriented perpendicular to the z-axis. φ).48 How to evaluate grain cross sections y d r z0 Figure 2. r z0 + x 2 + y2 . is scattered by a particle and falls at a large distance r through a disk of diameter d. conservation of energy requires E s ∝ 1/r . z 0 ). φ). 2z 0 The radiation that goes through the disk consists of the incident light (E i ) and the light scattered by the particle (E s ). y) in the disk fulﬁl the inequalities |x| z0 |y| z0 and their distance to the particle is. The wavenumber k = 2π/λ is introduced to make S(θ. comparison of (2. The x-axis is perpendicular to the (y. As before.2. −i kr (2.

But the integral still gives√ more or √ the correct value as long as the disk diameter is much greater less than z 0 λ = 2π z 0 /k. in this expression for |E i + E s |2 .13) by (2. we get E s = E i S(θ.15) and for the sum of the incident and scattered ﬁeld Ei + Es = Ei 1 − Here we put S(0) = S(θ 0. so the disk as viewed from the grain subtends a very small angle. i.The optical theorem Dividing (2. the ﬂux through the disk would obviously be A|E i |2 and thus greater.18) This is the grand extinction formula. In this way. is ﬁxed by the scattering amplitude in the forward direction alone.18) may not be satisfying. which includes absorption plus scattering into all directions. π (2.16) To extract the ﬂux F from (2. it is required that √ A z0. therefore. The purely mathematical derivation of (2. S(0) x 2 + y2 exp i k i kz 0 2z 0 .e. But .12). It is bafﬂing because it asserts that C ext . (2. obtain the ﬂux F = |E i |2 A − 4π Re{S(0)} . φ) because d z 0 . also known as the optical theorem. we ﬁnd |E i + E s |2 = |E i |2 − 2|E i |2 Re kz 0 S(0) x 2 + y2 exp i k i 2z 0 . k2 Now without an obstacle. The light that has been removed by the particle determines its cross section for extinction: C ext = λ2 Re{S(0)}. λ d We. the disk does not really extend to inﬁnity. we have to evaluate the integral (see (A. we may neglect terms with z 0 . φ) eik(r−z) −i kr 49 (2.14).17) e 2z0 d x d y = e 2z0 d x = i k −∞ −∞ Of course. −2 Therefore.27)) 2 ∞ ik(x 2 +y 2 ) ∞ ikx 2 2π z 0 . (2.

like a cloud of grains. therefore. Let a plane wave traveling in the z-direction pass through a slab as depicted in ﬁgure 2. no matter how and where it is removed (by absorption or scattering). S(0) contains the information about C ext .2 The refractive index of a dusty medium One may also assign a refractive index to a dusty medium. When we compute the ﬁeld at point P on the z-axis resulting from interference of all waves scattered by the grains.2 for a deﬁnition of z 0 ). The slab is uniformly ﬁlled with identically scattering particles. We see from (2.19) The main contribution to the double integral again comes from a region of area z 0 λ (see ﬁgure 2. 1 − S(0) 2π (2. y)-plane. 0. (2. obviously C ext must depend on S(0): the extinction cross section of an obstacle speciﬁes how much light is removed from a beam if one observes at a large distance.50 How to evaluate grain cross sections y P z l Figure 2. Light passes through a plane-parallel slab of thickness l with one face lying in the (x.3. it receives only the forward scattered light and.2.2 serve as a detector and place it far away from the particle. 2. But there is now another integration necessary in the z-direction extending from 0 to l. Altogether the ﬁeld at P is: Ei + Es = Ei 1 − N = Ei S(0) i kz l dz 0 1 z ∞ −∞ dx dy e ik(x 2 +y 2 ) 2z λ2 Nl . If we let the disk of ﬁgure 2. We determine the ﬁeld at point P with coordinates (0. The slab is of thickness l and uniformly ﬁlled with identically scattering grains of number density N.20) 1 − S(0) 2π . This leads to an integral in the (x. z).17) of the preceding subsection where we considered only one particle. y)-plane like the one in (2. we have to sum over all particles.3.19) that the total ﬁeld at P is different from the incident ﬁeld E i and it is obtained by multiplying E i by the factor λ2 Nl.

assign to the slab an optical constant (with a bar on top) m = n + i k. it has the property that if the particles are pure scatterers. A positive k implies some kind of dissipation. they do. one can calculate S(0). One may. If the slab were empty containing only a vacuum. which is certainly true for any eikl(m−1) . Hul57.41). (2. k (2. 2. Its full derivation is lengthy and we present only the sequence of the main steps. Missing links may be ﬁlled in from the special literature (for instance. therefore.21) yields n−1= 2π N Im{S(0)} k3 2π N k = − 3 Re{S(0)}. What is in between can be condensed into one sentence: In Mie theory.23) for a cloud ﬁlled with identical spheres of size parameter x = 2πa/λ and refractive index m = n + i k. one ﬁnds the scattered electromagnetic ﬁeld and the ﬁeld inside the particle by expanding both into an inﬁnite series of independent solutions to the wave equation. The reader not interested in the mathematics may skip the next pages.21) The refractive index of the slab. To ﬁnd the refractive index m = n + i k from (2.65). However. therefore. it would vary like ei(kz−ωt ) . The ﬁeld within the slab then varies according to (1. refers to a medium that consists of a vacuum plus uniformly distributed particles. [Boh83. When m is close to one (|m − 1| interstellar dust cloud.3 Mie theory for a sphere Scattering and absorption of light by spheres is a problem of classical electrodynamics. Ker69]). . and resume the text with the last subsection entitled Absorption and scattering efﬁciencies.23) because the extinction coefﬁcient C ext of a single grain does not vanish. wonder whether n and k obey the Kramers–Kronig relation of section 2.22) (2. with m and x given.20) equal to (2.5. the series coefﬁcients are determined from the boundary conditions on the particle surface. We can. Therefore. k is nevertheless positive. which seems unphysical as no light is absorbed. like ei(kmz−ωt ) . the presence of the grains causes a change in the ﬁeld at P by a factor 1). m = n + i k.22) and (2.18) and (2. The way m is deﬁned. from (2. or even cut them out carefully. eikl(m−1) Setting (2.23) 1 − i kl(m − 1). as one can show by studying the frequency dependence of S(0).Mie theory for a sphere 51 Not only do the grains reduce the intensity of radiation in the forward direction but they also change the phase of the wave because the function S(0) is complex. This follows from comparing (2.

The ﬁeld outside is the superposition of the incident and the scattered ﬁeld (subscript s).26) ω2 µε c2 from (1.2 Separation of variables In this way.116) in the case of conductivity). The vector function N given by N= also obeys the wave equation N + k2 N = 0 and M and N are related through rot N = kM. Let c be an arbitrary constant vector and ψ a solution to the scalar wave equation ψ + k2 ψ = 0 where (2. All material properties are taken into account by the wavenumber k.31) (2.25) The further calculations are greatly simpliﬁed by the following relations. H1 and outside of it by E2 .41) (or (1. the problem of ﬁnding a solution to the vector wave equation reduces to ﬁnding one for the scalar wave equation. Let Ei and Hi describe the incident ﬁeld. E2 = Ei + Es H2 = Hi + Hs .29) .1 The generating function Consider a spherical particle in vacuum illuminated by a linearly polarized monochromatic plane wave of frequency ν = ω/2π. H2 .30) 1 rot M k (2.3. Then the vector function M. deﬁned by k2 = M = rot(cψ) is divergence-free (div M = 0) and a solution to the vector equation M + k2 M = 0. 2.24) (2. (2.52 How to evaluate grain cross sections 2.32) (2. We start with the vector function M = rot(rψ). We denote the ﬁeld within the particle by E1 .3. (2.28) (2.27) This is easy to prove either by the standard formulae of vector analysis or component–wise. (2.

Nemn and Nomn then follow from (2.41) m Pn (cos θ ) · z n (kr ). . Memn = rot(rψemn ) Momn = rot(rψomn ).33) in such a way that its left-hand side depends only on r and its right-hand side only on θ and φ.33) r 2 sin2 θ ∂φ 2 1 (2. the wave equation for ψ reads: 1 ∂ r 2 ∂r r2 ∂ψ ∂r + 1 ∂ 2 sin θ ∂θ r sin θ ∂ψ ∂θ + ∂ 2ψ + k2 ψ = 0.35) (2. Formula (2. In spherical polar coordinates (r.34) We make an ansatz of separated variables ψ(r. The linearly independent solutions to (2. In the subindices of ψ. Arranging (2. θ.35) are sin mφ and cos mφ. from (2. This leads to the three equations: d2 P + m2 P = 0 dφ 2 1 d sin θ dθ sin θ d dr dT dθ r2 + n(n + 1) − dR dr m2 sin2 θ T =0 (2. ±2.29). where n and m are integer and m ∈ [−n. Equation (2. (2. Altogether we obtain (2. (2.43) . m ψemn = cos(mφ) · Pn (cos θ ) · z n (kr ) ψomn = sin(mφ) · Here z n may either equal jn or yn .42) (2. which we write as n(n + 1). φ) = R(r ) · T (θ ) · P(φ). . As ψ is the generating function for M. e stands for even (associated with cosine terms) and o for odd (sine terms). .38) (2. we can separate θ and φ.36) is satisﬁed by the Legendre functions of the ﬁrst m kind Pn (cos θ ). φ). . ±1.37) + k2r − n(n + 1) R = 0.36) (2.27).40) (2. In the same spirit. Because they must be single-valued (P(φ) = P(φ + 2π)) it follows that m = 0. the spherical Bessel functions of the ﬁrst ( jn ) and second (yn ) kind jn (ρ) = yn (ρ) = where ρ = kr and n + 1 2 π J 1 (ρ) 2ρ n+ 2 π Y 1 (ρ) 2ρ n+ 2 (2. n]. we get. as solutions.Mie theory for a sphere 53 M is tangential to the sphere of radius |r| because the scalar product of r and M vanishes: r · M = 0. both sides must equal a constant value.37) has.39) is half-integer. θ.

46) Superscript (3) denotes that the dependence of the generating function is given (1) by the spherical Hankel function h n (z) = jn (z) + i yn (z) of order n. 2. n=1 (3) (3) (1) (1) (2. To derive the latter.3. For the rest of this paragraph.44) for the simple incident wave is the consequence of using spherical coordinates which are not suited for planar geometry. these coordinates are the right ones for the scattered light. one expands the incident. the other is immediately below the boundary within the particle. i kr (2.54 How to evaluate grain cross sections 2. Nemn and Nomn .47) The magnetic ﬁelds Hi . Momn . The superscript (1) at M and N signiﬁes that the radial dependence of the generating function ψ is given by jn and not by yn . it behaves like distances (kr n h (1) (kr ) n (−i )n eikr .4 Expansion coefﬁcients The expansion coefﬁcients in (2. For the internal and scattered ﬁeld one obtains ∞ Ei = n=1 ∞ E n (cn Mo1n − i dn Ne1n ) E n (an Ne1n − bn Mo1n ).3 Series expansion of waves In the next step. of course. the latter can be excluded because of its behavior at the origin. the integral vanishes so that the tangential components of E . internal and scattered waves into the spherical harmonics Memn .25). Note that all coefﬁcients with m = 1 have disappeared. the symbol m is reserved for the optical constant.46) follow from the boundary conditions of the electromagnetic ﬁeld at the surface of the grain. One long side lies just outside the particle in vacuum and runs parallel to the surface S of the grain. Starting with the incident plane wave Ei . but. Hs follow from the corresponding electric ﬁelds by applying the curl after Maxwell’s equation (1. the not straightforward result is ∞ Ei = n=1 E n Mo1n − i Ne1n (1) (1) with E n = E 0 i n 2n + 1 n(n + 1) (2.3.15) and make the loop inﬁnitesimally small.44) where the scalar E 0 denotes the amplitude of the incident wave. consider a small loop in the shape of a rectangle with two long and two very much shorter sides. The awkward expression (2.45) Es = (2. At large 2 ).45) and (2. When we integrate rot E = (i ωµ/c)H from (1.32) over the rectangular loop employing Stokes’ theorem (A.

section 10.33). at all points x ∈ S [E2 (x) − E1 (x)] × e = 0 [H2 (x) − H1 (x)] × e = 0 (2. The complex functions ψn (z) = z jn (z) ψn (z) = z jn−1 (z) − n jn (z) ζn (z) = z[ jn (z) + i yn (z)] = zh (1) (z) n ζn (z) = z[ jn−1 (z) + i yn−1 (z)] − n[ jn (z) + i yn (z)] may be calculated from the recurrence relations [Abr70. we get the same result for the tangential component of H. or to (1. a its radius. m the complex optical constant of the sphere.1. mζn (x) · ψn (mx) − ψn (mx) · ζn (x) an = (2.48) (2.19] 2n − 1 jn−1 (z) z 2n − 1 yn−1 (z) yn (z) = − yn−2 (z) + z jn (z) = − jn−2(z) + . If λ is the wavelength of the incident radiation.46)). the scattered ﬁeld disappears as an = bn = 0.49) where e is the outward directed normal to the surface S. Substituting for E2 . Therefore.25) yields for the components of the ﬁelds E 1θ = E iθ + E sθ E 1φ = E iφ + E sφ H1θ = Hiθ + Hsθ H1φ = Hiφ + Hsφ . bn . H2 from (2.113) for metals. and x= 2πa λ the size parameter.50) (2. Applying the same procedure to equation (1.45) to (2.51) In the trivial case. when the optical constant m = 1.Mie theory for a sphere 55 must be continuous at the boundary of the grain.24) and (2. This set of equations leads to four linear equations for the expansion coefﬁcients an . then an and bn are given by ψn (x) · ψn (mx) − mψn (mx) · ψn (x) ζn (x) · ψn (mx) − mψn (mx) · ζn (x) mψn (x) · ψn (mx) − ψn (mx) · ψn (x) bn = . cn and dn of the internal and scattered ﬁeld (see (2.

therefore.25). y0 (z) = − z z z j0 (z) = When |mx| is of order 100 or bigger.1. and the minus sign ensures that Wa is positive.5 Scattered and absorbed power If we imagine the particle to be surrounded by a large spherical and totally transparent surface A. is given by the difference between the ﬂux which enters and which leaves the sphere. The Poynting vector S can be considered to consist of three parts: S = Si + Ss + Sext with Ss = (c/8π) Re{Es × H∗ } s Sext = (c/8π) Re{Ei × H∗ + Es × H∗ } s i and. sections 10. If S is the Poynting vector of the electromagnetic ﬁeld outside the particle.12] sin z sin z cos z j1(z) = 2 − z z z cos z cos z sin z y1 (z) = − 2 − . Wa . S= c Re{E2 × H∗ } 2 8π where E2 or H2 is the sum of the incident and scattered ﬁeld from (2.1.56 How to evaluate grain cross sections starting with [Abr70. −Wa = A Si = (c/8π) Re{Ei × H∗ } i Si · er d A + A Ss · er d A + A Sext · er d A.11 and 10. The second integral obviously describes the scattered energy. A numerically much superior algorithm is printed in appendix A of [Boh83]. 2. The ﬁrst integral vanishes because the incident ﬁeld (subscript i) enters and leaves the sphere without modiﬁcation.3. (2.53) . one encounters numerical difﬁculties because the complex Bessel functions contain the term e z which becomes excessively large.52) Here er is the outward normal of the surface. Ws = c Re 8π 2π 0 0 π ∗ ∗ E sθ Hsφ − E sφ Hsθ r 2 sin θ dθ dφ. Wa is determined by the integral Wa = − A S · er d A. the energy absorbed by the grain.24) and (2. (2.

n=1 (2. through Wa = Si C abs . A number of results in this section are merely summarized.53) and (2.54) and thus the total energy removed from the beam at a large distance. therefore.6 Absorption and scattering efﬁciencies As the ﬁelds Ei and Es have been evaluated in (2. The expansion coefﬁcients an . Ws = Si C sca and Wext = Si C ext . n+1 n(n + 1) (2.51).50) and (2. is. one obtains from (2.44)–(2.1. C abs .1 The amplitude scattering matrix Consider a plane harmonic wave propagating in the z-direction and a particle at the origin of the coordinate system. deﬁne the Stokes parameters and compute the radiation ﬁeld scattered into a certain direction.57) 2. Some light is scattered by the particle into a .3. bn are given in (2. Wa is related to the absorption coefﬁcient of the particle.4 Polarization and scattering We introduce the amplitude scattering matrix.56) They must usually be evaluated with the help of a computer.55) (2n + 1) · |an |2 + |bn |2 . The asymmetry factor of (2.4. According to our deﬁnition in section 2. where Si is the time-averaged Poynting vector of the incident ﬁeld.6) becomes g= 4 x 2 Q sca ∞ n=1 2n + 1 n(n + 2) ∗ ∗ ∗ Re{an an+1 + bn bn+1 } + Re{an bn } . not fully derived but the missing links concern only the mathematics.46). 2. the sum of absorbed plus scattered energy: Wext = Wa + Ws 2π c = Re 8π 0 π 0 ∗ ∗ ∗ ∗ E iφ Hsθ − E iθ Hsφ − E sθ Hiφ + E sφ Hiθ r 2 sin θ dθ dφ (2. 2.54) after some algebra the following formulae for the efﬁciencies of extinction and scattering: Q ext = Q sca = 2 x2 2 x2 ∞ (2n + 1) · Re{an + bn } n=1 ∞ (2.Polarization and scattering 57 The negative of the third integral. Likewise for the scattering and extinction coefﬁcient. which we denote by −Wext .

(2. θ and φ. with only one function S. in the far ﬁeld where r λ. so for a dipole S2 S4 S3 S1 = −i k3 α cos θ 0 0 1 . their lengths are denoted by E i and E i⊥ .2 Angle-dependence of scattering In the case of a sphere.15) where we considered a scalar ﬁeld.4 we can easily ﬁgure out that E s = cos θ E i and E i⊥ = E s⊥ .60) . which is speciﬁed by the unit vector e or by two angles. its dipole. A threedimensional model would help visualize the geometrical conﬁguration but a twodimensional drawing is no better than words and.58) also acquires a diagonal structure as the elements S3 and S4 vanish: Es E s⊥ = eik(r−z) −i kr S2 0 0 S1 Ei E i⊥ . missing. Es E s⊥ = eik(r−z) −i kr S2 S4 S3 S1 Ei E i⊥ . due to the incident wave is p = αEi . therefore.95). the other perpendicular to the scattering plane. The z-axis together with e deﬁne what is called the scattering plane. the amplitude scattering matrix (2. p. E s ) and (E i⊥ . If its polarizability α is isotropic.58 How to evaluate grain cross sections certain direction given by the unit vector e. They depend. Likewise. At a large distance r from the particle. on the scattering direction. c 2r It is always transverse to e and depends only on e and p (or Ei ) and not on the direction k from which the incident wave is coming. there is a linear relation between (E s⊥ . Here we deal with vectors and there is an amplitude scattering matrix consisting of four elements S j . the components being E s and E s⊥ .4. E i ) described by the amplitude scattering matrix. respectively.58) The factor before the amplitude scattering matrix is the same as in (2. (2. one may decompose the scattered electric ﬁeld Es . (2. of course. As an example. one parallel. we work out the scattering matrix of a small grain of unit volume.59) 2. With the help of ﬁgure 2. The scattered electric ﬁeld is given by equation (1. Es = ω2 α (e × Ei ) × e. The amplitude of the incident electric ﬁeld Ei may be decomposed into two vectors.

bn from (2.50) and (2.76).51). sin θ dθ The functions πn and τn are computed from the recurrence relations πn (cos θ ) = πn (µ) = 2n − 1 n µπn−1 − πn−2 n−1 n−1 τn (µ) = nµπn − (n + 1)πn−1 π0 = 0 π1 = 1. Ei and p may be perpendicular to the scattering plane given by the same vectors k and e. S2 depend only on µ = cos θ .63) The factor before the matrix in (2. The incident wave travels in the direction of the wavenumber k. Both Ei and Es lie in the scattering plane which is deﬁned by e and k. They can again be expressed with the help of the expansion coefﬁcients an .61) (2. The scattered wave has the electric ﬁeld Es .62) S2 = n with 1 1 Pn (cos θ ) d Pn τn (cos θ ) = . where θ = 0 denotes the forward direction. S1 . Alternatively (this scenario is not shown in the ﬁgure).1) the same quantity was denoted Ä. . in (2. (2. The notation S11 comes from equation (2. S1 = n 2n + 1 (an πn + bn τn ) n(n + 1) 2n + 1 (an τn + bn πn ) n(n + 1) (2.Polarization and scattering 59 Es p Ei k θ e z r Figure 2. Then Es is also perpendicular to the scattering plane. the intensity of the radiation scattered into the direction θ is given by S11 (cos θ ) = 1 2 |S1 |2 + |S2 |2 . An incident wave with electric ﬁeld Ei excites a dipole p and is scattered into the direction of the unit vector e.60) has been negelected. beginning with • For unpolarized incident light (E i = E i⊥ ).4.

37)) that travels in the z-direction of a Cartesian coordinate system.60 How to evaluate grain cross sections When integrated over all directions.67) For a large and perfectly reﬂecting sphere.68) . E0 = E1 + i E2 with real E1 and E2 .36) and (1. At any ﬁxed z. (2. the real part of the electric vector E rotates at frequency ω and the tip of the vector describes in the (x. Either from (2. (2. Re{E} = E1 cos ωt + E2 sin ωt. 2 • The angle-dependence of the normalized phase function f (cos θ ) (see (2. 2. Q back = 1. in the general case. an ellipse. complex. It is deﬁned by S11 (180◦) (2. 4 (2.64) • We now have two ways to determine the extinction cross section C ext = πa 2 Q ext of a grain. t) = E0 · ei(k·x−ωt ) (see (1.18).4. y)-plane. Comparison of the two formulae yields S1 (0) = S2 (0) = 1 2 n (2n + 1) · Re{an + bn }.3 The polarization ellipse Consider a plane harmonic wave of angular frequency ω. (2.61) into the general extinction formula (2. π 0 S11 (cos θ ) sin θ dθ = 1 x 2 Q sca .5)) is related to S11 through S11 (cos θ ) = x 2 Q sca f (cos θ ).55) or by inserting S1 (0) = S2 (0) of (2. The amplitude E0 is. wavenumber k and electric ﬁeld E(x. Its series expansion is Q back = 1 x2 ∞ n=1 2 (−1)n (2n + 1) · (an − bn ) .66) Q back = 4 x2 and it is a useful quantity in radar measurements or whenever a particle is illuminated by a source located between the particle and the observer.65) • We add for completeness the formula for the backscattering efﬁciency. which is perpendicular to the z-axis.

For E1 = 0 or E2 = 0. b. it is always possible to make E0 real. γ ) but have the practical advantage that they can be measured directly. therefore. There are two special cases: • Linear polarization.and y-directions) into a circular motion. only seven of its 16 elements are independent. This could be the angle γ between the major axis and the x-coordinate. The vectors are of equal length. E1 · E2 = 0. They are equivalent to (a. |E1 | = |E2 |. φ). Q. b. At a ﬁxed location z. y)-plane. the electric vector never disappears but rotates retaining its full length. The ellipse is a circle. i. . The ﬁeld can drive a linear oscillator in the (x. r is the distance from the particle. • One can combine two linearly polarized waves to obtain circular polarization and two circularly polarized waves to obtain linear polarization. At a ﬁxed location z. γ ). polarization is usually described by the Stokes parameters I. Us S31 S32 S33 S34 Ui k r Vs S41 S42 S43 S44 Vi The Stokes parameters of the scattered light as well as the matrix elements refer to a particular scattering direction (θ. or when E1 . When a plane harmonic wave is scattered by a grain. y)-plane (with equal properties in the x.4 Stokes parameters The polarization ellipse is completely determined by the length of its major and minor axes. the ellipse degenerates into a line.58) have four absolute values |S j | and three phase differences between them.Polarization and scattering 61 The sense of rotation changes when the plus sign in (2. plus some speciﬁcation of its orientation in the (x. U and V .58) and. the electric vector swings up and down along a straight line whereby its length changes. Instead of these geometrical quantities (a.69) = 2 2 . and perpendicular to each other. The magnetic ﬁeld has the same polarization as the electric ﬁeld because E and H are in phase and have a constant ratio. y)-plane. By adjusting the time t.68) is altered into a minus sign. 2.e. it vanishes when Re{E} switches direction. E2 are linearly dependent. a and b. We omit the underlying simple mathematical relations as well as the description of the experimental setup. it transmits angular momentum. Circular polarization. The matrix Si j contains no more information than the matrix in (2. which corresponds to the fact that the four elements S j in the matrix of (2. the Stokes parameters of the incident (subscript i) and the scattered wave (subscript s) are linearly related through S11 S12 S13 S14 Ii Is 1 S21 S22 S23 S24 Q i Qs (2. when E2 ﬂips direction by an angle π.4. The circularly polarized wave sets a two-dimensional harmonic oscillator in the (x.

Circular polarization implies Q=U =0 V = ±1. one has. the transformation matrix scattered Stokes parameters simpliﬁes to S11 S12 0 Is 1 S12 S11 0 Qs = 2 2 Us 0 0 S33 k r Vs 0 0 −S34 (2. (2. dropping the factor 1/k2r 2 in (2. S34 Ui S33 Vi (2.69) between incident and Ii 0 0 Qi . • • For unit intensity (I = 1). we get Is = S11 Ii Q s = S21 Ii Us = S31 Ii Vs = S41 Ii .75) . Indeed. • the sign determines the sense of rotation of the electric vector.69).4.71) Q = cos 2γ U = sin 2γ • It can vary between 0 and 1. (2.5 Stokes parameters of scattered light for a sphere In the case of a sphere. The degree of linear polarization is deﬁned by Q2 + U 2 ≤ 1. i.74) 2. instead of the strict equality I 2 = Q 2 + U 2 + V 2 .73) it becomes partially polarized after scattering if S21 .72) I Even when the incident light is unpolarized. linearly polarized light has V =0 so that Q 2 + U 2 = 1. an inequality I 2 > Q2 + U 2 + V 2.62 • How to evaluate grain cross sections Only three of the four Stokes parameters are independent as for fully polarized light I 2 = Q2 + U 2 + V 2. S31 or S41 are non-zero. (2.e. when Q i = Ui = Vi = 0 (2. I (2. The degree of circular polarization is V −1 ≤ ≤ 1.70) Unpolarized light has Q=U =V =0 and for partially polarized light.

eight are non-trivial and they have only four signiﬁcantly different values: S11 = 1 (|S1 |2 + |S2 |2 ) 2 S12 = S33 = S34 = 2 1 2 (|S2 | 1 ∗ 2 (S2 S1 ∗ i 2 (S1 S2 (2. when the particles are not spherical (anisotropic) and which is outside the scope of what we calculate here. or of S12 .76) − |S1 | ) ∗ + S2 S1 ) ∗ − S2 S1 ). Ui = Vi = 0.7 and 4. speciﬁes the direction of polarization. from (2. additional information.75). In the general case. if the incident light is 100% polarized perpendicular to the scattering plane (Ii = −Q i . also be positive. 2 Only three of them are independent because 2 2 2 2 S11 = S12 + S33 + S34 . Is = (S11 + S12 )Ii Q s = Is Us = Vs = 0. We will not compose a new name for p but also call it degree of polarization.8). S1 (0) = S2 (0) and p = 0. But S12 can.69) vanishes. so is the scattered light and Is = (S11 − S12 )Ii Q s = −Is Us = Vs = 0.71). • If the incident wave is unpolarized (Q i = Ui = Vi = 0). p= S12 |S1 |2 − |S2 |2 =− |S1 |2 + |S2 |2 S11 (2. Then polarization is parallel to the scattering plane. Is = S11 Ii Q s = S12 Ii Us = Vs = 0.77) • the absolute value | p| is equal to the degree of linear polarization of (2. although it contains. the scattered light is nevertheless usually polarized. dropping the factor 1/k2r 2 in (2.76). Then the polarization vector can have any inclination towards the scattering plane and p may also be non-zero in the forward direction. • So the scattered light is also 100% polarized parallel to the scattering plane. . as happens for big spheres (see ﬁgures 4. in this case. Likewise. The sign of p. • If the incident light is 100% polarized and its electric vector parallel to the scattering plane so that Ii = Q i . we get. Usually. In the forward direction. When one deﬁnes the quantity p as the difference of the intensities |S1 |2 and |S2 |2 divided by their sum. Ui = Vi = 0). S12 is negative and then linear polarization is perpendicular to the scattering plane. via the sign.Polarization and scattering 63 Out of the 16 matrix elements. none of the matrix elements in (2.

64

How to evaluate grain cross sections

**2.5 The Kramers–Kronig relations
**

The formulae of Kramers and Kronig establish a link between the real and imaginary parts of the material constants, like χ, ε, µ or σ (see section 1.1). Their deduction is very abstract and the result bafﬂing. The relations have some fundamental consequences, however, their practical value is, at present, moderate. 2.5.1 Mathematical formulation of the relations We have to digress brieﬂy into the theory of complex functions. Let f (z) = u(z) + i v(z) be a function of the complex variable z = x + i y. The integral over a path p in the z-plane, described through the parametrization z(t) = x(t) + i y(t) with α ≤ t ≤ β, is deﬁned by f (z) dz =

p β α

f (z(t)) · z (t) dt.

(2.78)

The fundamental theorem of complex functions states that if f (z) is regular in a region G, i.e. it is single-valued and has a derivative, then the integral over any closed path p in G vanishes: f (z) dz = 0.

p

(2.79)

For the function f (z) we choose f (z) = where g(z) = g1 (z) + ig2 (z) is also a complex function and x 0 a real and positive number. If f (z) is regular in the upper half of the z-plane, the integral along the closed path p, which is depicted in ﬁgure 2.5, is zero according to (2.79). The path p runs along the xaxis from left to right, makes a small semicircle of radius δ around x 0 , and returns in a big half–circle of radius R to the starting position; we have divided it into four segments p1 to p4. Now assume that R is very big and that g(z) has the property to vanish for |z| → ∞; the integral along the big half–circle p4 then vanishes too. The small semicircle p2 may be parametrized by z(t) = x 0 − δe−it with 0 ≤ t ≤ π. The integral over p2 gives −i

0 π

g(z) z − x0

(2.80)

g(x 0 − δeit ) dt = −i πg(x 0)

for δ → 0.

(2.81)

The Kramers–Kronig relations

65

y

p4 p2

x0

p1

p3

R x

Figure 2.5. To derive the Kramers–Kronig relations, we integrate a function f that is related to the dielectric susceptibility χ, or permeability ε, over a closed path (thick line) in the complex (x, y)-plane. The path consists of four segments, p1 to p4 . The points in this plane are identiﬁed with complex frequencies ω. Only the positive x-axis has a physical meaning but equation (2.88) allows us to deﬁne χ for any complex argument ω.

**We thus have for the whole path p, from (2.79), −
**

∞

−∞

g(x) d x − i πg(x 0) = 0. x − x0

(2.82)

**The integral with the bar is the Cauchy principal value deﬁned by −
**

∞

−∞

g(x) d x = lim δ→0 x − x0

x 0 −δ −∞

g(x) dx + x − x0

∞ x 0 +δ

g(x) dx . x − x0

(2.83)

Equation (2.82) holds separately for the real and imaginary parts. Let the function g be symmetric (for real x) such that g(−x) = g ∗ (x) or g1 (−x) = g1 (x) and g2 (−x) = −g2 (x).

Writing the integral in (2.82) over the whole x-axis as the sum of two integrals with limits from −∞ to 0 and from 0 to +∞ and exploiting the symmetry of g, one obtains the Kramers–Kronig relations after small manipulations g1(x 0 ) = 2 ∞ xg2 (x) − dx 2 π 0 x 2 − x0 2x 0 ∞ g1 (x) − d x. g2(x 0 ) = − 2 π 0 x 2 − x0 (2.84) (2.85)

66

**How to evaluate grain cross sections
**

Putting in (2.84) x 0 = 0 yields the special case (no Cauchy principal value) g1 (0) = 2 π

∞ 0

g2(x) d x. x

(2.86)

In formula (2.83), both integrands within the big brackets go at x 0 to inﬁnity like 1/x at x = 0. Therefore, each of the integrals alone diverges; however, their sum is ﬁnite. 2.5.2 The electric susceptibility and causality In the application of equations (2.84)–(2.86) to a physical situation, the complex function g is identiﬁed with the electric susceptibility χ of (1.6) and the variable x with the frequency ω. Likewise, we could use the dielectric permeability ε, with the small modiﬁcation that we have to put g1 = ε1 − 1 and g2 = ε2 . We reiterate that, in the constitutive relation (1.6), P = χ(ω) E the polarization P depends linearly on the electric ﬁeld E because E is so much weaker than the ﬁelds on the atomic level. In the most general case, the vector P at time t is not determined by the present value of E alone but by the whole preceding history. We, therefore, write the linear relation in the form P(t) =

0 ∞

F(τ ) E(t − τ ) dτ.

(2.87)

This equation speciﬁes how P responds to the application of an electric ﬁeld E. Besides linearity, formula (2.87) also expresses causality because P(t) results from an integration over the past. The function F(τ ) depends on time and on the properties of the medium. It has values substantially different from zero only in the immediate past over an interval τ corresponding to the time scale for polarizing the molecules. At times much larger than τ , the function F(τ ) vanishes because the distant past does not inﬂuence the present. When we consider monochromatic electric ﬁelds, E(t) = E0 e−iωt , the polarization P = χE has exactly the form of (2.87), if the dielectric permeability is given by χ(ω) =

0 ∞

eiωτ F(τ ) dτ.

(2.88)

Although only a real and positive frequency has a physical meaning, this equation formally extends χ to any complex argument ω of the upper half of ﬁgure 2.5; in the lower half where Im{ω} < 0, the integral (2.88) diverges. Such an extension is necessary to perform the integration in (2.79). We summarize here some of the properties of the electric susceptibility of (2.88): • If |ω| → ∞, χ goes to zero. For large and real frequencies, it is physically understandable because the electrons cannot follow the ﬁeld, so

The Kramers–Kronig relations

67

•

•

the polarization is zero; for large imaginary ω, it is mathematically clear because of the factor e−|ω|τ in (2.88). The function F(τ ) in (2.87) must for physical reasons, and to guarantee causality, be ﬁnite over the integration interval [0, ∞], i.e. over the past. As a consequence, the susceptibility χ of (2.88) has no singularities in the upper half of the complex ω-plane and this is a necessary condition for obtaining the Kramers–Kronig relations (see (2.79)). χ fulﬁls the symmetry relations χ(−ω) = χ ∗ (ω) χ(−ω ) = χ (ω)

∗ ∗

for real ω for complex ω.

(2.89)

The last equation expresses the fact that a real ﬁeld E produces a real polarization P. When, in (2.80), we replace g(z) by χ(ω), we may convince ourselves that χ(ω) has all the desired mathematical properties to obey the formulae (2.84)– (2.86), if ω0 is a real and positive frequency. 2.5.3 The Kramers–Kronig relation for the dielectric permeability Here is the ﬁnal result formulated explicitly for the dielectric permeability. For an arbitrary medium, ε1 and ε2 are not completely independent of each other but for any frequency ω0 , ε1 (ω0 ) − 1 = 2 ∞ ωε2 (ω) − dω 2 π 0 ω2 − ω0 2ω0 ∞ ε1 (ω) − dω. ε2 (ω0 ) = − 2 π 0 ω2 − ω0 2 π

∞ 0

(2.90) (2.91)

For the static limit of ε1 at zero frequency, ε1 (0) − 1 = ε2 (ω) dω. ω (2.92)

Similar relations hold for the electric susceptibility χ, the electric polarizability αe or the optical constant m = n + i k. Whenever the vacuum value of the material constant is one (as for ε), the −1 appears on the left-hand side (see (2.90) and (2.92)), when the vacuum value is zero (as for χ), the −1 is missing. 2.5.4 Extension to metals In a metallic medium, the conductivity σ of (1.119) also follows the Kramers– Kronig (KK) relations. We may either put g(ω) = σ (ω) or g(ω) = i 4πσ (ω) ω

68

How to evaluate grain cross sections

which is the expression that appears in the generalized permeability of (1.115). However, for a metallic medium we have a pole not only at ω0 (see ﬁgure 2.5) but also at ω = 0. When, on itegrating the function g(ω)/(ω − ω0 ) along the real frequency axis from −∞ to +∞, we circumvent this additional pole at ω = 0 into the upper half of the complex plane in the same way as ω0 (see (2.81)), we get an additional term −4π 2 σ (0)/ω0 on the left-hand side of equation (2.82) where σ (0) is the direct-current conductivity. When we consider a conducting medium with a dielectric constant ε = εd + i 4πσ = ε1 + i ε2 ω

from (1.115), equation (2.91) for ε2 (ω0 ) has to be replaced by ε2 (ω0 ) = − 2ω0 ∞ ε1 (ω) 4πσ (0) − dω + . 2 π 0 ω2 − ω0 ω0 (2.93)

Equation (2.90) for ε1 (ω0 ) stays in force as it is but the long wavelength limit ε1 (0) must be adapted because ε2 (ω) has a singularity at ω = 0. Going back to the more basic formula (2.84) for ε1 (ω0 ), there now appears a term −

0 ∞

dω ω2

2 − ω0

**which is always zero. What remains is the following modiﬁcation of (2.92): ε1 (0) − 1 = 2 π
**

∞ 0

ε2 (ω) − 4πσ (0)/ω dω. ω

2.5.5 Dispersion of the magnetic susceptibility The magnetic susceptibility χm is deﬁned in equations (1.16) and (1.17) and connects the ﬁeld H with the magnetization M through M = χm H. M has, from (1.13) and (1.14) the physical meaning of a volume density of magnetic moments. To speak of a magnetic susceptibility χm makes sense only if, neglecting free charges, in the expression (1.21) for the total current density Jtot the magnetic current dominates over the polarization current: Jmag = c rot M ˙ Jpol = P.

˙ With the help of Maxwell’s equation, rot E = −B/c, we get the order of magnitude estimate ˙ ˙ P = χe E ∼ χe ωE ∼ χe ω2 µH l/c.

The Kramers–Kronig relations

69

Assuming χe , µ ∼ 1 and a typical length l that must be much greater than Jpol requires frequencies an atomic radius, the condition Jmag ω cχm /l. Therefore χm (ω) becomes constant and real above some critical value ωcr . In practice, magnetic dispersion stops well below optical frequencies, so ωcr 1015 s−1 . Whereas at high frequencies the dielectric permeability ε approaches one, the magnetic permeability µ goes to a value µcr = µ(ωcr ) which may be different from unity. This necessitates the following modiﬁcation in the KK relations: 2 ∞ ωµ2 (ω) µ1 (ω0 ) − µcr = − dω. 2 π 0 ω2 − ω0 2.5.6 Three corollaries of the KK relation 2.5.6.1 The dependence between ε1 and ε2 Any set of physically possible values ε1 (ω) and ε2 (ω) for any grain material must obey the KK relations (2.90) and (2.91). They thus serve as a check for the internal consistency of data measured, for example, in the laboratory or derived otherwise. It is even sufﬁcient to know one of them over the entire wavelength range, either ε1 (ω) or ε2 (ω), to compute the other. Whereas ε1 (ω) is not restricted at all, ε2 (ω) is associated with the entropy and must be positive everywhere. A data set for ε1 (ω) is wrong if it yields at just one frequency a negative value for ε2 (ω). As an example of a dispersion formula that obeys the KK relations we may take equation (1.77) or (1.121). They apply to the harmonic oscillator or a metal, respectively. That they fulﬁl the KK relations may be veriﬁed from general mathematical considerations for the function ε(ω), which is the smart way; or by doing explicitly the KK integrals for (1.77), that is the hard way; or numerically, which is the brute way. Even the last method requires some delicacy when handling the Cauchy principal value. Numerical integration is inevitable when ε(ω) is available only in tabulated form. When we look at the dispersion relation (1.77) and realize that ε1 and ε2 have the same denominator and contain the same quantities e, m e , γ , ω and ω0 , equations (2.90)–(2.92) which link ε1 with ε2 are no longer perplexing. However, when we discussed the physics associated with the optical constants n and k, which determine the phase velocity and the extinction, the two parameters appeared very distinct and independent so that any general connection between them comes, at ﬁrst glance, as a surprise. 2.5.6.2 Dust absorption at very long wavelengths In a slowly varying electromagnetic ﬁeld, a dielectric grain of arbitrary shape and composition absorbs, from (1.55), the power

2 W = 1 V ω Im{αe }E 0 = C abs (ω) · S 2

70

How to evaluate grain cross sections

2 where V is the volume of the grain, C abs its cross section and S = (c/8π)E 0 the Poynting vector. The particle has to be small, which means that the frequency of the wave must stay below some critical value, say ω1 . We now apply equation (2.86) to the polarizability α of the grain and split the integral into two:

α1 (ω = 0) =

2 π 2 = π

∞ 0 λ1 0

α2 (ω) 2 dω = ω π 2 α2 (λ) dλ + λ π

∞ 0 ∞ λ1

α2 (λ) dλ λ α2 (λ) dλ. λ

Note that we have swapped the integration variable from frequency to wavelength. Because α2 is positive and the integral over α2 /λ in the total interval [0, ∞] ﬁnite, the last integral must also be ﬁnite. If we make in the range λ > λ1 = 2πc/ω1 the replacement C abs (λ) α2 (λ) = λ 8π 2 V and write C abs = σgeo Q abs , where σgeo is the geometrical cross section, we get the following convergence condition:

∞ 0

Q abs (λ) dλ < ∞.

Therefore, the absorption efﬁciency of any grain must, at long wavelengths, fall off more steeply than λ−1 . But this last constraint attains practical importance only when we know the threshold wavelength after which it is valid. We could also have derived the result for Q abs (λ) at long wavelengths using the dielectric permeability ε instead of αe but then metals would have required some extra remarks because in conductors ε2 → ∞ for ω → 0, whereas their polarizability αe stays ﬁnite (see, for instance, (3.9)). A similar discussion to the one we carried out for αe holds for the magnetic polarizability αm . 2.5.6.3 Total grain volume One may apply the KK relation not only to grain material but also to the interstellar medium as such [Pur69]. Because it is so tenuous, its optical constant m = n + i k is very close to one. A small volume V in the interstellar medium of size d may, therefore, be considered to represent a Rayleigh–Gans particle. This class of grains, for which |m − 1| 1 and d|m − 1|/λ 1, is discussed in section 3.5. Of course, the particle is inhomogeneous as it consists of a mixture of gas, dust and mostly vacuum but for its absorption cross section we may nevertheless use (3.42) C abs (λ) = 2π V 4π V k(λ) = ε2 (λ). λ λ

Composite grains

The static limit (2.92) of the KK relation then gives ε1 (0) − 1 = 2 π

∞ 0

71

1 ε2 (λ) dλ = 2 λ π V

∞ 0

C abs (λ) dλ.

(2.94)

In a static electric ﬁeld E, a volume V of interstellar medium with dielectric permeability ε(0) has, from equations (1.3), (1.6) and (2.94), a dipole moment p= E ε(0) − 1 EV = 4π 4π 3

∞ 0

C abs (λ) dλ.

Alternatively, we may express p as resulting from the polarization of the individual grains within V . They have a total volume Vg and at zero frequency a dielectric constant εg (0), so, from (3.8), p= εg (0) − 1 3 Vg E. 4π εg (0) + 2

When we crudely evaluate the long wavelength limit of this ratio from ﬁgure 7.19, we obtain a value of order one, εg (0) − 1 ∼ 1. εg (0) + 2 Along a line of sight of length L, the optical depth for absorption is τ (λ) = LC abs . Therefore, the total grain volume Vdust in a column of length L that produces an optical depth τ (λ) and has a cross section of 1 cm2 is Vdust 1 3π 2

∞ 0

τ (λ) dλ.

When we take the standard normalized interstellar extinction curve of ﬁgure 7.8 for τ (λ), which refers to a visual extinction AV = 1 mag, we obtain for the previous integral in the interval 0.1–10 µm a value of about 2 × 10−4 . Consequently, the total dust volume in a column of 1 cm2 cross section with AV = 1 mag is Vdust 6 × 10−6 cm−3 . (2.95) Such an estimate is of principal value, although its precision does not allow one to discriminate between grain models.

2.6 Composite grains

Interstellar grains are probably not solid blocks made of one kind of material but are more likely to be inhomogeneous so that the dielectric function within them varies from place to place. There are many ways in which inhomogeneity can come about. For instance, if particles coagulate at some stage during their

72

How to evaluate grain cross sections

evolution, the result will be a bigger particle with voids inside. The new big grain then has a ﬂuffy structure and for its description, even if the grains before coagulation were homogeneous and chemically identical, at least one additional dielectric function is needed, namely that of vacuum (ε =1). If chemically diverse particles stick together, one gets a heterogenous mixture. We note that purely thermal Brownian motion of grains (see section 9.3) is too small to make encounters between them signiﬁcant but omnipresent turbulent velocities of 10 m s−1 are sufﬁcient to ensure coagulation in dense clouds. Another way to produce inhomogeneities is to freeze out gas molecules on the surface of grains; this happens in cold clouds. A third possibility is that during grain formation tiny solid subparticles, like PAHs (section 12.1.1) or metal atoms, are built into the bulk material and contaminate it chemically. The chemical composition of interstellar dust is discussed in section 7.4 and in chapter 12. 2.6.1 Effective medium theories The cross section of composite particles can be computed exactly in those few cases where the components are homogeneous and the geometrical structure is simple; examples are spherical shells, cylinders with mantles or coated ellipsoids. For any real composite particle, where different media are intermixed in a most complicated manner, such computations are out of the question. To estimate the optical behavior of composite particles, one has to derive an average dielectric function εav representing the mixture as a whole. Once determined, εav is then used in Mie theory, usually assuming a spherical shape for the total composite grain. The starting point is the constitutive relation D = εav E . (2.96)

Here E is the average internal ﬁeld and D the average displacement deﬁned as E = 1 V E(x) d V D = 1 V ε(x) E(x) d V. (2.97)

The integration extends over the whole grain volume V . If we envisage the grain to consist of a ﬁnite number of homogeneous components (subscript j ), each with its own dielectric function ε j and volume fraction f j , we can write E =

j

f jEj

D =

j

f jεjEj.

(2.98)

The E j are averages themselves (from (2.97)) over the subvolume f j V ; we have just dropped the brackets. The constitutive relation (2.96) is thus replaced by ε j f j E j = εav f jEj. (2.99)

j j

Composite grains

73

We envisage the components to be present in the form of many identical subparticles that are much smaller than the wavelength. When such a subparticle is placed into an extended medium with a spatially constant but time-variable ﬁeld E , there is a linear relation between the ﬁeld in the subparticle and the ﬁeld in the outer medium (see sections 3.1 and 3.3), E j = βE . (2.100)

When one assumes that such a large-scale average ﬁeld E in the grain exists, one can remove the local ﬁelds E j and ﬁnd the average εav . 2.6.2 Garnett’s mixing rule To exploit (2.99), we ﬁrst imagine the grain to consist of a matrix (subscript m) containing inclusions (subscript i ). For simplicity, let there be only one kind of inclusions with a total volume fraction f i so that f i + f m = 1. For the constant large-scale ﬁeld E in (2.100), we take the ﬁeld in the matrix and obtain εi f i β + εm f m = εav f i β + εav f m . For spherical inclusions, the proportionality factor β in equation (2.100) has the form 3εm β= εi + 2εm which is a generalization of equation (3.7) when the medium surrounding the sphere is not a vacuum but has some permeability εm . We thus arrive at the Garnett formula: 1 + 2 f i (εi − εm )/(εi + 2εm ) . (2.101) εav = εm 1 − fi (εi − εm )/(εi + 2εm ) The expression is evidently not symmetric with respect to the inclusion and matrix. One has to make up one’s mind which component should be regarded as the inclusion that pollutes the matrix. If the concentration of the inclusions, fi , is small, equation (2.101) simpliﬁes to εav = εm 1 + 3 f i εi − εm εi + 2εm .

The Garnett mixing rule is very similar to the Clausius–Mossotti law (see (3.55)). Indeed, the latter follows almost immediately from (2.101). The Clausius–Mossotti law gives the dielectric constant of an inhomogeneous medium that consists of a vacuum matrix (εm = 1) with embedded spherical inclusions, the latter being atoms of polarizability α = (3/4π)(εi − 1)/(εi + 2). The Garnett rule can be extended to an arbitrary number of components. One still has to make the distinction between the matrix (subscript m) and the inclusions (index i = 1, 2, 3, . . .). Putting as before Ei = βi Em

74

How to evaluate grain cross sections

we get the following generalization of (2.101), εav = f m εm + fm + f i βi ε i f i βi (2.102)

**where the sum of the volume fractions is unity, fm +
**

i

f i = 1.

Written in the form of (2.102), the restriction that the inclusions are spheres has been lifted. They may be of any shape, for example ellipsoids, for which βi can be calculated as outlined in Section 3.3. One can also take a mean over randomly oriented ellipsoids. 2.6.3 The mixing rule of Bruggeman Next we suppose that none of the components of the grain is special, like the matrix in the Garnett theory. Then the components distinguish themselves only through their permeability and volume fraction; no assumption is made about the average ﬁeld E . Inserting (2.100) into (2.99) yields the Bruggeman rule: 0=

j

(ε j − εav ) f j β j

(2.103)

with f j = 1. Contrary to the Garnett rule, this formula is symmetric in all components j . If they consist of spherical entities, 0=

j

fj

ε j − εav . ε j + 2εav

(2.104)

Thus for n components, εav is determined from a complex polynomial of nth degree. When we imagine the interstellar dust to be a democratic compound of silicate, amorphous carbon, ice and vacuum, the Bruggeman mixing rule is preferred. However, when ice becomes dirty through contamination by tiny impurities (metal atoms or PAHs) that amount to only a small volume fraction f m ), the Garnett rule is more appropriate. ( fi An illustration of how the dielectric permeabilities of two components combine to an avarage εav is shown in ﬁgure 2.6 for the two mixing rules and for a very idealized situation. The materials have the optical properties of harmonic oscillators with different resonance frequencies. In the mixture, the resonances are damped, broadened and shifted. 2.6.4 Composition of grains in protostellar cores Likely and astronomically relevant candidates for composite grains are the solid particles in cold and dense protostellar cloud cores (see section 15.3). Such grains

that calculated from the Garnett mixing rule. are also expected to be found in the cooler parts of stellar disks or in comets. of course. They are composed of refractory (resistant to heating) and compact subparticles made of silicates or amorphous carbon. by the full line. real part ε1 . Altogether. compact carbon subparticles. The average permeability of a mixture of these two substances calculated from the Bruggeman mixing rule is shown by the broken curve. imaginary part ε2 ). bottom.Composite grains 75 Figure 2. The subparticles are enshrouded by a thick sheet of ice as a result of molecules that have frozen out.2) and given by the dotted curves (top. the grains in protostellar cores have four distinct components: • • • compact silicate subparticles. S1 and S2. The volatile (easy to evaporate) ice balls with their compact cores are loosely bound together and form. We ﬁgure them as ﬂuffy aggregates. Let the dielectric permeability of two substances. Both components have equal volume and both averaged permeabilities obey KK’s relations. be represented by harmonic oscillators (see ﬁgure 1. probably substantially bigger than normal interstellar grains. In this picture. ice sheets and . as do. the frosting of molecules in ice layers on the surface of the subparticles precedes the process of coagulation. as a whole. the porous grain. the dielectric constants of S1 and S2.6.

In the following examples.1 Grain size We ﬁrst investigate the inﬂuence of grain size.5. The available mass of condensable material is determined by the gas phase abundances of C.1 µm.4 .5 to 5 times bigger than the volume of the refractories. The possible diversity of such grains is inﬁnite and their structure can be extremely complex. 2. The mass absorption coefﬁcient K abs (deﬁned in subsection 2. 2 fC compatible with the cosmic abundances in solids. .6. again because of coagulation. To demonstrate the size effect. 2. . it is then insensitive to a. f Si + f C + f ice + f vac = 1.5 g cm−3 ρice ≈ 1 g cm−3 . which is a typical radius of an interstellar grain and certainly . deposition of ice and porosity each affect the absorption coefﬁcient and we now illustrate how.6. We adopt a = 0. N and O and their hydrides. so K abs = K abs (a).76 • How to evaluate grain cross sections vacuum. we normalize K abs to its value when the grains are small (a λ). 2. Standard gas abundances imply a ratio of volatile-to-refractory mass of Mice = 1 . we adopt for the volume ratio of silicate-to-carbon material in the grain f Si = 1. which is a wavelength where protostellar cores are frequently observed. To be speciﬁc. and for the speciﬁc weight of the refractory subparticles ρref ≈ 2. .3) is for a ﬁxed wavelength a function of grain radius a.1. The volume fractions of the components. the ice volume is 2. add up to one. they contain ices because of frosting and they are porous. Mref Consequently. f . we ﬁx λ to 1 mm. ice and porosity change the absorption coefﬁcient These composite grains differ in three fundamental aspects from their compact silicate and carbon subparticles: • • • they are bigger because of coagulation. . Coagulation.5 How size.

For example.7 for other wavelengths and optical constants. one has to do proper calculations. if all particles in the diffuse interstellar medium had a radius of 1 µm (without changing the total dust mass). For example. The normalized coefﬁcient is denoted K n and deﬁned as K abs (a) abs K n (a) = abs . The qualitative features stay the same but some details are quite interesting. the mass absorption abs of carbon grains increases by a factor K abs ∼ 50 when the radius of the coefﬁcient K n particles grows from 0.1 µm) It gives the relative change with respect to ordinary interstellar dust particles and it is plotted in ﬁgure 2. For sizes in between. K (0. However.1 µm (a/λ = 10−4 ) to 30 µm (a/λ = 0. One can create plots like those in ﬁgure 2. The inﬂuence of grain growth on the mass absorption coefﬁcient K abs for silicate (Si) and amorphous carbon spheres (aC) at a wavelength of 1 mm.1. The spikes in ﬁgure 2. the normalized coefﬁcient K n ∝ a −1 because Q abs ≈ 1.Composite grains 77 Figure 2. big lumps are not efﬁcacious in blocking light.1).7 for silicate and carbon spheres.7. when abs a λ. They reveal an enhancement in the mass absorption coefﬁcient K abs which can be very signiﬁcant (> 10) and which would strongly boost millimeter dust emission because the latter is proportional to K abs (see section 8. the normalized coefﬁcient abs K n equals one and is constant because this is the Rayleigh limit.03).7 for silicates are resonances that disappear when the grains are not all of the same size but have a size distribution. abs smaller than the wavelength (1 mm). the extinction optical . When a λ. The curves abs show the normalized coefﬁcient K n deﬁned in the text.

2. here λ = 1 mm. Estimates for kice at this wavelength are around 0. again for a wavelength λ = 1 mm.78 How to evaluate grain cross sections Figure 2. the imaginary part of the optical constant of ice.6. Both curves are based on Mie calculations. the broken line to a homogeneous sphere where ice and silicate are mixed and the optical constant m av of the mixture is computed after the Bruggeman theory. the imaginary part of the optical constant of ice. depth at 2.2 µm (K-band) would be almost ten times larger than it really is. The relevant parameter for the absorption coefﬁcient C abs is kice . We take a silicate sphere of arbitrary radius a λ and deposit an ice mantle of the same mass on it. such a mass ratio of ice to refractory core is suggested by the cosmic abundances in the case of complete freeze–out.5.8.01 but uncertain. It depends on how much the ice is polluted by impurities. Deﬁning the normalized absorption coefﬁcient of a single grain by abs Cn = C abs (core + ice) C abs (core) . The inﬂuence of kice .2 Ice mantles Next we illustrate the inﬂuence of ice in the grain material. The total grain’s volume is then three and a half times bigger and the mass twice that of the bare silicate core. The ordinate abs Cn gives the increase in the cross section with respect to the bare silicate core. The grain radius a is much smaller than the wavelength. The solid plot refers to a coated sphere with a silicate core and an ice mantle. on the absorption coefﬁcient C abs of a grain that consists of silicate and ice with a mass ratio 1:1.

changes with ﬂufﬁnes. . f vac .5+i0.8. We consider.6. the grain is compact.4 and 0.8 the value of Cn when the ice is not in a mantle but mixed throughout the grain. suggests an increase in the absorption coefﬁcient by a factor of two.01. 2. abs the normalized cross section Cn is deﬁned by abs Cn = C abs (ﬂuffy grain) .Composite grains 79 Figure 2. The mass of the grain is kept constant and does not vary with the vacuum fraction f vac . equals zero. Note that an ice mantle increases C ice = 0 because the mantle grain is larger than the refractory core and collects more light. while the optical constant of the grain.04. Fluffy grains are obviously better absorbers because they are bigger. The inﬂuence of porosity on the grain cross section. which is calculated here after Bruggeman. which may or may not be a reasonable estimate for interstellar conditions. A porosity parameter f vac between 0.9.8 that an ice mantle enhances C abs by a factor Cn ∼ 3 if abs even when k kice = 0.3 Flufﬁness A porous grain also has a greater absorption cross section C abs than a compact one of the same mass. The normalized cross abs section Cn is deﬁned in the text. in ﬁgure 2.5. C abs (compact grain of same mass) When the volume fraction of vacuum. We also abs show in ﬁgure 2. The compact particle has m Si = 3.9. silicates with vacuum inclusions. abs we learn from ﬁgure 2.

we presented general solutions of the ﬁeld equations in the case when a plane wave interacts with a particle with simple geometry. They illuminate the problem and are useful for checking the correctness of a computer program. |m|x 80 1 (3. m = n + i k. a. we have to deliver ourselves to the mercy of a computer. when we want to extract numbers from the theory for a speciﬁc astronomical application. one may use for the computation of cross sections. In a few simple conﬁgurations.e. which is small compared with the wavelength λ. If we additionally stipulate that the product of the size parameter multiplied by optical constant. only the ratio a/λ.Chapter 3 Very small and very big particles In sections 2. when the size parameter 2πa 1 (3. analytical solutions are possible and we turn to these in this chapter. In fact. a may even be big.1) x= λ the calculation of cross sections becomes easy. 3. there we stressed the mathematical aspects. the approximations given here. 3. which occurs at wavelengths where the condition λ a is usually very well fulﬁlled. This is the basic section for understanding how and why interstellar dust absorbs and scatters light. So the heading of this section is suggestive but not precise.1 Tiny spheres We derive the efﬁciencies for small spheres of dielectric material.1 When is a particle in the Rayleigh limit? When a sphere has a radius. i.2) . No matter how efﬁcient such a machine is. With regard to the thermal emission of interstellar grains.4.3 and 2. The particle itself is not required to be small. it is wise to retain some mental independence and bring to one’s mind the physical aspects: computing must not be confused with understanding. Usually. be small.1.

4) 8πa 3ε2 6nk 8πa = λ (n 2 − k 2 + 2)2 + 4n 2 k 2 λ |ε + 2|2 6 |a1 |2 x2 8 4 m2 − 1 x 3 m2 + 2 2 . 45 m2 − 1 m2 + 2 2 + O(x 7 ) Usually non-magnetic materials (µ = 1) are considered. If x is small.2 Efﬁciencies of small spheres from Mie theory A purely mathematical approach to ﬁnding simple expressions for the efﬁciencies of small spheres is to develop the ﬁrst coefﬁcients a1 .2) hold are said to be in the Rayleigh limit.50) and (2. b1 in the series expansion (2.3) (3. the one with x 6 electric dipole scattering: Q ext = Q sca 6 Re{a1 } x2 4x Im m2 − 1 m2 + 2 = 4x Im ε−1 ε+2 (3.1. This concept can be applied to any particle. the ﬁeld is only weakly attenuated in the particle.1) and (3. this suggests the frequently cited dependences and Q abs ∝ λ−1 Q sca ∝ λ−4 λ λ .51) for Q ext and Q sca into powers of x and retain only terms up to x 5: 2x 3 m 2 − 1 2x 5 (m 2 − 2)(m 2 − 1) 4x 6 a1 = − i + −i 3 m2 + 2 5 9 (m 2 + 2)2 b1 = − i • x5 2 (m − 1) + O(x 7 ). if one understands by the size parameter the ratio of typical dimension over wavelength. both Q ext and Q sca approach zero. Grains for which conditions (3. 3. and because nx 1. With respect to the wavelength behavior. the wave traverses the particle with the phase velocity nxω−1 which is much shorter than the inverse vph = c/n in a time τ circular frequency ω−1 .Tiny spheres we ensure two things: • • 81 because kx 1. Then the term with x 3 in the coefﬁcient a1 yields the electric dipole absorption. Because Q abs ∝ x and Q sca ∝ x 4 scattering is negligible at long wavelengths and extinction is reduced to absorption: Q abs Q ext . not just spheres.

λ |µ + 2|2 (3. and c1 . they are true only if m(λ) is more or less constant. We label the ﬁeld inside the sphere by Ei and outside it (external) by Ee . the potential is simply ϕ0 = −E · r. ε = 1) replaced by Q abs = λ 3µ2 8πa · . When we want to calculate the ﬁeld in such a conﬁguration. we are reduced to an exercise in electrostatics.46). For a homogeneous medium (ε = constant). m 2 = (n + i k)2 = εµ (k > 0) • equation (3. In the absence of the sphere. from (1.6) where r is the position coordinate of length r = |r|.26)). there is another approach to obtaining Q sca and Q ext for small particles that gives physical insight.3 A dielectric sphere in a constant electric ﬁeld Besides cutting off the series expansion in Mie theory after the ﬁrst term. . The basic equations valid everywhere are rot E = 0 div D = 0. the ﬁeld becomes deformed.5) • The dissipation process refers to magnetic dipole oscillations and is relevant only at frequencies ω < 1012 s−1 . this leads to the Laplace equation ϕ=0 where ϕ is the potential related to the ﬁeld through E = −∇ϕ. The coefﬁcient b1 is discussed in section 3.3). symmetric in ε and µ. When x 1 and |mx| 1. However. the electric ﬁeld in the grain changes in a quasi-stationary fashion. They impose the boundary conditions that the tangential component of the electric ﬁeld E and the normal component of the displacement D are continuous on the grain surface.82 Very small and very big particles for scattering and absorption. We now restrict the discussion to a dielectric medium. which contains only the coefﬁcient a1 .1. is for purely magnetic material (µ = 1. c2 are constants.2 for a non-magnetic conductor and presents magnetic dipole absorption (see (3. Let the sphere be at the center of the coordinate system. For the potential ϕ of the deformed ﬁeld we make the ansatz ϕ= −E · r + c1 −c2 E · r E·r r3 outside sphere inside sphere (3. 3. When we place a sphere of radius a. volume V and dielectric constant ε into a constant ﬁeld E. Because the optical constant m is.

11) 3. Ei is constant and parallel to E. One now has boundary conditions at the interface . Ei = 3 E ε+2 for r ≤ a. Equation (3. There is then a core (index 1) enveloped by a mantle (index 2) of a different substance.10) (3. If e denotes the unit vector in the direction r. Continuity of the tangential component of the electric ﬁeld implies continuity of the tangential derivative of ϕ. This gives c2 = 1 − c1 /a 3 .1 A coated sphere in a constant electric ﬁeld It is not difﬁcult to repeat the previous exercise for a sphere covered by a homogeneous shell. Hence we derive ε−1 3 c2 = c1 = a 3 ε+2 ε+2 and. Because the polarization is given by (see (1.Tiny spheres 83 Equation (3.8) and the electric polarizability αe becomes (see (1. Continuity of the normal component of the displacement D yields εc2 = 1 + 2c1 /a 3 . Ee is the sum of a dipole.8)) αe = 3 ε−1 . outside. therefore. the outer ﬁeld Ee is the sum of E plus a dipole ﬁeld: Edip = so Ee = E − αe V grad 3e(e · p) − p r3 E·r r3 = E + Edip . We determine c1 and c2 from the conditions on the grain surface. E i < E. (3. plus the constant ﬁeld E.7) gives the internal ﬁeld. which is induced by E and goes to zero at large distances. 4π ε + 2 (3.3. Inside the sphere.7) Note that the ﬁeld is smaller inside the body than outside.6) reﬂects the expected behavior of the ﬁeld. (3.6)) P= ε−1 i E 4π the induced dipole moment of the grain is p = PV = a 3 ε−1 E = αe V E ε+2 (3.9) For other grain geometries there would be other dependences of αe on ε. from which it follows that ϕ is itself continuous (parallel and perpendicular to the surface).1.

so the electron conﬁguration is always relaxed. which is now the grain as a whole. Because ω = 0.1 Scattering The ﬁeld E is not really static but oscillates proportionally to E 0 e−iωt and so.9) for the polarizability becomes a bit lengthy: αe = 3 (ε2 − 1)(ε1 + 2ε2) + f (ε1 − ε2 )(1 + 2ε2 ) · . does the dipole moment p.12) For the dipole moment. W must also equal the total power scattered from the incident wave by the particle.4 Scattering and absorption in the electrostatic approximation 3.97). W = 1 ¨ |p|2 = S C sca . We thus ﬁnd C sca = πa 2 Q sca = 24π 3 V 2 ε − 1 λ4 ε+2 2 (3. synchronously. we have to insert p = αe V E and for the time2 averaged Poynting vector S = (c/8π)E 0 from (1. f = a1 a2 3 ≤1 expression (3. the dielectric permeability must be taken at the actual frequency ω of the outer ﬁeld. the polarization of the medium is not that of a static ﬁeld. 4π (ε2 + 2)(ε1 + 2ε2) + f (2ε2 − 2)(ε1 − ε2 ) 3. on the outside. Its average power integrated over all ¨ directions is W = |p|2 /3c3 and follows from (1. therefore. just as in the static case. which automatically takes care of the time lag between P and E.4) for the scattering efﬁciency Q sca . This means the electrons always have sufﬁcient time to adjust to the momentary ﬁeld. Instead. therefore C sca = 8π 3 ω c 4 V 2 |αe |2 . emits radiation.1. we can because the variations of the ﬁeld are assumed to be slow. as before. Of course. Can we use it in the case when ω = 0? Yes. The oscillating dipole. . the permeability ε(ω) is complex.4.39).9).13) The electric polarizability αe for spheres is given by (3.84 Very small and very big particles between the two materials and. 3c3 (3. (3. It was obtained in the electrostatic approximation.1. However. If f denotes the volume fraction of the inner sphere relative to the total sphere.14) which agrees with equation (3.

3) but now we understand the physics: C abs = ε−1 6π V Im λ ε+2 = V ω 9ε2 .Tiny spheres 3.57) and set the absorbed power equal to SC abs . we can transform this equation into Vc 2 ε2 E 0 = SC abs .75) reduces further (we drop the factor in front of the matrix): 1 (1 + cos2 θ ) Is 2 Q s − 1 sin2 θ 2 = Us 0 Vs 0 − 1 sin2 θ 2 1 (1 + cos2 θ ) 2 0 0 0 0 cos θ 0 0 Ii 0 Qi Ui 0 Vi cos θ (3.1.77). the scattering matrix given in (2. one in the forward. and not the outer ﬁeld E.18) θ = 0 gives the forward direction.15) But let us be more elaborate and assume that the grain consists of N V harmonic oscillators excited in phase. There are several noteworthy facts: • • The scattering pattern no longer depends on wavelength. we recover the efﬁciency for electric dipole absorption of (3.4. When we do this.55) or (1.1. Scattering is symmetrical in θ about π/2 and has two peaks.5 Polarization and angle-dependent scattering For small spheres. either by the dissipation losses of the harmonic oscillators given in (1. 4λ (3. c |ε + 2|2 (3. so W = VN 2 γ E 0 e2 ω2 = SC abs . as the matrix elements contain only the angle θ . The power W absorbed by the oscillators can be expressed in two ways. we must insert the ﬁeld Ei inside the grain according to (3. .17) 3.69) or via the Poynting vector S multiplied by the absorption cross section C abs . c (3. V being the volume and N the oscillator density. the other in the backward (θ = π) direction. This gives C abs = 4π ωV Im{α}.2 Absorption 85 We can ﬁnd the absorption coefﬁcient of a small dielectric or magnetic grain if we use (1. 2 2m e (ω0 − ω2 )2 + ω2 γ 2 When we substitute the dielectric permeability of the harmonic oscillator after (1.7).16) For the electric ﬁeld E 0 which drives the oscillators.

A more general theory is then needed to describe the optical behavior of particles. for example. Free electrons in a metal move with the Fermi velocity vF = 3 me 3π 2 n e . The intensity of the scattered light. If the incident radiation has unit intensity and is unpolarized (Ii = 1. a ˚ As the lattice constant is of order 2 A. the situation is different for those on the surface which have bonds only towards the particle’s interior. the lattice constant. 3. for their ability to bind to gas atoms or for the speciﬁc heat of the grain. is proportional to 1 + cos2 θ .6) vanishes and the asymmetry factor becomes zero.6 Small-size effects beyond Mie theory A real grain is not a homogeneous continuum but a crystal built up from atoms. an additional term must be added to the damping constant that comes from collisions (reﬂections) at the surface. 1 + cos2 θ (3. The degree of linear polarization becomes p= • • sin2 θ . a substantial fraction of atoms is on the surface only when the particle is small. Here we only remark on the inﬂuence of the surface in the case of small grains.19) Consequently. the integral in (2. This has consequences. If the particle is small.59)) as a collision frequency with atoms of the crystal. φ). although scattering by a small sphere is not isotropic. Whereas atoms inside the particle are surrounded from all sides. If the particle has a diameter a. We will consider some quantum effects when we discuss PAHs. and thus the phase function f (θ. the ratio of the number of surface atoms Nsurf to all atoms N in the grain is roughly Nsurf N 6 r0 . we have Is = 1 (1 + cos2 θ ) 2 Q s = − 1 sin2 θ 2 Us = Vs = 0. As a result. Mie theory. fails when the structure of matter or quantum effects become important. the light is completely polarized at a scattering angle of 90◦ . g = 0. One way in which the surface affects the optical grain properties can be understood when we interpret the damping constant γ in the motion of an electron (see (1. Q i = Ui = Vi = 0).1.86 • • Very small and very big particles The matrix element S12 < 0. rather regularly spaced and separated by a distance r0 . so the polarization is perpendicular to the scattering plane. a speciﬁc kind of very small carbon grains. which is based on the classical electrodynamics of a continuous medium.

think there would be no absorption and just scattering with an efﬁciency Q sca = 8x 4/3 (because Im{(ε − 1)/(ε + 2)} = 0. that the particle is small. rot E = i µω i H c or for a slowly changing ﬁeld from (1. For example. then p = a 3 E.1 Slowly varying ﬁeld The situation becomes interesting when the magnetic ﬁeld H is slowly alternating. in other words. one estimates that noticeable density n e ˚ changes in γ . c . But not quite because we have neglected in our small-size approximation the magnetic ﬁeld which is also present in a wave.9) very large. One might.114). therefore.54).3)).2. So there is nothing new in magnetostatics. 4πσ E = rot Hi . Mie calculations automatically do. The charges on the metal surface become polarized in the outer ﬁeld but the electric ﬁeld does not penetrate into the particle.2 A small metallic sphere in a magnetic ﬁeld The case of a small metallic sphere in an electric ﬁeld is included in the previous derivation for the dipole moment p by making ε in equations (3. ohmic losses. in graphite with an electron 1020 cm−3 and γ = 5 × 1012 s−1 . 3. one can derive the induced ﬁeld E either from the Maxwell equation (1. say. therefore. The presence of E in the conductor implies a current and. there is a formal identity with electrostatics.A small metallic sphere in a magnetic ﬁeld 87 which is the threshold speed of fully degenerate (non-relativistic) electrons and follows from the Fermi energy of (6. Let us now include it.25). their time average is σ E2 . one has to use the x 6 term in the coefﬁcient a1 of equation (3. When one knows Hi . 3. rot H = 0 div B = 0 and the same boundary conditions on the surface: the tangential component of H and the normal of B = µH are continuous. Slowly means that H is spatially uniform over the dimension of the body or. and thus in the dielectric permeability. There are the same types of equations. When we place a particle in a constant magnetic ﬁeld H. The magnetic ﬁeld Hi inside the sphere is then also changing and induces an electric ﬁeld E. proportionally to e−iωt . occur for sizes a ≤ 50 A.

33)). Because H is constant. A. We have used this result before in section 2. 4πσ ). The square of the wavenumber is given by (1. sin(kr ) r Here e is a unit vector in the direction of r. we start with the wave equation (1.88 Very small and very big particles But one cannot use the static solution Hstat because it fulﬁls div Hstat = 0 and rot Hstat = 0 and thus gives no electric ﬁeld at all.6) and the easy-to-prove relations div( f H) = H · ∇ f ∇f =e k cos kr − f r ( f H) = −k2 f H. as required.116).26)–(2. deﬁned by the function A = β rot( f H) also fulﬁls the wave equation A + k2 A = 0. . The constant β will be adjusted later. When one works it out.34).20) together with div Hi = 0. Instead. to determine the internal ﬁeld Hi . If we now put Hi = rot A the equations div Hi = 0 and Hi + k2 Hi = 0 are fulﬁlled. c2 We solve (3. one obtains for the magnetic ﬁeld inside the sphere Hi = β f + k2 f r H−β 3f + k2 f r e(e · H). To evaluate the somewhat complicated expression Hi = β rot rot( f H). When metallicity dominates (ω|εd | k2 = i 4πσ ωµ . we use formula (A.20) by noting that the scalar function f (r ) = is a spherically symmetric solution of f + k2 f = 0 (see the Laplace operator in (2. Hi + k2 Hi = 0 (3.3 (see equations (2. the vector potential.28)).

H = H0 e−iωt and inside it (z > 0). can be written as He = H + V αm 3e(e · H) − H . Suppose the ﬁeld vector H is parallel to the x-axis and a function of z only. as we assume in this chapter. 0) and the (x.57). H = (Hx (z). therefore.23) . we apply the wave equation (3. + a 2 k2 ak (3. we get the absorption cross section of a magnetic dipole. where a plane wave falls on a metal surface. Then with µ = 1.11). It falls off exponentially in the metal and. When we divide W by the Poynting vector. The factors αm and β follow from the boundary conditions on its surface by equating Hi = He for e · H = 0 and e · H = H. To see how far it can penetrate. we do not have to integrate σ E2 over the particle volume. for which rot He = 0 and div He = 0. the (perturbed) ﬁeld He outside the sphere. We ﬁnd β = 3/[2k2 f (a)] and αm = − 3 8π 1− 3 3 cot ak . ∂ 2 Hx + k2 H x = 0 ∂z 2 √ √ i 4πσ ω 2πσ ω = (1 + i ). c 1+i δ= √ = k 2πσ ω (3. the magnetic ﬁeld may not fully pervade it. where k = c c (3. the ﬁeld has the form Hi = H0 e−iωt eikz = H0 e−z/δ ei(−ωt +z/δ) .22) At the boundary of the body.2. y)-plane marks the surface of the metallic body. we can determine the dissipation rate W in a grain after (1.3 The penetration depth Even when the particle is small compared to the scale on which the outer magnetic ﬁeld changes. r3 αm denotes the magnetic polarizability and m = V αm H is the magnetic dipole moment of the sphere of radius a and volume V .2 The magnetic polarizability 89 In analogy to (3. 0.20) to a simple one-dimensional situation.2. 3.A small metallic sphere in a magnetic ﬁeld 3.21) With αm .

a λ = 2πc/ω. the magnetic polarizability becomes 3δ 9 δ 3 1− +i (3.2.21) to ﬁfth order in ka.24) where ez is the unit vector in the direction of the z-axis. is small or large compared to the grain radius.90 Very small and very big particles is a characteristic scale for the penetration depth of the magnetic ﬁeld into the particle: the lower the frequency.28) 3. which we just introduced. At any rate. 3. In analogy to the previous discussion.26) If the penetration depth is small (δ a λ).21) for the magnetic polarizability αm of a sphere simpliﬁes further when the penetration depth δ. we develop the cotangent function √ a 2πσ ω a ka = (1 + i ) = (1 + i ) δ c 1. • If the penetration depth is large (a in (3.27) αm = − 8π 2a 16π a and C abs = 3 π 2 1/2 a ω .3 Tiny ellipsoids The treatment of a sphere in a constant electric ﬁeld may be extended to ellipsoids.21) cancel out and we obtain for the magnetic polarizability in the low frequency limit αm = − 1 105π a δ 4 +i 1 20π a δ 2 . The electric ﬁeld has the same penetration depth and follows from (1. where δ). Then the ﬁrst two terms in the bracket of (3. E = (1 − i ) ω Hi × e z 8πσ (3. 15c3 (3. we can determine their scattering and absorption cross section once we have worked out the dipole moment that they . the grain is always small compared to the wavelength.4 Limiting values of the magnetic polarizability The formula (3. the greater δ becomes.25) A metallic sphere of radius a and conductivity σ has then at frequency ω the cross section for magnetic dipole absorption C abs = • 8π 2 σ 2 5 ω a . 2σ (3. E is parallel to the y-axis.114). (3.

c. −b 2 . If a = b = c. (3. c with a>b>c>0 the function f (u) = y2 z2 x2 + 2 + 2 −1 a2 + u b +u c +u (3. ζ . f (u) has three real roots. They are deﬁned as follows: For any three numbers a. (3. b.Tiny ellipsoids 91 acquire and the strength of their internal ﬁeld. u = η or u = ζ .30) (ξ. The essential point is that ξ is constant on the surface of an ellipsoid. −c2 ) and (−c2 . This gives. for example. We will again need the Laplace equation ϕ = 0. y and z. To transform the elliptical into Cartesian coordinates. this time in elliptical coordinates.29) is of third order in u.32) .31) For u = η or u = ζ . An ellipsoid has three principal axes a. we are reduced to a sphere and f (u) has only one root. −b2 ). one has to solve this set for x.1 Elliptical coordinates Ellipsoids are naturally handled in elliptical coordinates. named ξ.3.29) constitutes a set of three equations when we put u = ξ. one gets 4 (η − ζ )Rξ ∂ ∂ξ Rξ ∂ϕ ∂ + (ζ − ξ )Rη ∂ξ ∂η Rη ∂ϕ ∂ + (ξ − η)Rζ ∂η ∂ζ Rζ ∂ϕ ∂ζ = 0. 3. x=± (ξ + a 2 )(η + a 2 )(ζ + a 2 ) (b2 − a 2 )(c2 − a 2 ) and corresponding expressions for y and z. one obtains confocal hyperboloids. (−b 2. Therefore. It has poles at −a 2. ζ ) are called elliptical coordinates because for u = ξ . b. with ξ > −c2 − c2 > η > −b2 − b 2 > ζ > −a 2 . We use here the convention a≥b≥c and that a is aligned along the x-axis of a Cartesian coordinate system. the equation f (ξ ) = 0 describes an ellipsoid that has the same foci as the ellipsoid y2 z2 x2 + 2 + 2 = 1. η. Equation (3. Dividing the Laplace operator ϕ by 1 (ξ − η)(ζ − ξ )(η − ζ ). 2 a b c (3. +∞). −c2 and for reasons of continuity must vanish somewhere in each of the intervals (−a 2 . η.

c2 is a constant.3.34) A prime here and later denotes the derivative with respect to ξ . (x + a 2 )Rx (3.35) Far away from the grain. which applies to the interior of the grain.29) are negligible and r ξ 1/2 .35) and one obtains the dipole potential 2c1 −3/2 F(ξ ) ξ ∝ r −3 .32) and take into account that also for the perturbation (ϕ0 F) = 0. c2 in (3. In analogy to (3. and ϕ0 F is the perturbation evoked by the grain. Its boundary is given by (3.34): F = constant. This allows us to evaluate the integral in (3.2.3. ζ ) are related to the length element ds in elliptical coordinates by ds 2 = h 2 dξ 2 + h 2 dη2 + h 2 dζ 2 ξ η ζ with √ (ξ − η)(ξ − ζ ) hξ = 2Rξ √ hη = (η − ζ )(η − ξ ) 2Rη √ hζ = (ζ − ξ )(ζ − η) . dξ (3. we write ϕ= ϕ0 [1 + F(ξ )] c2 ϕ 0 outside ellipsoid inside ellipsoid (3. at least one of the Cartesian coordinates is large.33) where ϕ0 = −E · r is the potential of the unperturbed ﬁeld. 2Rζ 3. and F(ξ ) = c1 ∞ ξ dx .2 An ellipsoid in a constant electric ﬁeld 3. There are two solutions to (3. When we insert ϕ = ϕ0 (1 + F) into (3. Let the outer electric ﬁeld E be directed parallel to the x-axis and thus to the axis a of the ellipsoid. by ξ = 0.1 The dipole potential Imagine an ellipsoidal grain with principal axes a > b > c at the center of a Cartesian coordinate system.6).92 Very small and very big particles The expressions Ru = (u + a 2 )(u + b 2 )(u + c2 ) (u = ξ. so the terms a 2 .31) or. we arrive at the differential equation 0=F +F Rξ 1 + 2 Rξ ϕ0 =F +F d ln[Rξ (ξ + a 2 )]. the perturbation ϕ0 F has the form characteristic of a dipole. At great distance r = x 2 + y 2 + z 2 . equivalently. The function F depends only on ξ . 3 . η. b2 .

8) for a sphere. ε−1 dx (x + a 2 )Rx abc(ε − 1) . gives c2 = 1 + F(0). αa = ε−1 .2. when the electric ﬁeld is parallel to axis a.40) .2. Continuity of the tangential electric ﬁeld.3 The polarizability of an ellipsoid With c1 and c2 being determined. equation (3.12) for dipole radiation is applicable with the dipole moment p from (3. we derive the constants c1 .41) .38) 3[1 + L a (ε − 1)] and its polarizability.3.36) 1 1 + L a (ε − 1) c1 = − 3. for ellipsoids. The normal component of the displacement yields εc2 ϕ0 (0) = ϕ0 (0) · [1 + F(0)] + ϕ0 (0) · F (0) and from there follows c2 = 2a 2 Deﬁning the shape factor La = we ﬁnd c2 = abc 2 ∞ 0 F (0) . Absorption is still proportional to grain volume V . 1 + L a (ε − 1) (3. we can immediately write down the formulae of the scattering and absorption cross section. In the case of scattering. C sca and C abs . so we use (3. Ei = E .37) With the same arguments as in (3. c2 from the continuity conditions on the surface where ξ = 0.2 The shape factor 93 As in the case of a sphere. This gives C abs = C sca = ε−1 2π V Im λ 1 + L a (ε − 1) 8π 3 V 2 ε−1 3λ4 1 + L a (ε − 1) 2 (3.39) 3. (3.16) but now with E 0 = |Ei | from (3. or of ϕ. The internal ﬁeld is constant and parallel to E. the dipole moment of the ellipsoid becomes ε−1 p= E (3.3.3.3 Cross section and shape factor Because of our experience with spheres. 2[1 + L a (ε − 1)] (3. 4π[1 + L a (ε − 1)] (3. we know the electric ﬁeld in and around an ellipsoid.Tiny ellipsoids 3.38).37).

The absorption and scattering . Consider. Ei = E. We can easily check that the sum over all shape factors is one: La + Lb + Lc = 1 so only two of the three L values are independent. Obviously. all Ls are equal to 1 and we recover the formulae of the polarizability and cross 3 sections for spheres. the cigar in ﬁgure 3. We then have to replace L a by Lb = abc 2 ∞ 0 dx (x + b 2 )Rx or Lc = abc 2 ∞ 0 dx (x + c2 )Rx respectively. A cigar rotating about axis b. and not to axis a as we have assumed so far. Only in the Rayleigh limit does the cross section C depend solely on the direction of the electric ﬁeld and not on the direction of wave propagation. When the small ellipsoid is very transparent (|ε| 1). the electric ﬁeld inside and outside are more or less equal. When the electric ﬁeld is parallel to axis b or c. the cigar has changed from position 1 to position 2. with a = b = c. the shape factors loose their importance. the projected surface is a small circle. Light is traveling in the indicated direction. and the polarizability α = (ε−1)/4π = χ. the only thing that changes for the cross section is the shape factor of (3. in the second it is a broad ellipse and much bigger.1 and let the electric vector E swing parallel to axis c.1. In the ﬁrst case.94 Very small and very big particles a light c c a 1 2 Figure 3. for example. The cross section is then the same for light that falls in parallel to axis a or parallel to axis b (which is perpendicular to a and c). which is perpendicular to the page in this book. After a quarter of the rotation cycle.36).

If Ca . the total cross section of the grain can be written as C = Ca cos2 α + Cb cos2 β + Cc cos2 γ . the ellipsoid is called a spheroid. in interstellar space. 3 As the terms on the right-hand side of (3. For an ensemble of particles.5 Pancakes and cigars When two of the principal axes are equal.3. E cos γ ). random rotation and thus random orientation of the grains.44) Without alignment.45) are true only in the electrostatic approximation.4 Randomly oriented ellipsoids When an ellipsoid of ﬁxed orientation in space is illuminated by an electromagnetic wave.2)) cos2 x = 1 4π 2π π dy 0 0 d x cos2 x sin x = 1 . c are parallel to the electric vector E of the incoming wave.Tiny ellipsoids coefﬁcient are then independent of the axial ratios and of orientation. the average cross section for identical ellipsoids under random orientation is equal to the arithmetic mean: C = 1 Ca + 1 Cb + 1 Cc . (3. 3. E cos β. Interestingly. c: E = (E cos α. a = b > c. Cc denote the cross sections of the ellipsoid when the principal axes a.43) 3.44) are independent of each other.42) (3. 3λ4 95 (3. Ei and E are parallel only when E is directed along one of the principal axes. C abs (λ) = 2π V ε2 (λ) λ 8π 3 V 2 C sca (λ) = |ε − 1|2.3. all directions are equally likely and the mean of cos2 x over 4π is (see (2. . b. even if the grain material is isotropic. we expect. 3 3 3 (3. the body has the shape of a pancake. • If then the two equally long axes are larger than the third one. for arbitrary grain orientation the internal ﬁeld Ei is not parallel to the outer ﬁeld E.45) Equations (3.44) and (3. b. Here E = |E| and cos2 α + cos2 β + cos2 γ = 1. the grand principle of superposition allows us to split the electric ﬁeld vector E of the wave into components along the orthogonal ellipsoidal axes a. Cb .

and La = g 2 (e) g(e) π − arctan g(e) − 2 2 2 2e with g(e) = 1 − e2 . it resembles a cigar. besides being nourishing or fragrant.2.47) pancakes have a = b > c.48). (3. We will see in chapter 10 that pancakes and cigars. L b = L c and La = • 1+e 1 − e2 1 ln −1 + 2 e 2e 1−e (3.36) or by using the analytical expressions (3. The shape factor of (3. More educated terms are oblate and prolate spheroids.46) e2 = 1 − 2 . • Otherwise. Deﬁning the eccentricity e through c2 (3.96 Very small and very big particles Figure 3. L a = L b .2). a • cigars have a > b = c.48) e2 .47) and (3.36) now permits an analytical solution (ﬁgure 3. if a > b = c. can explain why and how stellar light is polarized by dust clouds. The shape factor for oblate (pancake) and prolate (cigar) spheroids. It can be found by numerically evaluating the integral in (3.

It is also not difﬁcult to extend the computations of cross sections to coated ellipsoids but for particulars.1 shows such a situation for a spinning cigar with rotation axis b. respectively. Cav .19. from (3. Cb . for pancakes it is axis c. y)-plane. Suppose a spheroid rotates about the major axis where the moment of inertia is greatest. so L b = L c = 1 . The difference between cigars and pancakes is mild. For cigars. Because the mean of cos2 x over a half-cycle is cos2 x = 1 π π 0 cos2 x d x = 1 2 we ﬁnd that the average cross sections. CE rot and CE⊥rot . one has εx = ε y = εz . 3. depend on the direction of linear polarization of the incident wave. Figure 3.3. than spheres and the effect increases with eccentricity. grains with an axial ratio of two. For example.3 displays. It turns out. which implies an eccentricity of 0. With ﬁxed eccentricity. what happens to the optical depth when we replace spheres of a ﬁxed radius by randomly oriented spheroids. this is axis b or c. over a broad wavelength band. The rotation axis stays ﬁxed in space. A sphere is the subcase when e = 0 and all shape factors are equal 2 to 1 . Overall. Graphite particles are an example.45). When the carbon sheets are stacked parallel to the (x. the cross section is still a function of the optical constant m and thus of wavelength λ. are at λ ≥ 100 µm by some 30% better emitters or absorbers than spheres. identical in shape and of the same volume as the spheres.6 Rotation about the axis of greatest moment of inertia The cross section of spinning particles changes periodically and one has to take time averages. CE⊥rot = 1 2 Ca + Cc . the arithmetic mean over Ca . Cc . Any wiggle in m due to a resonance will be reﬂected in the curves. Let the light propagate in a direction perpendicular to the rotation axis and let CE rot CE⊥rot denote the time-averaged cross sections in the case when the electric vector of the incident wave is parallel and perpendicular to the rotation axis. while the other two are spinning. 3 Figure 3. although not as a strict rule.Tiny ellipsoids 97 For very long cigars (needles) and very ﬂat pancakes e = 1 and L a = 0.866. As a further sophistication. We show results for silicate and carbon particles and we can readily identify the resonances in silicate at 10 and 18 µm by comparison with ﬁgure 7. the effect of particle elongation on the optical depth is more pronounced in the far than in the near infrared. We can understand this because Cav is. that ellipsoids have a higher average cross section. When we evaluate the Cs assuming a ≥ b ≥ c we ﬁnd that (mostly) Ca ≥ Cb ≥ Cc in such a way that the increase in Ca more than offsets the decline in Cb or Cc . one can treat optically anisotropic ellipsoids.

3.98 Very small and very big particles Figure 3. The cross section of spheres over that of randomly oriented spheroids of the same volume. The eccentricity of the spheroids deﬁned in (3.19. If a pancake rotates about its axis of maximum moment of inertia. Calculations are done in the electrostatic approximation implying grains much smaller than the wavelength. The grains consist of amorphous carbon (aC. optical constants for the two materials from ﬁgure 7. CE rot = Cb < CE⊥rot . bottom). which is . top) or silicate (Si.46) is indicated.

the ﬁeld has tremendous gradients. one calls E1 the depolarization ﬁeld (see ﬁgure 3.49) Ca + Cc C = Ca − Cc . • For cigars (a > b = c and Cb = Cc ): C = 1 Ca + 3 Cc 4 4 • for pancakes (a = b > c and Ca = Cb ): C= 1 2 C= 1 2 Ca − Cc (3. no polarization effects. (3.4. axis c for pancakes). On a microscopic level.4). Writing the internal ﬁeld Ei in the form Ei = E + E1 deﬁnes a new ﬁeld E1 . It arises from all atomic dipoles and is directed opposite to the polarization P. from (3.4 The ﬁelds inside a dielectric particle 3.7) we ﬁnd for a sphere E1 = − 4π P. The effective cross section for incident unpolarized light is C= 1 2 CE rot + CE⊥rot . there are. In both cases. the polarization P of the medium is constant and the ﬁeld inside smaller than outside.50) If the light travels parallel to the rotation axis of the spheroid (axis b for cigars. we need the difference C = CE⊥rot − CE rot . Because E i < E.3 we generalized to ellipsoids. E1 and Ei are such averages over many atoms. a hundred or so but at least over one unit cell in a crystalline structure.7) the ﬁeld Ei inside a dielectric sphere that sits in a time-constant homogeneous outer ﬁeld E. on average. and light comes in perpendicular or parallel to c. no averaging is necessary and CE⊥rot = Ca CE rot = Cc < CE⊥rot .1 Internal ﬁeld and depolarization ﬁeld We determined in equation (3. To calculate in chapter 10 the degree of polarization produced by grains.The ﬁelds inside a dielectric particle 99 c. For example. Atoms are not at random positions but at privileged sites (lattice grid points are loci of minimum potential . 3. In section 3.51) It is important to make a distinction between the local ﬁeld at exactly one point and macroscopic averages. 3 (3.

52) Eloc = E + outside cavity The ﬁeld arising from the smooth distribution outside the cavity can be expressed as a volume integral. therefore.53) where e is the outward surface normal. As the dipoles are at discrete lattice points. To ﬁnd Eloc at a speciﬁc locus in the grain. say at x0 . r The second integral sums up the potentials from all surface charges and their total ﬁeld is thus equivalent to the ﬁeld of all atomic dipoles.100 Very small and very big particles energy) and the local ﬁeld Eloc acting on an atom is usually different from the average ﬁeld Ei .2 Depolarization ﬁeld and the distribution of surface charges A body of constant polarization P has. We prove the theorem by writing ϕ(r) as a volume integral. r Now we transform the volume integral into a surface integral employing the relation div( f P) = f div P + P · ∇ f . Inside the body.20) a non-uniform polarization creates a charge ρpol = − div P. 3. their distribution is not smooth. at least. the depolarization ﬁeld E1 is identical to the ﬁeld that arises in vacuum from the distribution of surface charges as given by (3. .4. imagine a spherical cavity around x0 of such a size that beyond the cavity the dipole distribution may be regarded as smooth. whereas inside it. With f (r) = 1/r and div P = 0. (3. P is discontinuous and a charge appears. we have to add to E the ﬁelds from all dipoles. This is correct because a single dipole p has a potential ϕdip = −p · ∇ 1 . the divergence of the polarization vector is zero and ρpol = 0 but on its surface. it is discontinuous. Let ϕ(r) be the electrostatic potential from all dipoles in the body. a surface charge σ of strength σ =e·P (3. ϕ(r) = − (P · ∇r −1 ) d V. the ﬁeld from the dipoles within the cavity has to be explicitly written as a sum. so Edip + Edip . This expression for σ follows when we recall that according to (1. on its outside. so generally Eloc = Ei . There is a theorem which states that for any body of constant polarization P. we get ϕ(r) = − 1 P · dS = r σ d S.53). it does not appear to be so close to x0 . We.

S2 . Suppose we have a cubic lattice.8): Eloc = E. The sum is zero because of the symmetry of the grid. If there are N atoms per unit volume.4 The Clausius–Mossotti relation The local ﬁeld Eloc produces in each atom of volume V a dipole moment p = αV E loc .51).54) Given the outer ﬁeld E.54). Hence α is called the atomic polarizability. it is equivalent to the ﬁeld from the surface charges. the dipoles are at positions (x i . has the same surface charge as a sphere in vacuum of constant polarization P. For example. However. the polarization of the matter is.3 The local ﬁeld at an atom 101 The ‘outside’ sum in (3.e. the local ﬁeld Eloc at an atom depends on the shape of the particle. According to our theorem. P = N V α E loc = N V α E i + 4π P . So we can neglect the inﬂuence of the nearest atoms altogether. S1 . Likewise the x.4. Eloc = Ei + 4π P. therefore. The inner. only of inverted sign. there are now two boundaries.4. for a spherical grain we derive from (3.7) and (3. It remains to include the atoms in the spherical cavity S2 . For such a situation. 3 (3. the point x0 is at the origin. i. Comparing with (3. z i ). For a body in the shape of a thin slab with parallel surfaces perpendicular to E.The ﬁelds inside a dielectric particle 3. We expect that we may also neglect it if there is no grid order at all. their moments are all of strength p and aligned in the z-direction.8) which we applied to a grain as a whole. we ﬁnd that the surface charge on S2 produces the ﬁeld (4π/3)P. 3 3. in view of (3.52) may be evaluated by an integral.10)) (Edip )z = p cavity i 3z i2 − ri2 ri5 = p i 2z i2 − x i2 − yi2 ri5 =0 where ri = x i2 + yi2 + z i2 is the distance of dipole i to the origin.and y-components of the total ﬁeld vanish. one ﬁnds Eloc = E − 8π P. which is the conﬁguration of a parallel–plate condenser. yi . in an amorphous substance. Then the z-component of the total ﬁeld from all dipoles at x0 is (see (3. The outer. gives the depolarization ﬁeld E1 . The formula is analogous to (1.54) with the help of (3. 3 .

and equate the dipole moment p = ex 0 to α E loc . To ﬁnd Eloc . σ gives rise to a ﬁeld E1 that combines with E to form the average internal ﬁeld Ei . This is done in the Clausius– Mossotti formula: NV α χ= .6)).4. it attracts them one way and pushes the heavy nuclei the opposite way. A ﬁeld E produces on a dielectric grain a surface charge σ . the value from (1. one can relate the dielectric susceptibility χ of the medium to the polarizability α of the atoms.56) It is relevant at optical frequencies because the electrons have little inertia and can swiftly follow the ﬁeld. one has to take into account the regularly but discontinuously arranged dipoles (small dots) in the vicinity as well as those farther away which can be considered as being distributed smoothly (shaded area). The resonance frequency ω0 of the atom lies typically in the ultraviolet.3. When we take for the amplitude of the electron. x 0 . S1 and S2 denote surfaces. The static value of the atomic polarizability in a 2 constant ﬁeld is α0 = e2 /m e ω0 . The latter is not necessarily equal to the local ﬁeld Eloc at a particular atom or unit cell (central larger dot in inner circle) in a crystal. This can be modeled with the harmonic oscillator of section 1.67) but without damping (γ = 0). According to a theorem of electrostatics. − ω2 ) (3. we get the electronic polarizability α(ω) = 2 m e (ω0 e2 .55) 1 − 4π N V α 3 The ﬁeld exerts forces on an atom and distorts the cloud of electrons. Because P = χ E i (see (1. (3. .102 Very small and very big particles E Ei E1 S1 S2 Figure 3.

independently of the chemical composition or shape of the particle.5: (1) When a parallel wavefront falls on an oriﬁce. This important result is called Babinet’s theorem or extinction paradox.5 Very large particles A particle is deﬁned to be very large when its size is much bigger than the wavelength. the diffraction pattern of the obstacle arises because each point in the plane of the oriﬁce. According to Huygens’ principle for wave propagation (this result will be shown later). Altogether the obstacle thus removes twice as much light than that which corresponds to its projected geometrical surface: half of it through scattering. the screen is dark. the diffraction pattern of the hole arises because each point in the plane of the hole is the origin of a spherical wave. depending on the wavelength. i. a bright spot with a blurred rim. the other half by absorption and reﬂection. both diffraction patterns are present simultaneously. is the origin of a spherical wave. (2) If one places a small. To quantify the diffraction phenomena that occur around very big grains. Q ext = Q abs + Q sca approaches two. . (3. As the hole scatters all the light falling onto it.1 Babinet’s theorem For any very large particle the extinction efﬁciency.e. but still much bigger than λ. they must have the same intensity but be phase-shifted by 180◦. For spheres. (3) If we cover the oriﬁce with black paper leaving just a hole of the same size and shape as the obstacle. on a far-away screen. We restrict the discussion to this dark area. the obstacle must scatter exactly the same amount. 2πa → ∞.Very large particles 103 3.5. Outside the bright spot and the rim. the deﬁnition is relative and the same particle may be both small and large. In the case of the completely uncovered oriﬁce (1). which is much bigger than the wavelength. except for the obstacle itself. obstacle into the oriﬁce. it produces. we have to study basic optical principles. the diffraction patterns of the hole and the obstacle are identical. the patterns from the obstacle and the hole must cancel each other exactly. Because the region beyond the blurred rim is then dark.57) when x = Q ext → 2 λ We illustrate Babinet’s theorem with an experiment carried out in three steps as sketched in ﬁgure 3. As in the case of tiny grains. 3. a diffraction pattern appears and light is scattered beyond the blurred rim into the former dark area.

At short distances. a large particle as shown in ﬁgure 3. √ If k1 = ε1 µ1 ω/c is the wavenumber from (1. A diffraction experiment to explain Babinet’s theorem. Scattering at the edge of a large obstacle is. it is always valid for interstellar grains.2. under normal incidence.5. we know from everyday experience that a brick removes only as much sunlight as falls onto its projected surface and not twice as much. and k2 = ε2 µ2 ω/c in the medium on the right (z > 0).1 Normal incidence A ray of light travels in the positive z-direction and hits.6. 3. Therefore Q ext = 2 can only be veriﬁed at far distances.104 Very small and very big particles bright spot 1) dark area 2) obstacle 3) hole Figure 3. we obtain for .5. This quantity is denoted by r and called the reﬂectance. predominantly forward. We wish to evaluate which fraction of the incident ﬂux is reﬂected.41) in the medium on the left √ (z < 0). however.5.2 Reﬂection and transmission at a plane surface 3.

to the right only the transmitted wave (index t). at z = 0. (n + 1)2 + k 2 (3. the reﬂectance equals the backscatter efﬁciency Q back of (2. Light falls perpendicular on a plane surface. the reﬂectivity is high and absorption low. the electric ﬁeld E = E i ei(k1 ·z−ωt ) + E r ei(−k1 ·z−ωt ) E = E t ei(k2 ·z−ωt ) for z < 0 for z > 0. ε 1 µ2 This immediately allows one to calculate the reﬂectance r = |E r /E i |2 . the tangential components of the electric and magnetic ﬁeld are continuous. if k 0.117)).5. When we express the magnetic ﬁeld via the rotation of the electric ﬁeld (see (1. Ei + Er = Et Ei − Er = Et ε 2 µ1 . If the stone in a ring is a fake. some is reﬂected and some transmitted. the reﬂectivity grows with n. The amplitude of its electric ﬁeld is weakened . Should n or k be large. The optical constant of the particle then equals m = ε2 and the reﬂectance is given by r= 1−m 1+m 2 = (n − 1)2 + k 2 . it will catch less attention because it reﬂects only 4% of the light. The medium to the right (z > 0) has an optical constant m = n + ik. A pure diamond sparkles at visual wavelengths because k is small and n = 2. we have the incident and the reﬂected wave (indices i and r). so the reﬂectivity is high (r = 0. At the surface of the particle (z = 0).6.Very large particles incident transmitted reflected optical constant m 105 0 z Figure 3.58) (3.17). (3. Metal surfaces make good mirrors because they have a large optical constant m and n k (see (1. of standard glass which has n = 1.59) To the left-hand side.59) how the light that enters into a large and absorbing particle is attenuated.32)). The most common case is the one where there is a vacuum on the left and the grain is √ non-magnetic (µ2 = 1).60) For a large sphere (x = 2πa/λ 1).67). we ﬁnd. However. We see from (3. not 17%.4.

60) for a blackbody. If the particle is translucent (k = 0). the particle must also have a very large size d such that kd/λ is much greater than one.61) Whereas for a non-absorbing medium. it only scatters the light. a point source Q emits isotropically radiation. (3.5. require the optical constant of vacuum (m = 1). the intensity decreases by a factor exp(−4πk).2 Oblique incidence We generalize the reﬂectance r of (3. any light that enters the grain will. it has zero reﬂectance and would. By deﬁnition. under the assumption of ray optics. Q ref lies between 0 and 1 and is related to Q abs through Q abs = 1 − Q ref . One may wonder about the implications of formula (3.5. we can determine the limiting value of Q abs and Q sca for very large spheres.63) where r (x) is the reﬂectance after (3. Unless k is very small. So the absorption efﬁciency for large particles can never be greater than one. 3. only smaller if some fraction of light is reﬂected off the surface. One now has to specify in which direction the incident light is polarized which is not necessary under normal incidence. the oscillations of the electromagnetic ﬁeld are in phase . so the intensity It of the transmitted light diminishes like exp(−4πk/λz). So no real substance is a perfect absorber. If k > 0.62) for an incident angle θi = arcsin(x/a) and a is the grain radius.62) Using this formula. m and θt are real.60) to the case of oblique incidence. One can deﬁne a reﬂection efﬁciency Q ref for spheres by πa 2 Q ref = 0 a 2πr (x) d x (3.61) m and also θt are complex. despite the smallness of k. 3. On any spherical surface S around Q. in the generalized form of (3. the transmitted light is removed very quickly and the penetration depth is only a few wavelengths. m (3. A blackbody can be approximated by a particle with n → 1 and k → 0.3 Huygens’ principle In ﬁgure 3. If the incident beam is inclined to the normal of the surface element of the particle by some angle θi > 0. But a vacuum is translucent. The angle of the transmitted beam is given by Snell’s law: sin θt = sin θi . Per wavelength of penetration. therefore.106 Very small and very big particles proportionally to exp(−2πkz/λ). eventually peter out within it.7. the reﬂected beam forms an angle θr = θi with the normal.2. then Q abs = 0 and Q sca = Q ext = 2 according to Babinet’s theorem. For incident unpolarized light the reﬂectance is r= 1 cos θt − m cos θi 2 cos θt + m cos θi 2 + 1 cos θi − m cos θt 2 cos θi + m cos θt 2 .

on the surface S of ﬁgure 3. Huygens’ principle makes understandable why light propagates along straight lines. The new surface S is the envelope of all elementary waves of radius r . the ﬁeld of elementary waves is extinguished by interference. Outside S . According to Huygens’ principle. a more detailed description is not given. A spherical wavefront traveling from a point source Q at velocity c. oscillate in phase and emit elementary waves which propagate with the phase velocity v = c/n of the respective medium. at time t. or the fuzzy edges of shadows. Then the superposition of the remaining elementary waves leads to diffraction patterns. some region on the surface of its wavefront. The superposition (interference) of all elementary waves of equal radius originating from the surface S ﬁxes the position of the wavefront in the future and thus describes the propagation of the primary wave. corresponding in size and shape to the projected area of the obstacle. which are spherical waves of very large radius. a time t = r/c later it will be again on a spherical surface but of radius r0 + r . does not create secondary waves.7. n 1 and n 2 . If there is an obstacle in the way of the primary wave. if the wavefront is. It also depends on direction. Light no longer travels only on straight lines but can bend around corners.Very large particles 107 S’ S r0 Q dσ r Figure 3. It also explains the laws of refraction and reﬂection in geometrical optics.7. being greatest radially away from Q and zero towards the rear. For instance. To derive them from Huygens’ principle. Interesting examples are the intensity distribution of light behind a straight wire or a slit. each surface element dσ is the source of an elementary (or secondary) spherical wave. Applied to plane waves. one just has to assume that all surface elements on the plane separating two media of different optical constants. . The strength of the elementary waves is proportional to the amplitude of the primary ﬁeld and to the area dσ . forming a wavefront.

one can use the familiar formalism of electrostatics to solve it. As formula (3.2.5. u = ei(k·x−ωt ) .1 Kirchhoff’s strict formulation of Huygens’ principle Kirchhoff put Huygens’ principle in a mathematically rigorous form. as a solution to (3. Spherical waves where u depends only on the distance r = x 2 + y 2 + z 2 so that 1 d2 (r u) + k2 u = 0 r dr 2 are another type of solution. r . He was able to determine the electromagnetic ﬁeld u at any point P inside a region G when u is known on the surface S of the region G (see ﬁgure 3. We have already discussed plane waves. To determine u at a point P inside a bounded region G when u is given on its surface S. which is encountered in electrostatics and where φ is the electric potential.14)). (3. we use Green’s identity (see (A. To evaluate the ﬁeld u at point P inside a region G when u is known on its surface S. the time factor e−iωt is again included.64) u + k2 u = 0.65) u= r Equation (3. φ = 0.64) in section 1.65) describes an outward-going spherical wave.8).108 Very small and very big particles S r P S’ Figure 3. one ﬁnds ei(kr−ωt ) .8. 3.64) is akin to the Laplace equation.3. The ﬁeld u must obey the wave equation: (3. (u v − v u) d V = G S u ∂u ∂v −v ∂n ∂n dσ where the function v is deﬁned as v= eikr . By introducing the auxiliary function v = r u.

Because in G. there is a singularity because r = 0. To carry out the integration. this remaining region is called G. one eventually arrives at an equation that incorporates Huygens’ principle. a distance R from the point source Q. the volume integral vanishes and only the surface integral is left. The volume integral in Green’s identity is then taken only over the remaining region without the small sphere. 2. At P. as had been asserted before (ﬁgure 3.9. u + k2 u = 0 and v + k2 v = 0. 4πu p = − S u eikr ∂u ∂ eikr − ∂n r r ∂n dσ. The radius r counts the distance from the point P where we want to evaluate the ﬁeld u. the wave equation is fulﬁlled for u and v.9. . i.4 Fresnel zones and a check on Huygens’ principle To convince ourselves that (3. Z 2 . To circumvent it.66) is indeed a strict form of Huygens’ principle. . At P. .Very large particles 109 S n r Q r0 Z3 Z2 Z1 P R Figure 3. . of course. up = eikR R . one constructs Fresnel zones Z 1 . .66). A point source Q isotropically emits light. .5. Z 3 . one cuts out from G a small sphere around P of surface S . The ﬁeld u in P at a distance R = Q P is calculated from Huygens’ principle in the form (3. j = 1. Letting the radius of the small sphere around P go to zero.66) 3. .7). respectively. They are the intersection of S with shells around P of inner and outer radius R − r0 + ( j − 1)λ/2 and R − r0 + j λ/2. .e. we show. The new conﬁguration is depicted in ﬁgure 3. 3. the ﬁeld is. (3. that the ﬁeld from a point source emitting spherical waves can be considered to result from interference of secondary spherical waves. The surface integral in Green’s identity now extends over S and S . It is assumed that u is known on the spherical surface S around Q with radius r0 .

110 Very small and very big particles We claim to obtain the same result from superposition of all secondary waves emitted from the spherical surface S. These are segments on S lying between constant radii r and r + λ/2. So we calculate u p from (3. The area of a segment is dσ = 2πrr0 dr. like the ﬁrst. S eikr [1 + cos(n. is intersected by the straight line through P and Q. uj = R The ﬁrst zone alone. r)]. It is not difﬁcult to work out the sum u j over all Fresnel zones. if all others were covered by some dark material. One really obtains eikR /R. Because eikr ∂ eikr = ∂n r r ik − 1 cos(n. r) + (i k − r0 ) dσ. rr0 (3. r We evaluate this integral as a sum and. r) r where r is the radius vector from P to S and r = |r|.66) supposing that we know the ﬁeld and its normal derivative on S. The region G surrounding P. comprises now all space outside the sphere of radius r0 . we only have to consider the surface S. r)] dσ. On the surface S. . and this strengthens our conﬁdence in Huygen’s principle. The surface normal n of a given segment forms an approximately constant angle cos(n. for this purpose. we get 4πu p = − S eik(r+r0 ) −1 (i k − r −1 ) cos(n. in the limits R − r0 + j λ/2 and R − r0 + ( j − 1)λ/2. over whose surface one has to integrate.67) If the distances are much greater than the wavelength (r. The ﬁrst two zones together produce almost nothing but darkness. at ﬁxed [1 + cos(n. r) with the radius vector r. u = u0 = eikr0 r0 ⇒ ∂u ∂n =− 0 eikr0 r0 ik − 1 r0 . The last zone is the one on the far side of the sphere which. R The contribution u j of the j th zone Z j to the ﬁeld at P follows from a simple integration over r . r) . r0 4πu p = −i k eikr0 r0 k−1 = λ/2π). eikR (−1) j +1 1 + cos(n. divide the surface S into so called Fresnel zones. yields u1 = 2eikR .66) of the surface which is at inﬁnity may be neglected. The contribution to the integral (3. R The contributions from the following zones alternate in sign.

5 The reciprocity theorem As very big particles block practically all light that falls onto them. The distances r and r0 are also almost constant and may therefore stand before the integral.68) gives the ﬁeld of an electromagnetic wave that has passed through an oriﬁce. and θ is the angle between Q P and the normal of the plane. We compute it from superposition of secondary waves from the oriﬁce S.67) under the assumption k−1 by r. This is the reciprocity theorem of diffraction theory. geometrical optics is valid and the hole deﬂects light only by small angles.68) λ rr0 S 1 Here cos θ 2 [cos(n.68) with respect to r and r0 implies that when a source at Q produces a ﬁeld u p at P. however. r0 i cos θ up = − eik(r+r0 ) dσ.Very large particles 111 P r S r0 θ Q Figure 3. the same source brought to the point P produces the same ﬁeld at Q. eik(r+r0 ) varies of course over the hole because it is many wavelengths across. The symmetry of formula (3. r0 )].5. (3. Therefore we approximate equation (3.6 Diffraction by a circular hole or a sphere Equation (3.10). 3. interesting phenomena occur only through diffraction at their edges. To ﬁrst order. Light falls from Q though an oriﬁce S and is observed at P. r) − cos(n.10. We now apply it to a circular hole of radius a and remember from the .5. 3. Suppose we have a source Q behind an opaque plane with an oriﬁce S of arbitrary shape and we want to determine the intensity u p at a point P in front of the plane (see ﬁgure 3.

0) Q = (0. The x-axis is perpendicular to the page of the book. it follows that r0 R0 + s 2 /2R0 and r of order s 2 or higher.11. The hole is in the (x. C and P lie roughly on a straight line so that cos θ (see ﬁgure 3. The coordinates of the points marked in ﬁgure 3. y. yp . z p ) C = (0. subsection on Babinet’s theorem that a spherical obstacle will produce the same diffraction pattern. y)-plane of the Cartesian coordinate system with origin C. Neglecting terms yp . y. ϕ. r R P Q R0 y P C z Figure 3. 0). The conﬁguration is shown in ﬁgure 3. respectively. 0. The source Q is behind a circular hole (dash-dot line) and illuminates the point P on a screen. r is the distance between P and an arbitrary surface element dσ located at A. R0 ) and that Q. which implies s r + r0 R + (s 2 − 2yyp)/2R. it is advantageous to use cylindrical coordinates (s. z) to the source Q and the observing point P.11 are A = (x. z).10) is close to one and may be omitted. It is assumed that the hole is small (s R. R0 and R are the distances from the center C of the Cartesian coordinate system (x. r0 is the distance between Q and dσ . R R + R0 − . −R0 ) P = (0. As we have to integrate over the hole. 0.112 Very small and very big particles y A r0 s . one obtains yp s cos ϕ. where s2 = x 2 + y2 Because 2 2 r 0 = R0 + s 2 2 r 2 = x 2 + (yp − y)2 + z p 2 2 R 2 = yp + z p x = s sin ϕ y = s cos ϕ.11.

69) The Bessel function J1 (x) is tabulated in mathematical encyclopediae. They have practically all the same length but different directions. for a grain with 1 mm diameter.24) yield for the double integral a 2π 0 ds s J0 (kαs) = 2πa 2 4π 2 a 4 · 2 λ2r 2r0 J1 (akα) akα 2 and thus |u p |2 = J1 (akα) akα . the diffraction pattern gets smaller and.68) becomes.21). relative to the wave emitted from S. in the end.12. yp − y the wave from T has. in the visual bound. a phase lag δ= 2π (y p − y)2 . we derive the intensity pattern on a screen behind a half-plane (wall). λ 2R Note that the phase lag δ increases quadratically with (y p −y).5. (3. Because we assume R. as much energy as falls onto the hole from the source emerges on the other side. At P.7 Diffraction behind a half-plane As a ﬁnal example. J1 (x) → 1 x. eik(r+r0 ) dσ = eik(R+R0 ) S 0 a 2π 113 ds s 0 dϕ e−ikαs cos ϕ .70) For example. To determine the ﬁeld at P. at x = 1. 2 The intensity |u p |2 drops to half its maximum value at α = 0 at a deﬂection angle αhalf 1. To evaluate the double integral. opposite to S. one has to sum up all elementary waves from the plane in which the wall lies. The formulae (A. But as the hole becomes bigger. Therefore. this approximation has an error of roughly 10%. although the ﬂux passing through the hole increases only with a 2 . the integral in (3. one uses complex integer Bessel functions Jn (z) deﬁned in (A.617 λ . For small x. αhalf is about 1 arcmin. the path T P is approximately equal to R +(y p − y)2 /2R. 2πa (3. It may seem puzzling that the intensity of the light which one observes at P and which is equal to |u p |2 rises with the fourth power of the hole radius a. We have introduced the deﬂection angle α = yp /R. The situation is depicted in ﬁgure 3. 3. the ﬁeld vectors E j of all elementary waves have to be added up. energy is conserved. This leads to the so called cornu-spiral .22)–(A. This problem affords a nice graphical solution.Very large particles Because dσ = s · ds dϕ.

A blurred rim appears near P2 . always a maximum intensity . which is far up on the screen. the hole was assumed to be much bigger than the wavelength so that sections of its rim can be approximated by a straight line. the large arrow in ﬁgure 3. At point P3 .13 would end in the middle of the spiral at the fat point. is blocked by a wall and observed at various points on a screen. and the second consists of all E j from points below S. thus the curvature of the spiral increases too.13 by a large arrow. up to inﬁnity. If we observe at position P2 . The asymptotic points of the spiral are A and B. a position below the edge of the wall.13 by a small arrow. But exactly behind a sphere at large distances there is. it ends in the lower half of the spiral.114 Very small and very big particles screen P 3 light S y T P y p R P 2 P 1 wall Figure 3. The sum of all ﬁeld vectors E j at the point P has two parts: • • the ﬁrst includes all E j of elementary waves emitted from points above S. Light comes in from the left. If one connects any two neighboring dots in ﬁgure 3. from (3. of ﬁgure 3. Obviously.12. down to the edge of the wall. opposite to the edge of the wall. Observing at P1 .5). It starts at A and ends at the dot which corresponds to the elementary wave from the rim of the wall.13. The following vector E j +1 is rotated by an angle that increases as one approaches the asymptotic points. is represented in ﬁgure 3.14 also gives roughly the variation of light at the ‘blurred rim’ around the bright spot mentioned in the discussion of Babinet’s theorem (see the top of ﬁgure 3. Figure 3. the arrow goes from A almost to B.69). which is the resulting ﬁeld at P. the intensity at P2 is four times smaller than at P3 . this arrow corresponds to a particular vector E j . Their sum.

The cornu-spiral. The separation between the ﬁrst two maxima in ﬁgure 3.13.14 is 1.25. the intensity oscillates and approaches unity.12. .13.12.Very large particles 115 Figure 3.42 in √ units λR/π . At exactly P2 (y p = 0). because the waves from the circular rim are all in phase on the center line and interfere there constructively. Here is an astronomical application of this result which can. The normalized intensity around position P2 in ﬁgure 3. see text. On the bright side of the screen. Figure 3. The squared length of the plotted vector gives the intensity at a point somewhere above P2 in ﬁgure 3. it falls smoothly to zero which is geometrically clear from ﬁgure 3. the intensity equals 0.14. On the dark side.

It is this effect which. Otherwise it may be of arbitrary shape and size. it may.42) and (3. its intensity will oscillate as shown in ﬁgure 3. the absorption cross section C abs of the total grain is also given by formula (3.116 Very small and very big particles and has been.5. for large bodies. The analytical computation of the scattering cross section or the phase function is. complicated. If it occults a quasar. therefore. each of them absorbs and scatters many tiny subvolumes vi with independently of the others. Of course. even for simple grain geometries (see examples in [Hul57]). be big compared to the wavelength.8 Particles of small refractive index A grain that fulﬁls the conditions that • its optical constant is close to unity.71) and that it is more or less transparent. however. tends to reduce C sca (λ) with respect to (3. (3. For example. 3 To ﬁnd the scattering cross section or the scattered intensity in a certain direction.43).43). the second intensity maximum follows the ﬁrst after 5. d |m − 1| λ 1. which we derived in the Rayleigh limit.14.2 on the optical theorem. the absorption efﬁciency of a Rayleigh–Gans sphere for any x is Q abs = 8x Im{m − 1}. The silvery moon on its heavenly orbit (R = 384 000 km) moves relative to the stars with an angular velocity of 0. If we imagine the total grain volume V to be divided into vi = V . the electromagnetic ﬁeld is only weakly deformed and practically the same as in the incoming wave. one cannot simply sum the contributions of the subvolumes because there is a phase difference between them which leads to interference.2 s.72) is called a Rayleigh–Gans particle. everything can be extracted from the full Mie theory but not in analytical form. if the subvolumes are ellipsoids. Consequently. k 0 (3. If the quasar is observed at the radio wavelength λ = 11 cm and if it is much smaller than 1 arcsec and crosses the rim of the moon at a right angle.54 arcsec s−1 . 3. Therefore. which happens to lie on its path. their absorption and scattering cross sections are given by (3. |m − 1| • 1 or n 1. The formalism for how waves originating from different points (subvolumes) are added up is basically the same as that discussed in section 2.42). Inside such a particle. observationally checked. .

Very large particles 117 Here are some results for spheres: If x is the size parameter and γ = 0. .5. so |ε − 1| 1. |m − 1| 1. say 10 A. therefore. The scattered intensity I (θ ) is proportional to I (θ ) ∝ G 2 (2x sin 1 θ )(1 + cos2 θ ) 2 with G(u) = 9π 2u 3 1/2 J3/2 (u) where J3/2 (u) is a half-integer Bessel function.577 215 66. non-transparent spheres which always have Q sca ∼ 1. we obtain the Rayleigh limit Q sca = 32 27 |m − 1|2 x 4 and for x 1. The value of the dielectric permeability in this range may be estimated from the high-frequency approximation (1. 3. very transparent and even satisfy condition (3. The latter is much smaller than for large. At a wavelength of. we expect ε1 to be close to one and ε2 to be small.72): 2πa |m − 1| λ 1. likewise for the optical constant. which gives ε1 = 1 − 2 ωp ω2 1 ε2 = 2 ωp γ ω3 1 where ωp is the plasma frequency and γ a damping (not Euler’s) constant. Q sca = |m − 1|2 ϕ(x) with ϕ(x) = 7 5 sin 4x + 2x 2 − − (1 − cos 4x) 2 4x 16x 2 ∞ cos u 1 du . + − 2 γ + log 4x + u 2x 2 4x For x 1. interstellar dust particles are always big because x = 2πa/λ 1. Euler’s constant.9 X-ray scattering We now apply the results obtained for particles of small refractive index to X˚ rays. we get Q sca = 2|m − 1|2 x 2 .79). As the frequency ω is large. The grains are.

there is forward scattering ˚ over an angle such that θ x ∼ 2. . 2 When one numerically evaluates the function G 2 (u). observe towards strong X-ray sources located behind a dust cloud an X-ray halo of this size. The intensity towards it follows from the fact that the total scattered X-ray ﬂux is smeared out over the halo.118 Very small and very big particles For big spheres. For grains of 1000 A radius. Therefore. the angular dependence of the scattered intensity is given by I (θ ) ∝ G 2 (u) with u = 2x sin 1 θ. this corresponds to θ ∼ 10 arcmin. reaches zero at about 4. like a bell-curve. Consequently. one ﬁnds that it has its maximum at u = 0.5 and then stays very small. therefore. One can. drops monotonically. scattering is very much in the forward direction deﬁned by θ = 0.

119 .Chapter 4 Case studies of Mie calculus We have collected the tools to calculate how an electromagnetic wave interacts with a spherical grain. 1 Astronomers sometimes call a non-dissipative medium. too. Figure 4.1 demonstrates two features valid for any particle: • When a particle is small.e. Q ext → 0 for x → 0. With the help of a small computer.e. 4. and so forth.1. zero. But even the extinction efﬁciency. phase function. Let us apply them. The imaginary part k of the optical constant m = n + i k is. a dielectric. the ﬁgures also offer the possibility of checking his computer program against the one used in this text. In this chapter. where the imaginary part is not zero. which is the cross section over projected area. we may envisage the wavelength λ to be ﬁxed so that x is proportional to grain radius a. we consider the scattering efﬁciency of a non-dissipative sphere. i. So a dielectric may well have a truly complex m. one with a purely real optical constant. To better interpret the dependence of Q sca on x.1 Efﬁciencies of bare spheres 4. one that does not absorb the incident light. the formulae presented so far allow us to derive numbers for the cross sections.1 Pure scattering As a ﬁrst illustration. we understand a dielectric to be the opposite of a metal. we naturally expect the cross section C to be small. To the student who wishes to perform similar calculations. goes to zero. we present examples to deepen our understanding. the absorption coefﬁcient vanishes1 and Q sca = Q ext . scattering matrix. therefore. The efﬁciency depends only on m and on the size parameter x = 2πa/λ. i. However.

. The left box shows the range 0 ≤ x ≤ 20. Because in any real material.1. the right the range 0. m = 1. • 4. m depends on wavelength. its maximum value is 4.120 Case studies of Mie calculus Figure 4. The extinction efﬁciency can be quite large. The minima in between stay more or less all around two.50). The top frame is identical to the left box of ﬁgure 4.5. the extinction efﬁciency approaches two (see the right-hand frame of ﬁgure 4.5. the broad crests of the waves to maxima in the sum an + bn .51) and is due to interference in the scattered wave (see(2. The ripples correspond to small denominators in an .46)). in our particular example this occurs at x 4.1 and displays a medium with m = 1. it is followed by gradually declining maxima around x = 11. .002 ≤ x −1 ≤ 0. Now . when the grain is very large. the optical constant is complex.1.2 A weak absorber Figure 4. The phenomenon of ripples and waves can be traced to the behavior of the coefﬁcients an .1. There are two interesting aspects pertaining to a pure scatterer or weak absorber: • Q ext displays an overall undulating character with broad waves on which semi-regular ripples are superimposed. bn of (2. this value is appropriate for glass in the visible part of the spectrum. bn . The extinction efﬁciency Q ext as a function of size parameter x and its inverse x −1 for an optical constant m = 1.05 corresponding to 20 ≤ x ≤ 500. Q ext → 2 for x −1 → 0. (2.2 exempliﬁes the effects of adding impurities to the material. • In accordance with Babinet’s theorem. The ﬁrst maximum of Q ext is achieved roughly at 8(n − 1). whereas we have kept it ﬁxed in the ﬁgure. . In the middle. . it is best to envisage λ as constant. 17.1).4 times (!) bigger than the projected surface of the particle.5 + i 0. Then the abscissa of the left frame is proportional to the grain radius.02. In ﬁgure 4.

An optical constant m = 1. For example. the others are weakly absorbing. scattering (dots) and extinction (full line) for three different substances: one is not dissipative. as can be seen by comparing the two bottom panels where k changes from 0.05.05i may be appropriate for astronomical silicate around λ = 6 µm.02 to 0. the ripples and the waves are irrelevant. The efﬁciencies for absorption (dashes). .2.Efﬁciencies of bare spheres 121 Figure 4. Impurities effectively suppress the ripples and they also lead to a decline in the amplitudes of the waves. the particle not only scatters the light but also absorbs it.5 + 0. For interstellar grains. The damping is sensitive to k.

1. 4. Because of the strong absorption. This implies strong absorption.3 A strong absorber In ﬁgure 4. . When x → 0: • • Q abs and x are proportional. interstellar dust displays a range of sizes. scattering and extinction. in this particular example.4) as Q sca ∝ x 4 • so Q sca falls off more steeply than Q abs (see logarithmic plot of ﬁgure 4.3).3.5 of the previous two plots but choose for the imaginary part of the optical constant k = 0.5 + 0. We discern. The efﬁciencies change now very smoothly and there are no signs of ripples or waves left. the observation is not monochromatic but comprises a certain bandwidth λ. Absorption dominates over scattering.3 we retain the value of n = 1.5.5). Q abs increases quickly with x at x < 1. as predicted by (3. The scattering efﬁciency changes after (3. Q abs Q sca .5i. the general features of small-sized grains. The optical constant m(λ) will change somewhat over this bandwidth and. The efﬁciency for absorption. so the peaks produced by particles of a certain diameter are compensated by minima of slightly smaller or bigger ones. more importantly. when we measure the intensity of a star behind a dust cloud.122 Case studies of Mie calculus Figure 4. as well as the asymmetry factor g for a strongly absorbing material with m = 1.

which happens here when x > 0.63).7 + i 1. 4.117)). The presentation is different from the preceding ﬁgures as we choose for the abscissa the grain radius a.3 plots only the range up to a size parameter of ﬁve but the behavior for larger x is smooth and can be qualitatively extrapolated.9. so g is not far from one. 4.5.137. backward scattering dominates (g < 0).Efﬁciencies of bare spheres • 123 The asymmetry factor g of (2.918. Surprisingly. 2 When the sphere has a size comparable or smaller than the wavelength. The other half is scattered at the particle’s rim entirely in the forward direction. But as x grows. For small values of |mx|. compiled in table 4. are independent of the choice of m or λ. and it has a large absorption efﬁciency and. only the concept of a blackbody is reserved to sizes much larger than the wavelength.6). . a metal has (at low frequencies) a purely imaginary dielectric permeability so that n k goes to inﬁnity (see (1. Unity is the value of Q abs of a blackbody and may thus appear to be an upper limit for any object.0 which applies to amorphous carbon at a wavelength λ = 2. The combination of both effects gives g = 1 . vanishes. we compare efﬁciencies. cross sections and volume coefﬁcients using an optical constant m = 2. close to the Babinet limit of two. Although isotropic scattering implies g = 0.4 A metal sphere • • • • Ideally. When the sphere is big.863 and Q ref = 0.1. whereas the absorption stays at some low level. the absorption efﬁciency can exceed unity.2 µm. the metallic sphere also obeys the relation Q abs Q sca . Figure 4. which describes the mean direction of the scattered light. therefore. therefore. which alone would produce g = 1. as always. the scattering increases and soon takes over. as deﬁned in equation (3. a very large particle (x 1) • • scatters mostly in the forward direction. very reﬂective and Q abs tends to zero. • • Figure 4. Q ext is. The logarithmic plots reveal the limiting behavior of small and large particles. a small reﬂectance Q ref = 1 − Q abs . half is scattered isotropically and it alone would yield an asymmetry factor g = 0. the wavelength is kept constant at 2. The asymptotic values for x → ∞ are: g = 0.5 Efﬁciency versus cross section and volume coefﬁcient In ﬁgure 4.5.2µm. Nevertheless.1. In this particular example of m = 1. A metallic sphere is.4 illustrates these items in case of large but not extreme metallicity (m = 20 + i 20).5 + i 0.1. the calculations are correct. of all the light removed. the reverse is not true. These features. Q abs = 0. When the sphere is big. and not the size parameter x.

5. Symbol Efﬁciency Cross section per grain Mass or volume coefﬁcient Q C K Large radii a λ Q abs = constant Q sca = constant C abs ∝ a 2 C sca ∝ a 2 K abs ∝ a −1 K sca ∝ a −1 Small radii a λ Q abs ∝ a Q abs ∝ a 4 C abs ∝ a 3 C sca ∝ a 6 K abs = constant K sca ∝ a 3 4.1 Spheres of small radii • • • The efﬁciencies depend on wavelength as given by (3. one may assume the Rayleigh limit to be valid at all wavelengths greater than 10 µm. of a spherical grain.19). Scattering is.3) and (3. a. Table 4. irrespective of the size distribution of the particles.4. If m is constant. abs The mass absorption coefﬁcient K λ is proportional to the grain volume V .3 but now for a metal for which n and k are large and equal.1.1.124 Case studies of Mie calculus Figure 4. cross section and mass or volume coefﬁcient on the radius. Note that g becomes negative. therefore.4). . The asymptotic dependence of efﬁciciency. As interstellar dust has typical sizes of 0. Same as ﬁgure 4. Q abs ∝ λ−1 and Q sca ∝ λ−4 . The situation applies approximately to amorphous carbon at millimeter wavelengths (see ﬁgure 7.1 µm. negligible relative to absorption.

and the bottom one the volume coefﬁcient K referring to 1 cm3 of grain volume. Although the scattering process is identical in all subvolumes of a grain. . wavelength λ = 2.7 + i1. • sca The mass scattering coefﬁcient K λ follows V 2 .Efﬁciencies of bare spheres 125 Figure 4.0. The optical constant m = 2.5. the middle one the cross section per grain C = πa 2 Q. The top frame gives the absorption and scattering efﬁciency Q.2 µm. the net effect is not linear but proportional to the square of the grain volume because of interference of the scattered waves.

C. The dependence of absorption on λ is less steep than for scattering but qualitatively similar (Q abs ∝ λ−1 ) and also results in reddening. More relevant for the reddening towards the horizon is the removal of blue light through absorption by tiny solid particles. the observed ﬂux is directly proportional to the total dust volume. Sun and planets. When on a summer day the solar heating induces convection and a parcel of air rises we see the parcel only at the moment the water condenses. These may arise from industrial exhausts. K . However. The reason that they become visible when they cluster into droplets is the following: The mass scattering coefﬁcient K sca is.19)). During the phase transition from gas to liquid. We can also explain why we see the water in the air only when it has liqueﬁed into clouds. although the H2 O molecules were there before.1. 4. increase without bounds proportional to the projected area of the grain. The mass or volume coefﬁcients. according to table 4.6 The atmosphere of the Earth The atmosphere of the Earth presents another instructive example. The scattered light is polarized and maximum polarization occurs 90◦ away from the Sun (see (3. Q. as otherwise interference would cancel out the intensity except in the forward direction. V grows by a factor of ∼ 1010. the transmitted light becomes redder. As preferentially blue light is removed in scattering. except for the stars. or at night time 90◦ away from the moon. We can now understand why the daylight sky is blue. If there were no atmosphere. The size of the water droplets is then still . proportional to the volume V of a single scatterer (one H2 O molecule or one water droplet). Provided the infrared photons are not trapped in the cloud. But this does not explain the occasional romantic sunsets. the tiny air molecules scatter the sunlight towards us. a condition that is usually fulﬁlled.1)). decrease inversely proportional to the radius. reach a ﬁnite value with Q ext = Q abs + Q sca = 2. Because Q sca ∝ λ−4 and λblue < λred . Bλ (Tdust ) is the Planck function at the dust temperature (see (8. the sky is painted blue. and not as vapor. An additional requirement is that the air molecules are randomly moving.2 Spheres of large radii The efﬁciencies.1. This seems puzzling because upon condensation the water molecules do not drastically change their properties as radiating oscillators. it would appear black.5. The cross sections per grain. a sand storm or a volcano eruption. 4.126 • Case studies of Mie calculus The emission coefﬁcient λ abs = K λ Bλ (Tdust) also depends linearly on the grain volume.1.

Diagrams of the intensity distribution of scattered light for three sizes for parameter x and two optical constants m. In the right frame where m = 10 + i 10.63) and visualized in ﬁgure 4. The curve labeled x = 0. Light enters from the left and the grain is at the position (0. The change in m relative to the non-dissipative sphere shown on the .6.2 Scattering by bare spheres 4. scattering becomes very forward and for a grain diameter just equal to the wavelength (x 3). the left frame refers to a non-dissipative sphere with m = 1. although g = 0. smaller than the wavelength of visible light so that the dipoles in the droplet swing in phase.6. When x ≥ 1. Note that the scattering is not isotropic.2. 0).5. In these examples. It is symmetric relative to the scattering angle of 90◦ (vertical line in the ﬁgure) and therefore has equal maxima in the forward (θ = 0) and backward (θ = 180◦) directions. we are dealing with a reﬂective material.1 The scattering diagram The pattern of how the intensity of scattered light changes with angle is described by the phase function of (2. The pattern is sensitive to the size parameter x = 2πa/λ. 4.2. almost all light goes into a forward cone.01 represents a dipole pattern which is characteristic for a particle small compared with the wavelength irrespective of the choice of the optical constant m. All contours are mirror-symmetric with respect to the horizontal arrows. Each diagram is normalized in such a way that the intensity equals one in the forward direction (θ = 0).Scattering by bare spheres 127 Figure 4. see also table 4. its value in any other direction is given by the distance between the frame center and the contour line.

The behavior of p(θ ) at intermediate sizes (x = 3) is more complicated in both materials.04 × 10−5 0.128 Case studies of Mie calculus Table 4.6. the polarization p(θ ) is no longer symmetric and attains a maximum value of only 78%.20 0.5 1.08 Asymmetry factor g 1.5 × 10−9 0. For weak absorbers.15 3.2 The polarization of scattered light For the same optical constants and size parameters as previously.2.7 and 4.111 0.53 4. ﬁgures 4.73 1.5 1. x = 2πa/λ 0.42 2. The polarization changes sign and there are several maxima and minima of varying height.451 Q back 3. Tiny metallic particles (x = 0. although curious tiny rear lobes appear. However.01 up to 1. although the details are sensitive to size. shape and optical constant of the particle.01 1 3 0. the observed values • • .2.31 × 10−9 2. Here the matrix element S12 switches sign (see (2. Scattering efﬁciency.01.05 2.8) have the same pattern as tiny dielectrics but at x = 1. p vanishes at three intermediate angles.01.11). dashes in ﬁgure 4.8 depict the degree of linear polarization p of light scattered by a sphere (see (2. at x = 1.42 left does not affect the curve x = 0. p(θ ) hardly changes as x grows from 0.01 1 3 m 1. 01. In our examples. The scattering plane is deﬁned by the unit vectors in the direction from where the light is coming and where it is going. • The polarization curve p(θ ) of tiny and weakly absorbing spheres (x = 0.19 0. we now have preferential backscatter and the asymmetry factor is negative (g = −0. The polarization is 100% at a scattering angle of 90◦ .5 10 + i10 10 + i10 10 + i10 Q sca 2.75)) and the direction of polarization with respect to the scattering plane changes from perpendicular to parallel or back.98 × 10−5 0.77)). whereas in the left-hand panel. When one measures the linear polarization of scattered light at various locations around the exciting star of a reﬂection nebula. There is also not much difference for x = 3. at the intermediate value x = 1.67 × 10−8 2. They display the basic features. k 1. the scattering is mainly forward. ﬁgure 4. asymmetry factor and back scatter for spheres whose scattering diagram is displayed in ﬁgure 4. m = 10 + i 10.7) is symmetric around 90◦ and has the shape of a bell.0 × 10−8 3. 4.31 0.

The dotted line depicts a very large sphere (x = 1000) with some slight contamination (m = 1.5 + i0. the polarization vector ﬂips. At the points where p = 0. The degree of linear polarization p of scattered light as a function of scattering angle for various size parameters x and an optical constant m = 1.003).5. . the polarization at certain scattering angles goes through zero and becomes negative. Figure 4.8.7.Scattering by bare spheres 129 Figure 4. The degree of linear polarization p of scattered light as a function of scattering angle for various size parameters x and an optical constant m = 10 + i10. For intermediate sizes (x = 3).

When looking directly towards IRS4. An impressive example of a very regular polarization pattern is presented by the bipolar nebula S106 (ﬁgure 4. the angle of deﬂection is close to 0◦ or 180◦ . p(θ ) has more structure. IRS4 is an infrared source and its radiation is reﬂected by the dust particles that surround it. There is 100% polarization in a slightly forward direction (θ 65◦ ). This is a well-known star-forming region. However. For metals of this size. • • are always an average along the line of sight. There is plenty of visual obscuration towards IRS4 (∼20 mag) but in the near infrared one begins to penetrate most of the foreground and outer disk material.2 µm) a polarization pattern of wonderful circular symmetry (adapted from [Asp90]). S12 < 0 and the polarization vector is perpendicular to the radial vector pointing towards the star. as the ﬁgure suggests. At optical wavelengths.130 Case studies of Mie calculus Figure 4. We are viewing the disk from the side. Polarization is always zero in the forward and backward directions (θ = 0 or 180◦). Reproduced from [Asp90] with permission of Blackwell Science. Very big dielectric spheres (x 1000) again show a simple pattern with no sign reversals. it can happen. one observes light from two nebulous lobes separated by a dark lane that is interpreted as a disk inside which sits the central and exciting source named IRS4. The infrared source IRS4 (at ﬁgure center) in the bipolar nebula S106 illuminates its vicinity. that the radial and polarization vectors are parallel. Some light is scattered by dust particles producing in the K -band (2.9). If the particles are small.9. although it is an unfamiliar scenario to astronomers.

roughly S11 ∝ (a/λ)6 . Some of the radiation is scattered under an angle cos θ towards the observer who is at a distance D. therefore. The size of the largest grains.3 µm).19.10. φ) by the element S11 of equation (2.63).2. The 10 µm feature of silicates is discernible.2) as otherwise multiple scattering would lead to depolarization. which is illuminated by a ﬂux F0λ from a nearby star.10 for a scattering angle θ = 90◦ . 10−5 and 3 × 10−5 cm (i.1) for right angle scattering (cos θ = 0). the matrix element S11 (cos θ ) is very sensitive to both grain size and wavelength. 16π 3 ρd D 2 a 3 (4. Fλ = F0λ λ2 3 · S11 (cos θ ). where we replace Ä(θ. scattering occurs at right angles and the light becomes strongly polarized.3 The intensity of scattered light in a reﬂection nebula To evaluate the intensity of scattered light.1). In the infrared where a λ. a = 0. Optical constants from ﬁgure 7. The term (λ2 /a 3 )S11 (cos θ) in equation (4. and the ensuing degree of linear polarization is small. Note that S106 must be optically thin to scattering in the K -band (see table 7. It is computed as a function of wavelength for silicate and carbon grains with radii a = 3 × 10−6 . 0.1.03. determines the intensity of the scattered infrared light.5 g cm−3 .1) The expression (λ2 /a 3 )S11 (cos θ ) is delineated in ﬁgure 4.Scattering by bare spheres 131 Figure 4. 4. we consider 1 g of dust in interstellar space. The ﬂux Fλ that he receives is found from formula (2. Of . But at positions a few arcseconds off. consisting of Nd = 3/4πa 3 ρd identical spherical grains of radius a and density ρd = 2. 0.e.

03i .0 × 1026 g in a column with a cross section of 1 arcsec2 . An extinction of 0. We calculate this quantity at a projected distance from the star of r = 0.132 Case studies of Mie calculus course.1 mag.7 + i . Let the particles have radii a = 10−5 cm.1 pc is F0.2.1 mag corresponds after (7.7 + i and m = 1.V = 9.10 to answer the question: What is the approximate V -band surface brightness of scattered light in a reﬂection nebula? The nebula is D = 1 kpc away and excited by a main sequence star of spectral type B1 with L = 104 L and T∗ = 2 × 104 K.1 pc assuming that the extinction along the line of sight through the nebula equals AV = 0. So the total grain radius is atot = acore + d.33 + 0. Elongated grains.11 shows the absorption efﬁciency Q abs as a function of size parameter x for homogeneous particles with optical constants m = 2. Then we read off from ﬁgure 4. As an exercise. we neglect that the distance of the scattering dust to the star changes along the line of sight. with a gas-to-dust mass ratio of 150 and accounting for 10% of helium. only of mantle material (m = 1. we apply ﬁgure 4. scatter more efﬁciently than spheres of the same volume. a dust mass of 7. In the ultraviolet. isotropic scattering at infrared wavelengths is not a bad assumption.80 × 10−15 erg s−1 cm−2 . Such particles may be approximated by two concentric spheres.03i ).23) to a hydrogen column density NH = 2 × 1020 cm−2 . For spheres. we ﬁnd a surface brightness in the nebula at V of 18. The four curves represent . its visual ﬂux at a distance r = 0. for r = 1.10 at a wavelength of 0. atot For r = 0. The relevance of calculating coated particles stems from the observational fact that grains in cold clouds acquire ice mantles. If the star is approximated by a blackbody.5 mag arcsec−2 .55 µm for right angle scattering 8 × 105 . This gives. With the factor wλ = 3640 to convert Jy into that (λ2 /a 3 ) × S11 magnitudes from table 7. For a rough estimate. The left box in ﬁgure 4. the grain consists only of core matter with m = 2. There is a refractory core of radius acore and optical constant m core surrounded by a volatile shell of thickness d and optical constant m shell. In the right box.10 may only be used if θ is not too far from 90◦ .3 Coated spheres The mathematical formalism of Mie theory presented in section 2.3 can readily be extended to coated spheres. even of arbitrary orientation. the dependence of S11 (cos θ ) on the scattering angle is complicated and the curves in ﬁgure 4. 4. we plot Q abs for coated spheres as a function of acore r= . the shape of the particle also plays some role.33 + 0. Only the appearance of two more boundary conditions at the interface between the two dust materials is new.

As the extinction efﬁciency is in the Rayleigh limit after (3. However.1 Small graphite spheres When grains display. these values are also indicated by dotted lines in the left frame. Because ε = m 2 . The phenomenon bears the name surface mode.11. we expect a large value for Q ext at a wavelength where ε+2 0. The optical constant m = 2.Surface modes in small grains 133 Figure 4. the extinction cross section may be large without an accompanying feature in the bulk matter. 4. .0. this happens when the real part n of the optical constant is close to zero and k 2 ≈ 2.5 and 8.4.2 µm and m = 1. The right ﬁgure demonstrates how the absorption efﬁciency of a coated grain changes when the core grows at the expense of the mantle while the outer radius atot is ﬁxed. in the case of grains which are small compared with the wavelength. size parameters x = 2πatot/λ of the total sphere between 0.4 Surface modes in small grains 4. Dotted vertical lines for reference to right box. The right frame shows the absorption efﬁciency of a coated sphere. x denotes the size parameter of the total grain.7+i is representative of amorphous carbon at λ = 2.33 + 0. The left frame gives the absorption efﬁciency as a function of size parameter for homogeneous spheres.3) proportional to ε2 /|ε + 2|2 . the reason is generally a resonance in the grain material. at some wavelength.03i is applicable to dirty ice at the same wavelength. For easy comparison. an extinction peak.

In astronomical observations of the extinction curve.9) and (3.13 illustrates the interplay between ε and Q ext in a surface mode for a dielectric consisting of identical harmonic oscillators. the particles must have diameters ˚ of 100 A or less.2 Ellipsoids From comparison of the electric polarizability for spherical and ellipsoidal particles (see (3.12 shows ε⊥ = ε1 + i ε2 and the resulting extinction efﬁciency for spheres of different sizes. Graphite is optically anisotropic and the effect appears when the electric vector of the incoming wave lies in the basal plane of the stacked carbon sheets. The variation of ε is. 4. however.05). For the Rayleigh approximation to be valid. similar to ﬁgure 1. Small effect of the surface mode. 4.12. which is absent ˚ in the bulk material because particles with a radius greater than 1000 A do not show it.4. only the resonance is here sharper (γ = 0.4. The graphite surface mode is invoked to explain the strong feature around ˚ 2200 A in the interstellar extinction curve (ﬁgure 7. The dependence of K ext on λ−1 is qualitatively similar to that of Q ext but the ˚ discrimination against size is more difﬁcult and not possible below 100 A. We wish to make two points: . There is no further shift for still smaller particles. Q ˚ ˚ particles (a ≤ 300 A) clearly display a resonance around 2200 A. The upper left box of ﬁgure 4. there is no wavelength where the condition of small ε+2 is approximately fulﬁlled ˚ (see ﬁgure 7.or z-axis.2. The wavelength ˚ interval stretches from 1670 to 3330 A or from 6 to 3 µm−1 . amorphous carbon and silicate.134 Case studies of Mie calculus For the major components of interstellar dust.0. it follows that the condition ε + 2 0. The form of the particle therefore inﬂuences. only at a higher frequency. the dielectric constant is then denoted by ε⊥ . We see that a surface mode cannot happen far from a resonance in the bulk material and if it does. But the position of the resonance contains further information on grain size. the relevant quantities are.39)). They are shown in the upper right frame of ﬁgure 4. via the shape factor L x . To underline the ext is normalized to one at λ−1 = 3 µm−1 . not the extinction efﬁciencies Q ext but the extinction coefﬁcients per cm3 of dust volume.0.8). The left-hand side of ﬁgure 4.3 Metals versus dielectrics Figure 4.19) but graphite around 2200 A is a candidate.12 illustrates how the peak in Q ext drifts towards smaller wavelengths (greater λ−1 ) with decreasing radius a. of course. must for ellipsoids be replaced by 1 + L x (ε − 1) 0 or similar expressions for the y. it moves ˚ ˚ from 2280 to 2060 A as the radius shrinks from 300 to 30 A. K ext . necessary for the appearance of a surface mode in spheres. the strength of the surface mode as well as its center wavelength.

surprisingly.1).123). appears at ω = ωp / 3 (see ﬁgure 4. i. As γ is usually much smaller than ωp . a. The efﬁciencies are normalized to one at 3 µm−1 . Not every dielectric material displays a surface mode but for metallic grains the phenomenon is inevitable when damping is weak.14). not small. in the 2200 A wavelength region when the electric vector lies in the basal plane. Nevertheless. The increase for small sizes is due to a surface mode and not to an intrinsic quality of the bulk material. the denominator in (3. not normalized. Although the grain is in the Rayleigh limit (|mx| ≤ 0. The lower left frame gives the dielectric constant ε = ε1 + ε2 . a surface mode. the extinction efﬁciency is around one and. the upper right frame the volume coefﬁcients.12. With the dielectric permeability for metals given in equation (1. and the lower right frame the optical constant m = n + ik. a strong √ enhancement of Q abs . The upper left frame gives the extinction efﬁciency for graphite spheres of ˚ various radii. • • There is a clear offset between the peaks in ε2 and Q ext .3) vanishes when 2 3(ω2 + γ 2 ) − 1 ω2 + γ 2 = 0. Q → 0 for |mx| → 0 is always correct.Surface modes in small grains 135 Figure 4. .e. Here the frequency ω and the damping constant γ are in units of the plasma frequency ωp .

2 for a damping constant γ = 0. When the grains are large. as in ﬁgure 1.1 Dielectric sphere consisting of identical harmonic oscillators The functional form of the dielectric permeability ε of an harmonic oscillator with resonance at frequency ω0 is given by equation (1. one can discern some correspondence between Q ext and the imaginary part ε2 .2ω0 and a plasma frequency ωp = ω0 . Q ext is magniﬁed by a factor of 10. For better visibility.136 Case studies of Mie calculus Figure 4. 4. The dielectric permeability ε of the grain material in the ﬁgure is that of an harmonic oscillator (see (1.2). the absorption efﬁcieny Q ext can be calculated from the Rayleigh limit (3.3).05.05 at the frequency ω0 . ω0 = 1 and γ = 0.5. We plotted ε in ﬁgure 1. For small spheres. When the grain is much smaller than . The grain radius a is determined by the condition that the size parameter equals x = ωa/c = 0.2ω0 .3) has its minimum. The peak in the absorption efﬁciency is due to a surface mode. where the denominator |ε + 2| in (3. The dotted curve of |ε +2|2 is not always within the box. Figure 4.77)).77). because Q ext attains its maximum.5 Efﬁciencies of idealized dielectrics and metals 4. When the resonance frequency ω0 and the damping constant γ are measured in units of the plasma frequency.15 shows the extinction efﬁciency Q ext when there is a broad resonance in the bulk material (γ = 0. It is instructive to compute in Mie theory the efﬁciencies of a particle with such an idealized dielectric constant to see how the complex ε translates into Q abs or Q ext . Q ext is basically constant over the resonance and does not seem to depend on ε at all. At intermediate sizes.13.

whereas here ε becomes smaller and smaller as the frequency rises. However. as already discussed in ﬁgure 4. the wavelength. Figure 4. For example. silicate grains of a size much exceeding 10 µm will not display the famous 10 µm feature.3. One may wonder why Q ext falls and does not approach two when the particle is much bigger than the wavelength. size parameter x = ωp a/c = 2πa/λ = 0.13 but for a metal with a dielectric permeability ε from the Drude proﬁle (1.16 shows the same Q ext as in ﬁgure 4. Another way to swamp a resonance is by high optical depth. As ﬁgure 4. The curve in ﬁgure 4.14. Scattering is then negligible and one would expect Q abs to mimic ε2 rather closely. The latter states that Q ext → 2 for a/λ → ∞ if the dielectric permeability is kept constant.15 but over a wider frequency range and on a logarithmic scale. the corresponding signature in the emission or absorption of the grain gets lost if the particle is very large. all charges move synchronously in the electromagnetic ﬁeld. However. this is not so. there is no conﬂict with Babinet’s theorem. When we insert the low-frequency limit of the dielectric permeability ε of an harmonic oscillator after (1. this will be discussed in section 8.123): γ = 0.Efﬁciencies of idealized dielectrics and metals 137 Figure 4.16 labeled big grains (radius a = 10c/ω0) demonstrates that when there is a resonance in the bulk material at some frequency ω0 .05ωp .05.78) into the Rayleigh approximation (3.3) for the .13.

15.146).2 and ω0 /ωp = 1.05 at ω0 ). the case a = c/ω0 represents medium-sized grains (x = 1 at ω0 ) and a = 0. This is the reason why one often assumes that optically thin dust emission follows a modiﬁed Planck curve ν 2 Bν (T ) in the long wavelength limit. we get Q abs = 48cπ 2 4 ω0 2 ωp γ 3+ 2 ωp 2 ω0 2 a . The absorption efﬁciency Q abs is now temperature-dependent and varies with 1/T . this line is enhanced for better visibility by a factor of 5.5. When a = 10c/ω0 . where ω0 is the resonance frequency.2) The behavior at long wavelengths far away from the resonance is. Q abs ∝ ν 2 for ν → 0.77). Q ext is plotted for three grain radii.1c/ω0 small ones (x = 0.. absorption efﬁciency. the particle is big (size parameter x = 10 at frequency ω0 ).138 Case studies of Mie calculus Figure 4. . a. The full curves represent ε = ε1 + iε2 . λ2 (4.2 Dielectric sphere with Debye relaxation The dielectric permeability for Debye relaxation is given by formula (1. Broken lines represent the extinction efﬁciency of spheres with the dielectric constant ε of a harmonic oscillator given in equation (1. 4. therefore. here with γ /ω0 = 0.

2 we learnt that a piece of metal in an electromagnetic wave becomes such an oscillating magnetic dipole because circular currents are induced in its interior which are surrounded by a magnetic dipole ﬁeld.15 but now on a logarithmic plot and over a broader frequency range. Q abs = 48cπ 2 so again Q abs ∝ ν 2 . 2 αtrel a (3 + α)2 λ2 with α = 4π N p2 3kT (4.5. For small ω. We also evaluated . The efﬁciencies of ﬁgure 4.Efﬁciencies of idealized dielectrics and metals 139 Figure 4. it corresponds.16.57) the average rate W at which a small grain of volume V and polarizability αm oscillating at frequency ω in a time-variable magnetic ﬁeld of amplitude H0 dissipates energy: 2 W = 1 V ω Im{αm }H0 . The inverse of the relaxation time trel is a characteristic frequency denoted −1 by ωrel = trel . in some sense. 4. to the resonance frequency of an harmonic oscillator. The efﬁciency Q depends on ω/ωrel and on the grain radius in a way that is qualitatively similar to what is plotted in ﬁgure 4.3 Magnetic and electric dipole absorption of small metal spheres We derived in equation (1.3) In section 3.15.

17. For example. We thus have all the tools to calculate the cross section due to magnetic dipole absorption. We then calculate the total absorption efﬁciency Q tot correctly from formula (2. we assess the importance of magnetic dipole absorption for pure metal spheres by comparing the corresponding efﬁciency Q mag with the total Q tot . The dissipation rate of the latter is given by (1. There is also magnetic dipole scattering but it is much weaker in the Rayleigh limit and we neglect it here. λ = 62.115)) ε=i 4πσ ω where σ is the direct-current conductivity of (1. In ﬁgure 4. The ratio of magnetic dipole absorption over total absorption for metallic spheres with dielectric permeability ε = i4πσ/ω as a function of the conductivity σ . Barring quadrupole terms. in section 3.120).17. an expression formally identical to (1. But the metal sphere in the electromagnetic wave is also a variable electric dipole because its mobile electrons are shifted about by the electric ﬁeld.55) of Mie theory. Therefore.8 µm for a = 10−5 cm. We assume that ε has no dielectric contribution and put (see (1.57). The size . given the particle radius a. the wavelength follows from x. we have Q tot = Q mag + Q el .55). which also contains electric dipole absorption.140 Case studies of Mie calculus Figure 4.2 the magnetic polarizability αm of small metal spheres analytically. The size parameter x = 10−2 is small and kept constant.

although the particle itself is small. Q mag does not depend on radius and is proportional to the wavelength (see (3. At low conductivities. magnetic dipole absorption increases with the conductivity and it can be the dominant absorption process. being a metal. however. as deﬁned in equation (3.17 for a dielectric. An equivalent formula for the Rayleigh limit of the electric dipole absorption efﬁciency Q el is not valid everywhere in ﬁgure 4.Efﬁciencies of idealized dielectrics and metals 141 parameter in ﬁgure 4. • At long wavelengths.17 still increase. Q el = • 6 48π 2 cγ a Re{a1 } = 2 x2 ωp λ2 (4. the penetration depth of the magnetic ﬁeld.1ωp ). • • A large size favours magnetic dipole dissipation. where the curves in ﬁgure 4. Therefore we can write 32π 2 a Q mag = (4. for ε. is large compared with the grain size and (see (3. 4. Obviously. We consider in ﬁgure 4.18.23). The damping constant is the only free parameter (here γ = 0. The optical constants n and k are then large and roughly equal.17 the Q’s for three radii in the likely range of interstellar grains. we use. x = 2πa/λ = 10−2 . the relevant quantity |mx| is not necessarily so.6) . It applies to the low frequency limit where ε i 4πσ/ω and σ is the direct current conductivity. the penetration depth is small.17.21). the Drude proﬁle from (1.3)). As m = n + i k is constant in ﬁgure 4. 15γ c λ2 x2 (4. the implied frequencies ω lie between 3 × 1012 and 3 × 1014 s−1 . In ﬁgure 4. the plotted values of Q refer to a ﬁxed frequency.5) and for the magnetic dipole absorption Q mag = 2 8π 2 ωp a 3 6 Re{b1 } = . At high conductivities. we get for the electric dipole absorption (see (3.4 Efﬁciencies for Drude proﬁles We have already computed the efﬁciency Q of a metal-like sphere in ﬁgure 4.123) and keep the grain diameter constant. 3 λ the magnetic polarizability αm is taken from (3.4.17 is small and kept ﬁxed. We now plot Q as a function of frequency (in units of ωp ) in the same manner as in ﬁgure 4. Because the size parameter is constant. where the curves are ﬂat.4. and in the size parameter x only the grain radius changes.4) Im{αm }.26)) Q mag ∝ a 3 /λ2 • δ a (for small σ ).28)): Q mag ∝ λ−1/2 δ a (for large σ ).5.

The left panel shows the extinction and absorption efﬁciency of a metal sphere whose dielectric permeability ε follows a Drude proﬁle with a ratio of damping constant over plasma frequency γ /ωp = 0. their dependence on radius is different: Q mag ∝ a 3 . When the direction .19 the calculations of Q mag and Q el for a metal sphere with damping constant and plasma frequency like graphite but without a dielectric contribution.5 Elongated metallic particles The absorption by inﬁnitely long cylinders.19 that in graphitic particles magnetic dipole absorption dominates at wavelengths greater than 100 µm. The dotted line gives the scattering efﬁciency for a = c/ωp . We learn from ﬁgure 4. therefore. depends on the polarization of the wave.18. They are plotted here on a logarithmic ordinate to demonstrate their low. repeat in ﬁgure 4.1. magnetic dipole absorption is important in the far infrared around 100 µm. which are an extreme version of elongated particles and are treated in section 10. Q el ∝ a Figure 4. • Both decline at low frequencies like ν 2 . An example is plotted in ﬁgure 4.1. 4. as indicated.20 for idealized graphite material (see previous subsection) and a cylinder radius a = 10−5 cm.1 µm.142 Case studies of Mie calculus Figure 4. note that Q sca Q ext holds only at low frequencies (ω/ωp 1). We. a. The right panel shows the extinction efﬁciencies for three particle radii.5. The permeability ε(ω) is computed from the Drude proﬁle and the particle size (a = 0.1 µm) is small enough for the Rayleigh limit to be valid for both Q mag and Q el .and high-frequency behavior. however. for the same ε.17 suggests that for graphite grains (σ = 7 × 1015 s−1 ) of sizes ∼0. The grain radius equals a = c/ωp .

the steep λ−2 -decline sets in only when λ is much larger than the big . of the electric vector is perpendicular to the cylinder axis.40). ωp = 6. e approaches one and the shape factor L x goes to zero. To understand this behavior. the corresponding efﬁciency Q ⊥ is similar to that of a sphere of the same radius. At very low frequencies.123). The permeability ε is from (1. we consider a spheroid with an eccentricity e close to unity so that it resembles an inﬁnitely long cylinder. and their efﬁciency is. But if the cigars are very elongated. as displayed in ﬁgure 3. Q is due to electric dipole absorption and can be computed from equation (3. For L x = 0 and ω → 0. The behavior of Q .Efﬁciencies of idealized dielectrics and metals 143 Figure 4. The magnetic and electric dipole absorption efﬁciency of a metal sphere of radius a = 10−5 cm that has the damping constant and plasma frequency of graphite in the basal plane (γ = 5 × 1012 s−1 . we indeed ﬁnd that Q abs is constant: Q abs = 16πσ a 3c where a is the short major axis. As we keep stretching the cigar. in the long-wavelength limit. In the long wavelength limit. when the electric vector is parallel to the cylinder axis. All real cigars are ﬁnite. is radically different.7 × 1014 s−1 ). at least for ω < ωp . The efﬁciency does not fall with wavelength but levels off at some high value.19.2. Q ⊥ is due to magnetic dipole absorption and proportional to a 3 . proportional to aλ−2 .

The cylinder with Q abs = 16πσ a/3c absorbs per unit length from an electromagnetic wave with Poynting vector S = (c/8π)E 2 the power W = (4/3)a 2σ E 2 . The absorption efﬁciency of an inﬁnitely long cylinder under normal incidence. For comparison. The cylinder is purely metallic with damping constant and plasma frequency like graphite (γ = 5 × 1012 s−1 .e.144 Case studies of Mie calculus Figure 4.123). The permeability ε is from (1. at extremely long wavelengths. A constant ﬁeld E in the cylinder. outside the observable range. however.8 µm).20. major axis of the cigar. leads to a current and the ohmic losses per unit length are πa 2 σ E 2 . ωp = 6. So the inﬁnite cylinder is similar to a wire in which a current ﬂows. the dotted curve presents Q abs for a sphere composed of the same metal and with the same radius. .7 × 1014 s−1 corresponding to a wavelength λp = 2. i.

. The statistical weight gives the fractional size of a cell. . which ranges from zero to some maximum E max . by the following sequence: a1 a2 .1. for example atoms. Each cell has a size E i which determines its statistical weight gi = E i /E max . . a N−Nn +1 . 5. . If the atoms are labeled from a1 to an .1 Boltzmann statistics For a large number of atoms in thermodynamic equilibrium. so gi = 1 i Let each level E i be populated by Ni atoms. . We outline the derivation of this fundamental statistical relation and append a few loosely connected items. 5. can be distributed and then ﬁnd among them the most likely distribution. . we divide the energy space. a N1 +N2 . their distribution in energy space is just a function of temperature and described by the Boltzmann equation. They concern the statistical distribution of atoms and photons. a Nn . .1 The probability of an arbitrary energy distribution We ﬁrst compute the number of ways in which the energy of N identical particles. for example. a N1 a N1 +1 . into n ordered cells with mean energy E i so that E1 < E2 < · · · < En . To this end. basic thermodynamic relations and the radiation of blackbodies.Chapter 5 Particle statistics This chapter presents purely physical topics selected for our study of the interstellar medium. . this particular conﬁguration is represented. N1 N2 Nn 145 .

When all cells are of the same size. To handle them. of course.3) ln N! N ln N − N + ln 2π N + N The accuracy of this formula is quite remarkable (see the error estimate ϑN ). According to elementary probability theory. .2) n ln ω N ln N + i=1 Ni ln gi . .2) is at the heart of classical statistics. Because N ln N is constant. this sum is (g1 + g2 + · · · + gn ) N . Retaining only the ﬁrst term. their faculties are much larger still. the probability that the ﬁrst N1 atoms fall into cell E 1 . ω= (5. we are looking for an extremum of the function n f (N1 . N2 . Summing the probabilities ω of all possible distributions gives the total probability. is called the thermodynamic probability and is a very large number. which equals one.2 The distribution of maximum probability As the numbers Ni in the expression for the probability ω are large. as it should.1) ways. this yields for (5. N! N N N · g 1 · g2 2 · . (5. The probability ω for the particular conﬁguration of the N atoms is. Ni In the equilibrium distribution achieved by nature. · gn n . . When the N atoms are arbitrarily distributed over the available cells. . Here it is assumed that the particles are distinguishable. the following N2 atoms into cell E 2 . ω is. smaller than one. . Nn ! 1 Equation (5. therefore. . . · gn n . . . .1. Then gi = 1/n for all i and the probability ω in equation (5. and so forth equals N N N g1 1 · g2 2 · .2) becomes ω= N! nN Ni ! . one uses Stirling’s formula: √ ϑN (0 ≤ ϑ N ≤ 1).2) N1 !N2 ! . 5. But there are many others ways in which the same energy distribution can be realized. the probability has the maximum possible value. In view of the binomial theorem. . each cell has the same chance that a particular atom will fall into it.146 Particle statistics The Ni under the horizontal brackets give the number of atoms in the energy bins E i . Ni . . Nn ) = i=1 Ni · ln gi . a conﬁguration where N particles are grouped as shown here can be achieved in = N! N1 !N2 ! . Nn ! (5.

• The mean particle energy E i is related to the total energy E of all particles through E = N · Ei therefore ψ = N Ei − i=1 n Ni E i = 0. (5. can be found using the method of Lagrangian multiplicators. in (5. we get the equation for the differentials d f + α dφ + β dψ = 0 leading to d Ni ln gi − 1 + α − β Ei Ni = 0.Boltzmann statistics There are two additional and obvious requirements: • The total number of particles N should be constant and equal to n 147 Ni .1). all brackets must vanish. (5.3 Partition function and population of energy cells We have found Ni /N but we still have to determine β. (5. In this sum.4) The maximum of f .5) 5. When we deﬁne. Ni = gi eα−1 e−β Ei .5) yield ln = − Ni =− Ni ln gi − β E i − ln Z N = β E + N ln Z − Ni ln gi . φ= i=1 Ni − N = 0. Exploiting Ni = N eliminates α and gives the fractional population Ni = N j gi e−β Ei g j e−β E j . Ni ln .3) and (5. So for every i .5). Z= j g j e−β E j equations (5. subject to the conditions expressed by the auxiliary functions φ and ψ. If we denote them by α and β.1.

Ni = N gi e−Ei / kT gi e−Ei / kT = Z g j e−E j / kT (5. practically. (5. The entropy S of the system equals the Boltzmann constant multiplied by the logarithm of the thermodynamic probability of (5. important deviations from the mean never occur. S = k ln . kT (5. which depends only on temperature.51)). ∂S ∂ ln 1 = =k T ∂E V ∂E it follows that ∂β 1 = kβ + k E − kN · T ∂E gi E i e−β Ei ∂β . dS = d E + P dV . and the differential of the entropy is (see (5. · ∂E g j e−β E j The last two terms on the right-hand side cancel and thus β= 1 .1). The fractional abundance of atoms with energy E i is. Ni gi (5.148 Particle statistics We now plug in some thermodynamics from section 5. Because at constant volume V .3. T This allows us to express the multiplicator β in terms of the temperature.6) The expression Z introduced above now becomes Z (T ) = j g j e−E j / kT .8) and the abundance ratio of two levels i and j . therefore. .7) This is called the partition function. Nj g j −(E j −Ei )/kT = e .9) Although the population numbers are statistical averages. they are extremely precise and.

(5. 1. the statistical weight gi denotes then the degeneracy of the level. .1. The energy levels are nondegenerate (gi = 1) and equidistant. ω The last sum is an inﬁnite series where each term is a factor e−β than the preceding one. . Z (T ) = 1 − e−β ω 1 smaller (5.25)).36)). equations (5. . For atoms with internal energy levels E i . 2. ∞ Z (T ) = i=0 e−β Ei = e− 2 β 1 ω ∞ i=0 e−iβ ω . At low temperatures ( ω kT ). We substitute in this . 2 5. the average E is close to the zero point energy. We compute the partition function of a system of N quantized identical harmonic oscillators in equilibrium at temperature T . If Ni oscillators have an energy E i .1. 1 ∂Z ∂ ln Z e−β Ei =− =− .4 The mean energy of harmonic oscillators 149 With some reinterpretation.7)–(5. E = kT.Boltzmann statistics 5.5 The Maxwellian velocity distribution The probability that an arbitrary gas atom has a velocity in a certain range follows as a corollary from the equilibrium energy distribution (5. E = ( 1 + e− ω/ kT ) ω. Z Z ∂β ∂β Because ln Z = − 1 β ω − ln(1 − e−β 2 E = it follows that ω ω/ kT 1 ω+ 2 e −1 .26) and (5. we get the classical result that the sum of At high temperatures ( ω potential plus kinetic energy of an oscillator equals kT .8). e− 2 β ω . the average is E = Ni E i = N Ei Ni = N Ei ω ). therefore. (see 2 (6.11) kT ). With β −1 = kT .9) are also valid in quantum mechanics (more general forms are given by (5.10) We can also easily compute the mean oscillator energy E . E i = (i + 1 ) ω for i = 0.

we take g = 4π p2 d p. the number of atoms with velocities in the interval [vx .1) which states that if there are N gas atoms altogether. vp = • 2kT .14) by integrating from −∞ to ∞.12) In the ratio Ni /N of (5. All directions of motion are equally likely and the square of the length of the momentum vector is 2 p 2 = p 2 + p 2 + pz . (5. There are three kinds of averages of the absolute velocity v.8). N(vx ) dvx = N m 2πkT 1/2 e−mvx /2kT dvx . except for a normalizing constant. follows from (5. When we replace the sum in the partition function Z (T ) of (5. we exploit the integrals (A. we obtain the momentum distribution. x y For the size of an energy cell.27)–(A.13)) because near zero velocity. • The most probable velocity. 2 (5. p2 /2m. therefore.15) The mean velocity v is relevant for calculating collision rates. . πm (5. In any arbitrary direction x. N(vx ) includes all particles with any velocity in the y.150 Particle statistics formula for E i the kinetic energy of an atom. the sum over all g need not be one.or z-direction. by the 2 Boltzmann factor e−mvx /2kT . Changing from momenta p = mv to velocities gives the familiar Maxwellian velocity distribution (ﬁgure 5. is the one at the maximum of the curve N(v). for the statistical weight. m (5. vp . i. v = 8kT . the number of those whose absolute velocities are in the range v . v + dv equals N(v) dv = N4πv 2 with 0 ∞ m 2πkT 3/2 e−mv 2 /2kT dv (5. To compute them..13) N(v) dv = N. The total number of atoms.e.14) N(vx ) is symmetric about vx = 0 and has its maximum there (contrary to N(v) in (5. vx + dvx ] is given. .7) by an integral. it is the relative not the absolute value of the statistical weight g that matters.29) in appendix A associated with the bell-curve.16) . N.

18) 5. The Maxwellian velocity distribution for hydrogen atoms at 100 K.1). If V is the volume and p the momentum. we form cells of size d = V · 4π p2 d p .1 The unit cell h3 of the phase space In deriving the energy distribution for an ensemble of particles after Boltzmann.1. one divides the phase space. • The mean energy of the atoms is given by the average of v 2 such that 1 3 2 2 m v = 2 kT or 3kT . vp < v < v2 . The vertical dotted lines show from left to right the means vp . (5.17) v2 = m The averages are ordered (see also ﬁgure 5. which consists of coordinates and momenta. (5.13) with respect to one atom (N = 1). we divided the energy or momentum space into arbitrarily small cells. v and v 2 according to (5. The ordinate gives the probability density N(v) after (5.15)–(5.2. The real coordinate space was not considered. into cells.Quantum statistics 151 Figure 5.17). In quantum statistics.2 Quantum statistics 5.

To determine the state of a particle with non-zero spin. otherwise they would be destroyed by interference. the wavefunction ψi and the energy E i . . traveling at the speed of light. So after they have been swapped.2 Bosons and fermions Particles are described by their position in phase space. According to the uncertainty principle.12)). Because of the wave character. .19). Note that classically the number of possible (physically different) states is unlimited. therefore. .31) of that section and ﬁnd that the possible number of eigenfrequencies within the momentum interval p to p + d p in a box of volume V is V · 4π p 2 d p .19) h3 The eigenfrequencies are the only allowed states in which a particle can exist and correspond to standing waves. Therefore. The wavelength of a particle is related to its momentum (after de Broglie) by p = h/λ. particles are represented by their wavefunctions. which we treat in section 8.4. Let particle i have the coordinate x i . nothing changes physically. The same is true for 2 photons (spin 1) which. position q and momentum p of a particle can only be determined to an accuracy p and q such that p· q ² . .2. exploit equation (8. Any two particles of the same kind. It states how many unit cells. Their identity then implies that | |2 stays the same when any two of the particles are interchanged. The total energy of the system is then n E= i=1 Ei .31)) is called the statistical weight (see also (5. We may. In quantum mechanics. each of size h 3 . the spin direction. g= 5. two photons or two electrons. all of one kind and not interacting. for example. the particles are indistinguishable. then one speaks of a symmetric wavefunction. (5. x 2 . either itself is not altered.152 Particle statistics where 4π p2d p is the volume of a shell in momentum space with radius p and thickness d p. ﬁt into the phase space element d . . x n ) denote the wavefunction of a system of n particles. This relation results from the wave character possessed by all particles. the number of quantum states of an electron (spin 1 ) is twice the value given in (5. which would correspond to a unit cell of size zero. The quantity g (named d Z in (8. are otherwise identical. then the wavefunction is called anti-symmetric. This means that when we swap their positions in phase space. or is transferred into − . besides place and momentum. particles in a box of volume V can only have discrete momenta. one needs. also have two (not three) spin directions. The situation is formally almost identical to standing waves in a crystal. not just photons. Let (x 1 .

Here P is an operator that performs a permutation of the coordinates x 1 . x ) = x 2 x are g(x 2 . .21) • ˆ and no other. is symmetric and yields the correct energy E. x 2 .22) vanishes.. . are not subject to Pauli’s exclusion principle. Bosons. x 1 ) = x 1 2 1 2 1 2 1 2 different. .. · ψn (x n ) and the next. x n ) = det . . if the wavefunction is symmetric. . Each such product is a wavefunction that gives the same total energy E but fails to fulﬁl the symmetry condition. (5. if it is anti-symmetric. . This has the fundamental consequence. So f (x 1 . the particles are called bosons. like electrons.. ψ1 (x n ) ψ2 (x n ) .Quantum statistics 153 Because the particles are non-interacting. x ) and h(x . 2 what counts is the sequence in which they appear. . . the wavefunction of the whole system can be factorized into the N wavefunctions ψi of the individual particles. . however. ψn (x n ) As indicated by the subscripts on . . like photons. . ψn (x 2 ) . x 2 . . write (x 1 . . while particles with integer spin. x 2 . . . All coefﬁcients before the products ψ1 ψ1 . . . known as Pauli’s exclusion principle. x n ) as a sum of such terms but with interchanged arguments. • It can readily be checked that the linear combination Bose (x 1 .. · ψn (x n ) and so forth.22) Fermi (x 1 . . . i. · ψn (x n ) (5. this corresponds to swapping particles..e. .. fermions. ψn equal one (we neglect normalization). . . When two rows or columns of the matrix (5. We. . . . ψ1 (x 2 )ψ2 (x 1 ) · . therefore. . . . the ﬁrst term of the sum is ψ1 (x 1 )ψ2 (x 2 ) · .. they are linearly dependent and the determinant in (5.22) are equal. Note that in a multi-dimensional function it does not matter by which symbols the arguments are presented. the sum extends over all N! possible permutations. . that two fermions cannot have the same wavefunction. they cannot occupy the same quantum state or unit cell. For example. It is an experimental fact and is also claimed theoretically that particles with half-integer spin. the only anti-symmetric wavefunction of the whole system is the linear combination formed by the determinant ψ1 (x 1 ) ψ2 (x 1 ) .. . x n ) (5. . x 2 . . . ψn (x 1 ) ψ1 (x 2 ) ψ2 (x 2 ) . Likewise.20) = P ˆ Pψ1 (x 1 )ψ2 (x 2 ) · . where particles 1 and 2 have been exchanged. ψi = ψ j . x 2 ) = x 1 x 2 and 2 x are identical functions but f (x . are bosons. . x n . protons or neutrons are fermions.

. . We divide the phase into cells of size d = V 4π pi2 d p.. and so forth. through the three sets of values gi = N1 . Let us label the unit cells within d by Z 1 . . . Z gi and the atoms by a1 . .. . We ask in how many ways can one distribute its Ni particles over its gi unit cells (quantum states). a5 are in Z 3 . . Z 2 . . say cell i of size d . when considering the total phase space. All such sequences of symbols Z l and ak .23) h3 h3 unit cells. . . .3. the atoms a1 . g2 .154 Particle statistics 5. . . one particular distribution is given.2. i. cell Z 2 is empty.24) pi2 2m The probability of ﬁnding this particular distribution is proportional to the number of ways W in which it can be realized. Each cell contains Ni particles of energy Ei = and comprises V 4π pi2 d p d = (5. . . a2 .1 Counting states Let us assume N identical particles of mass m in a box of volume V and with a total energy E. If we write behind each unit cell the atoms which it contains. . energy E i and statistical weight gi (size). for instance. A particular distribution of the system is completely determined by specifying for each cell d its population Ni . Therefore the total number of mathematically different sequences is gi (gi + Ni − 1)!. (5. .. .2. . . like the one here. E1. In boson statistics. In this sequence. E2 . there is no limit as to how many atoms can be squeezed into one unit cell. Therefore. Ei . . a Ni . Ni . because we always ﬁrst specify the cell and then the atoms it contains. N2 .. As permuting the atoms or unit cells does not result in a new quantum state of the subsystem d . . . gi .3 Bose statistics 5. Its Ni atoms constitute a subsystem. . only (gi + Ni − 1)! gi (gi + Ni − 1)! = Ni !gi ! Ni !(gi − 1)! of the sequences are physically different.. the atoms a4 . First. we consider only one cell.25) = Ni !(gi − 1)! i .e. by the sequence Z 1 a1 a2 a3 Z 2 Z 3 a4 a5 Z 4 a6 Z 5 a7 .. there are (gi + Ni − 1)! (5. g1 . start with some Z . a2 . a3 are in Z 1 .

populated by dn particles. one calls 1 dn = α+β E (5. is found in the same manner as the maximum of the probability ω in (5. which yields e−α = h3 N V (2πmkT )3/2 (5. kT p2 d p = N V. in the last formula.1. we get dn = g dp V 4π p2 = α+β E . so e−α lies between zero and one. write dn instead of Ni (dn is the number of particles in the phase space element V 4π p2 d p). and insert (5.24) can be achieved.2) for Boltzmann statistics.Quantum statistics 155 ways in which the conﬁguration of (5.6)) Æ β= 1 .26) As the g unit cells are. this leads to ln gi + Ni = α + β Ei .23) for the statistical weight. i.27) = g e −1 the occupation number.3.3). Following the procedure outlined in section 5. ln = i (gi + Ni − 1) ln(gi + Ni − 1) − (gi − 1) ln(gi − 1) − Ni ln Ni and exploits the conditions for the conservation of energy and number of particles. we drop the subscript i . Ni 5. The maximum of . the α is related to the chemical potential µ by α = −µ/kT .28) becomes p2 e−α e−E/ kT . which is what nature chooses. We still have to determine the coefﬁcients α and β. We only mention that 1. One forms the logarithm using the ﬁrst two terms of the Stirling formula (5.2.2 The occupation number in Bose statistics When. Using the same thermodynamic arguments as for Boltzmann statistics gives (see (5. as otherwise the denominator under the integral might vanish. When eα+β E integrand in (5. E− i Ni E i = 0 N− i Ni = 0.29) . e −1 h 3 eα+β E − 1 (5. −1 α follows from the requirement that the number of particles is conserved. which is the number of particles per unit cell. according to this formula.e.28) The coefﬁcient α is always positive. from dn = 4π V h3 eα+β E (5.

in which photons are created and destroyed. n phot. (5.30) The factor 2 accounts for the two possible modes of circular polarization. 1 Æequil = ehν/ kT − 1 .31) describes the distribution of photons in equilibrium at temperature T —the so called blackbody radiation. Although we did not explicitly prescribe the total number of photons within a unit volume. may be ﬁlled by an arbitrary number of atoms.2. Because there . (2πmkT )3/2 5. The occupation number of photons in equilibrium is. also has a value when the photons are out of equilibrium and no temperature is deﬁned. however.4 Bose statistics for photons For photons. the statistical weight is g=2 V 4πν 2 dν . the average is ﬁxed and follows from integrating u ν / hν over frequency. there is no such constraint as N− i Ni = 0 the parameter α in (5.156 Particle statistics and one recovers the Maxwell distribution (5.27).17) for an evaluation of the integral).32) The occupation number equals dn/g and. n phot = 0 ∞ uν dν = 8π hν kT hc 3 0 ∞ ex x2 dx −1 (see (A. c3 ehν/ kT − 1 (5. their number is not conserved. from (5. c3 (5. which have a momentum p = hν/c.26) is zero and dn = g ehν/ kT − 1 = V 8πν 2 dν . therefore. dn = N 4π p 2 d p 2 e− p /2mkT .13).31) Formula (5. As radiative equilibrium is established through emission and absorption processes. Consequently. A unit volume of gas in thermodynamic equilibrium. uν = ν3 8πh . c3 ehν/ kT − 1 The radiative energy density u ν now follows from u ν dν = hν dn/V .

2. it is now +1. thus in all = i gi ! (gi − Ni )!Ni ! (5. and not −1. so the statistical weight is gi = V · 4π pi2 d p . which have a total energy g hν. 8πhν 3 . Æ Æ Æ Æ 5.34) However. we repeat the steps which we carried out for Bose statistics. obey Pauli’s exclusion principle. (5. dn = g eα+β E + 1 (5. each harbouring Ni electrons.35) different possibilities. Now there can only be one particle per unit cell h 3 with a given spin direction.27)) Æ = dn = eα+β1 + 1 . We will return to blackbody radiation in section 5. We consider a cell d consisting of gi unit cells. A unit cell is either empty or ﬁlled with one electron. (5.36) and for the occupation number (cf. therefore. there may be two particles of opposite spin per unit cell because their quantum states differ. with the same procedure as before. may deﬁne the intensity of radiation. Of course. like electrons.5 Fermi statistics Fermi statistics deals with particles that have an anti-symmetric wavefunction and which. as before β = 1/kT and the parameter α follows from the condition that the total number of particles .26) for the number of particles dn in the phase space element V 4π p2 d p which contains g unit cells.33) uν = c3 Likewise. We again divide the phase space into cells of size d = V 4π p2 d p. The essential difference from Bose statistics is that there are now gi ! (gi − Ni )!Ni ! ways to distribute Ni electrons over the gi unit cells. In counting states. the counterpart to (5.31) from less abstract and less strict arguments. This gives. the occupation number may be used to specify the radiative energy density at a particular frequency.Quantum statistics 157 are dn = g photons in the phase cell d .4 and rediscover the basic equation (5. h3 (5.37) In the denominator. E g (5.

In quantum statistics.25) or after Fermi as in (5. the quantum mechanical probabilities (5.35). Æ class = N! i gi i . particles are distiguishable and the probability is. The very form of (5.2).38) suggests that the Saha equation can be derived from the . all particles are in their lowest (zero momentum) state at T = 0.28)). which is also called the degeneracy parameter. changes When the temperature T goes to zero.r are in their ground state. Suppose that in 1 cm3 there are Ne electrons and Nr particles of species Xr . dn = N V. Denoting the corresponding ion by Xr .2.r+1 Ne =2 e . when the gas is hot and rareﬁed (see (5. (5. N1. of which N1. in Bose statistics.158 Particle statistics comes out correctly (cf.25) and (5.29)). Degeneracy is absent for large positive α.6 Ionization equilibrium and the Saha equation In a hot gas. and χ > 0 is the energy difference between the ground state of ion Xr and Xr+1 . In Fermi statistics. there is not more than one particle (of the same spin) per unit cell. may be positive as well as negative (from −∞ to +∞). As in Bose statistics: α = −µ/kT where 1. particles are indistinguishable and states are counted either after Bose as in (5. the atoms of any element X exist in different stages r of ionization. from (5.r is the statistical weight of the ground state of ionization stage r. The Ns of two neighboring ionization stages are related in thermodynamic equilibrium by the Saha formula (2πm e kT )3/2 g1. the occupation number discontinuously from one for energies below the Fermi limit E F to zero for E > E F (subsection 6.r+1 −χ/ kT N1.2). The quantum mechanical way of counting is the right way and takes into account the fact that the phase space is partitioned into unit cells h 3 . In classical statistics. 5.4. we are in the realm of classical µ is the chemical potential. however.35) approach class when the Planck constant h goes to zero and the gi become very large (gi Ni ). But now α. Ni ! N In accordance with the correspondence principle. and if eα+β E physics. there are ionizing and recombining processes symbolized by Xr ª Xr+1 + e.38) g1.r h3 (5.r g1.

Energies are counted in the following way: for the hydrogen atom in level n. Let N( p) d p be the number density of excited particles (one such particle consists of a proton and an electron) where the electron has momentum in the range [ p.H . g1. protons and neutral hydrogen atoms. At the ionization threshold. the energy is zero. Let us consider • • the atom with the electron bound in level n=1 as the ground state the proton together with a free electron of momentum p as the excited state.39) N1. altogether Np Ne (2πm e kT )3/2 −χ/ kT = e . then according to (5. E n is negative. After (5. (5. p + d p].H/gp = 2. one gets Np gp (2πm e kT )3/2 −χ/ kT =2 e V . and for the proton–free-electron system it is positive and equals p2 /2m e . Because ∞ 0 N( p) d p = Ne = Np .H g1. −E 1 = χ > 0. The energies of the excited states form a continuum because the electrons may have any velocity.9) N( p) d p g( p) χ + p2 /2m e = exp − N1. For simplicity.H are the corresponding numbers for the hydrogen atoms in the ground state. N1. we restrict the discussion to pure hydrogen gas consisting of electrons. Let g( p) be the statistical weight of the excited state. g( p) = gp · ge . we note that the phase space cell of a free electron.H kT . so gn. ge = 2 · 4π p2 d p V / h 3 .H h3 g1. The statistical weight g( p) is the number of quantum states of the proton–free– electron particle and thus the product of the statistical weight of the proton and the electron. The statistical weight of the neutral atom with the electron in level n is equal to the maximum number of electrons in that level. Thus in the ground state. so V = 1/Ne .H h3 . The factor 2 comes from the two electron spin directions.34). where χ is the ionization potential of hydrogen.H = 2n 2 and g1. which always pertains to one proton. If N1.Quantum statistics 159 Boltzmann equation.H To determine the volume V . must contain exactly one electron.

5. . q f and the . In the central region of the Sun (ρ ∼ 102 g cm−3 . More generally.160 Particle statistics When the partition function of the neutral hydrogen atom Z = gi e−Ei / kT is −E 1 / kT .2. The formulae around the speciﬁc heat ﬁnd their application mainly in the theory of magnetic dissipation in section 11. For the computation of the population of energy levels in the smallest grains (see section 12.H is equal to the number NH of all hydrogen atoms and Np Ne (2πm e kT )3/2 −χ/ kT = e . An atom is then closely surrounded by ions and the overlap of their electric ﬁelds disturbs the higher quantum states and lowers the ionization energy. . entropy and number of accessible states. Ne Np (2πm e kT )3/2 (5. then N1. NH h3 We can also immediately calculate the number Nn of atoms in level n under conditions of thermodynamic equilibrium. T ∼ 15 × 106 K). A system of f degrees of freedom is described by the spatial coordinates q1 .3. For hydrogen. The Saha equation goes wrong when the mean distance d between ions becomes comparable to the size 2r of an atom. which is often possible and implies that approximated by its ﬁrst term g1 e almost all atoms reside in the ground state. although LTE (local thermodynamic equilibrium) certainly prevails. their radius is r = a0 n 2 where a0 is the Bohr radius.5). the path of the atoms in phase space contains the full mechanical information. 5.1) we have to recall the deﬁnition of temperature. . instead of energy space one considers the phase space of the system.40) Note that −E n is positive and for high levels very small. Some of the thermodynamic elements presented here are also indispensable in the discussion of phase transition during the formation and evaporation of grains (see section 9.3 Thermodynamics This section summarizes the results of thermal and statistical physics.1 The ergodic hypothesis Boltzmann’s equilibrium population of the energy levels of a system was derived by determining the energetically most likely distribution. although the Saha equation predicts that about half of all atoms are neutral. This happens in stellar interiors where the density is high. . h3n2 Nn = e−En / kT . d is less than the Bohr radius and even the ground state of hydrogen cannot exist. Atoms in high quantum number n are big.

If there are many degrees of freedom (f 1). those with energy in the interval [E. p f (t)). At any instant. . If one divides the phase space into small cells Z of equal size. constant or. independent of time. Each oscillator has on average an energy E/ f . the microstate of the system at a particular moment is determined by the cell in which it is found. Ns = Hence the number of cells. . . f = 3N. • The fundamental (ergodic) postulate asserts that when the system is in equilibrium. all accessible states are equally likely. As a ρ(E) = . we make a rough estimate. The cells may be enumerated. The total energy E is. z) for one particle. It does not make sense to consider cells smaller than because one cannot locate a particle more accurately.Thermodynamics 161 conjugate momenta p1 . the system may be represented by a point in the 2 f dimensional phase space with the coordinates q1 . p1 . so if there are N particles. All cells (states) Z i that correspond to an energy between E and E + δ E are called accessible. . dE (E) = Ns (E + δ E) − Ns (E) We denote by d Ns dE the density of states around energy E. the probability to ﬁnd the system in a certain accessible cell Z r is. It is independent of the width of the chosen energy interval δ E. . .e. As the system evolves in time t. (5. The number of states. it is spread out in one-dimensional phase space over a region x p = E/ f ω where it thus occupies E/ f ω cells of size . Let (E) be the total number of accessible states (cells). . Let the system be isolated so that it cannot exchange energy with its surroundings. E cannot be deﬁned with absolute precision in a ﬁnite time. E + δ E]. therefore. . rather. q f . . . . Usually one needs three coordinates (x. After equation (6. . the function (E) increases extremely rapidly with the total energy E of the system. Let our system consist of identical quantum oscillators. Their energy levels are equally spaced in multiples of ω. y. To see how fast (E) rises. Ns . none has any preference. E f ω f . p f . because in quantum mechanics. each corresponding to one degree of freedom. i.26). . with energies from [E. it is in a narrow range from E to E + δ E. In equilibrium. of the total system whose energy does not exceed E is. .41) (E). it describes a trajectory parametrized by (q1 (t). contrary to (E) which obviously increases with δ E. by deﬁnition. . therefore. . p f . E + δ E] becomes d Ns δ E.

42) ( f − 1)!( ω) f If the total energy E of the system is n times greater than the natural energy unit ω. one will never encounter such a conﬁguration.e. The probability of a particular microstate which actually is encountered and where the atoms are very evenly distributed must. (E) (5. There is no contradiction because there is just one cell corresponding to all atoms being clustered in one corner but a multitude corresponding to a very smooth distribution of atoms over the available box volume. one gets ρ(E) f E f −1 /( f ω) f . is isolated (we do not have an electric icebox). so the joint energy E tot = E + E is constant. the starting point is the number of accessible states with energies from [E. When we evaluate for something from everyday life.43) Of course. Note that ρ and rise with E f −1 . E + δ E]. The absolute temperature T is then deﬁned by ∂ ln ρ 1 1 ∂S = = . 5. This. heat can ﬂow between them but the external parameters (like volume) are ﬁxed. be equally low. where refer to A and A . The number of accessible states of the whole system. The probability that all gas atoms in a box are huddled in the upper left-hand corner and the rest of the box is void is extremely low. is so large that even its logarithm ln is of order f . one ﬁnds E f −1 ρ(E) . it determines the entropy.2 Deﬁnition of entropy and temperature In statistical physics. respectively. therefore. otherwise E and E are arbitrary.44) Let us see what these two deﬁnitions mean for a bottle of warm lemonade (system A) in an icebox (system A ). The total system.162 Particle statistics ﬁrst approximation. by itself. the number of degrees of freedom of the atoms is ∼ 1024. After the ergodic principle. S = k ln .3. k ∂E ∂E kT (5. (5. A + A . (E) depends on the width of the energy interval δ E but because is so large. P(E) ∝ (E) · (E tot − E). like the gas content in an empty bottle. subject to the condition that subsystem A has an energy E. one can easily show that δ E is irrelevant in (5. If one counts the states more properly but neglects powers of E with exponents f − 2 or smaller. i. the density of states becomes proportional to n f −1 /( f − 1)!. The two systems are in thermal contact. all accessible cells in a phase space have an equal chance of being populated.43). or 1024. . is a huge number but because f appears as an exponent. is given by the product (E) (E tot − E). The probability P(E) of ﬁnding the and whole system in a state where A has the energy E is evidently proportional to this product.

ln where β = ∂ ln distribution /∂ E (E tot − Er ) = ln (E tot ) − β Er = (kT )−1 (see (5. 5. The constant C follows from the condition s Ps = 1 in which the sum includes all possible states s of A. one can develop ln around E tot. The probabity Pr for A being in state r is proportional to the number of states of the total system A + A under that condition. or the entropy S + S . the lemonade is cool.3. starting from some arbitrary microstate. The probability P(E) is almost a δ-function. the value where it is not zero determines equilibrium. of the whole system has its maximum follows from ∂ ln P = 0.Thermodynamics 163 (E tot − E) must fall.45) The sum in the denominator represents the partition function Z (T ). Note that nothing has been said about how long it takes. Suppose now that A is in a deﬁnite state r of energy Er . therefore. only the joint energy E tot of the combined system A + A . −β E s se (5. ∂E This equation immediately gives ∂S ∂E = E=E eq ∂S ∂E E =E eq which means that in equilibrium the temperature of the icebox and lemonade are equal. and obtains the canonical Pr = e−β Er .46) . as A is ﬁxed to state r . or of probability P(E) must have a very sharp maximum at some value E eq . Because of the extreme When (E) rises. To ﬁnd system A at an energy E = E eq is totally unlikely. irrespective of their energy.3 The canonical distribution Let a system A be in thermal contact with a much larger heat bath A of temperature T . The energy E where P. The heat bath has then the energy E = E tot − Er and (E tot − Er ) accessible states.44)). The energy of A is not ﬁxed. the dependence of the number of accessible states on E. on E . Because E tot Er . Pr = C (E tot − Er ). The probability P(E) to ﬁnd system A in the energy range δ E around E becomes P(E) = (E) e−β Er e−β Es s (5. to arrive at equilibrium.

some parameter Y may have to take up a certain precise value y. The states for which Y = y form a subclass of all accessible states. δ A is positive. So when V is decreased. and we denote their total number by (E. In view of the ergodic postulate. δQ = ∂U ∂T dT + V (5. the probability P of ﬁnding the system in the desired conﬁguration Y = y is P(y) = (E. then. V ) and dU = and because of equation (5.4 Thermodynamic relations for a gas When one transfers to a system a small amount of heat δ Q and does the work δ A on the system.3.1 Constraints on the system Sometimes a macroscopic system A may have to fulﬁl additional constraints. there is only one state for which E = E j . For example.46) is in agreement with the Boltzmann distribution (5. or lie in the range [y.9): As the size of system A has not entered the derivation of P(E).48) P(y) = ρ(E) 5. so (E) = 1 and one recovers the Boltzmann distribution (5. If A consists of just one atom with discrete energy levels E j .3. the expression is also correct when A is a microscopic system. y + δy].50) . we then symbolically write Y = y.47) Likewise the probability P can be expressed by the ratio of the densities of states. Formula (5. ρ(E. (E) (5. The parameter Y may be anything. the energy of ten selected atoms or the integrated magnetic moment of all particles. If U depends on temperature and volume. If the inﬁnitesimal work is due to a change of volume d V . 5. T (5.49) ∂U ∂T dT + V ∂U ∂V dV T ∂U ∂V + p d V. its internal energy U is altered by the amount dU = δ Q + δ A. y) . according to the ﬁrst law of thermodynamics.164 Particle statistics where (E) is the corresponding number of states accessible to A. y) . Thermal contact then just means that A can exchange energy with A . U = U (T.9). (5. y).49).3. δ A = − p d V. besides having an energy between E and E + δ E. for example.

one applies the work δ A on a system.52) Other common thermodynamic state functions besides U and S are as follows.56) deﬁnes the chemical potential. in which for any α S(αU. ∂U ∂V =T T ∂p ∂T − p. by compressing a gas. ∂2S ∂2S = ∂T ∂V ∂V ∂T we get from (5. V (5. the free energy of the system increases by F = δ A.55) • As convenient variables one usually uses for G temperature. T T (5.51) with δ A = − p d V . N j ). The enthalpy H = U + pV. its entropy increases by dS = dU − δ A δQ = . V.53) • To connect a physical meaning to F.54) When one presses gas through a small hole from one vessel to another. (5. V. therefore. N j ) . When the heat δ Q is added reversibly to a system at temperature T .Thermodynamics 165 The second law of thermodynamics brings in the entropy S.51) The entropy is a state function and the integral δ Q/T in the ( p. we note that if. (5. for example. • The free energy or Helmholtz potential F = U − T S. (5. G = G(T. V )-plane along any closed path is. The free enthalpy or Gibbs potential G = U + pV − T S. In a homogeneous phase. α N j ) = αS(U. pressure and number N j of atoms of the j th gas component. αV. Because d S is a full differential. as in the famous Joule–Thomson experiment. it is the enthalpy that stays constant. i.e. in an isothermal reversible process. zero. With some elementary calculus manipulations one obtains the full differential dG = where µj = ∂G ∂G ∂G dT + dp + d N j = −S d T + V d p + ∂T ∂p ∂ Nj ∂G ∂ Nj µj dNj j (5.

The forces derive from a potential φ. F has then its minimum because Stot of the total system A + A is at its maximum. For a mechanical system. the entropy SA attains its maximum.58) (5. j = 1) is G = G ﬂ + G gas = µﬂ Nﬂ + µgas Ngas . As all variables here refer to system A.166 Particle statistics one ﬁnds (without proof but it is not difﬁcult) G= j µj Nj. δ A = − p V and U −T S + p V = 0. V. the equilibrium condition for the total system A + A reads: Stot = (SA + SA ) = 0.e. the potential φ is at its minimum and the differential φ = 0.57) Equation (5. Therefore.3. the differential of the free energy vanishes under small changes of the variables.5 Equilibrium conditions of the state functions Let us recall the conditions under which a system is in equilibrium. so Fi = −∂φ/∂ x i . all forces Fi acting on the particles must vanish. N j ). i. If A is not isolated but in contact with a heat bath A . System A receives from the environment A the heat δ Q = −T SA which increases its internal energy by U and does the work δ A on the system (see (5. the free enthalpy of a system consisting of a one-component ﬂuid and its vapor (only one kind of molecules.58) leads in a straightforward way to the following equilibrium conditions: (1) In a system A of constant temperature and volume ( T = V = 0) and in contact with a heat reservoir A . the differential SA is zero under small variations of the variables (U. 5. Therefore. (5. Note that all variables without an index refer to system A. In the case of pure compressional work. F= (U − T S) = 0. . we may drop the index A in the entropy and get U − T S − δ A = 0. δ Q = T SA = U − δ A. In equilibrium.49)). For an isolated thermodynamic system A of constant energy U and volume V .

(5. the lower level 1 is populated by N1 and the upper level 2 by N2 atoms with N1 +N2 = N. With F = F(y) − F(y ).1) and the entropy changes between state a to b by S = k[ln b − ln a] = k ln b a = k ln N1 N2 + 1 k ln N1 . the differential of the free enthalpy G = (U + pV − T S) = 0 and G has its minimum. 1 and 2. where U is the excitation energy of level 2. (2) At constant temperature and pressure ( T = p = 0). one derives Stot = − G/T and. H = (U + pV ) = 0 and the enthalpy has its minimum. the corresponding populations are N1 +1 and N2 −1. In an analagous manner as for the free energy. putting G = G(y) − G(y ). In a nearby. N2 At constant temperature and volume. we get. As the volume is constant. as in (5. P(y ) ∝ tot(y ) = e Stot(y )/ k for another value y of the parameter Y . . Let system A depend on some parameter Y .59) (3) At constant pressure ( p = 0) and constant entropy ( S = 0. for the population ratio of states where Y = y and Y =y. a population ratio of states where the parameter Y has values y and y P(y) = e− P(y ) G/ kT . P(y) = e− F/ kT .45).43)) tot (y) = e Stot(y)/ k and the probability P(y) of such states is proportional to tot (y). Likewise. The number of accessible states where Y takes up values between y and y + δy is (see (5. As Y varies from y to y (this need not be a small step).Thermodynamics 167 It is reassuring that the condition F = 0 is also in line with the Boltzmann equation (5.9): Suppose the N particles of the system possess only two levels. the condition F = U − T S = 0. almost-equilibrium state b. implies N2 /N1 = e− U/ kT . P(y ) This result follows also from the canonical distribution (5. In an equilibrium state a. adiabatic process).9). there is no compressional work and δ A = 0. The thermodynamic probability for the two states states is given by (5. the entropy of the total system changes by T S − U + δA Stot = T where δ A is the (not necessarily inﬁnitesimally small) work done on system A and S = S(y) − S(y ) and U = U (y) − U (y ).

say. U = U (T.52) and (5.16) for . P (5.60). using (5. Cp − Cv = T ∂p ∂T ∂V ∂T = −T P V ∂p ∂T 2 V ∂p ∂V −1 T . where there is no magnetic ﬁeld. H ). (5. we ﬁx the magnetization M0 (that is why it is a thought experiment). CP . at each position. M(d H /d x) as follows from (11.62) 5. Because at constant pressure (d p = 0) dp = ∂p ∂T dT + V ∂p ∂V dV = T ∂p ∂T dT + V ∂p ∂V T ∂V ∂T dT P we obtain. (5.3.7 The work done by magnetization Consider a magnetic body of unit volume in a ﬁeld H and with magnetization M. The force acting on the body is. If a ﬁeld H is needed to produce in the body the magnetization M.61) It follows immediately that δ Q = Cv ∂T ∂p d p + Cp V ∂T ∂V d V.3. it acquires the magnetization M0 .168 Particle statistics 5. and at constant volume.63) body H Y coil x X We move an unmagnetized body of unit volume along the x-axis from a position X. Then we pull the body back to X but while doing so. The body is attracted by the coil and in the ﬁeld H0. to change the magnetization by d M requires the inﬁnitesimal work δ A = H d M. (5. This follows from the following thought experiment: (5.6 Speciﬁc heat of a gas The speciﬁc heat at constant pressure. near a coil through which runs an electric current.50). to another place Y where there is some ﬁeld H0.60) Cp = dT P ∂T V Let us determine Cp − Cv . are deﬁned by δQ ∂U Cv = . C V . Its internal energy depends on the temperature and on the magnetic ﬁeld.

61) and (5. one also has χT = M/H .66) by putting δ Q = 0 (S = constant). Therefore χad = CM χT . M (5. 5. ∂U ∂T CM = H δQ dT (5.Thermodynamics 169 the potential energy of a dipole. χad = − CM CH ∂T ∂H ∂M ∂T = H M CM CH ∂M ∂H (5. We compute χad from (5. T (5.64) M In complete analogy to (5. The last equality is obvious when one identiﬁes the integrals with the area under the curves M(H ) and H (M). we write CM − CH = T and δ Q = CH ∂M ∂T ∂H ∂T = −T M H ∂M ∂T ∂T ∂H 2 H ∂M ∂H −1 (5. δ Q = T d S = dU − H d M. CH (5.68) T where we have exploited.66) The adiabatic and isothermal (or static) susceptibility are deﬁned as χad = ∂M ∂H and S χT = ∂M ∂H .8 Susceptibility and speciﬁc heat of magnetic substances The previously derived formulae for CP and C V now come in handy. therefore. after the second equals sign. So indeed δ A = H d M and.69) .67) As long as magnetic saturation is excluded. deﬁned by CH = we just have to interchange M↔p and H ↔ V. To obtain the relations for the speciﬁc heat at constant magnetic ﬁeld H and at constant magnetization M. The total mechanical work A done on the system over the whole path from X to Y and back becomes A=− 0 H0 M dH + 0 H0 M0 d H = 0 M0 H d M.65). formula (5.3.62).65) T ∂T ∂M d M + CM H d H.

Bν (T ) is usually very sensitive to both temperature and frequency. i.2 depicts the plot of the curve y= ex x3 −1 if T2 > T1 . culminates at x max = 2. Bν (T ) = 2h ν 3 . its unit is then erg cm−2 s−1 ster−1 cm−1 . 0) with a slope of zero. The Planck function increases monotonically with temperature.822 and asymptotically approaches zero for large x.4. Written in the frequency scale. It starts at the origin (0.e. The two forms are related through (5.71) uν = c c e kT − 1 Alternatively. hν c2 e kT − 1 (5.74) Fν = π Bν (T ). The emergent ﬂux Fν from a unit area of its surface into all directions of the half-sphere is (5. Because of dν = −(c/λ2 ) dλ.70) The intensity is taken per Hz and has the units erg cm−2 s−1 ster−1 Hz−1 . from which one can read off the value of the Planck function for any combination (ν. It is a universal function depending only on T and frequency ν. An object that emits at all frequencies with an intensity Bν (T ) is called a blackbody. This expression.170 Particle statistics 5. for example. is approximately applicable to stellar atmospheres when T is the effective surface temperature.1 The Planck function The Planck function gives the intensity of radiation in an enclosure in thermal equilibrium at temperature T . the Planck function may be referred to wavelength and designated Bλ (T ). (5.73) In view of the exponential factor.72) Bλ (T ) dλ = −Bν (T ) dν. Bλ (T ) = 2hc2 λ5 (e kT λ − 1) hc . T ) of frequency and temperature.4 Blackbody radiation 5. Bν (T ) is related to the monochromatic radiative energy density u ν in the enclosure by 4π 8πh ν3 Bν (T ) = 3 · hν . at any frequency Bν (T2 ) > Bν (T1 ) Figure 5. (5. .

kT • With respect to dust emission. where wavelengths are typically between 1 µm and 1 mm and temperatures from 10 to 2000 K. one has to multiply the ordinate y by the factor (2k 3 / h 2 c2 )T 3 to get Bν (T ). Wien’s limit is never appropriate. one can expand the Planck function into powers of x and enter the realm of classical physics where the Planck constant h . The universal shape of the Planck function.2 Low. x 1 and Bν (T ) → 2hν 3 − hν e kT .and high-frequency limit There are two asymptotic approximations to the Planck function depending on the ratio x of photon energy hν over thermal energy kT .4. c2 (5. x 1 and Bν (T ) → 2ν 2 kT. 5.Blackbody radiation 171 Figure 5. c2 (5.76) As the photon energy hν is much smaller than the thermal energy kT of an oscillator. As the abscissa x is here in the unit hν/kT .2. In the Rayleigh–Jeans limit.75) hν . x= • In the Wien limit.

is a factor 1. so the λmax of radiating dust is shifted to shorter wavelengths with respect to a blackbody emitter of the same temperature.206 cm K.78) Note that λmax from (5. we obtain (see (A.77). one usually tries to maximize Sν Bν (T ) dν.77) In the frequency scale.3 Wien’s displacement law and the Stefan–Boltzmann law In the wavelength scale.70 × 10−11 Hz−1 K. For K ν ∝ ν 2 . The total energy per s over a certain spectral interval is. maximum emission is determined by ∂ Bν /∂ν = 0 and occurs at νmax for which T νmax = 1. Integrating the Planck function over frequency. which refers to the wavelength scale. one ﬁnds λmax T = 0. When λmax is known. the Planck function Bλ (T ) reaches its maximum at λmax given by ∂ Bλ /∂λ = 0. Maximum emission follows now from ∂(ν m Bν )/∂ν = 0. (5. Therefore λmax T = 0. (5. the same for Fλ and Fν .4. The term ν m Bν (T ) is sometimes called the modiﬁed Planck function. However. 1. and sometimes also applicable to dust emission.289 cm K. The Rayleigh–Jeans approximation is always good for centimeter radio astronomy.44 λT (λ in cm) 5.172 Particle statistics vanishes.79) . of course. one must check whether x= is really small compared to 1.76 smaller than the corresponding wavelength c/νmax from (5. the displacement law determines the temperature of a blackbody. If one wants to detect a blackbody with an instrument that has a sensitivity curve Sν .17)) B(T ) = 0 ∞ Bν (T ) dν = σ 4 T π (5.78).1) for the correct expression) if the emission is optically thin and the absorption coefﬁcient has a power-law dependence K ν ∝ ν m . The dependence of Bν (T ) on frequency and temperature is then no longer exponential. Interstellar grains are certainly not blackbodies but the shape of the spectral energy distribution from a dusty region may at far infrared wavelengths be approximated by ν m Bν (T ) (see (8. The wavelength where the ﬂux from a blackbody peaks depends thus on whether one measures the ﬂux per Hz (Fν ) or per cm (Fλ ).

71).Blackbody radiation where 173 2π 5 k 4 = 5. and drop the subscript 0 in the frequency. In equilibrium. remembering that I (ω) = I (ν)/2π.74)): σ = F= Fν dν = σ T 4 .106). we wish to understand it well. When we substitute for γ the radiative damping constant from (1. Because the resonance curve is 2 very narrow.82) L ∗ = 4πσ R∗ T∗ . 2π 2 e2 .86) The cross section σ (ω) is taken from (1. derive it once more by representing the atoms as harmonic oscillators.80) 15c2h 3 is the radiation constant.4 The Planck function and harmonic oscillators Because the Planck function is fundamental for the emission processes of dust and molecules.84) 5.100).85) where γ is the damping constant. (5.83) 4σ = 7. The total emergent ﬂux F from a unit area of a blackbody surface into all directions of the half-sphere is given by the Stefan– Boltzmann law (see (5.87) ∞ ∞ . According to (1.81) Applying this to a star of radius R∗ and effective temperature T∗ .67 × 10−5 erg cm−2 s−1 K−4 (5. c (5. The integrated absorption cross section is from (1. mec 0 0 (5. 3c2 (5. we ﬁnd for its bolometric luminosity: 2 4 (5. we can take 4πω0 I (ω0 ) out from under the integral. If we denote the radiative intensity by I (ω). For the total radiative energy density u.108). it must pick up the same energy from the radiation in the enclosure.56 × 10−15 erg cm−3 K−4 . therefore. it loses energy through emission at a rate ˙ −E = γ E (5. We. Consider a harmonic oscillator in an enclosure in thermal equilibrium with its surroundings.4. we obtain γE = 4π I (ω)σ (ω) dω = 4π I (ω0 ) σ (ω) dω = 4π I (ω0 ) I (ν) = 2ν 2 E. we get u= with constant a= u ν dν = aT 4 (5.

Something is wrong with the classical ideas. T T As d S is a full differential. . u(T ) ∝ T 4 . Because dU = u d V + V du. not just one. in agreement with the Stefan– Boltzmann law in (5.87). we obtain a function that is proportional to the fourth power of the temperature. kT The quantum mechanical mean energy E is smaller than kT . i.83).174 Particle statistics In (5. ∂V ∂T Solving for the energy density u. It is also enlightening to apply the ﬁrst principles of thermodynamics to a photon gas in equilibrium. . 1. from (5. 2.86). The cross section σ (ω) in (5. the integration extends over the solid angle 4π implying that the oscillators absorb radiation from all directions. The oscillators must therefore be able to move freely and have three degrees of freedom. fails at photon energies hν comparable to or larger than kT because the intensity would rise inﬁnitely with frequency. . however. Only when 1. In the classical picture. one recovers the Rayleigh–Jeans formula of (5.76) which is valid for blackbody radiation at low frequencies. . A gas of volume V and internal energy U (T ) = u(T )V has the gas pressure P = u/3. E = kT x ex − 1 x= hν . Iν (T ) = 2ν 2 kT. Inserting E = 3 E = 3kT into (5. does one obtain the classical result. .e. c2 This formula. for which the average E per degree of freedom is not kT but.86) still holds in quantum mechanics but we have neglected that light comes in packages (photons). We obtain the correct Planck function if we assume equally spaced energy states E i = i hν with i = 0. potential plus kinetic energy. the differential d S = d Q/T of the entropy is given by x dS = u d V + V du + (u/3) d V dU + P d V = . we get the equation ∂2S 1 du 4 d = = ∂T ∂V T dT 3 dT u T = ∂2S . E = kT is the average total energy per degree of freedom.11).

1 The classical Hamiltonian ˙ Consider a system of particles with generalized coordinates qi and velocities qi .1. Photon emission is. ∂qi (6.3) 175 ∂L ∂ qi ˙ (6. one ﬁnds the motion of the particles from the Lagrange function L =T −V where T is the kinetic energy of the particles and V the potential. If velocities are small (non-relativistic). therefore. It helps to understand quantitatively very diverse topics: how atoms can wander about the grain surface by way of tunneling through a potential barrier.1 A charged particle in an electromagnetic ﬁeld 6.Chapter 6 The radiative transition probability Almost all astronomical information eventually comes from light which we detect with our telescopes. how protons can fuse to deuteron in the interior of the Sun.2) . or how electronic bands appear in crystallized grains. H= qi pi − L ˙ (6. using the conjugate momenta pi = one constructs the Hamiltonian. a fundamental process and a major goal of this chapter is to explain the concept of induced and spontaneous emission. how electrons are energetically arranged in white dwarfs. 6.1) Alternatively. by integrating the second-order Lagrange equations d dt ∂L ∂ qi ˙ = ∂L . The ﬁnal section deals with transmission and reﬂection of a free particle at a potential barrier.

we may readily convince ourselves that equation (6.2 The Hamiltonian of an electron in an electromagnetic ﬁeld We are interested in the equation of motion of one particle of charge e and mass m moving in an electromagnetic ﬁeld. 2 c (6. in .1) with the Lagrangian of (6. However. in our applications. φ denotes the scalar potential and A the vector potential.8) Remembering that the full-time derivative of the x-component of the vector potential is ∂ Ax ∂ Ax ∂ Ax d Ax ˙ = A x + vx + vy + vz dt ∂x ∂y ∂z with similar expressions for A y and A z . ∂qi (6. z). pi ). F = − grad V . E = T + V = H (qi .4) If H does not explicitly depend on time.7) yields the Lorentz force 1 F=e E+ v×B . The kinetic and potential energy equal T = 1 mv2 2 e V = eφ − A · v c which leads to the non-relativistic Lagrangian L= 1 2 e mv − eφ + A · v. 6.1. We now use Cartesian coordinates (x.176 The radiative transition probability and integrates the ﬁrst-order equations qi = ˙ ∂H ∂ pi − pi = ˙ ∂H .5) (6. y. c ˙ Often the potential V is only a function of coordinates and the force F = m v on a particle is given by the gradient of the potential.7) As usual.6) (6. The latter is connected to the magnetic ﬁeld through B = rot A and the electric ﬁeld is given by 1˙ E = − grad φ − A. H equals the total energy E of the system. c (6. it is a constant of motion. Moreover.

for slowly moving charges one can always make a transformation of the given potentials to new ones such that div A = 0 for the new A. (6. The new φ is then constant in time and refers only to the static ﬁeld. This is because of the gauge condition (1.85). x 3 ) = (x. (6. Hwave = 6.10) If we think of the motion of an electron in an atom. y.13) (6. separate.3 The Hamilton operator in quantum mechanics 6. conjugate momentum and coordinates. ˆ (6. e2 e (p · A + A · p) + A·A 2mc 2mc2 describes the perturbation of the electron by an electromagnetic wave.3.4) governing the motion of the particles are replaced by the Schr¨ dinger equation o ∂ ˆ =H .5) by turning the energy E and the Hamiltonian H into operators using the standard prescription for the conversion of energy.6) is a generalized potential that also depends on velocity and the force follows from Fi = − ∂V d + ∂ xi dt ∂V ∂ xi ˙ where we put (x 1 .) The remaining part of the Hamiltonian. the formulae (6. H= 2 ∂L e = mvi + Ai ∂ xi ˙ c + eφ.A charged particle in an electromagnetic ﬁeld 177 the case of an electromagnetic ﬁeld.1.12) ∂t This equation follows from E = H (x i . (6. the part p2 Hstat = + eφ 2m which describes the electron without an electromagnetic wave. (In fact.1. z). therefore. i E →i ∂ ∂t pi → pi = −i ˆ ∂ ∂ xi xi → xi = xi . Using the conjugate momenta pi = the Hamiltonian becomes e 1 p− A 2m c It equals the total energy E of the system. V of (6.1 The Schr¨ dinger equation o In quantum mechanics.11) . x 2 . we may regard φ as representing the static electric ﬁeld of the nucleus and.9) E = H = T + eφ. ˙ div A + φ/c = 0. pi ) of (6. from the Hamiltonian.

form a complete set so that an arbitrary wavefunction (x. t) = n an ψn (x) · e−i En t / (6. One has to keep in mind the commutation rules. (6. H ] = x i H − H x i = i ˆ ˆ ˆ ˆ pi . The eigenfunction ψ(x) depends only on coordinate x.16) This follows from (6.15) (6. t).2 Stationary solutions of the Schr¨ dinger equation o The wavefunction in (6.18) The eigenfunctions ψn . t) can be expanded into a sum of ψn : (x. The time-independent Schr¨ dinger equation of a particle of o energy E in a potential V (x) follows from (6. t) = ψ(x) e−i Et / . ˆ (6. = (x. each to an eigenvalue E n .17) (x. in particular [ x i . omitting the subscript ‘wave’. 6.19) with expansion coefﬁcients an . (6. p j ] = x i p j − p j x i = i δi j ˆ ˆ ˆ ˆ ˆ ˆ from which one readily deduces ˆˆ [x i . 2 2m ψ + E − U (x) ψ = 0.12). the wavefunction can be written as (x.12) depends generally on space and time.14) m For the Hamiltonian of an electron in an atom perturbed by an electromagnetic ﬁeld we write ˆ H= e2 ˆ ˆ e ˆ ˆ ˆ ˆ (p · A + A · p) + A · A. 2m e c 2m e c2 (6.11).1. . Stationary solutions correspond to ﬁxed energy eigenvalues E. t) contains the time merely through the factor e−i Et / which cancels out on forming the probability density | |2.178 The radiative transition probability Operators are marked by a hat on top of the letter.3. In this case.

A charged particle in an electromagnetic ﬁeld 6. that e m e ψ ∗ pψk d x = i (E j − E k ) j ˆ ψ ∗ xψk d x j ˆ so one can substitute in the left-hand integral for the momentum operator the coordinate operator (but for a constant). we get e (6. with the help of equation (6. which means ˆ ψ ∗ ( H φ) d x = ˆ ( H ψ)∗ φ d x 179 for any ψ and φ and guarantees real expectation values. therefore. and −κ x the restoring force (see section 1. The asterisk denotes the complex conjugate.23) .22) This second-order differential equation looks much better in the form u n + (λn − y 2 )u n = 0 where we have introduced the function u n (αx) = ψn (x) with α2 = mω (6.20) the dipole moment with respect to the states described by the eigenfunctions ψ j and ψk .3). j ˆ m 6.15). The oscillator obeys the equation of motion x + ω2 x = 0 ¨ where ω2 = κ/m is the square of the frequency of oscillation. It follows.18)) o ∂ 2 ψn 1 + E n − mω2 x 2 ψn = 0.1. (see (6.5 The quantized harmonic oscillator We review the solution of the time-independent Schr¨ dinger equation for the o undamped free linear harmonic oscillator.4 The dipole moment in quantum mechanics ˆ The Hamiltonian operator H is Hermitian. m the particle mass. 2 2m ∂ x 2 2 (6.1. The total energy of the system E =T +V = 1 p2 + mω2 x 2 2m 2 and the time-independent Schr¨ dinger equation is. If we put ω j k = E j − E k and call µ jk = e ψ ∗ (x) x ψk (x) d V j (6.21) ψ ∗ p ψk d x = i ω j k µ j k .

So d x p = dt m . the square of the eigenfunction |ψn (x)|2 for n = 3 and α 2 = 1. 2n n! π (6.180 The radiative transition probability Figure 6. .1. always disappear for any energy E n . With the help of (A. here the particle is strictly conﬁned to the allowed region. and put y = αx and λn = 2E n / ω. ω (6. as an example. For comparison. we show the corresponding probability of a classical oscillator (dots) of the same energy.1 displays. 2. the dotted and full curve converge. . Figure 6.24) Hn are the Hermitian polynomials described in appendix A. The energy levels E n of the harmonic oscillator in (6. 1. For high n. . x and p .22) are equidistant: E n = (n + 1 ) ω 2 and the lowest level E0 = 1 2 n = 0.25) is above zero. The undulating quantum mechanical probability P(x) = |ψ(x)|2 for ﬁnding the particle at locus x when the oscillator is in its third energy level above ground (n = 3).3) we ﬁnd that the mean position and momentum of an oscillator. An ansatz for u n (y) of the form e−y yields the normalized eigenfunctions of the harmonic oscillator: ψn (x) = Nn e−α 2 x 2 /2 2 /2 Hn (y) Hn (αx) with Nn = α √ .

As the eigenfunctions are orthogonal. ψ(x. so that the Schr¨ dinger equation (6. to a system with Hamiltonian H and energy eigenvalues E n .2 The transition probability We consider a transition s → f . from a starting state s to a f inal state f .30) with the matrix coefﬁcients Hfn = ˆ ψ ∗ H ψn d x. f (6. (6.1 The perturbation energy ˆ Let us introduce. t) = n an (t) ψn (x) e−i En t / .Small perturbations 181 is fulﬁlled in a trivial way but x 2 and p2 do not vanish. H ∂ ˆ ˆ H + H −i ∂t ψ(x. the matrix element Hnn gives the perturbation ˆ ˆ ˆ energy.28) Inserting this sum into (6.2. 6.29) the dot over an means time derivative.27) We expand ψ after (6. a ˆ . t = 0) = ψs (x).2.29) with the eigenfunction ψ ∗ and integration over the space f coordinate x yields e−i En t / an (t)H f n − i a f (t)e−i E f t / = 0 ˙ n (6. For the product of the uncertainties we have x p= x2 − x 2 p2 − p 2 = En = (n + 1 ) .19) into eigenfunctions ψn but now with timeˆ dependent coefﬁcients an (t) because of the additional term H which causes the system to change: ψ(x. t) = 0. Suppose that our system was at time t = 0 in state s. multiplication of (6. . the energy eigenvalues change from E n to E n + Hnn .26) 6. This means when the Hamiltonian H is replaced by H + H . 2 ω (6.31) For equal subindices ( f = n).2 Small perturbations 6. (6.27) gives e−i En t / n ˆ ˙ an H ψn − i an ψn = 0 (6.12) reads: o small perturbation.

(ω f s − ω)2 (6.29) for the perturbation operator. (6. the function 1 − cos(ω f s − ω)t (6.35) One just has to replace ω f s by ω f s − ω and the probability p f s (t) now has its spike when ω ω f s . If ω f s = E f − Es is the energy difference between the two states. we have to write H e−iωt ˆ . The time derivative in equation (6. (6. a f . then becomes ˙ i a f = − H f n ei(ω f s −ω)t ˙ and p f s (t) = |a f (t)|2 = 2 2 |H f s |2 1 − cos(ω f s − ω)t . (6. except around ω = ω f s in the small interval ω from −π/2t to π/2t. Integrated over frequency.36) f (ω) = (ω f s − ω)2 resembles the δ-function: it has values close to zero almost everywhere.37) (ω f s − ω)2 −∞ .28) vanish. If the time t in (6. t ω−1 .3 Transition probability for a time-variable perturbation ˆ When the perturbation varies harmonically with time. ˙ (6. instead of H of the expansion coefﬁcient. so an (0) = δsn where δsn is the Kronecker symbol.35) is large compared to the oscillation period.30) yields for the time derivative of the expansion coefﬁcient a f . equation (6. we can substitute in (6.32). ∞ 1 − cos(ω f s − ω)t dω = πt.32) After integrating from the starting value a f (0) = 0 and assuming that H f s is not time-variable.182 The radiative transition probability Then all an (0) in (6.30) the an (t) by their values at t = 0. If the interaction ˆ operator H is weak and the perturbation time t not too long. 1 − eiω f s t i .2. except for as (0) = 1. given in (6.34) 6. i a f = − H f n eiω f s t .33) a f (t) = H f s iω f s The probability of ﬁnding the system at a later time t in the ﬁnal state f is p f s (t) = |a f (t)|2 = 2 2 |H f s |2 1 − cos ω f s t ω2 s f .

1 How A and B are deﬁned We consider radiative transitions in atoms between an upper level j and a lower one i of energies E j and E i such that E j − E i = hν.2 for t = 100. ν + dν].1. respectively. The function f (ω) is plotted in ﬁgure 6. 6. where. The probability p f s (t) in (6. As atomic energy levels and lines are not inﬁnitely sharp but have some ﬁnite width. and be bathed in a radiation ﬁeld of energy density u ν . Let the atoms have number densities N j and Ni per cm3 .36) and shown here for t = 100. If one waits long enough. of course.3 The Einstein coefﬁcients A and B 6.2.1 Induced and spontaneous transitions 6. (ν) dν = 1.The Einstein coefﬁcients A and B 183 Figure 6.3. one has almost exactly ω = ω f s . The transition probability from a starting state s to a ﬁnal state f under the inﬂuence of a perturbation potential is proportional to a characteristic function given in (6.3. let Ni (ν) dν = Ni (ν) dν be the number of atoms in state i that can absorb radiation in the frequency interval [ν.35) is not negligible and transitions from state s to state f occur only when |ω −ω f s |t ≤ π. line .

N j u B j i = rate of induced downward transitions and Ni u Bi j = rate of induced upward transitions. we can derive the relations between the As and Bs. Setting u= line u ν (ν) dν (6. we get the symmetry relation between the Einstein-B coefﬁcients.9).39) If we now let the temperature tend to zero. If we assume blackbody radiation (u ν = 4π Bν (T )/c) and thermodynamic equilibrium.38) the Einstein coefﬁcients A j i and B j i are deﬁned such that per cm3 • • • N j A j i = rate of spontaneous downward transitions. uν = A ji .1.40) which connects the A coefﬁcients with the B coefﬁcients. we are in the Wien part of the spectrum and A j i −(E j −Ei )/ kT 8πhν 3 −hν/ kT e = e . 6. B j i . The Boltzmann formula (5.184 The radiative transition probability Radiative transitions between level j and i may be either spontaneous or induced. . It also follows that A ji = 8πhν 3 B ji c3 (6. Consequently.2 How A and B are related A j i . g j B j i = g i Bi j . we obtain hν = E j − E i . gj If we ﬁx ν and let T go to inﬁnity. This looks trivial but expresses the non-trivial fact that the radiation ﬁeld stimulates absorption and emission at the frequency corresponding to the energy difference of the levels. Ni gi −x = e Nj gj yields A j i + uν B j i = with x = E j − Ei kT gi Bi j u ν e x . Bi j are atomic quantities and do not depend on the radiation ﬁeld. B j i (e x − 1) (6. we are in the Rayleigh–Jeans part of the A j i .3. As then also spectrum and u ν becomes arbitrarily large so that u ν B j i e x → 1. B ji c3 As this equation holds for any small T .

1. A rigorous derivation of formula (6. ψi and ψ j are the eigenfunctions of the energy states. 3c3 64π 4 ν 3 |µ j i |2 3hc3 (6. Let x 0 be equal to the ˚ atomic radius in the ground state (0. At an optical frequency ν = 6 × 1014 Hz. ˚ corresponding to λ = 5000 A. and the frequency low.3.41) can already be grasped using classical arguments by equating the emission rate A j i hν to the average power radiated by a harmonic oscillator (see (1.15 × 1011 Hz.5 Transition probability for general forces Equation (6.1. Now A j i ∼ 10−7 s−1 . Note that 2 according to equation (6. µ = 0.41) may also be put in the form A ji = c 8π 3 α 3 p h 3 .41). the non-relativistic limit is discussed in section 6. (2) To the lowest rotational transition of the CO molecule.41) exactly if one puts µ = 1 p0 and ω = 2πν.3 The quantum mechanical expression for A 185 The quantum-mechanical correct expression for the Einstein coefﬁcient A j i for spontaneous emission from upper state j to lower state i is A ji = where µ ji = e ψi∗ (x) x ψ j (x) d V (6. ν 1. We see from (6.41) that.4 Debye.4 × 10−18 cgs = 2.97)). then A j i hν = 2 p0 ω 4 .41) This yields (6.3. the Einstein coefﬁcient becomes A j i ∼ 107 s−1 .3.20)).3.11 Debye.The Einstein coefﬁcients A and B 6. If x = x 0 e−iωt is the time-variable coordinate of the electron and p0 = ex 0 its dipole moment.5A).4 A classical analogy The essence of formula (6.1. which is 14 powers of ten smaller! 6. cum granu salis. A j i is high for optical transitions and low at radio wavelengths. The dipole moment in this case is fairly weak.42) is the dipole moment corresponding to the transition (see (6. A j i increases with the square of the dipole moment and with the third power of the frequency. the dipole moment is then µ = 2. To get a feeling for the numbers.4.41) requires quantum electrodynamics. 6. we apply the formula: (1) to an electronic transition in the hydrogen atom.

186

The radiative transition probability

where α = e2 / c is the ﬁne structure constant, = 2x 0 the size of the system, c/l the inverse crossing time by light, p = hν/c the photon momentum and ( p )3 the volume in the phase space necessary for the creation of photons by the atomic oscillator. In other words, the transition probability is the product of the coupling constant of the electromagnetic radiation, α, multiplied by the number of cells in the phase space divided by the crossing time. When the transition probability is expressed in this way, it can also be applied to other basic forces in the universe, besides electromagnetism. The coupling constant is then, of course, different. 6.3.2 Selection rules and polarization rules Formulae (6.41) and (6.42) incorporate the selection rules because when the integral (6.42) is zero for two eigenfunctions ψi and ψ j (which is usually the case), the transition is forbidden. For instance, from that part of the eigenfunctions of the hydrogen atom which is radius-independent, namely Plm (cos θ )eimϕ follow the selection rules l = ±1 m = 0, ±1.

If they are not fulﬁlled, no emission is possible. However, a perturbation, like an electric ﬁeld, can make an otherwise forbidden line to become observable because the eigenfunctions are then deformed so that the integral (6.42) no longer vanishes. One can also derive the polarization rules in the presence of a magnetic ﬁeld by separating the dipole moment µ of (6.41) into its Cartesian components, µx = e ψi∗ xψ j d V µy = e ψi∗ yψ j d V µz = e ψi∗ zψ j d V

and evaluating the expressions. For example, when the ﬁeld is in the z-direction and µx = µ y = 0 but µz = 0, the radiation is linearly polarized with its electric vector parallel to the applied magnetic ﬁeld. 6.3.3 Quantization of the electromagnetic ﬁeld So far we have learnt that radiative transitions occur at a rate given by the Einstein coefﬁcients. Now we want to understand why they occur and how the As and Bs are computed. For this end, we have to quantize the electromagnetic ﬁeld and we sketch how this can be done. 6.3.3.1 The spectrum of standing waves in a box Imagine a big box of volume V and length L with an electromagnetic ﬁeld inside, consisting of standing waves. The vector potential A is a function only of z. It

The Einstein coefﬁcients A and B

187

oscillates in the x-direction (A y = A z = 0) and vanishes at the walls of the box, which are nodal surfaces. We expand A x into a Fourier series:

∞

A x (z, t) =

j =1

q j (t) sin

jπz L

(6.43)

˙ the coefﬁcients q j (t) are time-dependent. With H = rot A and E = −A/c, and the orthogonality of the sine function,

π 0

sin i x · sin j x d x = δij

π 2

**the energy of the ﬁeld in the box becomes E ﬁeld = 1 8π
**

2 2 (E x + H y ) d V =

V 16πc2

∞

(q 2 + ω 2 q 2 ) ˙j j j

j =1

where the frequencies are

j πc . L If the box is very big, there is an almost continuous frequency spectrum. ωj = 6.3.3.2 Equation of motion of an elastic string

There is a strong analogy between the ﬁeld and an elastic string. Suppose a string has a length L, is ﬁxed at its ends and vibrates exactly like the vector potential A x of (6.43). As it vibrates, it bends and becomes distorted. Hooke’s law of elasticity states how strong the internal deformations are: When we pull with a force F at the end of a rectangular block of length and cross section σ , the change in length d / is proportional to the force per unit area, F/σ = Y d / , where the proportionality factor Y is Young’s elasticity module. This law implies that the potential energy stored in the deformation of the volume element goes with (d )2 . If the shape of the bent string is described by the curve y(z), its local deformation d is proportional to the derivative of the curve, d ∝ y (z). So the potential energy of the string that vibrates like the magnetic ﬁeld A x is U= 1 κ 2

L 0

∂ Ax ∂z

2

dz =

κπ 2 4L

∞

j 2q 2 j

j =1

**where κ is some elastic constant. If the string has a mass density ρ, its kinetic energy equals ∞ L 1 ˙x A2 dz = Lρ T = 1ρ q 2. ˙j 2 4 0
**

j =1

188

The radiative transition probability

We can form the Lagrange function L = T − U and ﬁnd, from (6.1), the equation of a loss-free harmonic oscillator q j + ω2 q j = 0 ¨ ˜j with frequency ωj = ˜ jπ L

∞

κ . ρ

**The total energy equals the sum of kinetic plus potential energy of all oscillators, E string = Lρ 4 (q 2 + ω2 q 2 ). ˙j ˜j j
**

j =1

6.3.3.3 Mathematical identity between ﬁeld and string The expressions for the energy of√ string and the ﬁeld, E string and E ﬁeld , the become identical when we put c = κ/ρ and m ≡ Lρ = V 4πc2 (6.44)

m may be considered to be the mass of the oscillator. The frequencies of ﬁeld and string then coincide, ω j = ω j , as well as their energies. The q j s of the string are ˜ coordinates of an harmonic oscillator of frequency ω j . Such an oscillator has, in quantum mechanics, discrete energy levels E n j = ω j (n + 1 ) 2 with n = 0, 1, 2, . . . .

The quantization of the string implies that the electromagnetic ﬁeld is quantized, too. Naturally, we associate the oscillator of frequency ω j with radiation at that frequency and identify the quantum number n with the number of photons in the box at that frequency, more precisely, with the occupation number , which is related to the radiative energy density u ν through formula (5.33). Because the ﬁeld is, from (6.43), completely described by the coefﬁcients q j (t), in quantum mechanics one replaces the ﬁeld A x by the amplitudes q j ; the q j are called normal coordinates.

Æ

6.3.4 Quantum-mechanical derivation of A and B 6.3.4.1 Coupling between oscillator and ﬁeld Emission or absorption must result from the coupling between the oscillator and the electromagnetic ﬁeld but how? The trick is to perceive the atom and the ﬁeld as one system consisting of two subsystems: • ˆ the atom described by coordinates (1) with Hamiltonian H1, eigenvalue E 1 ˆ 1ψ1 (1) = E 1 ψ1 (1); and and eigenfunction ψ1 , so that H

**The Einstein coefﬁcients A and B
**

•

189

ˆ the electromagnetic ﬁeld for which we use the subscript 2; here H2 ψ2 (2) = E 2 ψ2 (2).

ˆ ˆ ˆ The total uncoupled system has the Hamiltonian H = H1 + H2, the wavefunction ψ(1, 2) = ψ1 (1) · ψ2 (2) and the energy E 1 + E 2 , ˆ H ψ = (E 1 + E 2 )ψ1 ψ2 . In reality, the two subsystems couple. For the perturbation operator H we use the Hamiltonian derived in (6.16), e ˆ ˆ ˆ H = − p·A mc (6.45)

ˆ ˆ ˆ ˆ ˆ and neglect the quadratic term A2 . Note that p · A commutes with A · p; this ˆ follows from the deﬁnition of the momentum operator p in (6.13) and the Lorentz gauge div A = 0 (see (1.85)). 6.3.4.2 The matrix element H f s Let us consider the process of emission or absorption of the atom as a transition of the whole system: atom plus ﬁeld. The transition probability from the starting state s to the ﬁnal state f as a function of time is given by (6.35). To compute it, we have to evaluate the matrix element H f s of (6.31) which contains the operator ˆ ˆ ˆ H = −(e/mc)p · A. The integral that appears in the matrix element H f s can be separated into I1 = e mc

∗ ˆ ψ1 f p ψ1s d x

and

I2 =

∗ ˆ ψ2 f A ψ2s dq

so that H f s = I1 · I2 . For the ﬁrst, we get from (6.21) |I1 |2 = ω2 s f c2 |µ f s |2 .

To evaluate the second integral I2 , for ψ2 we insert the eigenfunctions of the electromagnetic ﬁeld and thus of an harmonic oscillator. They read ψ2 j = N j H j , where H j are the Hermitian polynomials of (6.24) and N j their normalization ˆ coefﬁcients. The ﬁeld operator A is replaced by the normal coordinate q. In this way, we get I2 = N f Ns H f (αq) q Hs (αq)e−α

2q 2

dq =

N f Ns α2

H f (y)y Hs (y)e−y d y

2

190 =

**The radiative transition probability
**

Ns {δ f,s+1 + 2sδ f,s−1} 2α N f √ + Ns = s√ 1 if f = s + 1 (emission) 2α N f α √ 2 = Ns s if f = s − 1 (absorption). = √ 2α N f α 2

(6.46)

Here we have exploited formula (A.3). In the event of atomic emission, the energy of the atom makes a downward jump ω f s . For the ﬁeld it is the other other way round, its ﬁnal state is higher than the initial state. Therefore in (6.46), which refers to the ﬁeld, atomic emission corresponds to f = s +1 and absorption to f = s − 1. During the transition there is an exchange of energy between the two subsystems by the amount ω f s but the overall energy stays constant. With respect to the parameter α 2 = mω/ from equation (6.23), we have to insert the ﬁeld mass m after (6.44), so Vω . (6.47) α2 = 4πc2 This gives s +1 2πc2 · (s + 1) = |I2 |2 = 2α 2 ωV and ﬁnally |H f s |2 = |I1 |2 · |I2 |2 = 6.3.4.3 The transition probability The transition probability p f s (t) as a function of time from one discrete state to another, s → f , is given in (6.35). Because of the presence of the ﬁeld, the energy levels of the total system are not discrete, like those of the atom alone, but closely packed, like a continuum. Furthermore, we do not have one ﬁnal state but many. If ρ(ω) is the density of these states, there are ρ(ω f s ) dω of them in the frequency interval dω around the energy ω f s . The density is equal to the number of unit cells h 3 in phase space, from (5.30), ρ(ω) = V ω2 . π 2 c3 ω2 s f c2 |µ f s |2 · 2πc2 · (s + 1). ωV

To ﬁnd the total transition probability of our coupled system, we, therefore, have to multiply p f s (t) by ρ(ω f s ) dω and integrate over frequency. The integral is according to (6.37), proportional to πtρ(ω f s ). When we make the time t large, the total transition probability per unit time becomes P= 2π |H |2 ρ(ω f s ). 3 2 fs (6.48)

The Einstein coefﬁcients A and B

191

We introduced the correction factor 1 to account for the fact that the 3 orientation of the dipole with respect to the ﬁeld is arbitrary. It only remains to insert the expressions for ρ(ω f s ) and |H f s |2 . When we do this, the volume V of the box luckily disappears. Here are the ﬁnal results for the transition probability per unit time of an atom in a radiation ﬁeld: • If exciting radiation is absent (s = 0), the transition probability P equals the Einstein A coefﬁcient of (6.41), P = A ji = 4ω3 |µ j i |2 . 3 c3

•

It is puzzling that a seemingly unperturbed atom in an eigenstate (above the ground state) with energy E j should emit radiation at all. One might expect it to stay there forever because the only time dependence in the eigenfunction is, from (6.17), an oscillation of the form e−i E j t / . However, there are downward transitions (A j i > 0), even when the atom sits in the dark. The reason is that the perturbation operator (where the ﬁeld is represented by eigenfunctions of an harmonic oscillator) does not vanish when photons are absent. In a radiation ﬁeld, the radiative density is, from (5.33), uν = 2 ω3 s. πc3 s + 1 and the induced

When there are many photons ﬂying around, s emission rate is P= 4ω3 |µ j i |2 (s + 1) 3 c3

Bji u ν .

The same expression holds for induced absorption (if the initial and ﬁnal states of the atom have the same statistical weight). Note that the symmetry of |H f s |2 with respect to s and f accounts for the symmetry of the B coefﬁcients, Bs f = B f s . The transitions described here involve one ﬁeld photon because they are ˆ ˆ ˆ rooted in the perturbation operator p· A, which is linear in A. When we include the ˆ 2 in the Hamiltonian of (6.16), it follows, again from the much weaker operator A orthogonality of the Hermitian polynomials which we employed for the derivation ˆ of (6.46), that the A2 -term describes processes involving two photons at a time, either in emission or absorption, or one in emission and the other in absorption.

192

The radiative transition probability

**6.4 Potential wells and tunneling
**

6.4.1 Wavefunction of a particle in a constant potential Consider in one dimension a free particle of mass m and energy E in a potential V (x). To facilitate writing, in this section we often put U (x) = 2m

2

V (x)

ε=

2m

2

E.

(6.49)

In this notation, the wavefunction of a stationary state satisﬁes the equation ψ = U (x) − ε ψ. If U is constant, the general solution reads ψ(x) = A1 eiαx + A2 e−iαx with complex Ai . There are two cases: • • ε − U > 0. Then α > 0 and the wave has an oscillatory behavior. It could be represented by a combination of a sine and a cosine. ε − U < 0. Then i α is real and the two solutions correspond to an exponentially growing and declining function. The former is only allowed in ﬁnite intervals because the integral ψ ∗ ψ d x must be bounded. α= √ ε−U (6.51) (6.50)

If the potential U (x) is a step function, i.e. if it is constant over intervals [x i , x i+1 ] but makes jumps at the connecting points x i , with x 1 < x 2 < x 3 < . . . , the wavefunction ψ and its derivative ψ must be continuous at these points; otherwise the Schr¨ dinger equation would not be fulﬁlled. The boundary o conditions of continuity for ψ and ψ at all x i fully determine the wavefunction. To ﬁnd it is straightforward but often tedious. 6.4.2 Potential walls and Fermi energy If the particle is trapped in an inﬁnitely deep well of length L, as depicted on the left-hand side of ﬁgure 6.3, the wavefunction must vanish at the boundaries. It cannot penetrate beyond the walls, not even a bit. The situation is reminiscent of a vibrating string ﬁxed at its ends. If λ = h/ p is the de Broglie wavelength and p the momentum, the condition nλ/2 = L leads to the discrete energies εn = 2m

2

En =

n2π 2 L2

n = 1, 2, . . .

(6.52)

and sine-like wavefunctions ψn (x) = A sin nπ x . L

Potential wells and tunneling

193

U

ε4

U

ε3 ε2 ε1

−L/2 L/2

ε4 ε3 ε2 ε1 x x

Figure 6.3. The left side shows an electron in a square potential with walls of inﬁnite height. The stationary states correspond to energies E n ∝ n 2 (see (6.52)). The right side shows, for comparison, the parabolic potential and the equidistant energy levels of an harmonic oscillator.

There is a zero-point energy (ε > 0 for n = 1) because the particle is spatially localized in the interval from −L/2 to L/2, and so its momentum cannot vanish. The spacing between energy levels increases quadratically with quantum number n. This is very different from an harmonic oscillator which has a parabolic potential and equally spaced energy levels (see ﬁgure 6.3). If a system with N electrons is in its lowest state, all levels n ≤ N/2 are ﬁlled. The threshold or Fermi energy of the topmost ﬁlled level is EF =

2π 2 N 2

8m e L 2

(6.53)

√ and the velocity of those electrons is vF = 2E F /m e . If the walls of the potential well are ﬁnite and of height U and the particle energy ε < U , there is some chance, exponentially decreasing with distance, to ﬁnd it outside the well. The energies of the eigenstates depend then in a more complicated manner on n. In three dimensions, for a cube of length L and inﬁnite potential barrier, the eigenfunctions are ψ(x) = A sin nyπ nz π nx π x sin y sin z L L L

194

The radiative transition probability

**with positive integers n x , n y , n z , and the Fermi energy is EF =
**

2

2m e

3π 2 N L3

2/3

.

(6.54)

6.4.2.1 Examples of Fermi energy and Fermi statistics • White dwarfs are burnt-out stars with extreme densities up to 106 g cm−3 . But only the electrons are degenerate, the more massive atomic nuclei are not because their degeneracy parameter is much smaller (see (5.29)). When the Fermi energy is very high as a result of a high density ρ = N/L 3 , the electrons are relativistic and E F = c(N/V )1/3 . If one expresses the Fermi energy as a temperature, TF = • EF k (6.55)

•

•

one ﬁnds TF ∼ 109 K for ρ ∼ 106 g cm−3 . An even more spectacular case is presented by neutron stars with densities up to 1015 g cm−3 . The neutrons do not disintegrate into protons and electrons, as one would expect, only a few do, because the energy liberated in the decay n → p + e produces only ∼106 eV, which is miles below the Fermi threshold of (6.55) in a ﬁctitious sea of electrons and protons at density 1015 g cm−3 . The conduction electrons in a metal have values TF between 104 and 105 K, so at temperatures T ∼ 100 K, the energy distribution of the conduction electrons given by (5.26) is highly degenerate, only few of them are thermalized. For graphite particles of interstellar dust grains, the Fermi temperature is somewhat lower, TF ∼ 103 K. Observing astronomers use both isotopes of liquid helium to cool their detectors. The 3 He atoms are made of ﬁve elementary particles (two protons, one neutron and two electrons), they have half-integer spin and are fermions. The main isotope 4 He, however, contains one more neutron, has zero total angular momentum and follows Bose statistics. The two isotopes show radically different behavior at low temperatures: 4 He becomes a superﬂuid below 2.2 K, whereas 3 He does not. Superﬂuidity is explicable by Bose statistics because Bose statistics allows many (even all) atoms to be at the lowest energy state.

6.4.3 Rectangular potential barriers 6.4.3.1 A single barrier Let a particle travel from the left to the right and encounter a potential wall, as in ﬁgure 6.4. If its energy ε is greater than U , it can, of course, overcome

Potential wells and tunneling

195

U

0

L

x

Figure 6.4. Rectangular potential barrier for a particle coming from the left. Part of the beam is reﬂected and part goes through the barrier.

the barrier but contrary to classical physics, part of the wave is reﬂected. Most relevant is the case when ε < U . Then the particle can tunnel through the barrier which is classically forbidden. What happens, as the particle approaches the barrier, obviously depends on time and therefore stationary solutions may not seem possible in this scenario. However, one may interpret the inﬁnite wave i e ( px−Et ) of a particle with deﬁnite energy E as a stationary particle beam, and then the time drops out. The wavefunction is constructed piece-wise: Aeiαx + Be−iαx x<0 ψ(x) = Ceβ x + De−β x 0<x <L iαx x > L. Fe + Ge−iαx The coefﬁcient G = 0, as there is no wave coming from the right, and √ √ α= ε>0 β = U − ε > 0. Exploiting the boundary conditions and keeping in mind that (e x + e−x )2 /4 = cosh2 x = 1 + sinh2 x, the transmission coefﬁcient T , which is the fraction of the particle beam that penetrates the barrier, becomes T = . √ 4ε(U − ε) + U 2 sinh2 (L U − ε) 4ε(U − ε) (6.56)

When the barrier is high compared to the kinetic energy of the particle (U ε) and sufﬁciently broad (LU 1/2 > 1), the tunneling probability can be approximated by 16ε −2L √U T = e . (6.57) U

196

The radiative transition probability

U 1 −c 0 b 2 a x

Figure 6.5. A periodic square potential of a one-dimensional lattice. The length of the period is a, the length of one barrier is c = a − b. In region 1, where 0 ≤ x ≤ b, the potential is zero, in region 2, where b ≤ x ≤ a, it has the value U .

6.4.3.2 Periodic potential Regularly arranged atoms in a solid (crystal) produce a periodic potential. We discuss this important case in one dimension. Let the potential be periodic with period a, as depicted in ﬁgure 6.5. The wavefunction ψ of a particle with energy ε < U is then given by ψ(x) = with α= Aeiαx + Be−iαx Ceβ x + De−β x √ ε β= 0<x <b b<x<a √ U − ε.

Two equations for determining A–D are found from the condition that ψ and ψ must be continuous at x = 0. Another two equations follow from a result detailed in section 7.2.3: In a periodic potential, any eigenfunction ψk , with respect to wavenumber k and energy ε = k2 , must have the form ψk = u k eikx where u k is periodic such that u k (x) = u k (x + a). Therefore, u k (b) = u k (−c) and u k (b) = u k (−c), where u k (x) = ψk (x)e−ikx . Altogether, this gives A+B =C+D e ie

−ikb −ikb

Ae

iαb

i α(A − B) = β(C − D) + Be−iαb = eikc Ce−βc + Deβc

Ae

iαb

(α − k)−Be−iαb (α + k) = eikc Ce−βc (β − i k)−Deβc (β + i k) .

In a periodic potential. ε = k2 . a.6. there will be a continuous spectrum as depicted by the continuous line in ﬁgure 6. for instance. Energies for which | f (ε)| > 1 are forbidden. b. This is. c = 0.58) For ﬁxed values a. U of the potential in ﬁgure 6.7. the energy ε rises quadratically with the wavenumber. which is not periodic and where the walls are inﬁnite. c.58).58) is a function of particle energy ε only.7 is the basis for explaining why electrons in crystals are arranged in energy bands.58) as a function of particle energy ε.Potential wells and tunneling 197 Figure 6. In the potential well on the left-hand side of ﬁgure 6. the right-hand side of (6. Figure 6. Non-trivial solutions of this linear system of equations. only energies for which f (ε) ∈ [−1. 1] are permitted and those with | f (ε)| > 1 are forbidden. the function ε(k) is only aproximately quadratic and there are now jumps at integral values of |ka/π|. Because of the cosine term on the left-hand side of (6.3. however. The quasi-sinusoidal variation of the right-hand side of equation (6.04. have a vanishing determinant.5. The condition Det = 0.5 with U = 100. leads to cos ka = β 2 − α2 sinh βc · sin αb + cosh βc · cos αb. a = 2.3 is large. we denote it by f (ε). . The function f (ε) is plotted in ﬁgure 6. those for which A = B = C = D does not equal zero. If the length L of the well in ﬁgure 6. It is calculated for the periodic potential of ﬁgure 6. 11 or 24.6 for a speciﬁc set of values U. after some algebra. 2αβ (6. the case when ε 4.

b]. The function ε(k) has discontinuties at integer values of ka/π. 2 2 .5 calculated for U = 100. The corresponding wavefunctions are denoted by ψ− and o ψ+ .4. (6.4. a = 2 and c = 0. the particle can only be in the left. The curve without discontinuties is explained in the text.7. The energy spectrum ε(k) of particles in a periodic potential as in ﬁgure 6. ψ+ ψ− ψ1 = √ + √ 2 2 ψ+ ψ− ψ2 = √ − √ .4. See also ﬁgure 6.1 Splitting of energy levels Next we consider an atom of mass m and energy ε in a potential U (x) consisting of two symmetric adjacent wells with a barrier U0 between them as depicted in ﬁgure 6. respectively. Classical motion is allowed in the intervals [−b.04.8.6. and satisfy the Schr¨ dinger equation (see (6. −a] and [a. where U (x) ≤ ε. When the barrier U0 is inﬁnitely large.or right-hand well. 6. there is a certain chance of tunneling from one well to the other.4 The double potential well 6.198 The radiative transition probability Figure 6.18)): ψ+ + ε − U (x) ψ+ = 0 ψ− + ε − U (x) ψ− = 0.59) If the barrier U0 is ﬁnite. The particle is now not localized in either of them and its wavefunction is a symmetric and anti-symmetric combination of ψ+ and ψ− .

60) by ψ+ . and integrate from x = 0 to x = ∞. Likewise we such that ψ1 ﬁnd ε2 − ε. and. A particle in a double potential well with a barrier U0 between the minima. To obtain the difference ε2 − ε1 . Because of tunneling. one ﬁnds ψ+ (0) = p0 ψ+ (0) = ν0 m 1 exp − p0 a 0 | p| d x −1 where ν0 is the classical oscillation frequency. If p = momentum and p0 its value at x = 0. √ 4mν0 1 a 4mν0 2a 2mV0 ε2 − ε1 = .e. an energy level ε splits into two with a separation ε given by (6. Exploiting ψ1 (0) = ψ+ (0).Potential wells and tunneling 199 U(x) U0 ε −b −a a b x Figure 6.61). (6.8. i. So the energy difference is determined by the wavefunction ψ+ in the √ ε − U (x) denotes the classically forbidden region at x = 0. ν0 is the time for the particle to go from a to b and back. therefore.61) exp − | p| d x exp − −a . ψ1 (0) = 0 and assuming that the tunneling probability is small ψ+ for x > 0 gives ε1 − ε = −21/2ψ+ (0)ψ+ (0). subtract the two products. The probability of ﬁnding the particle either in the left or right well is unity and the integral of |ψi |2 over the whole x-axis equals one. we multiply the left equation in (6.60) but with slightly different energies ε1 and ε2 .59) by ψ1 and the left equation in (6. and ﬁnally get ε2 − ε1 = ψ+ (0) · ψ+ (0). The wavefunctions ψ1 and ψ2 also obey the Schr¨ dinger equations. o ψ1 + ε1 − U (x) ψ1 = 0 ψ2 + ε2 − U (x) ψ2 = 0 (6.

62). From (6. (6.61) and (6.49)). ψ1 and ψ2 .62) we see that with increasing potential barrier V0 . (6.4.4. we ﬁnd √ 2a 2mV0 −1 . the energy splitting E 2 − E 1 becomes smaller and the tunneling time longer.63) ttun ν0 exp . A precisely deﬁned energy means that the particle is ﬁxed in one well and does not tunnel.2 Tunneling time To ﬁnd the approximate time ttun that the particle needs to tunnel from the left to the right well or back. which happens after a tunneling time π . we turn to the time-dependent wavefunction (t) = ψ1 e− i E1 t + ψ2 e− i E2 t . At time t = 0. the wavefunction has the value (0) = 2ψ+ . however. the particle is then not localized anywhere. 6. Their space probabilities |ψi |2 are different. implies a high mobility. 2 Here we have used again E = ( 2 /2m)ε and V = (√ /2m)U (see (6. so the particle starts in the right well. although only in the forbidden region but there they couple differently to the potential U (x) resulting in the splitting of the energy ε into two levels ε1 and ε2 . Inserting the energy difference of (6.62) ttun = |E 1 − E 2 | This equation expresses the uncertainty principle E · t . It reaches the left well when (t) = ψ− .200 The radiative transition probability The possibility that the particle can tunnel to the adjacent well leads to two wavefunctions.61) into (6. A broad energy band E.

1 Translational symmetry 7. Equipped with a quantitative idea about size and chemical composition of interstellar dust. proceed in section 7. The shape of the extinction curve can only be explained if the grains are not of uniform dimension but display a size distribution. the atoms are regularly arranged in a lattice which means that the crystal can be built up by periodic repetition of identical cells.1.4 to discuss their atomic structure and bonding. r in the crystal whose difference can be written as r − r = ua + vb + wc (7. c are said to be primitive and generate the primitive cell.2 what holds them together. Its interpretation requires a basic knowledge of stellar photometry and the reddening law. b.1) with integral u. b and c such that for any two points r. w.1 The lattice and the base ˚ Interstellar grains probably contain crystalline domains of sizes 10 –100 A. we present typical and likely grain cross sections based on a reasonable set of optical constants. 7. We. the extinction curve rules out major dust constituents other than silicate and carbon grains. In a crystal. the environment is exactly the same.1 Crystal structure 7. A cell is a parallelepiped deﬁned by three vectors a.1 the way in which atoms are arranged in a solid and in section 7.3).1.1.1). What kind of distribution and how it can be achieved in grain–grain collisions is sketched in section 7. therefore. In view of the overall cosmic abundance of elements.Chapter 7 Structure and composition of dust We study in section 7. v. Then we make our ﬁrst serious acquaintance with observations and examine the interstellar extinction curve (section 7. If any two points r and r with an identical environment are connected through (7. This is the one with the 201 . the vectors a.5.

1. after Miller. These are called conventional. ﬁgure 7. k. u v w . a description of the three-dimensional cell structure. the cell center is always at 1 2 2 . For example. There is an inﬁnite number of ways how to construct cells or vector triplets (a. l are the smallest possible integers such that h:k :l = 1 1 1 : : .202 Structure and composition of dust smallest possible volume.3 gives a two-dimensional illustration. 7. 2 Suppose a plane intercepts the axes of the crystal coordinate system at the three lattice points u00. Furthermore.1.1. b. bonding strengths that are variable with direction: in one or two directions. by • • • the appearance of long-range. z ≤ 1. the way crystals are polarized in an electromagnetic ﬁeld or stretched under mechanical stress depends on direction.e. a point r = xa + yb + zc within the cell is designated by x yz with x. and a generally anisotropic response to ﬁelds and forces. whose angles are the least oblique and which best express the symmetry of the lattice. The spatial relation between the lattice points and the base is irrelevant. c). one prefers those cells whose sides are small. in others it does not. elementary or unit cells. Among the many possibilities. 7.1. the periodic arrangement of atoms are manifest by the morphological shape of the body. For 11 example. forces which lead to sharp vibrational resonances observable at infrared wavelengths. a crystal cleaves well. One then denotes.2 Physical consequences of crystalline symmetry Geometrically.e. one needs besides the lattice points ua + vb + wc. axes or planes. So lattice points may or may not coincide with atomic centers. The physical relevance of crystalline order reveals itself. y. The cell structure is called the base. one uses the following notation: • • If the origin of the coordinate system is at a cell corner. 0v0 and 00w. the plane by the triplet in round brackets (hkl) where h.3 Miller’s and other indices To ﬁnd one’s way around a crystal and to identify points. of the distribution of charge and matter in the cell. the existence of a grid always implies spatial anisotropy because in various directions the structures are periodic with different spacings. even the choice of the primitive cell is not unique. A primitive cell may contain many atoms and have a complicated base but it always contains only one lattice point. For a full speciﬁcation of a crystal. in non-scientiﬁc language: crystals are beautiful. intensiﬁed. i. i. among others.

γ = 120◦ = γ = 90◦ = γ = 90◦ Lowest symmetry Not shown in ﬁgure 7. w.1. the lengths of the vectors a.1 for deﬁnition of sides and angles. 5. or when angles have special values. The monoclinic. 040 and 002.5). z are integers. orthorhombic. 2. primitive cells do not have a cubic shape (see the two-dimensional analog in ﬁgure 7. The bcc cell is two times bigger than the primitive cell and the fcc cell four times. body centred (bcc) or f ace centred (fcc) of which only the sc cell is primitive. the plane (436) runs through the points 300. 1. like 90◦. 2 A direction within the lattice may be speciﬁed by an arrow that goes from the origin of the coordinate system to the point r = xa + yb + zc where x.1. Altogether there are 14 lattice types or Bravais cells. When lengths or angles are equal. The direction is then denoted by the triplet [uvw] in square brackets.1 Highest symmetry • For instance. In the cubic system (see later). one obtains grids of higher symmetry. b. k = v and l = w.1. tetragonal and cubic system are further split into lattice types that are either primitive or centered.1. it depends on direction. β = 90◦ = γ = 90◦ = γ = 90◦ = 90◦ .1 and shown in ﬁgure 7. c are orthogonal and their lengths are equal. There are 14 basic kinds of translation lattices (Bravais lattices) which correspond to 14 elementary cells. v. Among them. The plane (200) is parallel to (100) but cuts the a-axis at 1 a. 4. The polarizability is then isotropic.2. Lengths and angles in the unit cells of the seven crystal systems.1 Not shown in ﬁgure 7.2 shows the three lattice types of the cubic family: simple (sc). 7.Crystal structure 203 Table 7. without centring. this is shown in ﬁgure 7. let ua + vb + wc be the one with the smallest integers u. 7. The cubic system has the highest symmetry: a. . c in the conventional cell and the angles between them are arbitrary. furthermore. 6. Triclinic: Monoclinic: Orthorhombic: Tetragonal: Hexagonal: Rhombohedral: Cubic: a a a a a a a =b=c =b=c =b=c =b=c =b=c =b=c =b=c α α α α α α α =β =γ =β =β =β =β =β =γ = 90◦ . The cells of the triclinic and rhombohedral system are always primitive. whereas for other crystal systems. See ﬁgure 7. These 14 lattice types can be grouped into seven crystal systems which are described in table 7. A plane that is parallel to b and c and cuts only the a-axis at a distance a from the coordinate center is identiﬁed by (100). b. y. only seven of them are primitive. the direction [uvw] is always perpendicular to the plane (hkl) with h = u.1 Bravais cells and crystal systems In the general case. Figure 7. There is an inﬁnite number of such vectors pointing in the same direction. 3. For the cubic crystal system.2.2 Lattice types 7. a = b = c.

See table 7.2 Microscopic and macroscopic symmetry Under a symmetry operation. The three lattices types of the cubic crystal system: simple cubic (sc).1. If. body-centered cubic (bcc) and face-centered cubic (fcc).204 Structure and composition of dust c c a triclinic c b a b a b orthorhombic tetragonal c a cubic c b b a hexagonal Figure 7. symbolically. b.2. The angle between the vector pair (b. c is one such operation but it becomes ˚ apparent only on an atomic scale because the shifts are of order 1 A and thus . a) and γ = (a. A linear translation by one of the vectors a. c) is denoted α.1.2. sc bcc fcc Figure 7. for the fcc lattice the face-centring atoms are shown only on the three faces directed towards the observer. There are seven crystal systems of which ﬁve are shown here. we deﬁne likewise β = (c. b). 7.1. a crystal lattice is mapped onto itself. To avoid confusion. we write α = (b. c).

The parallelograms of Bravais lattices may be • • • • • oblique (a = b. a crystal has the shape of a polyhedron. One can readily work out that the only possible angles compatible with translational symmetry. although the latter is not explicitly used in the derivation of the 32 crystal classes. quadratic (a = b. All crystals can be divided into 32 classes where each class represents a mathematical group whose elements are the symmetry operations described earlier. Rotation about an axis. 90◦ . Any two vectors a .2. b . • • Inversion at a center.3). When one subjects it to a symmetry operation. besides the trivial 360◦ .3 Two-dimensional lattices The classiﬁcation scheme is much simpler and easier to understand in twodimensions. the normals of the faces of the polyhedron do not change their directions. When the Bravais lattices are combined with the symmetry elements permitted for a plane (rotation axis. there is a symmetry element that stays ﬁxed in space (the inversion center. such as the following ones.1. other angles are possible. γ = 90◦ . 7. hexagonal (a = b.4). are 60◦ . Macroscopically. These 32 classes completely deﬁne the morphological (macroscopic) appearance of crystals. one obtains 17 planar space groups. If the center is in the origin of the coordinate system. Reﬂection at a plane. of course. ﬁgure 7. However. ﬁgure 7. there are symmetry operations that also are evident on a macroscopic scale. like a gem in an ornament or the grains in the salt shaker. and centered rectangular (a = b.Crystal structure 205 much smaller than the dimensions of a real (even an interstellar) crystal. Now there are only ﬁve (translational) Bravais lattices and 10 crystal classes. The basic unit of a two-dimensional crystal is a parallelogram. respectively). γ = 90◦ ). too.5). the result of the microscopic structure. one arrives at 230 space groups. including two further symmetry elements (screw axis and glide plane). mirror plane and glide plane). for a single molecule (not a crystal). ﬁgure 7. Macroscopic symmetry is. However. rectangular (a = b. • In each of these symmetry operations. the rotation axis or the mirror plane. b with lengths a = b and angle γ between them describe a centered cell of a rectangular lattice but the cell with vectors a. γ = 90◦ . the operation may be symbolized by r = −r . γ = 90◦ . Without proof. 120◦ and 180◦. The translational symmetry is revealed from X-ray images and is described by the Bravais lattices. when the 14 Bravais lattices of the atomic world are combined with these symmetry elements. γ = 120◦).

206

Structure and composition of dust

b4

a a b1 a γ b3 b2

a

Figure 7.3. A two-dimensional lattice. There is an inﬁnite number of ways to generate cells. Here it is done by the vector pairs (a, bi ) with i = 1, 2, 3, 4. All deﬁne primitive cells, except a, b2 which has an area twice as large.

b

a

Figure 7.4. A simple rectangular lattice is generated by the primitive vectors a and b.

b’

b

b1

γ

a

a’

Figure 7.5. In a centered rectangular lattice, a primitive cell is generated by a, b1 and has half the area of a conventional cell generated by a, b. Note that a , b with a = b are also primitive vectors.

as in ﬁgure 7.5 seems to better convey to us the symmetry. Likewise in three dimensions, the body-centered (bcc) and face-centered (fcc) cubic type can be generated from primitive rhombohedra (where all three lattice constants are equal, a = b = c) but then again, one loses the advantage of a rectangular coordinate system because the angles are no longer 90◦ .

Binding in crystals

7.1.3 The reciprocal lattice

207

Because the structure in a crystal is periodic, it is natural to expand the density ρ(x) in a Fourier series. If a, b, c form the primitive vectors of the lattice according to (7.1), then ρG eiG·x . (7.2) ρ(x) =

G

The ρG are the Fourier coefﬁcients and the sum extends over all vectors G = ua∗ + vb∗ + wc∗ (7.3)

where u, v, w are integers and a∗ , b∗ , c∗ are the primitive vectors of the reciprocal lattice. The ﬁrst, a∗ , is deﬁned by a∗ = 2π b×c a · (b × c) (7.4)

so that a∗ is perpendicular to b and c and a∗ · a = 2π. The unit of a∗ is one over length. There are corresponding deﬁnitions and relations for b∗ and c∗ . Suppose a plane wave of wavevector k falls on a crystalline grain. Any small subvolume in the grain, let it be at locus x, scatters the incoming light. The amplitude of the scattered wave is proportional to the electron density ρ(x). Two outgoing beams with the same wavenumber k which are scattered by subvolumes that are a distance r apart have a phase difference ei k·r with k = k − k. The vectors k and k have the same length but point in different directions. To ﬁnd the total scattered amplitude E s , one must integrate over the whole grain volume V , so modulo some constant factor Es =

V

ρ(x)e−i

k·x

d V.

With respect to an arbitrary direction k , the integral usually vanishes as a result of destructive interference. It does, however, not vanish if k is equal to a reciprocal lattice vector G of (7.3), i.e. k = k − k = G. (7.5)

Equation (7.5) is another way of formulating the Bragg law for reﬂection in crystals.

7.2 Binding in crystals

Solids are held together through electrostatic forces. Five basic types of bonds exist and they are discussed here. All ﬁve types are realized in cosmic dust.

208

Structure and composition of dust

7.2.1 Covalent bonding In a covalent or homopolar bond between atoms, a pair of electrons of antiparallel spin, one from each atom, is shared. The more the orbitals of the two valence electrons in the pair overlap, the stronger the atoms are tied together. The bonding is directional and follows the distribution of the electron density which has a signiﬁcant high concentration between the atoms. One ﬁnds covalent binding in solids and in molecules. The wavefunctions in covalent bonding are not extended and only nearest neighbors interact. We sketch the simplest case which is presented by the H+ 2 molecule, although it contains only one electron, and not an electron pair. A stable conﬁguration with two protons and one electron is possible only if the protons have the right distance and the electron cloud is properly placed between them. The motion of the protons can be neglected for the moment; it may be included afterwards as a correction and results in quantized vibrational and rotational ˆ states. The Hamiltonian H of the H+ -molecule then represents the kinetic energy 2 of the electron (mass m, momentum p) and the electrostatic potentials among the three particles (ﬁgure 7.3), p2 ˆ + e2 H= 2m 1 1 1 − − R R1 R2 . (7.6)

When one assumes the distance R between the protons to be ﬁxed, the ˆ ˆ ˆ Hamiltonian of the electron, He (r), has the property that He (r) = He (−r) with r = (x, y, z). Any eigenfunction ψ is then even or odd if there is no degeneracy, and a linear combination of even and odd functions in the case of degeneracy. One therefore seeks ψ in the form of the symmetric or anti-symmetric functions ψs = ψ1 + ψ2 ψa = ψ1 − ψ2 .

Here ψ1 , ψ2 are the usual hydrogenic wavefunctions with respect to proton 1 and 2 with energies E 1 = E 2 . The electron is either at proton 1 or 2, one cannot say at which. When the distance R between the protons is very large, there is degeneracy and the system has zero binding energy (E b = 0). For smaller R, the degeneracy is removed. The electron is then in a double potential well and this leads to a splitting of energy levels. The analysis is completely analogous to the discussion of the double well in section 6.4.4. There is a binding (ψs ) and an unbinding state (ψa ) and their separation increases as R becomes smaller. The lowering of the potential energy as a function of R is [Lan74] E = 4χH Re−R−1 when R is expressed in Bohr radii, a0 , and χH denotes the ionization potential of hydrogen. The qualitative reason for the existence of a binding state (of lower energy) follows from the uncertainty principle: a hydrogen atom in its 1s ground state has a radius x = a0 and a momentum p = m e c/137, so x p = . The

Binding in crystals

209

y

e− R2 R1

x

R

Figure 7.6. A sketch of the conﬁguration between the two protons and one electron in the H+ -molecule. The protons are labeled 1 (right) and 2 (left). 2

binding energy of the hydrogen atom is E b = χH = p 2 /2m e . If the electron can spread out and be at two protons, as in the molecule H+ , more space is available 2 to the electron and its momentum and the binding energy will be lower. The electronic wavefunctions and the electron energies are schemtically drawn in ﬁgure 7.7 for intermediate R. When one includes the repulsion among the protons and considers the full Hamiltonian (7.6), the binding energy of the H+ molecule has its minimum E b = 2.65 eV at a distance of about two Bohr 2 radii. This is the stable conﬁguration of the molecule and E b is the dissociation energy. When R is further reduced towards zero, repulsion between the protons dominates and the system is again unstable. 7.2.2 Ionic bonding In ionic or heteropolar bonds, the adhesion is due to long-range Coulomb forces. In a crystal, the ions of opposite sign attract and those of the same sign repel each other but in the end, attraction wins. At short distances, there is an additional kind of repulsion but it acts only between adjacent atoms. It results from Pauli’s exclusion principle which restricts the overlap of electron clouds. Let us take a sodium chloride crystal (NaCl) as an example of ionic bonding. One partner, the alkali metal, is relatively easy to ionize (5.14 eV) and the other, the halogen Cl, has a high electron afﬁnity (3.61 eV). Although the transfer of the electron from Na to Cl requires 5.14 − 3.61 = 1.53 eV, the Na+ and Cl− ions can supply this deﬁcit. They can provide even more than that in the form of potential ˚ energy by coming close together. Indeed, at the equilibrium distance of 2.8 A, the binding energy per molecule equals 6.4 eV. As the ions of heteropolar bonds have acquired full electron shells, like inert gases, their electron clouds are fairly spherical and the charge distribution between the ions is low. Ionic bonding is, therefore, non-directional and usually

210

Structure and composition of dust

ψ

binding energy E1 anti−binding

x

binding

anti−binding

Figure 7.7. Left: A sketch of the wavefunction ψ in the H+ molecule. It may be either 2 anti-symmetric (ψa ) and anti-binding, then the electron density is zero midway between the protons, or it may be symmetric (ψs ) and binding, then the electron density is enhanced at x = 0 reducing the repulsive potential between the protons. Right: As the protons come closer, the degeneracy is removed and the atomic levels split into an unbinding and binding state.

found only in solids. To estimate the binding energy of an ionic crystal, we write the potential ϕi at the locus of atom i resulting from all other atoms j in the form ϕi =

j =i

±q 2 + ri j

λe−ri j /ρ .

j =i

(7.7)

In the ﬁrst term representing the interaction between ions of charge q, the plus sign refers to like, the minus sign to unlike charges and ri j is the distance between them. The second term heuristically describes the repulsive potential at very close distance. Because its range ρ is only about one-tenth of the equilibrium separation req between adjacent atoms, one can replace the second sum by nλe−r/ρ , where n is the number of nearest neighbors and r the nearestneighbor separation. The constants λ and ρ have to be determined from quantum mechanical calculations or from experiment. We put pi j = ri j /r and introduce the Madelung constant (±) A= . (7.8) pi j

j =i

If atom i is negative, there is a plus sign when atom j is positive and a minus sign when it is negative. For a crystal of N ion pairs, the total potential energy becomes q2 −r/ρ − A . tot = Nϕi = N nλe r

Binding in crystals

The equilibrium distance req follows from d

tot tot /dr

211

= 0, which yields

=−

Nq 2 A req

1−

ρ req

.

The Madelung constant A is evaluated in special routines. It must obviously be positive as tot is negative; for NaCl, A = 1.748. Pure ionic bonding is, however, an idealization; one ﬁnds it neither in molecules nor in crystals. Even when compounding alkali metals with halogenes, there is some homopolar component or overlap of orbitals. In the extreme case of CsF, homopolar binding still amounts to 5%. There are also no pure covalent bonds, even in H2 or diamond, because of the ﬂuctuations of the electron clouds. In the real world, there are only blends between the two bonding types. 7.2.3 Metals Another type of strong binding exists in metals. One may imagine a metal as a lattice of positive ions bathed in a sea of free electrons; metallic binding is therefore non-directional. 7.2.3.1 Sodium As as an example, we consider the alkali metal sodium (Na), the 11th element of the Periodic Table with an electron conﬁguration 1s2 2s2 2p6 3s1 . The two inner shells are complete and the 3s valence electron is responsible for binding. In sodium metal, the 3s electrons form the conduction band. In an isolated sodium atom, the 3s electron is bound to the Na+ ion by an ionization energy χNa = 5.14 eV. The electron is localized near the atomic nucleus and its wavefunction ψ goes to zero at large distances from the nucleus. When, however, the 3s electron is in the potential of a lattice of Na+ -ions, as in a metal, its wavefunction ψ is very extended and subject to a different boundary condition: symmetry requires that the gradient of the wavefunction vanishes midway between atoms. The quantum mechanical calculations now yield a binding energy of the electron to the ionic lattice of 8.2 eV. Because sodium has a density of 1.01 g cm−3 , the concentration of 3s electrons is 2.65 × 1022 cm−3 and the Fermi energy after (6.54) E F = 3.23 eV. From (6.54) also follows the density of states, ρ(E) = V dN = dE 2π 2 2m e

2 3/2

E 1/2 .

The average energy E of a conduction electron, is therefore, E = N −1 ρ(E) d E = 3 E F 5 1.9 eV.

Consequently, in a metal each sodium atom is bound by 8.2 − χNa − 1.9 1.16 eV.

212

Structure and composition of dust

7.2.3.2 Conductivity and heat capacity The free and mobile electrons of a metal are responsible for the high electric conductivity. In a constant electric ﬁeld E, they are accelerated but collide after an average time τ with phonons (thermally oscillating atoms). The resulting current density J is equal to the charge density ne, where n is the number of free electrons per cm3 , multiplied by their drift velocity v. An electron experiences an acceleration eE/m e over an average time τ , so that v = τ eE/m e . Because Ohm’s law (1.112) asserts J = σ E, the conductivity σ is σ = ne2 τ. me

At very low temperatures, collisions of the electrons with lattice imperfections are more important than collisions with phonons. Because of free electrons, the heat capacity has a peculiar behavior at very low temperatures. Below the Debye temperature, which is typically several hundred K and thus not low, the speciﬁc heat C due to the lattice falls rapidly, like T 3 (see (8.39)). The heat capacity of the electron gas, however, declines less swiftly, it is proportional to T and, therefore, dominates at very low temperatures. Crudely speaking, when there are n free electrons per cm3 , heating of the metal from zero Kelvin to temperature T thermally excites those conduction electrons which lie T degrees below the Fermi temperature TF , altogether a fraction T /TF . Their total mean energy is then U ∼ nkT and, therefore, C= nkT ∂U ∼ ∝ T. ∂T TF

For an exact relation, one has to use the Fermi distribution (5.37). 7.2.3.3 Energy bands and Bloch functions It is a general property of crystals that the electronic states are clustered in bands, with energy gaps between them. The basics of their formation was explained in section 6.4.3 on one-dimensional periodic potentials. To derive the energy states and eigenfunctions of an electron in the three-dimensional potential U (x), we ﬁrst note that as U (x) comes from the lattice ions and is strictly periodic, it may, from (7.2), be written as UG eiG·x (7.9) U (x) =

G

where the G are the reciprocal lattice vectors of (7.3). The general solution for the wavefunction ψ(x) is sought in a Fourier expansion, ψ(x) =

k

Ck eik·x

(7.10)

Binding in crystals

213

where the wavenumber k fulﬁls the periodic boundary conditions and is connected to the momentum p by p = k. o The coefﬁcients Ck are found by inserting (7.10) into the Schr¨ dinger equation: ˆ p2 ˆ ˆ + U (x) ψ(x) = Eψ(x) (7.11) H ψ(x) = 2m e and solving the resulting set of algebraic equations. In (7.11), the interaction among electrons is neglected. After some algebra, one is led to Bloch’s theorem, namely that the eigenfunction ψk (x) for a given wavenumber k and energy E k must have the form ψk (x) = u k (x) eik·x where u k (x) is a function periodic with the crystal lattice. So if T is a translation vector as given in (7.1), then u k (x) = u k (x + T). The wavefunction ψk (x) itself does not generally display the periodicity. It is straight forward to prove Bloch’s theorem in a restricted form, for a onedimensional ring of N atoms, where after N steps, each of the size of the grid constant, one is back to the starting position. It is instructive to consider the formation of bands from the point of view of the tightly bound inner electrons of an atom. When we imagine compounding a solid by bringing N free atoms close together, the inner electrons are afterwards still tightly bound to their atomic nuclei, only their orbits have become disturbed. Because of the disturbance, a particular energy state E i of an isolated atom will be split into a band of N substates due to the interaction with the other N − 1 atoms. The shorter the internuclear distance, the stronger the overlap of the wavefunctions and the broader the band; the energetically deeper the electrons, the narrower the band. There will be a 1s, 2s, 2p, . . . band. One can determine the energy states of a tightly bound electron by assuming that its wavefunction is a linear superposition of the atomic eigenfunctions. In this way, one ﬁnds the width of the band and the average energy in a band. The latter is lower than the corresponding energy in a free atom, which implies binding of the crystal. 7.2.4 van der Waals forces and hydrogen bridges The van der Waals interaction is much weaker than the bonding types discussed earlier and is typically only 0.1 eV per atom. It arises between neutral atoms or molecules and is due to their dipole moments. The dipoles have a potential U that rapidly falls with distance (U ∝ r −6 , see section 9.1).

214

Structure and composition of dust

If the molecules do not have a permanent dipole moment, like CO2 , the momentary quantum mechanical ﬂuctuations of the electron cloud in the neighboring atoms induces one; its strength depends on the polarizability of the molecules. This induced dipole moment is usually more important even for polar molecules. Its attraction holds CO2 ice together and binds the sheets in graphite. Hydrogen can form bridges between the strongly electron-negative atoms N, O or F; the binding energy is again of order ∼0.1 eV per atom. For example, when a hydrogen atom is covalently bound to oxygen, it carries a positive charge because its electron has been mostly transferred to the oxygen atom. The remaining proton can thus attract another negatively charged O atom. The double helix of the DNA is bound this way but so also is water ice. In solid H2 O, every oxygen atom is symmetrically surrounded by four others with hydrogen bonds between them. Because of these bonds, the melting and evaporation point of water is unusually high compared, for instance, to H2 S, which otherwise should be similar as sulphur stands in the same Group VI of the Periodic Table right below oxygen. This thermodynamic peculiarity of water is crucial for the existence of life.

**7.3 Reddening by interstellar grains
**

Our knowledge of interstellar dust comes from the following measurements: • • • • • Interstellar extinction. The interstellar extinction or reddening curve speciﬁes how dust weakens the light from background stars as a function of wavelength. Dust emission. We receive this from all kinds of objects: protostars, old stars with shells, interstellar clouds and whole galaxies. Infrared resonances. These are features observed in absorption and emission which allow us to identify the chemical components of the dust material. Polarization. It refers to light from stars behind dust clouds but also to scattered radiation and dust emission. Scattered starlight. Examples are reﬂection nebulae, the diffuse galactic light or the zodiacal light of the solar system.

The items in italics are our ﬁve observational pillars. In this section, we are concerned with interstellar extinction and the clues it provides to dust properties, the other pillars are discussed elsewhere. We ﬁrst describe the principles of stellar photometry because it is the basis for the reddening curve. 7.3.1 Stellar photometry The interstellar extinction curve is obtained from stellar photometry. The wavelength resolution in such measurements is usually poor, typically λ/ λ 10 but the broadness of the observational bands enhances the sensitivity. The standard photometric system is due to H L Johnson and W W Morgan and rooted

Reddening by interstellar grains

215

Table 7.2. The standard photometric system. The center wavelengths λc and the conversion factors wλ between magnitudes and Jansky after (7.14) are averages gleaned from the literature. The last column gives the conversion factors for a blackbody of 9500 K, see text. Band U B V R I J H K L M N Q Historical meaning Ultraviolet Blue Visual Red Infrared λc (µm) 0.365 0.44 0.55 0.70 0.90 1.25 1.65 2.2 3.7 4.8 10 20 wλ 1810 4260 3640 3100 2500 1635 1090 665 277 164 37 10 wλ (bb) 2486 2927 3084 2855 2364 1635 1116 715 294 184 46 12

in optical astronomy. It was later expanded into the infrared; there the choice of wavelengths was dictated by the transmission of the atmosphere of the Earth. The observational bands are designated by letters: U, B, V, R, I, . . . . Table 7.2 lists their approximate center wavelengths λc and the conversion factors, wλ , for translating magnitudes into Jansky and back (see (7.14)). The precise effective observation wavelength follows only after convolving the spectrum of the source with the transmission of the instrument and the atmosphere. In photometry, especially at shorter wavelengths, it is customary to express the brightness of an object in apparent magnitudes. These are logarithmic quantities and they were appropriate units in the days when the human eye was the only detector because according to the psycho-physical rule of W Weber and G T Fechner: the subjective impression of the eye changes proportionally to the logarithm of the physical ﬂux. But to the pride of many astronomers, magnitudes are still in use today. As they are laden with ﬁve millenia of history, only he who has thoroughly studied the 5000 year period can fully appreciate their scientiﬁc depth. An exhaustive explanation of magnitudes is, therefore, beyond the scope of this book. The brightest star of all, Sirius, has a visual apparent magnitude m V = −1.58 mag. Capella, Rigel and Vega are around zeroth and Spica (α Virginis) is only of ﬁrst magnitude. Generally, a step of one up in magnitude means a factor of 2.5 down in observed ﬂux. Whereas the apparent magnitude m λ at wavelength

216

Structure and composition of dust

λ depends on the stellar distance D, the absolute magnitude Mλ , deﬁned by m λ − Mλ = 5 log10 D pc −5 (7.12)

does not and thus measures the intrinsic brightness of a star. At a distance of 10 pc, the apparent and absolute magnitude are, by deﬁnition, equal. When there is intervening dust, one adds, to the right-hand side of equation (7.12) a term Aλ to account for the weakening of starlight through interstellar extinction: m λ − Mλ = 5 log10 Aλ is related to the optical depth τλ through Aλ = 1.086τλ. The strange conversion factor of 1.086 between the two quantities arises from their deﬁnitions: stellar magnitudes are scaled by a factor of 2.5, the optical depth by e 2.718. The term m − M in (7.12) is called the distance modulus. So ingenious astronomers have contrived a means to express length in stellar magnitudes. To convert a ﬂux Fλ in Jy into an apparent magnitude m λ or vice versa, we use the relation wλ . (7.14) m λ = 2.5 log10 Fλ Fλ is expressed in Jy, wλ is given in table 7.2. The formula is simple, the difﬁculty lies in the calibration factors wλ . The values in the literature scatter by about 10% and, furthermore, they do not refer to identical center wavelengths because of the use of different ﬁlters. The magnitude difference between two bands is called the color. It is equivalent to the ﬂux ratio at the corresponding wavelengths and thus determines the gradient in the spectral energy distribution. By deﬁnition, the colors of main sequence A0 stars are zero. The most famous A0V star is α Lyr (= Vega, D = 8.1 pc, m V = 0.03 mag, L = 54 L ). Such stars have an effective temperature of about 9500 K and they can be approximated in the infrared by a blackbody. Indeed, if we calibrate the emission of a blackbody at 9500 K in the J band and put all colors to zero, we ﬁnd the conversion factors wλ (bb) listed in table 7.2. In the infrared, they are not very different from wλ (adjacent column); however, the discrepancies are large at U, B and V because of the many absorption lines in the stellar spectrum that depress the emission relative to a blackbody. 7.3.2 The interstellar extinction curve 7.3.2.1 The standard color excess E B−V The interstellar extinction curve is obtained from photometry at various wavelengths λ on two stars of identical spectral type and luminosity class, one D pc − 5 + Aλ . (7.13)

L(λ) and τi (λ) are the spectral luminosity and optical thickness. λ ) = which no longer contains the distance D. we can write (7. The normalization of the extinction curve by E B−V is important because it allows a comparison of the wavelength dependence of extinction towards stars which suffer different amounts of reddening. 2. Obviously. With this notation.16) Aλ is the extinction in magnitudes at wavelength λ. gives the color excess m(λ) − m(λ ) = −[τ1 (λ) − τ1 (λ )] E(λ. one arrives at the extinction curve in its traditional form. the center wavelengths of the B and V band. 7.3. At λ = 0. The band symbol is also used for the apparent magnitude.2 How the extinction curve is deﬁned Fixing the wavelength λ in the color excess E(λ. V ) by E B−V . m at two wavelengths. it is the result of absorption plus scattering but observationally one cannot separate the two. V ) = = . V = m V or B = m B . The intrinsic color is denoted (B − V )0 in contrast to the observed color B − V .44 µm and λ = 0. V ) and called the standard color excess. Ext(B) = 1 Ext(V ) = 0. one receives from the stars the ﬂux Fi (λ) = L(λ) 4π Di2 · e−τi (λ) i = 1. without dust emission along the line of sight. for example.55 µm and normalizing E(λ. 2). λ and λ . Because the apparent photometric magnitude m is a logarithmic derivative of Fi (λ). λ ) at 0. which includes the effect of the selective weakening by interstellar dust. .2. E B−V AB − AV τB − τV (7. the difference in magnitude becomes m(λ) = −τ1 (λ) − 2 ln The difference in m(λ) between the two stars D1 D2 .Reddening by interstellar grains 217 of which is reddened (star No. whereas the other is not (star No. 1).15) E B−V = (B − V ) − (B − V )0 and likewise for any other pair of wavelengths. In the case of pure extinction.55 µm. Ext(λ) = Aλ − AV τλ − τV E(λ. m i (λ) = ln L(λ) − τi (λ) + 2 ln Di + constant and because τ2 = 0. the color excess is denoted by E B−V = E(B.

At longer wavelengths. One can also express the reddening by dust through the mass extinction coefﬁcient K λ normalized at the V band. The reduction in UV extinction for large RV suggests that the small grains have disappeared. at shorter wavelengths. all extinction curves look alike for λ ≥ 0. The only resonance in the extinction curve is the broad bump at 4. fairly uniform over all directions in the sky and RV equals 3.2.17).17) is called the ratio of total over selective extinction or. one measures E B−V . the larger values being found towards molecular.18) τλ /τV and Ext(λ) are mathematically equivalent. for example. If one plots instead of Ext(λ) the ratio τλ /τV then. is the most common quantity to characterize the opaqueness of a cloud. they can differ substantially. however. It is not a directly observable quantity. There is also scatter 1 ± 0. The visual extinction in magnitudes AV . RV . −1 −1 ). at optical and infrared wavelengths. The observed variations of RV range from 2.17).16) is. To obtain AV from photometry. 7. simply. the smaller ones toward high latitude clouds. the dust begins to emit itself. which also appears in the distance modulus of (7. The curves are largely (but not totally) ﬁxed over the entire wavelength range by the one parameter RV of equation (7. Aλ /AJ (the J band is at 1. The extinction curve refers to broad-band observations but nevertheless it is remarkably smooth.3 Remarks on the reddening curve The interstellar extinction curve (ﬁgure 7.1 to 10 µm.8) is observationally determined from about 0. Towards clouds.2 µm however. Still other forms. their cores are too obscured. Because K λ /K V = τλ /τV .1. one gets τλ Ext(λ) = +1 τV RV (7. its width varies ( λ • • . The reddening curve displays the following salient features: • • In the diffuse interstellar medium. Photometric data exist only for cloud edges. the shape of the curve Ext(λ) varies from one source to another.55 µm. containing the same information. deviations occur only in the UV.1 to well over 5. Ext(λ) of equation (7.25 µm) or (Aλ − AJ )/(AV − AJ ). to ﬁrst order. The central position of the bump stays constant from one star to another to better than 1% implying ˚ that the underlying particles are in the Rayleigh limit (sizes < 100 A).6 µm−1 ˚ or 2175 A which is always well ﬁt by a Drude proﬁle.13).218 Structure and composition of dust The quantity RV = AV = − Ext(λ = ∞) E B−V (7. assumes an RV value and then uses (7. even in the infrared. moreover. are sometimes more suitable for displaying certain trends. the optical depth is small and the extinction of background light weak.3.

The modiﬁcations may be due to energetic photons. the curve rises again. So compared to a blackbody of the same color B–V.9 the UBV diagram of unreddened main sequence stars.9 µm.32 mag. one could subtract scattering from extinction to obtain a pure absorption curve. This would provide a touchstone for any dust model. If one had good albedo measurements (which one does not have). it greatly supresses the stellar ﬂux. one plots one color against another. In the case of another extinction law. The reason for this behavior is that photoionization of the n = 2 level in hydrogen falls into the U-band. In the far UV (λ−1 > 6 µm−1 ). the slope and length of the arrow would be different . it corresponds to AV = 5 mag.8).8 suggest that the grains are modiﬁed when they change their environment. The latter would imply ﬂuffy particles built up of smaller subunits (section 2. of variable ˚ strength. we show in ﬁgure 7.4 and 0. Beyond 2175 A.9. The characteristic wiggle in the main sequence line in ﬁgure 7. Over this range. The two extinction curves in ﬁgure 7.30 and −0. A plausible explanation is coagulation of dust particles in clouds as a result of which the small grains disappear. There are altogether more than a hundred. All luminous stars of type B0 or earlier cluster in a tight strip with B–V between −0. The position in the UBV diagram of blackbodies with temperatures from 3500 to 40 000 K is always well above the main sequence. Interstellar reddening with the standard extinction law (RV = 3. with RV = 5. As an example of a TCD. condensation of gas atoms or collisions among grains. the ratio τλ /τV ﬁrst declines and here the light is made bluer(!). the identiﬁcation of the DIBs is still unclear. the extinction curve rises continuously.6). 7. The length of the shift is proportional to the foreground AV and in ﬁgure 7. At higher spectral resolution. the broadest being about 2 A wide. say.3 Two-color diagrams In two-colour-diagrams (TCDs). stellar light is reddened because extinction ˚ decreases with wavelength.1) shifts any star in the UBV diagram from the main sequence in the direction parallel to the arrow of ﬁgure 7. It is correlated with RV in the sense that the resonance is weak in clouds where RV is large.3. a stellar photosphere is much weaker at U . TCDs are a simple and efﬁcient tool with which to separate distinct or identify similar astrophysical objects. mainly between 0. As this is the dominant process for the photospheric opacity at this wavelength. Although discovered 80 years ago. This should happen several times during their lifetime as they pass from dense into diffuse medium and back.9. ˚ From the infrared to the hump at 2175 A. shape and width. one ﬁnds superposed on the extinction curve diffuse interstellar bands (DIBs but they are not shown in ﬁgure 7.Reddening by interstellar grains 219 • • • in the strength of the bump.9 reﬂects the variation of this supression (called the Balmer decrement) with effective temperature.

This dereddening is unique as long as the star is of type B5 or earlier so that the reddening path does not intersect the wiggle of the main sequence curve. If we observe an object somewhere in the right-hand part of ﬁgure 7. Whereas τλ /τV is normalized at V. refers to the diffuse medium. we can determine the amount of extinction by moving it up.4 Spectral indices Akin to a color is the spectral index.3. until it reaches the main sequence.19) . (for the same AV ). for some reason.8.16). 7.1. d log λ (7. RV = 5 to the edges of molecular clouds. The ratio of total over selective extinction. commonly deﬁned in the infrared as α= d log(λFλ ) .9 and know. that it is a main sequence star. parallel to the arrow. The observed interstellar extinction curve in the form τλ /τV and as Ext(λ) according to equation (7. RV = 3.220 Structure and composition of dust Figure 7. Ext(λ) is zero at V and equals one at B.

The main sequence locations of a few spectral types are indicated. Hence. the blackbody and reddening curve have been calculated.20) For a blackbody obscured by a foreground extinction τ (λ). ln(λ2 /λ1 ) (7.21) .8) and A V = 5 mag of foreground extinction. In practice. α is calculated not as a derivative but as the slope of λFλ between two wavelengths λ1 and λ2 : α= log(λ2 Fλ2 ) − log(λ1 Fλ1 ) .9. in the limit of high temperatures. the upper to 40 000 K. one has. The arrow shows the direction and distance by which a star is displaced from the main sequence under the standard reddening law with RV = 3. see text. The lower tip of the blackbody line refers to a temperature of 3500 K.1 (ﬁgure 7. UBV diagram for unreddened main sequence stars (thick line) and for blackbodies (thin line). log λ2 − log λ1 (7. The data for the main sequence are taken from the literature. a spectral index depends on wavelength. The ﬁgure is. α = −3 − τ (λ2 ) − τ (λ1 ) .Reddening by interstellar grains 221 Figure 7. therefore. quite accurate and may be used to ﬁnd the position of a main sequence star that suffers a certain amount of extinction A V .

to ﬁrst approximation.11 demonstrate how the indices change as a function of source temperature. K λ . In the left box it is an optically thin dust cloud with the standard mixture of silicate and carbon grains (see section 12.5 The mass absorption coefﬁcient The reddening curve yields only a normalized extinction coefﬁcient.222 Structure and composition of dust Figure 7. The spectral index α in the wavelength interval from 2. a star. The curves show how the spectral index is modiﬁed as the foreground extinction increases from 0 to 20 mag and 40 mag. Without extinction. For this purpose. To obtain the absolute value of the cross section per gram of interstellar matter. the object is a blackbody or.4). for standrad dust (see ﬁgure 7. one measures towards a star the standard color excess E B−V and the total hydrogen column density NH to . α of a blackbody approaches −3 at high temperatures. Of course. Because α is sensitive to both T and A V . K λ /K V . it is used in the classiﬁcation of protostars. other wavelength intervals fulﬁl the same purpose. for instance.2 and 20 µm which serves as a classiﬁer for protostellar objects. In this case. one has to know K V .10. The weak dotted lines are drawn to alleviate comparison between the two frames.10) α → −3 + AV · 0.10 and 7. An important example is the spectral index between 2. 7.2 to 20 µm after (7.20 or 12. for instance.036 for T → ∞. one also uses the index between 2. In the right box.3. Notice the different temperature ranges right and left. Figures 7.2 and 5 µm.20) of a source at temperature T that is observed through a foreground of visual extinction A V .

22) that a hydrogen column density of 5.1. Equation (7. we know K λ in the range from about 0. The average value over a large sample of stars is NH or with (7.23) 5.9 × 10−22 cm2 per H-atom and (7. (7.2 and 5 µm.9 × 1021 AV cm−2 .24) 200 cm2 per g of interstellar matter.10 but for the spectral index α between 2. In combination with the interstellar reddening curve. As ﬁgure 7. For technical reasons.8 × 1021 E B−V cm−2 (7. The observations are performed in the far UV from a satellite and consist of absorption measurements towards early-type stars in the Lyα line of HI and the Werner and Lyman bands of H2 .1 to 5 µm.086 × NH K V .8 × 1021 cm−2 produces a standard color excess .22) As AV = 1.11. NH 1.23) also allows us to estimate the dust-to-gas mass ratio Rd if one makes reasonable assumptions about the composition of the grains. The amount of dust relative to the gas follows then from the condition (7. This value is easy to remember. which both atomic and molecular hydrogen contribute: NH = N(HI) + 2N(H2 ). one ﬁnds K V a mass extinction coefﬁcient KV 4.Reddening by interstellar grains 223 Figure 7.17) and RV = 3. their shape and sizes. one chooses stars that are only slightly reddened and located in the diffuse interstellar medium.

224 Structure and composition of dust E B−V of 1 mag. MgO and FeO. mainly silicates form. which has a density ρ ∼ 10−3 g cm−3 .4 Carbonaceous grains and silicate grains 7. 1%. According to equations (7. quite independently of its particular choice.8 µm and 18 µm. O. (7. Considering the uncertainties.5 g cm−3 .2 × 10−5 cm−3 . The observational characteristic of silicates is the presence of an Si–O stretching and an O–Si–O bending mode at 9.4). [C]/[O] < 1. no carbon is available for the solid phase because all C atoms are locked up in CO which is a diatomic molecule with an exceptionally strong bond. as in M-type and in OH/IR stars. like C. so almost all of it resides in grains. it is heavily depleted in the gas phase (depletion factor f depl (Si) ∼ 30). Fe. they can only be modiﬁed there or destroyed. or Mg. carbonaceous grains form. had the same relative dust content. The type of dust that is produced depends on the abundance ratio of carbon to oxygen: • If there is less carbon than oxygen. R. N. as in C-type stars (these are carbon-rich objects like C.5). In such an environment. Silicon has a cosmic abundance [Si]/[H] = 3 × 10−5. the optical depth τ = ρ K V would become unity over a distance of only = 10 cm and we could not see our feet! 7.23) and (7. at least their seeds.25) The lower limit may be appropriate for the diffuse interstellar medium. If [C]/[O] > 1. • .25).5 . Observational evidence points towards the wind of red giants on the asymptotic branch of the Hertzsprung– Russell diagram as the place of their origin (section 9.95) but the method employed here is probably superior. assuming a bulk density of 2. the total dust volume in a column of 1 cm2 cross section with AV = 1 mag is Vdust ∼ 1.1 Origin of the two major dust constituents Interstellar grains. the higher for dense clouds where grains are ice-coated. At ﬁrst. N stars). cannot be made in the interstellar medium.4. besides minor solid constituents like MgS. tiny refractory nuclei are created in the inner part of the circumstellar envelope which then grow through condensation as they traverse the cooler outer parts (section 9. Rd = Mdust Mgas 0. Any dust model compatible with the interstellar reddening curve gives. Because at least half a percent of interstellar matter is in the solid phase. respectively. . . this is in agreement with the dust-to-gas ratio derived from the Kramers–Kronig relation in (2. How dusty is the interstellar medium? Very dusty! If the atmosphere of the Earth. the dust can only consist of the most abundant elements. Si.

total orbital angular momentum L = 1 (letter P) and total (including spin) angular momentum J = 0 (sufﬁx 0). for whose existence there are either observational or theoretical indications. 7. Smaller grains are probably prevented from penetrating deep into the solar system by radiation pressure and. However. silicon carbide. in units of . Because the isotopic abundance ratios are explainable in terms of nucleosynthesis in AGB stars or supernovae.Carbonaceous grains and silicate grains 225 Carbon has a cosmic abundance [C]/[H] = 4 × 10−4. The last substance. they have probably undergone considerable reprocessing in the solar nebula. Some of them were detected by spacecraft at the distance of Jupiter and identiﬁed as belonging to the local interstellar cloud by the direction and value u (∼26 km s−1 ) of their velocity vector [Gr¨ 94]. because of their distance.4.2 The bonding in carbon Carbon. which could also be determined.3 cm−3 ). Two out of three atoms are built into solids. include metal oxides (MgO. is only seen in C-stars through its emission signature at 11. and a depletion factor f depl (C) ∼ 3. Al2 O3 ). these subparticles are hypothesized to be of interstellar origin. as the Sun moves relative to the local interstellar cloud (it is of low density. or somewhat less. In the ground state. one 2s-electron may be promoted to a 2p orbital and then all four electrons in the second shell become unpaired. In the process of detection they were destroyed. Carbon and silicates are the major constituents of interstellar dust. by the interplanetary magnetic ﬁeld. Their masses. The bonding of carbon to other atoms is of the covalent type and there are two kinds: . In interplanetary dust particles and in primitive meteorites which have been collected on Earth.2 eV) but it will be more than returned in the formation of a molecule. MgS and SiC. There are several forms of carbonaceous grains: mainly amorphous carbon. The ground state of carbon is designated 3 P0 . one can identify inclusions which distinguish themselves by their isotopic pattern from the solar system. If so. However. the sixth element of the periodic system.3 µm but it is not detected in the interstellar medium. FeO. Other types of grains. graphite and PAHs. if they are charged. interstellar grains are beyond the reach of spacecraft. It is a triplet (preﬁx 3) with total spin S = 1. there are only two unpaired p-electrons. has four electrons in its second (n = 2) uncompleted shell: two s-electrons denoted as 2s2 with angular momentum quantum number l = 0 and two unpaired p-electrons (2p2 ) with l = 1. The promotion requires some energy (4. correspond to µm-sized grains which we think are rather atypical for the interstellar medium. dust particles of this cloud sweep through the solar system. Generally. one is in the gas phase. Fe3 O4 . this is the chemically relevant case where carbon has four covalent bonds. n H ∼ 0. so they cannot be brought to Earth and studied in the laboratory.

is an especially simple and symmetric hydrocarbon (a so called PAH. one gets cos α = − 1 . 3 The situation is similar in ethane. C6 H6 . likewise there are sp2 and sp hybrids. The combination of one s and three p electrons is denoted as an sp3 hybrid.and half a π-bond. the CH3 groups can rotate relative to each other (see ﬁgure 7. the p-orbitals are perpendicular to the plane. But the two remaining 2p orbitals in the carbon atoms. H2 C–CH2 . besides the sp2 hybrids. although the symmetry is no longer perfect. There is still one unhybridized 2p electron per C atom left. Here are examples: • In methane.12). CH4 . whose orbitals are perpendicular to each other and to the internuclear axis. The angle α between the internuclear axes follows from elementary geometry. So. so altogether we have a C=C double bond (one σ and one π). where the angle from C over C to H equals 120◦. Each of the two C atoms has again four sp3 hybrid orbitals connecting to the other carbon atom and to the neighboring three hydrogen atoms. the C–H binding is through σ -bonds. the unhybridized electrons in the 2p-orbitals are not localized but equally shared (resonant) in the ring.226 • • Structure and composition of dust In a σ -bond.5◦. In the linear molecule acetylene. the carbon atoms are held together by a triple bond. In a π-bond. There are two more π-bonds. the wavefunction of the two electrons has a lobe on each side of the internuclear axis. Because of the complete symmetry of the ring.14). which is a planar molecule. Because of the σ -bond between the two Cs. In this planar ring (aromatic) molecule.13). which makes the CH2 groups stiff with respect to rotation (see ﬁgure 7. overlap to an additional π-bond. • • • • . the stronger they are bound and the shorter their internuclear distance (see ﬁgure 7. The more bonds between two C atoms there are. HC–CH. The s and p wavefunctions can combine linearly resulting in hybrid orbitals. The carbon atoms are sufﬁciently close together so that neighboring 2p orbitals can pair to form an additional π-bond. two adjacent C atoms are coupled by a σ . They point from the C atom at the center of a tetrahedron towards the H atoms at its corners. the C atoms are sp hybridized yielding C–C and C–H σ -bonds. An sp2 hybrid is present in ethylene. The binding is therefore intermediate in strength between a single and a double bond. on average. in total. see later).15). In the identical hybridized sp3 orbitals. the coupling of carbon is completely symmetric to all four H atoms and the difference between s and p valence electrons has disappeared. each carbon atom has three sp2 hybrid orbitals connecting through σ -bonds to the adjacent two C atoms and one H atom. Acetylene is believed to be the basic molecule for the nucleation of carbonaceous grains in the wind of giant stars (see ﬁgure 7. C≡C. so α = 109. Benzene. There are σ -bonds between C–H and C–C. H3 C–CH3 . the electron distribution has rotational symmetry about the internuclear axis.

13–7. H atoms.1 Diamond In diamond. As a C atom has only four nearest (and 12 the internuclear axes again 109. Here a single bond in ethane (C2 H6 ).Csp 2) π (C2p. the bonding is similar to methane.3 Carbon compounds 7. σ (Csp2 . big circles.15.H 1s ) . In the description of the bond. the angle between ◦ .4.Csp) σ (Csp. C atoms. The distance between the atoms is 1.C2p) σ (Csp.Csp3 ) σ (Csp3 .Carbonaceous grains and silicate grains 227 ethane σ (Csp3 .14.4. Each C atom is linked tetrahedrally to its four nearest neighbors through sp3 hybrid ˚ orbitals in σ -bonds. small ones.3.54 A. ethylene σ (Csp2 .12. H1s).13. σ -bonds are drawn with full lines.5 Cs p 2 . Four types of carbon binding are exempliﬁed in ﬁgures 7. Double bond in ethylene (C2 H4 ). the type (σ or π) is followed by the atomic symbol and the participating orbitals. Triple bond in acetylene (C2 H2 ). acetylene π (C2p.C2p) σ( Figure 7. a crystalline form of carbon. for instance. π-bonds with broken lines.H1s) Figure 7.H1s) Figure 7. 7.

35A . where in both cases each atom has 12 nearest neighbors and the volume ﬁlling factor amounts to 74%.17). either face-centered cubic or hexagonal close-packed (see ﬁgure 7. . graphite sheets Figure 7. The side length of the hexagons equals 1. next nearest) neighbors.228 Structure and composition of dust benzene σ (Csp .42A. besides the sheet sequence ABABAB . . .15.C2p) σ (Csp2 . 3. the distance between ˚ neighboring sheets is 3.17). Resonance structure in benzene (C6 H6 ) with three π-bonds shared among six C atoms. each with an hexagonal ˚ honeycomb structure. In analogy to close packed spheres (ﬁgure 7. also ABCABC . Graphite is formed by sheets of carbon atoms.Csp2 ) Figure 7. This is to be compared with a close-packed structure. H1s) 2 π (C2p.16. the available space is ﬁlled to only 34% assuming that the atoms are hard spheres. .35 A. is possible and combinations thereof.

. diamond is extremely hard with hardness number 10. which is the energetically lower phase. diamond is used for cutting and drilling. however.Carbonaceous grains and silicate grains 229 next higher layer B bottom layer A Figure 7. Big raw diamonds are cleft parallel to octahedral crystal faces. one only needs to specify the position of one ball in the new layer.17. The bonding in diamond is strong (7. the angles between the facets are not . which is the standard gem with a circular girdle and 33 facets above and 25 facets below the girdle. each touching its six nearest neighbors. (b) When a ball is over the upper cross. On Earth. it is metastable in our environment but well separated by a large activation barrier from graphite. So diamonds are long lasting presents that will outlive the afﬂuent donors as well as the pretty recipients of the gems. . In the subsequent cutting. diamond is not in equilibrium at the conditions at the surface of the Earth.3 eV per atom) and due to its overall bonding isotropy.. directly over a sphere in layer A. . In fact. one obtains by repetition the sequence ABABAB . diamonds are formed under high pressure and temperature at a depth of about 200 km. diamond is electrically insulating. The upward transport during the volcano eruption occurs sufﬁciently rapid without a phase transition. (a) When a ball is centered at the lower cross. one gets by repetition a sequence ABCABC . . and a face-centered cubic lattice. is covered by an identical but horizontally shifted layer B (full). into brilliants. They are mined in Kimberlite pipes which are vents associated with volcanoes where the deep material is transported upwards so that it can be reached by man. A ground layer A of equal balls (dashed). As there are no free electrons. The stiffness of the bonds also explains the exceptionally high thermal conductivity (several times greater than that of copper). all other locations are then ﬁxed. There are two ways to put a third layer on top of B. This gives an hexagonal close packed structure (hcp).

˚ and 20 hexagons (C6 ).4. If there are many defects and if regularity extends only over a few atoms. The origin of the meteoritic diamonds is unclear but probably interstellar (carbon stars. Their existence in interstellar space is hypothetical.3.4.23 g cm−3 and a very high sublimation temperature (Tev > 2000 K at interstellar pressures). The stacking is arranged in such a way that above the center of an hexagon in the lower sheet there is always a C atom in the upper one. The bonding is similar to that in benzene as again the π-bonds are not them 120 localized in the rings and the electrons of the unhybridized 2p orbitals are free to move in the plane. They contain many H atoms and their density ρ is considerably lower than in perfect crystals for which ρ = 3. . brieﬂy PAH. PAHs are unambiguously identiﬁed in the interstellar medium and account for a few percent by mass of the interstellar dust. Possibly one ﬁnds at the periphery also other species. graphite cleaves well along these planes and owing to this property. We reckon that in interstellar space about 10% of the carbon which is in solid form is graphitic. It is made of 12 pentagons (C5 ). The sheets are only weakly held together by van der Waals forces.4 Amorphous carbon Diamond and graphite are very regular (crystalline). Diamond grains are also found in meteorites but they are extremely small ˚ (∼30 A). 7.42 A. interstellar shocks?).1 A. 7. The most famous. depending on who is pressing. is a planar compound made up of not too large a number of aromatic (C6 ) rings (chapter 12). The distance between adjacent C atoms is 1. 7. besides hydrogen.16). tiny chunks peel off to form sentences of rubbish or wisdom. A fascinating kind of PAHs are fullerenes. the coverage need not be complete. At the edge. Fullerines do not contain hydrogen.35 A (ﬁgure 7.2 Graphite Carbon atoms combine also to planar structures consisting of many C6 ˚ hexagonals. Therefore. its name is derived from the Greek word for writing: when gently pressing a pen over a piece of paper.51 g cm−3 . hydrogen atoms are attached but only sporadically.3. which produce the curvature. as in benzene.3. C60 . has the shape of a football. the angle between ◦ . supernovae.230 Structure and composition of dust related to the crystalline structure but to the refractive index n. the material is said to be amorphous. The diameter of the spheres is ∼7. so that not a negligible fraction of C atoms is at the surface.4. The angles are chosen to maximize the ﬁre (brilliance) of the stone. Graphite has a density of 2. Graphite consists of such C6 sheets put on top of each another. The distance from one ˚ sheet to the next is 3. This mobility endows graphite with an electric conductivity within the sheets.3 PAHs A polycyclic aromatic hydrocarbon. like OH or more complex radicals.

an example is bronzite. too. These amorphous particles should also contain hydrogen because it is present in the environment where they are created (wind of mass loss giants). When the electric vector of the radiation ﬁeld is parallel to the plane of the carbon rings.and π ∗ -band is analogous to the splitting into a binding and anti-binding state as illustrated in . the σ . The triangles represent the SiO4 units. pure carbon grains could only come from the hydrogen deﬁcient atmospheres of WC stars or R CrB stars. As we have seen in section 7. ˚ 7. Since the π-states are weakly bound. Most interstellar carbon grains are probably amorphous (aC).8) is usually attributed to small graphite-like grains (section 4. the π-electrons can be excited into the π ∗ -band.6 µm−1 in the interstellar extinction curve (ﬁgure 7. two adjacent tetrahedra share one oxygen atom.18. or as a disordered agglomerate of PAHs. Right: Other chain types are realized in silicates. here a double chain where more than one O atom per tetrahedron is shared (amphiboles). We may tentatively think of such hydrogenated amorphous carbon. abbreviated HAC.and π-electrons in such grains form the σ . as a potpourri of carbon compounds with all types of the bonds discussed earlier.5 The 2175 A bump in the interstellar extinction curve The bump at 4. respectively.3. In interstellar grains. Middle: In pyroxenes.Fe)SiO3 . with many unclosed rings and an endless variety of carbon–hydrogen connections.6 µm−1 hump. Left: The building blocks of silicates are SiO4 tetrahedra. The splitting into a π.and π-band.3. the chains are probably not very regular and linear.2.4.4. some of them stacked. which have a chain structure. (Mg.1). the π-band lies energetically above the σ -band. as in crystals but may more resemble worms because of widespread disorder. and this may cause the 4.Carbonaceous grains and silicate grains 231 pyroxenes Si O Figure 7.0.

4 ˚ than the radius of the O 0. First. like carbon.1 Silicon bonding and the origin of astronomical silicates Silicon stands right below carbon in Group IV of the Periodic Table. We may idealize an SiO4 tetrahedron as an Si4+ ion symmetrically surrounded by four O2− ions. The dust particles formed in oxygen-rich atmospheres are predominantly silicates. In other crystals.7 for the H+ molecule. For crystals with 0. 7. The coordination number and the coordination polyhedron for the limiting values of r . r is different. there is also substantial covalent bonding in the tetrahedron. however. for 0. is four.40 A. therefore. second. The ground state is also 3 P0 . silicon atoms are bigger. ˚ In silicates. Let us deﬁne r = ratio of the radii of neighboring atoms. which is the number of its nearest equal neighbors.4. that oxygen ﬁlls basically all the volume and. there are no silicon ring molecules and double bonding (Si=Si) is rare (it involves delectrons). ﬁrst.3. Its inner two shells are ﬁlled. The case r = 1 is depicted in ﬁgure 7.3. only in a solid the levels are broadened because 2 of the interaction with many lattice atoms. that the coordination number N of a Si4+ ion.41/1.41. The assignment of the 4.17. This implies. Second.4. r = 0.23 < r ≤ 0.62 A.6 µm−1 hump to π → π ∗ transitions is. . one has N = 6 and an octahedron as coordination polyhedron. Silicates consist of negatively charged SiO4 groups in the form of ˚ tetrahedra with a side length of 2.4 Silicates 7. 7.41 < r ≤ 0. two s and two p electrons (3s2 3p2 conﬁguration). They are the building blocks which form an ionic grid together with positively charged Mg and Fe cations. There are two basic reasons why silicon is chemically different from carbon. Therefore.4. it takes more energy to promote an s electron in order that all four electrons become available for covalent bonding. in the third (n = 3) it has.4. so their p orbitals cannot come together closely enough to overlap and form a π-bond. are summarized in table 7.232 Structure and composition of dust ﬁgure 7.4.2 Coordination number It is intuitively clear that the relative size of adjacent atoms in a crystal is important for the crystal structure. the radius of the central Si4+ ion is 0. controversial because of the overall messy character of the binding in carbon with its multitude of hard-toidentify bonds.73. however. the π ∗ -band is empty and responsible for electric conduction. the coordination number N equals 4 and the nearest neighbors form a tetrahedron. which assumes that the ions are hard spheres touching each other. Note that whereas the π-band is ﬁlled.41 A and much smaller 2− ion which is 1.

4. One. To visualize the three-dimensional structure of this mineral. Optical constants vary with time.5.Carbonaceous grains and silicate grains 233 Table 7. in the literature they are. The limiting ratio of the radius of the central ion to that of its nearest neighbors determines the coordination number and the kind of polyhedron around it. These six O atoms are at corners of an octahedron around the cation. For some applications. In this mineral. one indicates that magnesium is often replaced by iron. The question whether the choice displayed in ﬁgure 7. there are chains of SiO4 tetrahedra in which two O atoms are common to neighboring units. The repeating unit has the formula [SiO3 ]2− .73 1 Coordination number 3 4 6 8 12 Polyhedron around central ion ﬂat triangle tetrahedron octahedron cube hexagonal or cubic close-packed 7.5 A standard set of optical constants We have learnt in this section what dust is made of. • 7.4. The prototype is olivine (Mg. imagine that each Mg2+ or Fe2+ cation lies between six O atoms of two independent tetrahedra.3.15 0.Fe). The ratio r of the ionic radius of the metal cations to that of O2− is about 0. The latter are then isolated islands.Fe)SiO3.17). they form approximately an hexagonal close packed structure (ﬁgure 7. at least.03 to 2000 µm. also of the orthorhombic crystal family (the form without Fe is called enstatite. By writing (Mg. The basic silicate types are determined by the following criteria: • No oxygen atom is common to two tetrahedrons. amorphous carbon and silicate. Because the O atoms are so big.4.4). Ratio r of ionic radii 0. two. (Mg. We will call these data our standard set and it may be used as a benchmark for comparison between dust models. one also needs m(λ) for the two minor solid constituents: graphite and PAHs (section 12.23 0.41 0. The wavelength ranges from 0.19 is up-to-date or out-of-date . MgSiO3 ).Fe)2SiO4 which belongs to the orthorhombic crystal family. We mention bronzite. which is a sufﬁciently broad interval for most applications.3 Silicate types The (negative) [SiO4 ] anions and the (positive) metal cations can be regularly arranged in various ways. three or even all four oxygen atoms are shared with neigboring tetrahedra. We can now proceed to present a reasonable set of optical constants m(λ) for the two major interstellar solid substances.

19. For both substances. degrades to secondary importance in view of our general ignorance about grain properties.234 Structure and composition of dust Figure 7.5 Grain sizes and optical constants 7. The data fulﬁl the Kramers–Kronig relations of section 2. the optical region medium-sized and the UV. it declines proportionally to ν 1. k) and dielectric permeability ε = (ε1 . two resonances at 10 and 18 µm and a far IR decline proportional to ν 2 . For amorphous carbon. The absorption and extinction efﬁciencies resulting from ﬁgure 7. particles of different sizes must be invoked to explain its various sections.20. in the far infrared.2 µm.1 The size distribution Because the extinction curve covers a large frequency range. the extinction is basically ﬂat up to λ 0.5. Optical constant m = (n.55 . The infrared part requires ˚ large grains. the wavelength dependence is more complicated. ε2 ) for silicate material after [Lao93] and amorphous carbon after [Zub96] (their type BE).7 µm and then falls steadily at longer wavelengths. very low absorption in the near infrared.5 in the UV and usually negligible beyond 3 µm. the albedo is of order 0.19 for a typical grain size are shown in ﬁgure 7. 7. For silicate. There is also a ﬂat part in the ultraviolet up to 0. the 2175 A bump and .5.

one can ask how the grains have to be distributed in size in order that their wavelengthdependent extinction follows the observed interstellar reddening curve. The absorption (dots) and extinction (full line) efﬁciency for spherical dust grains of 0. The result is widely accepted and follows from binning the radii into intervals [ai . ai+1 ] with ai+1 > ai and optimizing the number of grains n i in each bin until agreement with the extinction curve is achieved. one assumes silicate and carbon material with optical constants similar to those in ﬁgure 7. smaller ones are inefﬁcient as absorbers or scatterers.20. Qualitatively speaking. the far UV small particles. composite grains made of these materials are also possible.Grain sizes and optical constants 235 Figure 7. a + da] one obtains a power law: n(a) ∝ a −q with q 3. For the dust composition.5 (7. silicate = Si.19. To quantify this supposition.19. we expect that at wavelength λ. Amorphous carbon = aC. .26) which is called the MRN size distribution [Mat77].1 µm radius with the standard set of optical constants from ﬁgure 7. The scattering efﬁciency can be found as the difference between extinction and absorption. the radii a of the relevant grains are given by 2πa/λ ∼ 1. Assuming that they are spheres and deﬁning the size distribution n(a) such that n(a) da = number of grains per cm3 with radii in the interval [a.

Not to a+ . m + dm.30).5. If fragmentation is the only process that determines the mass distribution.28) (7.5. ξ(µ. For an MRN distribution. which has an exponent q = 3. Dor82]. no wonder that the smallest ˚ grains (a < 100 A) were detected through their emission and not from studies of the extinction curve. the small grains would also contain most of the volume. m) dµ = number of fragments in the interval µ to µ + dµ resulting from the collision of a body of mass m. Consider a time-dependent mass distribution N(m. t) dm = number of particles in the interval m .5 by studying grains undergoing destructive collisions [Hel70. .236 Structure and composition of dust To ﬁx the size distribution. one must additionally specify its upper and lower limit. . 7. one separates the variables: N(m. To solve (7. m) dµ. t) is governed by the formula ∂ N(m. a+ and a− . the total mass or dust volume V is supplied by the big particles and the geometrical surface F by the small ones: V ∝ F∝ a+ a− a+ a− √ √ √ n(a)a 3 da ∝ ( a+ − a− ) ∼ a+ 1 1 √ −√ a+ a− 1 ∼ √ . therefore.27) but the outcome is not very sensitive to either boundary. t) + ∂t M N(µ.3 µm (7. and not their individual sizes. t) = η(m) · ζ (t). a− ˚ 10 A and a+ 0.2 Collisional fragmentation One can theoretically obtain a size distribution n(a) ∝ a −3. It is. roughly. t) dt = probability that particle of mass m is collisionally destroyed during time dt.30) M is the maximum mass of the particles and the total mass of the particles is conserved.29) n(a)a 2 da ∝ If q were greater than four. t)P(µ. and even less to a− because small grains λ) where only the total volume of the grains are in the Rayleigh limit (a− counts. t) such that N(m. N(m. m (7. t) = −N(m. t)P(m. a− (7. . P(m. because extinction becomes gray for large grains. t)ξ(µ.

ξ(µ. is the minimum mass for destructive collisions. m) dµ. t) µ 3 + m 3 1 1 2 dµ = ζ(t) · γ (m) (7. m). Both sides may be set to a constant. When one puts mx ξ(µ.5 . The constant θ follows from the condition of mass conservation: θ 0 m mx µ dµ = m. t) for destruction of a particle of mass m is obviously proportional to an integral over relative velocity vrel of the colliding particles multiplied by the collisional cross section. µx+1 With a power law ansatz η(m) = m −y one ﬁnds with a little algebra that y = 1. m).30) now becomes ˙ 1 ζ = −γ (m) + η(m) ζ2 M m η(µ) γ (µ) ξ(µ. is related to the ratio of initial mass over fragment mass. One expects that the number of debris. The solution for ζ(t) is ζ(t) = ζ0 1 + tCζ0 where ζ0 is the value of ζ at t = 0 and C is a positive constant.5 ≤ x ≤ 3). The lower boundary on the integral.83 over a wide range of x values (0. Q is some proportionality factor. after each shattering event. we need to know the mass distribution of the debris.32) The equation is completely separated as there is a pure time dependence on the left and pure mass dependence on the right. Equation (7. .Grain sizes and optical constants 237 The probability P(m. in terms of sizes. m .31) with ζ /ζ 2 = −C for η(m). Because for spheres m ∝ a 3 and dm ∝ a 2 da.5 ≤ x ≤ 2. the MRN distribution n(a) ∝ a 3y−2 a −3. very small particles are not destroyed. m) = θ x+1 µ empirical evidence suggests for the exponent that 0. as a ﬁrst approximation. (7. ξ(µ. that vrel is constant. we may write P(m. To solve ˙ (7.31) η(µ) µ 3 + m 3 1 1 2 dµ. we recover. t) = Q with γ (m) ≡ Q M m M m N(µ. If we assume. m/µ.

before they can be ground down by collisions or shocks to the saturation distribution n(a) ∝ a −3. the scenario does not include further modiﬁcations in the interstellar medium. for instance. in the outﬂow of giants [Bie80]. First. . varying values of RV or ice mantles. the particles have to be born uncomfortably big. Second.238 Structure and composition of dust There are two dissatisfactory aspects to this scenario when applied to interstellar dust. which do exist as one observes. for example.5 . such as accretion or coagulation.

a grain in interstellar space is not at all in an LTE environment. section 8. But whenever it is heated.Chapter 8 Dust radiation We treat.3 illustrates the emission of grains for a typical dust type. grain emission is also only a function of Td and. as in LTE.5 presents examples of the emission of very small grains. investigate. for a dust cloud of uniform temperature. (8.4. 8.1 The emissivity of dust A grain bathed in a radiation ﬁeld acquires an equilibrium temperature Td which is determined by the condition that it absorbs per second as much energy as it emits. For evaluating the emission of very small grains. in this chapter. given by ν abs = K ν · Bν (Td ). the excess energy is very rapidly distributed among the very many energy levels of the grain and the resulting distribution of energy states is given by the Boltzmann function and depends only on the dust temperature. which are those whose temperature does not stay constant. In section 8. This discovery had already been made in the abs 19th century. Td . We. in section 8. Finally. Of course.1 under the assumption that a grain consists of an ensemble of coupled harmonic oscillators in thermal equilibrium. According to Kirchhoff. A single grain radiates according to Kirchhoff’s law and we strictly derive this law in section 8.1.2. it also presents a ﬁrst example of radiative transfer.1) 239 . we have to know the speciﬁc heat and the internal energy of the dust material. therefore. we show how to compute the temperature to which a grain is heated in a radiation ﬁeld and add a few common examples as well as useful approximation formulae. for example by a photon. in local thermodynamic equilibrium (LTE) the abs ratio of the emission coefﬁcient ν to the absorption coefﬁcient K ν is a function of temperature and frequency only. Section 8. later it was found that ν /K ν equals the Planck function. the caloriﬁc properties of dust.1 Kirchhoff’s law 8. the physical background of dust emission. Therefore.

v=0 To obtain 4π th (i. The quantity ν is called the emissivity. v) −βhνi −vβhνi i e = Pi. the radiation integrated over all directions from oscillator i in the transition v → v − 1 at temperature T .1.2) weakly-coupled one-dimensional harmonic oscillators.41) and (6.v by the Einstein coefﬁcient Ai v. Otherwise the oscillators would be decoupled and unable to exchange energy at all: starting from an arbitrary conﬁguration. 2.v Ai Av.42).1). we assume that it consists of N atoms and approximate it by a system of f = 3N − 6 (see section 8. of course. The i th oscillator has levels vi = 0.v−1 is calculated according to the general formulae (6.3) The Einstein coefﬁcient Ai v. If the energy difference is lost radiatively. the total energy E of the system is E = E kin + V + H 1 2 f i=1 pi2 + m i ωi2 qi2 mi (8. Classically. 4π th (i.v of ﬁnding the i th oscillator in quantum state v is given by the Boltzmann equation (5. For a harmonic oscillator. the emissivity ν per unit volume is expressed in erg s−1 cm−3 Hz−1 ster−1 . 8. equilibrium could never be established. the level population of the quantized harmonic oscillators is described by a temperature T . In the thermal (canonical) description.2 Thermal emission of grains To understand how and why an interstellar grain emits according to equation (8. The latter is small compared to E kin and V but it must not be neglected altogether. . we have to multiply Pi. The sum over all probabilities is. v).240 Dust radiation The emission over all directions equals 4π ν . potential (V ) and interaction (H ) energy.v−1 (here the superscript i is not an exponent) and the photon energy hνi . v.2) and consists of kinetic (E kin).10) and β = 1/kT . The dimensions change accordingly. the eigenfunctions ψ are the . In (8. a unit volume or a unit mass.8): Pi. . each of mass m i and resonant frequency ωi .v e−βhνi (v+ 2 ) = 1 − e−βhνi e−vβhνi = Z (T ) 1 with the partition function Z (T ) from (5. qi and pi denote coordinates and momenta. . a photon of frequency νi escapes.v−1 hνi = 1 − e (8. and can make transitions of the kind vi → vi − 1. It can refer to a single particle.v = 1. one: ∞ Pi. For example. 1. The probability Pi.v−1hνi .4.2).

16). For the integrated radiation th of the particle over all frequencies.v Bv. th = i th (i ).3).5) This is the total emission of the grain at frequency νi . (8. the absorption coefﬁcient in the transition v → v − 1 of the oscillators with frequency νi can be expressed through the Einstein B coefﬁcients and the level populations (see (13. (8. Ai v.v−1 Bv−1. v≥1 Because of the mathematical relations (A. th (i ) = th (i. we obtain th (i ) = hνi Ai 1.Kirchhoff’s law 241 Hermitian polynomials Hn (y) of (A.1. according to (6.v and a change from B to A coefﬁcients.v − Pi.0 (v ≥ 1).1). we sum up over all levels v ≥ 1. Bv. c i i As the statistical weight of the levels is one. therefore. whereas a real oscillator has a maximum energy above which the system is unbound and only its lowest levels are approximately energetically equidistant.v−1 = Bv−1. towards the boundary their spacing decreases. v).0 that for an ideal harmonic oscillator there is no upper limit to its maximum energy and νi is the same for all levels v.61)). We. 8. The Einstein coefﬁcient is thus proportional to the quantum number v and we may put i Ai v. the coefﬁcient for the ground transition. yields v K νi = c2 −βhνi e−(v−1)βhνi − e−vβhνi . To compute the total emission per solid angle of oscillator i .v−1 = v A 1.4) All one has to know is Ai .v−1 hνi . one must add up all oscillators. have to evaluate the integral Hv (y)y Hv−1(y)e−y d y 2 and its solution is given in (A. v i i K νi = Pi.0 eβhνi − 1 .40). Note 1.3 Absorption and emission in thermal equilibrium According to the theory of line radiation.v−1 1 − e 8πνi2 .0 v≥1 v 1 − e−βhνi e−vβhνi = hνi Ai 1.

E . c2 Ai 1. 2 Furthermore. but we have to be aware that the frequency νi refers to a certain oscillator. the typical factor (1 − e−hνi / kT ) has canceled out. there is. Then the total energy E of the system. When we combine the two formulae. (8. The total energy E tot is now twice as large as for a gas and evenly split between V and E kin : E tot = E kin + V = 3NkT. we retrieve Kirchhoff’s law (8. rather interestingly.1. api2 of particle i is found by averaging api2 over the phase space with the Boltzmann distribution as the weight: api2 = e−β(api +E ) api2 dq1 . 2 When the atoms are not free but bound to their neighbors by electric forces. A gas of N atoms possesses 3N degrees of freedom and each degree of freedom has an average energy E = 1 kT .6). thermal equilibrium implies equipartition of energy when for each particle i of the system the kinetic energy is quadratic in its momentum pi and the potential energy is quadratic in its space coordinate qi .242 Dust radiation Summing over all levels v ≥ 1 gives the absorption coefﬁcient K νi of the grain at frequency νi . one ﬁnds bqi2 = 1 kT .4 Equipartition of energy We conclude with remarks on the distribution of energy under equilibrium conditions. .1). . . 8. As the atoms have only kinetic energy. and when the total energy of the rest of the system. that energy between the members of the system can . altogether 2 E tot = E kin = 3 NkT . Also note that K νi does include stimulated emission because it is incorporated into the formula v for K νi . d p f = e−βapi api2 d pi 2 e −βapi2 d pi = 1 1 = kT. 2β 2 Likewise. the radiation of frequency νi interacts with all level pairs and in the total absorption coefﬁcient K νi the temperature has disappeared. depends neither on pi nor qi . still contains the temperature via β = 1/kT . however.0 v K νi = K νi = . as in a solid. However. which is taken with respect to a particular pair of levels (v. can be written as E = api2 + bqi2 + E .5) and (8. . The mean kinetic energy. v Note that the absorption coefﬁcient K νi . the same average kinetic energy 1 kT . This derivation of equipartition 2 presupposes. Let us ﬁrst consider a gas where the atoms are unbound. including particle i . d p f 2 e −β(api2 +E ) dq1 . v − 1). Quite generally. there is also potential energy V . however.6) 8πν 2 v We might drop the subscript i in equations (8.

there are certain approximations to Q abs which allow us to ν evaluate Td analytically. one exploits the fact that dust emits effectively only in the far infrared where the Rayleigh limit is valid. by collisions with gas particles. 8. ν Q abs (a) · Jν dν = ν Q abs (a) · Bν (Td ) dν. 1.The temperature of big grains 243 be exchanged continuously. the absorption efﬁciency Q abs of spheres is then proportional ν to the size parameter 2πa/λ multiplpied by a function that depends only on frequency. However.ν 2. 2 then have different mean energies equal to hν/(ehν/ kT − 1) after (5. When T is small and the energy levels are quantized. a grain is hot when Q abs is high at the ν wavelengths where it absorbs and low where it emits. often with only a small loss in accuracy. equivalently. E = 1 kT . we get Q abs = ν 8πa m 2 (λ) − 1 · Im λ m 2 (λ) + 2 = a Q0νβ . It is evident from (8. Qualitatively speaking. These procedures require a computer.9) .1 The energy equation Equation (8. our standard case.7) abs K ν is the mass (or volume) absorption coefﬁcient of dust at frequency ν.8).7) and (8. Simplifying the latter by a power law. We neglect them for now. Therefore.3). but constant factor. in a straightforward way. of radius a and absorption efﬁciency Q abs (a). For spherical grains. According to (3. they have to be added in equations (8.2.2 The temperature of big grains 8.ν that differ at all frequencies by an arbitrary. yield exactly the same Td .2.2 Approximate absorption efﬁciency at infrared wavelengths When one wants to determine the dust temperature from equation (8.8) If other forms of heating or cooling are relevant. Different oscillators. and Jν is the average of the radiation intensity over all directions. ν (8. it holds only for classical systems or. for instance.8). 8. to calculate the dust temperature Td from the balance between radiative heating and radiative cooling: abs K ν Jν dν = abs K ν Bν (Td ) dν.11). (8. For a quick and often sufﬁciently precise estimate. at high temperatures. one ﬁrst has to compute the absorption efﬁciency Q abs (a) for all frequencies from Mie ν theory and then solve the integral equation for Td .8) that it is not the absolute value of Q abs that determines ν the dust temperature in a given radiation ﬁeld Jν . (8. Q abs and Q abs .1) permits us. although in thermal equilibrium. Two efﬁciencies.

.10) Figure 8. which is the relevant range of emission. for the ν particular value a = 0. they are fairly independent of radius provided the grains are not very big (a ≤ 0. We. Q abs /a. Q abs /a.5). When the expression Im{.1µm. therefore. We see that the ﬁt Q abs /a from (8. (8.244 Dust radiation Figure 8.1 µm but are quite generally valid in the infrared. propose for quick estimates at infrared wavelengths Q abs ν 10−23aν 2 [a in cm. Estimates of the exponent β range from 1 to 2.1. When the complex optical constant m(λ) deserves its name and is truly constant. The curves have been calculated with a = 0. . This is the value we favour. The broken line shows the approximation from (8. A blackbody would have β = 0 and a Q 0 = 1.1 gives a feeling for the quality of the approximation.20 which shows Q abs ν for a = 0.19. The ratio of absorption efﬁciency over grain radius.3 µm). for amorphous ν carbon (aC) and silicate (Si).} in (8. Values smaller than 1 are excluded for very long wavelengths because of the Kramers–Kronig relations (section 2.10).9) varies inversely proportional to wavelength.10) is not bad at ν λ > 10µm for both interstellar silicate and amorphous carbon dust. β = 1. The curves display the ratio of absorption efﬁciency over grain radius.1 µm. ν in Hz]. See also ﬁgure 7. β = 2. . At wavelengths λ > 10 µm. The optical constants are from ﬁgure 7.

.17). we ﬁnd that a blackbody r astronomical units from the Sun heats up to r −1/2 T = 279 K.The temperature of big grains 245 When we follow the suggestion of (8.2.13) 4πr 2 For example. (8. a perfect absorber with Q abs = 1 everywhere. With the power law (8. Approximate values are: ∞ 0 x 3+β d x ex − 1 6. a blackbody is usually colder than any other object. ex − 1 The right-hand integral is evaluated in (A. this value is close to the average temperature of the surface of the Earth.3 Temperature estimates 8.11) 8. Equation (8. AU For r = 1.2.3. although our planet does not emit like a perfect blackbody and its clouds reﬂect some 30% of insolation. as long as the grain temperature stays below a few hundred K so that the Planck function at these frequencies is small.80). β≥1 Q abs ∝ ν β ν Q abs is.8) then reduces to ν Jν dν = σ 4 T π (8.08 if β = 2.9) for Q abs . But this is irrelevant for ν the evaluation of the integral on the right-hand side of (8. In a given radiation ﬁeld. (8.494 if β = 0 24. But this is not a law. of course.9) and use a power law for the absorption efﬁciency. overestimated at high frequencies.12) σ being the radiation constant of (5. one can construct counter examples.89 if β = 1 122. the ν energy equation (8. The temperature is now independent of particle size.8) becomes ∞ 0 Q abs Bν (T ) dν = a Q 0 ν 2h c2 kT h 4+β 0 ∞ x 3+β d x . If a blackbody is heated by a star at distance r and bolometric luminosity L. its temperature follows from L = 4σ T 4 .1 Blackbodies Easiest of all is to ﬁnd the temperature of a blackbody.8) describing emission.

additionally. we may use. (8. The energy equation (8. or a whole dust cloud. (8. the star subtends a solid angle π R∗ /r 2 and the intensity towards it is Bν (T∗ ). Consider a grain at distance r from a hot star of luminosity L. Consequently. the approximation ν (8. To determine Td in (8.8) then transforms into ∞ 0 Q abs Jν dν ν 1.47 × 10−6aTd6 (cgs units). For example. (8. Jν = 2 Bν (T∗ )π R∗ .10) together with the integral (8. r in cm. The average intensity over all directions is. one may put. Jν is the diluted blackbody radiation of temperature T∗ .14) In cgs units. ν in Hz.17) . a is expressed in cm. From 2 the position of the grain. at all wavelengths relevant for absorption.2 Interstellar grains directly exposed to stars For real grains. therefore. 2 4πr 2 4 When we insert this expression of Jν into (8.3.246 Dust radiation 8. the stellar radius disappears and we ﬁnd (a.82). effective temperature T∗ and radius R∗ . for the absorption efﬁciency Q abs . According to (8. to warm a particle. a moderate temperature difference implies a vast change in the energy budget. from 20 to 30 K requires a tenfold increase in ﬂux. There is a further simpliﬁcation if the radiation ﬁeld is hard. Q abs ν so that 0 ∞ 1 Jν dν 1. it remains to evaluate the integral on the left.15) If. which is usually true in the interstellar medium. the heating rate of a grain and.0 L a 1 6 r−3 1 (cgs units).14).2. For an early-type star or even the Sun. Td in K. the 4 integral over Jν is directly proportional to T∗ . (8.47 × 10−6 aTd6 (cgs units).15) and use L = 4πσ R∗ T∗ after −1 ) (5. The equation is applicable as long as the grain diameter stays below ∼1 µm.11) for β = 2.47 × 10−6aTd6 (cgs units).14). L in erg s L 16π 2r 2 1. and Jν in erg cm−2 s−1 Hz−1 ster−1 .16) So the grain temperature falls off with distance from the star like Td = 4. in view of equilibrium. also its total emission rate are proportional to Td6 .

the dust temperature changes with particle radius a like Td ∝ a − 6 . this relation is valid only for grains of intermediate size. of order 1. By the latter we mean the environment in the solar neighborhood but outside clouds and not close to any star. 4π ISRF Jν dν ∼ 0. Generally speaking. giants and interstellar dust.6 that really tiny grains may not attain an equilibrium temperature at all. For the size range supposed to prevail in the interstellar medium (a ≤ 0.3 demonstrates the size dependence of the dust temperature for these two environments. The radiation ﬁeld expected there averaged over a solid angle is depicted in ﬁgure 8. Its main sources are stars of spectral type A and F. the other from interstellar dust with a maximum at ∼200 µm. we compute grain temperatures near a luminous star and in the interstellar radiation ﬁeld (ISRF). The temperature increases from tiny to huge particles by a factor of about three. several components. 247 line of sight. Integrated over frequency and solid angle.3 µm). one must replace the over L ν e−τν .e. As an example. One can discern. one is from starlight peaking at ∼1 µm. i.8) becomes independent of ν size and the grain temperature levels off to some limit. estimates of this kind sophisticated computations. This value is similar but not identical to that of a blackbody. We will see in section 8.19.8) and is not constant. instead their internal energy ﬂuctuates in response to the quantum character of the absorbed photons.5.4 Relation between grain size and grain temperature In the estimate (8. Tbb . the absorption efﬁciencies are calculated from Mie theory with optical constants from ﬁgure 7. If the particles are very small so that the Rayleigh limit is applicable to both emission and absorption. The ﬁgure contains none of our previous approximations.8). conﬁguration. to either side of (8. because Q abs stays under the integrals ν in (8. small grains are warmer than big ones. in ﬁgure 8. rather in the space between the stars. .2.17).2. the maximum temperature ratio is smaller.The temperature of big grains If there is extinction along the luminosity L by a frequency average uncertainties regarding radiation ﬁeld.3 becomes meaningless. If the grains are big. Then a plot of the kind of ﬁgure 8.04 erg s−1 cm−2 . Figure 8. 1 However.2. The two ISRF major ones are of comparable strength in terms of ν Jν . Q abs (a) in (8. The ISRF should be uniform in the galactic disk on a scale of 1 kpc. the radius a in the absorption efﬁciency Q abs (a) cancels out (see (3.3)) and all tiny grains of the same chemical ν composition have the same temperature. much bigger than the particles found in interstellar space. In view of the usual grain properties and geometry of the are often no less trustworthy than 8. Tlim .

grain radius a and distance r .4.2. At these wavelengths.01 to 0.248 Dust radiation ISRF of the interstellar radiation ﬁeld (ISRF) Figure 8. Small grains are always warmer than big ones. which is typically excited by a B1V star. it turns out to be satisfactory in both variables.01 and 0. The underlying dust model is emits at wavelengths > 3 µm a ﬂux proportional to Jν described in section 12. An increase in grain radius from 0. further away colder than carbon grains. In the logarithmic plot.4.375. • • • Writing the dependence of the temperature on distance as Td ∝ r −α . This behavior can be explained with the help of ﬁgure 8. grains are very hot and emit also below 10 µm. 8. so they have to be hotter than the carbon grains in order to get rid of their energy. When we check the accuracy of the approximation formula (8.1 µm lowers the temperature by ∼30%.5 Temperature of dust grains near a star The variation in dust temperatures in a reﬂection nebula.17) with the help of ﬁgure 8. The grains have radii of 0. Interstellar dust exposed to a radiation ﬁeld Jν ISRF .1: at short distances. . The curve is based on data from [Per87] but ISRF includes the emission of PAHs (spikes).2. is depicted in ﬁgure 8. silicates are warmer. and there is a wiggle around r = 1015 cm for silicates. the emissivity of silicate particles is small. the curves are very smooth. Carbon has a very constant α of 0.2. Near the star. almost linear in the case of carbon.1 µm and consist either of silicate or amorphous carbon. the slope α is not far from 1/3. The approximate mean intensity Jν in the Milky Way at the locus of the Sun.

the intensity Iν towards a uniform dust layer of optical thickness τν and temperature Td is Iν (τ ) = Bν (Td ) · [1 − e−τν ] so that an observer receives from a solid angle the ﬂux (8.19) (8. here the integrated mean intensity of the radiation ﬁeld is about 7000 times stronger.1).19. the experimental determination of dust temperatures is always dubious. For comparison.8 K in the ISRF. In both boxes.The temperature of big grains 249 Figure 8. at a distance of 10 and T∗ = 2 × 104 .18) Fν = Bν (Td ) · [1 − e−τν ] · . The temperature of spheres of amorphous carbon (aC) or silicate (Si) as a ISRF function of grain radius: Top. Bottom. The dotted line represents Td from the approximate formula (8.6 Dust temperatures from observations Whereas gas temperatures can often be obtained rather accurately from properly chosen line ratios. in the interstellar radiation ﬁeld with mean intensity Jν 17 cm from a B1V star with L = 104 L after ﬁgure 8. 8. the optical constants are from ﬁgure 7.2. After the basic equation of radiative transport (see section 13.2.3. a blackbody would acquire a temperature Tbb = 34.2 K near the B1 star and Tbb = 3.17).

20) the dust temperature under the following premises: • • • The emission is optically thin (τ 1). dotted curve) and silicate (Si. Td would cancel out because Bν (Td ) ∝ Td . The ﬂux ratio at two frequencies. a certain region in a galactic cloud.1 µm for the lower ones.4) and the observations have to be carried out with different spatial resolution. . ν denotes the frequency. The observational frequencies. This apparently trivial condition is sometimes hard to fulﬁl when the source is extended relative to the telescope beam (see section 13. (8. there is no absorption between the star and the grain. Particle radii are 0.19. do not lie both in the Rayleigh– Jeans limit of the Planck function. full curve) grains as a function of distance from a B1 main sequence star with 104 L and effective temperature T∗ = 2 × 104 K. The optical depth towards the star is zero. i. If they did. which is usually true in the far infrared.250 Dust radiation Figure 8.20) It is customary to extract from (8. The observations at the two frequencies refer to the same astronomical object. Temperature of amorphous carbon (aC.1. for instance. Optical constants are from ﬁgure 7. ν1 and ν2 .4. becomes B1 (Td ) [1 − e−τ1 ] F1 = F2 B2 (Td ) [1 − e−τ2 ] 1 2 . marked by the subscripts 1 and 2.01 µm for the upper full and dotted curve and 0.e.

1). without any physical correspondence. 8. like a planet. The blackbody intensity (Q abs = 1) ν is shown for comparison. over the particular frequency interval from ν1 to ν2 is known or. In a double-logarithmic plot of Fν versus ν and when λ is large. However. it is deﬁned by F1 ν1 α = . related through α =β +2 independent of temperature.3 The emission spectrum of big grains 8.20) simpliﬁes to F1 K 1 · B1 (Td ) = F2 K 2 · B2 (Td ) (8.5 ˚ displays. We recall here that the surface temperature of a star can also be obtained through photometry from an equation like (8. The number 2 in this equation comes from the Rayleigh–Jeans part of the Planck function.5 represent three astronomical environments: . all curves are parallel for any T . has a spectral index α = 2.21) but with K 1 /K 2 = 1 because a star is. (8. K 1 /K 2 . for silicate grains of 600 A radius. If all requirements are fulﬁlled. A blackbody (β = 0).9). Should the assumed value for K 1 /K 2 be wrong. F2 ν2 The exponent β in (8. we should always be sceptical about absolute values of Td .9) is debatable. at very long wavelengths. In view of the numerous restrictions and because the exponent β in (8. to ﬁrst order.The emission spectrum of big grains • • 251 The dust temperature in the source is uniform.9) and the slope α are. The ratio of the dust absorption coefﬁcients. ﬁgure 8. a blackbody.1 Constant temperature and low optical depth As a ﬁrst illustration of the spectral energy distribution emitted by dust. This quantity ν is proportional to the emissivity ν of (8. K ν itself is not needed. we may trust results of the kind Td (source A) > Td (source B) and their implications for the energy budget because they depend only weakly on the ratio K 1 /K 2 . The temperatures chosen in ﬁgure 8. The ﬂux ratio also determines the spectral index α of the energy distribution.3. the product Q abs Bν (T ).21) and yields Td in a straightforward manner. one gets a purely formal color temperature. equivalently the exponent β in (8.

say from 20 to 60 K. 60 K for warm dust in star-forming regions and 200 K for hot dust close to stars. ν The spectrum of a dust grain can be crudely characterized by the wavelength of maximum emission.19 (dotted curve). The Planck function Bν (Td ) as well as Q abs Bν (Td ) have the ν units of an intensity.5. Emission of a blackbody (full curve) and of a silicate grain of 600 A = 0. . • • • 20 K for the bulk of the dust in the Milky Way. Although the dust optical constants of ﬁgure 7.10) (broken curve) and from Mie theory with optical constants after ﬁgure 7. The efﬁciency Q ν from approximation (8. the power law approximation for the absorption efﬁciency Q abs from (8. Unless the dust is hot (²100 K). can boost emission by orders of magnitude.77)). the dust emission is very smooth.252 Dust radiation ˚ Figure 8. This is similar to Wien’s displacement law for a blackbody (see discussion after (5. Several points deserve a comment: • • • • • A dust particle emits at all wavelengths less than a blackbody. especially in the far infrared. only in the hot dust do we see the 10 µm resonance. For instance.6 µm abs of the silicate grain is calculated radius at different temperatures.10) gives acceptable results. A seemingly unspectacular temperature change by a factor of three.19 have some structure.

For small τν . To obtain the absolute value of Iν .6. Bottom.5 are proportional to the observed intensity Iν ν as given by equation (8.2 Constant temperature and arbitrary optical depth If the dust in a cloud is at constant temperature and the emission optically thin.The emission spectrum of big grains 253 ˚ Figure 8. the curves Q abs Bν (Td ) in ﬁgure 8. the curve there is normalized at 0.1 and 103 .55 µm. Top. the spectral distribution of the intensity is Iν = τν Bν (T ). the intensity has been calculated as a function of wavelength and arbitrary optical depth (from τV = 0. The intensity (in units erg s−1 cm−2 Hz−1 ster−1 ) towards a cloud of temperature T = 600 K ﬁlled with such grains. The line with τV = 0. 8. The visual optical thickness τV varies between 0. As .5 but the temperature is now higher. The Planck function Bν (Td ) corresponds to τV = ∞.18).3. the normalized optical depth of silicate grains with 600 A radius. one needs the optical depth τν .1 approximately reﬂects the optically thin case and may be compared with the plots in ﬁgure 8.1 to ∞) for a cloud consisting of ˚ identical silicate spheres of 600 A radius at a temperature of 600 K. The variation of the optical depth with wavelength is depicted in the lower part of the ﬁgure. The wavelength scale starts at 0.6. In ﬁgure 8.55 µm where τλ /τV = 1.

∂V ∂ xi = 0. They are equidistant and have the same spectral slope Iν ∝ ν α with α 4. so the derivatives of the potential V (x) vanish. To ﬁnd the eigenfrequencies of the oscillators. ˙ T = 1 2 i m i ηi2 ˙ (8.4. ηi = x i − x i0 and put V (x0 ) = 0. all forces exactly balance. determine their eigenfrequencies and density of states and evaluate the energy of the grain under the assumption of thermal equilibrium.4 Caloriﬁc properties of solids To investigate the caloriﬁc properties of a a dust particle.254 Dust radiation τV increases. Any information about the emitters is then lost. Iν asymptotically approaches the Planck function. .23) . which is always possible. x = (x 1 . If there are N mass points in the grain. one can approximate the potential by a Taylor expansion. . x0 We introduce coordinates relative to equilibrium.1 Normal coordinates In a simple-minded model. If the oscillations are small. one uses normal coordinates. . 8. the intensity curves for all τ run parallel. 8.22) As the kinetic energy T is quadratic in ηi . designated x0 . the atoms in a grain are replaced by mass points connected through springs. x n ) n = 3N. This is exempliﬁed by the disappearance of the 10 µm feature. Because V and its ﬁrst derivatives are zero. we treat the conglomeration of atoms in the grain as an ensemble of harmonic oscillators. At long wavelengths. the ﬁrst non-vanishing term is V (x) = 1 2 ∂2V ∂ xi ∂ x j ηi η j = 0 ij 1 2 Vi j ηi η j . At the equilibrium position. ij (8. we describe their positions by one vector in Cartesian coordinates. For instance. . the cloud becomes optically thick at 25 µm and emits like a blackbody for λ ≤ 25 µm when τV > 100.

six solutions will be zero if there are more than two (nonlinear) atoms but the remaining frequencies refer only to internal atomic oscillations. Let us consider a longitudinal wave. The force on any mass point depends then only on the distance to its nearest neighbors on the left and right. The motion in any coordinate x i will be a superposition of n harmonic oscillations of different frequencies ωi and amplitudes ai . as usual.26) ω2 = m where k = 2π/λ is the wavenumber and λ the wavelength. with a constant distance d between them when they are at rest. each with its personal frequency. a solution of the kind ηi = ai e−iωt yields a set of n linear equations for the amplitudes ai .1 Oscillators in a linear chain Instructive and well-known examples are provided by linear chains which present the simplest conﬁguration in which atoms can be arranged. 8. j For non-trivial values of ai .25) This is an algebraic equation of nth order in ω2 . (V j i − δ j i m i ω2 ) ai = 0. in alternating sequence. (8.Caloriﬁc properties of solids 255 one derives from the Lagrange function L = T − V of (6. with the property that each normal coordinate corresponds to a harmonic motion of just one ˙ frequency. When there are two kinds of atoms in the chain of mass m and M > m. respectively. n. and connected through springs of force constant κ. Let all atoms be of the same mass m.4. . yi2 ˙ V = 1 ωi2 yi2 . . . It is straightforward to derive the dispersion relation 2κ 1 − cos(kd) (8. and that the kinetic and potential energy are quadratic in yi and yi . It has n solutions and one thus ﬁnds n frequencies. the determinant must vanish. so called normal coordinates yi . In fact. |V j i − δ j i m i ω2 | = 0. through a linear transformation new. (8. T =1 2 2 i i So a grain of N atoms may be substituted by f = 3N − 6 independent oscillators. .24) m i ηi + j Trying. .1) the equations of motion ¨ Vjiη j = 0 i = 1. ηi .1. It is a standard procedure to obtain from the relative coordinates.

A solid body consisting of N atoms has 3N degrees of freedom. (8. Let there be s different frequencies altogether. The total energy content U of the solid is obtained by summing over all oscillators: s hνi ni .11). .28) E i = hνi + hν / kT 2 e i −1 The zero-point energy 1 hνi is not necessarily small compared to the second 2 term in (8. i = 1. We bin oscillators of identical frequencies. therefore. 1 hνi .4. 1.2 Internal energy of a grain A point-like unbound atom has three degrees of freedom corresponding to the three independent spatial coordinates along which it can move. When N ≥ 3. the mean energy of the oscillators of frequency νi is. At temperature T . .29) U (T ) = ehνi / kT − 1 i=1 When N is large. then s ni = f i=1 and the possible energy levels are E iv = hνi (v + 1 ) 2 v = 0. If n i oscillators have the frequency νi . In the acoustical mode. from (5. adjacent atoms swing in phase. (8. the eigenfrequencies νi are closely packed and one may replace the sum by an integral: U (T ) = 0 νD hν ehν/ kT −1 ρ(ν) dν (8. disregarded.256 Dust radiation the spectrum splits into what is called an acoustical and an optical branch. . The dispersion relation reads κ 2 (8.28) but drops out when calculating the speciﬁc heat and is. we can put f 3N. the number of vibrational modes in a grain is f = 3N − 6 because one has to subtract 3 + 3 to account for the translatory and rotational motion of the grain as a whole. oppositely and out of phase. in the optical mode where frequencies are higher. If the body has N atoms. An atom in a solid can be considered as a three-dimensional harmonic oscillator. . . s. there are now two eigenfrequencies. although there are now forces between the atoms. . 8. But in most applications. . there are f = 3N − 6 one-dimensional oscillators. For each wavenumber k. 2.27) M + m ± M 2 + m 2 + 2m M cos(2kd) ω± = mM where the minus sign refers to the acoustic and the plus sign to the optical branch.30) .

ρ(ν). . z) = 0 (see ﬁgure 8. m.4. Consider a rectangular crystal of N atoms with sides ax . kz ) = k(cos α. where N is only of order 100. Here a two-dimensional sketch for a rectangle with sides of length ax and a y . is found by determining ﬁrst the low-frequency part (sound waves). the wave must have nodes because the atoms cannot move. . . y. . z) = (ax . This is easy and similar to ﬁnding modes in acoustics. Modes have nodes at the walls of the crystal. Then ρ(ν) is extrapolated to high frequencies (optical waves) assuming the same functional dependence of ρ(ν). A plane wave in the crystal of wavelength λ has the form ei(k·r−ωt ) = (r)e−iωt k = |k| = 2π .30) to very small grains. cos γ ) At the walls. The extrapolation is convenient but far from accurate. y. This implies ±1 = e−ikx ax = cos k x ax − i sin kx ax which leads to l λ = ax cos α 2 m λ = a y cos β 2 n λ = az cos γ 2 l. like PAHs (section 12. where ρ(ν) denotes the number density of oscillator frequencies and νD the upper integration limit. 2. 8. The conditions for a standing wave are lλ/2 = ax cos α and mλ/2 = a y cos β for integer l. az along the coordinate axes and one corner at the origin r = (x. for instance. (0. 1.2). One has to be on the alert when applying (8. λ k = (kx .Caloriﬁc properties of solids 257 y ay ky β k α kx ax x Figure 8.7). k y .7. z) = 0. y.3 Standing waves in a crystal The density of states. a y . m. n = 0. cos β. . The wave propagates in the direction of the wavevector k.

1 Longitudinal and transverse waves A disturbance can travel in a crystal in two ways: • • as a longitudinal (compressional) wave where the atoms move in the direction of wave propagation or opposite to it. Thus all points (l. Because cos2 α + cos2 β + cos2 γ = 1 it follows that l 2ax /λ 2 + m 2a y /λ 2 + n 2az /λ 2 = 1.4. 3 3·8 λ 3c3 We divided by 8 because l. β. γ . If cl and ct are the sound velocities for the longitudinal and for both transverse waves. m. c3 ¯ (8. and as a transverse wave in which the atomic motion is perpendicular to wave propagation. Because the transverse wave has two kinds of polarization corresponding to motions with perpendicular velocity vectors.258 Dust radiation Each triple (l. there are altogether three types of waves and we have to make separate counts for all three of them. and if we deﬁne the average c by ¯ 1 2 1 = 3+ 3 3 c ¯ cl ct we ﬁnd for the frequency density in a crystal ρ(ν) = 4πax a y az 2 dZ = ν . m. dν c3 ¯ The number of eigenfrequencies in the interval ν to ν + dν is then dZ = 4πa x a y az 2 ν dν.4. n are positive numbers and fall into the ﬁrst octant. m. Their total number is approximately 4πax a y az 3 4π 8ax a y az Z≈ = ν .4 The density of vibrational modes in a crystal 8.4. 8. The direction into which the wave travels is given by the angles α. n) corresponding to wavelengths greater than or equal to λ lie inside an ellipsoid of volume V = 32πa x a y az /3λ3 .31) . c = λν denotes the sound velocity. n) of positive integers speciﬁes one mode and can be represented by a point in a Cartesian coordinate system.

4. Cv = ∂U ∂T f =k V i=1 x i2 e xi ni [e xi − 1]2 xi = hνi . the number of all modes. The Debye temperature θ is related to νD through θ= hνD . If n= is the density of atoms. For a continuous distribution of modes.4. we insert ρ(ν) from (8. U (T ) = Cv (T ) = ∂U ∂T 9N 3 νD 0 νD hν 3 dν ehν/ kT − 1 T θ 3 0 θ/T (8. k (8.2 The Debye temperature 259 The cutoff νD that appears in (8.8. (8. 8. kT (8.30) for the internal energy of a crystal is the highest possible frequency.5 Speciﬁc heat The speciﬁc heat at constant volume of a system of f one-dimensional oscillators follows from (8. There is a limit because Z obviously cannot exceed 3N.33) The frequency density may now be written as ρ(ν) = 9N 3 νD ν2.35) It speciﬁes how much energy is needed to raise the temperature of a body by 1 K.36) (8.29).30) to ﬁnd the internal energy and speciﬁc heat.Caloriﬁc properties of solids 8. the crystal does not have to be rectangular but may have any shape. 4π (8.37) = 9k N V x 4ex d x.4. (e x − 1)2 There are two important limits: . Therefore the maximum of Z is Z max = 3N.32) This is the Debye frequency.34) into (8. we get ¯ νD = c · 3 N a x a y az 9n . What the true frequency density might look like compared to the Debye approximation is qualitatively illustrated in ﬁgure 8.34) Actually.

There is a cutoff at νD because the number of degrees of freedom of all atoms is ﬁnite. which is to be compared with the Debye approximation of (8.34) (full curve). .17) for the mathematics): U= CV = 3π 4 NkT 5 12π 4 Nk 5 T θ T θ 3 (8. The latter is correct only for sound waves with wavelengths much larger than ˚ the grid size of the crystal (∼1 A). the formulae approach the classical situation where a three-dimensional oscillator has the mean energy E = 3kT . It yields at low temperatures the famous T 3 dependence of C V .260 Dust radiation Figure 8. the upper bound θ/T approaches inﬁnity and the total energy of the grain and its speciﬁc heat are (see (A.41) Any improvement over the Debye theory has to take the force ﬁeld into account to which the atoms of the body are subjected. At high temperatures.40) and the speciﬁc heat is constant and given by the rule of Dulong–Petit. The frequency density ρ(ν) of crystal vibrations. A true distribution might look like the dotted curve.8.39) • The characteristic feature in C V is the proportionality to T 3 . C V = 3Nk. (8. • At low temperatures. so U = 3NkT (8.38) 3 (8.

4. this gives kθ νmin = √ . Although the coupling between the sheets is relatively weak.43) x 3ex dx (e x − 1)2 The two-dimensional case is important for PAHs because they have a planar structure.4. For graphite sheets. One can estimate the minimum frequency νmin from the condition that in the interval [0. Very low vibrational frequencies cannot be excited in small grains.42). C V eventually approaches the T 3 dependence. It also applies to graphite which consists of PAH sheets. however. h 3N (8. . one ﬁnds a density of modes ρ(ν) = 6N ν 2 νD (8. only the lowest levels are populated. T (8. when the temperature goes to zero. Under normal interstellar conditions. Collisional excitation of the modes by gas atoms is possible provided kTgas ≥ hνmin . only at temperatures above 20 K. not as ν 2 .6 Two-dimensional lattices 261 When the analysis of section 8. Therefore now C V ∝ T 2 and U (T ) = C V = 6k N 1 y2 6N 2 νD y 0 νD 0 ehν/ kT hν 2 dν −1 y= θ . the smaller νmin becomes. there is good agreement with experimental data [Cha85].44) x 3ex (e x − 1)2 d x.4 is repeated for a two-dimensional crystal of N atoms. With θz = 950 K referring to out-of-plane bending and θx y = 2500 K to inplane stretching vibrations [Kru53].42) which increases only linearly with frequency.45) The bigger the PAH.Caloriﬁc properties of solids 8. one can improve the model of the speciﬁc heat by using two Debye temperatures: C V (T ) = k N f (θz ) + 2 f (θx y ) f (y) = 2 y2 y 0 (8. With ρ(ν) from (8. νmin ] the PAH has just one frequency. 1= 0 νmin ρ(ν) dν.

Figure 8. after [Kru53] using (8. similar to [Guh89]). after [Cha85]) and PAHs without hydrogen atoms (dotted curve. graphite and silicate have a T 3 dependence. .9 summarizes the speciﬁc heats C V (T ) which we use in the calculations of the emission by small grains.41). The thermal behavior is determined more simply from the speciﬁc heat.0 × 1022 and silicate about 2. its temperature will ﬂuctuate.9. We will speak of very small grains (vsg for short) when we have in mind particles whose temperature is time variable because they are tiny. the grain temperature jumps up by some not negligible amount and subsequently declines as a result of cooling. The optical behavior depends in a sophisticated way on the two dielectric functions ε1 (ω) and ε2 (ω) and on the particle shape. As the grains get warmer. graphite (broken curve. C V = 3Nk. we need their optical and thermal properties. 8. Graphite has 5. This happens because whenever an energetic photon is absorbed. the curves ﬂatten towards the Dulong–Petit rule (8.6 × 1022 atoms per gram. The speciﬁc heat per gram of dust for silicate (full curve.262 Dust radiation Figure 8.5 Temperature ﬂuctuations of very small grains When a dust particle is very small. for PAHs C V changes like T 2 . To compute their emsission. At low temperatures.44)).

5. They occur at a rate Pi A f i .47) Although the emission of such a single grain is not constant over time. Each state U j corresponds to a temperature T j or frequency ν j = U j / h with corresponding spreads T j and ν j . at any time. .1). which is a function of temperature only. In equilibrium. we can express its average monochromatic emission per solid angle by ν = πa 2 Q abs ν Bν (T )P(T ) d T. We bin U (T ) into N states U j of width U j with j = 1. its internal energy U (T ). N.5.46) In normal interstellar grains of average size. Q abs Jν dν = ν Q abs Bν (Teq ) dν. changes. the whole ensemble radiates at any frequency at a steady rate. . must be equal: Æ Æ Æ Npop = Ndepop . ν Even for a very small particle we will assume that its radiation. where the matrix element A f i denotes the transition probability that a single grain changes from state i to f .2 The transition matrix When a grain absorbs or emits a photon.8). of course. An absorption or emission process implies a transition in U from an initial state i to a f inal state f . for each level j the number of populating and depopulating events. obeys Kirchhoff’s law (8. 8. so in the case of a sphere of radius a. T + d T and call P(T ) the probability density.Temperature ﬂuctuations of very small grains 8. P(T ) approaches the δ-function δ(Teq ). . We are faced with the problem of ﬁnding P(T ) and we describe below its solution (an elaborate treatment can be found in [Guh89] and [Dra01]). where Teq follows from the steady-state balance between emission and absorption from (8. the temperature oscillates only a little around an equilibrium value Teq and in the limit of large grains. Let us arbitrarily pick out one of them and denote by P(T ) d T the chance that its temperature lies in the interval from T . . (8. (8.1 The probability density P(T ) 263 Consider a large ensemble of identical grains in some interstellar environment. normalized: ∞ 0 P(T ) d T = 1. . . The probability particles in state U j is P j of ﬁnding an arbitrary grain in a large ensemble of equal to the number of all grains in level j divided by . It is. 2. Npop and Ndepop . .

Akj = abs 4πCν Jν hν νk ν = νk − ν j j < k. abs 4πCν Bν (T j ) Akj = νk ν = ν j − νk k < j. k= j Ndepop / Æ = Pj k< j Akj + P j k> j cooling Akj = P j heating In both formulae. PN and then rescale the P j by the obvious condition that all probabilities must add up to one (see (8. Likewise we have. the number of transitions P j Akj from j → k is thus proportional to the width of the initial (via P j ) and ﬁnal energy bins. . i (8. The energy balance requires for the cooling and heating rate of each . To ﬁnd the probability density P(T ) required in equation (8. below those for heating. the ﬁrst sum after the ﬁrst equal sign refers to processes that cool and the second to those which heat the grain.47).46)). for dust cooling from state j to a lower one k. for each level j . Npop / Æ= k> j Pk A j k + k< j Pk A j k = k= j Pk A j k Akj . (8. solve (8. . As it should be. With the purely mathematical deﬁnition Akj Ajj = − k= j we may write the condition Npop = Ndepop for all j as A j k Pk = 0. . one may ﬁrst put P1 = 1. k (8.264 Dust radiation Therefore.48) Only N − 1 of these N equations are linearly independent.51) hν Above the main diagonal stand the cooling elements. P j = 1.49) A matrix element Akj referring to dust heating ( j < k) is equal to the number of photons of frequency νk − ν j which a grain absorbs per Hz and second multiplied by the width of the ﬁnal bin νk . (8. .48) for P2 .50) abs Jν stands for the mean intensity of the radiation ﬁeld and Cν is the absorption cross section of the grain.

in order to fulﬁl the energy equation. j +1 k≤ j We mention that heating may not be reduced to transitions j → j + 1. only the elements A f i with f = i − 1 are non-zero. But the latter.48) the computationally rapid recursion formula (but see the simple trick described in [Guh89] to safeguard against numerical rounding errors). in practical applications it sufﬁces to ignore cooling transitions with j → k < j − 1. except A j −1. One can. (8. it is good to know when such calculations are necessary. . Generally speaking. . their emission changes the grain temperature very little. N − 1. This would ignore the big energy jumps of the grain after UV photon absorption which are important for the probability function P(T ). Unfortunately.5.3 Practical considerations Calculating the emission of a grain with temperature ﬂuctuations is not straightforward.8).52) The total matrix A f i has thus acquired a new form where. Therefore. Akj νkj = k< j 0 ∞ abs 4πCν Bν (T j ) dν cooling 265 Akj νkj = k> j 0 ∞ abs 4πCν Jν dν heating with νkj = |ν j − νk |. . above the main diagonal.Temperature ﬂuctuations of very small grains level j . 1 Akj Pk j = 1. (8. j = ∞ 0 abs 4πCν Bν (T j ) dν · h(ν j − ν j −1 ) −1 . j . In fact.53) P j +1 = − A j. j = 0 abs 4πCν Jν dν · h(ν j +1 − ν j ) −1 do not violate energy conservation. they should be carried out whenever the time interval between the absorption of photons with an energy comparable to the heat capacity of the grain is larger than the cooling time. One now immediately obtains from (8. This suggests that in cooling from state j one needs to consider only the transitions to the levels immediately below. therefore. they would result in an unrealistically small spread around the equilibrium temperature Teq of (8. put all matrix elements A f i above the main diagonal to zero. have to be written as A j −1. As cooling proceeds via infrared photons which have low energy. this is not very . Although heating elements of the form ∞ A j +1. . 8.

however. Radiative cooling is not balanced at every instant by heating and so the internal energy U changes for a spherical grain of radius a according to the ﬁrst-order differential equation: dU = 4π πa 2 dt Q abs Jν (t) dν − ν Q abs Bν (T (t)) dν . we will present examples that give some feeling for when temperature ﬂuctuations are important and how they modify the spectrum.13. especially in problems of radiative transfer. but not a precise one. is the time-averaged ratio of emitted over absorbed energy which must. as the former has at low temperatures a ﬁner spacing in energy to handle the infrared photons. therefore. The boundaries of the grid. either in temperature or energy. is time variable. The grains are tiny so that their heat capacity is small. ν The right-hand side describes the difference between the power absorbed from the radiation ﬁeld Jν and the cooling rate. 1012) from its maximum. Qualitatively. are hard to determine beforehand and intuitive values like Umin = 0 and Umax = hνmax are often not adequate. a good grid is sometimes not easy to ﬁnd. Generally. a grid of constant T seems to be better suited than one with constant U . Whenever the function P(T ) becomes very sharp. of course. it sufﬁces to calculate the radiation of the particle from (8. The radiation ﬁeld is weak to make the intervals between capture of energetic photons long. However.1) with a constant temperature from (8. The temperature of an individual particle.266 Dust radiation practical advice. Evaluating the probability density P(T ) when temperature ﬂuctuations are small is not only unnecessary but can also incur numerical difﬁculties. recommended: starting with a ﬁrst choice that crudely brackets the maximum of P(T ). one has to avoid a large transition matrix A f i and properly select the energy bins. As P(T ) varies strongly with hardness and strength of the radiation ﬁeld as well as with particle size. An indicator for the computational accuracy. Replacing U by the speciﬁc heat . one can ﬁnd a better adapted grid by using as new boundaries those values of T where P(T ) has dropped by some large factor (for instance. An iterative procedure is. 8. Umin and Umax . there are three requirements for temperature ﬂuctuations to occur: • • • The radiation ﬁeld is hard to ensure the presence of energetic photons.5. The simplest grid has a constant mesh size. We are purposely vague about what is meant by hard but one may think of the UV range. equal one. To minimize the computational effort.4 The stochastic time evolution of grain temperature The probability density P(T ) describes the steady-state temperature distribution of a large ensemble of grains. This point is counterintuitive but is exempliﬁed in ﬁgure 8. a grid of 100 energy bins is sufﬁcient provided they are properly selected. Because U ∝ T α with 0 ≤ α ≤ 3.8).

Most of the grain heating. They are computed from N j with a random number generator. although its time-averaged ﬂux is constant. this gives Ti+1 . One must. To solve (8. occurs sporadically through absorption of individual energetic photons (>1 eV) and leads to temperature jerks. the probability density P(T ) follows from counting how many times during the period τ the temperature attains values in the interval T . we may write 4π πa 2 dT = dt C(T ) Q abs Jν (t) dν − ν Q abs Bν (T (t)) dν . At the beginning of the new time step i + 1. The emissivity ν can be computed as an average over time τ . Then we solve for the (i + 1)th time step lasting from ti until ti+1 = ti + t the differential equation 4π 2 a 2 dT =− dt C(T ) Q abs Bν (T (t)) dν ν with the boundary condition T (ti ) = Ti + Ti . ν = πa 2 τ τ 0 Q abs Bν (T (t)) dt. Let Ui and Ti be the energy and temperature of the grain at time ti . we proceed as follows. T + d T . The chance that a j = 1 is N j . ν 267 (8. T (t). . however. the N j are much smaller than one and represent also the probability for photon capture. has been laboriously evaluated from (8. T (t). ν . the ﬂux of emitted low-energy infrared photons. . To make equation (8. take into account that the electromagnetic ﬁeld is quantized.35)). When the evolution of the temperature. this ordinary differential equation yields the time evolution of the temperature. hν j For short time steps t.46). To incorporate the quantum character of the photons. These numbers are then normalized according to (8. is continuous. For each time step. i. The number of photons with frequency ν j that are absorbed within each time step equals Nj = t · 4π πa 2 J (ν j )Q abs (ν j ) νj. the temperature is increased accordingly by Ti . the probability that a j = 0 equals 1 − N j .54) easier. the particle energy is raised by an amount Ui that accounts for the stochastically absorbed photons during the new interval t.Temperature ﬂuctuations of very small grains C(T ) (see (8.54) numerically from t = 0 until t = τ . at the end of the i th time step.e. The total period τ is divided into small time steps t and the total frequency range into intervals ν j = νj+1/2 −ν j −1/2 . however. one thus gets a temperature. Ui is written as Ui = a j hν j j where the a j are either one or zero. we assume that the cooling rate.54) Given a starting value T0 at t = 0.54).

2. from the formalism developed in section 8.10 displays the temperature variation T (t) of a single ˚ silicate grain of 40 A radius at a distance r = 1017 cm from the star.1 s. The temperature excursions are small and amount to some 10% around a mean value.268 Dust radiation 8.4 or. the emission under the false supposition of constant temperature from (8. is proportional to the Planck function. which is close to but not identical to the value Tmax = 115. In the emission spectrum of the lower right panel the 10 µm feature is indicated. has a hot atmosphere (Teff = 2 × 104 K) and guarantees a copious amount of energetic quanta.1 K. In the ﬁrst case. The full and dotted curves for P(T ) (see previous explanation) practically coincide.10–8.6.1) is shown dotted. • In the interstellar radiation ﬁeld (ISRF) with a spectral shape as depicted in ﬁgure 8.9 K. either from the stochastic time evolution of the temperature T (t) described in section 8. The probability density P(T ) in ﬁgures 8. Lν = and satisﬁes the condition L ν dν = L. it does not matter whether ones takes the temperature variations into account or assumes a (constant) equilibrium temperature Teq after (8.2.10 gives the chance of ﬁnding the grain within a temperature interval of 1 K width centered on T .5. The true emission (from (8.1 Small and moderate ﬂuctuations The top panel of ﬁgure 8. It is luminous (L = 104 L ). the area under the curves equals one.13 is also computed in two ways. Altogether we followed T (t) over a time τ = 2 × 104 s partitioned into 105 steps of ﬁxed length t = 0.47)) is displayed as a solid line. L ν . otherwise by a solid line. 4 σ Teff In ﬁgures 8. In this example. . more simply. All examples deal with silicate grains because of their 10 µm resonance which occasionally shows up.10–8. Here Teq = 116. πL Bν (Teff ).6 The emission spectrum of very small grains We illustrate the stochastic temperature ﬂuctuations and their effect on the spectrum for grains in two environments: • Near a B1V star.8). We show an arbitrary section of 400 s. we depict P(T ) by dots. Its monochromatic ﬂux.5. where P(T ) attains its maximum. the emission coefﬁcient ν refers to one grain and is plotted in the unit erg s−1 Hz−1 ster−1 . The probability density P(T ) in the lower left panel of ﬁgure 8.13. For comparison. 8.

See text. say. the solid from section 8. emissivity ν of the grain in erg s−1 Hz−1 ster−1 . As one can estimate from the ﬁgure. lower left. probability distribution P(T ) of the temperature shown on a linear scale (the dotted line is computed from section 8.4. the errors . lower right. In ﬁgure 8.The emission spectrum of very small grains 269 Figure 8. was ﬁnite. it is hit by an energetic photon only once every 100 s and the temperature excursions are no longer small. although large. One would have to wait very long to see the grain. and is determined well only around the maximum of P(T ) and does not extend to probabilities below ∼10−5 . Because the total time interval over which we integrated. however. the spectrum is a good approximation only at far infrared wavelengths. at 170 K. although close to the full one. In the bottom frame on the right.2). its effect is negligible here. Small stochastic temperature excursions: top. the same grain is placed at a distance ten times greater from the star (r = 1018 cm).5. There are now discernible diffferences in the probability P(T ) depending on the way in which it is computed (see previous explanation). the dotted line displays a scatter.5. In the mid infrared. on average. Therefore. when the emission is evaluated under the false supposition of temperature equilibrium (dotted). the full curve includes temperature ﬂuctuations. The dots (hardly discernible) plot the emission assuming a constant temperature. time evolution of the ˚ temperature of a silicate grain of 40 A radius at a distance of 1017 cm from a B1V star.10. colder.11. temperatures far from the mean never occurred. so the rate of impinging photons is reduced by a factor 100 and the particle is.

9 K and far from the equilibrium temperature Teq = 116. 3 = 64 times lower and photon absorption the heat capacity of the particle is now 4 thus induces a much larger relative change in energy.270 Dust radiation Figure 8. The temperature ﬂuctuations have increased. which gives a better feeling for the scatter than the probability function P(T ). There are now two disparate regimes: most of the time the grain is cold and cooling is slow but occasionally the grain is excited to a high temperature from which it rapidly cools.12. the maximum is at Tmax = 51. The absorption cross section is also 43 times smaller than before (the Rayleigh limit) and photon capture is. one hesitates to assign an average temperature at all. although mathematically this can be done.11. As in ﬁgure 8. The probability density P(T ) has turned asymmetric.10 but the same grain is ten times further away from the star. Compared to the two preceding examples where a = 40 A.2 Strong ﬂuctuations In ﬁgure 8.2 K after . less frequent.6. When looking at the temperature evolution T (t). are large (two powers of ten at 10 µm) because the grain is occasionally at temperatures far above the average. the grain is again at a distance r = 1017 cm from the star but has a ˚ ˚ radius of only 10 A. 8. The ordinate for P(T ) is now logarithmic. Moderate ﬂuctuations. accordingly.

and above the Debye temperature U ∝ T (see (8. in both cases. (8. (8. even in the far infrared. the grain has a radius of 40 A and is heated by the weak light of the ISRF. Strong ﬂuctuations. beyond 55 K a sharp drop sets in. representing P(T ) as determined from T (t).3 K to ∼55 K.14) with the sixth power of the temperature. The dotted line shows the probability P(T ) as calculated from the time evolution T (t). the same and equal to the absorbed ﬂux. The probability density P(T ) tapers off gradually from its maximum at Tmax = 8. Note the much larger time scale in this ﬁgure. The energy reservoir U (T ) of a grain is proportional to T 4 when it is cold. is jerky and inaccurate above 120 K because of the ﬁnite time over which we calculated the evolution.38). To evaluate the emission without taking into account the hot excursions no longer makes sense. even with regards to low-energy photons and occurs approximately every few hours. Note the strong 10 µm silicate feature.8). Absorption here is a rare event.40) and .13.12. In these examples.10 but the grain is now small (a = 10 A). The dotted line. ˚ In ﬁgure 8. The cooling rate varies after (8.The emission spectrum of very small grains 271 ˚ Figure 8. although the frequency integrated emission is. we can follow in detail individual absorption events and the subsequent cooling. The dotted line in the bottom right-hand box bears no resemblance to the real emission (full curve). As in ﬁgure 8. a longer integration time would smooth it.

as long as they do not overlap. The interesting point is: no matter whether these spikes are rare or common. When multi-photon events occur. In the spikes of the present examples. Of course. when an energetic photon is absorbed before . equivalently. also ﬁgure 8.13.6.272 Dust radiation ˚ Figure 8. i. T6 and. A silicate grain of 40 A radius in the ISRF. the ﬂux ratio is constant. the situation is more tricky. therefore. the ﬂux ratio at two wavelengths. only the emitted power in the wavelength band from λ1 to λ2 diminishes with distance. falls rapidly as T increases. For a very small grain. it also receives less photons farther from the star but its color temperature at shorter wavelengths is only determined by the hot phases corresponding to the spikes in ﬁgure 8.9).e. Strong ﬂuctuations. λ1 and ˚ λ2 . In a reﬂection nebula. The cooling time is roughly τcool ∝ U (T ) . 8. a grain of normal size (>100 A) becomes colder when the distance to the exciting star is increased.12. It concerns their color temperature or.3 Temperature ﬂuctuations and ﬂux ratios Very small grains display in their emission another peculiar feature. obviously because it receives less energy. τcool is of order 10 s.

14 shows the ﬂux ratio for several wavelengths as a function of distance from the star. the ratio of the emission coefﬁcients. The wavelengths in micrometres are indicated as subscripts in the emissivity. the near infrared colors. For all grain sizes. the grain has had time to cool from a preceding capture.14. Small particles undergo strong temperature ﬂuctuations which lead to ﬂux ratios that are almost independent of the distance from the star. is again distancedependent. (λ1 )/ (λ2 ).10.The emission spectrum of very small grains 273 Figure 8. Flux ratios for graphite grains of various sizes as a function of distance to a B1V star. like K–M corresponding . The grains are made of graphite and have radii between ˚ 5 and 40 A. Figure 8. such as that illustrated in ﬁgure 8.

2 µm / 4. .274 Dust radiation to 2. But already at distances smaller than the typical dimension of a reﬂection nebula. ﬁrst fall as one recedes from the star. the critical particle size is pushed up a bit and the ﬂux ratios are constant only at larger distances. For mid and far IR colors. they level off. They continue to stay so far away from the star where the stellar UV radiation ﬁeld resembles that of the diffuse interstellar medium. Near IR color temperatures do not change across a reﬂection nebula if the grain radius is ˚ ∼10 A or smaller.8 µm .

A change in the optical properties of the grains and thus their emission characteristics.2) 275 .1 Grain surfaces 9.1. number density density n i and mean velocity (see (5. The formation of new molecules.1) A grain of geometrical cross section πa 2 . Gas accretion has great astronomical consequences as the following examples demonstrate. gas atoms and molecules continually collide with the dust particles.Chapter 9 Dust and its environment 9. Accretion of H atoms is the only way in which molecular hydrogen can be made at all in relevant quantities. In equilibrium. They may either rebounce from the grain surface or stick. the number of accreted atoms per unit time is equal to the number of atoms leaving the grain.16)) vi = 8kTgas . Such species may not then be observable. πm i (9. accretes the gas species i at a rate Racc = n i πa 2 vi ηi (9. • • • • The transfer of energy from gas to dust and back which may strongly inﬂuence the temperature of the components.1 Gas accretion on grains In the interstellar medium. The depletion of molecular species in the gas phase as they freeze out on the grains. whereas otherwise they would be strong emitters and important coolants. which can be considered to be at rest. Consider a gas of temperature Tgas containing a certain species (subscript i ) with particle mass m i .

. The growth rate da/dt of the grain radius should be independent of a. vi = 0. we ﬁnd that an atom that sticks on collision (ηi = 1) freezes out after a time τacc ∼ 2 × 109 yr.2 Physical adsorption and chemisorption 9. When the grains have a size distribution n(a) ∝ a −3. which is the average over the total distribution. large grains hardly grow any bigger through accretion.4) τacc is shorter than the lifetime of a molecular cloud (τcloud ∼ 107 . which is given by some ﬁxed far away charges. A point charge q in an external electrostatic potential φ. .3) τacc = Fvi ηi 3m H Rd ηi n H vi ˚ Inserting reasonable numbers (Rd = 0. 108 yr). Consequently.1. n H = n(HI) + n(H2 ) the total number density of hydrogen. either in atomic or molecular form and ρgr the density of the a− . as in clumps. The lifetime τacc of a gas atom grain material. If the gas density is high (n H > 104 cm−3 ). ˚ a+ = 3000 A. If instead of the point charge q there is. ρgr = 2. a charge distribution ρ(x). nH (9. as the impinging atoms do not see the grain curvature. Both atoms are electrically neutral but have dipole moments: let p1 refer to the surface and p2 to the gas atom. localized around x0 .2. depletion and mantle formation proceed more quickly (τacc ≤ 105 yr) than the dynamical processes which are √ characterized by the free-fall time scale (tff ∼ 2 × 107 / n H yr). the matter will mostly accrete on the small dust particles as they have the larger total surface area.1. and it was assumed that a+ before it is swallowed by dust may be deﬁned by τacc Racc = 1 and thus becomes √ a− a+ 4ρgr 1 = .5 with lower and upper limit a− and a+ . has at position x0 the electrostatic potential energy U = qφ(x0 ). 9.1 The van der Waals potential To describe the collision between an atom on the grain surface and an approaching gas atom. (9. Therefore. increases. their total cross section F for gas capture per cm3 is 3n H m H Rd F= .3 km s−1 ). √ 4ρgr a− a+ Here Rd is the dust-to-gas mass ratio. . a− = 100 A. we ﬁrst derive their interaction potential. although the mean grain size.5 g cm−3 .276 Dust and its environment where ηi denotes the sticking probability.007. because such clouds always have densities above 102 cm−3 . the energy becomes U= ρ(x) φ(x) d V.

reaches its √ minimum value −D at r = 6 2σ and remains negative as it approaches zero for r → ∞ (ﬁgure 9. these minima are at the mid-points between four neighboring surface atoms (see ﬁgure 7.2) of a dipole p. E(x) is then described by (3. we get U (r ) = p1 · p2 3(p1 · r)(p2 · r) − .10). φ(x) = φ(x0 ) + x · ∇φ(x0 ) = φ(x0 ) − x · E(x0 ) and substituting the expansion into the volume integral for U . The strength of the former depends then on its polarizability α (see (3.6) 9. much quicker than for monopoles. . The parameter D deﬁnes the strength of the potential and σ its range. r6 (9. atoms on the grain surface. Denoting by r the vector from p1 to p2 .1). On a regular surface. changes sign at s = σ . r3 r5 (9. the effective charge q vanishes.e. one has to include the contribution from all force centers. the potential attains minima at various locations privileged by symmetry.10) and (1. This potential bears a more empirical character and changes with distance even more abruptly.2. Suppose the ﬁeld E(x) is due to the dipole p1 on the grain surface.Grain surfaces Expanding φ(x) to ﬁrst order around x0 . we obtain U = qφ(x0 ) − p · E(x0 ) 277 where we have used the general deﬁnition (1. But when the two dipoles are very close. In a collision of an atom with the grain surface. For a simple or body centered cubic lattice.7) − U (r ) = 4D r r 2 with Dσ 6 = αp1 . The net result of the combination between repulsion and attraction is σ 6 σ 12 (9.8)): 2αp1 p2 = 3 r and the dipole moments will be parallel (p1 · p2 = p1 p2 ) so that U (r ) = − 2 4αp1 . i.2).1. like 1/r 12.5) Let us further assume that the dipole p2 of the gas atom is induced by p1 of the surface atom. a repulsive interaction sets in because the electrons tend to overlap and Pauli’s exclusion principle forbids them to occupy the same quantum state. In our case of colliding atoms. U (r ) becomes inﬁnite for r → 0.2 The full potential including repulsion The absolute value of the van der Waals potential increases rapidly at short distances.

The curve is relevant for physical adsorption. here with D = √ and 0. radicals like OH could also chemically bind to the grain surface but prior to the reaction an activation barrier must be surmounted. H2 or H2 O. the mean binding energy of atoms and molecules in an ice mantle ˚ several A or more thick is less than 0. the surface must contain chemically active sites and the gas species should not consist of saturated molecules.5.5 to 5 eV) and the range of the chemical potential shorter than in the case of physical adsorption. Therefore. corresponding to 1000 K if the binding energy E b is expressed as a temperature T = E b /k.25 σ = 0. particularly hydrogen.5 eV.3 Physical and chemical binding Physical adsorption is rather weak. It involves a profound change in the electron structure of the binding partners.7). 9. Chemically active sites will have disappeared once the grain surface is covered by physical adsorption by one monolayer of. A much tighter coupling of a gas atom colliding with the grain surface is possible through chemical binding or chemisorption. As a precondition for chemisorption. The potential U (R) between dipoles after (9.1 eV to remove the atom or molecule from the grain surface. The minimum is at r = 6 2σ and U (r ) = −D.2. This is not possible on a cold grain so that the process is probably unimportant there. for example. Quite generally. it needs typically only 0.1. we expect grains in cold and dense clouds to be covered by a sheet of physically adsorbed ice.278 Dust and its environment Figure 9.1. The exact value depends on the composition and structure of the surface and on the type of gas species. like H2 or H2 O but atoms. The interaction is therefore much stronger (from 0. The . In principle.

NH3 and others.1). For the gas atom to stick. obviously. We imagine the surface atom to be attached to a spring of force constant κ so that it oscillates at frequency ωs = κ/m s . otherwise it will rebound.8) (9. The repulsive potential U is often also written as U (r ) = −D + (E k + ˚ D)e−r/b . U (r ) = −D + −D D + Ek (r − 2b)2 4b2 0 ≤ r ≤ 2b r > 2b. Such a simple mechanical system is governed by the equations of motion ¨ m s xs = − κ xs − F m g xg = F ¨ (9.3 The sticking probability We estimate the probability η that an impinging gas atom stays on the grain surface. and rebounces at the distance rmin where U (rmin ) = E k . mixed in a certain proportion. Its equation of motion.4 A. F(r ) = −U (r ). let the gas atom at time t = 0 pass the point r = 2b with a velocity r = − 2(D + E k )/m g .Grain surfaces 279 sheet may be envisaged to be made either of pure water ice or to be a composite of different ices.9) if the surface atom of mass m s has its equilibrium position at x = 0. such as H2 O. which is almost like a wall (see ﬁgure 9. the force F with which the gas atom is rejected becomes F(r ) = F0 − 0 F0 r 2b 0 ≤ r ≤ 2b r > 2b with F0 = D + Ek .7). Let us neglect the attraction in the potential and approximate its repulsive part by a parabola [Wat75].1. An analytical solution under simplifying assumptions is illustrative. where r = x g − x s > 0 is their distance and D the binding energy. b To ﬁx the initial conditions. it must transfer to the dust particle in the collision an energy E s greater than its kinetic energy E k far from the surface. The gas atom passes in the collision ﬁrst through the attractive potential where its kinetic energy increases. The force associated with the potential. ˙ ¨ . In the quadratic equation. F = m gr . One can approximately evaluate the process by studying the interaction of the gas atom (subscript g) with just one surface atom (subscript s). For the interactive potential U (r ) between the two atoms we use (9. One ﬁnds the energy E s which is transferred to the surface atom during the impact by numerically integrating the equations of motion. is attractive and negative when r is large and repulsive and positive when r is small. 0 ≤ η ≤ 1. 9. CO2 . the constant b is then called the slope parameter and is of order 0. then encounters the repulsive part.

Putting where ωs = κ/m s is the vibration frequency of the surface atom.12) by one of ﬁrst order. Altogether the force varies with time like F(t) = F0 sin ω0 t 0 0<t< else . the solution r = 2b · (1 − sin ω0 t) where the frequency ω0 = F0 /2bm g (9. the integrations can be evaluated analytically because for ω0 = ωs . The infall of the gas atom is reversed at the turning point r = 0 at time ˙ t = π/2ω0 where also r = 0. one can replace the second-order differential equation (9.12) √ ξ = x s + i ωs x s ˙ 1 f (t)e−iωs t dt + ξ0 . .11).280 Dust and its environment then has. 1 ˙ f (t) ξ − i ωs ξ = ms which has the solution ξ(t) = eiωs t 0 t (9. ms In our case. Because the energy of the surface atom is 2 2 E s = 1 m s x s + ωs x s = 1 m s |ξ |2 ˙2 2 2 the energy which it receives in the collision becomes Es = 1 2m s t1 0 f (t)e−iωs t dt . During the impact. e−iωs t sin ω0 t dt = e−iωs t 2 2 ωs − ω0 ω0 cos ω0 t + i ωs sin ω0 t . it undergoes a forced oscillation described by ¨ m s x s + κ x s = f (t). for times t > 0. −1 ω0 = τcoll . ξ0 = ξ(t = 0) = 0. Its inverse deﬁnes the collision time.10) is of order 1014 s−1 . 2 With t1 and f (t) = −F(t) from (9.11) Now consider the collision from the point of view of the surface atom which is subjected to a force f (t) of equal strength but opposite sign. π = t1 ω0 (9.

The value of U0 is a few times smaller than the binding energy E b of the gas atom. 2 2 (ω − ω0 )2 In the evaluation of the integral for ω0 ωs .1. evaporation and reactions with activation barrier The more or less evenly spaced atoms on the surface of a grain act as force centers and the surface potential has a semi-regular hilly structure. E s .2. is bigger than its initial kinetic energy E k . • As under most interstellar conditions E k D. generally smaller than one.4 Thermal hopping. Two numerical examples for the case ωs = ω0 are presented in ﬁgure 9. • The adsorbed atom vibrates and thereby swaps its kinetic and potential energy with a characteristic frequency ν0 . alternatively. To use a sticking coefﬁcient between 0. ωs . it was assumed that the term cos(πωs /ω0 ). the Boltzmann distribution gives the population ratio . For two states separated by an energy difference U0 . it may quantum mechanically tunnel through the barrier (see [Tie87] for details). the collision time is long compared to the oscillation When ω0 −1 period ωs of the crystal. we obtain ω0 ωs 4 2 π /4 ω0 = ωs mg 4 (D + E k ) (9. m g /m s This simple theory can be reﬁned in various ways: one can take into account the reaction of the crystal. implying sticking. we learn from formula (9. Nevertheless. this ratio is 1. For the limiting cases. It cannot travel freely along the surface because to move.13) for whether the energy loss of the gas atom. • • When ω0 ωs . use a more suitable interaction potential because a gas atom generally hits a spot somewhere between several surface atoms. or not. A physically adsorbed gas atom or molecule ﬁnds itself in a potential minimum. which then appears.13) that the sticking efﬁciency is largely determined by the binding energy D for physical adsorption and by the mass ratio of gas-to-surface atom.3E b .13) Es = 2ω0 ms ω0 ωs . 9. one can get a feeling from (9. Elaborate estimates suggest that under most astronomically important circumstances sticking of the atoms is likely.Grain surfaces 281 This can be veriﬁed immediately by taking the derivative.1 and 1 presents an educated guess. Other atoms will then also absorb energy and the assumption of just two colliding bodies is inadequate. typically U0 ∼ 0. The atom can jump over the barrier classically by means of thermal excitation. consider oblique incidence and the possibility that the gas atom repeatedly recoils from the grain surface. vanishes on average. it has to overcome the surrounding potential barrier of height U0 . the collision time τcoll is very short and e−iωs t is practically constant.

2. on average. which is needed for the atom to overcome . is 1. Curves are obtained by integrating the two second-order differential equations (9. Further parameters are: range of the repulsive potential σ = 0. the time ratio of how long the system resides. The time coordinate on the abscissa is in units of the vibration period of the surface atom. Two examples of the time evolution of a one-dimensional collision along the x-axis between a gas atom (subscript g) and a surface atom (subscript s). the dash-dots. It is evident from the ﬁgure that when the gas atom loses energy in the collision. of upper over lower level or.2. Full curves denote the surface atom. Tg = 50 K. slightly different from (9.58×1014 s−1 and equal to the collisional frequency ω0 . The collisional frequency is deﬁned by ω0 = 2(D + E k )/σ 2 m g .10) which contains the range parameter b.9) by a Runge–Kutta method. The forces between the two particles follow from the U12–6 potential of equation (9. Both numbers for E s /E k agree qualitatively with the approximate formula (9.8) and (9. whereas here we use the range parameter σ after (9. The vibrational frequency of the surface atom.13) according to which the gas atom rebounds for E s /E k < 1.05 eV. temperature of grain and gas: Ts = 20 K. Bottom: Rebounce with m g = m H . For the lower level. ωs .7). in these two states.0. The inverse of the latter can be considered as the effective collision time.282 Dust and its environment −1 τcoll = ω0 . enlarged 20 times. the residence time is also the time thop .7). m s /m g = 50 and E s /E k = 1. or otherwise ˚ sticks. Top: Sticking with m s /m g = 20 and E s /E k = 3. the gas atom. equivalently. binding energy D = 0. the elongation of the surface atom increases. Figure 9.2 A.

4. The gas atom on the grain surface then has a high mobility and is not ﬁxed to any particular site. the tunneling time −1 ttun ∼ ν0 exp 2a 2mU0 is short for small U0 . m and E b are the mass and binding energy of the adsorbed atom. According to (6.Grain surfaces 283 the energy barrier and move to a neighboring site. thermal hopping is very −1 quick and thop ∼ ν0 . that a reaction in which a molecule on the grain surface is chemically transformed but which requires an activation energy E a . For ﬁnite U0 . the root mean square deviation from the starting position is σ = N 1/2 a. If the atom takes N steps of constant length a equal to the distance between two surface atoms. For ν0 . the levels are degenerate (the U here is denoted V in section 6.15) tevap ∼ ν0 e Eb / kT .14). If the mean residence time −1 in the upper level is ν0 .14) where T is the grain temperature. as before. typically a few times 1013 s−1 .1. one gets the evaporation time scale −1 (9. However. the time scale for thermal hopping is −1 thop ∼ ν0 eU0 / kT (9. otherwise thop increases exponentially. occurs on average after a time −1 tchem ∼ ν0 e Ea / kT . The time ttun is very sensitive to all numbers . If U0 < kT . thermal hopping does not work when the grain is cold and kT falls below U0 . one may use the frequency of lattice vibration of the grain. it has no preferential direction when jumping from one site to the next and its path is a random walk (see ﬁgures 9. • (9. When an adsorbed atom moves on the surface of a grain by thermal hopping. Replacing in (9. One can argue.63).5 Tunneling between surface sites Because of its exponential dependence on grain temperature in (9. Therefore.14) U0 by the binding energy E b . the adsorbed atom needs a time N 2 thop to move a distance Na from the starting point.5).61)). A more accurate expression in the case of a symmetric harmonic potential is ν0 = 2n s E b /π 2 m • where n s denotes the surface density of sites.16) 9. When the potential barrier U0 is inﬁnite. an atom has the possibility to quantum mechanically tunnel through the potential barrier as discussed in section 6. there is energy splitting with an amount E 2 − E 1 that increases as U0 is lowered (see (6.4 and 9.4).

Let be the mean free path before the atom is scattered. The full analysis gives a very similar residence time for an atom in a particular well. the calculations yield E/k 30 K and thus ttun 10−12 s. If the surface contains N sites altogether. its linear dimension is of order N 1/2 and the mobile particle covers in a random walk such a distance in a time τscan N ttun.63) for a hydrogen atom (m = 1.e. . U0 /k 10−11 s and E 2 − E 1 10 K.284 Dust and its environment in the exponent. the ttun estimates are coarse. A real grain has defects on its but the well is reached after a time tn surface. so scanning is quick. sites surrounded by a high potential which the atom cannot penetrate and where it is deﬂected in its motion. (9. the mass of the gas atom m and the barrier height U0 . Suppose the grid constant of the atomic lattice is of unit length. we ﬁnd tscan º 10−6 / s. and the tunneling time ttun from (6. one calls τscan the scanning time. The defect sites invariably arise because the grain is bombarded by soft X-rays and cosmic rays. E 2 − E 1 .1. where the potential is periodic in two dimensions [Hol70].6 Scanning time For an ideal surface.e.e. i. The time to reach a site n spacings away increases from n ·ttun without scattering to (n 2 / )ttun when defects are taken into account because one needs (n/ )2 steps of length .61) and (6. we obtain barrier U0 to 0. (9. i. i. The mobility of other species is restricted to thermal hopping. It consists of as many sublevels as there are interacting wells. tunneling to a site n grid spacings away is not a random walk. Obviously. in practice for hydrogen or deuterium. the energy difference between the two split states |E 1 − E 2 | is replaced by the width E of the lowest energy band. but this discrepancy does not worry us considering the uncertainties and simpliﬁcations. n · ttun . ttun 4 E . thus leading to a random walk.3 times the binding energy E b . Let us evaluate the separation of the energy levels.17) When it is applied to a hydrogen atom on ice.18) Provided that n. Putting the potential centers and vibrating at a frequency ν0 = 3 × 10 100 K. 9. Because of the exponential terms.67 × 10−24 g) ˚ physically adsorbed on an ice layer with a spacing 2a = 2 A between force 12 s−1 . The case of a one-dimensional double potential well can be generalized to a perfectly regularly structured grain surface. Inserting numbers for a ˚ grain of 1000 A radius. an order of magnitude shorter than the crude estimate given here. In the earlier expression for ttun . tunneling can only be important for the lightest atoms. to the lattice spacing 2a.

The term in the brackets determines the change over the pure geometrical cross section σgeo = πa 2 . In the case of negative grain charge (Z < 0). . (9. 9. Consider a spherical grain of radius a and charge Z . 1 Z e2 1 m e v2 = m e V 2 − 2 2 a aeff v = aV.2. Its cross section for capturing electrons of mass m e and velocity v is σe (v) = πa 2 1 + 2Z e2 am e v 2 . 2 a .Grain charge 285 9. . This critical value is determined by 2 m e v0 Z e2 = . In equilibrium.2 Grain charge A grain in interstellar space is not likely to be electrically neutral. the processes that make the grain positive and negative exactly balance. some electrons are repelled and only those whose velocity exceeds a critical value v0 reach the surface at all.21) n e is their density. The number of electrons striking and then staying on the grain: Ye n e vσe (v) = Ye n e πa 2 4π me 2πkT 3/2 ∞ v0 v3 1 + 2Z e2 am e v 2 e−m e v 2 /2kT dv (9.20) 2 V is the actual impact velocity and σe = πaeff the effective cross section. notably • • • the impact of an electron the impact of a positive ion and the ejection of an electron by a UV photon.13) at the temperature T of the plasma.1 Charge equilibrium in the absence of a UV radiation ﬁeld First we neglect the radiation ﬁeld. Mechanisms are at work that tend to alter its charge. Ye their sticking probability and the bracket . denotes an average over the Maxwellian velocity distribution (5. The bracket has a value greater than one when the dust is positively charged (Z > 0) and less or equal unity otherwise.19) (9. The enhancement in the cross section follows immediately from the two equations describing conservation of energy and angular momentum for an electron with grazing impact.

we must put v0 = 0. Z adjusts itself in such a way that. the degree of ionization and the density of the plasma do not appear in this formula. e Interestingly.2. one has to include a term in the charge equilibrium equation (9. When we evaluate the integrals vσ (v) using the relations (A.2. σ. (A.2 The photoelectric effect 9. As one would expect. The impact rate of electrons on a grain of charge Z is n e v σeff . There are corresponding formulae for ion capture where the quantities m.22) that accounts for the fact that UV . the grain must be negatively charged (Z < 0) because the electrons are so much faster than ions.2. vσ (v) e = vσ (v) i .22) On the left.3 that for a ﬁxed temperature. large grains bear a greater charge than small ones but the potential U= Ze a does not change. Without photoemission. the average refers to a Maxwell distribution for electrons and on the right for ions. we can write for the brackets that appear in (9.24) Z −2. kT . equals the work Z e2 /a necessary to liberate one unit charge. we get exp Z e2 akT = me mi 1 2 1− Z e2 akT . We notice that in a hot plasma.26). one ﬁnds akT (9. For a plasma with equal density and sticking probability for electrons and singly charged ions.32) for the electrons. In equilibrium.30) and (A. 9. the charge can become very large.286 Dust and its environment Otherwise.1 The charge balance In the presence of a hard radiation ﬁeld of mean intensity Jν .28) for the ions and (A. We see in ﬁgure 9.21). the mean kinetic energy of a gas atom. by order of magnitude. There is a corresponding equation for ions. n. Heavier ions make the grain more negative but only a little.5 2 . if Z ≥ 0. (9.23) σeff = σgeo (1 e2 /akT /akT ) if Z > 0 Z e if Z < 0 is the effective cross section and v = (8kT /πm e )1/2 the mean electron velocity. where + Z e2 (9. Solving this equation for x = Z e2 /akT and assuming that the ions are protons. n e = n i and Ye = Yi . Y bear the subscript i.

yν . . One can immediately solve (9. the energy hνt is of order 10 eV and includes the work to liberate an electron from the solid (∼4 eV) and to overcome the potential U of the positively charged grain. Photoelectric processes are absent. we ﬁnd for the charge balance with respect to impinging electrons and absorbed photons that ∞ νt ne v 1+ Z e2 akT = 4π Jν Q abs ν yν dν.25) We divided under the integral by hν because we wanted the number of absorbed photons. represents a threshold frequency for photon absorption leading to electron emission. The ﬁrst. The equilibrium charge of a grain (in units of the charge of an electron) in a hydrogen plasma of temperature T for two particle radii. The second parameter. Putting the sticking probability Ye of electrons equal to one. photons can chip off electrons from the bulk material of the grain.3. This certainly happens near a star of early spectral type but also in diffuse clouds permeated by the average interstellar radiation ﬁeld. provided one knows the parameters νt and yν .Grain charge 287 Figure 9. one can then neglect the impact of positive ions.25) for the charge Z . νt . If photoemission is strong. is the yield for photoemission. the grain will be positively charged. hν (9.

one can compute the internal ﬁeld of the grain (the relevant formula is (2. 9. possibly shorter for metals and longer in dielectrics.2. The yield yν for electron emission induced by photons of frequency ν is now deﬁned via the equation yν div S d V = C V V e−x/ le div S d V (9. The mean free path of electrons in the bulk material. one gets d Wa = − div S d V where S is the Poynting vector. The energy absorbed by a subvolume d V of a grain is given by (2.13). The deeper the subvolume d V below the grain surface. the excess energy.2. In the end. it is evident that small grains (radii a ∼ 50 A) are much more efﬁcient in ˚ photoemission than big ones (a ∼ 1000 A).2. The exponential term exp(−x/le ) gives the probability that the electron reaches the surface at all and is not de-excited in any of the scattering processes on the way. The heating rate 2 due to one dust grain is therefore H = 4π πa 2 ∞ νt Jν Q abs ν yν E ν − U − 3 kT dν. From Mie theory. is of order ˚ 30 A. when such an electron has reached the surface.3 The photoelectric effect and gas heating Photoemission can also be important for heating the interstellar gas.288 Dust and its environment 9. le . The material constants are uncertain but various evidence points towards yν ∼ 0. The factor C incorporates the following two probabilities: for excitation of an electron to a ‘free’ state and.27) .45)) and thus the Poynting vector. the higher the chance for deexcitation. E ν .2. the electron is thermalized and its own average energy will then also be 3 kT .1 [Wat72]. 2 hν (9. exceeds the average thermal energy 3 2 kT of a gas particle. Because of the factor ˚ e−x/ le . The likelihood P that the absorption leads to emission of a photoelectron is assumed to have the form P = C exp(−x/le ).52). Let the subvolume be at a depth x below the surface. As the mean kinetic energy of a photoejected electron.26) where the integrals extend over the whole grain volume V .2 The photon yield The yield yν for photoemission may be estimated from the following physical picture based on classical electrodynamics [Pep70]. is collisionally imparted to the gas. after subtraction of the electrostatic grain potential U . for penetrating to the outside and not being reﬂected. When one applies the Gauss theorem (A.

grows like R2 = N L 2 .14) but has an offset in the exponent. The ¨ coefﬁcient µ in the latter depends on the properties of both the ﬂuid and the test particle. N (9. the temperature does not follow from the rate H in (9.29) needed to move a spherical grain of geometrical cross section πa 2 at a constant velocity V through a gas. RN . of course. the mean square of the distance. The y.3. The gas has a number density N at temperature T and its atoms have a mass m M.28) by induction because the average of R N · L N−1 obviously vanishes. 100 K observed in HI regions. After N steps. 9.1 Random walk Suppose one makes.28) in a numerical experiment.Grain motion 289 The photoeffect has to be invoked to explain the fairly high temperatures of 50 . vx + dvx ] that hit the grain head-on (vx < 0) equals −πa 2 vx N(vx )dvx and each atom imparts in an . 9. Suppose one applies a constant outer force F on the test particle of mass M.3. a sequence of steps deﬁned by the vectors Li .3 Grain motion 9. Let the grain advance in the positive x-direction. Of course.and z-axes are. . In a steady state.27) alone but only from the balance with the cooling processes.4 shows a two-dimensional random walk and ﬁgure 9. . whereas in the rest frame of the gas it is at zero velocity. Figure 9. ¨ We determine the force F in (9. The maximum of N(vx ) is now at vx = −V . ¨ ˙ (9. unaffected and purely Maxwellian. in three-dimensional space.28) It is straightforward to prove (9. one has arrived at the position R N = R N−1 + L N . N(vx ) dvx = N m 2πkT 1/2 e−m(vx +V ) 2 /2kT dvx . The velocity distribution N(vx ) of the gas atoms along this direction with respect to the grain is no longer given by equation (5. there it is the dominant heating mechanism. If the vectors Li are of constant length L but in an 2 arbitrary direction. It then experiences a drag from the ﬂuid or gas molecules that is proportional to its velocity x = V and the equation of motion of ˙ the test particle reads: F = M x + µx. x = 0 and F = µV .5 the veriﬁcation of formula (9. starting from position R0 = 0.29) On the right stands an accelerational term M x and a dissipational term.2 The drag on a grain subjected to a constant outer force Let us consider the one-dimensional motion of a heavy test particle (grain) through a ﬂuid or gas in more detail. The number of atoms in the velocity range [vx .

the momentum mvx .31) . F = πa 2 NmV 8kT mπ 1/2 m 2πkT 1/2 0 ∞ we−mw 2 /2kT dw . To obtain the total momentum transfer. (9.4. −46). which leads to the expression πa 2 Nm • m 2πkT 1/2 0 −∞ 2 vx e−m(vx +V ) 2 /2kT dvx . one has to integrate over all velocities vx < 0.30) w = vx + V and taking the momentum difference between front and back. Random walk in two dimensions starting at the coordinate center (0. (9.290 Dust and its environment Figure 9. one gets the retarding force on the grain. Substituting in (9. 0) and ending after 2700 steps of equal length L = 1 at the big dot near (5. The term that does not cancel out under this operation is F = πa 2 4NmV and therefore.30) Suppose the grain moves much slower than sound. inelastic collision.

With the mean gas velocity v = 8kT /mπ.7) and (2. for subsonic motion. πa 2 . equal to the geometrical cross section σgeo = πa 2 . The drag is proportional to the geometrical cross section of √ grain.8) but there the letter F means ﬂux).32) F is now proportional to the square of the velocity. In the case of direct illumination by a star. V = 2 Nm 8kT 4πcr . there is only a force acting on the front side and the momentum transfer is simply F = πa 2 NmV 2 . the friction coefﬁcient becomes µ = πa 2 Nm v .4 is the jittery line. If L ∗ is the stellar luminosity and r the distance of the grain to the star. we may approximately set the cross section for radiation pressure. the and the drift velocity V . the drift velocity.28). in a random walk one travels after N steps a mean distance √ N L (smooth line). In elastic collisions. • When the grain moves highly supersonically. is then mπ 1/2 L∗ . An astronomically important case of an outer force acting on dust particles is provided by radiation pressure (see formulae (2. The actual distance in the numerical experiment of ﬁgure 9. C rp . (9.5.Grain motion 291 Figure 9. corresponding to an efﬁciency Q rp = 1. the forces would be larger by about a factor of two. According to (9.

5 blown away by radiation pressure.33)). C rp is much smaller than the geometrical cross section and V accordingly smaller. E kin. in many conﬁgurations grains are not directly exposed to starlight but irradiated by infrared photons to which the starlight has been converted through foreground matter. Around main sequence stars. ˙ 9. A grain is attracted towards the star of mass M∗ by gravitation and repelled by radiation pressure. 3 2 kTgas = E kin = 1 M V 2 .292 Dust and its environment N. so 2 M Vx2 = M Vy = M Vz2 . so all particles with sizes of interstellar grains (∼0.1 µm) are acr 3. M (9.3. 2 The Brownian velocity V follows from V = 3kTgas . If M and V denote the mass and velocity of the dust particle.5 g cm−3 has −1 : it is practically at rest. The removal is always rapid as one can show by integrating radius falls with M∗ the outward acceleration v = 3L ∗ /16πcρgr ar 2 (see (9.33) (9. Evaluating this formula for typical numbers of L ∗ . equally distributed among the three degrees of freedom. (9. N and T .5 .34) . From the balance between the two. m and T refer to the gas.3 Brownian motion of a grain Under equipartition between dust particles and gas. The kinetic energy in a 20 K gas only V = 28 cm s of the grain.4 mm. L ∗ σgeo G M∗ M = 2 r 4πcr 2 one obtains a critical grain radius independent of the distance: acr = or acr µm 0.24 L∗ L M∗ M 3L ∗ 4πc Gρgr M∗ −1 (9. It is a fundamental result of thermodynamics that in equilibrium the mean kinetic energy of a gas atom is equal to the mean kinetic energy E kin of a grain. one ﬁnds that in stellar environments supersonic drift speeds are easily achieved.36) ˚ Even a small grain of a = 100 A with bulk density ρgr = 2. However. It has a translatory and a rotational part but for the moment we neglect rotation. In such circumstances. is. on average. . the grains perform a Brownian motion.35) Grains smaller than acr are expelled. too. a 10 M star has 2. For low mass stars L ∗ ∝ M∗ and the critical 2. the gas density is always low and the gas drag unimportant. For instance.

the friction coefﬁcient can be expressed through the damping time tdis . in three dimensions. Second. when M V 2 = mv 2 the momentum of the grain is profoundly altered after M/m collisions. as in a random walk. we get p2 = 2µkT . In three dimensions. On ˙ averaging. where p2 is the average change in the square of the momentum.3. that F x = 0 because x and F are unrelated and the force F due to collisions with gas atoms is completely stochastic in its direction. when all directions are equal. at a certain instant. The latter always involves dissipation of energy. One impinging gas atom of mass m M and velocity v changes the momentum of √ the grain statistically by mv. per unit time due to collisions with gas atoms. After a disorder or damping time tdis. 2 Therefore. must be constant in time because the particle has no memory about its past. it will have completely lost its memory about p0 .e. p2 .38) r 2 ≡ x 2 + y2 + z2 = µ F x = M x x + µx x = ¨ ˙ 9. the associated heat loss F V must be compensated by a permanent acceleration p2 /2M. to 1 µ d x 2 /dt = M x 2 = kT .29) by x.Grain motion 293 The one-dimensional equation (9.37) To ﬁnd the mean distance that a grain travels when there is no external force. the disorder or damping time is M . therefore. 6kT t. d x 2 /dt. (9. In a quasi-stationary state at constant velocity V . this equation shortens. Thus we require F V = p2 /2M and because M V 2 = kT in equilibrium at temperature T . tdis = µ= M . i. ﬁrst. when the mass of the colliding atoms equals the mass of the grain. we note.40) . the momentum p0 .4 The disorder time Suppose a grain has. (9. the rate of change of the mean square distance. we multiply equation (9. (9. 2 dt dt 2 dt On taking averages.39) Nmvπa 2 Because F = µV = M d V /dt M V /tdis. and Z atoms by mv Z . in a gas of number density N. p2 = 6µkT. the square of the distance r grows linearly with time.29) is also correct with respect to the Brownian motion of interstellar grains when the retardation is not due to an external force but to internal friction. M d dx2 µ dx2 − Mx2 + ˙ . So in equipartition. tdis (9. Therefore.

38) only after integrating over many disorder times tdis because one disorder time corresponds to one step in the random walk of ﬁgure 9. The computations pertaining to ﬁgure 9.38) with the dissipation constant µ from (9. The actual occurrence of such an event is prompted by a random number generator.4. Figure 9. Because of the large 2 time interval displayed in the plot. grain ˚ parameters. mass M = 1. the actual jitter is graphically not fully resolved. The ﬁgure shows the x.5 × 109 s. Therefore one can check whether r 2 (t) fulﬁls the theoretical prediction of equation (9. the time evolution of the mean square deviation r 2 = x 2 + y 2 . initially 1 M Vx = kT and V y = 0. either from the front or back. we bin the velocity distribution of the gas atoms N(vx ) of (5. .40).39) equals 1.05 × 10−17 g. is small. radius 100 A.6. hydrogen atoms at T = 100 K with number density 104 cm−3 . One ﬁnds good agreement between numerical experiment and (9.294 Dust and its environment Figure 9. The parameters are such that a gas atom impacts the grain about once every 1000 s.6 also yield. The disorder time according to (9. and likewise for N(v y ). Choosing a time step of 103 s. the chance that during one time step the grain is hit by an atom within a certain velocity interval. Numerical experiment of a two-dimensional Brownian motion: gas parameters.and 2 y-component of the velocity.14) into 100 velocity intervals. To follow the stochastic evolution. It is roughly the interval after which there is a change in the direction of the velocity vector of the grain by 90◦ or in its kinetic energy by more than 50%. of course.6 displays a numerical experiment of a two-dimensional Brownian motion assuming inelastic collisions.

90) is smaller than the dimension of the body moving through the gas. • A laminar ﬂow of velocity v around a sphere of radius a exerts. a force F = 6πηav (9.89)).74). The coefﬁcient cW depends on the Reynolds number (15.41). to v at the boundary of the layer. that µ = 6πηa. the decelerating force becomes F = cW πa 2 ρv 2 as in (9.5 Laminar and turbulent friction 295 In this section.41) where η = ρν. we consider gases of sufﬁciently high density such that the mean free path of the atoms after (15. according to Stokes law.93) and is of order one.42) The work required to renew the kinetic energy of the surface layer continually is 1 v2 = v 2 bv Dρ. the gas density ρ = Nm and the velocity squared. The retarding force F in (9. in which the gas velocity increases from zero.41). F is now proportional to the cross section πa 2 .Grain motion 9.3. This somewhat strange result can be understood from (15. if one writes for a sphere: F = νρ ∂v 2πa 2 ∂a • and replaces the derivative ∂v/∂a by v/a. Fv = ηbl D 2 . So the discussion does not apply to grains in the interstellar medium but is relevant to dust particles in accretion disks (section 15. A sphere rotating at velocity v at the circumference is retarded by a torque τ = Fa with F also approximately given by (9. D (9.74) and equation (15. For the coefﬁcient µ in (9. the retarding force is F = ηA v .32).41) is linearly proportional to the velocity v but also to the radius a. To obtain the coefﬁcient 6π rigorously is tiresome. and ρ and ν are the density and kinematic viscosity coefﬁcient of the gas (see the empirical relation (15. on the surface of the body. For a rectangle of area A = bl and with normal perpendicular to the velocity v. When the ﬂow is turbulent.4) or planetary atmospheres.29) we ﬁnd. by comparison with (9. But even in a turbulent ﬂow there is a laminar surface layer of thickness D.

43) where ζ 75 erg cm−2 is the surface tension of water. By equating the p d V work (here d V = inﬁnitesimal volume) to the work required to create new surface. it is more than ten times the atmospheric pressure at sea level for a rain drop 0. to the surface requires a few hundredths eV. the turbulent 1.3. we study a falling rain drop. This has the advantage over an interstellar grain that its properties are known and that it is shaped like a perfect sphere.6 A falling rain drop As an example.2 × 10 and laminar deceleration become equal. a more precise formula is ζ(T ) = 116.45) The pressure can become high. To create an area d A of surface takes the work dW = ζ d A (9. for large ones. (9. The rain drop is pulled by gravity with the force F = 4πa 3 gρw/3 (gravitational acceleration g = 981 cm s−2 . When one takes into account that the velocity in the surface layer increases linearly from zero to v. to have (for the same mass) a surface larger than necessary.42) gives a force that is in between the purely laminar and turbulent cases. The Reynolds number Re = aV /ν of (15. V ∝ a 1/2. Equation (9. . one ﬁnds by integration for the thickness of this so called Prandtl layer D= 6ηl .1 µm in radius. With the appropriate numbers for air (kinematic viscosity ν 0. −3 g cm−3 . 9.93) is then slightly below 10.e. η = ρν −4 g cm−1 s−1 ). would be energetically quite disadvantageous. It is slightly temperature dependent. the terminal velocity of the falling drop changes like V ∝ a 2 . 6πηaV = πa 2 ρV 2 .15 cm2 s−1 .44) One roughly estimates that to lift a molecule from the interior of the drop. almost. a (9.296 Dust and its environment It is assumed that the side l of the rectangle runs parallel to the ﬂow and b perpendicular to it. i. Not to be a sphere.151T erg cm−2 .1 mm and sinks at a velocity V ∼ 1 m s−1 . where it is surrounded by other water molecules on all sides.82 − 0. when the drop has a radius a ∼ 0. For small Reynolds numbers. water density ρw = 1 g cm−3 ). it also follows that the pressure p inside a drop of radius a is given by p= 2ζ .8 × 10 density ρ 1.45) is needed when evaluating the evaporation of small grains. vρ Inserting D into (9.

the stellar photons that are absorbed travel in a radial direction and carry no angular momentum. the distance of the grain to the star shrinks according to L ∗ σgeo dr =− · .Grain motion 9. the same amount is re-emitted. If we associate with the absorbed energy E a mass m phot = E/c2 .7 The Poynting–Robertson effect 297 Consider a grain of mass m.3. a τPR L ∗ −1 r 2 = 1700 . assuming a density of ρgr = 2.47) τPR = L ∗ σgeo or. For instance.5 g cm−3 for the grain material. (9. we ﬁnd the time τPR that it takes a initial radius r to the stellar radius R∗ grain to fall into the star. Because there is mostly optical radiation.48) yr µm L AU The Poynting–Robertson effect is an efﬁcient way to remove dust in the solar system. The angular momentum of the grain is = mr 2 ω = mr v. mπc2 2 r (9. during the lifetime of the Sun (∼ 5 × 109 yr) only bodies we get v = G M∗ /r and . dt c 4πc2r 2 m Because for a circular orbit √ v2 G M∗ = 2 r r dr d = .46) dt 2πr mc2 When we integrate the equation dt = −(2πmc2/L ∗ σgeo )r dr from some r . Let M∗ and L ∗ be the mass and luminosity of the star. dt 2r dt Due to the loss of angular momentum. (9. 4πr 2 In thermal balance. whereas the emitted photons do because they partake in the circular motion of the grain around the star. the absorption coefﬁcient of the grain is C abs σgeo and the particle absorbs per unit time the energy E= L ∗ σgeo . Seen from a nonrotating rest frame. radius a and geometrical cross section σgeo = πa 2 circling a star at distance r with frequency ω and velocity v = ωr . in more practical units. the angular momentum of the grain decreases per unit time through emission by L ∗ σgeo E d = −m photr v = − 2 r v = − .

is processed in stars. The total gas input in the Milky Way from red giants is about 1 M yr−1 and about 1% of this is expected to be in the form of dust. In a steady state. a short period compared to the Hubble time. Most grains probably form in the wind of red giants (like M stars. we begin with a few remarks about the mass balance of all interstellar matter in the Milky Way. The Poynting–Robertson effect also works when the photons are not absorbed but isotropically scattered. IRG and ISN .4 Grain destruction 9. dust formation is balanced by dust destruction. This phenomenon arises because one has to add the velocity of the photon and the grain according to the rules of special relativity. The continuous mass loss of gas in star formation must be offset by an equal mass input. modiﬁed and destroyed in processes such as mainly in old (evolved) stars with extended shells but possibly also in novae and supernovae (SN). As part of the dynamic. red giants and supernovae by IPN . It comes mainly from planetary nebulae which supply about 80% of the gas. The rates at which this happens are quite uncertain. So the input rate of dust from red giants is IRG ∼ 0. In such a reference frame. 9.4.1.298 Dust and its environment with a diameter greater than 6 m (!) can have survived within the orbit of the Earth. Accretion: in dark clouds.1 Mass balance in the Milky Way Grains do not live forever but have a ﬁnite lifetime. red giants (∼20%) and supernovae (∼10%?). mainly in star formation. respectively. Let us denote the input rates of dust due to planetary nebulae. OH/IR and carbon stars) as high temperature condensates. hot gas or shocks. The star formation rate implies that within one billion years. The Poynting–Robertson effect may also be described by an observer in a frame corotating with the grain. grains collide. and express them in solar masses per year. four important numbers are listed in table 9. Therefore the numbers given here are not precise at all but they do show the order of magnitude. including dust. gas atoms condense onto grain surfaces to form mantles. they are born. Coagulation: in dark clouds.01 M yr−1 . Particles existing today smaller than 6 m must have been replenished from comets or asteroids. Destruction: partial or complete. all interstellar matter. Birth: . stick and form larger particles. continually changing interstellar medium. The photons thus decrease the angular momentum of the grain and force it to spiral into the star. the stellar photons approach the grain not exactly along the radius vector from the star but hit it slightly head-on in view of the aberration of light. As gas and dust are intimately linked.

If one assumes that each explosion creates 0. also in the diffuse medium (section 14.Grain destruction 299 Table 9. Sputtering. tSF = Mgas ∼ 109 yr. to a certain extent in HII regions (section 14.3) when the grains are extremely small or have volatile mantles.03 yr−1 Planetary nebulae.4). Global parameters of the Milky Way relevant to the mass balance of dust. although they inject more gas into the interstellar medium. . either neutrals or ions. • Evaporation. are less effective than giants in forming grains so that probably IPN < IRG .4. τSFR (9. Atoms are ejected from a grain by colliding gas particles. To estimate the contribution of supernovae to the dust balance.1). Although this is all potential dust material.3 M of dust and if there are three supernova events per century in the Milky Way (see table 9. The loss rate of dust associated with astration equals ISF = Mdust /tSF ∼ 0. But by far the greatest sink is star formation and the destruction rate tSF gives the maximum lifetime of a grain. possibly η ∼ 0. The solid is heated up to the condensation temperature.1.1. they are cycled at least 10 times between cloud and intercloud medium. H2 O or otherwise and is unable to form grains. This happens near luminous stars. a considerable fraction is locked up in CO. I • If grains should live a billion years. But even for impact energies above the threshhold.03 M yr−1 . one can deﬁne a formation time scale t by t= 9. suppose that 3 M of heavy elements are ejected per SN explosion.01 M yr−1 . Total gas mass Total dust mass Star formation rate Supernova rate Mgas ∼ 5 × 109 M Mdust ∼ 3 × 107 M τSFR ∼ 5 M yr−1 τSN ∼ 0.49) Mdust . The threshhold impact energy for liberating an atom from the solid phase is a few times larger than the binding energy of an atom (∼5 eV). For each input rate. one gets a dust input rate from supernovae comparable to that of red giants of ISN ∼ 0. atoms are chipped off only with an efﬁciency η smaller than one.2 Destruction processes Grains are destroyed in various processes (recommended reading [Sea87] and [McK89]) such as the following ones.

2 at later times. As B . we turn to the theory of supernova blasts. the shock becomes radiative when v ≤ 200(n 2 /E 51 )1/14 km s−1 . The collisional velocities between the grain and the gas atoms are now non-thermal and non-thermal sputtering dominates. 9. is compressed. A shock with v ∼ 300 km s−1 corresponds to a temperature T ∼ 3 × 106 K. grains will be vaporized if the efﬁciency for knocking off atoms is greater than 1%. the remnant of mass MSNR and velocity v is adiabatic and its kinetic energy E = 1 MSNR v 2 conserved.4. the cooling time is smaller than the expansion time of the supernova remnant. In a low-velocity shock. small grains may survive. whereas in normal clouds only a fraction of order 1% of these atoms is in the gas phase. grains are mostly destroyed in shocks associated with supernova remnants (SNR). The ﬁnal velocity vgr is limited by drag forces from the gas. cooling is slow. Photodesorption which is the ejection of grain atoms by photons. one ﬁnds for the mass of the supernova shell MSNR ∼ 103 M at the onset of the radiative phase. whereas the binding energy is only 5 . A charged grain of mass m will gyrate in the magnetic ﬁeld B. the grain velocity vgr increases because its magnetic 2 moment µ = mvgr /2B is conserved and the grain is accelerated (betatron acceleration). The mechanism of grain destruction depends on the type of shock: • In a fast shock. usually in grain–grain collisions. High-velocity clouds are interpreted to be fragments of an expanding and shocked supernova shell. 10 eV for refractory material. one ﬁnds that at least small grains are likely to be eroded. Shattering which is the destruction of a grain into smaller units. The observational evidence comes from clouds of high velocity (v > 100 km s−1 ) where more than half of Si and Fe is in the gas phase. The decelaration is proportional to the inverse of the grain radius. Grains may also collide with one another. A velocity of 100 km s−1 corresponds to ∼1000 eV kinetic energy per atom.1) and adopts a gas density n = 1 cm−3 . A supernova rate . .2. The shock is radiative and the density jump is much greater than four.300 • • • Dust and its environment Grain–grain collisions after acceleration in a magnetic ﬁeld. If one determines the rate of impinging protons using (9. so big grains become faster than small ones and are more easily destroyed. In a gas of density n = 1 cm−3 and with the standard explosion energy E 51 = 1. The shock is adiabatic or non-radiative and has a moderate density jump of four.1 Destruction in shocks Besides star formation. the momentum vMSNR is constant. E 51 is the energy expressed in units of 1051 erg. During the ﬁrst (Sedov) stage. According to [McK89]. • To estimate the importance of shock destruction. Sputtering is thermal because the velocities of the gas atoms are thermal. the component of B parallel to the shock front. .

50) .03 yr−1 then implies that all interstellar material of the Milky Way is processed in a time tSNR = Mgas ∼ 2 × 108 yr.1 eV) is effectively sputtered in the diffuse interstellar medium (T ∼ 103 . grains of 1000 A size are eroded in ∼109 yr.5 Grain formation We derive approximate equations that describe the nucleation of monomers into large clusters. MSNR τSN As the high-velocity clouds indicate an efﬁciency for dust destruction of 50%.5 × 109 yr). .Grain formation 301 τSN = 0. especially in dark clouds. 9. in agreement with observations. with some modiﬁcations.2. 9. like liquid and gas.1% of all interstellar matter.2. negligible because it contains only ∼0.4. however.3 Sputtering of grain mantles Similarly simple computations show that volatile grain mantle material which has low binding energies per atom (∼0. also to interstellar grains. destruction in the coronal gas is.1 Evaporation temperature of dust When two phases. There. 104 K. Low-velocity shocks are also efﬁcacious. the associated timescale (∼4 × 108 yr) is substantially shorter than the joint dust injection time scale from supernovae and red giants (∼1. however. In a steady state. are in equilibrium at temperature T .5. Q dP = dT (Vg − Vf )T (9. the material constants are poorly known.4. the vapor pressure P changes with T according to the Clausius–Clapeyron equation. 9. Assuming there a gas density ˚ n = 10−3 cm−3 . The examples refer to water because its properties are experimentally well established but the physics apply. . For the total dust in the Milky Way. Therefore the mantle material with a low binding energy is conﬁned to dark clouds.2 Sputtering in the coronal gas Sputtering of refractory grains also occurs in the hot coronal gas (T = 106 K) where all atoms are very energetic (∼100 eV). n > 10 cm−3 ). this requires an additional dust source for which accretion in the interstellar medium. is usually invoked. 9.

7. The fundamental formula (9. also valid with respect to sublimation.r Figure 9. We remember that 1 mol consists of L = 6. the Boltzmann constant k and L are related through k= R .50) is derived in a thought experiment from a Carnot cycle: • First. in view of the ﬁrst law of . L (9. respectively. L is Loschmidt’s number. and Q is the heat necessary to evaporate 1 mol. ∞ 2 pr Vg. one brings the system back to its initial state (P. Then the vapor is condensed in another heat bath at slightly lower temperature T − d T and pressure P − d P. the total effective work done is. A reversible cycle employing two vessels to ﬁnd the vapor pressure of a drop of radius r . with obvious modiﬁcations. In this way.7). the substance expands from Vf to Vg and the vapor pressure P does the work P (Vg − Vf ) by lifting a piston. this requires heat Q. and the gas constant R. The shaded area marks the ﬂuid. and thus applies to the evaporation of interstellar grains and their mantles. where Vg and Vf are the volume per mol in the gas and f luid phase. one totally vaporizes at constant temperature T one mol of a liquid in a vessel closed by an adjustable weight (of the kind as depicted on the lefthand of ﬁgure 9. one returns the latent heat Q and the work (P − d P)(Vg − Vf ).302 Dust and its environment 1 r p ∞ Vg.02 × 1023 molecules.51) The Clausius–Clapeyron equation is. • As the internal energy of the system is the same at the beginning and the end of the cycle. Finally. see text. During the phase transition from ﬂuid to gas. T ). which is the phase transition between the solid and gas phases.

(9. In cooling the vapor by T = 100 K from 100 to 0 ◦ C. Laboratory data for water ice from 0 ◦ C down to −98 ◦C are displayed in ﬁgure 9. Typical evaporation temperatures of other astronomically important species are: hydrogen (3 K). Vg .Grain formation thermodynamics (see (5. d P · (Vg − Vf ) = Q − Q . therefore. then 100 cal to heat it up the water to 100 ◦C and another 539. .54) with properly chosen constants. Therefore.55) Because of the exponential dependence of the vapor pressure on temperature. At hydrogen densities of order ∼106 cm−3 . equal to the evaporation pressure.22 × 1022 molecules. n X kT . This agrees nicely with the ﬁt parameter T0 = 6170 K in ﬁgure 9. One gram of H2 O. according to the second law of thermodynamics. we can approximate (9. Because 1 cal = 4. A rise in density from 106 to 1012 cm−3 increases the evaporation pressure for H2 O.64 × 10−13 erg corresponding to a temperature of 6260 K.52) and. They can be neatly ﬁt over the whole range by equation (9. in whatever form.54) is very general and does not say anything about the details of a speciﬁc phase transition.8.184 × 107 erg the total sublimation energy per H2 O molecule at 0 ◦ C is. The efﬁciency of converting heat Q into work is η= d P · (Vg − Vf ) dT = Q T 303 (9.37 × 109 erg.50) by Because Vf Q d ln P = dT RT 2 which has the solution P = P0 e−T0 /T T0 ≡ Q/R. If it is ice.1 cal to vaporize the water. one gains 3Nk T = 1. has N = 3. (9. assuming six degrees of freedom per molecule. P0 and T0 have to be determined experimentally.4 cal to liquify it at 0 ◦ C.53) The afﬁnity to the Boltzmann distribution is not only formal but physical because atoms in the gas are in an energetically higher state than atoms in a solid.54) (9. the result is rather insensitive to the gas density. kT = 8. water ice evaporates at T ∼ 120 K as one can read from ﬁgure 9. Equation (9. respectively. no heat engine can do better. NH3 and CH4 by ∼30 K.8 assuming an H2 O abundance of 10−7 .49) with dU = 0). silicates (1800 K) and graphites (2500 K).8. P0 e−T0 /Tevap = n X kTevap . Ammonia and methane go into the gas phase already at about 90 and 70 K. it takes 79. CO. The evaporation temperature Tevap in interstellar space of a species X frozen out on grain mantles follows by setting its partial pressure in the gas phase. CO2 (20 K).

therefore.2 Vapor pressure of small grains Condensation and evaporation of small interstellar grains has the peculiarity that the transition surface between the solid and the gas is not ﬂat but curved. the surface area shrinks by an amount d A thereby creating the energy d W = ζ d A according to (9. (1) In vessel 1 is a small liquid sphere of radius r at temperature T in equilibrium with its vapor of pressure pr (ﬁgure 9. Evaporation is. Here. easier in grains of small radius r and their vapor pressure pr is higher than that over a ﬂat surface. P = n X kT in mm Hg column for a number density n X = 0.8. one performs an isothermal reversible cycle of four steps.0 × 1010 mm of Hg column. Vapor pressure of ice. we write down the work Wi that is being done in each step. The ﬁt is extrapolated to lower temperatures. This has fundamental consequences. Such an H2 O pressure prevails in interstellar space when the total gas density n H = 106 cm−3 and the water abundance (in the gas phase) is 10−7 . Experimental points (dots) from [Wea77]. To compute pr . As molecules leave the grain. the full curve is a ﬁt according to (9. 9. The lower horizontal line shows the partial gas pressure.0 × 1013 dyn cm−2 or 3. p∞ . The upper horizontal line is for n X = 105 cm−3 .7).54) with T0 = 6170 K and P0 = 4.5.1 cm−3 .304 Dust and its environment Figure 9.43). the formulae for Wi are elementary. The volumes per mol of gas and .

we obtain ln pr 2ζ v0 .45) and the outer pressure pr the same amount of liquid as is being lost to the gas. respectively. so r is the critical cluster radius.5. a sphere of diameter 2r is in equilibrium with the vapor. we calculate the work W needed to form in a reversible cycle a drop of radius . 9. so all the time r = constant. As the cycle was isothermal (d T = 0). we take from vessel 2 with a syringe 1 mol of liquid. (4) To complete the cycle. When 1 mol has become gaseous. is much bigger than pr − p∞ . W4 = Vf p∞ . (3) The 1 mol of vapor is pressed into vessel 2 where the liquid has a plane surface and is under its vapor pressure p∞ .57) is greater than one. a bigger drop will grow indeﬁnitely. = p∞ kT r (9. the sum Wi must be zero. W3 = −RT.r and Vf . Let v0 denote the volume of one molecule in the liquid phase.3 Critical saturation To estimate the critical saturation parameter scr > 1 at which clusters are created. The vapor is then said to be supersaturated. 2ζ /r . (2) Isothermal expansion from pressure pr to p∞ of the 1 mol of gas that has been vaporized in step (1).r − pr + 2ζ r Vf . Because RT = pV and because the pressure in the drop. W1 = pr Vg.Grain formation 305 ﬂuid are Vg. Condensation of the ﬁrst seed grains is thus possible only when the partial pressure p exceeds p∞ or when the saturation parameter s (capital S for the entropy) deﬁned by s= p p∞ (9.56). We evaporate the droplet but in such a way that while evaporating we inject with a syringe into the sphere against the internal pressure p = 2ζ /r of (9. At pressure pr given by (9. W2 = RT ln( pr / p∞ ).56) This tells us that the vapor pressure pr = p∞ ·e2ζ v0 / kT r equals p∞ for big spheres but increases exponentially when the radius becomes very small. a smaller one will evaporate.

For longrange forces.57). according to the ﬁrst law of thermodynamics. W1 = −nkT. S decreases because a liquid represents a state of higher order than a gas. only connect to their nearest neighbors. therefore. As the energy of the system stays constant over the cycle. When we insert the saturation parameter s = p/ p∞ of (9. the term would be proportional to n 2 . (4) Form there from the liquid a drop of radius r (and bring it back to the ﬁrst vessel). Therefore. It is proportional to the number of molecules n because the molecules possess shortrange forces and. (1) Remove n gas atoms from the vessel. 3 (9. Formation of a seed grain comes about by such an entropy ﬂuctuation. introduces a correction because atoms on the surface are attracted only from one side.51)) S = Q/T = 4πζ r 2 /3T. on a microscopic level all processes are reversible and S ﬂuctuates. W3 = nkT. so W = Wi . W2 = −nkT ln( p/ p∞ ).58) The term −nkT ln( p/ p∞ ) is the potential energy of the drop. also at temperature T but containing a liquid of ﬂat surface under vapor pressure p∞ . (9. the probability P = 1/ for the formation of a seed is given by e−S/ k . simple algebra yields P= 1 = e−S/ k = exp − 4πζ r 2 3kT = exp − 2 16πζ 3v0 3k 3 T 3 ln2 s . The drop consists of n atoms and is formed in a vessel with vapor at pressure p and temperature T . The work in each of the four steps is denoted by Wi . Although the entropy of a macroscopic system can only increase. The other term 4πζ r 2 . to subtract from the system the heat Q = W . As the entropy is after (5. during formation of the droplet the entropy of the system falls by (see (5. which goes as n 2/3 . one has. S = k ln . For the sum we get W = −nkT ln( p/ p∞ ) + 4πζ r 2 = 1 ζ · 4πr 2 . W4 = 4πζ r 2 .59) . (2) Isothermally expand these n atoms from p to p∞ . (3) Press the n atoms into another vessel.306 Dust and its environment r .43) equal to Boltzmann constant k multiplied by the logarithm of the number of states.

The outcome of the simple calculation depends entirely on the exponent in (9.56). to s. in contrast to heterogeneous nucleation when different molecular species or ions are present.0 × 10−23 cm3 ) at temperature T = 275 K. there are. all the physics is contained in the coefﬁcients for evaporation and accretion. 3 n Consider a gas of constant temperature T and pressure p = c1 kT with saturation parameter s = p/ p∞ > 1 after (9. S/k ∼ 500/ ln2 s. changing from practically impossible to highly likely in a narrow interval s.60) This is a very general equation. v0 = 3. If the gas has only one kind of atoms or molecules of mass m. So J = N 2 vσ P is the rate at which seeds form and the condition N 2 vσ P ∼ 1 yields scr . where v is the mean velocity of (9.57). αn and βn . The probability P is most sensitive to ζ /T and. If N. A small cluster or droplet of n molecules is an n-mer with concentration cn . One ﬁnds typical values of the critical saturation parameter for water at room temperature around 10 which implies in view of (9. 2πmkT (9.56) a critical seed radius rcr of a few angstr¨ ms. If atoms impinge on a drop at a rate βn An and evaporate from it at a rate αn An . v and σ denote the number density. For carbon compounds (ζ ∼ 1000 erg cm−2 . It is exactly this property which allows us to estimate the critical value scr as follows. if ζ /T is ﬁxed. v0 = 9 × 10−24 cm3 ) at T = 1000 K. therefore. ˙ (9.1) and pn /kT from (9. the concentration cn changes with time like cn = −cn βn An + αn An + cn−1 βn−1 An−1 + cn+1 αn+1 An+1 .5. per second. When v0 is the volume of one molecule. n and rn are related through nv0 = 4π 3 r . then pn αn = √ 2πmkT p β= √ . The number density of the gas molecules (they are monomers) is. N 2 vσ atomic collisions each leading with a probability P to the formation of a seed. If we assume that atoms are added to the 2 2 grain at a rate πrn v c1 and leave at a rate πrn v pn /kT . the exponent S/k ∼ 116/ ln2 s.Grain formation 307 For water (ζ = 75 erg cm−2 . mean velocity and collisional cross section of the vapor atoms. A cluster has a radius rn and a surface area An = 4πrn . one speaks of homogeneous nucleation.4 Equations for time-dependent homogeneous nucleation Let us study the creation of seed grains in a kinetic picture.61) .59) which has to be of order one. ˚ o 9. 2 denoted c1 . the factor N 2 vσ has very little inﬂuence.

the difference in free enthalpy. ˙ Equation (9.56). it has its maximum at n ∗ where ∂ G n /∂n = 0.9. All values at n ∗ will. Jn = J s = constant > 0. nothing changes with time and ∂/∂t = 0. When they have climbed the barrier. their size is n ∗ and for n > n ∗ .308 Dust and its environment In this case.5 on the equilibrium conditions of the state functions.65) G n = 4πζ rn − nkT ln( pn / p∞ ). detailed balance holds. 9. for non-equilibrium conditions. Figure 9. for a system at constant temperature and pressure. So n ∗ is the critical size. In view of the discussion in section 5. The conditions for steady state are less stringent than for equilibrium because Jn need not vanish. 2 (9. pn is the vapor pressure of an n-mer according to (9.10 plots the dependence of n ∗ on the saturation parameter s. In a steady state (subscript s). The last relation also enables us to write. be marked by an asterisk.62) We can now transform equation (9. β is constant for all n and the sticking coefﬁcient is one. 0 Jn = −cn β An cn+1 0 cn+1 − cn .5.64) where G n is the work to be expended for creating an n-mer out of monomers (see (9.63) 0 The equilibrium concentrations cn are given by the Boltzmann formula 0 0 cn = c1 e − G n / kT (9.5 Equilibrium distribution and steady-state nucleation When the system is in phase equilibrium. in the following. Jn = 0 and 0 0 cn β An = cn+1 αn+1 An+1 . it only has to be a positive constant. G n is. One deﬁnes a particle ﬂux or current from n-mers to (n + 1)-mers by Jn = cn β An − cn+1 An+1 αn+1 .60) disregards collisions between clusters. 0 cn (9. In equilibrium. only molecules impinge on a drop but that is a valid assumption as one can easily verify. Clusters of size smaller than n ∗ are inside a potential well and ﬁght an up-hill battle when growing. (9.3. The function G n is depicted in ﬁgure 9.58)).60) into the deceptively simple looking form cn = Jn−1 − Jn . We will ﬂag equilibrium concentrations by the superscript 0. they will grow unrestrictedly. . They have to overcome the barrier of height G ∗ .

s cn = 0 for n ≥ L.63). In these plots. (9. the minimum is at n = n ∗ . The curve reaches its maximum at n ∗ . T = 300 K. As a second boundary condition we impose s 0 c1 /c1 = 1 which means that only a very small fraction of the total mass is in clusters.66) To realize a steady state in a thought experiment. One does not have to be very particular about L. one has to invoke a Maxwellian demon who removes large clusters with n ≥ L > n ∗ by gasifying them. The demon supplies the boundary condition for the cluster distribution. The broken curve depicts the equilibrium 0 concentration cn of n-mers on an arbitrary linear scale. cs Js cs = n − n+1 0 0 0 cn β A n cn cn+1 − ∂ ∂n cn 0 cn . The full curve shows G n /kT where G n = 4πζ rn − nkT ln p/ p∞ is the change in free enthalpy when n water molecules condense into a drop of radius rn (see (9. it just has to be somewhat greater than n ∗ .65)). .Grain formation 309 2 Figure 9. from (9.9. s = p/ p∞ = 4 and the surface tension ζ = 75 erg cm−2 . we get. Under this condition.

68) . the surface 2 area An = 4πrn can be taken out from under the integral and replaced by A∗ . has its maximum and ∂ G n /∂n = 0. Consequently.67) we can directly compute the steady-state nucleation rate J s .67).66).10. by performing a sum over (9. L−1 Js n=1 cs cs 1 L = 1 − 0 =1 0 0 cn β A n c1 cL (9. the difference in the Gibbs potential between gas and droplet. Gn with G∗ = G∗ + 1 ∂ 2 Gn (n − n ∗ )2 2 ∂n 2 2 v0 4πζ 2 16πζ 3 r∗ = 3 3 kT ln s (9. The dependence of the critical cluster size n ∗ . The latter may also be appproximated analytically from the relations: 1 Js β L 1 dn 0 A n cn Js 0 βc1 1 L e G n / kT An dn Js 0 β A ∗ c1 1 L e G n / kT dn which follow from (9. on the saturation parameter s = p/ p∞ for water vapor at 273 K. For clusters of size n ∗ .9. G n . deﬁned in ﬁgure 9. A Taylor expansion of G n around the maximum n ∗ . Because G n has a fairly sharp peak at n ∗ .310 Dust and its environment Figure 9.

6 Solutions to time-dependent homogeneous nucleation 9.Grain formation and ζ v2 ∂ 2 Gn = − 04 ∂n 2 2πr∗ 311 yields. Figure 9. the ratio cn /cn tends to zero. with the saturation parameter s.67).5. The magnitude of J s is. 9.11 illustrates the immense change in J s . entirely determined by the exponent.69) The exponent in square brackets equals − G ∗ /kT and µ is deﬁned by µ= 2 4πζ a0 kT (9. so v0 = 4πa0 /3.69) is quite a satisfactory approximation to the sum in (9. we want to ﬁnd the new one. over many powers of ten. For large n.60) can immediately be brought into the form An cn−1 + Bn cn + Cn cn+1 + Dn = 0 (9.60) can easily be solved when the coefﬁcients for evaporation and accretion.1 The evolution towards the steady state The time-dependent system of equations for nucleation presented in (9. The number of clusters that grow per unit time and volume from size n to n+1 is then independent of n and one readily ﬁnds J s = v0 2ζ πm 1/2 0 (c1 )2 exp − 4µ3 27 ln2 s . (9. the steady-state nucleation rate J s . We learn from ﬁgure 9. equilibrium and steady-state s 0 concentrations are the same. Let us write the time derivative of the concentration of n-mers as old cn − cn cn = ˙ τ old where cn is the old value of the concentration a small time step τ ago. Equation (9. The expression in (9. the latter being calculated from L−1 s 0 cn = cn J s i=n 1 ci0 β Ai .6.71) . upon replacing the integration limits (1. the ratio cn /cn s /c 0 )/∂n evaluated at n declines with an approximately constant slope b = ∂(cn n ∗ s 0 over a region of width n = −1/b.12 shows the deviation of the equilibrium from the steady-state concentrations. Around the critical cluster size n ∗ . αn and βn . L) by (−∞. of course.70) 3 where a0 denotes the radius of a monomer. Figure 9.25).5. cn .12 that for small n-mers. are as simple as in (9. ∞) to obtain the standard integral (A.61).

An is not the surface area of an n-mer). where An .54) and equals 1.71) yields γn = − An Bn + γn+1 Cn δn = − δn+1 Cn + Dn . Variation of the steady-state nucleation rate J s (s−1 cm−3 ) with saturation parameter s = p/ p∞ for water vapor at T = 273 K. L . Putting cn = γn cn−1 + δn and inserting it into (9. Bn . The pressure p∞ is derived from (9. Bn + γn+1 Cn (9.312 Dust and its environment Figure 9.72) We determine the concentrations cn in the size range g≤n≤L with 1 g n ∗ (as far as possible) and L > n ∗ . surface tension ζ = 75 erg cm−2 . above catastrophic and s 5 represents the critical value of the saturation parameter. nucleation is negligible.12: At the upper end. Below s 5. Dn are known coefﬁcients (so for the moment. J s is computed from (9.69) and displayed on a linear (top) and logarithmic scale (bottom). The boundary conditions are suggested by ﬁgure 9.11. Cn . we take c L = 0 because c L /c0 = 0.92 × 1017 dyn cm−2 .

By choosing g considerably greater than one. as deﬁned in (9. .66) to be of order τrel ∼ 2 r∗ 2 4βζ v0 . τrel ∼ 2 × 10−7 s and Jn −3 . the ratio is about one half.12 (although the latter is computed for somewhat different values of T and s). the abundance of clusters is very close to 0 equilibrium and we put cg = cg . and this allows to compute γn = δn = 0 for n = L − 1. We see that the ﬂuxes Jn .63). Figure 9. (9.65) for the smallest clusters where it cannot be correct. s−1 .13 presents a numerical experiment for water vapor at constant temperature T = 263 K and saturation parameter s = 4. γ L = δ L = 0. The ratio of the cluster abundance in a steady state to the cluster abundance in equilibrium as a function of cluster size n. We then ﬁnd cn for n = g + 1.Grain formation 313 Figure 9. The steady state is reached after a relaxation time τrel that can be shown by an analysis of equation (9. . we start with a conﬁguration where only very small clusters exist and put cn = 0 for n > g. . converge towards their steady state values J s given in (9. At time t = 0. These two values 0 imply a monomer concentration c1 = 3.9.12.69). . . we avoid using the enthalpy G n of (9. .5×1017 cm−3 and a critical size n ∗ = 71. g + 1. L − 1 from (9. At the lower end. At n = n ∗ . Therefore. .73) s In the particular example of ﬁgure 9.13. .72). The asymptotic values of the concentration ratios c /c 0 are 1 cm n n qualitatively the same as in the steady-state distribution of ﬁgure 9. here for water vapor at T = 273 K and saturation parameter s = p/ p∞ = 4.

The top panel depicts the corresponding particle ﬂuxes Jn of (9. and bigger clusters are absent (cn = 0 for n > g). the smallest grains 0 are in equilibrium. Water vapor at 263 K supersaturated by a factor s = 4.6.62).13. cn /cn = 1 for n ≤ g = 12. At time t = 0. evolve in time.2 Time-dependent nucleation using steady-state ﬂuxes As the relaxation time τrel in (9.5 × 1017 cm−3 . 9.9. the steady-state ﬂux J s represents a good approximation to all .73) is short compared to the time it takes to grow big stable drops. Under these conditions. The smallest clusters for which we compute the time evolution consist of g = 12 molecules.314 Dust and its environment Figure 9. the critical cluster size n ∗ = 71 and the concentration of the monomers c1 = 3. the largest of L = 120. normalized to the equilibrium value.5. The bottom plot shows how the concentrations of various cluster sizes.

Let N(t) be the number of monomers in clusters that were formed at time tcr and and let R(t) be their radius. where κ = C p /Cv is the ratio of speciﬁc heats.75) with Runge–Kutta asssuming an adiabatic expansion with a cooling rate T = Te − wt with Te = 292 K and w = 100 K s−1 . The Jn may then be replaced by J s and this greatly simpliﬁes the further analysis in which we study nucleation in a cooling gas. Then at tcr = 0.11. The time ˙ dependence of the saturation parameter s follows via P∞ as given by (9.76) s(t) = T (t) T0 /T (t )−T0/Te e .Grain formation 315 ﬂuxes Jn after the time τrel when transient effects have died out. One then has to add to the density ˙ decrease c1 (t) of (9.54). (9. Until the moment of crtitical supersaturation. The rate at which monomers are depleted through steady-state nucleation is.247 s. Such a situation prevails in the outward ﬂowing wind of mass loss giants where most interstellar grains are formed. we integrate equations (9. grains do not form and the decrease in the gas density and temperature and the rise of the saturation parameter are due only to the adiabatic expansion at the prescribed rate. t J s (t )N(t ) dt . Te To illustrate the formation of grains. s increases.9) and the time it takes to form one critical cluster. (9.75) c1 (t) = −J s (t) · N(t) ˙ which leads to a monomer depletion since time zero of c1 (t) − c1 (0) = − 0 κ−1 If the cooling is due to an adiabatic expansion. nucleation rises in a spike as rapidly as shown in ﬁgure 9. Only when the saturation parameter approaches the critical value scr at time tcr do clusters become bigger than the critical size n ∗ and catastrophic nucleation sets in. For t ≥ tcr .74) R = πa0 v c1 (t) √ where a0 and v = 8kT /πm are the radius and mean velocity of a monomer.14. reaches the vapor pressure P∞ over a ﬂat surface. K = T /c1 is a constant. is unrealistically long. roughly given by the inverse of J s .74) and (9. the gas temperature is denoted by Te and the time t is set to zero.75) the term γ T T γ −1 /K γ where γ = 1/(κ − 1). When the partial gas pressure of the condensible component. so 4π R 3 /3 = Nv0 . the steady-state nucleation rate J s is negligible because all clusters are below the critical size n ∗ (see ﬁgure 9. At ﬁrst. At this instant. these clusters grow at a rate 2 ˙ (9. the saturation parameter s equals one. therefore. Results are plotted in ﬁgure 9. As the gas cools further. depriving the gas of its atoms . P = c1 kT .

From that moment on. the steady-state nucleation rate J s and the radius R of the largest drops.14. T . At the maximum of the steady-state ﬂux J s .7 and ∼ 6 × 106 . At t = 0. the saturation parameter s is near its critical value of 5.247 s.5. m. c1 . ζ. clusters grow beyond n ∗ according to (9. The maximum values are 7. Nucleation in an adiabatically cooling water vapor. the models presented here for the condensation of water near room temperature can be carried over to grain formation in late-type stars (T ∼ 1000 K. 103 s−1 cm−3 for J s and 280 µm for R. The gas expands adiabatically cooling by 100 K every second.70) and deﬁned below [Yam77]. s.6 × 1017 cm−3 . at an accelerated pace. µ = 9. The radius at which their growth levels off (at t = 0.7 Similarity relations The number of variables that enters the nucleation calculations is quite large (v0 .316 Dust and its environment Figure 9.3 for s. v . We plot as a function of time the saturation parameter s. the number density of the gas molecules c1 . Therefore. 9.0 and the temperature has fallen to 268 K. p0 . The saturation continues to increase after tcr because of cooling but eventually falls for lack of gas atoms. the gas is at Te = 292 K and just saturated (s(0) = 1) with a monomer concentration c1 (0) = 6.65 s) represents the typical ﬁnal grain size (one can also determine a size distribution). The ordinate is for all four variables linear with the zero point indicated. T0 ) but one can drastically reduce the parameter space to only two variables: µ from (9. c1 ∼ . At t = tcr = 0.74) whence they are stable.

The second. ζ ∼ 103 dyn cm−2 ) as long as µ and are comparable.7.5. By deﬁning y = c1 (t)/c1 (0) x = t/τsat 2 = τsat c1 (0) πa0 v 3R ρ= a0 the nucleation formulae (9. When one inserts this T (t) into the evaporation pressure p∞ = p0 e T0 /T of (9. 9. one ﬁnds for the time dependence of the saturation parameter s(t) = where 1 τsat T0 d ln T . Tcr dt c1 (t) t /τsat e c1 (0) The cooling rate d ln T /dt is evaluated at Tcr . is determined by the conditions in the environment.74) and (9. As the gas temperature changes only a little during the brief period of catastrophic nucleation when T ∼ Tcr . ˙ such as gas density c1 and cooling rate T but it also reﬂects the physics of the dust via the constant T0 in the expression for the evaporation temperature of the grain material (see (9. µ. it may be approximated by a linear function in time.54)). is ﬁxed by the ratio of surface tension over temperature and thus incorporates grain properties.76) can be transformed into the new equations: dρ =y dx 1− y = 4 (9.78) 81 µ π 1/2 0 x y 2 ρ(x ) exp − They contain only the two independent parameters µ and .54). T (t) = Tcr − at. The ﬁrst. oversimpliﬁcations and . (9.Grain formation 317 109 cm−3 .77) 4µ3 27(x + ln y)2 ) dx . . The ﬁnal grain size is largely inﬂuenced by (see deﬁnition of ρ).1 Cautioning remarks The quantitative results of homogeneous nucleation theory outlined here are fairly speculative because of the intrinsically exponential behavior of the process of grain formation and a number of dubious assumptions.

57). and where we expect carbon dust.57) but ln( pr / p∞ ) = 2ζ v0 /kT r − 4/n. it is there and not graphitic ˚ because of the absence of the 2200 A feature. the correct formula for the vapor pressure of a drop is not (9. does not solve the problem. We mention that because of the macroscopic motion. the proper expression for the free enthalpy. Second. where n is the number of molecules in the cluster [Kuh52]. Replacing ζ by ζr = ζ /[1 + δ/r ]. stellar photons are present in the wind that create new reaction channels and the radiation ﬁeld is not in equilibrium with the gas. First. Observations consist of infrared spectra that do not carry detailed information about the dust. immense fudge factors (up to 1017 for the concentration of the critical clusters) are cited in the literature. The latent heat of the condensing molecules should not be neglected. A drop also has macroscopic motion but it is not clear how its translation and rotation replaces the internal degrees of freedom. an honest answer is sobering. Another reason for this dissatisfactory state of affairs is the limited possibility to compare observations with theory. the concept being even ill deﬁned. where δ is a curvature ˚ correction of atomic length (∼1A) and r the grain radius. as can be inferred from the presence of the 10 µm band. there is no information in the spectra about grain size or the dependence of growth on the physical parameters of the medium. So when it comes to the question of how much one learns by applying homogeneous nucleation theory to grain formation in the outﬂow of red giants. which was neglected in our derivation of (9. The thermodynamics of small clusters. All they tell us is that silicates do form in M-type stars. Abr74]) the following ones. in particular. Because of this uncertainty. • • • The smallest clusters are not spheres. • Besides such intrinsic uncertainties in the theory of homegenous nucleation. astronomical real life is even more complicated. is still controversial.318 Dust and its environment unsolved problems. such as (recommended reading [Fed66. The surface tension of the smallest clusters is unknown. nucleation in the wind of giants is not homogeneous but proceeds in a vast network of chemical reactions involving many different species for which we do not know the rate coefﬁcients. However. .

we can treat dust grains as inﬁnite circular cylinders.1 Efﬁciency of inﬁnite cylinders As an approximation to elongated particles. the weakening of the ﬂux depends on the orientation of the electric vector. a. otherwise the net polarization would be zero. 10. the numerical code is still fairly simple. The achieved degree of polarization can be very high.1. 10. The far infrared radiation of some clouds shows a small degree of polarization. up to 10% or so. which we have already discussed and illustrated. The problem of computing the electromagnetic ﬁeld in the interaction of light with an inﬁnite cylinder for any ratio of cylinder radius over wavelength was ﬁrst solved by Rayleigh [Ray18] for normal incidence and by Wait [Wai55] for oblique incidence. • To explain the latter two phenomena. one has to evoke the presence of nonspherical grains. for example elongated particles shaped like cigars. We skip the mathematical derivation of the cross sections. Although interstellar grains are certainly neither exactly cylindric nor inﬁnitely long (at best they are elongated).1 Normal incidence and picket fence alignment Consider a very long circular cylinder of length L much longer than its radius. When starlight passes through a dust cloud. although the emission from the stellar photosphere is certainly not. It is also possible to handle coated or multi-layered cylinders. Many reddened stars appear to be polarized. Through emission.Chapter 10 Polarization Electromagnetic radiation can become polarized by interstellar dust in three ways: • • Through scattering. We call the cylinder inﬁnite when on halving its length 319 . such an idealization provides quantitative estimates for the real particles. or the wavelength λ. Through extinction. They must also be aligned.

Carbon.1. which shows the efﬁciencies Q and Q ⊥ .2. Note that Q ext may be negative. In ﬁgure 10.1) Q= 2a L In this section. The ﬁgure informs us that in polarizing visible light. To derive from ﬁgure 10.7 + i 0. the display of Q ext is rearranged. in every aspect that of a sphere.1 µm and that much thinner or thicker cylinders are ineffective. i. What counts is the difference ext C ext = C ext − C⊥ . When there are many such cylinders with their axes all parallel. we further learn that there is a direct proportionality between the cylinder radius and the wavelength λmax of maximum polarization. silicate grains of cylindrical shape are most efﬁcient when their radii are about 0. In this case. taken with respect to 1 cm3 of dust material (see . In the bottom frame of ﬁgure 10. the cylinder axis is perpendicular to the direction of wave propagation. it is hard to align. except that we now have two Qs differing by an amount Q ext = Q ext − Q ext .1 with ﬁgure 4. the cross section C is also halved.03. whereas the difference Q ext has a ﬂat peak near x 1. one speaks of picket fence alignment. the other major chemical component of interstellar dust. which is the center of the visual band V. We choose λ = 0. Q ext is only a function of the size parameter x = 2πa/λ.7 + i 0. We adopt m = 1. we will also consider in this chapter examples of carbon particles. which is about the optical constant of silicate material between 0. ⊥ The efﬁciencies Q ext and Q ext reach their ﬁrst maximum at size parameter ⊥ x 2. The efﬁciency Q is deﬁned as the cross section over projected area.320 Polarization L.3 and 2 µm.1. we mostly talk about extinction efﬁciencies and sometimes omit the superscript ‘ext’. the volume coefﬁcients K and K ⊥ . there are two extinction cross sections depending on the polarization of the incident light: • • C ext : the cylinder axis is parallel to the electric and perpendicular to the magnetic vector of the incident electromagnetic ﬁeld.55 µm. therefore. C/L is then constant. C . unpolarized light becomes slightly linearly polarized after interaction with the cylinder. However. without any magnetic inclusions. Because for a given dielectric permeability. is often disregarded in the context of polarization because. It refers to the same optical constant m = 1. ext C⊥ : the cylinder axis is perpendicular to the electric and parallel to the magnetic vector of the incident electromagnetic ﬁeld. because there the observed interstellar polarization typically attains its maximum. When light impinges under normal incidence.1 we present Q ext and Q ext for inﬁnite ⊥ cylinders with circular cross section. we see that the extinction efﬁciency of a cylinder mimics. over the whole visible region and part of the near IR.5. (10. By comparing the top of ﬁgure 10.03 but we now keep the wavelength λ ﬁxed and vary the radius.e. They are not equal and.

The top frame shows the extinction efﬁciencies Q and Q ⊥ and their difference. one has to multiply Q by the geometrical cross section 2a L under vertical incidence and divide by the cylinder volume πa 2 L. The bottom frame shows the dependence of Q ext on radius a for a wavelength λ = 0. Q ext = Q − Q ⊥ . section 2. Therefore.1. if at some wavelength Q ext is equal for thin and thick rods. as a function of the size parameter x = 2πa/λ for inﬁnite cylinders of radius a and optical constant m 1.Efﬁciency of inﬁnite cylinders 321 Figure 10. only rearranged.7 + i0.03. the thin ones are more efﬁcient polarizers (with respect to the same total dust mass). The data for Q ext are exactly the same as in the top box. This gives K ∝ a −1 .1).55 µm and the same m. .

While the cylinder spins. Q(θ ) → 0 for θ → 0.2) . on average. for reasons of symmetry. When the cylinder is tilted further.322 Polarization 10. y)-plane.6 that peaks at an orientation angle of 0. We can ﬁgure out in a quiet moment that θ is given by cos θ = cos cos φ. whereas at θ = 0. when the cylinder has a very large radius.1. At = 90◦.55◦. and the cylinder axis changes. in the case of oblique incidence.3 Rotating cylinders Grains in interstellar space are knocked about by gas atoms and rotate. Q and Q ⊥ converge and for extremely oblique incidence they tend to zero. Furthermore.3). the efﬁciencies Q and Q ⊥ as well as their difference Q are rather constant. The sinusoidal dependence of Q on θ for large size parameters is already indicated in the curve with x = 2. so Q(θ ) ∝ sin θ for a λ. During rotation the incident angle θ varies. no polarization. Figure 10. z)-plane and makes an angle 90 − with the z-axis. Anyway. There is a sharp resonance for the curve with the size parameter x = 0. although this is not in accord with the deﬁnition for Q in (2. then cross sections are different for electric vectors along the x.2 shows the efﬁciences Q and Q ⊥ as a function of orientation angle θ for size parameters x = 2πa/λ in the range where polarization has its maximum. Let the cylinder be illuminated by an unpolarized ﬂux whose wavevector k lies in the (y. customary to call the quantity Q = C/2a L the efﬁciency. y)-plane of a Cartesian coordinate system. and its momentary location is characterized by the angle φ (see ﬁgure 10. the direction of wave propagation. the efﬁciency reﬂects the geometrical contraction. with Q = C/2a L. light falls directly from above on the page and then.1. the angle θ between k. Therefore we also have to evaluate the cross section of a spinning cylinder. for instance.and z-axes. Suppose the cylinder circles in the (x. where C is divided by the projected geometrical cross section 2a L sin θ . 10. so one has to form an average over a rotation cycle. for oblique incidence in [Lin66].2 Oblique incidence If the cylinder is oriented arbitrarily. the wavevector lies in the (x. there will be. (10. The incidence is generally oblique but we have just learnt how to handle this. in [Boh83]. k is parallel to the cylinder axis. Normal incidence corresponds to θ = 90◦ . presented by the page of this book. Around normal incidence down to orientation angles of 40◦ . Formulae to compute Q for normal incidence are found. At an angle = 0◦ .9). its axis can form any angle θ with the wavevector k. It is also.

An orientation angle θ = 90◦ corresponds to normal incidence.2. the upper curve gives Q when the electric vector E. the lower shows Q ⊥ when E is perpendicular to the plane deﬁned by the wavevector and the cylinder axis. for a size parameter x = 1. Where Q and Q ⊥ (dots) cross over. the wavevector and the cylinder axis are in one plane.Efﬁciency of inﬁnite cylinders 323 Figure 10. . The top frame shows the extinction efﬁciencies for polarized light of obliquely illuminated inﬁnite cylinders. There are three pairs of curves for three size parameters.6. the polarization reverses. The bottom left panel is a magniﬁcation for x = 0. Q − Q ⊥ . The bottom right panel gives the relevant quantity for polarization.2.

3) Denoting by Q = Q y − Qx = Q (θ ) − Q ⊥ (θ ) cos 2ϕ dφ.2) and (10. . i. agrees qualitatively with the more sophisticated models that include rotation. as before. In the integral.3). Let Q x be the efﬁciency when the electric ﬁeld swings in the plane containing k and the x-axis. An inﬁnite cylinder rotating in the (x. We see that the picket fence. θ and ϕ are both functions of φ as speciﬁed in (10.4.e. Then Q y = Q cos2 ϕ + Q ⊥ sin2 ϕ Q x = Q sin2 ϕ + Q ⊥ cos2 ϕ so that Q y + Q x = Q (θ ) + Q ⊥ (θ ) Q y − Q x = [Q (θ ) − Q ⊥ (θ )] cos 2ϕ.324 Polarization y φ x Figure 10. given by the wavevector k. Naturally. This again applies to silicate at optical wavelengths. Q ext is greatest for the picket fence. equivalent deﬁnitions hold for Q ⊥ (θ ) and for Q y . y)-plane. tan φ . y)-plane. we get tan ϕ = 2 π π/2 0 (10. let Q (θ ) be the efﬁciency of the cylinder for oblique incidence under the angle θ .3. An example is shown in ﬁgure 10. when the electric vector. the cylinder axis and k lie all in one plane. Now. The direction of the incident light. Q is proportional to the degree of linear polarization that the rotating cylinder produces. The angle ϕ is just the projection of φ onto a plane perpendicular to k. makes an angle 90 − with the z-axis which is perpendicular to the (x. by some 30% compared to rotation with = 0 and by more when is larger. sin Q the time average of Q y − Q x . which refers to rigid cylinders. Polarization will become weak when the rotation axis begins to point towards the observer.

The particles consist of our standard dust materials. amorphous carbon and silicate. denotes the angle between k and the plane of rotation. of ⊥ a rotating inﬁnite cylinder with refractive index m = 1.7 + i0.5. Whereas for both . where we have calculated the Qs over a broad wavelength region for cylinders as well as spheres. The difference in the extinction efﬁciency. the situation is radically different. quite similar.4 Absorption efﬁciency as a function of wavelength When cylinders have a diameter 2a 0. their efﬁciencies Q and Q ⊥ and the efﬁciency of a sphere of the same radius a are. which is a typical size of interstellar grains. This is demonstrated in ﬁgure 10. at optical wavelengths. with frequency-dependent dielectric permeabilities from ﬁgure 7. 10. The curve labeled picket fence can also be identiﬁed in the top frame of ﬁgure 10. Q ext = Q ext − Q ext .4. Q In the mid and far infrared at wavelengths λ a. here the cylinders do not rotate but are ﬁxed in space and their axes are parallel to the electric vector and perpendicular to the direction of wave propagation given by the wavenumber k.Efﬁciency of inﬁnite cylinders 325 Figure 10.1.1 µm.19. Q⊥ Q (sphere). When the cylinder is spinning.03 as a function of size parameter for various inclinations of the rotation axis.1. Within a factor of two.

The efﬁciency of a sphere (dotted) of the same radius is shown for comparison.5.326 Polarization Figure 10. extinction is usually irrelevant at these wavelengths. There are tremendous differences in the dust temperature. It must be plugged into equation (8. a factor of three (!) for amorphous carbon and a factor of 1. is in the far infrared much larger than Q(sphere). the efﬁciency Q . Despite the fact that cylinders are much colder than spheres. The absorption efﬁciencies. In ﬁgure 10. The cylinder radius is a = 10−5 cm. substances. Q ⊥ and Q(sphere) are comparable at all λ. they are much stronger emitters in the far infrared.5 for silicate. we have computed. one has to take an average over the solid angle and over the polarization direction.7. especially if they consist .6. The left panel is for silicates. the right. of inﬁnite cylinders (full lines) under normal incidence of light. amorphous carbon. Q and Q ⊥ .8) when one wants to determine the temperature of the cylinders in a radiation ﬁeld Jν . When the cylinders in a cloud are randomly oriented or randomly rotating in space. The mean efﬁciency is given by Qν = 1 2 π/2 0 Q ν (θ ) + Q ν⊥ (θ ) sin θ dθ (10. Q abs is ν plotted in ﬁgure 10. from equation (8. the emission ν of cylinders near a B1V star and compare it with that of spheres. This has consequences for the temperature of dust. its emission and the degree to which the emission is polarized. where the electric vector of the light is along the cylinder axis.1).4) where θ equals 90◦ when the light falls at a right angle on the cylinder.

5) . otherwise as ﬁgure 10. τmin .1 Effective optical depth and degree of polarization p(λ) In a cloud with anisotropic grains that are aligned to some degree. Inﬁnite cylinders are. When the unpolarized light from a background star traverses the cloud. The average Q ν of (10. the extinction of a linearly polarized wave depends on the orientation of the electric ﬁeld vector. perpendicular to it. Let τmax be the optical depth in the direction of maximum attenuation. 10. of amorphous carbon which has a large absorption efﬁciency because of its metallicity.3). the optical depth has its minimum.4) for randomly oriented rotating cylinders and for spheres (dots).5. the initial stellar intensity I∗ is weakened to the observed intensity Iobs = 1 I∗ (e−τmax + e−τmin ) = I∗ e−τeff 2 where τeff deﬁnes the effective optical thickness.Linear polarization through extinction 327 Figure 10. of course.2. an extreme example but particles with realistic elongations also show considerable enhancement in their far infrared emission (one may consult ﬁgure 3.6.2 Linear polarization through extinction 10. (10. τeff = − ln 1 −τmax 2 (e + e−τmin ) > 0.

strongly reddened stars. The more foreground extinction there is. The observed percentage of polarization rarely exceeds 10%. τmax − τmin . T (Si. In the case of weak extinction (τmax 1). τeff = 1 (τmax + τmin ). (10. T (Si. The upper limit is set by the difﬁculty of observing faint.77)) p= e−τmin − e−τmax .cyl) = 19.3 K. 2 The (positive) degree of polarization is (see (2.7. the higher the degree of polarization.sphere) = 56.4 K. Teff = 20 000 K) and are either spheres (dots) or randomly rotating cylinders (full curve) but always of radius a = 10−5 cm.7) p = 1 (τmax − τmin ) 2 However. the polarization goes to unity. The grains are at a distance of 1018 cm from a B1V star (L = 104 L .sphere) = 44. T (aC. See also previous ﬁgure.3 K. Emission in erg s−1 ster−1 Hz−1 of 1 cm3 of amorphous carbon (right) and silicate dust (left). is usually small (although τmax and τmin themselves need not be so) and the polarization may then be approximated by for τmax − τmin → 0. The dust temperatures are: T (aC.6) The difference in optical depth.cyl) = 30. .328 Polarization Figure 10. The total volume of the cylinders equals also 1 cm3 . just very long.71) and (2. when τmax − τmin is large.9 K. so they are not inﬁnite. p=1 for τmax − τmin → ∞. e−τmin + e−τmax (10.

Figure 10. Dots represent measurements. p(λ).2. As the logarithm in (10.Linear polarization through extinction 329 Figure 10.8 presents. as an example. We now apply these results in an attempt to give a theoretical .13 to 3. the full curve is the best ﬁt Serkowski curve. The Serkowski curve approximates polarization measurements of most stars quite well.8) This functional form of p(λ) is called the Serkowski curve after one of the pioneers in the ﬁeld. The data are nicely ﬁtted by the expression p(λ) = exp −k ln2 pmax λ λmax . Linear polarization of the star HD 161056 [Som94].2 The Serkowski curve A central question is how the polarization. varies with wavelength as stellar light is extinguished by aligned grains in foreground clouds. from Mie theory. Nature also takes the liberty of behaving otherwise. it does not matter whether we write λ/λmax or λmax /λ in the exponent. Reproduced from [Som94] with permission of the American Astronomical Society. In section 10. we calculated. Equation (10. (10. It is also easy to see that the parameter k determines the width of the curve.8) is squared.8. pmax and k.6 µm.1. the cross sections of inﬁnite cylinders. 10. The meaning of λmax is obvious—it is the wavelength where the degree of polarization reaches its maximum pmax . multi-wavelength observations of the star HD 161056 in the spectral interval from 0.8) is just a mathematical construct to ﬁt empirical data. It has three parameters: λmax . nothing more and certainly not a law.

The refractive index of the cylinder material in ﬁgure 10. which is not a bad assumption for many purposes. When one observes the wavelength dependence of polarization towards a large and diverse sample of stars. the agreement in ﬁgure 10.4 which displays the difference Q ext = Q − Q ⊥ in the extinction efﬁciency of rotating cylinders as a function of size parameter x = 2πa/λ. As variations are common.7 + i 0. as opposed to the picket fence. Q ext .1 µm. If interstellar grains were the same everywhere. we would be at a loss to explain the observed variations in k and λmax . from a tenth to a few micrometres. and then ﬁts the measurements for each star by a Serkowski curve. are. λmax ).03. We infer from equation (10. k. There are broad and deep wiggles.7) that Q ext (λ) is generally proportional to the polarization p(λ) and thus has the same wavelength dependence. we go back to ﬁgure 10. We do not expect them to be related to Ng and the inﬂuence of alignment is uncertain and probably slight. does not change the shape of the wavelength dependence of polarization greatly. Indeed. whereas the parameters λmax and k are not much affected. On the left. they rotate with the rotation axis inclined by an angle = 45◦ . we conclude that . Rotation mainly reduces the height of the curve (degree of polarization).7 but as the difference in the extinction efﬁciency. in the line of sight. Their origin is trivial as this quantity must depend on the degree of grain alignment and is at small optical depth proportional to the number of particles. the cylinders form a picket fence. When we use exactly the data of ﬁgure 10. For modeling polarization. the Serkowski curve gives a remarkably good ﬁt. locally it is far from it. For this purpose. In either conﬁguration.4 but rearrange them by ﬁxing the cylinder radius to some typical size. for a size distribution of cylinders. Ng . in their polarizing capabilities over a wide wavelength interval. so that only λ appears in the abscissa. Therefore. on the right. like inﬁnite cylinders. We also conclude from ﬁgure 10. Naturally. Their maxima are spaced by x 0. one gets a continuous range of values for the three parameters ( pmax .9 that rotation.4 is m = 1. Figure 10.9 between model and Serkowski curve is not perfect.8). It also testiﬁes that such artiﬁcial geometrical bodies. The variations in the other two parameters. This quick result is gratifying and guides us in understanding why interstellar polarization has the functional form of equation (10.9 shows two alignment scenarios. are more subtle. the size distribution is not nearly as important as it is for modeling the extinction curve. we expect strong ﬂuctuations in pmax . akin to real interstellar grains. we know that a spread in cylinder radii by only 50% will effectively smear out the wiggles.330 Polarization explanation to the Serkowski curve. k and λmax . representative of silicate at optical and near IR wavelengths. to achieve good agreement it takes only a few cylinder radii with proper size steps. and also for various inclination angles of the rotation axis. depends only on x = 2πa/λ. say a = 0. Of course. p(λ) will be smooth and close to the Serkowski curve everywhere. the plots already look quite similar to a Serkowski curve.

If we allow for rotation and an inclined rotation axes. there exists an interesting statistical correlation between k and λmax [Whi92]. A dependence of k on cylinder radius a is not evident. silicate and amorphous carbon. The left panel shows rigid cylinders under normal incidence. they ﬁt more or less.9 µm but values cluster at 0. the maximum wavelength λmax is proportional to grain size. Nevertheless. λmax has a large scatter from approximately 0. the right. .1 µm. Q ext = Q − Q ⊥ .10 that.10 and 10. The wavelength dependence of linear polarization produced by aligned inﬁnite cylinders with optical constant m = 1. for inﬁnite cylinders. For ﬁeld stars. the difference in the extinction efﬁciency. nothing essentially changes.3 Polarization p(λ) of inﬁnite cylinders Figures 10.11 display how. for cylinders.6 µm and k = 1. which is proportional to the polarization p(λ). We will argue in the discussion of ﬁgure 10.Linear polarization through extinction 331 Figure 10.4 for = 45◦ and is obtained by putting a = 0. Also shown are Serkowski curves after (10.66λmax . 10. The full curve is a rearrangement of the curve in ﬁgure 10.55 µm. In both frames.35 to 0. intrinsic differences exist among the polarizing grains in various environments.7 + i0.1 µm. k 1.2.9.2. the cylinder radius a = 0. rotating cylinders with rotation axis inclined 45◦ to the line of sight. The plots refer to picket fence alignment. A good explanation for this formula is still missing. changes with wavelength.8) (dotted lines) with parameters λmax = 0.03 (full curve). The computations are performed for two materials.

Let us ﬁrst look at the polarization curve of silicate cylinders with radius a = 0. The optical constant m(λ) is from ﬁgure 7. Q ext (λ) for inﬁnite silicate cylinders in picket fence alignment.2.9. m(λ) is variable and the wavelength scale logarithmic.10. to yield the Serkowski curve with the standard λmax = 0. there appear in ﬁgure 10.6 µm.10 and determines the location of the ﬁrst peak (the one at λ < 2 µm). which should comprise the astrophysically relevant sizes.6.19. or a bit less. almost identical (dots in ﬁgures 10. In least–square ﬁts to p(λ) by a Serkowski curve. The cylinder radii change from 0.9 and 10.6 µm is very similar to the bump in the left frame of ﬁgure 10.1 Silicate cylinders Both silicate and amorphous carbon grains have their peculiarities. the parameters k and λmax are. one ﬁnds that the relation between λmax and the cylinder radius a is roughly linear. whereas in ﬁgure 10. only there the optical constant m(λ) was ﬁxed and the wavelength display linear.025 to 0. they must have diameters of ∼0.10).332 Polarization Figure 10. When one smooths the oscillations in the curves of ﬁgure 10.10 two other peaks . Consequently.55 µm. 10. in both cases. The dotted line represents a least–square ﬁt by a Serkowski curve with λmax = 0.6 µm and k = 1. and cover a wide wavelength range.3.2 µm.2. Besides the bump at 0. 12 and 23 µm). This is the full curve in ﬁgure 10. It has three bumps (at about 0. a. Computations were done for three cylinder radii.10. if the polarizing dust particles in interstellar space are silicate cylinders. as indicated.1 µm.10. The one around 0.2 µm.

11.2 Carbon cylinders Carbon grains are depicted in ﬁgure 10.85 + 1.23i is ﬁxed and has the value of aC at 0.2.8. k = 0. for a = 0. The location of the polarization bump is independent of the cylinder radius. but now for cylinders of amorphous carbon (aC). But even when carbon rods of a certain radius produce the right wavelength of maximum polarization.10. 10. Their origin is of an entirely different nature and due to resonances in the bulk material (see ﬁgure 7. for the same cylinder diameter.11. As ﬁgure 10. however. The bumps in the mid infrared have disappeared. they are λmax = 2. m(λ) is from ﬁgure 7.2. λmax .55 µm.025 µm. at much larger λmax compared to silicates.5 µm. its strength increases with a.7 µm silicate absorption feature but its position is substantially offset by about 2 µm to the red.025 µm. the optical constant m(λ) = 1. the overall shape of p(λ) does not agree with .3.19). the ﬁt parameters are λmax = 0. sharper peak is associated with the 9. where most polarization curves peak. nevertheless the polarization at these long wavelengths is several times stronger than for silicates.Linear polarization through extinction 333 Figure 10. For cylinder radius a = 0. For cylinder radius a = 0. If m(λ) were constant. in the mid infrared which are not predicted by the Serkowski curve. The curve p(λ) now has only one peak that occurs. The ﬁrst.1 µm.81 µm. k = 1. ˚ Extremely thin carbon rods (a ≤ 200 A) are required to produce a hump at 0. for the other cylinder radii.55 µm. these bumps would vanish. Dots show Serkowski curves.19 and variable.

025 µm.95) have C /C⊥ = 2.12 depicts how the optical depth τ (λ) and the polarization p(λ) produced by small silicate cigars change with wavelength. In the infrared. For instance. In the infrared region. silicate cylinders at 10 µm (optical constant m = 1.3.1). Maximum polarization occurs when the cylinder radius is comparable to the wavelength.36 + i 0. where the particles are small compared to wavelength. where m = 3. At λ = 1. their mantle thickness and the optical constants of core and mantle.41+i 0. amorphous carbon is not likely to be the prime polarizing agent. this value goes up to 39.61. They allow an investigation of a much greater variety of shapes. although we will not do so.9 and for amorphous carbon cylinders the ratio approaches 104 (see ﬁgure 10. The cylinder cross section C is about 25% greater than C⊥ (see ﬁgure 10. it is unsatisfactory that their shape is so artiﬁcial. we can ﬁt only the peak of the Serkowski curve. One must.334 Polarization observations. They further widen the parameter space: one can then vary the axial ratio of the ellipsoids. These numbers are independent of cylinder radius as long as a λ. the ratio C /C⊥ can be large. Coated ellipsoids will thus be superior in ﬁtting observations.2. in the plot of p(λ) for a = 0. It is also straightforward to compute coated ellipsoids.034. include cylinders in the limit of inﬁnite axial ratio a/c. however.3 mm. critically ask whether a reﬁnement of the dust model in the direction of complicating shape and composition deepens or muddles our understanding of dust.3 The ratio C /C⊥ at optical and infrared wavelengths In the optical region.1 µm. therefore. the computation of cross sections is easy because the interstellar particles are then small compared to wavelength and we may apply the electrostatic approximation of section 3.3. Cigars. polarization is well described by the Serkowski curve which can be quantitatively reproduced by applying Mie theory to inﬁnite cylinders. a ﬁt to observations becomes astronomically relevant not by its mere agreement with the data but by its ability to predict and to constrain our conception about dust. Likewise grains with a = 0.4 Polarization p(λ) of ellipsoids in the Rayleigh limit Although inﬁnite cylinders can reproduce the basic features of optical polarization. which does not seem to be an unreasonable size. a subclass with major axes a > b = c.2. 10. Figure 10. For example. So the ratio C /C⊥ is not far from unity and the cross sections are not very sensitive to the direction of the electric vector. We can improve the inﬁnite cylinder model by treating ellipsoids as a more realistic alternative. can be excluded not only because λmax is far off in the near infrared but also because p(λ) overshoots on the red side and is much too broad (k = 0. However.5).8). 10. The particles are spinning with their rotation axis perpendicular to the line of sight ( = 0 in . On these grounds.

the right box. From ﬁgure 10.5 µm = 1 under perfect spinning alignment. The optical depth is one at 9.6). The polarization p(λ) for other optical depths may be estimated from interpolation remembering that p(λ) goes to zero for τ (λ) → 0 and approaches one for τ (λ) 1. would produce a polarization of 50% under perfect grain alignment. weak elongation.13. The results for silicate pancakes are practically identical. The optical .5.13 we conclude that if interstellar dust is made entirely of weakly elongated particles (a/c = 2/3. 2 and p(λ) to the difference C = C⊥ − C (see formulae (3. about the shape of an egg). In this particular example. At low optical depth. the nomenclature of section 10. The rotation axis is perpendicular to the line of sight.49) and (3. a/c = 1. When the spheroids are made of amorphous carbon (not shown). the curves are less interesting and display a monotonic decline with wavelength.1).Linear polarization through extinction 335 Figure 10.5 µm (curve maximum).5) and p(λ) is deﬁned in (10. The curve p(λ) gives the degree of polarization one would observe in a column with τ9.12. τ is one at 9. The left box shows moderate elongation with axial ratio a/c = 3. It allows us to read off p(λ) if the optical depth τ (λ) at wavelength λ equals 1 or 3. τ (λ) is the effective optical depth after (10. A different presentation of the polarization produced by perfectly aligned spinning spheroids is given in ﬁgure 10.5 µm. τ (λ) is proportional to the time-averaged cross section C = 1 (C⊥ + C ). The dielectric permeability εSi (λ) is taken from ﬁgure 7.5 µm. no other grains are asumed to be present. Optical thickness τ and degree of polarization p in the infrared as a function of wavelength for small rotating silicate cigars. a cloud with an optical depth of three at 20 µm. which is approximately true outside the peak at 9.50)). The size of the particles is irrelevant as long as they are in the Rayleigh limit. corresponding to τV ∼ 100 mag.19.

The percentage of polarization due to perfectly aligned spinning spheroids of silicate and amorphous carbon. . Optical constants are from ﬁgure 7.12. if necessary with the help of a ruler.13. However. Full curves are for cigars.13 and similar calculations for small amorphous carbon spheroids (not shown) we learn that polarization through extinction and extinction itself are qualitatively similar in their wavelength dependence.12. From ﬁgures 10. dotted ones for pancakes. as can be checked by scrutinizing ﬁgure 10. Although alignment in real clouds will not be perfect. one ﬁnds that a small or moderate axial ratio (a/c ≤ 3) has little affect on extinction (see ﬁgure 3. here the degree of polarization p(λ) is plotted for ﬁxed effective optical depth τ (λ). polarization p(V ) is then close to one but could not be observed because of the large extinction. one nevertheless expects a considerable degree of infrared polarization in those cases where there is a suitable infrared background source. Note that in contrast to ﬁgure 10. there exist signiﬁcant offsets in the resonance peaks.336 Polarization Figure 10. so p(λ) always refers either to τ (λ) = 1 (lower pair of curves in each box) or τ (λ) = 3 (upper pair of curves).3) but has a great inﬂuence on polarization. Furthermore.12 and 10.19.

41 to 8. the curves also become narrower. If we keep the small axes b = c ﬁxed and increase a. of course.1 µm and λ = 0. only on the size parameters a/λ. Results for silicates under normal incidence are displayed in ﬁgures 10. we assume constant values c = 0. and on the refractive index m. By and large.1 µm but various axial ratios a/c ranging from 1. expressed through the difference in extinction efﬁciency Q.15. The cigars have principal axes a > b = c with uniform c = 0. The optical constant is ﬁxed and appropriate for silicate in the visual band. the maxima of the curves shift to shorter wavelengths and the degree of polarization ( Q) falls.55µm (visual band) and vary the axial ratio a/c ≥ 1. the response in amorphous carbon particles to a change .5 Polarization p(λ) of spheroids at optical wavelengths Unfortunately. the body is a sphere and there is no polarization. When all axes are equal. The results depend.14. The numerical code was kindly provided by N V Voshchinnikov [Vos93]. in the visual band. is similar to that of an inﬁnite cylinder. the cigars begin to resemble cylinders. To be speciﬁc. as it should be. interstellar grains of spheroidal shape are not small relative to wavelength and computing their cross sections entails some numerical effort [Asa75]. the polarization. Q ext (λ) for prolate spheroids (full curves) and a cylinder (dashed curve) under normal incidence in picket fence alignment. and c/λ. which have principal axes a > b = c. and demonstrate how their axial ratio inﬂuences the polarization. When a/c decreases. For an axial ratio of a/c = 8. 10. We restrict the discussion to cigars.Linear polarization through extinction 337 Figure 10.2.14 and 10.

in the ratio a/c is similar.6 µm) is added to study the shape of the polarization curves better.15. If we want to know how much polarization we get from a unit volume of spheroidal dust particles. the latter the degree of polarization p. we must convert Q into a mass coefﬁcient.14. This is a derivate of ﬁgure 10. 10. those for a/c = 1.5).2. we have multiplied Q cyl in ﬁgure 10. In order that the cylinders also refer to a unit volume.6 Polarization and reddening It is instructive to combine photometric with polarimetric observations. λmax = 0. K . The Qs for cigars with axial ratio 4 and 8 have been omitted. The former yield the effective optical depth τeff of (10.41 and 2 are enhanced so that the maxima of all curves are about equal. A Serkowski curve (k = 1. 4πac2/3. Naturally. and it is hard to tell one from the other.14 by 8/3π. To determine K . So K is proportional to Q/c. assuming that they are spheroids. For instance. Both are produced by the extinction of dust particles and both . This enables direct comparison of all polarizing efﬁciencies. we multiply Q by the geometrical cross section πac and divide by the volume of one grain. the width of the curve p(λ) is inﬂuenced by the optical constant and the particle shape. spheroids of variable axial ratio show a greater diversity in their polarizing properties than inﬁnite cylinders but it also becomes harder to infer from the shape of the Serkowski curve size and chemical composition of the grains.338 Polarization Figure 10.15.

Polarized emission 339 depend on wavelength. (10. the quantity β However. 10. The ratio of pmax over standard color excess E B−V as deﬁned in (7. β ≡ τmax −1 τmin º 0. These plots include the Serkowski curve but also cover the mid infrared region. is related to E B−V . and gives the polarization per unit reddening. There is an important empirical upper limit. It is a measure of the polarizing efﬁciency at visual wavelengths along the line of sight.062.10) This inequality implies that the optical depth at visual wavelengths in two perpendicular directions never differs in interstellar space by more than ∼6%. (10. from (7.3 Polarized emission Figures 10. using equation (10. When extended further into the far infrared. we can read from ﬁgures 10.031. AV . where pmax /E B−V must attain this maximum value of 6%.9) Because the highest polarization is generally reached in the visual. furthermore.17). 9% is observed.9) also as p(V )/τV ≤ 0. through AV = RV E B−V = 1. which gives.7). pmax E B−V º 9%. we can express the condition (10.15) combines photometry and polarimetry.12 present the theoretical wavelength dependence of polarization due to extinction by silicate cylinders and ellipsoids.086τV where τV is the corresponding optical depth.4 that the maximum value of β = Q/Q is about 25%. the orientation is never perfect and possibly changing along the line of sight. We can determine a theoretical upper limit to β by assuming that all grains are cylinders and optimally aligned. This number is only four times greater than what actually is observed under favorable conditions and thus surprisingly low when one considers that some of the real grains do not polarize at all and those that do are not inﬁnite cylinders but only weakly anisotropic.10 to 10. Without pretending to be precise. no detectable effect is expected because the extinction optical depth becomes too small. or τeff and p. pmax p(V ) and the visual extinction in magnitudes. in those cases. .1 and 10.

τmax + τmin (10. the optical depth is small. Cb . Cc . Rotation of the cylinders roughly halves the value of C /C⊥ with respect to picket fence alignment but C /C⊥ is still large. Even for a dielectric. dust not only absorbs but also radiates and polarized emission of aligned grains can be observed in the far infrared and millimeter spectral region. the polarization can only decrease. Towards a uniform cloud of optical depth τν .3.5.2 where τmax and τmin denote the optical depth at the position angle of maximum and minimum attenuation. so p(λ) does not change much. can differ by orders of magnitude. becomes p= e−τmin − e−τmax . p(λ).2 Infrared emission of spheroids At low frequencies.340 Polarization 10.13) = p= τmax + τmin Ca − Cc pancakes (Ca = Cb > Cc ) . one can also easily compute spheroids in the small particle limit as outlined in section 3. We start the discussion of polarized dust emission according to equation (10. expect a very high degree of polarization in the case of complete alignment (see ﬁgure 10. We. Let the grains have major axes a ≥ b ≥ c with corresponding cross sections Ca .3. therefore. C and C⊥ . It also turns out that when the rotation vector is inclined towards the observer. This is quite contrary to polarization by extinction which grows with τ and vanishes for τ → 0. The (positive) degree of polarization can then be written as p τmax − τmin .16).11) We abide by the nomenclature of section 10. As the optical depth increases.4). In most cases and certainly at submillimeter wavelengths.1 The wavelength dependence of polarized emission for cylinders However.12) p depends on wavelength but not on τ . the emission in a direction perpendicular to their rotation axes is polarized to a degree: C −C c a cigars (Ca > Cb = Cc ) τmax − τmin Ca + 3Cc (10. Ca + Cc . temperature Td and intensity Iν = Bν (Td ) · [1 − e−τν ] the degree of polarized emission. 2 − (e−τmin + e−τmin ) (10. Even for arbitrarily small τ . 10. as is evident from ﬁgure 10.12) with cylinders. If they rotate about their axis of greatest moment of inertia and are fully aligned. the degree of polarization drops less swiftly than in the case of extinction (see ﬁgure 10. Their cross sections for light when the electric vector lies along or perpendicular to the cylinder axis. the polarization is ﬁnite.3. the ratio C /C⊥ may be above 10.

It is easy to see that the polarization vectors associated with these two processes.40) produce very substantial polarization (∼20%).7) and (10. are perpendicular to each other.16 and we point out that • • even spheroids of small elongation (a/c = 1.Polarized emission 341 Figure 10. Some results are shown in ﬁgure 10. The percentage at which thermal emission by dust is polarized in the far infrared.11) and are . the two are given by (10. They are either inﬁnite cylinders (the two top curves in each frame). the polarization curves are ﬂat at long wavelengths. the associated angles have values between 0◦ and 180◦ . cigars (all other full curves) or pancakes (all other dotted curves) of varying axial ratios a/c. emission and extinction.19. left box) or amorphous carbon (aC. Only the dotted top curves in each frame show cylinders arranged in a picket fence.3. There is perfect spinning alignment for cylinders. right box) with optical constants from ﬁgure 7. cigars and pancakes and the rotation axis is perpendicular to the line of sight. 10. which is equal to the degree of polarization. and by the direction where the electric ﬁeld vector has its maximum. If psub is the submillimeter polarization due to emission and pV the visual polarization due to extinction.16. A polarization vector is deﬁned by its length.3 Polarized emission versus polarized extinction Sometimes towards a dust cloud one detects polarized submillimeter radiation and simultaneously polarized light at much shorter wavelengths from embedded or background stars. The particles consist of silicate (Si.

linearly polarized along the principal directions. one obtains βsub /βV . • We will be dealing with birefringence only. n. in all crystals of the non-cubic lattice or substances consisting of long and aligned ﬁbrous molecules. a slab with the right thickness to do just that is called a λ-quarter plate. too. The particular structure of the molecules in the medium has the effect that the motions of the charges. CaCO3 . Quite generally. psub and τV can be determined observationally. in principle. which speciﬁes the maximum change in the optical depth with direction. The light is oriented in such a way that it can be decomposed into two equally strong waves. k. m = n + i k. The gem tourmaline is renowned for this property. Calcite. This produces a number of interesting phenomena which can all be understood if the molecules are treated as harmonic oscillators. Let us shine linearly polarized light through the slab.4 Circular polarization In some media. it leaves with some degree of circular polarization. • When the real part of the refractive index. when light that is linearly polarized (but not along a principal direction) enters a birefringent medium. the initially linearly polarized wave presented by the sum E + E⊥ has been converted into a circularly polarized wave. 10. As pV . for example. which determine m or ε after (1. one speaks of birefringence. inside they will fall out of phase.10). is anisotropic. the phenomenon bears the name dichroism. The optical constant. depends then on orientation. depend on the direction of the electric ﬁeld vector. When the imaginary part of the refractive index. E and E⊥ are in phase. Imagine a slab ﬁlled with a medium that has unequal indices n and n ⊥ in two perpendicular directions and thus unequal phase velocities.77). information on the particle shape.342 Polarization βsub pV = τV psub βV related through where at both wavelengths we use the quantity β = τmax /τmin − 1 deﬁned in equation (10. It splits an incident unpolarized beam into two polarized waves with different refraction angles (this is actually a special kind of birefringence known as anomalous refraction). When the phase difference amounts to π/2. differs in two directions. this ratio contains. Because the inﬂuence of grain elongation on β is markedly different at visual and far infrared wavelengths. At the front of the slab. . the propagation of a linearly polarized wave is sensitive to the orientation of polarization because the building blocks of matter are anisotropic as. is the best known example. E and E⊥ .

Let us deﬁne the volume coefﬁcient for phase lag.22). 10. K pha . 2π (10. C ext Near the wavelength λmax of maximum linear polarization in the Serkowski curve. Therefore. Here the phase velocity of the medium is different for circularly polarized waves with opposite senses of rotation. one tenth. we exploit the complex scattering function S(θ. A wave of wavenumber k = 2π/λ that passes through a plate of unit thickness and refractive index m = n + i k is phase-shifted with respect to a wave traversing a vacuum by φ = k · (n − 1). optical activity. The imaginary part.4. φ) discussed in section 2. determines. by putting K pha = φ. according to (2. from (2.1 The phase shift induced by grains When a dust cloud is traversed by a plane wave. If there are also non-polarizing particles in the line of sight. very roughly. the grains not only reduce the intensity of radiation but may also change the phase of the wave. an optical depth τ produces a phase lag φ=τ C pha . Q pha /Q ext and φ will be smaller. can formally be interpreted as the optical constant of the interstellar medium.1)) is for silicate cylinders. the components E and E⊥ of the electric vector E are out of phase by an angle φ = l(K pha − K ⊥ ) = l N C pha .Circular polarization 343 There is another related phenomenon. Its value in the forward direction. The electric vector is rotated to the right when the left-circular wave is faster and to the left otherwise. pha The optical thickness over this distance l equals NlC ext . each with a cross section for phase lag C pha . the index of refraction. m = n + i k. S(0).22). which is responsible for the phase velocity. To understand this. the ratio Q pha /Q ext = C pha /C ext (see (10. C pha = λ2 Im{S(0)}. which we mention for completeness. so that K pha = NC pha . n−1.2. Im{S(0)}.14) When the wave has crossed a distance l. Consequently. . If there are N particles per cm3 . the phase lag in a cloud of visual optical depth τ due to perfectly aligned cylinders is of order φ ≈ τ/10. we get. A linearly polarized wave entering an optically active medium exits it still linearly polarized but with its orientation shifted by some angle.

the Qs are the efﬁciencies. The percentage of linear polarization is usually small. As usual.4. Therefore circular polarization is a second-order effect and weak. the more the better. Its wavelength dependence.2 The wavelength dependence of circular polarization Interstellar circular polarization proceeds in two stages: • • One needs linearly polarized light to start with. . the second for the phase lag.15) The ﬁrst factor stands for the linear polarization. One needs another cloud where the particles are aligned in some other direction to produce the phase shift. pha (10.1. Linear and circular polarization and phase lag of inﬁnite cylinders in picket fence alignment as a function of size parameter x = 2πa/λ.17.344 Polarization Figure 10. This is provided by a cloud with grains aligned in one direction. pcirc (λ). The optical constant m is ﬁxed. is given by the product of two ﬁrst-order effects. Circular polarization contains also information how the alignment changes along the line of sight but it is buried and to ﬁnd it one has to dig deep. 10. pcirc (λ) ∝ Q ext (λ) − Q ext (λ) · Q ⊥ pha (λ) − Q ⊥ (λ) . The curve Q ext (full curve) is identical to the one in ﬁgure 10.

22) and (2. nothing new in circular polarization or in its dependence on wavelength. The indices n and k of the interstellar medium as given in (2. we do not know the linear polarization at all wavelengths.23) as well as the differences n −n ⊥ and k −k ⊥ are connected through the Kramers– Kronig relations. which is given via the index k. Figures 10. Because of the proportionalities (n − n ⊥ ) ∝ (C pha − C⊥ ) pha ext (k − k ⊥ ) ∝ (C ext − C⊥ ) there is. either as a function of size parameter or of wavelength: Q ext = Q ext − Q ext .17–10.19 illustrate the behavior of circular polarization for inﬁnite cylinders in picket fence alignment.1 µm radius in picket fence alignment. the difference in the extinction efﬁciency which is ⊥ proportional to linear polarization. The ﬁgures display the following quantities.Circular polarization 345 Figure 10. It sufﬁces to know the linear polarization. and . in principle. When one computes the index n with the help of the Kramers–Kronig relation.18. such a point of view is too academic because. Optical constants from ﬁgure 7. the difference in the phase lag efﬁciency. one arrives at circular polarization. This whole section might. pcirc (λ). However. pha pha Q pha = Q − Q ⊥ . Linear and circular polarization and phase lag of inﬁnite silicate cylinders with 0. in reality. seem superﬂuous.19. therefore.

19. for example. although the optical constants are completely different. Where Q circ (λ) reverses sign. The curves for silicate are rather jittery. the sign reversal of pcirc is close to but not exactly at the maximum of linear polarization.55 µm wavelength and in carbon cylinders of 0. In either case. Linear and circular polarization and phase lag of inﬁnite carbon cylinders with 0.346 Polarization Figure 10. Q circ (λ). the sense of rotation changes and either Q ext or Q pha vanish. • • . The 10 µm silicate resonance is very weakly discernible in circular polarization.05 µm radius in picket fence alignment.1 µm radius at 0. This occurs. However. in silicate cylinders of 0.05 µm radius at 1. in a size distribution the spikes would disappear.4 µm. Optical constants from ﬁgure 7. Q circ = Q ext Q pha .19. the product describing after (10. accompanied by a change of sign. can have several local extrema.15) circular polarization. We summarize the noteworthy points about the ﬁgures: • • The efﬁciency for circular polarization.

347 . Take. there will obviously be no preferential direction and the time-averaged polarization vanishes. depends on the axis about which it rotates. I . If the rotation vector points towards the observer. at least in praxi. one gets maximum polarization. from the coordinate center. However. One can always ﬁnd a rectangular coordinate system. One usually assumes the Davis–Greenstein mechanism which involves cumbersome details and is rather speculative.1 Euler’s equations for a rotating body Rotating bodies seem to misbehave in the sense that their motion evades intuition: we push a spinning top one way and it goes the other. they spin and it is their rotation axes that have to be aligned somehow. Afterwards we describe them emphasizing the ideas behind them and not the ﬁnal numbers which are rather vague. The moment of inertia. rotates about its center of mass. As they are not sitting still but receive stochastically angular momentum in collisions with gas atoms. ﬁxed to the body. for example. like an interstellar grain.1 Grain rotation 11. 11. The moments along these principal axes are labeled Ix . not the grains themselves. I y . at least. A freely rotating body. in which I is greatest about the z-axis and smallest about the x-axis. The question of how alignment works has not been settled satisfactorily. if the rotation axis is at a right angle to the line of sight. We summarize in the ﬁrst two sections the tools necessary for understanding the mechanical and magnetic processes. some of them. it is a delightful topic because of its physical richness. so somehow we can cope with rotation.1.Chapter 11 Grain alignment To produce polarization by extinction. a long cylinder spinning about an axis perpendicular to its symmetry axis. However. If we plot. a child can ride a bicycle with ease. Although the impact of alignment studies on the rest of astronomy is humble. interstellar grains must be elongated or ﬂattened and aligned. Iz .

Without a torque. the total angular momentum L. body If there is a torque. the angular momentum L stays constant in space and the tip of the vector L marks there a certain ﬁxed point.2) The equation of motion of a rotating body describes how its angular momentum L changes when a torque τ is applied: τ= dL . where v is the velocity. let us call it Q. When we resolve the angular velocity with respect to the instantaneous values along the principal axes. be a sphere. ωz ). L. the inertia ellipsoid of a cube or a regular tetrahedron must. With respect to a coordinate system connected to the rotating body. ω = (ωx . no matter how irregular the body. dt (11.4) ˙ This equation is analogous to E = F · v for translational motion. x y 2 (11. Iz ωz ) 2 2 2 L 2 = Ix ω2 + I y ω2 + Iz2 ωz x y 2 E rot = 1 (Ix ω2 + I y ω2 + Iz ωz ). This is a very regular ﬁgure. ω y .3).5) . for reasons of symmetry. Likewise. I y ω y . the tips of the arrows form the inertia ellipsoid. changes like dL dt =L×ω+τ body (11. Q is not constant but moving and the vector L as seen from the rotating body varies like dL dt = L × ω. For example. F = p. dt (11.3) ˙ It corresponds to the equation for translatory motion. As viewed from the rotating body. therefore. its square and the kinetic energy of the body are: L = (Ix ωx .348 Grain alignment the moment of inertia in any possible direction as an arrow whose length is given by the value of I . The product τ · ω also gives the power needed to sustain rotation at constant angular velocity ω against a torque τ due to friction. if we replace τ by the force F and L by the momentum p. the time variation in kinetic energy E of a freely spinning top is given by dE = τ · ω. L changes in space according to (11.1) (11.

7) (11. In the general torque-free case. • Formula (11.5) or (11.Grain rotation or in components ˙ τx = Ix ωx − ω y ωz (I y − Iz ) ˙ τ y = I y ω y − ωz ωx (Iz − Ix ) τz = Iz ωz − ωx ω y (Ix − I y ).6) to eliminate ω y ˙ gives ωx ∝ ωx and likewise for the y-component ω y ∝ ω y .3). To estimate the effect. For our planet.6) is easy for τ = 0 and Ix = I y .2 Symmetric tops 349 (11. equation (11. where F = 0 implies boring uniform linear motion. The moment of inertia Iz around the polar axis is greater than Ix around an axis that lies in the equatorial plane because the Earth has a bulge at the equator.3) as we want to derive the change of the rotation axis with respect to the stars. altogether ¨ ¨ ωx = A sin t where A is a constant and = ωz ω y = A cos t I x − Iz . It precesses around the ﬁgure axis with angular velocity . dissipation. Obviously. in qualitative agreement with the Chandler period. consequently. where • .8) applies to the wandering of the pole of the Earth.5◦. quite unlike the translation analog. we use equation (11. The length of the angular velocity vector ω and its component ωz are constant but ω changes its direction in space as well as in the grain. 11. where all momenta Ix . which is called the ﬁgure axis. ˙ Formulae (11. The body is then symmetric about the z-axis. are not trivial. Taking the time derivative of the ﬁrst equation of (11. bodies where the moments of inertia about two principal axes are equal.3) can still be solved with pencil and paper but the rotation axis and the principal axes perform complicated wobbling motions around L. I y . ˙ The solution of (11. The precession velocity ωpr follows immediately from (11.e. it sufﬁces to consider symmetric tops. From (11. Iz are unequal. say Ix = I y . ωpr = τ/L. which means without a torque.6) are known as Euler’s equations.1.8) one ﬁnds 1 yr. Its rotation is not really free because the Sun and the moon exert a torque τ on the equatorial bulge of the Earth which causes the polar axis to slowly precess. i. Ix (11.8) During the rotation. This implies time-variable stresses and. ω and the ﬁgure axis describe circular cones around L. 2π/ωz = 1 day and Iz /(Iz − Ix ) = 305. For our purposes. The axis of the Earth is inclined against the normal vector of the ecliptic by ψ = 23.6) The kinematics of free rotation. ωz is then zero.

and into a perpendicular component ω1 with moment of inertia I1 = Ix . Inserting numbers yields for the period T of the Platonic year. When one corrects for the fact that the torque oscillates as the Sun and the moon apparently orbit the Earth.5 cos ψ. Rotation of a symmetric top with ﬁgure axis z and moments of inertia Ix = I y . about two-thirds of the effect are due to the moon. Nowadays the polar axis is directed towards the Northern Star and gives . One easily ﬁnds ωpr = G Iz − I x τ = 2 sin 2ψ L ωz I z M + r3 ¯ M r3 where G is the gravitational constant and M/r the ratio of mass over distance for the Sun or moon.1. the factor sin 2ψ changes into 1. the angular velocity vector ω can be decomposed into ωz . which is constant. T = 2π/ωpr ∼ 26 000 yr. In the plane deﬁned by the ﬁgure axis and the momentary rotation axis. the ﬁgure axis and the angular momentum vector L all lie in one plane. the rest to the Sun.350 Grain alignment figure axis angular momentum axis fixed in space L momentary rotation axis ω zI z ωz ω θ ω1 ω 1I x Figure 11. the latter two form an angle θ. L = Iz ωz is the angular momentum of the Earth. The torque is a tidal effect inversely proportional to the third power of the distance r . The angular velocity ω.

1. The average kinetic energy of a gas atom is then equal to the average rotational energy E rot of a grain: 3 2 kTgas = E rot = 1 I ω2 2 . So the magnetic moment m associated with the spin of an electron (S = 1 ) equals Bohr’s magneton: 2 µB = e = 9. to ﬁrst order in the ﬁne structure constant α. 2m e c (11. (11.11) Because τ stands perpendicular to the angular momentum J.12) ωpr = J 11. be carried over to rotation.10) Quantum electrodynamics gives an upward correction. When there is equipartition between dust particles and gas. 11. In future millenia. e We will mainly be concerned with pure spin angular momentum where J = S. the latter is usually not parallel to the net magnetic moment m because of the different Land´ factors for S and L.13) (in which the vector J is the current density) to an electron in circular motion of angular momentum L. the polar star will no longer point north and one will have to be more careful when walking away far from home at night.9) m=g 2m e c with the Land´ factor g = 1.1. The ﬁeld B exerts on the dipole m a torque τ = m × B. When S and L couple to form the total angular momentum J = S + L. in the case of pure spin momentum (S).4 Rotational Brownian motion The results of section 9. it amounts to 0. not its length J . g = 2. This result is also true in quantum mechanics with e respect to the orbital momentum L of the electron. the grains perform translatory and rotational Brownian motion. in a straightforward way. (11. However. the torque changes only its direction.27 × 10−21 [cgs]. one gets e L (11.3 Atomic magnet in a magnetic ﬁeld An atomic magnet in a ﬁeld B is another example for a rotation which is not force-free.116% α/2π. Therefore J precesses around B with angular frequency mB .Grain rotation 351 guidance to nocturnal wanderers.3 on translatory Brownian motion may. If one applies the classical formula (1.

14) in a gas of 20 K ωBrown ∼ 3 × 105 s−1 . equally distributed over the three degrees of rotational freedom: 2 (11. The rotational velocity of a dust particle in Brownian motion is ωBrown = 3kTgas . for their Brownian motion. from (11. cylinders and disks of mass M.13) that Ix < I y < Iz implies L x < L y < L z . Note that Idisk = 1 Idisk ⊥ .39) stays practically the same with respect to angular momentum. x y The angular momentum L tends to point along the axis of greatest moment of inertia. on average. For example. Sphere of radius r Thin cylinder of length l with rotation axis through the mass center and perpendicular to the symmetry axis Cylinder of radius r rotating about its symmetry axis Disk of radius r with rotation axis through the mass center and perpendicular to the disk Flat disk with rotation axis through the mass center and parallel to the disk Isphere = 2 Mr 2 5 1 Icyl ⊥ = 12 Ml 2 Icyl = 1 Mr 2 2 Idisk ⊥ = 1 Mr 2 2 Idisk = 1 Mr 2 4 and E rot is. In a likewise manner. we see from the condition of equipartition (11. For real interstellar grains. . Indeed. volume 10−15 cm−3 and bulk density 2.1 for a few relevant conﬁgurations.352 Grain alignment Table 11. we get. Moment of inertia for spheres. in the case of a thin rod (Ix = I y Iz ). and that the ratio Icyl ⊥ /Icyl = l 2 /6r 2 can take up 2 any large value. this may be a gross underestimate if they rotate suprathermally (see later).5 g cm−3 . If we adopt grains of moderate elongation. almost all angular momentum will reside in rotation perpendicular to the symmetry axis z.14) Moments of inertia are given in table 11. I (11.1. one deﬁnes a friction coefﬁcient ζ through τ = ζω where τ is the torque needed to sustain a constant angular velocity ω and −1 ζ = I tdis . The gas atoms that collide with the spinning grain retard its rotation by exerting a torque τ .13) ω 2 I x = ω 2 I y = ωz I z . The disorder time tdis of equation (9.

the angular momentum of the √ grain has changed in a random walk by an amount N . Usually the dust is heated by the UV ﬁeld. where L 2 is the average change in the square of the angular momentum per unit time due to collisions: ωτ = L2 I ω2 . from the dust temperature. for example. If the grain emits per second NIR infrared photons. After N emission processes. where 0 < η < 1. NUV .15) In thermal equilibrium at temperature T . It then rotates much faster than estimated in (11.2) that are cooler than the gas.4)) must be compensated by a spinup L 2 /2I . If one can estimate the mean intensity of the radiation ﬁeld. is typically 50 times smaller than NIR . Each photon carries off a quantum in an arbitrary direction. in a stationary state. 11. = tdis 2I (11. the number of UV photons absorbed per second.Grain rotation 353 Again. NUV follows from tdis = NUV = 4π πa 2 UV Jν Q ν dν. the discrepancy between NUV and NIR is less severe.1. imagine S-shaped grains of mass Mgr (ﬁgure 11. we get I ω2 = 3kT and L 2 = 6ζ kT . and its rotational energy may be orders of magnitude greater than 3 kTgas. besides grain collision.5 Suprathermal rotation An interstellar grain is probably not in energy equilibrium with the gas. the associated disorder time is 8πkTρgr a 5 . We mention another randomizing process. Tdust < Tgas and have a uniform sticking coefﬁcient η over their surface. hν Inside a molecular cloud. Because of the particular form of the grain. where only a few energetic photons ﬂy around.14) from Brownian 2 motion [Pur79]. In thermal balance. the heat loss rate ωτ (see (11. as assumed earlier. stays after the collision for a while on the grain before it leaves with a lower temperature (momentum) than it had before the impact. This process may dominate over collisional randomization for small grains. A fraction η of the gas atoms. that is always at work: infrared radiation. gas atoms approaching from the right and hitting the top of the S may collide twice and their chance for an inelastic . To see why. 5 2 NIR √ The expression follows from NIR tdis = I ω with I ω2 = 3kT .

they impart. like unevenly distributed cavities over the surface or small variations in η. where an H atom gets trapped until another comes by so that they can leave together as H2 .15) for the frictional loss and put L 2 2I ω·nva πa 2 ·m a va a. collision is higher. less momentum to the grain than those striking the bottom half of the S. Consequently. A sticking probability η that varies the way as shown on the righthand of ﬁgure 11.2 will also do. Because of the immense factor 109 . the grain’s rotational energy E rot is not 3 kTgas but 2 E rot i.e. minor inevitable irregularities. The particle is said to rotate suprathermally. is accelerated clockwise (left). Therefore. There are two other possibilities for spinup that do not need a temperature difference between dust and gas. it will rotate anti-clockwise and. The fat stretches on the bar indicate places of enhanced sticking probability. we ﬁnd indeed ωa ∼ va . the ejection of the . The process leads to a spinup. Mgr 3 kTgas 2 ma 109 times greater.2. As a result. the mechanism does not work at all. colder than the gas and with a constant sticking probability η. The same holds for a less fancy-shaped particle if η is not uniform but displays in its distribution rotational symmetry (right). are sufﬁcient to boost E rot by powers of ten. If 2L L ∼ we use the formula (11. Then each atom transfers approximately the angular momentum m a va a to a grain of radius a. Suprathermal spinup does not really require the dust particles to be Sshaped. • One is the formation of molecular hydrogen. If there are certain favorable (active) sites on the grain surface. Should the grain be hotter than the gas. on average. the S will rotate clockwise.354 Grain alignment Figure 11. without a temperature gradient. A grain in the form of the letter S. The dust particle rotates faster and faster and a limit is set only by friction when the lateral velocity of points on the grain surface becomes comparable to the velocity of gas atoms.

is for a diamagnetic particle a little smaller than one. in the opposite way to a diamagnet and its µ is a little bit greater than one. The electrons of an unﬁlled outer shell usually pair in binding and give no effect. The sites will not be exactly balanced over the surface and they endow the grain with a net rotation. however.16). The amount of silicate grains is presumably limited by the cosmic abundance of Mg. for example olivine. A paramagnetic substance is pushed in the direction of increasing ﬁeld strength. 11. If all iron in the interstellar medium is in . therefore. farther away from its starting position.2. The paramagnetism of interstellar dust is probably due to iron. from the Lenz law. It can easily be built into silicates. The kinetic energy of the ejected electron is typically ∼1 eV and thus less than the energy hν of the UV photon but the momentum of the electron is a hundred times greater than hν/c. on average. According to the classical explanation. which is some 20% higher than that of iron. with x not far from one (see section 7. 11. Even when the accommodation coefﬁcient is perfectly uniform. Mg2−x Fex SiO4 . speeds up the rotation in the same way as a randomly kicked ball moves with each kick.Magnetic dissipation 355 • H2 molecule imparts angular momentum to the grain. i. diamagnetic. some clockwise and some anticlockwise. deﬁned by the relation B = µH of (1. The atoms with the strongest paramagnetism are the lanthanides. Another mechanism is the ejection of electrons by UV photons.2 Paramagnetism Paramagnetism is relevant astrophysically and shows up when atoms have a permanent intrinsic magnetic moment as a consequence of unﬁlled inner electron shells.2. random excitation.2 Magnetic dissipation 11. in some way. the magnetic ﬂux through the electronic orbits of the atoms in the particle increases during the movement and thus induces an electric ﬁeld.1 Diamagnetism When a diamagnetic particle moves in a static inhomogeneous magnetic ﬁeld in the direction of growing ﬁeld strength. in the opposite direction to the outer magnetic ﬁeld.4).4.e. other effects may override it. all matter is. it experiences a repulsive force. The ﬁeld leads to an additional electronic current and to a magnetic moment which points. The explanation applies to all atoms and. This element has a high cosmic abundance and must be mostly solid because of its heavy depletion in the gas phase. We will not come across diamagnetism any more. Here again one gets suprathermal rotation if the yield for this process changes over the surface. The magnetic permeability µ.

6p and 6d eff. The third (n = 3. An atom of magnetic dipole moment m. There are two more electrons in the 4s subshell. The ion Fe3+ has a ground term 5 6S 5/2 (L = 0. Fe atoms constitute some 10% of all atoms in such grains and their number density there should then be Npm 6. The ground state of atomic iron.2 × 1021 cm−3 . oriented under an angle θ to a ﬁeld B. is summarized in table 11.87 g cm−3 Nbulk = 8. Abundance: cosmic abundance depletion in gas phase number density in paramagnetic silicates Bulk iron: crystal structure γ -form α-form Curie temperature density number density lattice constant (bcc) nearest neighbor distance saturation magnetization effective magnetic moment static susceptibility Electron conﬁguration: Fe atoms Fe2+ ions Fe3+ ions [Fe]/[H] = 3. totalling 26. Its magnetization M in .356 Grain alignment Table 11. For the value of Npm it is assumed that all iron is condensed into silicate particles. has a potential energy (see (1.87 A ˚ 2. from [Kit96].50 × 1022 cm−3 ˚ 2. The magnetic moments of the electrons in the third shell do not balance resulting in a net moment and thus paramagnetism.2 × 10−5 >90% Npm 6.9 µB ground state 5 D4 ground state 5 D4 ground state 6 S5/2 silicate particles.2. moment: m 5. the multiplicity is 5 and the total angular momentum J = 4 ).16) Suppose a grain has N such atoms per unit volume.2 × 1021 cm−3 1183K≤ T ≤1674K T ≤ 1183K cubic face-centered (fcc) body-centered (bcc) Tc = 1043 K ρ = 7.4 µB eff. mag. moment: m 5. mag.133)) U = −m · B = −m B cos θ.22 µB per atom χ0 12 n = 4 shell: 2s electrons n = 3 shell: 2s.2. M-shell) could accommodate 2n 2 = 18 electrons but contains only 14. is 5 D4 (D stands for orbital angular momentum L = 2 . multiplicity 6. (11. Parameters of iron pertaining to the magnetic properties of interstellar grains. as of Fe2+ . together with some of its other parameters. The electron conﬁguration of iron. The two inner shells of iron are complete.48 A Msat = 1750 G m 2. J = 2 ).

C Nm 2 M = with C = . has a Curie temperature TC = 1043 K.19) If the ﬁeld is weak and S arbitrary. nonmagnetic effect of the electrons.Magnetic dissipation the direction of B is then M = Nm L(x) with x = mB . the relevant element for us.17) corresponds to (1.17) The Langevin function L(x) is deﬁned in equation (1.137). Co and Ni but also in alloys of these elements and some of their oxides. It has 2S + 1 equally spaced energy levels. the constant C in (11. m = 2µB . of course. This is a ﬁctitious ﬁeld insofar as it does not appear . never ferromagnetic. in ferromagnetism there is an additional interaction among the electrons themselves formally described by an exchange ﬁeld He . L(x) x/3. 11.18) becomes C= N S(S + 1)m 2 . Iron. Below 1183 K. the magnetic moment equals twice Bohr’s 2 magneton. kT 357 (11. well above any common dust temperature.18) χ= B T 3k So far we have neglected the quantization of space. When taken into account. In weak ﬁelds. The magnetic susceptibility is then slightly modiﬁed. mB kT and the susceptibility χ = M/B depends on temperature according to Curie’s law. only those directions for which the projection of the angular momentum along the direction of B differs by multiples of are allowed.6. 3k (11. • If S = 1 and the ﬁeld is arbitrary. Whereas in paramagnetism only the applied ﬁeld acts on the electrons and tries to align them. like Fe. only a cluster of atoms can show this property. the grid is body-centered (α-form). for small arguments.136) and its derivation was given in section 1. (11. It only shows up below the Curie temperature TC . Equation (11. and M = Nm tanh x • with x = mB . A single iron atom is not ferromagnetic. kT (11. Crystalline iron possesses a cubic grid. The magnetization M in a ferromagnet is very strong even when the applied magnetic ﬁeld Ha is weak or absent. as in interstellar space. above face-centered (γ -form) but this form is.2.20) There are some minor changes if there is also orbital momentum L. This is the result of a collective. We mention two cases for a system with spin angular momentum S only.3 Ferromagnetism Ferromagnetism appears in certain metals.

4 The magnetization of iron above and below the Curie point Above the Curie point. T As the magnetic susceptibility χ combines the applied ﬁeld Ha with the magnetization. µB H e kTc . It exerts on the electrons an apparent force which makes their spins parallel. He = λM. Ferromagnetism can only be understood quantum mechanically. Ha Any attempt to explain the huge magnetization M by the interaction of the magnetic dipoles associated with the electron spins fails by orders of magnitude. the dipole ﬁeld of ˚ a Bohr magneton at the distance r ≈ 2. The conception of an exchange ﬁeld He is useful.358 Grain alignment in Maxwell’s equations. Therefore we estimate that He to be of order 107 G. M = χ Ha it follows that χ= C T − Tc with Tc = λC. 11. He so the total effective ﬁeld is Ha + λM λM. iron is paramagnetic and the dependence of the magnetization M on the total ﬁeld.5 A between neighboring iron atoms is 2µB /r 3 ≈ 103 G.21) .2. (11. He + Ha. M= C (Ha + λM). One gets an idea of how the exchange ﬁeld comes about from Heisenberg’s theory for just two electrons: The relevant quantity is the exchange integral which occurs because the electrons are indistinguishable and which determines whether the spins are parallel or antiparallel. Indeed. at the Curie point (∼1000 K). follows Curie’s law. At its root is Pauli’s exclusion principle. or ten thousand times weaker. However. Let us assume that it is proportional to the magnetization. where ferromagnetism begins to fail. the kinetic energy of the atoms must be comparable to the potential energy of a Bohr magneton in the exchange ﬁeld. The exchange ﬁeld is much stronger than the applied ﬁeld.

21). For bulk iron. Equation (11. χ has a complicated behavior depending on the applied ﬁeld Ha and also on the magnetic history. except that the saturation magnetization is much lower. the number density N = 8. The crystal is partitioned into domains because its total energy. To evaluate the magnetization below the Curie point. We now have a relation between the Curie temperature Tc and the magniﬁcation factor λ.Magnetic dissipation 359 Here C is the same as in (11.20).22) This scenario of spatially constant magnetization applies to single domains and thus only to very small particles. 11. Some iron oxides that might be found in interstellar grains. With Ha = 0. which expresses M as a function of m B/kT but replace B by Ha + λM. the susceptibility rises steeply. ﬁrst gradually. We then have an equation for M. The one most frequently evoked for the alignment of interstellar grains is paramagnetic relaxation [Cas38. the total energy would be higher. are ferrimagnetic. There are two thermodynamic systems in a grain: . so the saturation magnetization Msat (Fe) 1750 G. To explain it. With rising temperature. Jon67. is only approximate. as in a ferromagnet but anti-parallel without fully compensating each other. (11. is then lowest.5 Paramagnetic dissipation: spin–spin and spin–lattice relaxation After these preliminary remarks about magnetism. When the temperature approaches Tc from above. M falls. But in an adjacent domain the magnetization has a different orientation so that the effective M over the whole crystal may be much lower than Msat .22 µB . In a ferromagnet consisting of several domains. like magnetite (Fe3 O4 ) or maghemite (γ –F2 O3 ). Within each domain.50 × 1022 cm−3 . if the crystal were one big single domain.2. Spi79]. Dav51. which includes the magnetic ﬁeld outside the crystal. one gets values of M which are different from zero even without an applied ﬁeld (Ha = 0).1 µm size. although the susceptibility χ is still large. Akin to ferromagnetism is ferrimagnetism. Solving it. then rapidly and goes to zero at T = Tc . the magnetization below the Curie point is not uniform over the crystal but divided into small domains. the effective magnetic moment per atom is m 2. This phenomenon is known as spontaneous magnetization. In a mono-crystal of iron of only 0. one proposes that neighboring electron spins are not parallel.19). there is almost perfect alignment and the magnetization is close to its saturation value. we discuss and quantify processes of magnetic damping. we use (11. known as the Weiss law. the spontaneous magnetization M as a function of T has its maximum at zero temperature given by the saturation value Msat = Nm when all moments are perfectly aligned.

The heat ﬂow is proportional to the temperature difference d T = TS − TL . (2) The lattice system. (11. τss is more or less independent of it. In a constant magnetic ﬁeld of strength H .23) . Equilibrium with the lattice system is established much more slowly after the spin–lattice (sl) relaxation time τsl ∼ 10−6 s. In equilibrium. • τsl . Suppose a bias ﬁeld H0 has produced a constant magnetization M0 and superimposed onto H0 there is a small periodic perturbation so that the total ﬁeld and the total magnetization are: H (t) = H0 + he−iωt M(t) = M0 + hχe−iωt .8. there is some net orientation of the dipoles. lower than before the disturbance. the dipoles are better aligned in the new stronger ﬁeld H and their potential energy U is. This process is adiabatic.2. serves as a heat reservoir and is always relaxed. the level populations of the dipoles stay the same so that m H /kTS = m H /kTS . Associated with the two systems are two damping constants: • The spin system comes to equilibrium very quickly at a new temperature TS after the spin–spin (ss) relaxation time τss ∼ 10−10 s. The excess energy has been transferred to the lattice. 11. It stops when the two temperatures are equal. The coupling between spin and lattice is mediated via phonons. therefore. they correspond to changes in the quantum numbers of the lattice vibrations. Equilibrium is characterized by a Boltzmann distribution e−U/ kTS at temperature TS . heat ﬂows from the lattice to the spin system at a rate −α(TS − TL ) (α > 0). When the ﬁeld is suddenly increased from H to H > H . For TS = TL .360 Grain alignment (1) The spin system. TS = TL . It is at temperature TL . where after (11.16) U = −m H cos θ is the potential energy of a dipole of moment m aligned with the ﬁeld at an angle θ . while keeping its direction.6 The magnetic susceptibility for spin–lattice relaxation We next calculate the susceptibility for spin–lattice relaxation using the thermodynamic relations for magnetic materials of section 5. If the spin system was initially hotter. it will lose energy. Once equilibrium has been established (TS = TL ). there is no heat exchange with the lattice. the spin system gets disturbed. has much more energy than the spin system. the temperatures of the two systems are equal. The magnetic moments may be due to electron spin as well as orbital angular momentum. The ensemble of magnetic moments arises from the electrons of the paramagnetic atoms. It consists of the vibrating atoms or ions in the grid of the solid body.3. The above numbers for τss and τsl are very crude but certainly τss While τsl varies inversely with temperature.

2 Here V is the grain volume. It also agrees with the energy dissipation rate (1. At low frequencies.63). 2 1 + ω2 τsl (11. α The power W which has to be expended for the magnetization of a body in a variable ﬁeld of the kind given by (11. It is positive.68) and (5. H CH and CM are the speciﬁc heat at constant ﬁeld and constant magnetization. χ approaches the polarizability α. because χT = χ(0) > χad = χ(∞). The formula is correct whether a bias ﬁeld H0 is present or not.Magnetic dissipation 361 The perturbations d H = he−iωt and d M = hχe−iωt imply a heat input δ Q to the spin system given by (5. because in the case of a small susceptibility. χ2 is proportional to ω.146) conﬁrms that we are dealing with some kind of Debye polarization.23) follows from equation (5. the very process of dissipation by spin–lattice relaxation does not work for purely paramagnetic interstellar grains. dδ Q = −i ωCH dt ∂T ∂M d M − i ωCM H ∂T ∂H dH M is equated to the heat ﬂow −α d T . The reason being that the . When the time derivative of the heat input. the return of the spin system to equilibrium with the lattice proceeds exponentially on a characteristic time τsl which is related to the constant α and the speciﬁc heat CH through τsl = CH . χad and χT denote the adiabatic and isothermal value of the susceptibility. However. W = 1 ωV χ2 h 2 . where d T = TS − TL = ∂T ∂H dH + M ∂T ∂M dM H one obtains the complex susceptibility χ(ω) = −α + i ωCM dM = dH α − i ωCH ∂T ∂H · M ∂M ∂T . as it should be. Therefore the susceptibility for spin–lattice relaxation is: χ1 (ω) = χad + χT − χad 2 1 + ω2 τsl χ2 (ω) = (χT − χad ) ωτsl . A look at the permeability of (1. After a sudden disturbance.69).24) The imaginary part χ2 stands for the dissipational loss.55) which we derived before.66). The product of the two brackets in the expression for χ(ω) yields −χT according to (5.

the form ωτ χ2 (ω) = χ0 .25) 1 + ω2 τ 2 To extract numbers. The former is inversely proportional to temperature and follows from Curie’s law (11. In section 11. which is responsible for dissipation. Consequently. d T = 0. 3kT (11. So their potential energy U in the ﬁeld and the level populations remain the same.or ferro-magnetism can ever become important (see second term in (3. the magnetic dipoles have to adjust their precession to a ﬁeld that changes its direction but not its strength. and there is no interaction with the lattice.7 The magnetic susceptibility in spin–spin relaxation The rotation of paramagnetic dust particles may be damped via spin–spin relaxation. of course. our troubles are not in vain. has. (11.e. i. Nevertheless. and a hyperﬁne splitting interaction (accounting for the inﬂuence of the magnetic moments of the nuclei of the paramagnetic atoms).362 Grain alignment bias ﬁeld H0 is absent.5)). We merely mention that there is: • • • • a magnetic dipole–dipole interaction (the paramagnetic atoms are the source of a magnetic ﬁeld in which other magnetic dipoles precess).147) because the magnetization of the grain is due to orientational alignment of the dipoles in a time-variable ﬁeld. It is.2. d H = he−iωt .18): χ0 = Npm m 2 . We wish to estimate the values of χ(ω) for magnetic grain material at the frequencies at which interstellar grains may rotate. in the range from ω = 105 s−1 for Brownian motion up to 109 s−1 in the case of suprathermal spinup. the spin temperature TS does not oscillate. The dissipation comes about because the alignment of the dipoles always lags behind the new ﬁeld direction (see ﬁgure 11. a quantum-mechanical exchange interaction (which tends to make spins parallel as in ferromagnetism). where h is now the interstellar magnetic ﬁeld. 11. The underlying microscopic processes are very complex and their treatment is beyond the scope of this text.6. The imaginary part χ2 (ω). as discussed in section 1. As the grains rotate. The magnetic susceptibility χ(ω) for spin–spin relaxation must have the functional dependence of the Debye permeability after equation (1. also of interest to know χ(ω) at all frequencies and with respect to all dissipation processes so that one can check whether dust absorption or emission due to para.5). Stark splitting of the magnetic sublevels (arising from the electric ﬁeld of the crystal). therefore.3 we will revive spin–lattice relaxation by proposing an internal bias ﬁeld in the grain material due to ferromagnetic inclusions. one must know χ0 and τ .26) . The spinning particles only feel the time-variable part.

one sets it equal to ωpr because this is the characteristic time for a change in the magnetization perpendicular to the applied ﬁeld. neither does the Bohr magneton show up in the product χ0 τ . does not appear in the expression for χ2 (ω). which is the average separation between Fe atoms (see table 11. and the effective magnetic dipole moment of an iron atom are taken from table 11. In contrast to the perfect cubic lattice discussed in section 3. therefore.4 × 10−11 s. the static susceptibility becomes χ0 = 0. the paramagnetic atoms are dispersed irregularly over the grain.045/T . of course. Npm . Note that the electrons do not precess in the weak interstellar magnetic ﬁeld but in the much stronger local ﬁeld B loc created by all paramagnetic atoms (see section 3. The full expression should be used for magnetic emission at wavelengths λ = 1 cm or shorter. violently ﬂuctuating because the spin directions are tossed about in collisions with phonons. have unsaturated nuclear moments. besides electronic paramagnetism which we have had in mind so far. This ﬁeld is. we assume that the outermost ﬁve electrons in the 3d shell have only spin momentum and put g = 2 in (11.24) (see also (5. They are a grain constituent when the grain has an ice mantle.4). As the ground state of Fe3+ is classiﬁed as 6 S5/2 .9) and (11. To get −1 a handle on the spin–spin relaxation time τ .49 /kT and ωτ ω (11. The electron spins precess around the applied ﬁeld at frequency ωpr . only the nearest matter.2. Because spin–spin relaxation is so fast. cancels out and. To ﬁrst order. χ0 is equal to χad in equation (11. As ﬁelds from dipoles fall off quickly and proportionally to r −3 . Interestingly. Another form of the susceptibility for spin–spin relaxation uses the fact that the frequency distribution function deﬁned by f (ω) = χ2 (ω) ω .4. which are building blocks of the otherwise non-magnetic H2 O molecules.69)). It is remarkable that in the product χ0 τ the density of paramagnetic atoms in the grain. hydrogen nuclei.Magnetic dissipation 363 When the volume density of parmagnetic atoms. One thus ﬁnds χ0 τ = 0. nuclear paramagnetism. Their average contributions to B loc cancel but the root mean square deviation does not vanish. In particular. T 1 + ω2 τ 2 The approximation on the right holds at low (rotational) frequencies.12) so that τ −1 ωpr 2µB B loc 8. Npm . it produces a ﬁeld B loc 700 G.2). −1/3 we assume the ﬁeld to come from a dipole at a distance r = Npm . therefore. includes. When its moment is 2m Npm directed towards the precessing electron. So the mechanism is independent of the strength of the magnetic moments and.27) χ2 (ω) = χ0 4 × 10−12 .

6. For plausible reasons. We encountered an example of ϕ(t) in equation (1. it seemed natural to propose that magnetic ﬁelds are somehow responsible for the grain alignment. As the magnetic ﬁeld. in line with experiments. however. derived from the polarization of radio synchrotron emission. But for a factor of order unity. This is demonstrated in ﬁgures 11. in the ﬁgures of [Mat70] for stars with a large distance modulus.3 and 11.143) of section 1. and is completely unrelated to magnetic ﬁelds. the large local excursions. The magnetic ﬁeld follows the arms nicely but the optical polarization vectors. especially in the lower right of the ﬁgure. one obtains ω χ2 (ω) = χ0 ωτ 1 π 2 1 2 e−ω 2 τ 2 /2 (11. revealed that the polarization vector from interstellar extinction runs predominantly parallel to the galactic plane. This is exempliﬁed. χ2 (ω) resembles Debye relaxation at frequencies ω τ −1 . has the same direction (projected on the sky) as the electric ﬁeld vector of polarized starlight. scattered light is absent and cannot contaminate the polarization. f (ω) is related through Fourier transformations to the relaxation function ϕ(t). one approximates the relaxation 1 2 2 function by a Gaussian. the coincidence is less impressive.28) with τ = ω2 − 2 . In extinction measurements of the Milky Way. .364 Grain alignment is mathematically fully determined by all its moments: ωn = f (ω)ωn dω · f (ω)dω −1 . which comprise several thousand stars both in the southern and northern hemisphere. which describes how the magnetic moment M decays when a constant magnetic ﬁeld H is suddenly switched off. When one compares the magnetic ﬁeld lines with the optical polarization vectors in other spiral galaxies. ϕ(t) = χ0 e− 2 ω t . One should also note in these ﬁgures.4 for M 51. 11. When. a galaxy which has beautiful spiral arms and is viewed face-on. especially when it occurs at right angles. for example. where the decay was exponential. The reason that their orientation is not as uniform as in the Milky Way is probably due to the fact that one also sees scattered light in external galaxies. The polarization resulting from scattering by dust is usually strong. and keeps only the second moment 2 . match the magnetic ﬁeld vectors only poorly.3 Magnetic alignment The polarization surveys of the Milky Way. however.

The electric polarization is small (∼1%) and represented by short (unfortunately. The magnetic B-vectors at 2. its magnetization M changes. a cylinder with its angular velocity and momentum vectors. the susceptibility χ taken at the rotation frequency ω. Radio and optical polarization in M51. The radio polarization is fairly high (∼20%) and the corresponding vectors are shown by the large dashes. The ﬁeld exerts. we consider. in the constant interstellar magnetic ﬁeld B a magnetization M and a dipole moment m = V M. as in ﬁgure 11.11)) τ =m×B directed perpendicularly to m and B. 11.85 µm (adapted from [Sca87]).3. also black) dashes. If the grain spins. To determine τ . the magnetization would adjust instantaneously to the direction of B and the torque would vanish because of the term B × B = 0 (see (11. a torque (see (11. which is assumed to be small. they follow the spiral arm pattern.1 A rotating dipole in a magnetic ﬁeld A particle of volume V acquires. pointing the same way but perpendicular to the cylinder axis.5. because M = χB. The torque tries to line up the dipole with the ﬁeld.8 cm [Nei90] are overlaid on the electric polarizarion vectors at the center wavelengths of 0.18). from (1.Magnetic alignment 365 Figure 11.11)). ω and L. on the dipole. For simplicity.3. we need the magnetization M and. If χ were real. But χ is complex and the magnetization M stays a small angle χ2 /χ1 .

29). behind the ﬁeld B (see (1. An optical picture of the spiral galaxy M51 from the Palomar Sky Survey shown in the same orientation and on approximately the same scale. This leads to the following equations of motion for the rotating magnetic dipole: dL χ2 = τ = V M × B = V (ω × B) × B dt ω d E rot χ2 = τ · ω = −V (ω × B)2 . . as viewed by an observer in the rotating grain. B1 B. it is wasted into heat. for NASA. and is reproduced here with permission from AURA/ST Scl.366 Grain alignment Figure 11. operated by Aura Inc. Therefore. This produces the magnetization M2 = χ2 ω×B ω which does not disappear in the vector product with B.5). producing a magnetization M1 = χ1 B and a small one. The companion on top is NGC 5195. Use of this image is courtesy of the Palomar Observatory and the Digitized Sky Survey created by the Space Telescope Science Institute.29) (11.30) The rotational energy decreases. Because of the double vector product in (11. the magnetization responds as if there were two magnetic ﬁeld components: a major one.4. perpendicular to the ﬁrst and to ω and of length B2 = (χ2 /χ1 )B sin θ . the torque τ and the change in angular momentum dL are perpendicular to B and lie in the same plane as B and ω (see ﬁgure 11.12)). B2 . dt ω (11.

ω and L lie parallel to each other and perpendicular to the axis of the spinning cylinder. and a strong magnetic ﬁeld. 11.29): trel = Iω . When we compare trel with the time tdis after which disorder is established through collisions with gas atoms and assume Brownian motion so that tdis is . We see that magnetic alignment is favoured by a low ratio of moment of inertia over volume. there will be no more losses. A minimal value of I /V is given by a sphere and. L are in the same plane.31) −1 A typical number is 106 yr. ω. B. The inverse trel is. This leads to a torque τ on the grain. does not decrease the relaxation time trel because χ2 ∝ ω at low frequencies. This is the Davis–Greenstein mechanism. L θ τ Figure 11. the cylinder lines up with its long axis perpendicular to the ﬁeld B. V χ2 B 2 (11. But there are limits to these numbers. Note that a higher rotation speed.3. When the alignment is complete (ω B). the rate at which the angle θ between the ﬁeld and the angular momentum vector changes.Magnetic alignment 367 B ω. As a result. from diverse independent evidence. B does not exceed several times 10−6 G in low density clouds (n H < 103 cm−3 ). by order of magnitude. A paramagnetic cylinder rotating in a magnetic ﬁeld B acquires a dipole moment that is not fully aligned with B.2 Timescales for alignment and disorder We estimate a relaxation time trel for magnetic alignment from the condition L/trel = d L/dt from (11.5. All vectors τ . I /V . the standard scenario for magnetic alignment. although it implies enhanced dissipation.

will be much increased and no longer be given by (9. which would only produce paramagnetism of possibly insufﬁcient strength but also tiny pure iron subparticles in which the collective effect of the electron spins dominate. supra–paramagnetism and ferromagnetic inclusions can bring the ratio of relaxation time over collisional disorder time. down and thus point a way out of the dilemma [Jon67]. The rotation speed ω does not appear in this formula. tdis .3. for example. they have a very high kinetic energy and the time to create disorder. Of course. trel /tdis must be smaller than one. they . This implies that the grains change their angular momentum chaotically before paramagnetic relaxation has had time to do its job and they would not be aligned. Therefore one has to search for a more effective magnetic alignment mechanisms.3 Super-paramagnetism Interstellar dust may contain not only isolated iron atoms.368 Grain alignment given by (9. trel /tdis .39). otherwise orientation is poor.3. Time scales for these processes are debatable. effective grain alignment according to the Davis–Greenstein mechanism with damping from paramagnetic spin–spin relaxation seems possible.1 Magnetic alignment in suprathermal rotation Should the grains be rotating suprathermally with angular velocity ω 105 s−1 . Even if they contain only a few tens of iron atoms. disorientation will set in when the surface properties change. The subparticles are possibly synthesized in supernova explosions and somehow built into interstellar grains.2. we ﬁnd trel 3 = tdis 10 8km a π 1 2 2 Tgas an ω B 2 χ2 1 Tgas an 7. one can readily check that in the environment where we actually observe optical polarization. B2 Because the Serkowski curve mandates a typical grain size a of order 10−5 cm. χ2 (11.3 × 10−21 B2 1 2 ω . trel /tdis would be substantially above unity. For alignment to be effective.1.27) yields 1 trel tdis 2 × 10 −9 2 Tdust Tgas an . as discussed in section 11. Pure paramagnetic spin–spin relaxation with χ2 from (11.32) m a and n are the mass and density of the gas atoms. when new layers are deposited or active sites are destroyed or created. Suprathermal rotation. 11. 11.31) is not altered by the spinup as long as χ2 ∝ ω. This may occur. the angular momentum of the fast rotating particle must stay stable in space over a time greater than trel . Because inhomogeneities on the grain surface drive the suprathermal spinup.39). As the relaxation time trel of (11.

these are the cube edges [100] and the body diagonals [111].11 K and γ = 10−9 s determined experimentally. Therefore the relaxation time has the form τ γ eUbar / kT with θ = 0. the expression again approaches Debye relaxation (11. Ubar (= nkθ ) becomes. they show spontaneous magnetization. Equation (11.33) implies with τ ≡ γ /ω0 (see (1. The phenomenon is halfway between ferro.26) the moment m a of a single Fe atom has to be replaced by the cluster moment m cl and the volume density of magnetic atoms Npm by the number of clusters Ncl in the grain. When a cluster changes its magnetization. Suppose the grain has Ncl iron clusters.3. (11. it must overcome a potential barrier Ubar . Therefore χ0 increases by a factor n over the static susceptibility with isolated iron atoms.Magnetic alignment 369 already behave like ferromagnetic single domains. χ2 (ω) after (11. corresponding to weak damping.25) can become very large for small frequencies. 11. the static susceptibility of the grain as a whole becomes χ0 = n Npm m 2 a 3kT . It is very sensitive to the number n of iron atoms per cluster.and paramagnetism in the sense that the clusters are ferromagnetic single domains but their magnetization changes spontaneously by thermal perturbations so that the grain. behaves like a paramagnet. A grain with such ferromagnetic inclusions may then display super-paramagnetism.4 Ferromagnetic relaxation In a more general way. As n increases.25).34) For small frequencies (ω ω0 ). 2 2 ¨ ˙ (11. It may be overcome by thermal excitation and the rate at which this happens is proportional to e−Ubar / kT . 2 In a static ﬁeld. If τ is small. in the expression for the static susceptibility (11. as a whole.77)) χ2 (ω) = χ0 ωτ 1 − (ω/ω0 )2 2 + ω2 τ 2 . As obviously Npm = Ncl n. not restricted to paramagnetic relaxation. The magnetic moment of each cluster is at its saturation value m cl = nm a but the whole particle is paramagnetic because its magnetization follows equation (11. i. However. a pronounced . each consisting of n atoms of magnetic moment m a . the higher the barrier. one assumes that the magnetization M is forced by a periodic outer ﬁeld H to oscillate harmonically.17) with the Langevin function L(x). There is an easy one and a hard one (for iron. respectively) separated by Ubar . because not all directions of magnetization are equal. M = χ0 H .33) M + γ M + ω0 M = ω0 χ0 H. The more atoms there are in the cluster.e.

The latter is equal to 4π Msat /3 (see the electric analog in (3.2 and an estimate for τ of order 10−8 s from the laboratory. Equation (11. γ = 2ω0 after (1. for which we estimated above 700 G. especially at low frequencies as evidenced by ﬁgure 11. the low-frequency limit of χ2 (ω)/ω becomes ∼10−7 which is four orders of magnitude greater than for spin–spin relaxation. of course.33). τ and ω0 with physical processes and to determine their values from a combination of experimental data and theory. With the static susceptibility χ0 = 12 from table 11. on the volume fraction f Fe of the iron inclusions but even f Fe = 0. One can squeeze out some semi-theoretical number for χ2 supposing. of course. The moving walls can phenomenologically be described by a harmonic oscillator.22µB 3r 3 7000 a r 3 . a ﬁeld (see table 11. in order for the resulting ﬁeld to be considered at a constant bias. [1 + (ωτ/2)2 ]2 (11. the presence of single-domain ferromagnetic inclusions has the interesting consequence that it provides a bias ﬁeld H0 for the adjacent paramagnetic material [Dul78]. Putting the saturation magnetization Msat = 1750 G and χ0 = 12 (table 11.54)). χ0 and τ .3 × 1011 s−1 . at a distance r from its center.370 Grain alignment resonance appears at ω0 . two scenarios exist: • If the iron clusters are big enough to be divided into several domains. and χ2 (ω) = χ0 ωτ .34) says nothing about the dissipation mechanism. is much more efﬁcacious in enhancing the ratio χ2 (ω)/ω than spin–spin relaxation. the changing magnetic ﬁeld causes the transition layer between adjacent domains (Bloch walls) to rearrange and the wandering of the walls dissipates energy. that dissipation comes from precession of the magnetic moments in the local ﬁeld. as we did for paramagnets. . ˚ If the iron clusters have sizes below ∼200 A. The effect on the damping of the grain as a whole depends.6. The ﬁeld produced by the inclusions must.2) 4πa 3 Nbulk 2.2). The difﬁculty is to associate χ0 . they are stable as ferromagnetic single domains. If the system is critically damped. This enables paramagnetic dissipation by spin– lattice relaxation to operate in the otherwise paramagnetic grain material. as in (11. which we had so far discarded.1% would increase the susceptibility tenfold. particles with single-domain iron inclusions seem not to χ2 (ω)/ω ∼ 10 be terribly effective in damping. the precession τ −1 (4π Msat /3)(e/m e c) 1. • However. Then there are only two parameters. be as strong as the ﬂuctuating ﬁeld from the isolated iron atoms in the paramagnetic grain material. As now frequency ωpr −10 . A spherical single domain of radius a has.63). This mechanism.35) For a grain with ferromagnetic inclusions.

for example.25χT . When such grains are then magnetically aligned. The dots show the total dissipational loss rate W ∝ χ2 ω when sl ss both processes are activated (here χ2 = χ2 + χ2 ). With the help of (11. the broken line depicts for this case χ2 /ω which determines the alignment efﬁciency after (11. Therefore. we further adopt ss χad = χ2 (0) = 0. χ = χ1 + iχ2 .1) and (11. as a function of frequency in paramagnetic dissipation for spin–spin (ss) and for spin–lattice (sl) relaxation. Ix < I y < Iz . The rotational energy E rot of the grain then decreases and is turned into heat.2) that the angular velocity ωz grows at the expense of ωx and ω y . therefore.3.Magnetic alignment 371 Figure 11. The ordinate is arbitrary. 11. while the angular momentum vector L stays constant in the absence of an external torque. Consequently. it follows readily from (11. For the relaxation times it is assumed that τsl = 100τsl . the axis of maximum inertia (the z-axis) tends to become parallel to L. Assuming. their orientation will be almost perfect and they will. A sketch of the magnetic susceptibility.31). be most effective polarizers.6.7) and using the angle θ between the ﬁgure axis and L .5 Alignment of angular momentum with the axis of greatest inertia There is likely to be damping within the particle independent of the outer magnetic ﬁeld. each ferromagnetic inclusion provides a bias ﬁeld for spin–lattice relaxation in the paramagnetic material over a volume which is about ten times bigger than its own.

Suppose that in the process of magnetization.372 Grain alignment (see ﬁgure 11. Interstellar grains in Brownian motion. (11. As the total angular momentum of .3.1 Mechanical damping via variable stresses Interstellar dust particles are not perfectly rigid bodies and the centrifugal forces in a spinning grain change the distances among the atoms.6 Mechanical and magnetic damping We discuss two further dissipation mechanisms: one mechanical. To see how it works.3.8)). one can work out the time t which it takes until the z-axis and the angular momentum L are parallel: t ∼ t d E rot dt ∼ = W −1 = −W −1 L 2 A sin θ cos θ ∼ −W −1 L 2 A. I x Iz If one knows the dissipation rate W = d E rot/dt. the rotational energy E rot of (11. The previously introduced time t depends on the stiffness of matter. t is much shorter than tdis . it is necessary that t be shorter than the disorder time tdis (see (9. the other gyromagnetic. the rotation vector ω moves with respect to the grain coordinates and so the stresses arising from the centrifugal forces are time variable with frequency of order ω (see (11. will probably not show such alignment. however. on the rotational velocity. crucially. 11. the mechanical damping constant of the grain material and.1). • When an unmagnetized iron cylinder with inertia I is suddenly magnetized by an outer ﬁeld.6. A perfect and cold crystal is very elastic with hardly any loss but a real grain has imperfections and mechanical deformations inevitably drain some of the rotational energy into heat. It turns out that for suprathermally spinning inelastic grains. so they will always rotate about their axis of greatest moment of inertia. the atomic magnetic moments and their associated angular momenta line up. 11. When rotation is not about a principal axis.39) for its value for Brownian motion).6. we ﬁrst recall the famous experiments by Einstein and de Haas and its counterpart by Barnett.36) θ dθ dθ For the alignment to work.3. 11. N electrons ﬂip their spin direction from up to down.2 Magnetic damping via the Barnett effect More efﬁcient is a gyromagnetic mechanism which is based on the coupling between the spin system and the macroscopic rotation of the body.2) can be written as 2E rot = L2 + L 2 A cos2 θ Ix A= I x − Iz .

e (11.1 Gas streaming When gas streams with a velocity v past a dust particle. They are interesting in themselves but except for special conﬁgurations. ¨ that in a rotating frame K the acceleration x of a point mass is different from the ¨ acceleration x as seen in an inertial frame K : ¨ ¨ ˙ x = x + 2ω × x + ω × (ω × x). in a stellar wind.38) The prime refers to the uniformly rotating system in which there additionally appear a Coriolis and a centrifugal term (second and third on the right). (11. the centrifugal force may be neglected and one may put v = x x . when we take an atom and apply a magnetic ﬁeld and furthermore slowly rotate the atom.36) is inversely proportional to ω2 and much shorter than the disorder time tdis . this is Larmor’s theorem. it feels a magnetic ﬁeld B. Rotating the atom is thus equivalent to exposing it to a magnetic ﬁeld of strength B = (2m e c/e)ω. which is parallel to ω and has the absolute value B=ω 2m e c . 11. When an unmagnetized cylinder is rotated at angular velocity ω.Non-magnetic alignment 373 • the cylinder is zero before and after the magnetization.39) dLgas = r × mv. The sum of the two is zero when ω + (e/2m e c)B = 0. Therefore.30) with χ2 from (11. . a magnetization M = χB (Barnett effect). we ﬁnd that the alignment time t in (11. The ﬁrst term is due to rotation and the other represents the Lorentz force of the magnetic ﬁeld. each atom of mass m endows the grain upon collision with a small angular momentum (11. ﬁrst. To understand the linear relation (11. in the cylinder. each of its electrons is subjected to the additional force: 2m e v × ω + (e/c)v × B.37) The ﬁeld B then produces.37). for example. we mention. 11. When we apply this result to an interstellar grain of volume V and compute the dissipation rate W = χ2 ωB 2 after (11.27) and B from (11. not likely to be responsible for polarization.4.37) between ω and B.4 Non-magnetic alignment We discuss two other ways in which grains may be aligned in the interstellar medium. the cylinder acquires an angular momentum L = N and rotates afterwards at a speed ω = N /I (Einstein–de Haas effect). When ˙ ˙ ω is small.

If the grain is hit by N atoms. So the ﬁnal angular momentum Lgas is also in the plane θ = π/2 and its length is the result of a random walk: √ L gas = N · d L gas . lie in this plane but are randomly distributed there. Therefore the angular momentum is perpendicular to the x-axis which implies that the grain rotates in a plane with φ = constant. . the vector r in ﬁgure 11. If the grain is a rod of length l. An observer who looks at the star from below in the direction of the velocity vector v in ﬁgure 11.7 would detect no polarization. When there are many particles. When the number N of collisions is large. while those with φ π/2 do not contribute. all such planes are equally likely. approximately. The net polarization is due mostly to grains with φ 0. An observer (right) views a star (left) through a cloud of cylindrical grains. L gas will be limited by friction with the gas. Perpendicular to the line of sight.7). there is no favorite φ. all changes in angular momentum. dLgas lies in the plane θ = π/2 which is perpendicular to v.374 Grain alignment θ φ v Figure 11. d L gas = 1 lmv. If the grain is very elongated. The observer in ﬁgure 11. φ). Directions are given in the spherical polar coordinates (θ. we have. Because of the vector product. Cylindrical grains will rotate in planes φ = constant and this results in a net orientation of their rotation axes and in polarization of the starlight [Gol52]. φ) so that the direction of streaming is given by θ = 0 and the direction towards the observer by θ = π/2 and φ = 0 (ﬁgure 11.7.8 falls almost along the x-axis. gas streams at supersonic velocity v relative to the grains. Let us choose spherical polar coordinates (θ.8. dLgas .7 ﬁnds that the starlight is polarized. 2 The situation is depicted in ﬁgure 11.

The latter dominates when > d L abs . one transfers momentum hν/c. But the photon also transfers angular photon momentum and this leads to rotation out of the plane of the drawing. An impacting atom of momentum mv causes the cylinder to rotate in the plane of the drawing. as in the vicinity of a star. indicated by the curved arrow. on top of their momentum hν/c. and not perpendicular to it. The thermal motion of the gas has a disordering effect as it introduces random velocities between gas and dust particles. It is directed along the line of photon propagation.4. There are two alignment processes through photons. 11.Non-magnetic alignment 375 x r v Figure 11. The same is true for a photon coming from the same direction as the atom.8. So each transfers the angular momentum d L abs = 1 hν l· . either in a positive or negative direction. But such disorientation may obviously be neglected when the streaming motion is supersonic. its momentum is hν/c. . the situation is similar to gas streaming. 2 c There is another effect related to photons that creates independent additional alignment [Har70]. The average (root mean square) angular momentum of the grain after the capture of N photons √ becomes N . as d L abs before. Only now the impinging particles are photons and not gas atoms. This condition is fulﬁlled when the grain is smaller than the wavelength. the other angular momentum . an intrinsic angular momentum that is imparted to the grain in each absorption event. and their momentum is hν/c instead of mv.2 Anisotropic illumination When the grains absorb radiation exclusively from one side. Photons have.

Inside a molecular cloud. So L emis will √ be some 100 = 10 times larger than L abs . a hundred times more photons than it absorbs. As the energy budget of heating and cooling is always balanced very well. very roughly. which is heated by few UV and cooled by many IR photons. the grain will acquire from this process an angular momentum L emis . In the end.376 Grain alignment Each emitted photon carries off a quantum in an arbitrary direction. But the associated vector Lemis has no preferential orientation. emits. the discrepancy between L emis and L abs is less severe. . a grain in the diffuse medium. where only a few energetic photons ﬂy around.

Although their overall spectral signature was subsequently observed in very diverse objects (HII regions. planetary nebulae. The smallest grains. each grain emits very many lines but they overlap to give an amorphous continuum. evolved stars. Precise chemical allocation is also not possible but individual functional groups partaking in the transition can be identiﬁed and exciting conditions may occasionally be derived. Observing several transitions simultaneously allows us to infer the conditions of excitation. PAHs. however. the lines also contain kinematic information via the Doppler shift in their radial velocity. the transitions are broad and do not allow us to extract velocity information. usually with hydrogen atoms bound to the edges. Because of the strong disturbance of any oscillator in a solid. their proper identiﬁcation took place only in the mid 1980s. 12. is poor. The smallest consist of barely more than a dozen atoms. These features are the topic of the present chapter. The spectroscopic information from dust. cirrus clouds. by which they can be uniquely identiﬁed. Because of their sharpness.1 What are PAHs? These are planar molecules. which show very characteristic bands are a fortunate exception.1. Being a solid. PAHs is a short form for 377 . mainly gas temperature and density. the emission is restricted to infrared wavelengths. dates back to the early 1970s when in the near and mid infrared a number of hitherto unknown features were found [Gil73]. star burst nuclei and other external galaxies). The ﬁrst observation of PAHs.Chapter 12 PAHs and spectral features of dust Gas atoms or molecules emit and absorb narrow lines. Resonances are also observed from silicate material and ice mantles. so they are intermediate between molecules and grains and constitute a peculiar and interesting species of their own. from the UV to the microwave region. Moreover. reﬂection nebulae.1 Thermodynamics of PAHs 12. without proper identiﬁcation. made of a number of benzene rings.

Figure 12. which is at the left and right edge of the ellipse. For f > 1. given by the shaded annulus.1. v)/ρ(E). i. according to equation (8.378 PAHs and spectral features of dust unit cell p E + δE E q Figure 12. one ﬁnds the highest density of cells. The ellipses correspond to total (kinetic plus potential) energy E and E + δ E. Pi. In interstellar space. and all states lie in an annulus around an ellipse.48). ρ(E) is the density of states at energy E and ρ(E. The phase space accessible to a one-dimensional oscillator with energy between E and E + δ E is. i. The accessible states are in a narrow range from E to E + δ E. in view of (5. When . There are then two coordinates. Polycyclic Aromatic Hydrocarbons and they are called this way even when the hydrogen atoms are missing. v) is the density of states at energy E subject to the condition that oscillator i is in quantum state v.2). 12. position q and momentum p. respectively. for a given q. There the velocity is small and.2) as the sum of kinetic and potential energy of all atoms which are approximated by harmonic oscillators.1. The population of the cells in phase space is statistical and the probability of ﬁnding the i th oscillator of a PAH in quantum state v is. The unit phase cell has the size δqδp = .2 Microcanonic emission of PAHs Let us investigate the possible states of a PAH of total energy E. the situation is multi-dimensional but otherwise analogous. It is given in equation (8. The oscillating particle is most likely to be found near the greatest elongation. PAHs are excited by the absorption of a single ultraviolet photon upon which they emit their characteristic infrared lines.v = ρ(E.1 illustrates the locus of the states in phase space when the system has only one degree of freedom ( f = 1).

v) = Pi.3) 12. we consider the PAH anthracene. There are altogether f = 3 · (14 + 10) − 6 = 66 degrees of freedom.1) ρ(E) f ( f − 1)! j =1 hν j with a 0. (12. • • CC stretching. one obtains [Whi63] (E + a E 0 ) f −1 (12.87 + 0. therefore. i. i. easy to handle theoretically. v) ξ = ( f − 1)ξ 1 − v + ρ(E) 2 f −2 f −2 ( f − 2)! j =i −1 hν j . therefore. (12. which has a simple and fairly symmetric structure (see insert in ﬁgure 12.079 ln(E/E 0 ) E0 = 1 2 j hν j . εmic (E. ρ(E. In the model on which ﬁgure 12. all bonds at its edges are saturated by hydrogen atoms.2) and is. The vibrational modes can be computed if one knows the force ﬁeld (force constants) or the potential in the molecule. have to be diminished accordingly.3 The vibrational modes of anthracene As an illustration. and further reﬁnes the expression by adding to E the zero-point energy E 0 of all excited oscillators. C14 H10 . The fudge factor a is of order unity. v) = (E − vhνi ) + a(E 0 − 1 hνi ) 2 Hence the relative population of level v is Pi. i.2) E + a E0 The i th oscillator emits in the transition v → v − 1 the power εmic (E. ξ= hνi .Thermodynamics of PAHs 379 one extends expression (5. v) is also calculated after (12.v−1 and the total microcanonic emission from oscillator i is. i.v hνi Ai v. Besides the four obvious ones.1. This gives ρ(E.42) for ρ(E) to the case when the oscillators are not identical but each has its own frequency νi . .0 v≥1 v Pi.v .v = a ρ(E. CH stretching.2 is based seven vibrational types are considered. i ) = hνi Ai 1. The PAH is built up of three benzene rings.1) but now one has to exclude oscillator i . There is one degree of freedom less and E. as well as the zero-point energy E 0 .

4) and solving equation (8. Hydrogen atoms are also involved in the modes around 1000 cm−1 which are due to a CH bend. The rest of the histogram is due to the skeleton of carbon atoms and surprisingly smooth. The wavenumbers are tabulated in [Whi78] and grouped here into intervals of 100 cm−1 width. Excluding the CH bend at 3000 cm−1 . Despite the simplicity of the model. The distribution of the number of modes over energy is displayed in ﬁgure 12. for a graphite plane. The frequencies of the 66 oscillators by which the molecule is replaced are found by introducing normal coordinates (section 8. which. each having its eigenfrequency. • • CC out-of-plane bending and CH out-of-plane bending. is the Debye frequency. we gave the Debye temperatures. the frequency is roughly ω = √ κ/m (see (12. is at • • . In section 8. When κ is the force constant of CH binding and m the mass of an H atom.2.2. They correspond to 66 oscillators (modes). For reasons of symmetry. Some vibrational modes lie very close together because of the symmetry of the molecule. These are CCC and CCH bending as well as CCCC torsion. at most four of these CH frequencies can be different but these four are really distinct because they correspond to sites where the surroundings of the H atoms have different geometries.4. the high frequency cutoff. The polycyclic aromatic hydrocarbon anthracene has 66 degrees of freedom. by deﬁnition.380 10 PAHs and spectral features of dust number of modes anthracene C 14 H10 0 1000 2000 3000 wavenumber [1/cm] Figure 12.8)). This range is completely isolated and due to CH stretching. It is clear that atoms in similar force ﬁelds must swing in a similar manner. the theoretical frequencies agree well with laboratory data.25). three mixed modes in which several atoms take part in the oscillation are also included. all CH stretches of the ten hydrogen atoms in anthracene are crowded between 3030 and 3040 cm−1 . It contains several noteworthy features: • The modes strongly cluster around 3035 cm−1 . θz = 950 K and θx y = 2500 K. the achieved accuracy is good. For instance.

33)). the highv lines blend with the ground transition producing an overall broadening of the band.42 µm (v = 2 → 1). This implies that effects produced by the anharmonicity of the oscillator potential are. this is always the statistically correct way. The best example is presented by the C–H stretches at 3.2. v ≤ 1. we consider a ﬁctitious molecule with 330 degrees of freedom but with the same relative mode distribution as in ﬁgure 12. To estimate how big PAHs behave. for this PAH. from ﬁgure 12. There are now for each energy interval ﬁve times more modes. is permitted. we can calculate from this equation the temperature of a thermalized anthracene molecule of energy E. The shift is sufﬁciently large so that the v = 2 → 1 line can occasionally be seen well detached from the v = 1 → 0 transition. if one looks closer.4. 12. the situation . as for the C–H out-of-plane bend at 11. We see. see table 12. when it is excited by a photon of 4 eV. We also learn from the microcanonic results of level populations that those oscillators in the PAH which correspond to the major bands (table 12. For higher photon energies. that for such a big PAH. Figure 12. things only improve. However. Let the PAH absorb a photon of energy E. they have to be taken into account.45) if one uses θz = 950 K. and thus also for line emission. Because all νi are known.Thermodynamics of PAHs • 381 1800 cm−1 and corresponds nicely to θx y (see (8.4 Microcanonic versus thermal level population We have learnt how to compute the microcanonic population of levels. We now apply our skills to anthracene and check whether. we may indeed use the Boltzmann formulae (dotted lines) for the level population. Because of anharmonicity.1) and at 3. It is acceptable only for lowfrequency vibrations. the spacing between the upper levels decreases and the lines from higher v-states are shifted towards the red. which when fulﬁlled makes life so much easier.1) are mostly found in the lowest quantum numbers. the modes extend into the far infrared. 66 E= i=1 hνi hνi / kT e −1 . the assumption of thermalization.28 µm (v = 1 → 0. When the levels are thermalized. If the shift due to anharmonicity is small. the thermal assumption is usually bad. The lowest energy is 73 cm−1 (137 µm) and again in qualitative agreement with the estimate for the minimum frequency νmin from (8. E is equal to the sum of the mean energies of all 66 oscillators (see (5. not important.3 demonstrates that if the PAH has absorbed a typical stellar photon of hν 4 eV.3 µm. At long wavelengths. to ﬁrst order.1. If the photons are more energetic (E > 10 eV). The v = 2 → 1 line is always weaker because of low level population but note that the Einstein A coefﬁcient increases proportionally with v. whereas it grossly underestimates the population numbers at short wavelengths.11)).

from (5. one may certainly assign a temperature but it is doubtful whether one can do so in the case of a PAH. the threshold for collisional and photoexcitation. For example. the number of states whose energy does not exceed E is.1 eV (13 µm wavelength). give the thermal results at a temperature T = 1325 K. roughly .5). improves towards thermalization.41). it must eventually be thermalized like a normal grain.45) and νcut after (12.2). steadily declines. see also text. Of course. which may bear more afﬁnity to a big molecule than to a solid body.382 PAHs and spectral features of dust Figure 12. Dots show the microcanonic fractional population as approximated by (12. 1010 atoms. νmin after (8.3. for a PAH with f = 100 degrees of freedom that is excited to an energy of E = 10 eV and emits IR photons of 0. Level population Nv in anthracene for three oscillators (their wavelengths are indicated) after absorption of a photon with E = 4 eV from the ground state. 12. always Nv = 1. Note that while such a highly excited PAH cools. As the PAH gets bigger. To an ordinary grain made of N = 105 . which only have a meaning at integral quantum numbers v.1. The dotted lines. .5 Does an ensemble of PAHs have a temperature? The concept of temperature is only valid if the system has many degrees of freedom. the assumption of thermal emission gets poorer. if the size of the PAH is further increased. .

somewhat artiﬁcially.2 21. Center wavelength λ0 (µm) 3.3 6. so would the energies of the PAHs freshly excited from the . excitation through energetic photons is much too rare an event and gas collisions are negligible altogether. prior to absorption of a photon.1 23.0 vibrational type C–H stretch C–C stretch C–C stretch C–H bend in-plane C–H bend out-of-plane C–H bend out-of-plane C–H bend out-of-plane C–H bend out-of-plane C–C vibration ? C–C skeleton C–C skeleton C–C skeleton C–C skeleton C–C skeleton C–C skeleton C–C skeleton Ns (E/ f ω) f . the levels are not thermalized. If the photons were monoenergetic. See also ﬁgure 12.7 16.9 12.2 1. at low gas density. are per H atom for C–H vibrational modes. maybe one can to an ensemble of PAHs in the way one assigns a temperature to the level population of an ensemble of gas atoms? At least this is possible when the atoms are in a blackbody radiation ﬁeld or when their density is high. However.6 5.0 14. the PAH is usually in its ground state. So one has to check in a microcanonic treatment.1 12 2. Furthermore. The cross sections integrated over the band.3 11.1 Damping constant γ (1012 s−1 ) 20 14 22 6 4 7 3.7 1. for example. as before.Thermodynamics of PAHs 383 Table 12.2 1. whether the PAH is approximately thermalized or not. The kinetic temperature of the gas does not then describe the population of the internal levels of the atoms.1. when exciting events are rare.9 5 3 2 3 3 3 3 Integrated cross section σint (cm2 cm) 12 14 51 27 41 27 47 12 1. This is not a fantastically large number.5 4 12 5. major (top) from minor bands (bottom). The excitation then carries the signature either of the Planck function or of Maxwell’s velocity distribution and it is completely described by the Boltzmann formula (5.8). Approximate numbers for PAH resonances.0 2.2 7.2 7. The space divides.7 8. If one cannot assign a temperature to a single PAH.4 18.0 2.6 11. σint = σ (λ) dλ.5.8 13.3 15. as it should be for a good temperature but one of order unity.1 15. For PAHs.5 1. and per C atom for C–C modes.

some on time scales of 10−12 s. say. The energy of the absorbed photon equals 4 and 12. It has the same relative mode distribution as anthracene (see ﬁgure 12. 12. a singlet S0 . immediately after the UV photon has been . Level population Nv of a PAH with f = 330 degrees of freedom. ground state be. a neutral PAH molecule is almost all the time in its electronic ground state. Their distribution in energy would not show the spread typical of thermal systems but resemble a δ-function. Collisions with gas atoms are rare and the gas temperature is too low anyway to thermalize the PAH.2 PAH emission 12.1). distributed over all available vibrational modes. But by and large. also in their lowest level. very fast. The dotted lines are calculated under the assumption of thermalization at T = 545 K (left box) and T = 1000 K (right box). Then various and complicated things happen.3.4. Emission of infrared lines from the PAH molecule is initiated by absorption of a UV photon of energy E UV . Although the actual exciting photons are not monoenergetic but come from the interstellar radiation ﬁeld and have a considerable spread. The emission lasts typically for 1 s. Afterwards the molecule is highly excited and in a new electronic singlet state Si . and then degraded into infrared photons. therefore.1 Photoexcitation of PAHs In the diffuse interstellar medium. mainly by emission in the fundamental modes (see table 12.2. the outcome is that the ultraviolet energy is thermalized. their frequencies do not mimic thermal conditions. i.e. The vibrational modes are. Before the IR photons are emitted. once a day.384 PAHs and spectral features of dust Figure 12.2).6 eV. Otherwise as ﬁgure 12.

A PAH may also be negative or bear multiple charges. only the electronic ground state is then a doublet because of the unpaired electron. some of the energy E UV will eventually go into phosphorescence from the triplet T1 to S0 and thus be lost for the IR features. En = h2n2 8m e L 2 n = 1. Light from wavelengths greater than λcut is simply not absorbed and thus cannot produce the infrared resonances. 12. Small PAHs (NC < 50) are only excited by UV radiation.52). 2.2. For PAHs of circular shape and size a . the electron density and. A transition with n = 1 has.PAH emission 385 absorbed. one ﬁnds empiricallly. larger ones also by optical photons. the excitation scheme is similar. = 2 4m e L 4m e ( L )L s ˚ If the atoms have a size of ∼2 A and if there is one optical electron per atom. the crude relation λcut = 1630 + 370 NC = 1630 + 450 a ˚ [A]. the gas temperature. (12.4) ˚ Here a is measured in A and NC is the number of carbon atoms in the molecule. In this case. therefore. .5) . because the triplet system has a metastable ground level T1 .2 Cutoff wavelength for electronic excitation There is a minimum photon energy for electronic excitation of a PAH corresponding to a cutoff wavelength λcut . the PAH may change from the electronic state Si without radiative loss to another singlet state. One can understand the existence of the threshold by considering a free electron in a linear metallic molecule of length L. the energy hνcut = d En dn n= n=s h2s h2 . in the laboratory. some of the basic ideas are outlined in section 9. ˚ then L/s = 2 A and λcut = 4m e ( L )Lc s ∼ 330L h ˚ [A]. (12. The phase space available to electrons with energy E ≤ E n is hn/2. all levels up to n = s are populated. a denser population is forbidden by Pauli’s exclusion principle. . .2. of course. so if there are s free electrons. on the UV cross sections of the PAH. . The ionization details may not be decisive for evaluating the IR emission of PAHs but probably have an inﬂuence on the cutoff wavelength and thus on the conditions for excitation (see later). For a singly photo-ionized PAH. The electron is trapped in the molecule and its energy levels are given by (6. Or it may undergo intersystem crossing to a triplet state. The degree and kind of ionization depends on the radiation ﬁeld.

evaporation will occur. absorption of a UV photon can lead to dissociation.9 eV.6). one. (12. with a critical internal energy E cr and because E cr > E 0 . When kdis(E) > kcr . can be determined experimentally.24 eV and declines to ∼6 eV for molecules with 100 carbon atoms. one has.11). Big PAHs are easier to ionize than small ones. . E 0 may be loosely interpreted as the bond dissociation energy.6) ν0 has the dimension of a frequency. with respect to hydrogen loss. in a PAH with f degrees of freedom and total energy E. If hydrogen atoms detach. For example. an exact value is not required. The critical temperature Tcr can be found from E cr via equation (5. from (12. if however acetylene evaporates. Because of the anharmonicity of the potential of a real oscillator. the oscillator i in a state v ≥ vdis is given by equation (12. the aromatic cycles are unscathed. After UV absorption. E cr So there is a rough linear relationship between the degrees of freedom of the PAH and the critical energy.3 Photo-destruction and ionization Because the PAHs are so small.2). and P(E) is proportional to the dissociation rate kdis(E) of the molecule. which is of order 102 s−1 . PAHs will not exist at all. As kcr enters logarithmically.8 eV and ν0 = 1016 s−1 . with respect to C2 H2 loss. and it has the overall effect of stabilizing the molecule against destruction. The chance P(E) of ﬁnding. besides dissociation and infrared emission. f E cr = i=1 hνi hνi / kTcr e −1 . In slight modiﬁcation of (12. writes kdis(E) = ν0 1 − E0 E f −1 . approximately. can thus be considered as the critical dissociation rate. the excited PAH is hot and has a certain chance to evaporate. an atom detaches itself from the PAH above a certain vibrational quantum number vdis . The infrared emission rate of PAHs. E 0 = 2. The two factors. ln kcr ln ν0 − ( f − 1) E0 .386 PAHs and spectral features of dust This qualitative and simpliﬁed model of a linear metallic grain already yields the right order of magnitude for the cutoff. In a strong and hard radiation ﬁeld. the ionization potential of benzene is 9. ν0 = 1015 s−1 [Joc94]. the carbon rings are broken. E 0 = 2. 12. kcr is associated. therefore.2). When relaxation through emission of IR photons is faster than dissociation. the PAH is stable. kcr . ν0 and E 0 .2. Ionization after absorption of an energetic UV photon is another reaction channel.

harsh radiation ﬁeld. The probability function P(T ) of (8. we estimate that PAHs with only 30 carbon atoms can survive. γ ν2 2 π 2 [ν 2 − ν0 ]2 + [γ ν/2]2 (12. As the total amount of absorbed and emitted energy is determined solely by the carbon skeleton.2. when ∞ Tcr P(T ) d T ≥ f evap . 12. The damping constant γ determines the band width and is probably the result of an overlap of many transitions with frequencies clustering around ν0 .1 compiles their vibrational type. more variable in intensity from source to source and their origin is less clear. The most prominent representative of the minor features is the band at 3. respectively. We approximate the line shapes by Lorentzian proﬁles (see (1. σint = σ (λ) dλ the cross section of the particular band integrated over wavelength. under what conditions do PAHs survive in a given.4 Cross sections and line proﬁles of PAHs A PAH has several hundred vibrational modes but one typically detects only half a dozen major resonances around the frequencies where the strong modes cluster. the other only carbon atoms. There are two classes of bands: one involves hydrogen atoms.4 µm which was mentioned in section 12.46) has to be computed anyway for the evaluation of PAH emission. one has to balance their destruction rate with the rate at which they are built up by carbon accretion. therefore. It is not listed in table 12. The strength of the emission is. and N the number of C or H atoms. respectively. one may be tempted to use a purely phenomenolgical approach and simply assume that PAHs evaporate if the fraction of PAHs above some critical temperature Tcr exceeds a certain value f evap . .e.1. however. a PAH without hydrogen atoms will have weaker C–C bands than one with hydrogen atoms (and the same NC ). i.7) where ν0 = c/λ0 is the center frequency.106)). i. proportional either to NH or NC . center wavelength and integrated line strength but it also lists some of the weaker or minor resonances which are. Table 12.1 because it is an overtone.e.4. In the interstellar radiation ﬁeld (ﬁgure 8. f evap ∼ 10−8 and Tcr ∼ 2500 K do not seem to be unreasonable numbers and one may use such an approach to decide whether PAHs evaporate or not. near an O star (distance r = 1016 cm.2). which are all located at the periphery of the PAH. L = 105 L ).PAH emission 387 For the astronomically relevant question. the number of hydrogen and carbon atoms. As the physical processes connected with PAH destruction are most complicated. NC should be above 200.

6 µm (see table 12.5.8) m1m2 . The features are grain-size independent and serve as a tool to unravel the chemical composition of interstellar dust. hydrogen atoms are attached to the edge of the carbon skeleton. m1 + m2 (12. Its width and center frequency depend weakly on temperature: when the solid cools. for the heavier CN. the resonance is at ∼10 µm.3 to 13. They allow us to identify certain characteristic groups in molecules of which the grains are made. The resonance is broad in an amorphous material. and fairly sharp in a crystal where high structural order leads to long-range forces.1). Likewise. 12. The number of neighboring H atoms is indicated for each (peripheral) carbon ring. .388 PAHs and spectral features of dust 2 1 4 2 3 Figure 12. in a triple C≡C bond at ∼5 µm. the fundamental frequency ω between two atoms of mass m 1 and m 2 connected by a spring of force constant κ is given by ω = 2πν = where the reduced mass is µ= κ/µ (12. In a PAH. Due to the coupling between the vibrating H atoms.8) increase because the lattice shrinks. the stretching band lies at ∼10 µm. The exact frequency of the C–H out-of-plane bend depends on whether the hydrogen atoms are isolated (mono positions) or whether there are two (duos). the stretching mode of the light CH molecule occurs at ∼3 µm.3 Big grains and ices A few infrared resonances can also be observed in grains of normal size. for example OH in water molecules when water has frozen out. For example.9) The frequency is high when the molecules are strongly coupled and the masses of the involved atoms small. the center wavelength increases from approximately 11. the force constant κ and thus the frequency ν in (12. three (trios) or four (quartets) adjacent H atoms. Let us consider the vibrations in a characteristic group that consists of just two molecules. the feature becomes narrower because collisional damping with neighboring atoms is reduced. At the same time. in a single C–C bond. In a simpliﬁed picture.

absent in molecular clouds is the one at 3. Knowing the ratio τV /τ9. in varying abundance ratios.1). Towards star-forming regions. it is observed in absorption.5.7 2. τV /τ9. CH4 .6 we estimate that the object IRS9 in NGC 7538 suffers about 35 mag of visual extinction corresponding to τ9.7 µm.1 The silicate features and the band at 3. they have to be well hidden from the UV radiation ﬁeld. CO2 . .7 µm due to an Si–O stretching vibration in silicates. CH3 OH. An impressive example of absorption by ice mantles is presented in ﬁgure 12.7 18 (12. for example.4 µm. For example. NH3 .1 µm feature due to OH stretching seems to require shielding by more than 8 mag of visual extinction. The method still works when stellar photometry is no longer possible. . CO. . towards oxygen-rich mass loss giants it is seen in absorption and occasionally in emission. At around 18 µm.7 µm optical depth. the absorption coefﬁcient ratio κ18 /κ10 0. 12. To derive the ratio of the visual to the 9. Another feature that is widely observed in absorption in the diffuse medium but. there is an O–Si–O bending mode which is weaker and much more difﬁcult to observe from the ground because of atmospheric attenuation. so these branches are supressed. The stars have shells of carbon dust that produce a smooth 10 µm emission background with a temperature of ∼1000 K and without the 9. in a gas. in CH3 but its exact identiﬁcation has not yet been settled. provided there are no hot grains along the line of sight that emit themselves at 9. The vibrational spectrum of diatomic molecules in an ice mantle has several peculiarities.and a P-branch.1). It is usually attributed to an aliphatic (the carbon atoms are arranged in a chain.1 and ﬁgure 14.7 . one measures the extinction through a cloud that lies in front of a carbon star.3. all oxygen is bound in CO and silicate grains are absent. On average.10) with a scatter of about 10%.3.6. To stay on the grain and not to become photodesorbed.2.Big grains and ices 12. Only hindered rotations may be possible in . there is generally an R.4 µm 389 The most prominent and widely studied resonance is the one at 9. the 3.7 µm feature. In a solid.7 . τV τ9. and not in a ring) C–H stretching mode.2 Icy grain mantles Ice mantles form in cold and dense molecular clouds as a result of gas accretion onto refractory cores (section 9. the atoms are squeezed in by other molecules and cannot rotate freely. quite interestingly. For instance. from the depression of the 10 µm feature in ﬁgure 12. In these stars. It is the strongest indicator of silicon in space. one can determine the visual extinction AV from the 10 µm absorption. For free molecules. each consisting of many rotational lines (see section 14. The mantles consist of a mixture of molecules like H2 O.

The other features come from molecules that have frozen out onto refractory grains and are now in ice mantles. yield successful matches to observed spectra. if any. lies in its relative simplicity. scattering and infrared resonances and. They are all capable of explaining the basic data on extinction. without modifying them at certain wavelengths to improve ﬁts. to account for the interstellar polarization.4 An overall dust model We are now in a position to present a tentative but complete model of interstellar dust with respect to its interaction with light. Reproduced from [Whi96] with permission of EDP Sciences. see chapter 10. 12.6. which the molecule switches from one position to another.390 PAHs and spectral features of dust Figure 12. Our model certainly does not produce superior ﬁts. A dozen of rival dust models can be found in the literature. The resonances at 10 and 18 µm are due to refractory silicate cores. by rotating. The grains have the simplest possible structure and shape: they are uncoated spheres. polarization. if employed in radiative transfer calculations.) Altogether. (Therefore. we have to turn some of the spheres into inﬁnite cylinders. The center frequency is also inﬂuenced by the composition of the matrix into which the molecule is embedded. only 12 types of . which is energetically different. its advantage. It will be applied in chapter 16 to compute the spectral energy distribution of dusty astronomical objects. The infrared spectrum towards the infrared object IRS9 in the star-forming region NGC 7538. It uses published sets of optical constants.

K λ refers to 1 g of interstellar matter. of a mixture of two kinds of PAHs. This further enhances the agreement with observational data but does not necessarily bring new insight. None of the models is certain because hard checks on their validity are missing. All models can be reﬁned by varying the shape. each PAH = 3%. λcut . the approximate grain sizes and the minimum number of dust components: one needs PAH–ike particles.7. Steps in this direction have been undertaken with respect to the smallest particles (PAHs and vsg) by computing grain properties. All major dust models agree. on the solid state abundances. K λ . fraction of built in refractory organic compounds). size and optical constants of the grains. Differences between models show up mostly in the details of the chemical composition (mixing of components. A more promising attempt is to increase the internal consistency of the models. Below 3 µm. very small grains with temperature ﬂuctuations and big grains consisting mainly of silicate and carbon.1. Such concensus on important issues does. degree of ﬂufﬁness. Interstellar grains are not within our reach and we cannot verify our assumptions in the laboratory. in the wavelength range where the infrared resonances are with an abundance YC observed. K λ slumps but increases again when the wavelength falls below the cutoff for electronic excitation. including PAHs. such as enthalpy and vibrational modes.An overall dust model 391 Figure 12. . dust particles are needed. The PAH parameters are described in the text and in table 12. not insure against common error. under the assumption of a likely grid structure for the atoms ([Dra01] and [Li01]). however. in principle. The mass absorption coefﬁcient. coating. where one particle type differs from another either by its size or chemical composition.

Their chemical structure has been discussed in section 7. They are spheres and their radii ˚ range from ∼200 to 2400 A with an a −3.5 g cm−3 . both with bulk density ∼2. Very small grains (vsg). A few percent of the solid matter.1 The three dust components Our dust model for the diffuse interstellar medium consists of three components with the following properties: • Big grains. Also shown are the extinction ˚ (full curve) and absorption (dotted curve) coefﬁcients for big silicates (Si. also called MRN grains (section 7. The ˚ ˚ ˚ bumps at 2200 and 700 A are due to very small graphite particles (a− = 10 A.8.5 size distribution (section 7. a+ = 40 A). we adopt 5–10%. Most of the solid matter in the interstellar medium resides in big grains. a− = 300 A. It refers to 1 g of interstellar matter adopting a dust-to-gas ratio Rd = 140. broken curve) as a function of wavelength for the dust model of the diffuse medium. Big grains attain a constant temperature in any radiation ﬁeld.5).5).4.5 × 10−4) and silicate particles ([Si]/[H] = 3 × 10−5). The total extinction coefﬁcient (MRN+vsg+PAH. They consist of amorphous carbon (abundance in solid [C]/[H] = 2. a− = 150 A. 12. ˚ and big amorphous carbon grains (aC. a+ = 1200 A).392 PAHs and spectral features of dust Figure 12. One ˚ ˚ a+ = 2400 A) can read the amount of scattering as the difference between extinction and absorption. ˚ form a population of very small grains (vsg) with radii less than 100 A.19. Absorption and scattering cross sections are calculated from Mie theory employing optical constants from ﬁgure 7. They • .4.

11) . for them. (12. we add PAHs to the dust mixture. a size spectrum n(a) ∝ a −4 .8/ NC .An overall dust model 393 Figure 12. which is somewhat steeper than for MRN grains (but this is an arguable minor point). and big ones with NC = 400. we put. makes it easier to elucidate the inﬂuence of the PAH size on the spectrum. for NC > 30. and not amorphous. For the hydrogenation parameter. which is the ratio of hydrogen-to-carbon atoms. The temperature of the PAHs also ﬂuctuates violently and has to be calculated according to the recipes of section 8. We adopt. so optical constants of graphite are appropriate.5 and 8. • may be regarded as the small-size extension of the big particles. The interstellar extinction curve: observations (dots) and model (curves). sizes and UV properties of vsg and PAHs but it would then lose some of its simplicity. f H/C = 2.5. In estimating PAH properties. The extinction coefﬁcient of our dust model is displayed in ﬁgure 12. we consider only two: small ones with NC = 40 carbon atoms. and assume that the carbon component is graphitic.8. Optical cross sections are still calculated from Mie theory. The ﬁt could be substantially improved by modifying the abundance. Although there must be a plethora of different species. Such a restriction. we widely follow [Sch93]. as demonstrated extensively in sections 8.6. fH/C . Finally. PAHs.9. besides speeding up the computations. although the concept of a continuous solid medium may no longer be fully valid. The main reason why one has to include vsg is their timevariable temperature.

Mass extinction coefﬁcient per gram of interstellar matter (IM) as a function of wavelength for composite grains which are ﬂuffy aggregates of silicate. The line labeled MRN shows the diffuse medium for reference.8.14) for NC = 400 (40). so C PAH does not depend on frequency and is proportional to the number of carbon atoms. ice and vacuum. carbon.394 PAHs and spectral features of dust Figure 12. there the dust consists of pure (unmixed) silicate and amorphous carbon grains with a− = 0. where the H atoms are found. Ionized PAHs can be excited by less energetic photons and have greater infrared absorption coefﬁcients than neutral ones [Li01]. f H/C is thus proportional to the number of carbon atoms at the periphery of the PAH. PAH Each of the two PAH types has an abundance YC of 3–6% relative to PAH gives the mass fraction of all solid carbon that is in the big grains. irrespective of their geometrical arrangement. YC a certain kind of PAHs. we disregard differences between neutral ond ionized PAH species. The cross sections in the resonances are . The formula gives f H/C = 0. there is probably a large scatter in the hydrogenation parameter due to variations in the radiation ﬁeld. The lower limit a− of the size distribution is in all curves 0.10. In reality. although this is a severe simpliﬁcation. The MRN curve is more or less identical to the broken curve of ﬁgure 12.03 µm. which is usually in the UV (see (12. For the absorption cross section of a single PAH.4)). except in the far UV due to slight differences in the vsg abundance. At wavelengths shorter than λcut . C PAH .44 (0. the upper limit a+ is indicated.02 µm and a+ ∼ 0. we put C PAH = NC × 10−17 cm2 .3 µm. over the total number NC .

Si plus aC. . four for the big Si grains and two for the very small grains.An overall dust model 395 taken from table 12. possibly even triples (see discussion on icy and ﬂuffy grains in section 2.7. Several ice resonances are visible.10. the vsg are irrelevant. 12. the upper limit a+ is varied.3 Extinction coefﬁcient in protostellar cores We extend our dust model to cold protostellar clouds. There grains are modiﬁed with respect to the diffuse interstellar medium by coagulation and by ice mantles.4.8 and 12. The optical constants of silicate and amorphous carbon are from ﬁgure 7. In the far infrared.5. Average optical constants are calculated from the Bruggeman mixing rule (section 2.19. amorphous carbon (aC).2) and Cλ should fall off like λ−m with m between one and two. one expects a continuum (see the smooth frequency distribution in the modes of even a small PAH in ﬁgure 12.1. the one at 3. In all grains. f vac = 0.4. The deﬁcit in the far UV is irrelevant for all models of infrared sources where the observer does not receive far UV radiation. frosting and grain growth) on the particle cross sections is investigated in section 2.5 ˚ with lower limit a− = 0. whereas the ice volume is 2. The effect of all three processes (ﬂufﬁness. The vacuum fraction is always constant. Nevertheless. The curve marked a+ = 0.5. PAHs) imply a total dust-to-gas mass ratio in the diffuse medium of Rd = 1 : 140. their size increases and the dust mass doubles (Rd = 1 : 70). for instance. Consequently. for ice from the tables of [Ber69] and [Leg83].9 further quantify our dust model.6). Assuming that helium accounts for 28% of the gas mass. vsg. ice and vacuum. this continuum is usually swamped by the emission from big grains and not observable. All grains are ﬂuffy and composed of four components: silicate (Si).5 times bigger than the volume of Si plus aC. We use only four particles sizes for the big aC grains. Silicate has twice the volume of carbon. The absorption coefﬁcient of PAHs per gram of interstellar matter is displayed in ﬁgure 12. the lines with a+ = 30 µm or 3 mm might be appropriate. The particles are spheres and have a size distribution n(a) ∝ a −3. However.3 µm is an educated guess for dust in protostellar clouds before it is warmed up by the star and the ices evaporate. Without UV radiation.2 Extinction coefﬁcient in the diffuse medium Figures 12.03 µm = 300 A. as in stellar disks. 12. the reproduction of the interstellar extinction curve is not bad. The PAHs have disappeared and are dirty spots in the ice mantles.6.6. When the grains are very big.4 and 2.1 µm.6). the ice mass is equal to the mass of the refractory components. these cited abundances for all three dust components (big grains. f Si / f aC = 2. In ﬁgure 12. at λ > 25 µm. we compute the mass extinction coefﬁcient of dust that consists of such icy and porous grains.

e) cos θ dσ d dν. the power d W = Iν (x. when one observes a star-forming region. under minor assumptions. we also discuss the radiative transport in molecular lines because line observations are always complementary to dust observations when investigating stars in their making. To extract from the observational data the full information on the physical conditions in the star-forming region.1 Basic transfer relations 13. one has to understand how the photons propagate within the source.1 Radiative intensity and ﬂux The intensity Iν (x. e) is the fundamental parameter describing the radiation ﬁeld. (13. be handled in one dimension. . We append solution strategies of radiative transfer for two other astronomically relevant geometries: dusty accretion disks and a dust-ﬁlled star clusters. e) has the dimension erg s−1 cm−2 Hz−1 ster−1 and is a function of 396 .1. estimates on temperature. . We summarize the elements of radiative transfer. It is deﬁned in the following way (see ﬁgure 13. within the frequency interval ν . ν + dν. We present a set of equations for spherical dust clouds that treats radiative cooling and heating in an energetically consistent way and outline how to solve it numerically. for a homogeneous medium. from the solid angle d in the direction e. discuss the general transfer equation and sketch how to derive. density and masses. It receives. For example. Finally. which is inclined by an angle θ against n. both of which can. absorbed and re-emitted before they are collected in the telescope.1): Consider a surface element dσ at location x with normal unit vector n.1) Iν (x.Chapter 13 Radiative transport This chapter deals with the transfer of radiation in a dusty medium. 13. most photons created within it do not reach us on a straight path but are scattered.

Basic transfer relations 397 dΩ n e θ dσ Figure 13. φ) d (13.2) where d = sin θ dθ dφ is the element of solid angle. Jν = 1 4π Iν d = 1 4π π 2π dθ 0 0 4π dφ Iν (θ.3) Note that Iν is independent of the distance D of the source because the solid angle obs are both proportional to D −2 . φ) be the intensity distribution over the source. φ) can be taken out of the integral and then obs Fν = Iν S. Imagine an extended astronomical source in the sky of solid angle S . we receive less light but the intensity in the direction of the Sun stays the same.1. (13. Iν (θ. The total ﬂux which we receive on the Earth is given by obs Fν = S Iν (θ. • • • place x. say. Let Iν (θ. (13. In practice. If we recede in a space ship S and the ﬂux Fν from the Sun. direction e and frequency ν. If the intensity is constant over the source. θ and φ.4) . • The mean intensity Jν is deﬁned as the average of Iν over the total solid angle 4π. The direction e towards it can be expressed by two angles. Deﬁning the radiative intensity Iν . φ) sin θ. the integration may be performed by mapping the source with a telescope of high spatial resolution.

τν . its value is given by the integral τν = so along the line of sight S2 S1 ext K ν ds. .2. We see from (13. (13.7) ext dτν = K ν ds. respectively.2 The transfer equation and its formal solution 13.1. dτν (13. Note that the coefﬁcient ν deﬁned in (8. and ν comprises emission and scattering. This is written in the following way: d Iν ext = −K ν Iν + ν . its intensity Iν changes. (13.9) ν ext Kν (13. An object of large optical depth (τ 1) is opaque and we can only look at its surface and do not receive photons from its interior. It is weakened by extinction and reinforced by emission and by light that is scattered from other directions into the direction e. the intensity Iν decreases ext ext by an an amount K ν Iν and increases by ν . Both K ν and ν refer to unit volume −1 and erg s−1 cm−3 Hz−1 ster−1 . (13.398 • Radiative transport The net ﬂux Fν through a unit surface follows from (13.1): Fν = π 2π dθ 0 0 dφ Iν (θ. φ) cos θ sin θ.5) 13.6) as d Iν = −Iν + Sν . The source function is thus the limiting value of the intensity for high optical thickness.1) stands for ‘true’ emission only and is thus different.6) ds ext K ν is the coefﬁcient for extinction. An object of low optical depth (τ 1) is transparent and radiation reaches us from any internal point.6) that per unit length. When we introduce the source function Sν = we can rewrite (13.8) This equation tells us that the intensity increases with optical depth as long as it is smaller than the source function (Iν < Sν ) and decreases when it is stronger. When light travels from point S1 to point S2 .1.1 The source function When a light ray propagates in the direction e along an axis s. It depends on frequency. and their dimensions are cm A fundamental quantity in light propagation is the optical depth or optical thickness.

the source function becomes Sν = abs sca K ν Bν (T ) + K ν Jν ext Kν (13. which is the standard scenario. In this most general case.15) Iν (τ ) = Iν (0)e−τ + Sν (τ ) · [1 − e−τ ]. If scattering is isotropic and the grains are at temperature T .6) for three scenarios: • Pure extinction without emission ( ν = 0). in reality. Although it appears as if we had mastered the radiative transfer problem.14) is only a formal solution to the transfer equation (13.10) where Jν is the mean intensity of the radiation ﬁeld after (13. The hard part is to ﬁnd the source function Sν (τ ) in formula (13.2 Analytical solutions to the transfer equation We solve equation (13.9) by eτ and integrate by parts which leads to I (τ ) = I (0)e−τ + 0 τ S(τ )e−(τ −τ ) dτ . the observed intensity grows linearly with the path length s.14). we have not.Basic transfer relations 399 In a dusty medium. The obvious solutions to (13. ext Pure emission without extinction (K ν = 0).11) (13. it may be taken out from under the integral yielding (13.4). . This situation applies quite well to submillimeter radiation from an interstellar dust cloud. and increases because the grains radiate thermally and scatter light. 13. Equation (13.1. Emission plus absorption. If Sν (τ ) is constant. which is the sum of absorption and scattering. s 0 K ν (s ) ds (13. The observed intensity diminishes exponentially with optical depth. the intensity of a light ray decreases because of extinction.9) are: Iν (s) = Iν (0) exp − Iν (τ ) = Iν (0) · e−τν . (13.6) and (13.9). (13. now Iν (s) = Iν (0) + s 0 ν (s ) ds .2.14) The index for the frequency has been dropped for convenience of notation. An example is starlight weakened on the way to us by an intervening dust cloud. and for constant emission coefﬁcient ν .13) • Without a background source (Iν (0) = 0).12) • Iν (0) is the intensity of the background star if it were not attenuated. we multiply (13.

(13.3 The brightness temperature Observations at wavelengths greater than 100 µm fall in the domain of radioastronomy. emission occurs only in the infrared. the source function is then equal to the Planck function at that temperature. . therefore. For dust at temperature T . the intensity Iν (τ ) = Iν (0)e−τν + Bν (T ) · [1 − e−τν ]. Towards a uniform cloud of optical depth τν . In this case.16) are: Bν (T )τν + Iν (0) for τν 1 (13.15). it depends. grain scattering is practically absent. Bν (T ) They imply that without a background source and if the cloud is translucent (τ 1).16) If the background is a point source of ﬂux Fν (0). Sν = Bν (T ). according to (13. of course. The limiting solutions to (13. all information about the grains is wiped out and the object appears as a blackbody of temperature T .17) yields an estimate of the source temperature and its optical depth. the ﬂux Fν (τ ) = Fν (0)e−τν + Bν (T ) · [1 − e−τν ] .1.1.17) When the background is absent or its spectrum known and multi-frequency observations are available. the intensity Iν carries information about the amount of dust but also about the spectral behavior of the grains via the frequency dependence of the optical depth. equation (13. There it is common to replace the intensity Iν by the brightness temperature Tb which is deﬁned through Iν = Bν (Tb ). Although Tb is not a direct physical quantity. the only exception is a blackbody for which Tb is independent of ν. one. out of a solid angle . Because Tb expresses an intensity. and thus its mass. (13.18) Iν (τ ) = for τν 1. its use offers practical advantages: • One now has for the intensity handy numbers in a simple unit (Kelvin). 13. one receives. However. on wavelength. the intensity is directly proportional to the optical depth: doubling the column density. if the source is opaque (τ 1). observes. doubles the strength of the received signal.400 Radiative transport 13.3 A dust cloud of uniform temperature In a dust cloud.2. (13. At these wavelengths.19) Bν (T ) is the Planck function. instead of weird numbers in awkward units.

which is parallel to the normal of the antenna surface. The normalized function Pn (ϑ. therefore. some radiation is spilled into the side lobes. where the integral extends only over the main beam.66)). φ). is the main-beam-brightness temperature Tmb . In a one-dimensional analog. To understand it.1. P(ϑ. however. we replace the detector at the focus by an emitting device. in the Rayleigh–Jeans approximation. For the moment. in the case of line radiation. but not always.21) with d = sin ϑ dϑ dφ (see (2. φ) Pmax is called the antenna pattern and determines the telescope beam. the spatial distribution of the electromagnetic . It consists of a parabolic antenna with a detector at its focus. the brightness temperature Tb is directly proportional to the observed intensity. The antenna pattern is the result of diffraction phenomena.5. φ) denote the ﬂux emitted by the antenna in the direction of the sky coordinates (ϑ. Likewise one deﬁnes the solid angle of the main beam. Tb generally. φ0 ) = (0. φ0 ). in directions close to the normal of the antenna surface.Basic transfer relations • • 401 When the source is optically thick. T is the grain temperature Td . At low frequencies (hν/kTb 1). as in a radar antenna. we have to brieﬂy discuss the standard measuring apparatus in radioastronomy. 0).5. indicates its physical (thermodynamic equilibrium) temperature. Note that. one may.4 The main-beam-brightness temperature of a telescope The quantity in which radioastronomers express the strength of a signal.20) In the case of dust. In the direction (ϑ0 . When we put in equation (13. Let P(ϑ. especially in the case of line radiation.15) Sν (τ ) = Bν (T ). Tb = Iν c2 /2kν 2 . φ) = P(ϑ. according to the reciprocity theorem of section 3. Fortunately. T is the excitation temperature Tex (see (13. mb . the brightness temperature of a source of optical thickness τ becomes Tb (τ ) = T0 e−τ + T (τ ) · [1 − e−τ ].2)). most of the power is emitted into the main beam. always use sky coordinates such that (ϑ0 . φ) attains its maximum value Pmax . the situation can be compared to the diffraction pattern on a screen behind an illuminated slit: the intensity has a central maximum and the range around it down to the ﬁrst zero points on both sides corresponds to the main beam of a telescope. The total solid angle of the antenna is deﬁned by A = 4π Pn (ϑφ) d (13. of course. (13. and. Now we return to the common occupation of astronomers: they do not send messages into space but receive radiation from there. mb < A . 13.

It is often necessary to state explicitly which conversion is used. if it stands on the ground.402 Radiative transport ﬁeld does not change when one switches from emission to reception. by way of calibration. any ambitious calibration attempt. φ)P(ϑ. It is justiﬁed to say that the antenna temperature constitutes the hightech counterpart to stellar magnitudes (section 7. one should be aware that the absolute calibration accuracy at 1 mm wavelength is. If. φ) d mb P(ϑ. To account for it. at best. as they should be when names are so similar. The main-beam-brightness temperature Tmb is also called the antenna temperature. It is converted into the main beam brightness temperature. The observed brightness Bobs is then the following mean over the main beam: Bobs = mb B(ϑ. Tmb = S mb Tb and then the antenna temperature increases when one uses a smaller beam. 13. In practice. Nevertheless. Tmb . The observational data consist either of maps or of single point measurements towards different positions on the source obtained with different spatial resolution. Bobs = Tmb 2kν 2 /c2 . therefore. φ) has been eliminated. equally fathomless in its subtleties. by setting it equal to the Planck function. The main-beam-brightness temperature Tmb and the brightness temperature Tb are related. denoted TA .3). although the received physical power does not change with mb . however the beam is much larger than the source ( A S ). Bobs = Bν (Tmb ) or to its Rayleigh–Jeans approximation.2 Spherical clouds The dust emission of a cloud is observed at various wavelengths with the goal of deriving its internal structure. φ) d . When a source of constant brightness temperature Tb subtends a solid angle S much bigger than the solid angle A of the antenna. Let B(ϑ. requires the introduction of an efﬁciency ηkitch . at best. on top of a dozen other ηs. even from the kitchen of the observatory. The major reason why TA evades a precise determination lies in the fact that the telescope picks up a little bit of radiation from everywhere. either because the telescope is ﬂying on a satellite or. one measures Tmb = Tb . When the cloud is heated from inside by a star. 5% and in the submillimeter range. φ) be the intensity distribution on the sky and let us assume that the inﬂuence of the atmosphere of the Earth on B(ϑ. . astronomers do not worry about this and pretend to have all ηs under control. 10%. although historically the deﬁnition of TA was somewhat different.

It may then be better to write a code oneself. scattering and extinction are denoted by the slightly different symbol K ν . inﬁnite cylinders and spheres. the problem is one-dimensional.5). one may encounter difﬁculties using a public code because it usually has to be modiﬁed to meet the demands of a speciﬁc astronomical problem. even at the expense of less professionality. the dust density ρ(r ). Iν = Jν and the net ﬂux is zero. the mean radiative intensity Jν (r ) and the ﬂux Fν (r ) are only functions of distance r to the cloud center.22) (13. equals 1 and the quantity (4π/c)Kν gives 3 the radiation pressure. the frequency-dependent intensity I . A more reﬁned model is needed. In practice.23) Fν = 2π (4π/c)Jν is the radiative energy density. The second moment reads1 Kν = 1 2 1 −1 Iν (µ)µ2 dµ.2. Easy-to-model geometrical source conﬁgurations are inﬁnite slabs. However. from (13. We now present the equations and sketch the numerical strategy for such an endeavour in spherical symmetry. (13. The structure of the medium then depends only on one spatial coordinate.24) In the case of an isotropic radiation ﬁeld. θ ). we obtain. for the mean intensity and the ﬂux: Jν = 1 2 1 −1 1 −1 Iν (µ) dµ Iν (µ)µ dµ.1 Moment equations for spheres In a spherical cloud. the basic quantity. Jν and Fν are the zeroth and ﬁrst moment of the intensity. so altogether I = Iν (r. Putting µ = cos θ . also depends on direction θ .17)) are no longer acceptable. where θ is the inclination angle to the radial vector. however. the dust temperature T (r ). Then the ratio Kν fν = Jν which is called the Eddingon factor. 13. Fν = 0.Spherical clouds 403 it is obviously inhomogeneous and estimates of the dust column density and temperature based on the assumption of a uniform cloud (see (13. It is a simple exercise to show that for spherical symmetry 1 Note that volume coefﬁcients for absorption. The radiative transfer may be solved in many ways and fast and efﬁcient public computer codes exist. (13. .4) and (13.

25) by µ0 = 1 and integrating over all directions gives 1 d 2 ext (r Fν ) = −4π Jν K ν + 4π ν .25) because there is no dependence on the angle µ. 3 13.26) This equation looks much simpler than (13. where the mean intensity Jν is close to the Planck function Bν (T ). The introduction of the next higher moment (multiplication of (13. For high optical depth. The Rosseland mean gives the greatest weight to the lowest values of K ν . For instance. although not evident at ﬁrst glance. one needs physical guidance. as in a room darkened by thick curtains: it is not their thickness but the open slits between them that determine how much light enters from outside. one uses the Rosseland mean K R (T ) deﬁned through 1 ∂ Bν (T ) 1 K ν ∂T dν = . r 2 dr (13.27) but the problem of having one more unknown than equations remains because now Kν comes into play. equivalent to KR Fν dν = K ν Fν dν. either. the radiation ﬁeld is isotropic and f ν = 1 .25) with µ1 and integrating over 4π yielding ext 3Kν − Jν Fν K ν dKν + =− dr r 4π (13.2 Frequency averages One can radically simplify the numerical problem by taking frequency averages. As Bν (T ) dν = the denominator in (13. If Fν is the energy ﬂux at frequency ν per unit area and time. we cannot solve it for Jν (r ) because it contains the new variable Fν (r ).28) must be.404 Radiative transport equation (13.80).2. (13.25) Multiplying (13. to be able to use formulae that do not depend explicitly on the direction angle µ. (13. However. σ T 4 /π. Mean values for the extinction coefﬁcent K ν in the case of low and high optical depth are found in the following way: • In an optically thick conﬁguration.6) becomes µ ∂ Iν 1 − µ2 ∂ I ν ext + = −K ν Iν + ∂r r ∂µ ν. One could try to ﬁnd an additional equation by multiplying (13. . the radiation ﬁeld is streaming radially outwards and Jν = K ν = Fν /4π.28) ∂ Bν (T ) K R (T ) dν ∂T where σ is the radiation constant of (5. Instead. the deﬁnition of K R in equation (13. and indeed is.25) by µ2 ) will not remedy the situation.28) equals 4σ T 3 /π. for low optical depth.

from formula 3 (13. For m = 2.6). the equation for the radiative energy transport in the stellar interior may be approximated by using the average opacity K R and assuming Jν = Bν (T ) and f ν = 1 . it may be better under such conditions to use the enhanced estimate K P ∼ 10−3 T 2 cm2 per gram of IM. A dust-to-gas ratio Rd = 0. Then the total ﬂux F = Fν dν is. Light is propagating at constant impact parameter p parallel to the z-axis either to − + the left (Iν ) or to the right (Iν ). In a tenuous cloud. As grains in early-stage protostellar condensations are probably ﬂuffy and possess ice mantles (section 2. Bν (T ) dν (13.5 g cm−3 leads to K R ∼ 3 × 10−4 T 2 cm2 per gram of interstellar matter. with a from (5.2. one gets a quadratic increase with temperature. applied to a photon gas.08 × 1022 K 0 T 2 . When we put for the absorption efﬁciency Q ν = 10−23 aν 2 after (8. (13.29) • We point out that because Pr = aT 4 /3. 3K R (T ) dr (13. the Planck mean K P .29) corresponds to Fick’s ﬁrst law of diffusion. are connected to the radius by r 2 = p2 + z 2 (13.14 × 1021 K 0 T 2 K R = 1. is the radiation pressure. the Planck mean K P may be used to assess the effective optical depth of clumps in a molecular cloud. which are used instead of r and µ. they all do.2).27). K 0 = 7.30) Using the approximation K ν = K 0 ν m . which is ﬁne for interstellar dust (section 8. one takes. determined by the temperature gradient in the star: F =− 16σ T 3 d T . as a frequency average. equation (13.33) . and let K R refer to 1 g of interstellar matter.10). 13. one may compute the coefﬁcients analytically. where a is the grain radius in cm. It is now not a question of which frequency penetrates deepest.31) The two values are astonishingly close.5 × 10−24 R/ρgr .01 and a matter density ρgr = 2.84). The coordinates p and z. Instead one has to take the average over the emitted energy. Our choice of coordinates is illustrated in ﬁgure 13.2. K P (T ) = K ν Bν (T ) dν .3 Differential equations for the intensity We give here a set of equations for the intensity that retains the full information on frequency and direction. K P = 8. (13.32) The Rosseland mean opacity may be acceptable in protostellar cocoons or accretion disks.Spherical clouds 405 For example.

2. dz (13. The equations must be complemented by two boundary conditions: • The ﬁrst states that at the cloud’s edge. z e ).e. where z = z e .35) have to be solved only in the right-hand quadrant of ﬁgure 13. K ν and K ν are the volume coefﬁcients for absorption.38) .37) Iν ( p. (13. −z e ) and leaves at ( p. + − Iν ( p.34) (13. the source function is given by abs sca ext (13. scattering and extinction referring to 1 cm3 of interstellar space.9)) + d Iν ext + = −K ν · [Iν − Sν ] dz − d Iν ext − = K ν · [Iν − Sν ]. K ν . (13. z ∗ ) − Iν ( p. Light rays at constant impact parameter p are directed either to the left (I − ) or to the right (I + ).35) If the dust particles scatter isotropically. Without it or when there is a star but the impact parameter p is larger than the stellar radius R∗ . for z > 0.34) and (13. z ∗ ) = F∗ν π with z ∗ = 2 R∗ − p 2 . z) With a star of stellar surface ﬂux F∗ν and when p ≤ R∗ (see (5.74)). The ray I + enters the cloud at ( p. the incoming intensity − Iν is equal to the intensity of the external radiation ﬁeld I0ν : − Iν ( p. z e ) = I0ν with z e = R 2 − p2 .406 Radiative transport p R I− I+ r ze z Figure 13. + − at z = 0.2. (13. and the intensities obey the differential equations (see (13. In view of the symmetry of the spherical cloud.36) • The formulation of the second boundary condition depends on whether there is a central star or not. The cloud is immersed into a radiation ﬁeld of isotropic intensity I0 . i. z) = Iν ( p. one has. for reasons of symmetry. (13.10). The coordinate system for the intensity in a spherical cloud of outer radius R.

z) + Iν ( p.39) and (13.Spherical clouds 13.10) the source function Sν (r ). z) 1 + − 2 Iν ( p. + + − for all p.39). one may put T (r ) = constant if there is no central star and the outer radiation ﬁeld is not too hard and strong.2. the intensity Iν from (13. From Iν and Iν we form the quantities u ν ( p. and thus after (13. one still has to determine the dust temperature.8) or into Jν (r )K ν (r ) dν = Bν (T (r ))K ν (r ) dν which yields new temperatures when solved for T .41) (13. z) = − 1 + 2 Iν ( p.40). r ) r 2 − p2 d p. it is. The new Jν (r ) is then inserted into equation (8. the optical depth τ increases from left to right. z) = vν ( p. In (13. the mean intensity of the radiation ﬁeld Jν (r ). u ν . z) − Iν ( p. For the temperature. the optical depth t equals zero at the cloud surface (t (z e ) = 0) and grows from right to left. advisable to use the corresponding integral equations (see (13. Updating the source function Sν (r ) (see (13.2. (13. so τ (z = 0) = 0 and τ (z > 0) > 0. Solving (13.39).35).40) I − (t) = e−t I0 + 0 t S(x)e x d x .4 Integral equations for the intensity 407 Instead of solving the differential equations (13.40).42) From the ﬁrst.5 Practical hints • As starting values for the ﬁrst cycle (i = 1). one gets an updated mean intensity Jν (r ) = 1 r r 0 pu ν ( p. In (13. We ﬁnd improved values of T (r ). The boundary conditions stay the same.39) (13. . an initial mean intensity Jν (r ) = 0 should be acceptable. z) .34) and (13. so t (z < z e ) > 0. One arrives at a full solution to the radiative transfer problem iteratively. for reasons of numerical stability.40) is not eneough. Using the inner boundary condition.8)) ﬁnishes iteration cycle i + 1. we determine for each impact parameter p the − intensity Iν from (13.14)) I + (τ ) = e−τ I + (0) + 0 τ S(x)e x d x (13. (13.43) It is not difﬁcult to see that this agrees with the deﬁnition of Jν from from (13. we then calculate. Jν (r ) and Sν (r ) in the following way: First.22). Suppose that after iteration cycle i we approximately know the grain temperature T (r ). 13.

23) and (13. νcut may be deﬁned by and computed from ∞ νcut Jν (r ) dν = α ∞ 0 Jν (r ) dν (α ∼ 0. T (r ) ∼ 20(L ∗ /r 2 )1/6 should work when r and L ∗ are expressed in cgs units (see (8.17)). for each radius r .408 Radiative transport With a star. Nevertheless. In Simpson’s rule (quadratic interpolation). the dust column density between neighboring grid points must be small near the star because UV radiation is absorbed very effectively. whose mean free path is. there therefore exists a cutoff frequency with the property that only photons with ν < νcut are energetically relevant. as one recedes from the star. For example. the condition L(r ) = L ∗ should be numerically fulﬁlled everywhere to an accuracy of ∼1%.2).44) This formula can be derived from (13. To select a sufﬁciently ﬁne radial grid which is also economical in terms of computing time. especially in the outer envelope. As a check on the accuracy of the calculations. as a rule of thumb. The integrated ﬂux through a shell of radius r is L(r ) = 4πr 2 Fν dν. whereas those with ν > νcut . it is proportional to h 4 and that is worse when the grid is coarse. the number of points and their spacings must be adapted during the iterations. The iterations converge when the changes of the temperature T (r ) become smaller with each new cycle. . Without an embedded source. heating comes from an outer isotropic radiation ﬁeld of intensity I0ν . The accuracy is then proportional to the square of the step size h. shorter. are unimportant. • If the cloud has a central star of luminosity L ∗ . the radiation ﬁeld softens and the mean free path of the photons increases. |L(r )| should now be small compared to 4π R 2 π I0ν dν • which is the total ﬂux from the external radiation ﬁeld through the cloud surface. in a cloud of 50 mag of visual extinction with a central hot star. the net ﬂux Fν (r ) = 4π r2 r 0 • • p vν ( p. however. the dust may be quite hot.42). At the cloud edge. The integrated ﬂux L(r ) is then zero because what enters at the cloud surface must also leave. r ) d p. there are only far infrared photons and the grid may be coarse. Numerically. (13. Use linear interpolation (trapezium rule) for evaluating integrals. one can compute. Generally speaking. At each radius r .

dust evaporates. Imagine a ﬂat and thin disk with density structure ρ(r. we consider. radius R∗ and temperature T∗ whose mid-point is at (r = 0. The exact radius revap is part of the solution of the radiative transfer.1 automatically ensures that the grid is ﬁne only where necessary. if at all. Let T j be the value of the grain temperature in iteration cycle j . . ν The sequence T j .3.8) in the form σ Q abs Jν dν = Q(T ) T 4 ν π where σ is the radiation constant of (5. there are N +1 impact parameters pi = ri with i = 1.8).3 Passive disks 13. Because to ﬁrst order the intensity over the stellar disk does not change. on the grain type. To determine the disk emission. the exact value of the evaporation radius has little inﬂuence on the spectrum. The ﬂag then controls whether the grain contributes in the next cycle to the extinction and emission or not. z). N and p0 = 0. . Very close to the star. . a small section at radius r from the star. in ﬁgure 13. only in the near infrared. 13. .1 Radiative transfer in a plane parallel layer All stars are surrounded during their early evolution by an accreting disk. r N = R. T j +2 . . For heavily obscured sources (AV > 20 mag). . one needs only two impact parameters ( p = 0 and p = R∗ ) for the star.1%) bigger than r1 . it depends. The dust temperature Td is computed from (8. . .Passive disks 409 • • • Choosing the radial step size in such a way that the optical depth at the cutoff frequency is of order 0. . quickly converges towards Td . The second radial grid point r2 should only be a tiny bit (0. of course.80) and Q(T ) is deﬁned by Q(T ) = Q abs Bν (T ) dν ν Bν (T ) dν one gets an improved estimate T j +1 for the new iteration cycle j + 1 from T j4+1 = T j4 Q abs Jν dν/Q(T j ). . r2 . z) given in cylindrical coordinates (r. For N radial grid points r1 = R∗ .3. Let it be illuminated by a central star of luminosity L ∗ . To account for dust evaporation. A disk is passive when it is only heated by the star and internal dissipational losses are negligible. . T j +1 . r3 . one may evaluate the grain temperature Td in the local radiation ﬁeld and add a ﬂag at all radii to each grain type indicating whether Td is above or below the evaporation threshold Tevap . . Writing (8. z = 0).

The basic transfer equation (13. The second boundary condition. Again one starts by solving the pair of equations (13. whole sky at an elevation αgr . The formalism of the radiative transfer developed for spheres can be carried over to the slab geometry. follows from symmetry requirements. the procedure is iterated until T (z) converges. which are now the intensities along straight lines under various angles θ with respect to the z-axis. at large distances.39) and (13.40) for I + and I − . The position of the observer is also shown. This ring encircles the αgr . A small portion of a thin disk. .3. Viewed from the disk surface (ﬁgure 13. a solid angle ∗ = 2 1 R∗ π 2. z light fr α gr 0 om sta r I + I − θ Figure 13. its width is ∗ /2π The ﬁrst boundary condition of the transfer equations states that at the top of the disk the incoming intensity I − is zero except towards the ring where it is equal to Bν (T∗ ).9) is solved under all inclination angles θ for incoming (I − ) and outgoing (I + ) radiation.53) for an inﬂated disk. which is evaluated in equation (13. the upper hemisphere of the star subtends. the stellar hemisphere is replaced by a luminous ring of the same intensity and solid angle.3). 2 r In order not to break the slab symmetry.410 Radiative transport . The situation is symmetric with respect to the mid-plane which is indicated by the dotted line at z = 0. The starlight falls on the disk under a small effective grazing angle αgr .49) for a ﬂat disk and in (13. I + = I − at z = 0. The star is far away to the left at a distance r and its light falls on the disk under some small grazing angle αgr . Then one calculates from these intensities a new vertical temperature run T (z).

(13. z and angles θ .45) Iν (z = 0. heights + at the top of the disk. 13. One thus also obtains Iν To obtain the total ﬂux that an observer receives when he views the disk under a certain angle θobs. Let f ν be the monochromatic stellar ﬂux that falls in z-direction on the disk (see (13.4). a typical value would be AV ∼ 5 mag.23)). all the ﬂux f∗ is absorbed in the top layer and then reemitted. the other half will leave the top layer into space. and possibly apply a correction for foreground extinction.47)). one has to solve the radiative transfer at all radii r and then sum up the contributions.3. Furthermore. θ ). One can immediately write down the intensity that enters the top layer from below under the direction µ = cos θ . for all directions θ . + (13. Half of it will penetrate into the mid layer.Passive disks 411 The radiative transfer at radial distance r0 yields the temperature structure + − T (r0 .16)).1 Disks of high optical thickness When the opacity in the vertical direction is large. therefore. 2π Bν (Tmid ) Deﬁning the last integral as Eν ≡ 1 0 1 0 1 − eτν (µ) µ dµ. The mid layer is assumed to be isothermal at temperature Tmid . The integrated incident ﬂux in the z-direction is then f∗ = f ν dν. Iν (r0 . so that the radiative transfer inside it is very simple (see (13. as happens in young stellar disks where AV is 104 mag or greater. (see (13. θ ) for all frequencies ν. one has to include the direct emission from the star. can leave.46) . z. The optical depth of the top layer in the z-direction is chosen to be sufﬁciently large for all starlight. one may encounter numerical difﬁculties.1. z. The monochromatic ﬂux received by the top layer from below is. z) and the intensities Iν (r0 . We then recommend the following strategy: Divide the disk in its vertical structure into a completely opaque mid layer sandwiched between two thin top layers (ﬁgure 13. including the scattered part. µ) = Bν (Tmid ) · 1 − eτν (µ) . Without scattering. 1 − eτν (µ) µ dµ the temperature Tmid can be numerically evaluated from the condition f ∗ = 4π Bν (Tmid )E ν dν. Here τν (µ) is the optical depth of the mid layer. which has infrared wavelengths. to become absorbed but small enough so that all re-emitted radiation.

The assumption of isothermality of the optically thick mid layer is valid because a temperature gradient would imply in the diffusion approximation of (13. the surface element is illuminated by the ﬂux f ν = Bν (T∗ ) θmax 0 sin2 θ dθ 0 π sin φ dφ = Bν (T∗ ) · θmax − 1 2 sin 2θmax (13. If the disk is ﬂat and thin or if it has a constant opening angle. Bν (T∗ ) denotes the uniform stellar intensity. .3. a surface element of unit area receives out of a solid angle d pointing towards the star the ﬂux Bν (T∗ ) d sin θ sin φ (ﬁgure 13.2 The grazing angle in a ﬂat disk We compute the monochromatic ﬂux f ν that falls in the z-direction on the disk and heats it.412 Radiative transport z α gr 0 UV lig ht from IR photon I+ star θ top layer AV = 5mag IR photon I− very opaque isothermal mid layer top layer AV = 5mag Figure 13. Note that the zero point of the z-axis is different here from that in ﬁgure 13. there can be none because there are no internal sources and the disk is symmetric about its mid plane.29) a net energy ﬂux.3. One calculates the radiative transfer for the top layer (z ≥ 0) using the boundary condition (13.5). By the whole upper half of the star. A small portion of a geometrically thin but optically very thick disk. About half of the re-emitted IR photons heat the mid layer which is assumed to be isothermal at temperature Tmid .45) for I + . However. The UV light from the star on the left is completely absorbed in the top layer.1.47) = Bν (T∗ ) arcsin(R∗ /r ) − (R∗ /r ) 1 − (R∗ /r )2 .4. 13.

S is drawn near φ = 90◦ and the dotted line near S is a circle with θ = constant. where ∗ is√ solid angle of the star.5. Seen from P.48) 1). 3π r (13. where θ is the angle between the lines P M and P S. the surface element S subtends the solid angle d = sin θ dθ dφ. we integrate (13. In the ﬁgure. Fν = ∞ R∗ 2πr f ν dr ∞ R∗ = 2π Bν (T∗ ) 2 R∗ R∗ 2 r arcsin − R∗ 1 − 2 dr = 1 π 2 R∗ Bν (T∗ ).47) over the entire plane outside the star. f ν = 2 x 3 Bν (T∗ ) and 3 αgr = 4 R∗ . To evaluate the . deﬁned by fν = ∗ · Bν (T∗ ) · αgr (13. 2 r r The integrals are solved using formulae (A. The factor sin θ sin φ takes into account the inclination of the disk towards the incoming light. therefore. At position P on the disk. At large distances (x ≡ R∗ /r the arcsin x − x 1 − x 2 2x 3 /3 and. We express f ν through an effective grazing angle.49) To obtain the total ﬂux Fν falling on an inﬁnite disk. a unit area is illuminated by an inﬁnitesimal surface element S of the star by the ﬂux Bν (T∗ ) d sin θ sin φ.18) and (A.Passive disks 413 R* S θmax θ r φ disk M P star Figure 13. αgr .19).

it will have a surface temperature 4 Tdisk(r ) = 4 T∗ arcsin(R∗ /r ) − (R∗ /r ) 1 − (R∗ /r )2 .50) For r R∗ . when the gas is in hydrostatic equilibrium in the z-direction. (13. Summing Fν up over all frequencies. so it is desirable to have a good estimate for H and its derivative d H /dr . If ρ(z) denotes the dust density distribution in vertical direction and K V the visual absorption coeffcient.52) The level z = H represents the photosphere of the dusty disk and it is the approximate place where stellar photons are absorbed. Tdisk(r ) = T∗ 2 3π 1/4 R∗ r 3/4 . If the disk is a blackbody. has the form αgr 4 4 T .3.4. the disk is said to be inﬂated or ﬂared. A ﬂared disk intercepts more stellar light than one with constant H /r . the dust disk is then not ﬂat nor is the ratio H /r constant. (13. π (13. 1= KV αgr ∞ H ρ(z) dz. expand around x = 0 and let x go to zero. one ﬁnds that each side of an inﬁnite disk intercepts exactly one-eighth of the stellar luminosity L ∗ = 2 4 4π R∗ σ T∗ . the radiative heating rate has a r −3/4 -dependence. The disk thickness is 2H . we set x = 1/r . we deﬁne the height H by the condition that the visual optical depth AV from there towards the star is one. the disk height H increases with the distance r from the star (subsection 15. To derive the grazing angle αgr for this general case.414 Radiative transport expressions at the upper bound r = ∞.53) The second term in (13. Assuming that the gas and dust are well mixed. whether it is inﬂated or not.54) Tdisk(r ) = ∗ π ∗ . Indeed.51) 13. (13.2 The grazing angle in an inﬂated disk In a Kepler disk.49) by an amount β − β = arctan H dH − arctan dr r d 4 R∗ +r 3π r dr dH H d − =r dr r dr H r H r so that now we have to use in (13. The surface temperature of a blackbody disk.3).48) αgr = .53) is usually greater than the ﬁrst. (13. the effective grazing angle αgr of the incident radiation increases over the expression (13.

whereas a grain at the same galactic distance but not ISRF very close to any star. absorbs only the mean interstellar radiation ﬁeld Jν (r ) and will thus be cooler. the effective grazing angle αgr of stellar light is enhanced with respect to the ﬂat disk by β − β . H r Figure 13. The small shaded sphere represents the star. the hard primary radiation. This circumstance must be taken into account in some approximate manner. It turns out that their total volume fraction is small. each with a star of monochromatic luminosity L ν at the center. like the center of the Milky Way. is converted into infrared photons by dust. Their presence signiﬁcantly changes the spectral appearance of a galactic nucleus. from the star or the black hole.2 for single stars. Its origin may be either rapid star formation or accretion onto a massive black hole.4 Galactic nuclei 13.6. so they are distributed over the galactic nucleus like raisins in a . For a surface element P on a ﬂared disk. Loosely speaking. When the luminosity of the black hole dominates. 13. one may. to ﬁrst order. However.4. which is the distance to the center of the stellar cluster but also locally with the separation to the nearest star. the temperature of a grain located in the immediate vicinity of a star is determined by the distance to and the properties of that star. In both cases. when the luminosity comes from a star cluster. Let us assume that the hot spots are spheres. approximate it by a spherical central source with a power-law emission spectrum and use the formalism outlined in section 13.Galactic nuclei 415 z P β β . The spherical symmetry is broken on a small scale because the surroundings of a star constitute a hot spot (abbreviated HS) in the interstellar medium. The bold line marks the top of the ﬂared disk atmosphere. the conﬁguration is intrinsically threedimensional because the dust temperature varies not only on a large scale with galactic radius r . Many galactic nuclei have large infrared luminosities as a result of internal activity. r and H are the radial distance and height above the mid-plane.1 Hot spots in a spherical stellar cluster Another class of objects whose infrared appearance one is eager to model and which possess a fair degree of spherical symmetry are galactic nuclei.

consider a nucleus of integrated luminosity L nuc containing N identical stars of luminosity L ∗ . independent of N. each containing identical objects.56) the volume emission coefﬁcient ∗ ν (r ) = n ∗ (r ) · L ∗ . There are rarely more than 106 in a galactic nucleus and their space density n OB (r ) . ν • The low luminosity stars are very numerous. R HS follows from ISRF Q ν Jν dν = 1 (4π R HS )2 Q ν L ν e−τν dν. Therefore. To see why. If τν is the optical depth from the star to the boundary of the hot spot. A large population of low-luminosity stars may be smeared out smoothly over the galactic nucleus and the structure of their hot spots need not be evaluated. to ﬁrst order. The corresponding values are denoted n OB (r ). altogether typically 109 . the intensity of the interstellar radiation ﬁeld in the galactic nucleus is. and on the grain type via the absorption efﬁciency Q ν . are very bright and not so numerous. whereas inside. one ﬁnds that R HS ∝ L ∗ ∝ N −1/2 . When we ﬁx L nuc = N L ∗ but increase N and thus lower L ∗ . and the contribution of their hot spots to the overall spectrum may be neglected.416 Radiative transport cake. Stars of the ﬁrst class have small or moderate luminosity. L OB and L OB . one only has to introduce in the numerator of the source function (13. respectively. The radius R HS of a hot spot is a function of galactic radius r . also on the monochromatic stellar luminosity L ν .2 Low and high luminosity stars It is useful to divide the stars in a galactic nucleus into two categories. The OB stars. the total volume N(R HS )3 of all hot spots decreases as N −1/2 . The radius R HS of a hot spot is determined by the condition that outside.55) This equation can readily be generalized to a mixture of dust grains. of course. one may put L ∗ ∝ Bν (T ∗ ). In view of the deﬁnition √ for R HS in (13. (13. Stars of the second class are of spectral type O and B. heating by the star dominates. however. a dust grain is mainly heated by the interstellar radiation ﬁeld (ISRF). ν They represent the population of old stars. To account for the radiation of these stars. They are young and luminous and were formed in a starburst. 13. ν • If the stellar atmospheres are blackbodies of temperature T ∗ . only the product ν ν ∗ ∗ ∗ ν (r ) = n (r ) · L ν . but it depends.55). Note that L ∗ need not be speciﬁed. a space density n ∗ (r ) and a monochromatic and bolometric luminosity L ∗ and L ∗ .4. the dust distribution within the hot spot. where ν L∗ = L ∗ dν.

the source function in a spherical galactic nucleus with isotropic dust scattering becomes (see (13. at the outer edge. The emission of their hot spots is not negligible and has to be evaluated explicitly.36) and (13. a good approximation as long as the volume fraction γ of the hot spots. .56) It is straightforward to generalize to a dust mixture with different temperatures Td and to include small grains with temperature ﬂuctuations. of course. γ (r ) shrinks when n OB (r ) becomes large. Before solving the radiative transfer on a large scale in the galactic nucleus.38) with the ﬂux from the surface of the OB star.55).37)).36). The cloud radius R HS is determined from (13. γ (r ) = 4π OB n (r ) · R HS (r ) 3 3 is small. equation (13. I As the galactic nucleus in this model consists of two phases.Galactic nuclei 417 is moderate. which ﬁxes the outer boundary condition (13. however. The ν frequency integral L HS dν is. To obtain L HS (r ).57) is not strictly correct. The inner boundary condition is now always + = I − and. One then solves with this source function the integral equations (see (13.57) for the spherical nucleus as a whole. It gives. The hot spot is illuminated at its edge by an interstellar radiation ﬁeld (ISRF). we calculate for each galactic radial grid point the ν radiative transfer of a spherical cloud centrally heated by an OB star.39) and (13. γ is of order 10−3. a dusty medium interspersed with hot spots. I − = 0 (see (13. one has to determine the luminosity L HS (r ) emerging from a hot spot. ext Kν (13. at the inner boundary. For typical space densities of OB stars in starburst nuclei. ν Altogether. typically one star per pc3 or less in the starburst region.10)) Sν = HS ν (r ) + ∗ ν (r ) + abs sca ISRF K ν Bν (Td ) + K ν Jν . The volume emission coefﬁcient due to the hot spots is HS ν (r ) = n OB (r ) · L HS . equal to the luminosity L OB = ν L OB dν of a single OB star but L OB and L HS are different because much ν ν ν of the hard stellar UV ﬂux is converted by dust into infrared radiation. This is done along lines of constant impact parameter for the intensities in positive and negative direction. They ISRF yield the mean intensity Jν (r ). I + and I − . we use (13.40)) I (τ ) = I (0)e−τ + 0 τ S(x)e−(τ −x) d x (13.

d Iν = −K ν Iν + ds ν is still valid but K ν refers now only to absorption. the levels themselves are broadened by collisional perturbations. H2 H π (13. How effectively they absorb away from the line center is described by the absorption proﬁle (ν) (see section 6. energies E j > E i .3. the other of emission.418 Radiative transport 13. Iν Bi j Ni (ν) d c dν upward transitions. The emission and absorption coefﬁcient can be expressed through the Einstein coefﬁcients A j i and B j i for spontaneous and induced emission.5. (ν) dν = 1 line (13. gi .1). This is a normalized function. The basic equation of radiative transfer (13. In other environments. The center frequency ν j i of the line is at hν j i = E j − E i . The frequency-dependent absorption coefﬁcient results from the difference between upward and downward induced transitions and can be written as hν (ν).1 Absorption coefﬁcient and absorption proﬁle In a gas of atoms or molecules.58) which for a Gaussian of half-width 2H has the form √ (ν − νi j )2 ln 2 (ν) = √ · exp − ln 2 .5 Line radiation 13.60) K ν = n i Bi j − n j B j i c . line radiation arises from transitions between discrete energy states. the energy levels are rather sharp and the line broadening is due to the Doppler shift arising from the motion of the molecules (relative to their local standard of rest). dν + dν] induces. and population numbers n j . Following the discussion in subsection 6. a beam of light of intensity Iν . The molecules absorb radiation not only at exactly the center frequency ν j i but over some interval. Consider the levels j and i with statistical weights g j .3. like stellar atmospheres.59) In our applications.6). per unit length. n i . (13. Scattering of the kind that an atom absorbs a photon from level i to j and then returns to the same i is treated as two independent processes: one of absorption. solid angle d and frequencies in the interval [ν.1.

The ratio of the level populations deﬁnes an excitation temperature Tx .Line radiation 419 The term −n j B j i gives the correction for stimulated downward transitions and (without proof) is linked to the same . Bν (Tx ) = Sν . The integrated line absorption coefﬁcient is hν K = K ν dν = n i Bi j − n j B j i (13. When for a particular transition Tx = T .62) may be expressed as (ν) hν 4π (13.64) and the proﬁle function has canceled out.61) c and the optical depth element dτν = K ν ds = K (ν) ds. Usually one may put (ν) = (ν). equal to the kinetic temperature of the gas T . nj g j (E j −Ei )/ kTx = e .65) When we insert Tx into the Planck function. Note that spontaneous emission is isotropic.5. in view of (13. The source function Sν becomes. we see from equation (13. whereas the induced photons ﬂy in the same direction as the photons in the incident beam. the emission coefﬁcient ν ν (13. Only in thermodynamic equilibrium does one have one value of Tx .65) is equivalent to the Boltzmann equation (5.63).2 The excitation temperature of a line When the radiative transfer equation is written as d Iν = −Iν + Sν dτν it describes the variation of the intensity Iν with optical depth τν .66) Different transitions of the same molecule have usually different excitation temperatures. Sν = ν Kν = 2hν 3 c2 g j ni −1 gi n j −1 (13.64) that the source function is just the Planck function at temperature Tx . (13. Likewise.60) and (13.9). . and then (13. 13. ni gi (13.63) = n j A ji with the proﬁle function (ν).

68) the excitation temperature Tx by the kinetic temperature T .69) ni Thus.9) can be written as d Bν (Tb ) = −Bν (Tb ) + Bν (Tx ).3 Radiative transfer in lines For line radiation.19) from the intensity. ﬁrst.73) (13. Generally. one cannot assume LTE conditions but has to determine the abundance n j of each level j from the balance between processes that populate and depopulate it. all subject to certain selection rules. dτν The Rayleigh–Jeans approximation. i ni bi ≡ ∗ . radiative transitions due to spontaneous and induced emission and to induced absorption (section 6. the absorption coefﬁcient K in (13. (13. if we replace in equation (13. One uses the so called bi -factors to indicate the deviation of the population of a level i from its LTE value denoted n ∗ .5. (13.67) gi 8πν 2 the integrated absorption coefﬁcient of (13.72) The term T0 e−τ representing a background source of strength T0 has been added to stress the analogy to (13.61) becomes K = n i K 0 1 − e−hν/ kTx . Employing the excitation temperature and setting g j c2 K0 = A ji (13. (13. b j −hν/ kT e = e−hν/ kTx . (13.420 Radiative transport the corresponding levels are said to be thermalized.70) bi Because the brightness temperature Tb is deﬁned by (13. second.20). (13.74) (13.71) Iν = Bν (Tb ) the transfer equation (13.3). d Tb = −Tb + Tx dτ then has.68) The brackets contain the correction for stimulated emission. . in a uniform cloud. These are. the solution Tb = Tx (1 − e−τ ) + T0 e−τ . 13. there are collisional transitions.61) depends on the statistical level population n j .

the right-hand side depopulates level j . radiative transitions are negligible and collisions dominate. For j = 0. The number of such transitions per s and cm3 is given by n j C j k . the main collisional partners being helium atoms and ortho. The set of equations for the equilibrium population n j then reads N n k Akj + Bkj u kj + n i Bi j u i j + n(H2 ) m=0 n m Cm j N = n j A j i + B j i u j i + B j k u j k + n(H2 ) m=0 C jm (13. .5. .76) 13. 2. Let there be N + 1 levels altogether and let us put i = j −1 k = j +1 C j j = 0. The left-hand side populates.1). .38).Line radiation 13. The collision rate C j k from j → k is a function of temperature only. Radiative transitions coupling to rotational level j are then restricted by the selection rules to levels j ± 1. N − 1. The radiative energy densities u i j in the lines are taken with respect to transitions between levels i and j and are deﬁned in (6. can go from j to any k = j and back. Because gi C j i = Ci j e−(Ei −E j )/ kT gj we are led to Ci j n i − n j i gi (E j −Ei )/ kT = 0.75): • When the density is high.1 Level population of carbon monoxide 421 Let us consider the excitation of rotational levels in a simple diatomic molecule.5.and para-hydrogen. however.3.3.75) for j = 0. CS or CO (see section 14. terms connecting to i = j − 1 disappear because level i = −1 does not exist. j =0 (13. . Collisions. The inverse rate Ckj follows from g j C j k = gk Ckj e−(Ek −E j )/kT . for example. 1.2. The total number of CO molecules is ﬁxed by the additional condition N n j = n(CO).2 LTE population We point out limiting cases of (13. e gj .

the local line proﬁle (ν) appears in the expression for the absorption and emission coefﬁcient. therefore. 13.40).13)). purely thermal and optically thin molecular lines from a cold interstellar cloud of 10 K would have a width of typically 0.422 Radiative transport These equations are fulﬁlled if the brackets vanish which is true when all levels are in LTE. T ).63). we now have to follow the intensity not only in the right quadrant of ﬁgure 13. in spherical symmetry. This changes the boundary conditions in an obvious fashion. from z = 0 to z = z e as for dust but from −z e to z e because the line-of-sight velocity has. The observed proﬁles are.39) and (13. T ) B j i = 0 • which also implies thermalization of the levels at temperature T . usually of Gaussian shape which indicates that the motions have a random.5. However.2. opposite signs in the near and far quadrant.40) for all lines and afterwards the abundance equations (13. The function (ν) is rarely of purely thermal origin.76) for the abundances n j contain the radiative energy densities u i j .59).1 km s−1 (see (5.3 The microturbulent approximation The equations (13. without knowledge of the .3. non-thermal motions.76). When collisions are negligible. For example. u i j . According to (13. however.60) and (13. In the case of a blackbody radiation ﬁeld. For the radiative transfer we again use the integral form (13. therefore. one.4 The Sobolev approximation When the velocity ﬁeld v in a cloud has a large gradient.39) and (13. K ν and ν . One solves the radiative transfer equations (13.75) and (13. In the microturbulent approximation it is assumed that the velocity distribution of the non-thermal motions follows a Gauss curve and that the mean free photon path is much bigger than the scale length of turbulence. puts H2 = 2kT 2 + ξturb ln 2 m where m is the molecular mass and ξturb the most likely turbulent velocity. nj gj 8πh ν j i + n j − ni gi c3 B(ν j i .5. turbulent character. u ν = B(ν. Broadening is. the radiative energy densities in the lines. and repeats this sequence until convergence is reached. 13.3. observed lines are usually a few times wider.75) and (13. In the line proﬁle (13. be solved together with the radiative transfer. may be computed locally. dominated by other. therefore. They must. their precise origin being unclear. nevertheless.

8).64). radius r and direction µ. To ﬁnd the effective β. J = (1 − β)S. there are. the mean βe is given by an average over e−τ . photons cannot escape and J equals the source function of (13. τ If τ is large. consider a point x in a cloud. The standard example is the outward ﬂow in a stellar wind. (13. For a spherical cloud of radius r . Because the velocity gradient is large. The velocity gradient along the s-axis is given in spherical symmetry by dv dv v = µ2 + (1 − µ2 ) . As there is also emission along the line for s > 0. however.75). Let βe be the corresponding escape probability given by βe = e−τ . βe = 1/τ . ds dr r . with s = 0 at point x. For a radial inﬂow. two interacting points along the line of sight (ﬁgure 16.77) β= 2 −1 τ To evaluate this integral. which is all reasonable. one must further average βe over all directions e.61) and ν0 the frequency at the line center. Atoms do then not interact with one another radiatively over large distances because their emission is Doppler-shifted by comfortably more than the linewidth. If K is the integrated line absorption coefﬁcient of (13. If β = 1. Ryb70]. we get 1 1 1 − e−τ dµ. where θ is the inclination angle to the radial vector and µ = cos θ . the optical depth becomes τν = K ∞ 0 ν − ν0 + ν0 s dv c ds ds = K c ds ν0 dv ∞ ν−ν0 (x) d x = K c ds ν0 dv and we see that it is independent of the frequency ν. photons leave unimpeded and there are no induced transitions in (13. Let τ be the optical depth from x towards the edge of the cloud along some axis s. βe = 1. If β = 0. If τ is small. The mean intensity J (or the radiative energy density u i j ) in the case of large velocity gradients is derived from a photon escape probability β by assuming that J is proportional to the source function S. all relevant contributions to the optical depth τ come from the immediate vicinity of point x.Line radiation 423 radiation ﬁeld in other parts of the cloud [Sob60. The escape probability βe depends on the optical depth τ but not on the radiation ﬁeld. one has to determine τ as a function of frequency ν. βe = e−τ = 1 τ τ 0 e−x d x = 1 − e−τ . Here e denotes the unit vector in the direction of the s-axis. This signiﬁcantly simpliﬁes the procedure. To determine β.

and may. where |dv/ds| is about equal to the local linewidth.424 Radiative transport This expression must be positive.60)): Iν = Sν 1 − e−K ν . The intensity which one detects along a line sight at a certain frequency ν is only due to the emission from a small region of size . Integration over all lines of sight and all frequencies yields the line proﬁle which one would observe towards such a cloud. . therefore. one takes |dv/ds| which corresponds to ﬂipping the direction vector of the s-axis.15) and (13. be found from (see (13. If it is not.

talk about the interstellar medium in general and about star formation in particular because it is there that the study of interstellar dust ﬁnds its most important application. one classiﬁes the interstellar medium according to the state of hydrogen. Usually.Chapter 14 Diffuse matter in the Milky Way 14. gas mass or supernova rate change only gradually. one-third is absorbed by dust grains and transferred to infrared radiation (²10 µm).1. The ﬂat disk is enveloped by a halo of some 200 globular clusters. density. like luminosity. the nuclear bulge.1 Global parameters The Milky Way is a rotating stellar system of some 1011 stars that has been created about 15 × 109 yr ago. the most abundant element: 425 .1 Overview of the Milky Way To put interstellar dust into a broader astronomical context. with a diameter of order 2 kpc which contains ∼1% of the total stellar mass of the Milky Way. The center of the Milky Way harbours a huge stellar cluster. chemical composition or radiation ﬁeld. spectral appearance. In each of them. dust grains. The total power radiated by the Milky Way is estimated to 4 × 1010 L and has its origin in the luminosity of the stars. After an initial and violent phase it has settled into a quasistationary state where global parameters. It is a ﬂat disk about 30 kpc across and several hundred parsec thick with a global star formation rate of ∼5 M per year. we give in the remaining chapters an overview of the Milky Way. 14. The space between the stars is not empty but ﬁlled with gas. It exists in several phases which differ in all basic parameters like temperature. Together these components constitute the interstellar medium. magnetic ﬁelds and photons. relativistic particles (moving close to the speed of light). the dust is modiﬁed by the speciﬁc environment. About two-thirds of the starlight leave the Milky Way unimpeded. on a time scale of ∼1010 yr.

radiation ﬁeld). half of interstellar the mass is in molecular clouds. why is it so important? There are many reasons: practical. in this phase. Besides H2 . astronomically fundamental and philosophical. This affects the composition and structure of the grains and happens repeatedly during their lifetime. without aiming at completeness. the Milky Way has formed a spiral pattern which can be admired in face-on external galaxies (ﬁgure 11. and because man is made of interstellar dust.2 The relevance of dust If there is so relatively little dust. In HII regions. one ﬁnds in them all kinds of molecules. molecular abundances.426 • • • Diffuse matter in the Milky Way In molecular clouds. hydrogen is mostly molecular (H2 ).1. When did astronomers realize the relevance of interstellar dust? As a legendary beginning one may count the year 1784 when Friedrich Wilhelm Herschel (the father of John Frederick William) looked at the dust cloud ρ Ophiuchus and exclaimed: Hier ist ein Loch im Himmel (There is a hole in the sky). because it converts the radiation from stars into the infrared. Dust is so important: • • • • • • because it weakens the visual light and thus limits our optical view in the Galaxy. Assuming a dust-to-gas mass ratio of 1:150. The passage of spirals wave initiates star formation. hydrogen is ionized (H+ ) and forms a hot plasma. because it is the basis for the formation of planets. in some galaxies up to 99%. half in the diffuse gas. The scientiﬁc investigation of dust started with the Sky photography of E Barnard and M Wolf in the 1920s which revealed the existence of dark . the three phases account for 99% of the mass of the interstellar medium or about 5% of the stellar mass of the Milky Way. it is also essential for the dynamics of the gas.4). for example. the warm and tenuous medium and entering a cold and dense phase. its mass in the Milky Way amounts to Mdust ∼ 3 × 107 M . Together. 14. As a result of its rotation. because it strongly inﬂuences the physical and chemical conditions of the interstellar medium (thermal balance. Although not an argument of natural sciences but of humanities. hydrogen is mostly atomic (H). the fact that there is a lineage between us and dust is probably the ultimate reason for our interest in it. Roughly speaking. The dust then changes its environment leaving. Some are listed here. because it determines the spectral appearance of stars during their formation. The dust is just a small admixture. and of order 1% in HII regions. About every 108 yr a density wave sweeps over a parcel of gas in the Milky Way and causes a drastic change in its physical state. in the Milky Way about 30%. The total gas mass is Mgas ∼ 5 × 109 M . In the diffuse or HI gas.

It is not clear how molecular clouds are made. J H Oort argued in 1932 that the absorbing particles cannot be larger than the wavelength of visible light as otherwise they would produce noticeable effects on the dynamics of stars perpendicular to the galactic plane.2 Molecular clouds Roughly half of the mass of the interstellar medium resides in molecular clouds. Therefore. Molecular clouds trace the spiral arms of the Milky Way but are also found in the interarm medium. The average lifetime of a giant molecular cloud. the origin of the infrared emission is usually dust.Molecular clouds 427 clouds. is not always negligible with respect to the molecular cloud proper. mass M ∼ 104 M . and the Orion GMC. in some loose way. There. Molecular clouds block the starlight and. The likely destruction mechanism for GMCs is the internal formation of massive stars which produce strong winds and eventually supernova explosions. . the near ones appear as holes in the sky that is otherwise littered by myriads of stars. whether through coagulation of smaller units or by large-scale instabilities but the shocks in the spiral arms are probably an important ingredient in their creation. extension L = 20 pc). as the name suggests. The density contrast between clumps and their environment is about one order of magnitude. Their concentration towards the galactic plane could explain the zone of avoidance for globular clusters and galaxies. on photographic plates. 14. In 1937 J S Hall established the extinction law in the visible and in 1949 Hall and W A Hiltner discovered interstellar polarization. Examples of well-studied nearby molecular clouds are the complexes in Taurus (distance D = 140 pc. This has prompted their second name: dark clouds. The prevalence of molecules is due to the fact that the dust shields them from destructive ultraviolet radiation. estimates for τGMC are several 107 yr. The biggest molecular clouds have masses greater than 105 M and are labeled giant molecular clouds (GMC). τGMC . Although on maps in the CO line (see later) most molecular clouds have a sharp edge. one ﬁnds many molecular species and almost all hydrogen is in the form of H2 . molecular clouds are enveloped by a halo of atomic hydrogen which. There is always an intermediate layer with a dust optical depth AV ∼ 1 mag where CO is photo-dissociated. the transition of the gas density to the intercloud medium is not abrupt. on the star-formation efﬁciency. satellites mapped the total sky at infrared wavelengths not accessible from the ground. These GMCs are further structured into clumps which are the birth place of stars. by mass. In the 1980s and 1990s. But the full relevance of dust for astronomy was grasped only with the advent of infrared detectors in the 1960s. in Ophiuchus (similar parameters but containing much denser concentrations). therefore. depends then. The breakthrough came when it was realized that the sky was littered with bright infrared sources.

different physical conditions. 3.1. . 1. Where it exists. The level j = 1 is only 5 K above the ground state and requires for its excitation a density of only n(H2 ) > 100 cm3 . H2 CO and HCO+ . All other molecules are at least one order of magnitude less frequent. Its lowest rotational levels are easily populated by collisions. vibrational and electronic levels which require progressively higher energies for their excitation. NH3 . . . SiO. E el • E vib E rot .6 mm.2. CS. . These molecules have very diverse structures and trace. 14.2. Average parameters of molecular clouds. they are H2 .5 14.1. without being too precise.1 Why CO is the most frequently observed molecule Over 100 molecular species are known in space today and about ten of them are regularly used as probes of the interstellar medium.1.09 eV. C18 O and C17 O spanning three orders of magnitude in abundance and likewise in column density and optical thickness. exemplify the discussion of interstellar molecules by CO. Average gas density Average temperatures Mass fraction of interstellar medium Volume fraction in disk of Milky Way Scale height (in z-direction) Observable mainly through Mass spectrum of GMCs in Milky Way Mass spectrum of clumps within GMC n = 100 cm−3 Tgas = Tdust = 20 K f 50% v = a few percent H = 80 pc near Sun Molecular lines and IR dust emission N(M) ∝ M −1.1 The CO molecule 14. in various lines. It is very stable with a dissociation energy of 11.5 N(m) ∝ m −1. Rotational states have quantum numbers j = 0. HCN. therefore. . It has several observable isotopes: CO. its number density relative to molecular hydrogen is [CO]/[H2 ] ∼10−4 .2 Nomenclature of levels CO possesses rotational. We. 2. CO. H2 O.2. 13 CO. The lowest transition j = 1 → 0 has a wavelength λ = 2.428 Diffuse matter in the Milky Way Table 14. We only discuss carbon monoxide (CO) which is the most widely observed molecule in the study of galactic and extragalactic molecular clouds because it possesses a number of favourable properties: • • • • It is very abundant. OH.

E. the Greek indicates that the total orbital angular momentum of the electrons vanishes. Such highly excited CO is found in accretion disks of young stars. the Q-branch is absent.Molecular clouds • • 429 Vibrational states are labeled v = 0. Electronic states bear the names X. is at ˚ 1544 A. .1 for v = 1 transitions under LTE at T = 1000 and 2000 K. 14. B. the energy levels are 2 j ( j + 1) Ej = 2I and the angular momenta j ( j + 1). energies and A-values of pure rotational transitions The rotational eigenstates for v = 0 are found from the Schr¨ dinger equation of a o rigid rotator. vibrational and rotational wavefunctions. for a − . ±1 with the further restriction that transitions between j = 0 and j = 0 are forbidden as well as transitions between -states with j = 0. If I is the moment of inertia of the molecule about its rotation axis.and R-branches are displayed in ﬁgure 14. it would change sign. 1. . for = 1. The P. The superscript 1 at the letter shows the multiplicity. j = −1 Q-branch. X 1 + → A 1 . The letter X stands for the electronic ground state. The lowest CO state is denoted X 1 + v = 0 j = 0. The transition from the ground state to the next higher electronic state. .67 µm.2. j = 0 and R-branch. The lowest v = 1 → 0 band is at 4. ψ = ψel · ψvib · ψrot . C. A. . The plus superscript in X 1 + state means that the electronic state ψel does not change when all particles of the molecule are reﬂected at the origin (inversion). . . The total eigenfunction ψ of the molecule is approximately the product of the electronic.1. j = 1. Lj = . Vibrational transitions split into branches depending on the changes in the rotational quantum number j : • • • P-branch.3 Frequencies. . . The change in rotational quantum number j in a radiative transition is subject to the selection rule j = j − j = 0. 2. the state is denoted . 3. so the quantum number = 0.

the lower curves refer to v = 2 → 1. The eigenfunctions are similar to those of the hydrogen atom except that the function with the radial dependence.1. 3 → 2 and 4 → 3. The intensity scale is linear. It gives the average emission per molecule over 4π. (14. equal in both boxes.2) (14.41). LTE line intensities of rot–vib transitions with v = 1. j −1 = 3hc3 2j +1 .3) For 12 CO. Inserting the eigenfunctions levels are E j /k of the rigid rotator into the Einstein coefﬁcient (6.4) A j. The rotational levels are degenerate with statistical weight g j = 2 j + 1.6 × 10−14 erg s−1 . which reﬂects the potential energy of the atom.763 × 1010 s−1 and the energy 2. The upmost sequences of dots show the v = 1 → 0 bands. and goes from zero to 4. the rotational constant B = 5.430 Diffuse matter in the Milky Way Figure 14. is missing. one ﬁnds for the j → j − 1 transition 512π 4 B 3 µ2 j 4 (14.1) Ej hB = j ( j + 1) k k and the frequency of the transition j → j − 1 is ν = 2B j. Deﬁning the rotational constant B by B= it follows that h 8π 2 cI (14.77 j ( j + 1) in the unit Kelvin.

which assumes a bar of ﬁxed length between the nuclei. 14. is not adequate.8).112 Debye = 1.2.3 the energies E v.0 = 7. the internuclear distance increases and the rigid rotator model. all for the electronic ground state.2. j of the vib–rot levels. n Z (T ) .12 × 10−19 cgs. Radiative transition probabilities of the CO molecule for pure rotational lines ( v = 0) in various vibrational levels v.2. gi e−Ei / kT ni = .2 Population of levels in CO 14. The upmost sequence of points refers to v = 0. Figure 14. The Avalues increase like ∼ j 3.4 × 10−8 s−1 . With higher j -number.2 plots the A-coefﬁcients of rotational lines in various vibrational levels and ﬁgure 14. for the lowest transition A1.Molecular clouds 431 Figure 14. the population n i of any level i is determined by (5. where the dipole moment µ = 0.1 LTE population and critical density In local thermodynamic equilibrium at temperature T .2.

1. we neglect photons so that n cr depends only on . The lowest sequence of dots is for v = 0.3. At these temperatures. Energies E/k are expressed in Kelvin. the higher ones are not. Z (T ) can be split into its rotational.56 and 11. the most densely populated levels are j = 1. respectively. 2. The temperature T computed from the Boltzmann equation (5. respectively. When level populations are close to LTE. 5 as a function of the rotational level j . n is the total number of CO molecules per cm3 and Z (T ) the partition function of (5.96. Energies above ground of the CO molecule in the electronic ground state for vibrational quantum numbers v = 0. This is always true in the limit of high densities. Z (T ) = Z rot · Z vib · Z el . To estimate the minimum or critical gas density n cr necessary to excite the lowest rotational line j = 1 → 0. in LTE at T = 10. 3.7).65). For example. the molecule is said to be thermalized. If the molecule is not in LTE and the levels are not thermalized. vibrational and electronic part. In molecular clouds.8) is then the gas kinetic temperature Tkin . 7. the molecule is in its vibrational and electronic ground state (Z vib = Z el = 1) and Z rot equals 3. 2. 20 and 30 K. usually only the lowest rotational levels of CO are close to thermalization. the ratio of level population n j /n i deﬁnes the excitation temperature Tx according to (13.17.432 Diffuse matter in the Milky Way Figure 14.

CS with µ = 1. one ﬁnds that already 10% of the molecules are excited (n 1 /n 0 ∼ 0. By and large. also higher gas temperatures. With C01 ∼ 3 × C10 . the average abundance ratio [CO]/[H2 ] ∼ 10−4 .2. ν ∝ m −1/2 . molecules with a larger dipole moment (for example. in other places of the Galaxy it tends to be smaller. E 0 (13 CO) < E 0 (CO) . H and H2 absorption lines been observed in the far UV towards weakly reddened hot stars stars (AV ≤ 1 mag). Because 13 CO is heavier than CO. temperature and velocity gradient of molecular clouds are shown in ﬁgure 14. The frequency ν decreases 2 with the molecular mass. Direct evidence for [CO]/[H2 ] can.5. 14. the upper transitions need higher densities and. 14. The vibrations of the molecules have. For para-H2.75)). Because A j. and possibly also in dense cold clouds because CO freezes out onto dust grains. j −1 ∝ µ2 . of course. At its root is the charge exchange reaction (14. The value is much smaller in diffuse clouds because of photo-destruction.Molecular clouds 433 the collision rates C01 and C10 and on the Einstein A coefﬁcient A10 (see equation (13. typical of molecular clouds. The balance of level population requires n(H2 )n 0 C01 = n 1 [ A10 + n(H2 )C10 ].1) when n cr = n(H2 ) ∼ A10 /C01 ∼ 100 cm−3 . Because A j.4. a nonzero energy E 0 = 1 hν in the ground level v = 0. somewhere between 40 and 80.5) CO + 13 C+ ⇔ 13 CO + C+ . be gained from simultaneous measurements of rot–vib absorption bands in CO and H2 towards strong background infrared continuum sources but this has not yet been done for molecular clouds.2. j −1 ∝ j 3.3 CO abundance and isotopic ratios From many pieces of indirect evidence.2. The values have been calculated including radiative excitation under the Sobolev approximation (section 13. This rough estimate indicates that the j = 1 → 0 line of CO is always seen in molecular clouds.2 Population of rotational levels including radiative excitation Abundances of rotational levels for representative values of density. C10 3 × 10−11 cm3 s−1 when T is in the range from 10 to 50 K. like all harmonic oscillators.3). Only in the diffuse medium have CO. in principle.98 Debye) require denser gas for their excitation. The ratio is inﬂuenced by the folowing processes: • • Self-shielding in the dissociating lines which favours CO. Isotopic fractionation which favours 13 CO.2. The solar value of the isotopic ratio [C]/[13 C] is 89. and in the Galactic Center it is noticeably lower ([CO]/[13 CO] ∼ 20).

radiative excitation is more important than collisional excitation.77) for a velocity gradient of dv/dr = 1 km s−1 pc−1 . is deﬁned in (13. The CO abundance is [CO]/[H2 ] = 10−4 . .69). The escape probability β is computed in the Sobolev approximation from (13. Non-LTE level population of CO for T = 10. The deviation from LTE. those dots which are not connected by a line are calculated without a radiation ﬁeld and thus without an escape probability. b j . In the three vertical frames on the left.434 Diffuse matter in the Milky Way Figure 14. 104 cm−3 (squares) and 105 cm−3 (triangles).4. We see that for j ≥ 3. 20 and 40 K and for H2 densities 103 cm−3 (circles). the number densities n j are normalized so that their sum equals one.

where the nuclei are not identical. has a small Einstein coefﬁcient (A = 3 × 10−11 s−1 ). 14. which.2. only quadrupole rot–vib transitions are allowed (section 1. Radiative transitions between ortho and para hydrogen are forbidden. rot–vib lines of H2 are seen. is hardly excited under normal conditions of the interstellar medium and. does not show this property. even in external galaxies. There are two forms of molecular hydrogen: ortho-H2 with parallel and paraH2 with opposite proton spins. is photo-dissociation. it just supplies the mass for the interstellar gas. Absorption of photons with wavelengths between 912 and + ˚ 1108 A leads to electronic transitions X 1 g → B 1 u (Lyman band) and + X 1 g → C 1 u (Werner band).4) subject to the selection rules j = ±2 or 0 (excluding 0 → 0 transitions). The g (gerade) signiﬁes that the the homonuclear molecule is symmetric with respect to swapping the two nuclei. the ortho form is three times as abundant as the para form. respectively. The lowest ortho-line ( j = 3 → 1. however. Being homonuclear. They are immediately followed by electric . The spacing of rotational levels is given by (14. The lowest + excited level of para-H2 (X 1 g v = 0 j = 2) lies 510 K above the ground ( j = 0).1).2.3 Molecular hydrogen Molecular hydrogen.2. the isotope HD. However.3).5) is temperature-dependent and goes preferentially from left to right in cold clouds (T < 35 K). enriches the interstellar medium more efﬁciently with 13 C than with 12 C. gas temperatures and densities or shock velocities. so these molecules are some ﬁve and 20 times less abundant than 13 CO. The j = 2 → 0 emission line from this level appears at 28 µm and. + The electronic ground state of H2 is X 1 g (see nomenclature in section 14. spin exchange can occur by collisions with molecules and ions or on grain surfaces but the rates are low. Mass loss from stars heavier than 1 M . it is well observable in photo-dissociation regions and shocks and there its emission gives information about the ultraviolet radiation ﬁeld. the reaction (14. The existence of the ortho and para forms is a consequence of the exclusion principle. therefore. Wherever there is high-mass star formation. The standard isotopic ratio of C18 O and C17 O are 500 and 1800. 14. Therefore. When the temperature is high and many rotational levels are excited.4. A = 4. as a quadrupole transition. outside HII regions.Molecular clouds 435 • with an energy difference E 0 /k = 35 K. because of the speciﬁc preceding nucleosynthesis. with jets and copious UV radiation. by far the most abundant molecule. whereas u (ungerade) would imply asymmetry. corresponding to the ratio of the statistical weights. generally inconspicuous.4 Formation of molecular hydrogen on dust surfaces The major destruction route of H2 in the diffuse gas.8 × 10−10 s−1 ) is at 17 µm and even harder to excite. too high to be populated at normal temperatures.

ﬁnding another hydrogen atom by tunneling over the grain surface. v from (5. the chemistry of the major gas species is determined by photodissociation. and how much is carried away by the H2 molecule in the form of excited rot–vib levels. it becomes absorbed (mainly by dust) and the UV ﬂux weakens. If η ∼ 0. On leaving the grain surface. this happens in about one out of seven cases.29)). roughly speaking.436 Diffuse matter in the Milky Way dipole decay ( A ∼ 108 s−1 ) to the electronic ground state. Molecular hydrogen is observed in the diffuse medium if the ultraviolet radiation ﬁeld is not too strong. n gr 1.2. which has many modes of energy disposal. The smallest grains should get the highest weight (see (7.16) their mean velocity and σgr = πa 2 the geometrical cross section of spherical grains of radius a.2. As the radiation penetrates into the cloud. The only remaining alternative to create H2 is on grain surfaces. If the zero point of the visual optical depth. Radiative association H + H → H2 + hν is strongly forbidden. The efﬁciency η includes the probability for sticking. is taken at the cloud surface. and most gas-phase carbon . Its photo-dissociation can then be calculated and must be balanced by H2 formation. If the ﬁnal vibrational quantum number v is greater than 14. molecular hydrogen is dissociated for τV ≤ 1. it is unclear how much of the formation energy of 4.5 eV is transmitted to the dust particle. three-body reactions are excluded as they require densities n ≥ 1012 cm−3 . a (14. Therefore R 7 × 10−23 η n(HI) n H T 1/2 . τV . This leads to the formation of a sequence of chemically distinct layers. With a gas–to–dust of ratio 150 and a bulk density of 2. carbon is ionized for τV ≤ 2. molecule formation and desorption. other reactions are negligible. so a ∼ 10−6 cm seems appropriate. The reaction rate R (per cm3 and second) is obviously proportional to the number of H atoms impinging on a grain (n(HI) σgr v ) times the grain density n gr .5 g cm−3 .5 × 10−27 nH a3 where n H = n(HI) + n(H2 ) is the total hydrogen density. n(HI) is the density of hydrogen atoms.6) In the diffuse medium. 14. R = η n(HI) σgr v n gr .4.1 A few remarks on H2 and CO chemistry In the envelope of a cloud illuminated by ultraviolet light with wavelengths ˚ λ > 912 A. R ∼ 10−17 n 2 T 1/2 cm−3 s−1 H and this should indicate the right order of magnitude. the state is unbound and the molecule dissociates. n(HI) n H . then.

2 The early universe In the early universe. 3 H2 + CR H+ + H2 2 −→ −→ H+ + H. only hydrogen and helium. 14.2. When UV shielding is high. .) that couples radiationless to a dissociating state. H+ . a small fraction becomes ionized by cosmic rays (CR) and is transformed into H+ . OH+ + 2H2 H3 O+ + e or remove carbon monoxide. (14. ˚ CO is then destroyed by line absorption (λ < 1118 A) from the ground state X 1 + to a bound level of a high electronic state (E. The line absorption leads to the effect of selfshielding. For an isotope like 13 CO. carbon is in the form of C+ and CO is absent.4.Molecular clouds 437 is locked in CO for τV ≥ 3. So at the transition between atomic and molecular hydrogen (τV 1). however. . F. is reactive and relevant for the chemistry of the 3 interstellar medium as it can initiate the formation of important molecules like H2 O. H+ + CO 3 −→ HCO+ + H2 . Because the 13 CO column density is much smaller. it could be created via H + H+ H+ + H 2 or H+e H− + H −→ −→ H− + hν H2 + e −→ −→ H2 + H+ H+ + hν 2 . CO is formed by neutral–neutral reactions like CH + O → CO + H. CO formation is promoted by ionized carbon. the dissociating lines are slightly shifted in frequency. for example. 13 CO is destroyed in a larger volume than 12 CO. at a redshift z º 1000 when hydrogen was already neutral but before the appearance of the ﬁrst stars. Although molecular hydrogen is chemically rather inert. 3 H+ 2 The new species. H2 could not then form on grains.7) H+ + O 3 −→ −→ −→ OH+ + H2 H3 O+ + 2H H2 O + H When the UV shielding by dust is low (τV < 3). there were no heavy elements and thus no dust. via C+ + OH −→ CO + H+ . .

This component is only seen in emission. τ < 0. this component is called a HI gas. infrared dust emission and pulsar dispersion. Its properties. There also exists some hot ionized medium (HIM) with . The critical mass for gravitational instability of a gas cloud depends on temperature as T 3/2 (see (15.2 < τ < 1 and be destroyed radiatively or by collisions with H atoms. Here molecular hydrogen could have acted as a coolant down to 100 K by emission of its lowest rotational lines.48)) and contraction is possible only if the release of potential energy can be radiated away. In the warm ionized medium (WIM). it is useful to deﬁne a standard HI cloud with parameters as in table 14. it is much more voluminous. to a large degree. which is a few times bigger than for CO and increases outside the solar circle. therefore. . Such clouds are seen in absorption and emission and make up what is called the cold neutral medium (CNM) of the diffuse gas because the hydrogen there is mostly neutral and relatively cold.01. n = 0. are derived from observations of the famous 21 cm line but also from Hα and atomic ﬁne structure lines. They contain only a few molecular species. .3. The scale height of the clouds at the locus of the Sun is about 250 pc.1 . . more strongly ionized and much warmer. There are other components which are less dense and completely penetrated by UV radiation.2. Although the HI gas is very inhomogeneous. Typical parameters of HI clouds. 100 K Tdust ∼ 20 K n(HI) ∼ 1 . They consist mainly of atomic hydrogen. Although the reactions were not efﬁcient. Temperature Density Cloud diameter Column density Distance between clouds Mass fraction Volume fraction 21 cm linewidth 21 cm line optical thickness Tgas = 50 . .1 General properties of the diffuse gas About half of the mass of the interstellar medium is in diffuse clouds. . 1 cm−3 and gas temperatures are several thousand K.3 Clouds of atomic hydrogen 14.438 Diffuse matter in the Milky Way Table 14. they led to a small fraction of molecular hydrogen which was important for the formation of the ﬁrst stars. has a larger scale height and a very low optical depth in the 21 cm line. 14.2. 10 cm−3 D ∼ 10 pc N(HI) ∼ 1020 cm−2 l ∼ 3 pc 50% of the HI gas and 25% of all gas a few percent of galactic disk v ∼ 30 km s−1 0. . They are. As hydrogen is mainly atomic there.

16) which gives the potential energy of a magnetic dipole in a magnetic ﬁeld.Clouds of atomic hydrogen 439 Tgas ∼ 105 .10) for the Bohr magneton). There is level splitting for the same reason as in the Zeeman effect. e .16) yields a frequency ν = E/ h 530 MHz. therefore. A very good number is obtained when one averages over the radius and takes the .01 cm−3 ) and detected either by soft X-ray emission or through UV absorption lines of highly excited ˚ ions (for instance. F = S + I. most of what we know about the diffuse component. 14. it is a singlet. In the upper state. When one evaluates its strength at one Bohr radius a0 = 5. As its propagation is not impeded by dust. its temperature. .10)) of moment µB and decays with distance like r −3 . It is. speaks of the 21 cm line. F = 1 and the statistical weight is g1 = 3.11 cm and one. F = 0 and g0 = 1. Let F denote the quantum number of total angular momentum which is the sum of electron spin S and nuclear spin I . of course. it is a triplet.2 The 21 cm line of atomic hydrogen In its electronic ground state. 14. It occupies a lot of space. is due to the study of the 21 cm line.793 · µN and is thus 2. The dipole moment of the proton is given by µp = 2. electron and proton spin are parallel. (11. It is a dipole ﬁeld (see the electric analog in (3. density.3. . probably most of the galactic disk but its mass fraction is negligible. In the lower state. in the 1950s it played a dominant role in elucidating the structure of the interstellar medium of the Milky Way.2. a hydrogen atom has two hyperﬁne sublevels because the spin of the electron couples to the spin of the proton. This is the right order of magnitude but an underestimate because a0 is the mean distance and the positions where the electron is closer to the nucleus have a higher weight. µN = 2m p c The magnetic ﬁeld in which the proton aligns is supplied by the electron. very tenuous (n = 0.1 Frequency and transition probability of the line One obtains an estimate of the energy difference E between triplet and singlet from the classical formula (11. 106 K.29×10−9 cm.793 times greater than a nuclear magneton µN (compare with (11. O VI at 1030 A) towards hot stars. Indeed.3. The transition from an upper to the lower level occurs at ν = 1420 MHz or λ = 21. total mass and overall distribution. the spins are anti-parallel. only here the magnetic ﬁeld is supplied by the nuclear magnetic dipole. kinematic behavior.

3. and second. As there are only two levels involved.41) but this time µ is a magnetic dipole moment given by the sum µp + µB . because it is not an electric but a magnetic dipole transition which reduces A10 by a factor ∼106 . the right-hand side depopulates it.9) and .40) between the Einstein A and B coefﬁcients. The excited state has an extremely long lifetime.8) The left-hand side populates state 0. The atomic levels change because of collisions as well as spontaneous and radiatively induced transitions.41)). which is often called spin temperature. 14. The Einstein A-coefﬁcient of the line follows from the general formula (6. c3 With the relations (6. In equilibrium at kinetic temperature T .1 The excitation or spin temperature In determining the population of the hyperﬁne levels. from a supernova remnant or the 3 K microwave background. and hν αx ≡ kTx one ﬁnds uν = e−αx nC10 + A10 + kTR kTR A10 = nC10 e−α + A10 . compared to optical transitions where τ ∼ 10−8 s. for example.39) and (6. The value of A10 comes out very small (A10 = 2. kT The excitation temperature Tx . 0 and 1. because the frequency is low ( A ∝ ν 3 after (6. and the radiation temperature TR are deﬁned by g1 n1 = e−hν/ kTx n0 g0 8πν 2 kTR . (14.440 Diffuse matter in the Milky Way 1s wavefunction as the weight. g0C01 = g1 C10 e−α α≡ hν .3 How the hyperﬁne levels of atomic hydrogen are excited 14.869 × 10−15 s−1 ): ﬁrst. It may come. we have. the frequency has been determined to extremely high precision. we include. a radiation ﬁeld u ν . nn 1 C10 + n 1 A10 + n 1 u ν B10 = nn 0 C01 + n 0 u ν B01 . τ = 1/A ∼ 107 yr. for generality.3. Here n = n 1 +n 0 is the total number of hydrogen atoms per cm3 and C10 is the collision rate for de-excitation (F = 1 → 0). hν hν (14.3. in standard notation. Nevertheless. there is enough neutral hydrogen around to make the line easily observable. Quantum mechanically. it is a number with 11 signiﬁcant digits.

1. C10 hν One often uses for the critical density the expression n cr ∼ A10/C01 . in estimating n cr for the CO rotational levels in section 14. the spin temperature Tx can be directly expressed by the kinetic gas temperature T and the radiation temperature TR . Tx = ynT + TR 1 + yn with y ≡ C10 hν . We did so. in view of the small Einstein coefﬁcient. Indeed.068 K and the gas temperature T ∼ 100 K. Then the levels are thermalized (Tx T ) above the critical density: n cr = y −1 = A10 kT . at very low frequencies (hν kT ).10) 14. Suppose a hydrogen atom labeled (1) with F = 1 and electron spin up is hit by another hydrogen atom. However.Clouds of atomic hydrogen 441 This is a general result for a two-level sysytem.10)). The cross section for collisional deexcitation (F = 1 → 0) in a gas of 100 K is σ10 ∼ 10−15 cm2 . In a standard HI cloud. the electron spin of atom (1) can ﬂip so that afterwards it is in the state F = 0. in a tenuous and hot 7 in equation (14. provided that α ≥ 1.3. In the collision.9) implies Tx ∼ T when n = A10 /C01 . the usual formula n cr A10 /C01 is wrong by a factor ∼1000. which has T = 100 K and n ≥ 1 cm−3 . After a linear expansion of the e-function. a substantial excursion of the hyperﬁne levels from LTE and the ratio Tx /T is only one-quarter.2.3. when there are only two levels and no radiation. and T = 1000 K implying y there is.2 The critical density for excitation Under most circumstances. equation (14. Because the temperature difference between the levels of the 21 cm line is only hν/k = 0.05 cm−3 . However. σ10 . rather surprisingly. thermalized. is spin exchange. for example. A10 kT (14.3 Spin exchange by collisions among H atoms The physical process that determines the cross section. 14. the sublevels are. thermalization requires a density that is kT / hν times larger.3. cloud (n = 0. The brackets denote an average over the Maxwellian velocity distribution and u is the velocity. corresponding to a collision rate C10 = uσ10 ∼ 2 × 10−10 cm3 s−1 . the exponents α and αx are much smaller than one. The statistical weights gi are gone.3. For the 21 cm line. the radiaton ﬁeld is negligible. the proton of atom (1) is shielded by the electron cloud and its spin is unaffected. so the population ratio n1 n0 3 and the total hydrogen density n is close to 4n 0 . The electron spin of the hitting atom .

spin ﬂip can also occur due to the interaction between the magnetic moments of the electrons but this process is several orders of magnitude weaker. if it is down. which coincide in Dirac theory. If the electron spin of the hitting atom is also up. the complex is in the repulsive electronic triplet state (3 . i. the anti-symmetric part is associated with the phase factor exp(−i Vs t/ ). The 2S1/2 and 2P1/2 states. 2P1/2 2S1/2 2P3/2 each being double because of the hyperﬁne splitting. The radiation ﬁeld in the Lα line therefore acquires the same shape (spectral slope) as the Planck function at that temperature.442 Diffuse matter in the Milky Way is random and thus some linear combination of up and down. the complex is in the attractive electronic singlet state (1 . Because the interaction potential is steep.4 Excitation by electrons and Lα radiation Spin ﬂip is also possible as a result of collisions with free electrons. the two atoms form a molecular complex. As a resonance line. the population of the hyperﬁne levels is determined by the Lα radiation ﬁeld. . Therefore the atoms exchange electron spins at a rate (Vt − Vs )/ . Electron impact becomes important when the fractional ionization of hydrogen exceeds a few percent. The state n = 2 consists of three sublevels. one can semi– classically follow the collision over the time of the impact and thus calculate the probability that afterwards atom (1) is in state F = 0 [Pur56]. So in a time interval dt. This yields σ10 . potential Vt ). In principle.e. During the impact. Only the 2P levels are allowed to combine with the ground state 1S1/2 . Instead. 14. Here the cross sections are about half as large but electrons ﬂy faster. Another interesting way of exciting the hyperﬁne levels of hydrogen atoms is through Lα photons [Wou52]. the wavefunction stays the same. Because in the absence of collisions and radiatively induced transitions. its proton spin is irrelevant. potential Vs ). the phase between triplet and singlet changes by (Vt − Vs )dt/ . In quantum mechanics.3. the spin temperature Tx is also forced towards the kinetic gas temperature T . As the potentials Vt and Vs are known. the Lα optical depth is immense and each Lα photon is scattered many times. so the collision rates are higher. because when the electrons are swapped. At large separations. the two potentials are equal. undergoes many collisions with H atoms at the gas kinetic temperature T . are actually separate due to the Lamb shift. the wavefunction of the complex is written as a sum of a symmetric and an anti-symmetric function with respect to the interchanging particles. as in stable H2 molecules. σ10 changes only weakly with temperature (∝ T −1/4 ). The symmetric part is associated with the phase factor exp(−i Vtt/ ). They connect the n = 1 and n = 2 states and are created in HI clouds by cosmic-ray ionization and subsequent proton–electron recombination. it is not possible to specify the state of the atoms separately.3.

v = 0. Tx (14. The brightness temperature Tb at velocity v observed towards a cloud in front of a background source of intensity Tc is.3.4. is independent of temperature.4 Gas density and temperature from the 21 cm line 14. respectively. from (13. kTx Here n 0 is the number of atoms in the lower singlet state and K 0 is after (13. reduces the cross section in the 21 cm line by a factor of order 103 (!) at typical excitation temperatures Tx ∼ 100 K. Because hν kTx . N(HI) and Tx are measured in cm s−1 . the hotter the gas. which is usually negligible at optical wavelengths.13) . again with P(v) dv = 1. the optical depth at velocity v is τv = C −1 N(HI)P(v) . φ(ν) = c P(v) ν and.67) proportional to the Einstein coefﬁcient A10 .3. At the line center.11). which is proportional to τν Tx . dτν = K (ν) ds 443 where (ν) is the normalized proﬁle function and the absorption coefﬁcient K is from formula (13. Because P(v) dv = (ν) dν. If N(HI) denotes the total column density of neutral hydrogen. one can expand the e-function in (13. It is often convenient to refer the proﬁle function to the Doppler velocity v. Without it.74). the lower the optical depth. It is then denoted by P(v).68).68) and obtain hν K n0 K 0 . (14.1 Optical depth and column density The optical depth element in the HI line is. (14. cm−2 and K. C = 1. Tb (v) = T0 · e−τv + Tx (1 − e−τv ).12) When v.62). one would have K n 0 K 0 .11) Because of stimulated emission. The factor hν/kTx is due to stimulated emission.82 × 1013. But note that the intensity of optically thin line emission. analogous to (14. from (13. the optical thickness becomes τν = N(HI) hν · K0 · · 4 kTx (ν). So stimulated emission. and not to the frequency ν.Clouds of atomic hydrogen 14.

say.14) Therefore. the spins of proton and neutron are parallel. This provides the brightness T0 of the quasar after (14. The magnetic moment of the neutron is µn = −1. one can determine the optical depth τv as well as the spin temperature Tx of an HI cloud.13) reduces to Tb (v) = T0 e−τv . so T0 is practically constant. (14. one obtains. As τv is known. one performs a measurement towards the quasar at a frequency outside the line where the HI cloud is transparent (τv = 0). First. In the line core. The importance of this line rests in the fact that it could improve the estimate of the deuterium abundance of the interstellar medium. Then one observes the quasar at various velocities in the line. with cosmological consequences because deuterium has been created during the Big Bang. This gives τv . Of course. integration over the observed line proﬁle directly yields the HI column density: N(HI) = C Tb (v) dv. Tb = Tx (1 − e−τv ). In deuteron.14).913 µN .2 How to measure the optical depth and the spin temperature With the help of a strong background source.15) 14. The actual frequency changes are very small. at a position immediately adjacent to the quasar. N(HI) = N(HI)P(v) dv = C Tb (v)τv dv. also shows hyperﬁne splitting in its electronic ground state. So the nuclear spin quantum number I of deuterium equals 1 and the spin ﬂip of the electron corresponds to an F = 3/2 → 1/2 transition. the hydrogen isotope.444 Diffuse matter in the Milky Way Without the background. If the quasar is much brighter than the foreground HI gas. One can now evaluate the column density N(HI) after (14.13). such a measurement yields the spin temperature Tx .5 The deuterium hyperﬁne line Deuterium. So far all attempts to detect the transition have failed because the isotope is so rare ([D]/[H] ∼ 10−5). when the optical depth is small everywhere in the line.3. from (14.12). 14. a quasar.3. the optical thickness need not be small. it will be seen in absorption and equation (14.4. as is often the case for the 21 cm transition. one has to assume that Tx is constant along the line of sight and that the cloud parameters do not change as one switches from the quasar to a nearby off-position. 1 − e−τv (14.

F = 3 . .Clouds of atomic hydrogen 445 and directed opposite to the magnetic moment of the proton. 0). we cannot simply scale with the ratio µD /µp . 1 ) and H = 2 for hydrogen (S = 1 . 2 2 2 2 I = 1 .857 µN . IH = 1 and 2 gH = 2 · 2. The magnetic moment of deuteron is quite close to the sum of the two. The square of the angular 2 momentum vector F = I + S is obviously F · F = (I + S) · (I + S) = I · I + S · S + 2I · S so that I·S= 1 2 F·F−I·I−S·S . where g is the Land´ factor. To ﬁnd the frequency of the deuterium hyperﬁne line relative to the hydrogen 21 cm line. F = 1. Instead. This is in the inner parts of HII regions where hydrogen is ionized too. As the ionization zones of H and He are not co-extensive (section 14. I = 1. Therefore. deuteron is a mixture consisting to ∼95% of an S (l = 0) wavefunction and to ∼5% of a D (l = 2) wavefunction. one can only see it where helium is ionized. Of course.793. For deuterium. it therefore has the expectation value I. for hydrogen. µD µn + µp 0. When one aims at greater precision for µD .857. S = 1 2 F(F + 1) − I (I + 1) − S(S + 1) 2 . again very hard to observe.2). ID = 1 and gD = 0.34 smaller corresponding to a wavelength of 91. which also gives rise to a magnetic dipole moment. we have to translate the classical formula (11.16) for the potential energy of a magnetic dipole m in an outer ﬁeld into an interaction operator W according to the rules of quantum mechanics. one must take into account that the deuteron nucleus possesses some orbital angular momentum (quantum number l).665 GHz (F = 0 → 1). In its ground state. the derivation of the abundance ratio [3 He]/[H] along the line of sight is problematic. the deuterium hyperﬁne line has a frequency that is 2 a factor gH H /gD D 4. so W = mnuc · mel = gnuc gel I · S. This is witnessed by its electric quadrupole moment. for the electron S = 1 and gel = 2. Another hyperﬁne line of cosmological relevance is emitted by 3 He+ at 8. we can write mnuc = gnucI for the e nucleus and mel = gel S for the electron. The difference in these averages between upper and lower state is D = 3 for deuterium (S = 1 .4. But for a constant factor. When I · S is turned into a quantum mechanical operator.6 cm.

which is a composite of many frequencies. outside HII regions. As the observing frequency ω is always much greater than the plasma frequency ωp = 4πe2 n e /m e (the latter is of order 1 kHz). there is a delay τ between the two.2 The rotation measure A linearly polarized wave can be decomposed into two waves of opposite circular polarization. 2π 2 m e m e ν 3 vph c (14. we can write. the mean electron density. a fundamental quantity of the interstellar medium. equation (1. The travel time depends on the observing frequency ν: long waves are slower than short waves.1 The dispersion measure One can use the pulses emitted from rotating neutron stars to determine the electron density n e in the diffuse interstellar medium.3.18) The relative phase changes per wavelength λ by 2π 2π .17) If the distance L is known. 2 ωp 1 1 . The quantity DM = 0 L n e (s) ds (14. A pulse. via the dispersion measure DM.131). approximately. When one measures the arrival time of a pulse at two frequencies of which ν2 > ν1 .6.6. are n e ∼ 0. 1+ = vg c 2ω2 A signal from a pulsar at a distance L reaches us after a travel time τ = 0 L e2 1 ds L + = vg c 2πm e c ν 2 L 0 n e (s) ds.3. 14. one thus ﬁnds.3. approaches the Earth with a group velocity vg given by (1.126) yields for their difference in phase velocity vph = c n± vph vph = n e e2 eB 1 .446 Diffuse matter in the Milky Way 14. τ= e2 2πm e c 1 2 ν1 − 1 2 ν2 DM. When they are traveling parallel to a magnetic ﬁeld B.6 Electron density and magnetic ﬁeld in the diffuse gas 14.16) is called the dispersion measure and has the unit pc cm−3 . Typical values for the diffuse medium. (14.01 cm−3 .

their ratio yields the mean magnetic ﬁeld strength RM . one observes a central π-component and two symmetric σ -components.80 2πm e c µG [Hz]. but opposite to other σ -component (2) e B σ is right–hand circularly polarized π is missing σ is left–hand circularly polarized. 0 (14.3. not easy to observe. not only modulo 2π. Measured values for B also cluster around 3 µG. B ∝ DM From systematic observations in the Milky Way. the degeneracy of the upper hyperﬁne state (the triplet with F = 1) is removed.3. by half this amount. . together with the case when B is parallel to e. It is much smaller than the linewidth (∼ 20 kHz) and. Although the rotation angle is usually smaller than 90◦ . When B is perpendicular to the line-of-sight vector e. This is summarized here. The total change on the way from the source at distance L to the observer is π L vph ds = RMλ2 (14. all with different polarizations (section 6. The frequency shift between the components of opposite circular polarization is. therefore. one ﬁnds B ∼ 3 µG. one needs measurements at more than two wavelengths. (1) e ⊥ B • • • • • • σ is linearly polarized perpendicular to B π is linearly polarized parallel to B. ν = B eB = 2. To determine its value. it may be greater than 2π. In the presence of a magnetic ﬁeld B.20) Because the dispersion measure DM is equal to n e ds and the rotation measure RM proportional to Bn e ds.Clouds of atomic hydrogen 447 and the rotation angle of the linearly polarized wave. no frequency shift σ is linearly polarized perpendicular to B. The B vector lies preferentially parallel to the galactic plane.2).6. 14. obviously. in principle. therefore.3 The Zeeman effect in HI The strength of the interstellar magnetic ﬁeld may be estimated from the Zeeman effect in neutral hydrogen.19) = λ 0 c with the rotation measure RM deﬁned by RM = e3 2πm 2 c4 e L n e B ds.

The ionization of hydrogen requires Lyman continuum (abbreviated Lyc) photons. the spectral type and some other stellar parameters.1 Ionization and recombination 14. Most HII regions are large and diffuse with number densities n ∼ 10 cm−3 but some are very compact (n > 105 cm−3 ) and these are always embedded in molecular clouds. they ionize the surrounding hydrogen.21) This is a simplistic formula.1 The Lyman continuum ﬂux The hottest stars on the main sequence are of spectral type O and B. ﬁne structure lines.75 log m + 30. HII regions ﬁll about 1% of the volume of the galactic disk and their mass fraction of the interstellar medium is of the same order.4 for a list of symbols).3 lists NL .1. radio and optical recombination lines.4.4 HII regions 14. there is a detailed balance so that each process has its exact counterpart running in the opposite direction. By order of magnitude. The resulting nebula of hot plasma is called the HII region.4.22) Table 14. the number of electrons with velocities . hν ≥ hνL = χ(H) = 13. much warmer than the average dust in HI or molecular clouds.1. the atmospheres of OB stars are not blackbodies but are extended and non-LTE effects play an important role.2 Relation between ionization and recombination coefﬁcient In thermodynamic equilibrium.82 s−1 . They have energies greater than the ionization potential of hydrogen. One often wishes to relate the Lyc ﬂux NL of a main-sequence star to its mass m. a situation which does not prevail in an HII region. If m is in solar units. Dust that survives the harsh conditions in the nebula is very warm (Tdust ∼ 50 K). 14. or wavelengths ˚ λ ≤ λL = 912 A (see table 14.448 Diffuse matter in the Milky Way 14. hν (14. As their effective surface temperature Teff exceeds 20 000 K. In reality. the exact number depends foremost on the abundance of metals which produce cooling lines.4. (14.56 eV. The gas temperature is fairly constant there (Tgas ∼ 8000 K). infrared emission of dust. we suggest from various sources of the literature the approximation log NL = −5. Hence.13(log m)2 + 19. The number of Lyc photons emitted each second from a star of radius R∗ and effective temperature Teff is given by 2 NL = 4π R∗ ∞ νL Bν (Teff ) dν. The numbers are not precise but sufﬁcient for many purposes. HII regions can be observed in many ways: via free–free radiation (bremsstrahlung).

1 × 10−13 cm−3 s−1 = Cross section for electron capture into level n = Cross section for ionization from level n [cm2 ] = K 1.0 × 103 54 NL [s−1 ] 8. α (1) = 4.0 × 1018 3. effective temperature. List of symbols used in this section. protons and hydrogen atoms [cm−3 ] = Number density of neutral hydrogen atoms in level n [cm−3 ] = Recombination coefﬁcient into level n = Recombination coefﬁcient into all levels i ≥ n.6 × 1016 MHII [M ] 260 40 4 Table 14. bolometric luminosity.0 6.4 2. threshhold wavelength = Number of Lyc photons emitted by star [s−1 ] = Number of Lyc photons passing through shell of radius r [s−1 ] = Mean energy of Lyc photons = Number density of electrons. n e n p βn (v) f (v)v dv = Nn K n.6 × 10−13 .ν 1 − e−hν/ kT cu ν dν.2 × 1049 1. are calculated for an electron density n e = 1000 cm−3 .0 × 1049 1.3.ν Jν Lν ν = Threshhold frequency for ionizing hydrogen ˚ = c/νL = 912 A. The radius and mass of the HII region.6 × 104 1. cross section for ionization from the ground state [cm2 ] = Frequency average of K ν = Ionization potential from ground state = Ionization potential from level n = Gaunt factor (∼1) = Mean radiation intensity in the nebula = Emission of star [erg s−1 Hz−1 ] = Emission coefﬁcient of gas [erg s−1 Hz−1 ster−1 ] in the interval [v.4. v + dv] captured by protons into level n equals the number of ionizations from level n by photons with frequencies [ν.0 × 1043 M∗ [M ] 60 30 19 7.6 2.2 × 1048 5.5 × 105 4.0 10.3 × 106 2.0 3. np. mass and radius for main sequence stars of various spectral type. νL λL NL Nc (r ) hνc ne. at 8000 K. α (2) = 3.ν Kν K χ χn gn. nH Nn αn α (i) βn K n.2 × 1018 1.23) .4 rS [cm] 4.9 R∗ [R ] 15. SpT O4 O6 O9 B3 A0 Teff [K] 50000 42000 35000 18000 10000 L [L ] 1.2 × 1018 2.HII regions 449 Table 14.ν . Lyman continuum ﬂux. hν (14. Spectral type. rS and MHII . ν + dν].

ν = 26 π 4 m e e10 gn. one ﬁnds after integration over all velocities and frequencies.2 Dust–free HII regions 14.20).22 × 10−6 x e E 1 (x).4. The latter (without proof) is K n.25) E 1 (x) is deﬁned in (A. When one expresses in (14.ν 33/2 ch 6 n 5 ν 3 2. There is thus a remarkable link between the ionization coefﬁcient K n.40) with E n = −χn and substitutes K n.13) for electrons. If the corresponding recombination coefﬁcient is denoted α (1) .ν n5ν 3 (hν > χn ) (14.26) It must also hold when the medium is not in thermodynamic equilibrium because βn (v) and K n.ν for photoionization.1 Ionization balance In each cm3 of a stationary and dust-free HII region of pure hydrogen. T 3/2 n 3 (14.82 × 1029 gn. the rate of ionization of neutral hydrogen atoms by the radiation ﬁeld of mean intensity Jν equals the rate of recombinations of electrons and protons to all quantum levels n ≥ 1. the total recombination coefﬁcient αn (T ) ≡ 0 ∞ βn (v) f (v)v dv 3. 2 In equation (14.ν . both at temperature T . The brackets on the right contain the correction factor for induced emission. frequencies and velocities are related through hν = χn + 1 m e v 2 .24) where the Gaunt factor gn.71). u ν the blackbody radiation density of photons after (5.ν are atomic quantities and independent of the radiation density u ν and the particle velocity distribution f (v).23) Nn /n e n p by the Saha equation (5. f (v) is the Maxwellian velocity distribution (5. Using the Saha equation. the other arising from recombinations within the HII . respectively. βn (v) denotes the cross section for electron capture and K n. 14. and x = χn /kT . c2 m 2 v2 e (14.2. (14. then ∞ nH νL 4π Jν K ν (H) dν = n e n p α (1) .4. hν (14.23).ν from (14.450 Diffuse matter in the Milky Way If χn is the energy necessary to ionize an atom in state n.24).27) The radiation ﬁeld has two components: one from the star (subscript s) which is directed radially outwards.ν from principal quantum number n and the cross section for electron capture βn (v) into that level.23) yields the Milne relation βn (v) = 2n 2 h 2 ν 2 K n.ν is close to one.

26)) 1 d 2 (r Fsν ) = −4π Jsν n H K ν (H).30) Adding (14. the ﬁrst term equals α (1) n e n p .28) can now be written as (see (13. Almost all neutral hydrogen atoms reside there because the probability for downward transitions from upper principal quantum numbers n is very high ( A-coefﬁcients 104 . by deﬁnition. .31) = −4πr 2 The integrals extend from νL to inﬁnity. which is the number of recombinations to the ground level only. In the bracket on the right-hand side of (14. The bracket on the left gives the number of Lyc photons that pass per s through a shell of radius r .HII regions 451 region. The stellar ﬂux Fdν declines with distance r from the star because it is geometrically diluted and weakened by absorption. one obtains d 4πr 2 dr Fsν + Fdν dν hν n H K ν (H) 4π Jsν + 4π Jdν dν − hν 4π dν dν . dividing by hν and integrating over ν. . Here it is assumed that every diffuse Lyc photon arises from a recombination to n = 1 and is absorbed on the spot by a neutral H atom. (14. Fsν (r ) = The optical depth τ (ν) = 2 R∗ Fsν (R∗ )e−τ (ν).31). 1 d 2 (r Fdν ) = −4π Jdν n H K ν (H) + 4π r 2 dr dν . In spherical symmetry. we denote this quantity by Nc (r ) (unit s−1 ). r 2 dr (14.29) The expression for the net ﬂux of outwardly directed diffuse radiation Fdν is similar but contains additionally as a source term the emission coefﬁcient dν arising from recombinations to the ground level n = 1. 108 s−1 for L ± 1). and the second term equals α1 n e n p . The difference between . hν (14.30). The latter is diffuse (subscript d) and travels in all directions. which is the number of all recombinations per second and cm3 . r2 r R∗ (14.28) n H K ν (H) ds is due to absorption of hydrogen atoms in their ground state 12 S. Nc (r = R∗ ) = NL . Equation (14.29) and (14. altogether Jν = Jsν + Jdν .

It is inversely proportional to the electron density.2 Str¨ mgren radius. Because rS o R∗ . (14.4. the width dIF is only ∼1014 cm. recombination time o • For the Str¨ mgren radius.38). is not determined by the Saha formula (5. Therefore. n H ne = np. Note that the degree of ionization. The mass of an HII region depends not only on the spectral type of the exciting star but also on the environment.37) • .452 Diffuse matter in the Milky Way both terms is α (2) n e n p .36) MHII = n e α (2) Per unit volume. recombine after an interval τion = 1 . 1 − y = n e /n H . therefore. of course. from the last equation. where the coefﬁcient α (2) = α (1) − α1 stands for all recombinations to levels n ≥ 2. We thus obtain d Nc (r ) = −4πr 2 α (2) n e n p . hydrogen is almost fully ionized. dIF = 1 . whereas the diameter of the HII region may be greater than 1018 cm.34) • y is. we may directly integrate equation (14. e An individual electron will. a function of radius r .35) • For densities 103 cm−3 and K (H) ∼ 10−17 cm2 (table 14.32) from the stellar surface (r = R∗ ) to the edge of the HII region.4). the fraction y = n H /n of hydrogen atoms follows from the quadratic equation Nc K (H)y = 4πr 2 α (2) n(1 − y)2 . Its width dIF is determined by the condition that the optical depth τ with respect to Lyc radiation is of order unity. n H K (H) (14. dr (14. in the case of uniform plasma density NL = NL (r =R∗ ) = 4π 3 2 (2) r n α . one immediately ﬁnds.2. that o rS = • 3NL 4πn 2 α (2) e 1/3 . the recombination rate n 2 α (1) equals the rate of ionization. n e α (1) (14. 3 S e 14. The radius there is denoted rS and called Str¨ mgren radius. it does not tell us the Although n H density of hydrogen atoms. n H . NL m H . If n ≡ n p + n H .32) In an HII region. (14. (14. The transition from the HII region to the neutral gas is sharp and called ionization front.33) n e is a very good approximation. ionization structure.

33) leads to the ordinary differential equation 3 1 d Nc Nc =− τ2 − 3 K 3r 3 NL dτ NL n d S (14. for stars of spectral type O6 or earlier.4. rS (He) = rS (H). we get from (14.He is the number of Lyc photons with hν > χ(He).39) with the boundary condition Nc (τ =0) = NL . Its Lα ˚ radiation from the singlet system of para–helium at λ = 584 A is also able to ionize hydrogen.HII regions 453 • This is the characteristic time for recombination and ionization and also the time an HII region would go on shining after the star were switched off.6 eV). The dusty HII region extends to the dusty Str¨ mgren radius rdS . and K d the corresponding dust cross section per H atom. where n = n e + n H and helium has been negelected.1 Ionization balance of a dusty HII regions The presence of dust reduces the number of Lyc photons available for ionization of the gas and. The equation may be solved numerically but if the density n is constant. it offers the analytical solution [Pet72] 3τ 2 − 6τ + 6(1 − e−τ ) Nc = e−τ − NL n K d rS (14.38) The ﬂux NL. it competes with hydrogen for photon capture.He 4πn e n(He+ )α (2) (He) 1/3 . where all Lyman o .37) implies τion ∼ 104 yr.3.3 Dusty HII regions 14. the HeII zone is practically absent. Let τ be the optical depth in the Lyman continuum with respect to dust only.32) 4πα (2) nr 2 Nc 1 d Nc =− − . therefore. If NL. equation (14.4. So dτ = n K d dr . the Str¨ mgren radius rS (He) for helium becomes o rS (He) = 3NL.He depends sensitively on the stellar effective temperature: For B0 stars. When helium is present in the gas (typical galactic abundance by number [He]/[H] 0. As the degree of ionization within an HII region is close to one.6 eV > χ(H) = 13. the size of an HII region. (14.1). Because helium ionization requires more energetic photons (χ(He) = 24. 14. at best co-extensive. For a plasma of moderate density (n e = 10 cm−3 ).40) which gives Nc (τ ) directly as a function of the dust optical depth τ = r n K d . NL dτ NL K d NL Inserting rS from (14. the HeII region is never greater than the HII region.

454

Diffuse matter in the Milky Way

continuum photons have been absorbed either by gas or by dust. One ﬁnds rdS by putting (14.40) to zero and solving for τ . This yields the optical thickness τdS = rdS n K of a dusty HII region and thus rdS . For example, a region with optical depth τdS = 1 has a 56% smaller volume than one without dust where τdS = 0. There are no observations of the extinction curve in the Lyman continuum, ˚ the dust cross section K d is, therefore, quite uncertain for λ < 912 A. Of course, we have some guidance from the dielectric permeability ε of ﬁgure 7.19. According to it, when applying Mie theory, the cross section of an individual ˚ grain is at λ = 1000 A three times greater than in the visual and continues to rise ˚ towards shorter wavelengths up to a resonance at ∼700 A. 4 cm−3 ) around an O6 star (N For a compact HII region (n = 10 L = o 1049 s−1 ) the dust-free Str¨ mgren radius rS = 4.5 × 1017 cm. If the dust in the HII region had the same abundance and properties as in the diffuse ˚ interstellar medium, its cross section per hydrogen atom at 1000 A would be Kd 1.5 × 10−21 cm2 , and in the Lyman continuum greater still. This would imply a huge optical depth (τ = r n K d ∼ 10) so that the HII region would almost vanish. However, compact HII regions are being observed. Consequently, the dust must be modiﬁed, most likely it is depleted, partially destroyed by the strong and hard far UV ﬁeld. In HII regions, dust absorption coefﬁcients per gram of interstellar matter are probably reduced by a factor of four with respect to neutral gas clouds. The dust in an HII region is heated radiatively and its temperature Td is decoupled from the gas temperature. The radiation ﬁeld Jν which the grains absorb includes stellar light, Lα photons and optical cooling lines. Td then follows from (8.7). In a compact HII region, more than two-thirds of the radiation is emitted by dust (disregarding the surrounding shell of neutral gas). 14.4.3.2 Lyα photons of hydrogen Each Lyman continuum photon ionizing a hydrogen atom leads inevitably to a proton–electron recombination. No matter how the newly formed hydrogen atom cascades down from its excited state, eventually it produces a Lyα photon of energy hνα = 10.2 eV. Like all photons connecting to the ground state, they are trapped inside the HII region. Therefore their radiation density is very high. But it cannot build up indeﬁnitely because of the following three destruction routes: • Absorption of Lyα photons on grains. This is by far the most important process and works independently of the amount of dust in the HII region. If there is very little dust because most has been destroyed, the few remaining grains receive all the Lyα ﬂux and will be very hot. They absorb the fraction NL hνα /L ∗ of the stellar luminosity L ∗ , typically 25%. This energy then escapes as infrared radiation. If the HII region is not almost dust-free and the dust optical depth τdS not small, the infrared luminosity (without cooling

HII regions

455

•

•

ﬁne structure lines) will be even greater than ∼25%. In addition, the grains then also directly absorb stellar photons of all wavelengths, as well as diffuse photons of the cooling lines. Decay of the metastable upper level 2 2 S (n = 2, l = 0, lifetime 0.12 s) into the ground state 1 2 S by emission of two photons (see end of section 6.3.4.3) of total energy hνα . Averaged over many transitions, the decay forms a continuum. Diffusion of Lα photons into the optically thin line wings from where they can escape the HII region.

14.4.4 Bremsstrahlung In a hydrogen plasma of temperature T and electron density n e , the electrons have a mean velocity proportional to T 1/2 . The protons are much heavier and, therefore, almost at rest. As an electron passes a proton, it is accelerated and changes its direction, usually only a little. The acceleration of the electron leads after the dipole formula (1.97) to electromagnetic radiation. • The monochromatic emission coefﬁcient is (without proof)

ν

=

8 3

2πm e e6 gff n 2 e−hν/ kT . e 3kT m 2 c3 e

(14.41)

**The emission spectrum is at low frequencies ﬂat,
**

ν

5.44 × 10−39 n 2 T −1/2 erg cm−3 s−1 Hz−1 ster−1 e

•

because exp(−hν/kT ) 1 and the Gaunt factor gff 1. In a plasma at 8000 K, the Boltzmann factor e−hν/ kT becomes important only at wavelengths λ < 10 µm. Denoting by gff the frequency average of the Gaunt factor, the total ¯ bremsstrahlung emission is 4π

ν

dν =

2πkT 32πe6 gff n e n p ¯ m e 3hm e c3 √ 1.42 × 10−27 gff n 2 T erg cm−3 s−1 . ¯ e

(14.42)

•

**The continuum absorption coefﬁcient of the plasma follows from Kirchhoff’s law. At radio wavelengths Kν = Bν (T )
**

ν

0.173 1 + 0.13 log

T 3/2 ν

nenp ν2

cm−1

(14.43)

implying a continuum optical depth τc ∝ ν −2 . Deﬁning the emission measure by EM = n 2 ds e (14.44)

456

**Diffuse matter in the Milky Way
**

τc can be approximated by [Alt60] τc = 0.082a(ν, T )T −1.35 ν GHz

−2.1

EM

(14.45)

•

•

where the factor a(ν, T ) 1 and the emission measure is in the unit pc cm−6 . Below a turnover frequency νturn , the HII region is opaque, above transparent. When it is opaque, one receives a ﬂux Sν that is proportional to the Planck function, Sν ∝ Bν ∝ ν 2 ; when it is transparent, Sν ∝ τν Bν ∝ ν −0.1 . Bright and compact HII regions have typical emission measures 107 pc cm−6 . At T = 8000 K, they become optically thin at frequencies above νturn ∼ 2 GHz. Measuring the integrated radio ﬂux Sν of an optically thin source allows to determine the number of stellar ionizing photons Nc , Nc = 7.54 × 1046 ν GHz

−0.1

T 104 K

−0.45

D kpc

2

Sν Jy

s−1 . (14.46)

One can then infer the spectral type of the exciting star (table 14.3). In case of a compact source, one has to make allowance for the absorption of Lyc photons by dust. Because the integrated radio ﬂux is Sν ∝ nenp d V

•

one can also derive from Sν the mean electron density if the volume V is estimated from the linear size of the HII region. A young HII region appears, ﬁrst of all, as an infrared source whose spectral energy distribution is dominated by dust and peaks typically at 60 µm. With the help of table 14.3 or equation (14.22), one can predict from (14.46) the radio ﬂux Sν that a star of certain stellar type or mass will produce. Because the dust emission drops with frequency like ν 4 , whereas the radio spectrum is ﬂat, bremsstrahlung exceeds dust emission at long long wavelengths. The cross-over is usually at λ ∼ 3 mm.

14.4.5 Recombination lines Important information on HII regions is provided by recombination lines. They arise when electrons recombine with protons, or other ions, and cascade downwards. For hydrogen-like atoms, the frequencies follow from the Rydberg formula (n > m) 1 1 − 2 . ν = cRZ2 2 m n Z is the electric charge of the atomic nucleus (Z = 1 for H) and R the Rydberg constant (for inﬁnite nuclear mass, R = 109 737.3 cm−1 ). Transitions

Mass estimates of interstellar clouds

457

n → n − 1 are called α-lines, n → n − 2 are β-lines, and so forth. Because the recombination and Einstein coefﬁcients are known, the strength of the lines yields directly the number of ionizing photons in an HII region. Optical lines (Balmer lines, like Hα) can be very bright but in order to be interpreted they have to be corrected for dust extinction. De-reddening by means of an extinction curve (ﬁgure 7.8) requires observations of several lines at different wavelengths. The procedure is often ambiguous because one does not know how much dust resides within the HII region and how much is in the foreground. The problem is less severe in the near infrared (Brackett and higherorder lines). Interstellar dust extinction is irrelevant for transitions between high quantum states. Such radio recombination lines can be detected from very obscured and optically not accessible places. When combining the radial velocity with the rotation curve of the Milky Way, one obtains the (kinematic) distance of the source. The lines thus reveal the spiral structure of the Milky Way as traced by bright star-forming regions. We add three other interesting features of radio recombination lines: • As the Einstein coefﬁcients are small, the levels have a long lifetime and they are reshufﬂed by collisions leading to a population that is close to thermodynamic equilibrium, at the temperature of the ionized gas (see (5.40)). Because electrons with high quantum numbers are far from the atomic nucleus, nuclei of the same charge but of different mass produce only slightly shifted frequencies. For example, the relative difference ν/ν between H und He radio recombination lines is 4.1 × 10−4 which allows us to observe both lines in one measurement, thus enhancing the accuracy of line and abundance ratios. The highest transitions observed are around n ∼ 700. The atomic radius r ˚ increases with quantum number like r = a0 n 2 (Bohr radius a0 = 0.529 A) and such highly excited atoms have macroscopic sizes (> 1 µm).

•

•

**14.5 Mass estimates of interstellar clouds
**

The amount of interstellar gas, Mgas , that an astronomical object contains, be it a galaxy, a molecular cloud or a stellar disk, is one of its prime parameters, like luminosity or size. We summarize a few methods for estimating Mgas . None of them is very precise, so one employs as many methods as possible and takes an average. 14.5.1 From optically thin CO lines Consider rotational CO transitions j + 1 → j in a homogeneous cloud of temperature T and column density N j of molecules in level j . If (ν) is the

458

Diffuse matter in the Milky Way

Gaussian line proﬁle from (13.59), the optical thickness τν becomes τν = N j g j +1 c2 b j +1 − hν A e kT 1− 2 j +1, j g j 8πν bj (ν) (14.47)

where b j = N j /N ∗ denotes the deviation of N j from the LTE value N ∗ (see j j (13.69)). Let ν = 2H be the half-width in frequency of the absorption proﬁle and τc the optical depth in the line center. One then ﬁnds that in LTE (b j = b j +1 = 1), the column density of the upper level is given by N j +1 = τc hν/ kT e 3h v − 1 16π 3 µ2 π 2j +3 . ln 2 j + 1

µ is the dipole moment of the molecule and v = c ν/ν. The optical depth in 1) but for the isotope C18 O, the center of millimeter CO lines is always high (τc τc is often below one. Then v is also the observed linewidth and τc follows from the line temperature TL = τc T . If v is given in cm s−1 N j +1 = 6.81 × 109 v 2j +3 TL hν/ kT − 1 j + 1 T e cm−2 .

The column density of the upper level, N j +1 , is roughly proportional to the line area TL v. It depends only weakly on the kinetic gas temperature T and can be converted into the total CO column density N(CO) with the help of the Boltzmann distribution (5.8) and from there to the molecular hydrogen column density, N(H2 ), assuming the standard ratio [H2 ]/[CO] = 104 . 14.5.2 From the CO luminosity Most molecular clouds do not collapse under their own gravity but seem to be virialized. Their typical internal systematic velocity v is then determined by the cloud mass M (section 15.2.1). If R denotes the cloud radius, v The CO luminosity is deﬁned by L CO = Abeam

line

G M/R.

Tmb (v) dv

(14.48)

where Abeam is the area of the beam at the distance of the source and Tmb is the observed main-beam-brightness temperature (section 13.1.4) of a CO rotational line, usually the (1–0) or (2–1) transition. It is customary to measure L CO in pc2 K km s−1 . The integral in (14.48) extends over the whole line. As long as the source is smaller than the beam, the product Abeam Tmb and thus L CO is constant,

Mass estimates of interstellar clouds

459

independent of the beam size. If the mass fraction of stars within the cloud is negligible such that M Mgas , then T L CO ∝ √ Mgas n (14.49)

where T is the cloud temperature and n the number density of the gas. If one √ assumes that the ratio T / n is constant for all clouds, the CO luminosity is directly proportional to the cloud mass, although the CO line may be optically very thick. Of course, the relation (14.49) must be calibrated. The assumed √ constancy of T / n implies that the gas temperature goes up when a cloud becomes more compact. By and large, this may be so, possibly as a result of increased star formation in dense regions but it is certainly not a rule. Nevertheless, the method seems to work, at least, better than we understand. The CO luminosity is also used to derive gas masses of galaxies. Gas motions there are large, of order 200 km s−1 , comparable to the rotational velocity of the Milky Way. The gas kinematics are entirely determined by the gravitational potential of the stars, and not by the gas. Nevertheless, equation (14.49) is applicable. When one makes an observation towards the center of a galaxy, the CO line will have a width of the same order, say, 200 km s−1 . As the beam usually covers a linear scale of a few hundred pc or more, at the distance of the galaxy, it samples many giant molecular clouds. Each GMC produces a relatively narrow line, say, of 10 km s−1 width. The observed line is then a superposition of many sublines that are well separated, either spatially because they come from different locations in the galaxy or in frequency space because they have different Doppler velocities. The contributions from the GMCs thus add up linearly to give the total gas mass of the galaxy. In the CO (2–1) line, for example, an average over a large sample of spiral galaxies yields L CO ∼ 4Mgas when Mgas is measured in M and L CO in pc2 K km s−1 . Of course, the masses from the CO luminosity refer only to the molecular gas. How to estimate column densities of the HI gas was discussed in section 14.3.4. Masses from dust emission (see later) include both components, HI and H2 . 14.5.3 From dust emission Because the dust absorption coefﬁcient K λ drops quickly with wavelength (ﬁgure 12.10), almost all interstellar clouds are transparent in the submillimeter and millimeter region. The observed ﬂux Sλ from the dust is then directly proportional to the dust mass Md . If the dust temperature Td is uniform over the source, K λ Bλ (Td )Md . (14.50) Sλ = D2 The distance D is usually known, Td has to be derived as a color temperature from the ﬂuxes at, at least, two wavelengths (see (8.20) and discussion thereafter)

460

Diffuse matter in the Milky Way

or from molecular line data. At long wavelengths, when hc/λkT 1, the Planck function Bλ (Td ) is not very sensitive to the exact value of Td . A favourite observing wavelength is λ = 1.3 mm because the atmosphere there has a window of good transmission. The critical quantity in (14.50) is the absorption coefﬁcient per gram of interstellar dust, K λ . At λ = 1.3 mm, one is in the Rayleigh limit (grain radius a λ), and the grain size distribution is fortunately irrelevant. One may, therefore, use the absorption efﬁciency (3.3), Q abs = λ 6nk 8πa . λ (n 2 − k 2 + 2)2 + 4n 2 k 2

In our dust model, whose optical constants are displayed in ﬁgure 7.19 and which is detailed in section 12.4, bare silicates have at this wavelength (n, k) (3.4, 0.04) and amorphous carbon (aC) has (n, k) (12, 4). These numbers imply Q 1.3mm = 0.86a 2.13a for silicate dust for amorphous carbon dust (14.51)

when a is measured in cm. The mass absorption coefﬁcient per gram of silicate or carbon dust becomes K 1.3mm = 3πa 2 Q 1.3mm = 4πa 3ρ 0.26 cm2 0.64 cm2 per g of Si per g of aC . (14.52)

For the material density of the dust, we put for both components ρ = 2.5 g cm−3 . With a dust-to-gas mass ratio in the diffuse medium of Rd = 1 : 140, one obtains K 1.3mm = 0.0026 cm2 0.41 cm2 per g of interstellar matter per g of dust . (14.53)

**Equation(14.53) may be extrapolated to far infrared wavelengths by assuming Q λ ∝ λ2 , K λ = 4.4 × 10−5 λ cm
**

−2

cm2 per g of interstellar matter.

(14.54)

Flufﬁness of the grains as well as ice mantles tend to increase K λ , so that in dense and cold clouds (see ﬁgure 12.10) it may be ﬁve to ten times bigger than that given in (14.54).

Chapter 15 Stars and their formation

To get an idea of how the elements that make up interstellar dust are created, section 15.1 deals with nulear burning, in particular, with the pp chain and the 3α process. We then present approximate formulae for the luminosity and lifetime of individual stars, discuss the initial mass f unction (IMF) which speciﬁes how masses are distributed when stars are born, and show averages for star clusters displaying an IMF. In section 15.2, we delineate the structure of cloud clumps at the verge of gravitational instability and present Jeans’s criterion for collapse to actually occur. In section 15.3, we numerically analyse the equations for spherical, isothermal collapse and derive, for the earliest stages of protostellar evolution, the approximate density and velocity structure of the protostellar clump. Section 15.4 treats disks which inevitably form as the result of cloud rotation and which have a strong effect on the appearance and dynamical evolution of protostars, to say nothing about planet formation. The results of section 15.3 and 15.4 serve as the basis for models of dust and molecular line emission in chapter 16.

**15.1 Stars on and beyond the main sequence
**

15.1.1 Nuclear burning and the creation of elements Stars form the most obvious component of the Milky Way. They are, by and large, the ultimate source of luminosity in galaxies. The energy is generated in the stellar cores by fusion of atomic nuclei. During the main-sequence phase, hydrogen is burnt into helium. In the post-main-sequence phase, when hydrogen has been exhausted, elements of atomic mass number greater than four are produced by compounding helium nuclei. The energy yield per gram of matter is then one order of magnitude smaller. Fusion ends with the generation of iron which has the lowest binding energy per nucleon; heavier nuclei release energy not in fusion but in ﬁssion. An example is uranium 235 U where ﬁssion, here on Earth, has very diverse technical applications: to supply electricity to our homes, or to remove 10 000 homes in one blow. 461

462

Stars and their formation

Table 15.1. Standard solar abuncance of selected elements and their origin from [And89] and [Tri89]. Element H He C N O Ne Mg Al Si S Fe Relative abundance 1 0.10 3.6 × 10−4 1.1 × 10−4 8.5 × 10−4 1.2 × 10−4 3.9 × 10−5 3.0 × 10−6 3.6 × 10−5 1.9 × 10−5 3.2 × 10−5 Origin Big bang Big bang, H-burning He-burning From carbon during H-burning He-burning C-burning Ne-burning Ne-burning O-burning O-burning Pre-supernovae

Nuclear burning not only supplies energy but also creates elements. We are mostly interested in the origin and abundance of carbon, nitrogen, oxygen, magnesium, silicon and iron as they are, together with hydrogen, the building blocks of interstellar dust and constitute the most frequently observed molecules. They are synthesized during the major burning phases and that qualitatively explains why they are so common. Estimates of their abundances are summarized in table 15.1, the burning phases are described later. Nuclear astrophysics is the branch where the synthesis of elements is studied. According to standard cosmological theories, none of the atoms heavier than helium can have been created in the Big Bang in any relevant amount. So they were made afterwards. But obviously, not all elements can have been synthesized by α-particles in nuclear burning. Nor does adding a proton to a helium core and then another and another usually work in building up heavier nuclei. For example, helium has more binding energy per nucleon than its heavier neighbors in the Periodic Table: lithium, beryllium and boron. So the latter three cannot be fused in this way. Instead, the light elements are probably made in cosmic-ray spallations. Most other elements (besides C, N, O, Ne, Mg, Si) and the plethora of isotopes are built by neutron capture. Neutrons are made in various side-branch reactions. They do not feel the Coulomb repulsion and easily penetrate an atomic nucleus. The resulting new atom can be a stable isotope or be unstable to β-decay. • • When the rate of neutron production and capture is slow compared to β-decay, as during the quiescent post-main-sequence burning stages, one speaks of s–processes. When it is rapid, as in supernova explosions and some late stellar phases,

Stars on and beyond the main sequence

463

more than one neutron is captured before the nulceus β-decays. In this case, one speaks of r–processes. 15.1.2 The binding energy of an atomic nucleus To understand nuclear burning and the resulting element abundances, we must know how tightly atomic nuclei are bound. The approximate energy of a nucleus containing N neutrons of mass m n and Z protons of mass m p , altogether A=N+Z particles, can be derived from the liquid drop model where one considers the binding of the nucleons in analogy to the chemical binding of molecules in a water drop (section 9.5). According to this model, the density in the nucleus is constant and there is mutual attraction only between neighboring particles. The total energy of the atomic nucleus consists of the energy equivalent of the mass of the free particles minus the binding energy E b > 0, W = Z m p c2 + Nm n c2 − E b . For A > 4, approximately Eb = α A − β A 3 − γ

2

(15.1)

δ e2 Z (Z − 1) (N − Z )2 ± . −η 1/3 A A A

(15.2)

The binding energy per nucleon, E b /A, is plotted in ﬁgure 15.1 as a function of atomic number Z . We discuss the individual terms in (15.2): • • The ﬁrst is due to the strong force and its value per nucleon is constant, equal to α. The second term is a correction to the ﬁrst because some nucleons, their number being proportional to A2/3, are on the surface of the nucleus and have fewer neighbors. It produces in ﬁgure 15.1 the decline at small Z . Term 1 and 2 correspond to equation (9.58) which gives the energy of an ordinary liquid drop. Term 3 comes from the Coulomb repulsion which acts not only between neighboring particles but everywhere and here over a mean distance proportional to the radius of the nucleus, or to A1/3. This also brings E b /A down at large Z so that the function E b /A obtains a maximum at intermediate Z . Term 4 follows from the Pauli principle and very much improves the approximation. When it is included, E b /A peaks near iron ( A = 56) at about 8.8 MeV. The term is zero if there is an equal number of neutrons and protons, N = Z . To derive it, one assumes that the energy levels available to the nucleons have a constant separation and that the same level can be occupied by a neutron–proton pair but not by two neutrons. It is then easy to

•

•

464

Stars and their formation

Figure 15.1. Binding energy E b /A per nucleon of the most abundant isotope (but including deuterium) of each element. Filled circles are derived from mass excess as tabulated by [Lan80] and are connected by a full line. The dotted curve is a ﬁt after equation (15.1). It is quite satisfactory all the way from uranium down to lithium, except for nitrogen. Parameter values are given in the text. The insert is merely a magniﬁcation.

•

show that the binding energy decreases proportionally to (N − Z )2 when N > Z. The ﬁnal term is relatively small and takes into account the effect of pairing among nucleons. It is positive when N and Z are both even, negative when both are odd, and zero otherwise. It introduces the zigzag and the local peaks when an atom consists of a multiple of α-particles (4 He, 12 C, 16 O, 20 Ne, 24 Mg, 28 Si, . . .).

The coefﬁcients in equation (15.2) are determined by a combination of theory and experiment and are listed in the special literature. We used, in ﬁgure 15.1, α = 15.7, β = 17.8, γ = 0.71, η = 23.6 and δ = 132 MeV, with no attempt for optimization.

263 MeV per fused He nucleus they carry away is lost.282 × 10−5 erg = 26. The strong force has a range of order ∼10−13 cm. which has a central temperature of 1.1. In other words. Because this process is at work in the Sun. positrons and as the kinetic energy of the reaction products. In the Sun. the average kinetic energy of atoms is only 2 keV or a thousand times smaller. so it does not discern between protons and neutrons. (15.Stars on and beyond the main sequence 15.7% of the mass is converted into energy. PMaxw (v).3) appear in the form of γ -rays.5 × 107 K. The chance.3 Hydrogen burning 15.4) The 1. The fusion of one helium nucleus thus liberates mc2 = 4. helium is created in the proton–proton or pp chain. All γ -photons collide with other particles and deposit their energy in the form of heat. deuterium is generated according to 1 H + 1H −→ 2 D + e+ + νe + 1.3. of ﬁnding in the tail of the Maxwellian .442 MeV include the annihilation energy of the positron e+ and the energy of the electron–neutrino νe . we discuss a few details. 15.12 × 10−3 .1. ∼0.1 Energy yield in hydrogen burning 465 When stars are on the main sequence. The neutrinos have an extremely small cross section and escape from the burning core without interacting with the stellar material. Usually the Coulomb force prevents protons from coming close together but at very short distances the strong nuclear force sets in and overcomes electric repulsion. they burn hydrogen by melting four protons into helium. The potential barrier between two protons separated by a distance r = 10−13 cm is E b = e2 /r ∼ 1. The mass difference m = m He2+ − 4m p is such that m/4m p = 7.73 MeV released in reaction (15. The chain consists of three major steps: In the ﬁrst step. it binds the nucleons but is not felt outside the nucleus.3. A helium nucleus (mass m He2+ ) is a bit lighter than four protons. (15. The positrons unite with electrons and are annihilated producing γ -rays. The 26. The strong force is insensitive to the electric charge of the nucleons. up to masses a little more than 1 M .1.5 MeV. 41 H −→ 4 He.3) From burning 1 g of hydrogen into helium one receives 6. excluding gravitational collapse into a black hole. The energy of 0.73 MeV. neutrinos.40 × 1018 erg and this provides the greatest energy reservoir of a star.2 The proton–proton chain In all low-mass stars.442 MeV.

the system is unbound. When the spins of the two nucleons are anti-parallel. The distance L at which tunneling sets in follows from 1 2 2 2 m p v = e /L. we ﬁnd that tunneling already occurs at a distance L ∼ 5 × 10−12 cm.466 Stars and their formation velocity distribution atoms with a kinetic energy of 1.13)). up. however. It is mediated by the weak nuclear force which has an extremely short range (∼10−15 cm) and is 1012 times weaker than the electromagnetic force. In the ﬁnal step the build–up is completed by 3 He + 3 He −→ 4 He + 2 H1 + 12. It is so much faster because it requires only the electromagnetic and not the weak force. (15. a neutron of one up and two down quarks. After the tunneling. Because the conversion of a proton into a neutron must take place in the short time while the proton traverses a distance of ∼10−13 cm. As the protons get faster. a deuteron. there is a transformation p = (up.859 MeV. The appearance of a γ –quantum is necessary for the conservation of energy and momentum. down). It is. not enough to have the two protons approach each other via tunneling to a nuclear distance. the reaction (15. The photon energy is accounted for in the 5. 2 D + 1H −→ 3 He + γ + 5.493 MeV (15. while PMaxw (v) decreases. this state is excluded because the two protons are identical and as fermions their quantum numbers must not coincide. when they are parallel. down) −→ n = (up. Only then does one have a stable system.4)). When we evaluate the velocity where Ppen (v) has its maximum.5 MeV is negligible (see (5. We can estimate the tunneling probability Ptun (v) for protons of velocity v from (6. The penetration probability. The reason is that the potential of the strong force depends on the spin direction. The only way protons can unite is by tunneling through the Coulomb potential barrier. with a binding energy of 2. far beyond the range of the strong force. Ppen . is given by Ppen = PMaxw (v) · Ptun (v). there is an ephemeral pp complex but it is not stable: 2 He does not exist. therefore. A proton in the Sun has to wait ∼1010 yr before it is incorporated into a deuterium atom.57). using calculus. although this formula applies strictly only to square potentials in one dimension. One of the protons must also be converted into a neutron (see reaction (15.23 MeV.6) .4) proceeds very slowly. down. Because a proton consists of two up and one down quark. The next step.493 MeV. Ptun (v) increases. the complex is bound.5) follows only seconds later.

however. the cycle can only operate if initially one of the catalysts is present. The seemingly simple reaction 3 He + p → 4 He is irrelevant because it involves the weak force. two α-particles unite to 8 Be. symbolically 12 C −→ p 13 N −→ β 13 C −→ p 14 N −→ p 15 O −→ β 15 N −→ p 12 C + 4 He.1. 15. Therefore. after helium. Of course. First.4 The 3α process The next element. The proton captures.3. It is also more sensitive to temperature: the energy production rate is at 18 × 106 K roughly proportional to T 18 versus T 4 in the pp chain. 15. when the stellar mass is slightly above 1 M . 14 N will build up until an equilibrium abundance is reached. The CNO cycle requires higher temperatures than the pp cycle because the Coulomb barriers are higher. α+α −→ 8 Be + γ − 92 keV . β stands for β-decay. so the Coulomb repulsion is strong and as they are also rare.7) The letter p above an arrow indicates proton capture. The burning process consists of two steps.3 s). The beryllium atom resulting from the ﬁrst step. (15. one builds up nuclei of subsequently higher mass number but eventually ends up again with a 12 C atom plus an α-particle. the CNO cycle is the major source for nitrogen in the universe.. The β-decay reactions in (15. The 3 He nuclei are doubly charged. Because of the strong Coulomb repulsion between α-particles. The CNO cycle dominates when the central stellar temperature is higer than ∼18 million K or. The net result of the reaction chain is again the conversion of hydrogen into helium. even if ones starts out with no nitrogen at all.3 The CNO cycle In all massive stars.Stars on and beyond the main sequence 467 For this reaction to proceed. Indeed. synthesized in stars by burning is carbon. B but they are far less common.7) proceed quickly (102. The elements C. In this way. Be. then another α-particle is added to transform beryllium into carbon. equivalently. the reaction is fairly slow with a time scale of order 106 yr. In the sun there are other channels besides (15. It is made in red giants by fusing three α-particles.. the preceding two must have occurred twice. and then another and another.6) involving the elements Li. on about the same time scale that a free neutron disintegrates into a proton. electron and anti– neutrino. N and O that give the burning its name take part in the reactions only as catalysts: in equilibrium.1. their abundance does not change. are much slower. It may be started by adding a proton to a 12 C atom. the temperatures have to be above 108 K. there is an alternative mode of hydrogen burning: the CNO cycle. by far the slowest step being the formation of 15 O from 14 N which takes about 300 million years.

more frequent).288 Me above the complex 8 Be + α (ﬁgure 15.288 MeV 8 Be + α 7. (15.8). This makes a tremendous difference considering the extreme temperature sensitivity of the 3α process. and a temperature rise of only 5% makes the reaction ten times faster. however.8) When the temperature in the stellar core reaches 1. It allows the triple-α process to operate already at a temperature of 1. E∗ . C∗ . This reaction is endothermic requiring Q = 92 keV. Now it is important that carbon possesses an excited state.2 × 108 K.2 × 108 K.65 MeV above the ground level but only E R = 0. The small fraction of beryllium nuclei reacts further to form carbon. 8 Be + α −→ 12 C + γ + 7. Once formed. The energy yield in the 3α process per gram of matter is ten times lower than in hydrogen burning. the cross section for creating C∗ has a sharp maximum (resonant reaction).468 Stars and their formation C* 0.2.65 MeV 12 C Figure 15.38). The formation of 12 C from the unstable compound (8 Be + α) proceeds through the resonant state C∗ . unstable and α-decays. C∗ may then de-excite to the ground state 12 C (α-decay is. however. which lies = 7. For those atoms whose kinetic energy is close to E R . the energy production rate is proportional to T 30 . This follows from the Saha formula when one makes some obvious modiﬁcations in (5.37 MeV. Without this.2). in the form of 8 Be. the stellar interior would have to be as hot as 2 × 108 K for helium to burn into carbon. is. it goes in both ways. the average 15 keV and in thermal equilibrium about kinetic energy per particle is 3 kT 2 1 out of 1010 atoms will be on the right-hand side of (15. so we may write 2α ←→ 8 Be. The existence of the state C∗ speeds up the reaction 8 Be + α →12 C by a factor 107 . At ∼108 K.

32 MeV + 9. They are based on computations of stellar evolution and adapted from [Mas88]. L ms and L av . To ﬁrst order. so the consumption rate is higher. G. 15. A. and the luminosity the speed of its consumption. oxygen. Stars are best classiﬁed by their line spectrum.007c2 erg per gram of burnt matter (see (15.16 MeV + 9. The initial chemical composition of the star as well as its mass loss rate have some inﬂuence on the results but it is not important for our purposes. magnesium and so forth can be generated through the capture of α-particles. assuming that 20% of the mass of the Sun is in its hydrogen burning core and that the energy yield is 0.9)–(15. the upper limit being rather uncertain. Formulae (15. The stellar mass m is not an observational quantity and much less certain. despite the fact that the post-main-sequence phase is short. M) or effective temperature Teff . can be several times greater than the main sequence luminosity L ms .3)). to a large degree. the luminosity averaged over the total lifetime of a star.98 MeV.1 are approximations of the parameters τms . neon. +α +α 20 Ne + γ + 4. m . L av . and the luminosity class (roman numbers from I to VI) or surface gravity. as a function of the stellar mass m. K. τms .Stars on and beyond the main sequence 469 Once carbon is present. The subsequent evolution is very quick: ﬁrst. F. Most of this time. one gets a lifetime of 20 billion years.08 and 100 M . between 0. It can be directly determined only in binary systems. because giants are so bright.5 Lifetime and luminosity of stars Stars are born with masses. Here are some reactions with their energy yield: 12 C + α 16 O 20 Ne −→ −→ −→ −→ 16 O + γ + 7. τ ∝ L The stellar mass ﬁxes the amount of fuel. Their lifetime τ and luminosity L determine.13) and ﬁgure 15. For example. because 90% of the fuel reserve has already been used up. the stellar population and the optical and infrared appearance of the Milky Way. not bad as a ﬁrst estimate. a star spends on or near the main sequence. and second. The analysis yields the spectral type (O.73 MeV 24 Mg + γ 28 Si + γ 24 Mg + α When taken per gram of stellar matter. Therefore. B. because the star has become a giant and is generally much more luminous. the yield decreases as heavier elements are synthesized. . m. However.1. the total lifetime is not much longer than the main sequence lifetime.

(15. (15. or elsewhere.14) . L ms = • 1.470 Stars and their formation When lifetimes are expressed in years. A fundamental problem concerns the distribution of masses of young stars.5 Main sequence luminosity: For m ≥ 1 M .65 0. when the initial mass m > m SN = 6 M . log L ms = 4.2 ≤ m ≤ m SN 0. . m+dm.12) L av is expressed through the mass m rem of the stellar remnant.77 × 1010 max m rem . i. L ms .13) 2.594 .2)1.293 m < 2.1m m > m SN .4 0. as in Orion.7 of the heavy elements (the ashes).34 0. then d N(m) ∝ ξ(m) dm (15.65 1.65 m 0.65 ≤ m ≤ m SN : m ≤ 0.6 The initial mass function Stars generally form in clusters.9) • Average luminosity (mean over lifetime of star including giant phase): L av = 9.594 ≤ m ≤ 7.2 m rem = (15. either born in clusters.6 ≤ m ≤ 1 m ≤ 0.105(m − 2. 15.2 × 109 m −1.293 2.11) m > 7.65 ≤ m ≤ 2.77 × 1010 in (15.4 + 0.85 τms = 107 + 5 × 109m −2. The constant 9. (15.51m 3 0.989 × 10−3 + 4. almost simultaneously.e. An outstanding example is the very compact cluster in Orion around the Trapezium which contains over 2000 members with a stellar density of more than 104 pc−3 .1. one gets the following results • Main sequence lifetime: 3 × 106 + 1.6.012m 4.12) assumes an energy yield of 6 × 1018 erg per gram of burnt remnant matter with a mass fraction of 0. .616 log m − 0. It is a white dwarf when the initial mass 0. τms (15. If d N(m) stars are born in the mass range m . It is a neutron star or a black hole when the progenitor explodes as a supernova.10) For m < 1 M .1 × 1010 m −3. stellar masses in M and luminosities in L .6557 log2 m − 0.06313 log3 m.7 1.

Two analytical expressions for the IMF are in wide use [Sal55. prone to observational bias by the detection limit as young clusters are always heavily obscured by dust. . This leads to a function ψ(m) such that ψ(m) dm is the present stellar density for the mass interval m . (15. . When one restricts the counting to main sequence stars. refer to 1 M of gas that has transformed into stars.4 illustrates how stars of different masses contribute to the total luminosity and thermal radio emission of a cluster with mass distributions as given in (15. An outer pressure P0 is exerted on the cloud surface.966 ln m − 0. the number of stars per mass interval. N (15. A much more direct approach to ﬁnd ξ(m) is to count in a young stellar cluster. .3) and assuming that the star-formation rate has been constant over the past.1 Virialized clouds Consider an interstellar cloud of volume V consisting of N atoms. Also. . 15. ξ(m) = m −2. Such a method is. One arrives at the initial mass function ξ(m) by deconvolving ψ(m) with the stellar lifetime τ (m) (see again ﬁgure 15. all of equal mass m and with coordinates x j . one often assumes 0. the result from any one cluster is not representative for the Milky Way as a whole. abbreviated IMF. One way to derive the IMF observationally is to count the number of stars in the solar neighborhood per interval of apparent visual magnitude m V .1 M and 50 M . m + dm. Then one determines their distances to obtain the luminosity function φ(MV ). MV can be uniquely translated into a stellar mass m (see ﬁgure 15.2 Clouds near gravitational equilibrium 15.2. m l and m u . . The virial theorem asserts a relation between the various forms of energy when the cloud is in equilibrium so that all time derivatives with respect to the cloud as a whole but not with respect to an individual particle.15). For the lower and upper mass limit of stars.Clouds near gravitational equilibrium 471 deﬁnes the initial mass f unction ξ(m). One may alternatively try to determine ξ(m) theoretically by making certain assumptions about the processes during star birth.16) .206 ln2 m) m Salpeter IMF Miller–Scalo IMF.15) The functions are not normalized. Mil78]. respectively but these numbers are debatable and depend on the environment. The theorem follows immediately from the equation of motion. where no member has yet evolved off the main sequence.35 1 exp(−0. for example. vanish. they may. however. It gives the number of stars per unit volume and interval of absolute visual magnitude. Figure 15. ¨ F j = mx j i = 1.3). .

dotted line shows L av which is an average over the whole stellar life including the giant phase.472 Stars and their formation Figure 15. They also live much longer than 1010 yr. L ms L av .9).3.13). The bottom one their luminosity after (15. without increasing their luminosity. so their post-main-sequence evolution does not bother us. when one multplies by x j and sums over all particles. The former move after the exhaustion of hydrogen in the Hertzsprung–Russell diagram horizontally to the right.17) . The full curve gives main sequence luminosity L ms . The latter never turn into giants. (15. Because ¨ x·x = d ˙ ˙ (x · x) − x2 dt one ﬁnds for the time averages (we do not mark them explicitly) Fjxj = − j j ˙j m x2 . The top panel shows the lifetime of stars according to equations (15.10) to (15. For stars of very high and very low mass.

For example. although they comprise 90% of the stellar mass. the gravitational (potential) energy E grav . is from (15.1 M and m u = 50 M .18) is said to be virialized.11). ˙j Without systematic motion. To evaluate this sum. The other sum F j x j can be split into a term containing only those forces F j which act from outside. luminosity L and Lyman continuum ﬂux NL for the Salpeter (full curve) and Miller–Scalo (broken curve) IMF with lower and upper mass limit m l = 0.22). and P0 V . one-tenth of the stars by mass accounts for almost all the luminosity (precisely. The outer forces are due to the external pressure P0 which results in a force P0 d f that is perpendicular to each surface element d f and directed inwards. In other words. the Lyc ﬂux NL (m) is from (14. The end result links the thermal energy E therm = 3 NkT .4. the other containing the inner forces. L(m). in a Salpeter IMF. Virialization is a special cloud property. The inner forces come from mutual gravitational attraction of the atoms. The cumulative mass M. 2 P0 V = NkT + 1 E grav 3 with E grav = − i< j (15. one has to integrate over the cloud surface and transform the expression into a volume integral according to Gauss’ theorem. all kinetic energy is thermal and m x2 = 3NkT .10) and (15. radius R and . For a spherical cloud of uniform density.18) Gm 2 . stars with masses smaller than 10 M account for only 9% of the luminosity. The dependence of the luminosity on mass.Clouds near gravitational equilibrium 473 Figure 15. |xi − x j | An interstellar cloud fulﬁlling (15. for 91%).

It is not valid for comets that ﬂy on a parabolic orbit of inﬁnite extension.2. tKH equals 30 million years.21) tKH = L 2m L where T is an average by mass over the star and m. when pressure and gravitational forces balance exactly everywhere. G Mr dP = − 2 ρ dr r d Mr 2 = 4πr ρ. in a thought experiment. 1 d r2 d P = −4π Gρ. (15. When accretion has ended and nuclear burning not yet started.22) (15. The star is always in equilibrium and exactly half of the liberated gravitational energy goes according to the virial theorem into heating the gas. the luminosity would be sustained over the Kelvin– Helmholtz time scale 3kT M E therm (15.22) and (15.474 mass M. the luminosity L is entirely due to gravitational contraction. a low-mass protostar in its late stage of evolution moves towards the main sequence along the Hayashi track.2 Isothermal cloud in pressure equilibrium In a gas sphere. tKH is a thousand times smaller. (15. its surface temperature is then approximately constant.22) and (15. E grav = − 15. Formulae (15. for O stars.20) also holds for planets and other objects whirling around the Sun if one replaces E therm by the average kinetic energy E kin over a revolution. the other half is radiated away. (15. For the Sun.23) Mr denotes the mass contained in a sphere of radius r . dr (15.25) .18) yields 3kT M −E grav = 2E therm = . When the star is on the main sequence and. one switches off nuclear burning.19) 5R When the outer pressure can be neglected with respect to the central pressure. Equation (15. is the mean particle mass. whereas the stellar radius and the luminosity shrink. as before.24) r 2 dr ρ dr We solve (15.23) subject to the boundary conditions ρ(0) = ρc dρ dr =0 r=0 (15. Stars and their formation 3G M 2 . which is of second order and called the Emden equation [Emd07].23) can be combined into one. (15.20) m For example.

As the cloud temperatures are low. there is a family of solutions. especially of H2 O and CO). The assumption of isothermality correctly reﬂects the conditions in protostellar clouds before they collapse. Heating of such a cloud. we prescribe the central density ρc and its gradient. One still has to add the equation of state. the maximum dust emission lies at submillimeter wavelengths and such photons can freely escape. When the cloud collapses. where r = R. P= kT 2 ρ = vs ρ m (15. In either case. For polytropes. the cloud is conﬁned by an outer pressure P0 which is equal 2 to the pressure just below the cloud surface.27) the isothermal sound speed. which is true during the early protostellar phases.2.Clouds near gravitational equilibrium 475 i.23) are integrated from the center outwards. At the edge. Cooling comes mainly from grains (although some is due to molecular lines.26) where m denotes the mean mass of the gas particles and vs = ∂P = ∂ρ kT m (15. The temperature does not enter but T is nevertheless not uniform over the cloud. the pressure P can be expressed solely by ρ. the central density ρc being the parameter. At the prevailing high densities. By introducing the variables y = ρ/ρc x = r 4π Gmρc /kT (15. For every mass M. the collapse does not enhance the temperature. General solutions of polytropes are discussed in [Cha39].22) and (15. the heating rate per gram of interstellar matter is fairly uniform over the cloud and does not depend on density. As long as the cloud is optically thin to dust radiation. so P0 = vs ρ(R). beneath its surface layer.29) (15. dust and gas are thermally coupled by collisions between gas molecules and grains.e. the Pd V work of the gravitational compression is transferred from the gas to the dust and radiated away.3 Structure and stability of Ebert–Bonnor spheres Equations (15.28) where K is some constant.30) . 15. P = Kρ 1+ n 1 (15. happens either through absorption of far infrared radiation by grains or by interaction of cosmic rays with the gas. Here we are interested in the structure and stability of an isothermal sphere which is described by a polytrope of index n = ∞. which has to be ﬂat.

interior parts are unstable. A cloud in a low-pressure environment settles into an equilibrium conﬁguration. clouds from A over B to inﬁnite radii are stable because ∂ P0 /∂ R < 0. ∂ P0 /∂ R > 0. it follows that (u /x)x=0 = − 1 . When somewhere on this part of the curve the radius is decreased by some inevitable ﬂuctuation. With the help of ﬁgure 15. between A and C. we still have to know how u /x in (15. and ρ falls off in the envelope approximately like r −2 . However.24) can be made dimensionless and brought into the form y − y2 2y + + y2 = 0 y x (15.7 depicts how the radius R of an Ebert–Bonnor sphere varies with the boundary pressure P0 . central density ρc and temperature T extends. In ﬁgure 15.6.32) behaves near zero. As one increases the central density and moves on the curve beyond the point C towards the eye of the spiral.34) one can determine to which value of x u (or radius R) a sphere of given mass M.476 Stars and their formation equation (15. Bon56]. 3 The density is ﬂat in the core.5.31) with the boundary conditions y(0) = 1 and y (0) = 0. they are called Ebert–Bonnor spheres. the cloud arrives at a new conﬁguration where the actual outer pressure P0 surpasses the value required for equilibrium. Its solution describes the structure of isothermal gas balls in equilibrium.7. which is the point of minimum cloud radius. somewhere to the right of point A on the curve in ﬁgure 15.33) where x u = R · integral 2 4π Gρc /vs . Because obviously u /x → u (0) for x → 0. the instability continues. The function P0 = f (R) and the ensuing stability criterion can be studied analytically but the treatment is laborious [Ebe55. which displays the I (x u ) = 0 xu y(x) x 2 d x (15.31) simpliﬁes to u + 2u + eu = 0 x (15.32) with u(0) = 0 and u (0) = 0. Although ∂ P0 /∂ R may again be negative for the cloud as a whole. Thus the cloud is further compressed and ﬁnally collapses. To solve this second-order differential equation by a Runge–Kutta method. Its environment may vary but the cloud is stable and adjusts to a changing outside pressure P0 . The mass of an Ebert–Bonnor sphere is computed from M = 4π 0 R 1 r 2 ρ dr = √ 4πρc kT Gm 3/2 0 xu yx 2 d x (15.7. If we further put y = eu . The result of the numerical integration is shown in ﬁgure 15. Figure 15. When such a cloud is perturbed. (15. Collapse starts only when the Ebert–Bonnnor sphere becomes . it reverts to the conﬁguration whence it started from.

The radial coordinate x is 2 proportional to the cloud radius.36) R=x kT 4π Gmρc = x Gm M . For a ﬁxed cloud mass M and temperature T . we write the outside pressure P0 and the cloud radius R as a function of the dimensionless variable x. critical.37) (15. x = r (4π Gρc /vs )1/2 .411 .40 k4 T 4 G 3m 4 M 2 Gm M.4106. To determine the critical values. Pcrit = 1. The structure of an (isothermal) Ebert–Bonnor sphere after (15. 2 P0 (x) = vs ρc y(x) = kT m 1/2 4 1 G3 M 2 I 2 (x)y(x) 4π (15.Clouds near gravitational equilibrium 477 Figure 15. y = ρ/ρc . In this logarithmic plot. kT I (x) The expressions I 2 y and x/I are readily evaluated numerically.31). P0 attains its maximum at x = 6.38) Rcrit = 0. The density y is in units of the central density. the cloud is stable only if the outer pressure is smaller than the critical value Pcrit and the radius greater than Rcrit .398 and x/I = 0. the broken curve shows for comparison the slope of a density distribution falling off like 1/r 2 .5.450.35) (15. Therefore. kT (15. where I 2 y/4π = 1.

34). the largest possible stable mass for a cold H2 cloud of 10 K is thus only ∼6 M . multiplication of (15. become important and the curves diverge. roughly I (x ) ∝ x . as in a tenuous HII region. pressure gradients. xu = R(4π Gρc vs u u 3 for small ones I (xu ) ∝ xu .18) only in an integral form.22). r When the cloud has a large volume. . 2 )1/2 marks the cloud boundary.22) with 4πr 3 and integration by parts over the cloud radius gives R 0 4πr 3 dP dr = 3P0 V − 3NkT = − dr R 0 G Mr 4πr 2 ρ(r ) dr = E grav . A cloud in pressure equilibrium is also virialized and the virial theorem in the form (15.45. Insert: The functions x/I (x) and y(x) I 2 (x)/4π near the critical value xcr = 6. Indeed. For large values. say P0 = nkT ∼ 10−12 dyn cm−2 .6. Assuming some reasonable pressure to prevail in the interstellar medium.18) follows directly from the equation for hydrostatic equilibrium (15. which are taken into account by the virial theorem in (15. The mass integral I (xu ) = yx 2 d x of equation (15. when the cloud is compact. its density is almost constant and the relations between P0 and R are practically identical for an Ebert–Bonnor sphere and a virialized homogeneous sphere. However.478 Stars and their formation Figure 15.

ρc = 1.24) when R and P0 are normalized to the values of the critical sphere.52) for unmagnetized spheres of constant density. The central density ρc increases by a constant factor of 1. For comparison.4 Free-fall of a gas ball The ultimate simpliﬁcation in the study of cloud collapse is to treat the contraction of a constant density sphere under the inﬂuence of gravity alone. thus neglecting all other forces that arise from pressure gradients. the full curve is from the virial relation (15. at the critical point A. t) denote the radius of an internal sphere that contains . Stable conﬁgurations are only possible from A over B to inﬁnity. at point B. R = 1. magnetic ﬁelds or rotation. Consider a gas sphere of total mass M which at time t = 0 is at rest and has an outer radius R. Let r (m.41 × 10−11 dyn cm−2 .19 × 10−18 g cm−3 .Clouds near gravitational equilibrium 479 Figure 15. The sequence of points shows the general relation between the radius R and the outer pressure P0 for an isothermal gas ball in hydrostatic equilibrium after (15. For an H2 cloud of 1 M and T = 10 K. 15.2 from one point to the next as one follows the spiral of dots from right to left.2. ρc = 2.33 × 1017 cm and P0 = 3.15 × 10−20 g cm−3 .7.

turbulence or outer forces are absent. the cloud is at rest. =− r0 3 r Putting r/r0 = cos2 β. one ﬁnds β+ 1 2 sin 2β = t 8π Gρ0 . 0) and ρ0 denotes the initial constant density. r(m. Integration of (15. like rotation or pressure gradients. It is completed when the cloud has contracted to a point. when r = 0. grain coagulation and so forth. The free-fall time gives the right order of magnitude for the duration of gravitational collapse but rather as a lower limit because all retarding effects. 3 (15. frosting of molecules onto dust particles. This happens for β = π/2.39) yields r =− ¨ r ˙ 8π Gρ0 r0 −1 . ∂t (15.42) (15.41) tff depends only on the initial density ρ0 and is inversely proportional to its square root. J Jeans was the ﬁrst to give a quantitative answer to the question under what conditions a cloud collapses and the stability criterion bears his name.40) β and thus also r/r0 do not depend on the mass m and the collapse therefore proceeds homologously. The collapse is then described by Gm (15. It is often useful to compare tff with the time scale of other processes. from which follows the free-fall time tff = 3π . In a medium of constant temperature T . gas cooling.480 Stars and their formation the mass m ≤ M at time t. i.2. at time t = 0. If they were. the basic gas–dynamical equations of momentum and mass continuity for the time-dependent variables velocity v and density ρ are 1 ∂v + (v · grad)v = − grad P − grad φ ∂t ρ ∂ρ + div(ρv) = 0. 32Gρ0 (15.5 The critical mass for gravitational instability Although in any interstellar cloud there is always some gravitational pull which tries to compress it.e. then obviously 3 4πρ0r0 /3 = m. ˙ When r0 ≡ r (m. magnetic ﬁelds. the star-formation rate would be orders of magnitude higher than what one observes. 0) = 0. are excluded. clouds are generally not in the stage of collapse.43) . such as fragmentation of the cloud into subunits.39) r2 together with the conditions that. It is valid only when rotation. 15.

Writing the density change ρ1 in the form of a plane wave.2 × 1019 T /n cm (15. ρ (15. the maximum mass of an interstellar cloud of given density and temperature that does not collapse is MJ ≈ L 3 ρ = J πk 4Gm 3/2 T3 . where m is the mean particle mass and vs the sound velocity of (15. i. at some later time ρ = ρ0 + ρ1 v = v0 + v1 .45) If the perturbation ρ1 increases exponentially. This occurs when ω is imaginary (ω2 < 0). (15. denoted by the subscript 1. and examine whether it grows or not.46) 4Gmρ For a cloud of molecular hydrogen (m = 2m H ). (15. ρ1 ∝ ei(kz+ωt ) one obtains 2 ω2 = k2 vs − 4π Gρ0 . when the wavenumber k is below some critical value kJ (the letter J stands for Jeans) given by kJ = π = LJ 4π Gmρ0 . We introduce a small perturbation.49) . ≈ 2. Let the medium intitially be uniform and at rest. If the initial values of density and velocity are ρ0 = 0 and v0 = constant.27).44) 2 and the gas pressure P by the equation of state (15. the cloud is unstable.47) where n is the number density of hydrogen molecules per cm3 .4 × 10−19 M cm (15.Clouds near gravitational equilibrium The gravitational potential φ is given by the Poisson equation φ = 4π Gρ 481 (15.e.48) It is called the Jeans mass. kT Do not confuse the symbol k for the wavenumber with Boltzmann’s constant k. (15. Therefore.48) may be written as MJ L T. So a cloud of density ρ and temperature T is unstable to collapse if it has a size greater than πkT LJ = .26). For convenient comparison with observations. L J ≈ 1. P = kρT /m = ρvs .

A homogeneous medium at rest cannot be in equilibrium. Initially. 15. where the dust is warm (Td ≥ 30 K).1 The role of dust in gravitational stability Because an isothermal collapse of a molecular cloud requires radiation losses. therefore.33). Smaller subunits . However. the IMF is heavily biased towards massive stars and low-mass stars do not seem to form at all. these numbers should not be taken at their face value but the remarkably strong dependence of MJ on the cloud temperature may explain the observational fact that in starburst galactic nuclei. min(MJ ) ∼ 0.2 Fragmentation and thermodynamic instability During cloud contraction.50) min(MJ ) = 2. the collapse is isothermal because dust is a very effective coolant. so τ = 1 2 L J Kdρ < 1.482 Stars and their formation A gravitationally unstable clump of one solar mass has. not be taken too literally. If it were.2. ∇φ and thus φ would have to vanish but that is impossible because of the Poisson equation (15.04 M . the dust optical depth τ .49) helps decide whether it should collapse or not.49) should. 15.1 pc. gravitational energy is converted into heat. therefore.4 × 10−7 T 4 M . the minimum fragment mass that can undergo free collapse is (15.6.2. by measuring the temperature T . formula (15. All constants in the preceding equations (15. we thus notice from (15. This derivation of the critical mass MJ from perturbation theory is logically not clean. For example. a size of ∼0. from the cloud center to the surface. gas cooling is relatively inefﬁcient.6 Implications of the Jeans criterion 15.48) that a gravitationally unstable and contracting cloud has the tendency to break up into fragments because the critical mass MJ decreases proportionally with T 3 /ρ as the average cloud density ρ rises. For T = 20 K. When the optical depth is transformed into τ= πk 4Gm 2 Kd T 2 1 2 MJ one sees that clumps of very low mass cannot freely radiate the gravitational energy released in the collapse.6. Of course. the Jeans criterion is qualitatively correct and very useful. Using for K d the Planck mean absorption coefﬁcent K P of equation (13. Continuing our crude analysis of cloud collapse.46)– (15.2. linear size L and mass M of a suspected protostellar condensation.44). must be smaller than unity at wavelengths where dust emission is efﬁcient.

the rise is even steeper.48). 15. According to (15.27) for the sound velocity. When one applies the virial theorem in the form of (15. 5R m 2 . where the outer pressure is absent and the gravitational energy equals twice the thermal energy. Suppose in some place of a cloud the gas is contracting. In a homogeneously contracting cloud.3 Further remarks on the Jeans criterion • The Jeans instability criterion is also valid when the gas pressure is due to supersonic turbulence (because it just compares kinetic with gravitational energy). and the thermal energy by the energy of the turbulent motions. in the corresponding formulae. called fragmentation. to a gas sphere of mass M. it cannot respond quickly enough to the density perturbation and collapse will ensue. When the gravitational energy is not radiated away.51) Besides fragmentation. the value γcr also ﬁgures in protostellar evolution (section 15. Compression then leads to heating and pressure gradients build up which stop the collapse: a hydrostatic core forms. δ Q = dU + P d V = 0. If ttrav is shorter than the free-fall time tff of (15. the cloud will be stable. for which R 3 ρ = constant. One must then replace.20). The information about the contraction travels through the cloud in a time ttrav . Otherwise. So as the cloud shrinks.41).2). and T ∝ ρ γ −1 where γ = Cp /Cv is the ratio of speciﬁc heat at constant pressure to that at constant volume. Isothermality implies γ = 1. the dust optical depth τ grows proportionally to R −2 .Clouds near gravitational equilibrium 483 of the mother cloud become unstable as long as the temperature does not rise faster than ρ 1/3 . the sound velocity vs by the turbulent velocity. 3 (15. for inhomologous contraction.3. there is gravitational instability if γ falls below γcr = 4 . radius R and with M/m gas particles. one gets M 3 3G M 2 = 2 · kT. τ must at some moment exceed unity. This process. is fundamental. also yields the Jeans mass or Jeans length.6. the gas behaves adiabatically. The condition ttrav = R = vs 3π = tff 32Gρ • • together with (15. The isothermal phase ends when the cloud becomes opaque to the cooling radiation.2.

2. one expects the new term for the magnetic ﬁeld to be equal to the total magnetic ﬁeld energy (see (1.2. gravitational or magnetic.1 pc and B = 10 µG.48).18) so that it incorporates magnetic forces. but such reﬁnements are academic as estimates based on the virial theorem are rough anyway. 5R 3 (15. The radius of the critical Ebert–Bonnor sphere also has the same form as the Jeans length (see (15.52) If the ﬁeld is frozen into the cloud. for P.1 Critical mass for magnetized clumps When a cloud is pervaded by a magnetic ﬁeld.18) represent global cloud energies.53) The second expression for Mmag contains the ﬂux = π R 2 B through the clump.18) is generalized to 4π R 3 P0 = 3NkT − 1 3G M 2 + R3 B 2. from 5/3π = 0. 2 G 3/2 ρ 2 48π π G 1/2 (15. the √ proportionality factor drops. equation (15. one immediately recovers the formulae for L J and MJ . • 15. Mmag . One can approximately extend the virial equation (15. Any spherical cloud supported against its gravity by an internal pressure P becomes unstable when P ∝ ρ 4/3 .7 Magnetic ﬁelds and ambipolar diffusion 15. As the terms in (15.48) the critical mass Mmag in the presence of a magnetic ﬁeld (see section 15. We conclude that for R = 0. (15. Indeed. The cloud can. the magnetic pressure Pmag = B 2 /8π. it will do so throughout the subsequent evolution. again but for a factor of order unity.46)) and the two expressions are also practically equivalent.13. . we are led to Mmag in (15.7.52) have then the same 1/R-dependence and if one form of energy. its net effect is to lend further support against collapse. When the analysis is extended and cloud ﬂattening taken into account.38) and (15. dominates at the beginning.24 to 0.56)). the magnetic ﬂux is conserved and the relation B R 2 = constant holds no matter whether the cloud is contracting or expanding. Indeed. Mmag = B3 53/2 51/2 = . the critical mass for collapse is ∼1 M .46) and (15.2.48) as MJ = (π/4G)3/2 P 3/2 /ρ 2 and insert. So the critical value γcr also holds for magnetic pressure Pmag . We can thus extract from the Jeans criterion (15. when we rewrite equation (15. The gravitational and magnetic term in (15.53).484 Stars and their formation Within a factor of order unity. therefore. only collapse if 3G M 2 /5R > R 3 B 2/3.7). This condition leads to a minimum mass for instability in the presence of a magnetic ﬁeld. independently of the physical origin of P. which can obviously be written in two ways. for a spherical cloud threaded by a uniform ﬁeld of strength B.

For homogeneous contraction (R 3 ∝ ρ −1 ). even in molecular cloud cores.2.7. which we now deﬁne for a spherical cloud of mass M and radius R. one assumes a relation B ∝ ρ n between gas density and ﬁeld strength. it limits the pace at which stars can form. and this should be sufﬁcient to effectively freeze in the magnetic ﬁeld. σ u ∼ 2 × 10−9 cm3 s−1 . 2 3 2 15. The strength of the coupling between gas and ﬁeld is expressed through a diffusion timescale td . only contract if its radius is smaller than ∼0. The process is called ambipolar diffusion. n n i . where measurements are easier and B is at least 1 µG. for neutral–neutral collisions it would be a thousand times smaller.Clouds near gravitational equilibrium 485 It is not easy to determine the strength of the magnetic ﬁeld in molecular cloud cores but if one extrapolates from the lower density environment.2 Time scale of ambipolar diffusion Of course. All this suggests that a cloud must ﬁrst get rid of its magnetic ﬁeld through ambipolar diffusion before it can collapse. n = 1 . A 1 M cloud can. cosmic rays alone can probably keep one out of 107 gas particles ionized. where wd is the drift speed between the two components and σ u an average over thermal velocity times cross section.54) Because the slippage occurs between ions and neutrals. because the medium is clumpy and stray UV photons manage to penetrate into the cloud interior. all this is correct only if the magnetic ﬁeld is coupled to the gas. ﬂux freezing (B R 2 = consant) implies n = 2 . For the extrapolation. the diffusion time tad would exceed the cloud lifetime and collapse could not occur. the cross section for momentum transfer is large. each ion imparts to the neutrals per second the momentum n σ u · mwd . otherwise there is no interaction. As ambipolar diffusion is a slow process compared to dynamical contraction. the diffusion time tad is several million years. a more elaborate analysis yields 1 ≤ n ≤ 1 [Mou91]. for example. Let the cloud be close to equilibrium so that the gravitational force is balanced by the magnetic ﬁeld. (15. . Assuming that the density of the neutrals is much larger than the ion density. With n i /n = 10−7 . therefore. in the 3 case of equipartition between thermal energy of the gas and magnetic energy. to clump densities. one ends up with a ﬁeld strength of ∼10 µG or more. and that both kinds of particles have the same mass m.1 pc. The force balance for 1 cm3 is thus GM nm = n i n σ u mwd R2 from which follows the ambipolar diffusion time tad = R ni 3 σu = wd n π Gm 7 × 1013 ni n yr. Should the degree of ionization be much above 10−7 . Although the interstellar matter is mainly neutral. The ions are then kept at their position while the neutrals drift slowly across the ﬁeld lines under the inﬂuence of gravity.

57) A = − R0 2 d R0 1 dω0 −1 −B = R0 + ω0 10 km s−1 kpc .58) 2 d R0 .3 Gravitational collapse 15.2 Rotational and magnetic energy A protostellar cloud rotates. at least.3. the cloud radius has shrunk to ∼2R . and the cold neutral gas turns into a hot plasma of over 107 K with thermonuclear reactions. Today.56) By the time the accretion process is over.9 × 105 yr. a reasonable mean value for the Sun. during some of its protostellar evolution more luminous than it is today. So on the way from the protostellar cloud to the main sequence. let us consider the presolar nebula. Equation (15. namely G M 2 /4R ∼ 1048 erg. has gone into heating. ρ ¯ there are vast changes: the radius shrinks by a factor ∼107 . The initial gravitational and thermal energy of the protosolar nebula are: E grav E therm G M2 R 3kT M = 2m 2 × 1042 erg 1 × 1042 erg.05 pc or 1. The galactic disk does not rotate rigidly but differentially and the angular frequency ω decreases with galactic radius R as described by Oort’s constants A and B: 1 dω0 15 km s−1 kpc−1 (15.1.54 × 1017 cm and a density ρ ∼ 1. Half of the released gravitational energy. this gives a mean luminosity of ∼40 L .486 Stars and their formation 15.4 g cm−3 . (15.3. We know this from the position of T Tau stars in the Hertzsprung– Russell diagram. As a result. This is what the Milky Way does and what all other celestial objects do.1 Gravitational and thermal energy To get a feeling for the parameters of a protostellar cloud. 15.1 The presolar nebula 15. The free-fall time from (15.3 × 10−19 g cm−3 . Evidence from molecular lines and dust radiation from low-mass protostellar clumps indicates a temperature T ∼ 10 K. possibly a bit more as some matter was dispersed and did not fall onto the star. the density increases by 20 powers of ten.41) then becomes tff 1.3. It must have had a mass of 1 M . Over one free-fall time. (15.55) (15. about equal to the travel time of a sound wave through the cloud.38) then yields a critical cloud radius of about R = 0. corresponding to a molecular hydrogen density somewhat above 3 × 104 cm−3 .1. the Sun has a radius R = 7 × 1010 cm and a mean density 1. So very elementary considerations suggest that the Sun was. the gas has acquired an average temperature of ∼3 × 106 K. The other half was radiated away.

conservation of angular momentum I ω implies E rot ∝ R −2 . Note: the previously cited values of A and −B are not up-to-date but easy to remember. This. The magnetic ﬁeld is initially relatively weak but grows with R −2 and should thus be 1013 times stronger in the ﬁnal star. a few times smaller than ω0 . the initial rotational energy becomes E rot = 1 2 2 Iω ∼ 1037 erg. For a presolar 5 cloud. Their uncertainty is about 20%. the numbers for both A and −B tend to converge around 12.58). Flux conservation implies for the contracting cloud B R 2 = constant and thus E mag ∝ R −1 . As protostellar clouds have undergone some contraction by which they were spun up. Because . In the differentially rotating galactic disk. the magnetic energy is E mag = B 2 4π 3 R 8π 3 6 × 1040 erg. In more recent analyses. with two or three spatial coordinates.3. (15. however. 15. Rigid rotation of the disk would imply A = 0 and B = −ω0 . A constant density sphere has a moment of inertia I = 2 M R 2 . so the rotational energy rises steeply as the radius shrinks.Gravitational collapse 487 They are determined observationally and refer to the locus of the Sun where ω = ω0 and R = R0 . Because of the differential rotation of the galactic disk.59) Here we have used dv = ω0 d R0 + R0 dω0 . ω ∼ 10−15 s−1 seems a fair guess for them. the orbital velocity v = ω0 R decreases towards the periphery like dω0 dv = R0 + ω0 = −A − B d R0 d R0 −5 km s−1 kpc−1 . is not what one observes.57) and (15.2 Hydrodynamic collapse simulations Modern hydrodynamic calculations of protostellar evolution are multidimensional. Although this is small compared to E grav or E therm . They are based on sphisticated codes and carried out on computers as powerful as available at the time.5 km s−1 kpc−1 . the orbital speed of an interstellar cloud is higher on the near side facing the galactic center than on the far side. The main mechanism by which a protostellar cloud rids itself of the magnetic ﬁeld is probably ambipolar diffusion. this would reduce ω accordingly [Oll98]. We may envisage a large cloud to revolve around its own axis at an angular frequency ω = |dv/d R0 | 1. From (15.6 × 10−16 s−1 . one ﬁnds ω0 = A − B 8−16 s−1 corresponding to a rotation period of 250 million years. This raises a fundamental problem in the theory of star formation: How do we get rid of the angular momentum? When the protosolar nebula is pervaded by a magnetic ﬁeld of strength B = 10 µG.

one often uses a frequency–averaged (grey) approximation in the spirit of (13. The submillimeter dust radiation is then trapped. it is straightforward to transform (15. (15.61) 2 The geometry is here one-dimensional: density ρ. an example is presented in ﬁgure 15.8.3. Here and in section 15. they usually cannot be adequately presented in plots but have to be visualized in motion pictures.488 Stars and their formation of the complexity of the numerical results. For the latter.62) ∂r During the early phases. the collapse is isothermal. and as long as there are no shocks. the assumption of isothermality has to be abandoned. When a hydrostatic core has formed. so ∂ Mr − 4πr 2 ρ = 0.42) and (15.51).8 or 15.01 M of gas have been accumulated within a radius r ∼ 1014 cm. ﬂow velocities become quickly supersonic because the sound speed is only ∼1 km s−1 in a cloud of 10 K.43)) ∂u 1 ∂P G Mr ∂u +u + + 2 =0 ∂t ∂r ρ ∂r r 1 ∂ 2 ∂ρ + 2 (r ρu) = 0. But when hydrogen dissociates. pressure P = vs ρ and velocity u depend only on radius r . Initially. Mr is the mass of a sphere of radius r .8).6). The numerical solution of the full set of equations [Lar69] leads to a ρ ∝ r −2 density distribution even when starting at constant density (see ﬁgure 15. a naive understanding of what is happening gets lost.60)–(15.60) (15. One must then add to (15. the non-trivial outer boundary condition reads as u = 0. therefore. which happens at a central density of ∼10−3 g cm−3 . and on time t. In this case. the core warms up and settles into hydrostatic equilibrium. For a ﬁxed cloud volume. When the cloud becomes optically thick (see section 15. The sound velocity vs is 2 then constant and in (15. As one can read from ﬁgure 15. we. The released gravitational energy is then no longer used to increase T but to separate the hydrogen atoms. sketch simpliﬁed scenarios which nevertheless catch important aspects of the collapse stages. γ falls below the critical value of 4/3 and the hydrostatic core begins to collapse.62) into difference equations and solve them numerically. The dynamical equations of a spherical cloud can be written as (cf.62) an equation for the conservation of energy (ﬁrst law of thermodynamics) and for the transport of radiation. ∂t r ∂r (15.9. The gas is driven by the gradient of the pressure P and by the gravitational attraction.3. Inevitably. (15.60) the derivative ∂ P/∂r = vs ∂ρ/∂r .60) to (15. the cloud is made up mostly of H2 for which γ = 7/5 > γcr of (15. This second collapse is halted only when γ rises again above 4/3.2. the supersonically falling gas is stopped at the core . molecular hydrogen dissociates.29). The core becomes opaque when about 0. When the gas temperature reaches ∼2000 K.

86 × 105 yr. the exponent equals −2. the evolution would be similar. The cloud is at temperature T = 10 K.3 in the envelope and −1.8.6 in the inner regions. In the . its radius is ﬁxed (u = 0 at the surface). The width of the shock is determined by the mean free path of the gas particles. For an Ebert–Bonnor sphere (slightly beyond the brink of stability). surface giving rise to a shock.Gravitational collapse 489 Figure 15. and the free-fall time tff = 1. After 2.60×105 yr. so practically it is a discontinuity described by the Rankine–Hugoniot jump conditions and this poses a numerical challenge. If the density at that moment is approximated by a power law. the core (r < 1014 cm) turns opaque to its own far infrared radiation and the assumption of isothermality is no longer valid. The collapse is very inhomologous. The distribution of density ρ and velocity u during the isothermal contraction of a spherical and initially homogeneous H2 cloud of 1 M .

the size and radius of the hydrostatic core are therefore the parameters that determine the protostellar luminosity. prior to nuclear burning and neglecting the contraction of the protostellar core. for instance. the gas kinetic energy is converted into radiation.66) and (15. ρ of an initially (t = 0) 2 hydrostatic cloud of density ρ = vs /2π Gr 2 at any later time t0 > 0. new problems arise concerning the stability of the core. one may. one multiplies α by (4π Gt0 )−1 (see (15. the core has the tendency to split up.64)).67) describing spherical isothermal collapse. To get the radius r . The starting values at x = 10 are from (15. from this ﬁgure. u. For example. the protostellar luminosity. One can determine. when the collapse calculations are carried out in two dimensions and cloud rotation is included. invoke strong . To avoid ﬁssion of the core. The time evolution goes along the lines from right to left. one multiplies v by vs .68) with A = 2. shock front. R∗ (15. a proper treatment of shocks is obviously necessary. If R∗ and M∗ are the radius and mass of the hydrostatic core. one multiplies the abscissa x by vs t0 . the cloud structure in terms of r. To evaluate it correctly. becomes L shock = ˙ G M∗ M .0001.63) ˙ The accretion rate M. to get the velocity u. The solution of the ordinary coupled differential equations (15.9.490 Stars and their formation Figure 15. When the numerical effort to compute protostellar collapse is much enhanced and the physical processes are reﬁned. and to 2 obtain the density ρ.

61). only derivatives with respect to x. x −v = 1 and α = 2/x.60) and (15. t) = α(x) 4π Gt 2 M(r.3. The ﬁrst. x. It would guarantee an efﬁcient outward transport of angular momentum and thus enable the formation of a single star [Tsc87].1 Equations for spherical collapse Similar solutions to the one-dimensional hydrodynamical equations for an isothermal cloud also exist [Shu77]. can be discarded as unphysical because it implies a static mass distribution M(r. v = 0 and α = 2x −2 . one has only one. Two solutions are obvious. t) = 2a 2r/G. ρ and M into (15. The second. which are denoted by a prime. corresponds to a static sphere with a diverging central density. By deﬁnition. (15. This restricted class of solutions does not add anything new to the one-dimensional numerical calculations of [Lar69] but because of its simplicity. the spatial distribution of u(r. t) at a ﬁxed moment t then differs from the spatial distribution at any other moment t only by scale factors that depend only on time. A fruitful ansatz is u(r.62) and into ∂M ∂M +u =0 ∂t ∂r which is an equivalent form of the continuity equation (15.3 Similarity solutions of collapse 15.3.61) can be written as two ordinary differential equations: (x − v)2 − 1 v = α(x − v) − (x − v)2 − 1 2 (x − v) x (15.3.Gravitational collapse 491 turbulent friction (of speculative origin). the dependent variables velocity. The similarity solutions can be found by introducing a dimensionless variable which expresses some relation between r and t.67) 2 α = α − (x − v) (x − v). t) = vs v(x) ρ(r. although the velocity u is not zero.65) Now (15. it is very instructive. vs t Because of similarity.66) (15. G (15. yields m = m (x − v) m = x 2α ⇒ m = αx 2 (x − v).64) Inserting these expression for u. α x Instead of two independent variables. t) = 3 vs t m(x). r and t. let us choose x= r . 15. and there are no more partial derivatives. . density and mass are the product of a function of t times a function of x. t) and ρ(r.

the cloud is at rest.68) The constant A has to be greater than 2 for v to be negative but only a tiny bit so that velocities are small.66) one then ﬁnds v = α and from (15. t) = 0 M(r. m 0 = 0.68). the cloud is close to hydrostatic equilibrium and has a structure similar to the envelope of an Ebert–Bonnor sphere. the absolute value of the dimensionless velocity |v| 1 and αx|v| 1.3. From (15. therefore. A−2 x They yield.3. We can read from ﬁgure 15. the solutions are similar. One can integrate (15. ρ(r.70) (15.9.9 that for x → 0. This differential equation is satisﬁed by α→ m 0 /2x 3 v → − 2m 0 /x for x → 0 where m 0 = −(x 2 αv)x=0 is the limiting value of m(x). t) = 3 m 0 vs − 1 − 3 t 2r 2 32π 2 G 2 1 1 (15.66) and (15. The solution for A = 2. for x → ∞.69) The density falls off like r −2 . corresponding to t → ∞.3 Final cloud conﬁguration There are also analytical expressions for the conﬁguration towards which this cloud evolves as x → 0. t) = 2 Avs r. When t → 0 ⇒ x → ∞.0001 starting with x = 10 (that is large enough) is plotted in ﬁgure 15. (15. for A → 2. therefore.71) 3 u(r. t) = 2 vs A 4π Gr 2 u(r.975.3. for other values of A slightly above two. one may be skeptical whether such an artiﬁcial conﬁguration is realized in nature and the results given here can in no way replace hydrodynamic calculations. ρ(r.3. t) = − 2m 0 vs t 2 r − 2 .67) v + v 2 /v + 2v /x = 0. The ﬁnal cloud structure for t → ∞ is. G (15. Then v goes to zero and (15.2 Initial cloud structure Let us consider an infall scenario where initially (t = 0). the singular isothermal sphere with A 2 is often used to outline qualitatively protostellar collapse. When A 2.492 Stars and their formation 15.66) and (15. the asymptotic solutions α → Ax −2 v→− m → Ax. Of course. The initial structure (t → 0) of a singular isothermal sphere is.67) from some large value of x by a Runge–Kutta method down to x = 0 (corresponding to t → ∞). . As one can sketch the global aspects of its evolution with elementary mathematics. if one takes the initial parameters from (15. 15.67) become v = α − 2x −2 α = α(α − 2)x −1 .

4 Remarks on the cloud evolution To solve the full equations (15. Because the initial density declines like r −2 and the free-fall time tff of (15.3.3 M . The density decreases with time and radius. so this transition region is moving outwards with the speed of sound. In the core. it does not yet know that the inner regions are collapsing. • • In the envelope. the density now changes like r −3/2 and the velocity u(r. ρ is still proportional to r −2 . x 1 and r = vs t.2 km s−1 . is time-independent and given in the self–similarity analysis by 3 m 0 vs ˙ M = 4πr 2 ρu = . the collapse begins at the center working its way outward. if the total cloud mass is 1 M and vs = 0. for x > 1. G (15.67 × 1017 cm. for x < 1. After t = 5 × 1012 s. we note that as time proceeds the corresponding point of the similarity variable x = r/vs t moves along the curves α(x) and v(x) from right to left. t) = − 2G M∗ (t)/r is the free-fall velocity towards the central mass M∗ (t) = 3 m 0 vs t.72) 15. The density has not changed.60) and (15. all gas interior to r = 1017 cm is collapsing and the mass accreted at the center 1. To follow the density and velocity at some ﬁxed radius in time. • For example.9.41) decreases as ρ −1/2 . Inner and outer cloud boundaries are disregarded and should not inﬂuence the evolution of the ﬂow. proportionally to t −1/2r −3/2 .61). the density is ρ 5 cm s−1 . the velocity u −9 × 10 .6 × 105 yr. from (15. one needs a starting model and boundary conditions at the edge and center of the cloud. velocities become supersonic and approach the free3 fall velocity towards a central object of mass m 0 vs t/G that is accreting at 3 a rate m 0 vs /G. or 1. only the parameters α and v are required for some value of the variable x ∝ r/vs t.71).0 × 10−15 g cm−3 and equals ∼0. With the help of ﬁgure 15. At r = 1014 cm.3. the gas is still at rest. which is the quantity that determines how long the collapse will last. In the similarity solution.Gravitational collapse At a ﬁxed time. the cloud stretches out to R = 1. G 493 ˙ The accretion rate M. we can delineate the evolution of an initially 2 hydrostatic cloud of density distribution ρ = vs /2π Gr 2 . At the interface between free-falling core and static envelope.

4 Disks A rotating collapsing cloud inevitably ﬂattens because the gravitational pull perpendicular to the rotation axis will. as it should be. because of the term (∂v y /∂ x)2 . these forces are absent. the parcel can approach the center only to a distance rcenfug = j2 G M∗ (15. the ﬁnal equilibrium conﬁguration in which they collect is a disk.73) which depends on r0 and θ0 .494 Stars and their formation 15. v y . Because the gas parcels have different initial speciﬁc angular momenta. a disk forms. per second. an initially rigidly rotating spherical cloud of angular velocity ω0 . One can get a feeling for the strength of the force and the dissipation rate by using numbers . the velocity increases linearly from the walls towards the sheet and ∂v y u 2 A. a force F. To pull it out at a constant velocity u. 0) but it has a gradient ∂v y /∂ x in the x-direction. We. vz ) = (0. A ﬂat piece of arbitrary material and total surface area 2 A is dipped into a vessel ﬁlled with a viscous ﬂuid of density ρ and kinematic viscosity coefﬁcient ν.10). The ﬂow in between is plane parallel at velocity v = (vx . Eventually.75) D= 2 Ab 2A ∂x It is positive. F = νρ 2 A = νρ b ∂x (15. Take. whereas parallel to the rotation axis. begin with an elementary experiment illustrating Newton’s friction law (ﬁgure 15. (15. so tangential or shear forces appear and there is friction which causes the plate to resist being pulled out. When the width 2b of the vessel is small. so each cm3 of the liquid receives. The friction also generates heat. at some radius rcenfug . one needs.1 Viscous laminar ﬂows The evolution and structure of an accretion disk is largely determined by internal friction. a heat input F ∂v y Fu = ≥ 0. therefore.74) The force F does not depend on the velocity itself but on its gradient ∂v y /∂ x. 15. Disks are widely observed in young stars and their presence is predicted by theory. v y . A gas parcel at radial distance r0 and under an angle θ0 to the rotation axis has the speciﬁc angular momentum 2 j = ω0r0 sin2 θ0 . The gradient implies that the ﬂuid particles change their relative positions. for example. The molecules of the liquid are always at rest on the walls of the vessel and on both sides of the plate. after subtraction of gravity and buoyancy. In the gravitational ﬁeld of a dominant central mass M∗ . The total power dissipated in the vessel is Fu.4. be balanced by centrifugal forces.

the angular velocities of the cylinders C1 . water has ν = 10−2 cm2 s−1 and ρ = 1 g cm−3 . A torque τ then has to be applied to the middle cylinder in order to sustain the motion. for air. For example. the dissipation rate per cm3 of gas. dr Let us denote the derivative with respect to r by a prime and with respect to time by a dot.12. To move a sheet at a constant speed through a viscous ﬂuid.11). the kinematic viscosity ν is 15 times larger but the density ρ is 830 times smaller. from everyday’s life.4). at 20 ◦ C. The inner and outer cylinder are corotating. τ = νρr dω 4πr hr. D = τ ω/4πr hb or (15. C2 .74). the middle one has a different angular velocity ω = ω0 .Disks 495 y u 2b x Figure 15. In the marginally modiﬁed experiment of ﬁgure 15.77) . It equals force per unit area multiplied by area and by radius.10. Again the molecules are at rest at the cylinder walls and there is a shear ﬂow in between. one needs a force F after (15. C3 decrease with radius. C3 exerts on C2 the torque τ (r ) = νρr dω 2πr hr dr (15. The thin layers between the cylinders are ﬁlled with liquid or gas. Because the work expended per second equals τ ω after (11.76) D(r ) = νρ(r ω )2 ≥ 0. we get. in complete analogy to (15.75). A rotational analog of this system consists of three coaxial cylinders of height h (ﬁgure 15.

as in a disk with Keplerian rotation. Therefore. The same considerations apply to C1 and C2 . The net torque on a gas ring of 1 cm width is dτ/dr . it feels the net torque τ r . if the middle cylinder C2 has a thickness r .496 Stars and their formation o 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 ω 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 ωo 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 r−b 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 r+b r 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 00000000000000000000000000000000000000000000000000000000000000 11111111111111111111111111111111111111111111111111111111111111 ω Figure 15. When we remove C2 in the experiment. ω −d ω trying to retard it.11 but now the angular velocity ω decreases monotonically outward. Like ﬁgure 15. the one in the middle has ω = ω0 .12. the gas that ﬁlls its place is subjected to exactly the same torque. . the inner and outer one are corotating at angular velocity ω0 .11. But for a change of sign. 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 C3 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 ω 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 C2 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 ω +d ω 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 C1 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 r−dr 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 r+dr 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 r 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 1111111111111111111111111111111111111111111111111111111111111 0000000000000000000000000000000000000000000000000000000000000 Figure 15. A viscous ﬂuid is trapped between three closely spaced cylinders. this is equal to the torque of C2 on C3 which tries to accelerate C3 .

we get 1 ∂ 1 dτ ∂ ( r 2 ω) + (r vr r 2 ω) = .2 Dynamical equations of the thin accretion disk 497 We next explore the evolution of a thin viscous disk of height h and surface density = ρh. We can immediately work out the radial gas velocity vr = and the radial mass ﬂow τ 2πr (r 2 ω) ˙ M(r ) = −2πr vr .77). (15.79) (15. it is. vz = 0) vϕ is the Kepler velocity. The latter is positive when matter streams inwards.4. Combining (15.78).79) and assuming that ω is time-independent yields r vr · (r 2 ω) = τ /2π from which it follows. the correct equation of motion is 1 Fvisc ∂v + (v · grad)v = − grad P − grad φ + . Such a force is not conservative and cannot be derived from a potential. It is then formally similar to (15. It contains a time derivative on the left-hand side and a second-order space derivative on the right. ∂t ρ ρ We now write it in a way that it directly expresses the conservation of angular momentum r 2 ω.Disks 15. vϕ = ωr. When we divide this term by 2πr so that it refers to the unit length of the circumference. that 1 ∂ ∂ =− ∂t 2πr ∂r τ (r 2 ω) . z) and assume that the disk parameters do not depend on z or ϕ. ρ + div ρv = 0 (see (15. The momentum equation (15. For a viscous ﬂuid.78) The torque τ (r ) is from (15. If we put in a . becomes ˙ 1 ∂ ∂ + (r vr ) = 0 ∂t r ∂r where the velocity has the components v = (vr .78) and (15. ∂t r ∂r 2πr dr (15. a diffusion equation. ϕ.78) but for the creation term dτ/dr due to the torque.42) must be generalized to include the viscous force per cm3 . therefore.80) This is the general formula for the evolution of the surface density. again with the help of (15. Signiﬁcant changes in the structure of the disk occur over a diffusion timescale tdif . The equation of mass continuity. Fvisc .43)). We use cylindrical coordinates (r.

∂r (15.498 Stars and their formation ˙ dimensional analysis X ∼ X/t and X ∼ X/r .84) 2 vs r 2 kT r 3 . from the earlier expression for vr or from equation (15.4. ρ = ρ0 exp − with h2 = z 2 ω2 2 2vs = ρ0 e−z 2 /2h 2 (15. 15.3 The Kepler disk In a thin disk gravitationally dominated by a central mass M∗ .80). the diffusion equation (15. vr ν Without viscosity. One ﬁnds (r 2 ω) = 1 r ω and τ /(r 2 ω) = −3π[ν + 2r (ν ) ]. The vertical component of the gravitational acceleration.82) (15. With these 2 two expressions. when radial pressure gradients are absent. (15. ω(r ) = j (r ) = G M∗ r −3/2 G M∗ r 1/2 = r 2 ω. = 2 G M∗ m vϕ (15. where X denotes some variable. matter moves in Keplerian orbits.80) in a Kepler disk becomes ∂ 3 ∂ ∂ = r 1/2 ν r 1/2 ∂t r ∂r ∂r and the radial velocity vr = − 3 r 1/2 ∂ (ν r 1/2 ). The angular velocity ω decreases outwards while the speciﬁc angular momentum j increases. that tdif = r r2 ∼ .81) The disk structure in the z-direction can be determined assuming that the gas is isothermal and in hydrostatic pressure equilibrium.85) . gz . we ﬁnd.83) = gz = − 2 r r ρ ∂z 2 Because P = ρkT /m = ρvs . is then balanced by the pressure gradient ∂ P/∂z. z G M∗ 1 ∂P . one ﬁnds ω2 ∂ρ = −ρz 2 ∂z vs and this differential equation is satisﬁed by a vertical Gaussian density proﬁle. the surface density would stay constant forever.

86) vϕ = G M∗ /r = vs h 15. We rewrite it as ˙ = 3(ν + 2ν + ν ) + 9(ν + ν )/2r translate it into a difference equation and solve it numerically. At the disk center (r = 0). the radial velocity vr is zero. and inew the new value a small time step τ later.25) for a sphere).81) refer to the old model.4. of course. The temperature and isothermal sound speed vs are. functions of the distance r .4 Why a star accretes from a disk Let us follow the time evolution of a viscous Kepler disk according to the diffusion equation (15. . Such an explicit scheme is very easy to solve but the time step τ must be fairly small for reasons of stability (Courant–Friedrichs–Lewy condition). . All variables in the resulting difference equation for (15. At the disk edge (r = R). (15.82)). √ 2r vs . the Kepler velocity must be highly supersonic. . h r . √ Here we have used the Kepler velocity vϕ = G M∗ /r. the radial dependence of ν in an α-disk in which the temperature T (r ) is proportional to r −3/4 would be ν ∝ r 3/4 (see (15. In a radial mesh r1 . r N with spacings r = ri − ri−1 . we choose ν = r (units are not important in this section).1. or ν r 1/2 = constant (see (15. except for the term of the time derivative ˙ . (r ) = exp − (r − r0 )2 /σ 2 and (r0 ) = 1. the spike will broaden and we want to see in detail how. the surface density is ﬂat or ∂ /∂r = 0 (see the analog (15. Let i denote the known value of the surface density at grid point i and time t. . For comparison. Equation (15. Let the surface density of the starting model (t = 0) have a bell-shaped spike centered at radius r0 = 1 of width σ = 0.81). We then make the following replacements (assuming constant spacings ri − ri−1 ) ∂ ∂t ∂2 ∂r 2 i new i i − τ i ∂ ∂r i−1 i i − r i−1 i+1 −2 i + ( r )2 . At later times. So initially. This corresponds to a solid conﬁnement but .Disks 499 h measures the disk thickness and is independent of the surface density.85) has the interesting consequence that when the disk is thin. r2 . one needs (at least) three grid points to express a second-order derivative and two for a ﬁrst-order derivative. For the viscosity coefﬁcient.92)). The derivatives of ν are written accordingly.

the gas streams away from the center. respectively. almost all mass has accreted on .04.01. Curves are shown for time t = 0. therefore. 0. The right panel displays the surface density . Without this separation into low and high angular momentum gas. dots and solid line practically coincide. in these rings. whereas farther out. The right box of ﬁgure 15.13. not shown in the ﬁgure. Note how mass and angular momentum separate during the evolution. The angular momentum dissipates outwards and the mass diffuses inwards while the total mass and angular momentum stay constant. The full curves in the left frame are plots of 2πr indicating how much mass is contained in a ring of unit width. 0. the spike ﬂattens and broadens. In the end.13 displays the numerical results for the evolution of the surface density. The essence of the diffusion mechanism in an accretion disk is not the spreading of the gas but the segregation of mass and angular momentum.500 Stars and their formation Figure 15. 1 = 2 and N = N−1 (ν N−1 /ν N )(r N−1 /r N )1/2 . as we assume the edge to be far out (R = 5). the maximum values of the central spikes are all one. At time t = 0. For t = 0. The dotted curves give the angular momentum. corresponding to = 0 and vr = 0. The left panel gives the mass 2πr (full curve) and the angular momentum 2πr j (dots) of a ring of unit width where j is the angular momentum per unit mass. so their tops are cut off. The spreading of a mass spike in a Kepler disk due to internal friction after equation (15. it has no inﬂuence on the early disk evolution. The radial velocity vr of (15. The inner and outer boundary condition are. a star or a black hole could not accrete matter from a disk. There is mass inﬂux towards the central gravitating mass for r < r0 . 2πr j .82) (not shown) is roughly proportional to (r − r0 ). Because of the viscous forces.81).

We can determine the constant C in (15.4.87) if we assume that ω is abruptly reduced in a thin layer immediately above the stellar surface and that in this layer. u . In an ideal gas at temperature T . ω can be approximated by 3 G M∗ /R∗ where R∗ is the stellar radius.87) For Kepler orbits around a stellar mass M∗ .6. ν∝ 15. one √ ˙ ﬁnds C = M G M∗ R∗ /2π and.81) offers an analytical solution [Lyn74]. (15.79) gives r 3 ωvr = r 3 ν ω + C.87) becomes = ν −1 ˙ M 3π 1− R∗ . But because the mathematics are involved. At the position where ω = 0. equation (15.88) ˙ The mass inﬂow rate M together with the viscosity ν determine the surface density (r ).5 The stationary accretion disk When the gas ﬂow is steady. The reason for viscosity in a gas ﬂow with a velocity gradient is the exchange of momentum perpendicular to the ﬂow direction. However.Disks 501 the star and almost all angular momentum has been transported to large radii. the analytical solution is superior to the numerical results in showing the asymptotic behavior of the disk for t → ∞. where the atoms have a mean velocity u and free path . It also follows that at distances comfortably greater than the stellar radius. one works out that ν= 1 3 −1 for R∗ r. it loses much of its instructiveness. one can readily derive the structure and luminosity of the disk. at least.1 The viscosity coefﬁcient So far.6 The α-disk 15. we have described internal friction only phenomenologically. 15. equation (15. Setting in the equation of mass conservation (15.4. at the point where the ﬁrst derivative ω vanishes. (15. However.4. T Tauri stars do.89) . the viscosity must be inversely proportional to the surface density. the increase cannot continue up to the stellar surface because the star rotates quite slowly.78) the time derivative ˙ ∂/∂t to zero implies that the accretion ﬂow M = −2πr vr does not depend on space or time. We did not discuss the physical processes involved or how the kinematic viscosity coefﬁcent ν depends on the parameters of the gas. When the viscosity is a function of radius. Integration of the momentum equation (15. therefore. r (15. the angular velocity ω increases inwards like G M∗ /r 3 .

If n is the number density of the particles and σ their collisional cross section. Looking at the ﬂow depicted in ﬁgure 15. Proposing α ∼ 0.502 Stars and their formation √ Because in a Maxwellian velocity distribution u ∝ T and because grows only weakly with T . it gives some handle on the surface 2 density . When the gas is turbulent. With vs ∝ T ∝ r −3/4 and equation (15.6. The largest eddies determine the character of the ﬂow. one writes the viscosity coefﬁcient ν = αvs h (α ≤ 1) (15. one can substitute h from (15. the viscosity is greatly enhanced.92) Although this expression is too nice to be true. the free path length is = (nσ )−1 . which appears in the basic equation (15. for the size of the largest eddies.93) Re = ν . supersonic motions would be quickly damped in shocks. σ is of order 10−15 cm2 and the ensuing value νρ is far too small to produce any dynamical effect on the disk evolution. (15.4. is thus independent of the density ρ (the surface density equals ρ multiplieed by the disk height h).93) which contains the linear dimension of the object. Disks with ν in the form of (15.88). (15.10.81) of a Kepler disk.89). This becomes evident from the Reynolds number (15. (15. It is reasonable to use. 15. We will not prove formula (15.85) so that for a turbulent Kepler disk the viscosity is 2 ν = αvs r 3 /G M∗ .90) The product νρ.2 The Reynolds number To answer the question whether there is turbulence or not.89) but it is qualitatively understandable. one expects for an ideal gas something like ν ∝ √ T . In analogy to (15.01 would not lead to a riot among astronomers. the disk height h and for their velocity the sound speed vs .91) are called α-disks [Sha73]. the more momentum they transfer and the stronger the friction. one turns to the Reynolds number deﬁned as Lv . For hydrogen molecules. If they are in hydrostatic equilibrium in the vertical direction. one realizes that the deeper the atoms penetrate from one layer into the next and the faster they move. (r ) ∝ r −3/4 . But our previous analysis on internal friction applies to laminar ﬂows.91) where α is a fudge factor introduced to express the inherent uncertainty. one ﬁnds for the same power law decline as for the temperature. Turbulence means that superimposed on the average ﬂow there are violent chaotic motions on all scales capable of very effectively exchanging momentum.

if the disk is permeated by a magnetic ﬁeld. The answer to this apparent contradiction follows from the analysis of the ﬂow equation of an incompressible ﬂuid. and the critical range is Re ∼ 3000. the effective temperature Tvisc follows from F(r ) = π 4 Bν (Tvisc) dν = σ Tvisc(r ). which should mean little momentum exchange between neighboring stream lines yields a high Reynolds number and thus implies turbulence.7 Disk heating by viscosity In a steady state. and with the size of the object (a big body disturbs the ﬂow more effectively). A disk with a ﬁnite radius Rout has the total monochromatic luminosity L ν = 4π 2 Rout R∗ r Bν (Tvisc (r )) dr (15. There. it is. in the term containing the viscosity. The Reynolds number (15. (15.Disks 503 L is the dimension of the system and v the speed of the ﬂuid. Let F(r ) denote the outward ﬂux at radius r on one side of the disk surface. For a blackbody surface. To guarantee an effective outward transport of angular momentum in an accretion disk. 15. turbulent when Re > 105 . At large distances.76) using (15.88) yields F(r ) = 1 ν (r ω )2 = 2 ˙ 3 G M∗ M 1− 3 8π r R∗ . Possible ways to achieve them are convection in the disk or. we must integrate over both sides of the disk.80). r (15.94) To obtain the total disk luminosity L disk.97) . Local balance with the frictional dissipation rate of (15. In laboratory experiments. ∞ ˙ G M∗ M 2πr F(r ) dr = .95) L disk = 2 2R∗ R∗ ˙ L disk depends on the mass and radius of the star and on the accretion rate M. the ﬂow around objects is laminar when Re < 10. puzzling that a small viscosity. very large Reynolds numbers seem to be required.96) Here σ is the radiation constant of (5. the smallness of ν is more than compensated by a large second-order gradient in the vorticity rot v. twisting of the ﬁeld lines in the rotating plasma.4. ˙ The viscosity does not appear but is hidden in M. however. and also when the viscosity decreases (water is more likely to be turbulent than honey).93) increases with velocity (a strong wind whirls up more dust). With respect to the last point. These numbers give some rough general guidance. F(r ) = ˙ 3G M∗ M/8πr 3 and Tvisc ∝ r −3/4 . the heat generated in the optically thick disk by internal friction is lost radiatively from its surface. (15.

e. of course. . The other half is stored in rotational energy. it is difﬁcult to produce such large radial velocities.Stars and their formation √ 4 ˙ with Tvisc(r ) = 3G M∗ M[1 − R∗ /r]/8πσ r 3 . An estimate of the sprectrum is obtained by assuming blackbody emission of temperature TUV and 4 putting L UV = Aσ TUV. In the case where the gas rotates in a disk all the way to the star. the disk may be prevented from reaching the star by magnetic forces of the stellar magnetic ﬁeld. If he views it face-on from a distance D. An observer sees. If the disk extends to the star.95) corresponds to only half the potential energy that was available when matter was at inﬁnity.7. one has to apply an obvious cosine correction. Such a model can better explain the observational fact that the emission lines of T Tauri stars often have a width of several hundred km s−1 .4. velocities along the line of sight. only one side of the disk. he receives the ﬂux L ν /2π D 2 . At a distance of a few stellar radii. 504 15. where magnetic and kinetic energy are about equal. the power 1 ˙ 2 2 Mvϕ = ˙ G M∗ M 2R∗ (15.1 The UV excess of T Tauri stars L disk in (15. Alternatively. The result is again a hot continuum.98) is liberated in a thin layer at the stellar surface where rapid braking takes place from the Kepler velocity vϕ to the usually much smaller rotational velocity of the star. the accreting gas is channelled from the disk along the magnetic ﬁeld lines upward in the z-direction and then falls in a loop onto the star at high stellar latitudes. when the disk is inclined. it will lead to hot UV continuum radiation of luminosity L UV . i. Examples of disk spectra are presented in chapter 16. As the energy is released over an area A small compared to the stellar surface.

To solve such a task. An analysis of the spectrum by means of radiative transfer calculations often allows us to get an idea of the three-dimensional distribution of the dust with respect to the embedded star(s).1 Globules Usually. Globules are bathed in a radiation ﬁeld which heats them from outside and we want to evaluate their infrared emission in the absence of an internal source. for the purpose of illustrating the magnitude of the emission. one constructs models that are supposed to resemble the source and varies the model parameters until agreement between theory and observation is achieved. star formation is a contagious process. too.1 The earliest stages of star formation 16. The isolated birth of a star is a rare event but it can happen in globules. jet or radiation pressure. They have masses of ∼10 M and appear as dark spots on photographic plates. Fitting an extensive observational data set is laborious and requires occasional intuition. Its infrared continuum spectrum yields not only. 16. in an obvious fashion. In this ﬁnal chapter.Chapter 16 Emission from young stars We have learnt to compute how dust grains absorb and scatter light and how they emit. Cosmic dust is not now the object of our study but the agent by which we want to disclose the structure of an observed source. These are cloudlets that have been stripped off from larger complexes. a senior scientist needs a good student (the reverse is not true). we apply our faculties to astronomical examples relating to star formation. the infrared luminosity or an estimate of the dust temperature.6 M at a distance of 200 pc with diameter of 2r = 1. When a star is born in a molecular cloud. For this purpose. The hydrogen density n H equals 4 × 106 cm−3 505 .2 × 1017 cm. and then neighboring clumps are pushed beyond the brink of gravitational stability.1. Let us consider a spherical globule of 2. Most of the spectra here are merely sketches. it disturbs the interstellar medium in its vicinity through its wind.

Most noticeable are the PAH features (section 12. The globule in ﬁgure 16.1.19) and (15.5 pc from a ext B3V star). four times stronger than the ISRF of ﬁgure 8. at the brink of gravitational stability.2). such tiny grains with heat capacities of merely a few eV make a big upward leap every time they absorb an ultraviolet photon and this produces an emission spectrum entirely different from big grains. 16. from (15. Its emission has a broad maximum around 250 µm. The relative strength of these radiation ﬁelds is chosen such that the grain temperatures lie between 17 and 27 K at the surface of the globule where the UV photons are responsible for heating and around 7 K in the cloud center. it is ﬁt by a modiﬁed Planck curve (section 5. We assume that Jν consists of two components: a hard one described by a diluted blackbody of T = 18 000 K that is meant to represent the UV ﬂux from star(s). the globule would only be detectable in the far infrared and beyond.20) a radius R G Mm . Although the tiny grains account for only a few percent of the total dust mass. A rise in dust temperature from 5 to 7 K implies an increase in the heating rate by a factor (7/5)6 8.2. There is a skin layer of thickness AV 1 mag where the big grains are much warmer (∼20 K) and these grains account for the ﬂux between 50 and 200 µm. and a very soft one of spectral shape ν 2 Bν (T = 20 K) that mimics the ubiquitous far infrared radiation.3) of only 7 K. so the globule is very opaque.2 Isothermal gravitationally-bound clumps A homogenous spherical cloud of mass M and temperature T has. ext We compute the radiative transfer for an external radiation ﬁeld Jν that is.4. Without vsg and PAHs. at a distance of 1. Using the standard dust model described in section 12. The presence of very small grains (vsg) and PAHs in the skin layer has the remarkable effect that the source becomes visible in the mid infrared.4. The millimeter spectrum comes from the coldest dust. Without them. they absorb some 20–30% of the UV light and their excitation therefore radically changes the infrared appearance of the source. the core would be extremely cold (Td 5 K).506 Emission from young stars in the inner part (r ≤ 3 × 1016 cm) and declines linearly to 2 × 106 cm−3 at the surface. As discussed in section 8. 5kT .1 appears observationally ﬁrst of all as a very cold submillimeter source. Such excursions in the radiative intensity can produce remarkable effects and occur when the globule is near a star (for example. The presence of the PAHs has the further interesting consequence that it leads to important heating of the interior by mid infrared photons. when integrated over frequency.5. the overall visual optical thickness through the cloud center amounts to 282 mag.

A typical optical thickness of the clump is τν 2ρ K ν R where ρ is the gas density and K ν the absorption coefﬁcient at frequency ν per gram of interstellar matter. At a distance D. The plotted spectra show the difference in the signal towards the source and in the off–beam where one still sees the external radiation ﬁeld. Sν = .1) π R2 D2 If the clump is tranparent (τν → 0). See text for further explanation. The broken curve gives the ﬂux when PAHs and vsg are absent.The earliest stages of star formation 507 Figure 16. the dotted curve the emission from dust at 7 K. M K ν Bν (T ) D2 (16. The optical depth becomes τλ = 3K λ 2π 5k Gm 2 T2 M 1026 T2 Mλ2 where we used cgs units for the clump mass and the wavelength to derive the factor 1026.2. Dust emission of a globule irradiated by a UV ﬁeld that is four times stronger than the ISRF of ﬁgure 8. the clump subtends a solid angle = and an observer receives the ﬂux Sν = • Bν (T ) · [1 − e−τν ].1.

when τν is large.1) emitted by dust from a gravitationally bound. 16. which happens at λ = 100 µm for small masses.2 and 15.3.2. and a far infrared dust absorption coefﬁcient according to (14. When the optical depth is below one. homogeneous and isothermal clump at 100 and 350 µm.3.2. Sν ∝ M 2 . The broken curve in each box refers to a clump at 10 K with a tenfold the absorption coefﬁcient as a result of grain coagulation and accretion of ice mantles (see ﬁgure 12.54).2 for various temperatures and wavelengths as a function of clump mass M assuming a source distance D = 200 pc.3. Sν is shown as a function of cloud mass and for three dust temperatures (full curves). D2 Cold clumps are best detected by their submillimeter dust emission. Sν . The source is at a distance of 200 pc.10).2 The collapse phase 16. • if it is opaque (τν → ∞). corresponding to a normal mixture of H2 molecules and helium atoms.1 The density structure of a protostar In sections 15. we derived the density distribution of a protostellar cloud under the assumption of spherical symmetry. the ﬂux is simply proportional to the cloud mass.1). Sν = π R 2 · Bν (T ) . We now discuss a protostar where it is possible to verify the theoretical predictions by direct measurement of the dust absorption [Sie00]. Their ﬂux. It is named HH108MMS and its surroundings . The break in the slope of the ﬂux Sν where the dependence on mass M changes from linear to quadratic occurs at τν ∼ 1.34m H. a mean molecular mass m = 2.508 Emission from young stars Figure 16. However. is given by (16. The ﬂux Sν from (16. It is plotted in ﬁgure 16. which is always true at 850 µm or longer wavelengths.

Reproduced from [Sie00] with permission of EDP Sciences. which can also be followed by their 1. There is a third weak millimeter source in between the protostar (map center) and the young stellar object (black spot) that appears as a white blob in the 14 µm map.3.The collapse phase 509 Figure 16. . The millimeter source on the lower right is a young stellar object (IRAS18331–0035) that emits in the mid infrared (black blob).3 mm [Chi97]. still heavily obscured at optical but sticking out prominently at midinfrared wavelengths as witnessed by the black spot in the map. is at the map center. The millimeter source to its lower right is a young stellar object of ∼3 L . The protostar. It coincides with a millimeter source and is seen at 14 µm in absorption against a diffuse background.3. at a distance of 310 pc. one dark and two white spots. One sees a triplet of linedup sources.3 mm dust emission (contour lines). A 14 µm image around the protostar HH108MMS. The protostar is the white blob in the center of the ﬁgure. The contour lines show the dust emission at 1. It drives two Herbig–Haro objects but they lie outside the ﬁeld of view. are depicted in the mid infrared map of ﬁgure 16. It is also a protostar but it will not be discussed any further.

The 1. To ﬁnd the optical depth τ2 across the protostar.3) τ2 is plotted in ﬁgure 16.max is. be written as Is = Iz + I0 e−(τcl +τ2 ) .1 suggests that this radiation is due to emission by PAHs and vsg heated in the surface layer on the backside of the molecular cloud. The geometrical conﬁguration for our analysis is drawn in ﬁgure 16. Towards the position of maximum obscuration.1.3 mm ﬂux towards that position yields for the central beam an average optical depth τ1. less reliable.max . therefore.2) Is − Ib = I0 e−τcl · [e−τ2 − 1]. The dust opacity appropriate for cold clumps is depicted by the upper full curve of ﬁgure 12. are less direct and. an embryo star has therefore not yet formed and the accretion phase not yet begun. The interplanetary dust of the solar system. (16.4.19)). Alternative methods to obtain a density proﬁle. HH108MMS is embedded in a molecular cloud and viewed from Earth through the veil of zodiacal light of the solar system. Is and Ib are known from observations.2) yields the desired expression for the optical depth in the core as a function of position.510 Emission from young stars No far infrared luminosity is detectable from HH108MMS. and towards the background. therefore. from the variation of the surface brightness over the source. Our globular model in section 16. Ib = Iz + I0 e−τcl . by observing millimeter dust emission or certain molecular lines. the optical depth and the density proﬁle in the source. If it is a sphere of radius R . The intensity in the direction of the absorbing core (source) can. As the zodiacal light is constant on scales of a few arcsec. τ2 = − ln 1 − (Ib − Is )/(Ib − Is. max . let us denote the maximum value of τ2 by τ2. The absorbing core (protostar) of optical depth τ2 and temperature T2 . be approximated by I0 e−τcl = Ib − Is.max and the corresponding intensity by Is. in fact. therefore. therefore. The molecular cloud and the absorbing core are certainly cold (T < 20 K) and have no mid infrared emission of their own (B14µm(Ti ) 0.2) can. From τ2 . 2.3mm ∼ 10−2 (see (8. by far the strongest contributor to the 14 µm ﬂux. at a position next to the absorbing core. 3).5 for two perpendicular cuts. one gets (16. respectively. We put τcl = τ1 + τ3 .10. Inserting I0 e−τcl into (16. The far and near side of the molecular cloud with temperatures T1 and T3 and optical depths τ1 and τ3 . i = 1.3mm ∼ 1000. The optical depth τ2. this gives K 14 µm /K 1. It emits zodiacal light of intensity Iz and is. equation (16. of order 10 and well above unity. HH108MMS appears at 14 µm in absorption against the diffuse background and this offers the opportunity to derive. one can derive the density structure in the protostellar core. max ) . Four regions contribute to the observed 14 µm ﬂux: • • • • The background of intensity I0 .

For ﬁnding the exponent α.4. . A sketch of how HH108MMS is embedded into a larger molecular cloud.The collapse phase interplanetary dust 511 Is Ib Figure 16.8 [Bas95].6. Temperature and optical depth in the various regions are indicated. up to an optical thickness at 14 µm of 4 (see ﬁgure 16. Reproduced from [Sie00] with permission of EDP Sciences. Good ﬁts are obtained for ρ(r ) ∝ r −1.3.1 . a density proﬁle ρ ∝ r −2 in the outer envelope.3 predicts for the early evolution.8±0.5 and −1. the density distribution in the envelope follows a power law with an exponent between −1. the optical depth τ2 (x) through the cloud at an offset x ≤ R from its center is τ2 (x) = Kρ0 0 X (x 2 + s 2 )−α/2 ds √ where K is the dust mass absorption coefﬁcient and X = R 2 − x 2 . The intensity towards the source (protostar HH108MMS) and the background is denoted Is and Ib . In more sophisticated models. when magnetic ﬁelds and rotation are included. I0 is the intensity behind the Serperns cloud. The dynamical calculation for a low-mass protostar in ﬁgure 15. at least. The self–similarity solution of gravitational collapse in section 15. The variation of the optical depth and the best ﬁt density distributions are shown in ﬁgure 16. 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 T 3 τ3 τ2 T2 T 1 protostar τ1 I0 molecular cloud and the dust inside has a power–law density ρ(r ) = ρ0r −α . respectively.6) corresponding to a visual extinction of 200 mag. the product Kρ0 is irrelevant. So the observational results for HH108MMS conﬁrm the theoretical predictions. and a less steep distribution ρ ∝ r −3/2 in the inner part. in the absence of rotation and magnetic ﬁelds.8 gives similar results.

3). For the major axis.8. Figure 16. Reproduced from [Sie00] with permission of EDP Sciences.5.2 from this value would imply an unacceptable ﬁt.5 but now on a logarithmic scale. The top frame gives the difference between the ﬂux towards the protostar HH1108MMS and the background in a cut along the major axis. The protostar is at offset zero. The exponent α is close to 1. . ρ ∝ r −α . The full curves show the theoretical variation of the optical depth in a spherical cloud with a power-law density distribution. as in ﬁgure 16. Reproduced from [Sie00] with permission of EDP Sciences.512 Emission from young stars Figure 16. Optical depth proﬁles (diamonds) of HH108MMS. IRAS18331–0035 at offset +70 . The bottom frame shows the optical depth derived from (16. a deviation by only 0.6.

is given by (15. ν2 ] and [ν1 . the protostar approaches the main sequence from above. 0. the visual optical depth from the center to the cloud edge as well as the clump mass (without the embryo star) decline. 1. There are various ways to ﬁx Rin in the model.72) but one needs hydrodynamic calculations to relate M∗ to R∗ .2. i. In the Hertzsprung–Russell diagram. 0.019. 560. One may equal it to the evaporation temperature of dust. the accretion phase starts and the luminosity is still low (L = 1 L ).93. In the early phase of collapse. −0. Its value. L shock. Only near the end of the accretion phase when most of the matter in the envelope has rained onto the star does the shock luminosity decline and the energy generation from contraction (section 15. the outer cloud radius Rout = 1.93. The curves labeled 1 to 5 follow a time sequence. equal areas under the curve ν Fν imply equal spectral luminosities over these frequency intervals. we put Rin = 2 × 1013 cm and neglect the disk.73) for rcenfug are very rough. L shock is 30 L and fairly constant over one free-fall time [Win80]. at roughly constant color B − V. .4. The total cloud mass. 57. the corresponding values are AV = 560. 12. the luminosity comes from the release of kinetic energy of the free-falling envelope in a shock front at the surface of the hydrostatic core. ν1 /ν2 = ν1 /ν2 .2. In the particular presentation of ﬁgure 16.2 and 20 µm.2 Dust emission from a solar-type protostar 513 We compute the dust emission from a single low-mass protostar.The collapse phase 16. The spectral index α between 2. This has the advantage that for any two logarithmic frequency intervals [ν1 .1 mag and Mcloud = 0. for a source distance of 150 pc. The total cloud optical depth thus depends foremost on the inner cloud radius. we plot ν Fν instead of the observed ﬂux Fν . The spectra have the following qualitative features as they change in time.63) and (15. one may set Rin equal to the radius of the solar planetary system (40 AU). the luminosity is much higher (L = 30 L ).2. The disk emission would then have to be evaluated separately (section 16.7. for curve 1–5. Or one may use the centrifugal radius rcenfug of (15. During the main accretion period (stage 2 and 3).4) has. to the ﬂux from the spherical cloud. a protosun. 0. is about one solar mass. 0. Figure 16. During the collapse. We opt for a value in between. 0. which would imply a value less than 1 AU.38) of an Ebert–Bonnor sphere. 11. The density ρ changes in the protostellar envelope like ρ ∝ r −3/2 (see (15. It drops later to 3 L (stage 4) and 2 L (stage 5) in the T Tauri phase.7.73) assuming that inside this radius gas and dust are strongly ﬂattened into a disk. ν2 ] of the same length. One can thus directly compare the energy emission from different spectral regions.2.0018 M . the values 12.3 × 1017 cm is determined by the critical radius (15.093. At stage 1.7 shows models at ﬁve evolutionary stages. which is used in the classiﬁcation of protostars (section 7.e. in a consistent fashion. including the embryo star. As the numbers extracted from equation (15.70)).3) and added. They suggest that for a clump of initially one solar mass.1) and later from hydrogen burning take over. 1. Rin . In the example of ﬁgure 16.7.3.

all dust models give similar curves. The models are described in the text.0 and 20 µm which are the wavelengths used for computing the spectral index α introduced in section 7. The curves are marked by squares at 2. Interestingly.514 Emission from young stars Figure 16. Although the computer was busy for a few minutes to obtain the spectral energy distributions of ﬁgure 16.4. .7. The spectral energy distribution of a protostellar cloud of 1 M at ﬁve consecutive evolutionary stages. Third. the protostar is always embedded in a larger cloud complex which distorts the spectrum of the protostar because it leads to additional extinction in the near and even mid infrared and to an enhancement of the submillimeter emission. except for the outer cloud envelope where the grains may be icy and ﬂuffy. the output must not be taken too literally. There is a strong 10 µm silicate absorption feature but a near infrared counterpart of the embryo star is not yet detectable. First. in state-of-theart models.3. numbered 1 to 5. because of the simplicity of the one-dimensional code. In the course of the early protostellar evolution.2. Finally. The protostar appears ﬁrst as a submillimeter source. the maximum of the emission shifts towards shorter but still far infrared wavelengths. one expects an accretion disk around the embryo star whose structure and emission have not been clariﬁed. the silicate absorption disappears and the star becomes visible optically. it is asymmetric due to rotation and the presence of magnetic ﬁelds which makes the observed spectrum dependent on the viewing angle. the radiative transfer is calculated consistently together with the multi-dimensional hydrodynamic evolution. Second. the emission increases rapidly in the near infrared. a real cloud is more complicated. In the advanced phases. the dust properties are not crucial.7. 5.

collapsing protostellar cloud was sketched in section 15. It may continue to do so for many more to come because there is no exact deﬁnition what a protostar is.3: the gas density decreases with radius r like a r −3/2 and the infall velocity v goes with r −1/2 . be hotter than point 1 (4).10 model calculations for the early phase of protostellar collapse. The source is mapped in various transitions of several such molecules to cover the full physical range encountered in the cloud. The computations are performed in the microturbulent approximation described in section 13. The clump has a radius R = 1017 cm and its total gas mass (without the embryo star) equals 0. characterized by a certain interval of temperature and density.2. As interstellar dust does not supply us with velocity information. a ρ ∝ r −3/2 density dependence and an infall velocity u = 5. one receives red-shifted emission only from the cold position 4 because emission from the warm gas at 3 is absorbed. however. The ultimate proof that one has found a collapsing object has to come from the velocity ﬁeld of the interstellar clump: without a kinematic signature. It is important to note that although Tkin is constant in our model.11 M if one puts u 2 = 2G M/r ). we have to turn to atomic or molecular lines. If the line. before the release of gravitational energy in a shock front.2 km s−1 . We choose a kinetic gas temperature Tkin = 17 K.The collapse phase 16. After an embryo star has formed. assuming a constant turbulent linewidth of 0. To illustrate what the lines might look like. The isovelocity curves with respect to the Doppler shift toward the Sun are displayed in ﬁgure 16.8.65 M . as for rare isotopic species. Along a line of sight. If the line is optically thick. The cloud is then isothermal. in the study of a protostellar clump.3. is optically thin. Ideally. the temperature will decrease away from the star because the cloud has an internal energy source. Point 2 (3) will. the collapse cannot be identiﬁed with certainty. and likewise blue-shifted emission is detected only from the warm position 2. infall betrays itself by distinctive features in the proﬁles.5.5 × 1012r −1/2 cm s−1 (which implies an embryo star mass M of 0. one has for each physical domain.9 and 16.3 Kinematics of protostellar collapse 515 The search for a protostar has occupied observing astronomers for decades. The observations are carried out with high spatial resolution so that one can resolve the cloud structure. therefore. the proﬁles will be symmetric because of the symmetric conﬁguration in the near and far side of the cloud. This leads to the signature of infall: an asymmetric proﬁle where the blue peak is stronger than the red one. the . we present in ﬁgure 16. emission from position 1 (3) interacts with the gas at position 2 (4) because the radial velocities at the two points are equal. When the observed lines are analysed in a radiative transfer model. The structure of a spherically symmetric. The term is applied loosely to anything at the verge of gravitational stability to the stage when it becomes optically visible. a speciﬁc transition of a particular molecule with which one can probe the conditions in the gas. This is a healthy reminder that even dust is not everything.

has the pleasant side effect that all tenuous foreground and background material. at + points 3 and 4.98 Debye) than CO and thus requires higher densities for excitation (section 14. ±1. which is the relevant quantity for line emission (see (13. 4. Along a line of sight (arrow). respectively. however.65) and (13. excitation temperature Tex . So observations of the higher j → j −1 transitions refer to the core region where densities and velocities are larger.10 show the CS lines of upper level jup = 2. becomes invisible. The infall velocity v equals 1 (in arbitrary units) at the circumference of the circle and increases with radius r like r −1/2 (see (15. At points 1 and 2. But when looking at the source at high resolution. The molecule is fairly abundant ([CS]/[H2] ∼ 2×10−9 ) and in its physics similar to CO (section 14. Those in ﬁgure 16. will decrease in the envelope if the level population of the particular molecule is sensitive to the gas density. The egg-shaped curves are lines of constant radial velocity vrad . On the egg-shaped curves. which is the component in the direction to the observer.2).9 and 16.6 K in the (5–4) line and 5.4)). not related to the