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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

3.3.3.4.4 The dipole moment in quantum mechanics 6.1.1 Induced and spontaneous transitions 6.2.1 Crystal structure 7.1 Wavefunction of a particle in a constant potential 6.1 Covalent bonding 7.2 Selection rules and polarization rules 6.3 Two-color diagrams 7.2.8 Susceptibility and speciﬁc heat of magnetic substances Blackbody radiation 5.3.2 Lattice types 7.3 The reciprocal lattice 7.3.1.2.4.1 Stellar photometry 7.1 The classical Hamiltonian 6.2 Binding in crystals 7.5 The quantized harmonic oscillator 6.2 Small perturbations 6.1 Translational symmetry 7.4.1.4.and high-frequency limit 5.4 Potential wells and tunneling 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 5.2.2 Ionic bonding 7.2 Potential walls and Fermi energy 6.1 The perturbation energy 6.3.1.1.4 The double potential well Structure and composition of dust 7.1.4.2 The Hamiltonian of an electron in an electromagnetic ﬁeld 6.4 Quantum-mechanical derivation of A and B 6.2.3 Rectangular potential barriers 6.3 The Hamilton operator in quantum mechanics 6.2 Low.3 Wien’s displacement law and the Stefan–Boltzmann law 5.4 van der Waals forces and hydrogen bridges 7.3.4.3.2.2.1 A charged particle in an electromagnetic ﬁeld 6.3 The Einstein coefﬁcients A and B 6.3 Metals 7.2 The transition probability 6.3.1.7 The work done by magnetization 5.1 The Planck function 5.4 Spectral indices 7 .3 Quantization of the electromagnetic ﬁeld 6.3.Contents 5.2 The interstellar extinction curve 7.4 6 The radiative transition probability 6.1.4.3 Reddening by interstellar grains 7.4.3 Transition probability for a time-variable perturbation 6.

5 A standard set of optical constants Grain sizes and optical constants 7.5 8 Dust radiation 8.4 The density of vibrational modes in a crystal 8.2.4.1.5.1 The emissivity of dust 8.3 Practical considerations 8.2.3.5 The mass absorption coefﬁcient Carbonaceous grains and silicate grains 7.3 Temperature ﬂuctuations and ﬂux ratios .3 Standing waves in a crystal 8.1 Constant temperature and low optical depth 8.3 Absorption and emission in thermal equilibrium 8.4.4 Caloriﬁc properties of solids 8.5 Temperature of dust grains near a star 8.2.5.4 The stochastic time evolution of grain temperature 8.4.2 The bonding in carbon 7.6.4.6.2 Approximate absorption efﬁciency at infrared wavelengths 8.1 Origin of the two major dust constituents 7.5.4 Silicates 7.4.6.4.5 Temperature ﬂuctuations of very small grains 8.5.1.xii Contents 7.4.2 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 7.3.1 Normal coordinates 8.3.5.2.3 Carbon compounds 7.2 Constant temperature and arbitrary optical depth 8.6 The emission spectrum of very small grains 8.4.1.1.5 Speciﬁc heat 8.4.2 Thermal emission of grains 8.3 Temperature estimates 8.1 The probability density P(T ) 8.4.2.2 Strong ﬂuctuations 8.6 Dust temperatures from observations 8.6 Two-dimensional lattices 8.1 The energy equation 8.4 Relation between grain size and grain temperature 8.4 7.2 The transition matrix 8.3 The emission spectrum of big grains 8.5.4.1 Kirchhoff’s law 8.1 Small and moderate ﬂuctuations 8.4 Equipartition of energy 8.1 The size distribution 7.2 Internal energy of a grain 8.2.2 The temperature of big grains 8.

2.5 Equilibrium distribution and steady-state nucleation 9.2.4 Thermal hopping.4 The disorder time 9.2 Destruction processes 9.4 Polarization p(λ) of ellipsoids in the Rayleigh limit 10.1.5 Tunneling between surface sites 9.3.4 Absorption efﬁciency as a function of wavelength 10.1.4 Grain destruction 9.2 Vapor pressure of small grains 9.2 The photoelectric effect 9.3.5 Laminar and turbulent friction 9.6 A falling rain drop 9.2 The Serkowski curve 10.5.3 The sticking probability 9.7 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 10.7 The Poynting–Robertson effect 9.1 Mass balance in the Milky Way 9.6 Scanning time 9.5.1 Grain surfaces 9.1.1 Gas accretion on grains 9.1 Charge equilibrium in the absence of a UV radiation ﬁeld 9.2.3.3.1 Evaporation temperature of dust 9.1.5.3 Brownian motion of a grain 9.2 Linear polarization through extinction 10.1.5.3 Rotating cylinders 10.2.5.Contents 9 Dust and its environment 9.5 Polarization p(λ) of spheroids at optical wavelengths .2 Grain charge 9. evaporation and reactions with activation barrier 9.1 Random walk 9.2.2.1.5 Grain formation 9.1 Normal incidence and picket fence alignment 10.1 Effective optical depth and degree of polarization p(λ) 10.2 The drag on a grain subjected to a constant outer force 9.3.1.6 Solutions to time-dependent homogeneous nucleation 9.1.2.3.1 Efﬁciency of inﬁnite cylinders 10.5.3 Grain motion 9.2 Oblique incidence 10.2 Physical adsorption and chemisorption 9.3 Critical saturation 9.5.3.1.4.3 Polarization p(λ) of inﬁnite cylinders 10.1.4.4 Equations for time-dependent homogeneous nucleation 9.

6 The magnetic susceptibility for spin–lattice relaxation 360 11.4.2 Infrared emission of spheroids 10.4 The magnetization of iron above and below the Curie point 358 11.2 Timescales for alignment and disorder 367 11.1.1 Euler’s equations for a rotating body 347 11.3.2.2 Symmetric tops 349 11.3 Polarized emission 10.4.5 Suprathermal rotation 353 11.3.4 Circular polarization 10.2 Microcanonic emission of PAHs 12.3 Magnetic alignment 364 11.4 Ferromagnetic relaxation 369 11.1.3.7 The magnetic susceptibility in spin–spin relaxation 362 11.1.1 Gas streaming 373 11.2 The wavelength dependence of circular polarization 338 339 340 340 341 342 343 344 11 Grain alignment 347 11.3.1 Diamagnetism 355 11.1 Thermodynamics of PAHs 12.4 Microcanonic versus thermal level population 12.2.3.3.1 What are PAHs? 12.2.3 Ferromagnetism 357 11.3 Atomic magnet in a magnetic ﬁeld 351 11.1 Grain rotation 347 11.6 Mechanical and magnetic damping 372 11.1 The phase shift induced by grains 10.2.2 Magnetic dissipation 355 11.3 Super-paramagnetism 368 11.2 Anisotropic illumination 375 12 PAHs and spectral features of dust 12.1.2.2 Paramagnetism 355 11.4 Rotational Brownian motion 351 11.2.2.5 Paramagnetic dissipation: spin–spin and spin–lattice relaxation 359 11.3.4.1.xiv Contents 10.1.3 The vibrational modes of anthracene 12.1 The wavelength dependence of polarized emission for cylinders 10.3 Polarized emission versus polarized extinction 10.5 Does an ensemble of PAHs have a temperature? 377 377 377 378 379 381 382 .6 Polarization and reddening 10.1.1.2.1.1.4 Non-magnetic alignment 373 11.1 A rotating dipole in a magnetic ﬁeld 365 11.3.3.5 Alignment of angular momentum with the axis of greatest inertia 371 11.4.

2 The excitation temperature of a line 13.3 Passive disks 13.2.2 Extinction coefﬁcient in the diffuse medium 12.3 The brightness temperature 13.1.2 The relevance of dust 14.2.4 Galactic nuclei 13.4 An overall dust model 12.2.4.2 Low and high luminosity stars 13.2 Frequency averages 13.3.5 Practical hints 13.3 Extinction coefﬁcient in protostellar cores 13 Radiative transport 13.4 Cross sections and line proﬁles of PAHs 12.2.2.5.1 Radiative intensity and ﬂux 13.3 Differential equations for the intensity 13.4 µm 12.Contents 12.3 Photo-destruction and ionization 12.4 Integral equations for the intensity 13.2.1 Moment equations for spheres 13.1 Global parameters 14.2 Spherical clouds 13.1.1.2.1 Overview of the Milky Way 14.5 Line radiation 13.5.5.1.2 PAH emission 12.4.1 Basic transfer relations 13.3 Molecular hydrogen 14.1 Radiative transfer in a plane parallel layer 13.1 The silicate features and the band at 3.1 Absorption coefﬁcient and absorption proﬁle 13.2.3.4.3 Big grains and ices 12.2.3 Radiative transfer in lines 14 Diffuse matter in the Milky Way 14.2 Population of levels in CO 14.1 The three dust components 12.2.2 Icy grain mantles 12.4.4 The main-beam-brightness temperature of a telescope 13.2 The grazing angle in an inﬂated disk 13.1 Photoexcitation of PAHs 12.2 The transfer equation and its formal solution 13.2.2.2.4 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 .3.1.1 Hot spots in a spherical stellar cluster 13.1 The CO molecule 14.4.3.2 Cutoff wavelength for electronic excitation 12.2 Molecular clouds 14.1.

1 Viscous laminar ﬂows 15.3 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 15.1.2.1.2 From the CO luminosity 14.4 HII regions 14.4.3.2 The 21 cm line of atomic hydrogen 14.4 Bremsstrahlung 14.2.3 Similarity solutions of collapse 15.2 Isothermal cloud in pressure equilibrium 15.1 Ionization and recombination 14.3.2 The binding energy of an atomic nucleus 15.3.1.3 Structure and stability of Ebert–Bonnor spheres 15.3 How the hyperﬁne levels of atomic hydrogen are excited 14.3.5 The deuterium hyperﬁne line 14.3.1.3 Hydrogen burning 15.4.2.3 Gravitational collapse 15.5.2 Dynamical equations of the thin accretion disk 15.4.2.2.2 Clouds near gravitational equilibrium 15.4.2 Hydrodynamic collapse simulations 15.4 Disks 15.1.4.6 The initial mass function 15.6 Implications of the Jeans criterion 15.4 Why a star accretes from a disk 15.1.3 Dusty HII regions 14.3.1 Virialized clouds 15.3 The Kepler disk 15.4.3.1 General properties of the diffuse gas 14.5 Recombination lines 14.1 From optically thin CO lines 14.3 Clouds of atomic hydrogen 14.4.7 Magnetic ﬁelds and ambipolar diffusion 15.1 Stars on and beyond the main sequence 15.4 Free-fall of a gas ball 15.6 Electron density and magnetic ﬁeld in the diffuse gas 14.5.5 Lifetime and luminosity of stars 15.1 The presolar nebula 15.xvi Contents 14.4.4.5.3.2.3.1 Nuclear burning and the creation of elements 15.4 The 3α process 15.4.2 Dust–free HII regions 14.4 Gas density and temperature from the 21 cm line 14.2.5 Mass estimates of interstellar clouds 14.5 The stationary accretion disk .5 The critical mass for gravitational instability 15.

2.5 Cold and warm dust in galaxies 16.3.3 Accretion disks 16.3.1 The earliest stages of star formation 16.2.1 Repetitive bursts of star formation 16.3 Radiative transfer in an inﬂated disk 16.2 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 .3.4.1 A ﬂat blackbody disk 16.6 Starburst nuclei 16.4.2 Isothermal gravitationally-bound clumps 16.3 Kinematics of protostellar collapse 16.1 Globules 16.2.4 Reﬂection nebulae 16.6 The α-disk 15.6.1.2 Dust emission from a solar-type protostar 16.7 Disk heating by viscosity 16 Emission from young stars 16.2 The collapse phase 16.2 A ﬂat non-blackbody disk 16.Contents 15.1.6.1 The density structure of a protostar 16.

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

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

A poignant style enhances the understanding. nothing else. German would have been beneﬁcial to the reader. So I freely acknowledge the priority of management and technology over physics. in this respect. parallel to the lingua franca.Preface xxi technology instruments that have allowed us to peep into hitherto hidden realms. Pondering a problem in different languages means approaching it on different paths. Nor do I mind that one suspects behind simple phrases a simple mind. without polemizing against higher resolution or higher sensitivity. After all. is that each language imprints on the mind its own pattern of thinking. A formula lacks cross relations and does not sufﬁciently take into account the analogous character of what it asserts. and each path offers its speciﬁc outlook. I consider it a triﬂe that no sentence came easy. Indeed. if one includes Science Marketing. For example. too. we. 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. this supposition may be true. 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. how many more are required to arrive at it? What would quantum mechanics be if it were reduced to equations . The language It is obviously English. out of sheer pleasure for the subject. But the strongest point in a plea to retain in science one’s mother tongue in all its might. I solve equations containing time but do not very well know what time is. the majority of astronomers. As English has become so pervasive in our daily scientiﬁc work. a textbook on physical sciences is not a railway timetable. Ach. 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. even for three. The obvious needs no words but there are lamentable aspects about using the modern lingua franca. 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. 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. it did me good learning some more of a foreign language while composing the text. helps memorize and carries the reader over difﬁcult stretches. Words are needed. Despite all this. astronomy would continue to thrive for a decade or two. If words are needed to explain a formula. It is erroneous to think that the ﬁndings of natural sciences are fully expressed in numbers or formulae. this book stresses the link between astronomy and physics. 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.

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. When the proofs. I am grateful to those who undertook the pains of critically reading parts of the manuscript: Christian Henkel. Two books served as guides (Vorbilder) which I tried to follow. the ﬁgures. Ralf Siebenmorgen. M Harwit pioneered in his Astrophysical Concepts to teach astronomy anew. And a successful struggle with an astronomical problem also needs a vivid. to add. 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. Aigen Li. they are the usual ones but because of the way the story is told. When I sitting heard the astronomer where he lectured with much applause in the lecture-room. by words from an authority outside the ﬁeld. Although far from being an expert in the scientiﬁc subject itself. When I was shown the charts and diagrams. The philosophical headline A long scientiﬁc text is frequently preceded. with the eyes of a physicist. such as a philosopher or a poet. Malcolm Walmsley and Jan Martin Winters. It has been on my desk for decades (and I am still struggling with parts of it today). in particular: David Graham. Dabbling in poetry and philosophical treatises. Nikolaj Voshchinnikov. precise and powerful language to put all its facets into a fruitful perspective. It is the following verse by the 19th century North-American poet Walt Whitman which they had calligraphically written onto cardboard. 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. to my mind. Johannes Schmid-Burgk and Alexandr Tutukov. helped with their expertise and advice and encouraged me. Richard Porcas. were ranged in columns before me. Michaela Kraus. one might even say embellished. addressing the student and enlightening the professor. Each has. Here is what Whitman left us: When I heard the learn’d astronomer. I wish to follow this custom. Antonella Natta. and measure them. one outstanding merit: L Spitzer’s Diffuse Matter in Space is of dazzling perfection. To whom I am indebted I owe to my colleagues who bore with me. Armin Kirfel. without pretending to match them. divide. Werner Tscharnuter. How soon unaccountable I became tired and sick. Till rising and gliding out I wandered off by myself .

irrationality. corroborating. Looked up in perfect silence at the stars.Preface In the mystical moist night-air. like the mystical moist night-air. The reason for picking this poem as the philosophical headline is that it pays a wise tribute to the irrational. At the end of this longish foreword. being a layman in literature. I take their objections very serious but ﬁnd the occasional vehemence of their arguments soothing. 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. I venture in the present context the translation: Hmm well. Stepan Verchovenskji. any literary praise of these lines from my side is out of place. I will not admire how irresistibly Whitman conjures the lure of the night sky and contrasts it to the unnerving ambition of scholars. and from time to time. At a beneﬁt party. So I will not say a word about the magic beat that pervades the poem: How the rhythm starts from impatience. well hmm! Let this be the concluding remark. condenses into anger and transforms into serenity. xxiii Of course. is at the root of any sincere endeavour. at least. the aging hero of the narrative. 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. Some colleagues strongly disagree and regard with contempt those who let themselves be charmed by such a poem. Reﬂected or not. Yours sincerely EK Bonn Easter 2002 . that they are not moved by logic and astronomical data alone. including the quest of an astronomer to understand the cosmos. a line comes to mind by F M Dostojevskji from his novel The Demons.

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1. including the absorption. their names and meaning are not universal. 1. Approximating a solid body by an ensemble of such dipoles (identical harmonic oscillators). We summarize the properties of harmonic oscillators. are Maxwell’s formulae.Chapter 1 The dielectric permeability We begin by acquainting ourselves with the polarization of matter. we learn how its dielectric permeability changes with frequency. a dielectric medium where the charge distribution in the atomic dipoles is ﬁxed but the dipoles themselves may rotate. We recall the basic equations of electrodynamics and outline how plane waves travel in an inﬁnite non-conducting (dielectric) medium and in a plasma. 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. Before we exploit Maxwell’s equations. 1.1 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. scattering and emission of light by individual dipoles. such as the interaction of light with interstellar dust. This study is carried out for three scenarios: • • • a dielectric medium where the electron clouds oscillate about the atomic nuclei.1) 1 .1 Maxwell’s equations At the root of all phenomena of classical electrodynamics. and a metal where the electrons are free. ﬁrst deﬁne the quantities which describe the electromagnetic ﬁeld. They can be written in different ways and the symbols. we. far from it.

B is also called the magnetic induction. and a magnetic component.1 Dielectric permeability and electric susceptibility In an electrically neutral medium. p (1. qE. we introduce as an additional quantity the displacement D.4) . The force F has an electric part. the cross × denotes the vector product. P. When the moving charges are electrons in an atom driven by an electromagnetic wave. V It may be interpreted as the number density N of molecules multiplied by the average electric dipole moment pmol per molecule: P = Npmol . a neutral body of volume V may have a dipole moment p (small letter) given by p= V xρ(x) d V. therefore. working perpendicular to v and B.2 The dielectric permeability called the Lorentz force. (1.1) shows what happens mechanically to a charge in an electromagnetic ﬁeld and we use it to deﬁne E and B. For an electromagnetic wave in vacuum. through an electric ﬁeld E: D = E + 4πP. which pulls a positive charge in the direction of E.1.1. the term (v × B)/c in formula (1. (q/c)v × B. Equation (1. E and P being deﬁned.3) P= . It adds nothing new and is just another way of expressing the polarization of matter. their velocities are small. 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) is much smaller than E and usually irrelevant for the motion of the charge. |E| = |B| and. the integral of the local charge density ρ(x) at locus x over any volume V vanishes. (1. V However.2 Electric polarization of the medium 1. Protons move still more slowly because of their greater inertia.2. 1. ρ(x) d V = 0.2) The dipole moment per unit volume is called the polarization P (capital letter).

We have.2.5) is the ﬁrst of two constitutive relations complementing the set of Maxwell’s formulae. Equation (1. ε is called the dielectric permeability or dielectric constant or permittivity. respectively.8)). 1.3 The dependence of the dielectric permeability on direction and frequency Unless speciﬁed otherwise.4. and the dipole moment and the ﬁelds do not have the same direction. χ bears the name electric susceptibility. There is also a ﬁeld Ei inside the grain. (1. In the trivial case of a vacuum. αe and χ are tensors. The relation between them is described in detail in section 3. As one recedes from the grain. (1.6)) and on E (from (1. we could replace D in all equations by εE. however.5) (1. 1. The polarization P (capital letter) depends linearly both on Ei (from (1. a constant ﬁeld E induces a dipole moment so that ε > 1 and P = 0. E and P.1. For example. (1.7) 4π The proportionality factors ε and χ are material constants. This differs from the constant outer ﬁeld E. P. three quantities describing the electric ﬁeld: D. although two would sufﬁce. the proportionality factors being αe and χ.1. it acquires a dipole moment p = αe V E. In a dielectric medium. altogether. D and E are proportional to each other and we can write D = εE P = χE with χ= (1. P = χEi = αe E. say Ee (e for external).2 The electric polarizability Another quantity we will need is the electric polarizability αe . we always assume (on a macroscopic level with dimensions much greater than an atom) homogeneity so that the dielectric . E = D and ε = 1.9) In the general case. the ﬁeld in the vicinity of the grain becomes distorted.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. Ee approaches E asymptotically.8) Because of the dipole moment. It no has longer the value E but some other value. Therefore.6) ε−1 . they mean more or less the same. the polarization P vanishes. If we place a small grain of volume V into a constant electric ﬁeld E.

So the term dielectric constant. εik = εki . However. one needs for each frequency ω two independent numbers which.4 The dielectric permeability permeability ε does not depend on the position in the grain. at most.5) must then be generalized to Di = i εik E i + D0i . and can always be brought into a diagonal form by the appropriate choice of coordinate system. D = εE. If the three diagonal elements are equal. Crystals of the cubic system have this pleasant property but in interstellar grains we will also encounter anisotropy.1). However. it may depend on the direction of the ﬁelds because. which means that ε is independent of the ﬁeld strength. is misleading when taken at its face value. in an alternating ﬁeld. The functional form of ε(ω) is called the dispersion relation and will be used extensively in what follows.5). which is the other frequently used name for ε(ω). The relation (1. It then has. three independent components. the susceptibility χ is close to its static value: χ2 χ2 (0) = 0. a grain is made up of atoms and is thus not homogeneous.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. as depicted in ﬁgure 1. χ1 χ(0) (1. only one parameter is needed to specify the polarization and χ or ε are real.10) (1. We use scalar notation for the moment and let E 0 be real. are written as one complex variable: χ(ω) = χ1 (ω) + i χ2 (ω) ε(ω) = ε1 (ω) + i ε2 (ω). For a slowly varying ﬁeld with small ω. Equation (1. ε reduces to a scalar and the grain is said to be isotropic. for mono-crystals with a cubic structure (see section 7.1. E = E 0 e−iωt . The tensor εik is symmetric.11) . on a microscopic level.1. This happens only in special cases known as pyroelectricity. It is an essential feature for a discussion of interstellar dust that ε is a function of frequency: ω = 2πν or. out of mathematical convenience. In electrostatics. as one says. is linear. The vector representing the complex ﬁeld E then rotates in the complex plane clockwise. D0i is always zero. that ε shows dispersion. The constant term D0i implies a frozen-in dipole moment even in the absence of an outer ﬁeld. 1.

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

would be χ(ω) = χ1 (ω) − i χ2 (ω). The magnetic ﬁeld H is deﬁned by H = B − 4πM. in the classical picture. . We would prefer the pairs (E. produces a magnetic moment 1 m= (x × J) d V. (1. the angle ω t is also not necessarily small. 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 . corresponding to a current density J = ρv. the ﬁeld rotates anticlockwise in ﬁgure 1.13) 2c When the integral extends over a unit volume. The maximum of P is now given by Pmax = 2 2 χ1 + χ2 E 0 .1.10). Nevertheless. conventions urge us to drag D and H along. 1. The sign of i is just a convention.15) Similar to the situation of the electric ﬁeld. instead of (1. however. instead of three. because the electric ﬁeld E. B and M. however. we could also choose a time dependence eiωt for the ﬁeld and nothing would change.5 Magnetic polarization of the medium In a macroscopic picture. (1. When E = E 0 eiωt . may become zero as well as negative. it is called the magnetization M. again with positive χ2 . a stationary motion of charges with density ρ and velocity v. The magnetic moment of this moving charge is qvr AI m= = 2c c where A = πr 2 signiﬁes the area of the loop. we could replace H by B in all equations and retain two ﬁeld quantities. the magnetic ﬂux density B as well as the polarizations P and M allow a direct physical interpretation. M= m . a charge q traveling with velocity v in a circular orbit of radius r constitutes a current I = qv/2πr . If the frequency ω is not small but arbitrary.6 The dielectric permeability and dissipation is completely absent.1 and the susceptibility. although one that must be followed consistently. the magnetization of matter comes.14) For example. If A is small. V (1. from the atomic currents (electron orbits). M). the accompanying ﬁeld is that of a dipole. χ1 . P) and (B. Without the motion of the macroscopic charge. Of course. we can exclude χ2 ≤ 0 for the same reasons as before. The real part of the susceptibility.

For interstellar grains. When this piece of metal is placed in a static electric ﬁeld. These are insulators and no constant current can be sustained within them. . and χ α. alternating currents produced by a time-variable electric ﬁeld are possible. In analogy to (1. µ is the magnetic permeability and also generally complex.1. In vacuo. In these currents. µ is large only for ferromagnets. This is a synonym for conductors and.5): B = µH. one must explicitly write χm or χe for the magnetic or electric case. Metals. a constant outer magnetic ﬁeld H induces in a small body of volume V a magnetic dipole moment m = V M = αm V H (1.6 The magnetic susceptibility 7 The second constitutive equation concerns the magnetic ﬁeld H and the induction B. If the substance is not ferromagnetic. For diamagnetic substances. µ = µ1 + i µ 2 . for paramagnetic substances a little bigger.1. When a piece of metal is connected at its ends to the poles of a battery. It also shows dispersion.16) where αm is the magnetic polarizability and M the magnetization within the body. the magnetic induction and magnetic ﬁeld are practically the same inside and outside. one usually writes M = χB. If B denotes the interstellar magnetic ﬁeld and M the magnetization of the grain. in this sense. time-varying electric ﬁelds and currents are possible. B = H and µ = 1. a steady current ﬂows under the inﬂuence of an electric ﬁeld. 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. • In the interstellar medium.8). If there is any chance of confusion. we deﬁne the magnetic susceptibility by µ−1 (1.7). µ is a little smaller than one. Similar to (1.Maxwell’s equations 1. Nevertheless. they are the opposite of dielectrics.18) (1. which are weakly magnetic substances with |µ| close to one. 1.17) χ= 4π so that M = χH. a linear relation holds as in (1. 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. one ﬁnds both dielectric and metallic particles but the latter are probably far from being perfect conductors. However.

(1.19) ρtot = ρpol + ρfree . In an uncharged body.1 Sign conventions We have to make a remark about the sign convention. Moving charges constitute a current. ρpol does not vanish. In a dielectric medium. Jtot = Jfree + Jpol + Jmag . The ﬁrst arises from polarization. div P = 0 and ρfree stands for all charges. When charges are brought in from outside.803 × 10−10 esu (electrostatic ˙ Jpol = P Jmag = c · rot M. (1. It contains protons and electrons and the net charge divided by δV gives the total local charge density ρtot . So we usually picture the grain material to be a continuous medium. sometimes we have to dive into the atomic world. comprises all other charges besides ρpol .8. An electron.1. (1. the medium becomes structured. Consider a microscopic volume δV in some piece of matter. ˚ On a scale of 1 A or less. P = 0. positive and negative. its absolute value being e = 4. if the polarization P is spatially non-uniform. For an electrically neutral body. Within a metal. Then the separation of charges is inhomogeneous and leads to a charge density ρpol = − div P.19). electrons and protons exactly cancel and ρtot integrated over the body is zero. ρpol is zero because the positive and negative charges of the neighboring dipoles exactly balance.22) . However. their sum is zero.8 Free charges and polarization charges We are generally interested in the electromagnetic ﬁeld averaged over regions containing many atoms.21) The ﬁrst term on the right-hand side is associated with the motion of the free charges.20) The second term in (1.19). For example.1.8 The dielectric permeability 1. and polarization charges can only appear on the surface. 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. Often ρtot is written as the sum of two terms: (1. has a negative charge. the electric ﬁeld polarizes the atoms and thus produces aligned dipoles. Atoms appear with positive nuclei and negative electrons spinning and moving in complicated orbits and the electric and magnetic ﬁelds. However. when the polarization is constant. The total current density Jtot may also be split into parts similarly to (1. of course. which are smooth on a macroscopic scale. have huge gradients. ρfree . If the polarization within the particle is uniform. ρfree = 0. the only exception is the surface of the particle where charges of one kind accumulate.

rot H = D + c c (1.20).9 The ﬁeld equations We have now deﬁned all quantities that appear in Maxwell’s equations and we write them down. the electric ﬁeld of an isolated positive charge (proton) is directed away from it and repels other positive charges according to (1.27). for instance.27) (1. With the help of this ﬁgure.31) E denotes the electric and H the magnetic ﬁeld.30) (1.1).28) (1. for a medium with free charges and currents: div D = 4πρfree div B = 0 1˙ rot E = − B c 4π 1˙ Jfree . . ﬁrst. the polarization jumps at the left edge of the grain from zero to its value inside. ˙ (1. at a place where div P > 0. we can explain the minus sign in equation (1.25) (1. D the electric displacement. In the case of nonuniform polarization within the grain. Hence a dielectric grain in a constant ﬁeld E has a polarization P parallel to E and surface charges as depicted in ﬁgure 3. The gradient there is positive and thus a negative charge appears on the surface. J the current density and c. directed from the minus to the plus charge and anti-parallel to the electric ﬁeld along the line connecting the two charges. from (1. Going from left to right. B the magnetic induction.1.2).24) (1. B = ∂B/∂t. 1. for a neutral dielectric medium: div D = 0 div B = 0 1˙ rot E = − B c 1˙ rot H = D c second.4 of chapter 3. the velocity of light.30) gives the expression for charge conservation: ρfree + div Jfree = 0. of course.26) ˙ A dot above a letter stands for partial time derivative.29) (1.Maxwell’s equations 9 units). The moment p of a dipole created by two opposite but equal charges is. the electric ﬁeld pulls a small charge δq out of a tiny volume δV leaving behind an unbalanced negative charge −δq. Applying the operator div to (1.23) (1. After Maxwell’s equation (1. Our choice of mathematical symbols is summarized in appendix A together with some common relations of vector analysis.

32) (1. which is the energy per unit time and area. Maxwell’s equations (1.36) (1. when E 0 denotes the amplitude of the electric ﬁeld vector. the time average is c 2 S = E .2 Waves in a dielectric medium We derive from Maxwell’s equations how a plane wave propagates in an inﬁnite medium. 1. 1. or refractive index and recall a few formulae concerning energy. (1.34) is a plane harmonic wave.2. For real ﬁelds. its momentary value is c E × H. deﬁne the optical constant. The characteristics of a plane harmonic wave are an eik·x space variation and an e−iωt time variation. (1. All waves in interstellar space that interact with interstellar matter are planar because the sources from which they arise are very distant.38) S= 4π In a vacuum. c2 (1.39) 8π 0 . In an inﬁnite medium.33).35) These are the wave equations which describe the change of the electromagnetic ﬁeld in space and time. ﬂux and momentum of the electromagnetic ﬁeld. rot H = − i c rot E = i (1. t) = H0 · e i(k·x−ωt ) (1.2.25) and (1.33) Applying the operator rot to (1.10 The dielectric permeability 1.1 Flux and momentum of the electromagnetic ﬁeld An electromagnetic wave carries energy.34) (1.32) and (1.6) of vector analysis.1 The wave equation In harmonic ﬁelds. t) = E0 · ei(k·x−ωt ) H(x. E(x. which have a sinusoidal time dependence proportional to e−iωt . The ﬂux.26) become simpler: ωµ H c ωε E. at E+ or E− ω2 µεE = 0 c2 µε ¨ E=0 c2 H+ H− ω2 µεH = 0 c2 µε ¨ H = 0. with the help of formula (A. is given by the Poynting vector S.1. one solution to (1. we arrive.37) where k is a vector with k2 = ω2 µε/c2 .

The wave is planar and travels with undiminished amplitude at a phase velocity vph = c ω = √ . must be zero. through a unit area at a rate S/c. has an energy hν. • (1. k εµ (1. k y .41) Of course.37) into equations (1.2 The wavenumber The vector k = (kx . 8π (1.40) H∗ is the complex conjugate of H. Its magnitude is then k= ω√ εµ c and the imaginary parts ε2 and µ2 .42) First. k2 = k · k = k2 + k2 + k2 . an individual photon travels at the speed of light. the time average of the Poynting vector is a real quantity and. The wave also transports momentum. (1.43) and ωε E = −k × H c (1.Waves in a dielectric medium 11 When we use complex ﬁelds. c2 (1.43) that the vectors of the electric and magnetic ﬁeld are perpendicular to each other and to k.33). In the corpuscular picture. k2 and obeys the relation k2 = k2 − k2 + 2i k1 · k2 = 1 2 ω2 µε.33) yields ωµ H = k×E c and after scalar multiplication with k k · E = k · H = 0. kz ) in (1.36) is called the wavenumber and is. Inserting the ﬁeld of a plane wave given x y z by (1. which are responsible for the dissipation of energy.42) and (1.32) and (1. Any other medium is never fully transparent and an electromagnetic wave always suffers some losses. in the most general case. from (A. 1.44) .2. This is strictly possible only in a vacuum. complex: k = k1 + i k2 with real k1 . it follows from (1.36). As k speciﬁes the direction of wave propagation. we consider the standard case in which k is real. a momentum hν/c and an angular momentum . is given by S = c Re{E × H∗ }.

As the wave propagates.45) µ In particular. are related through ε E0 .115). c λ • Next. Such a wave is called homogeneous. k2 are the lengths of k1 . H0 = (1.46) that m does not contain any new information. There is a unit vector e parallel to k deﬁning the direction of wave propagation such that k = (k1 + i k2 ) · e.5). If k1 and k2 are not parallel. k2 . let k be complex. rather than (1. It is clear from the deﬁnition of the optical constant (1. In the common case of a non-magnetic medium. one must use the dielectric permeability ε as deﬁned in (1.3 The optical constant or refractive index For the propagation of light. The name optical constant is unfortunate as m is not constant but varies with frequency. (1. When the medium is metallic and has a conductivity σ . the electromagnetic properties of matter may be described either by the wavevector (from (1. where k1 .42).12 The dielectric permeability The real amplitude of the magnetic and electric ﬁeld. The geometrical relations (1. (1. If the vectors k1 and k2 are parallel. in a vacuum vph = c H0 = E 0 k= ω 2π = . µ and σ taken together. light is absorbed and the wave amplitude suffers damping proportional to e−k2 ·x . It is a complex dimensionless number. where µ=1 .41)) or by the optical constant m= √ εµ. too.47) with real part n and imaginary part k.2. E 0 and H0. The phase of the wave is constant in a plane perpendicular to k1 and the amplitude is constant in a plane perpendicular to k2 .46) m is also called the (complex) refractive index. the planes of constant phase and constant amplitude coincide. t) = E0 · e−k2 ·x · ei(k1 ·x−ωt ) .43) then lose their obvious interpretation. one speaks of an inhomogeneous wave and the surface where the ﬁeld is constant is not a plane. 1. Then ε2 and µ2 are complex. and the electric ﬁeld vector equals E(x. m(ω) = n(ω) + i k(ω) (1. in fact less than all material constants ε.

46) has two solutions and we pick the one with positive n and non-negative k 1 . 2 2 ε1 + ε2 + ε1 2 2 ε1 + ε2 − ε1 13 (1. into a constant ﬁeld in a vacuum.53).49) (1.50) (1.52) If the space between the charges is ﬁlled with a dielectric. some small dielectric object of volume V . we use the same letter for the imaginary part of the optical constant (italic type k) and for the wavenumber (Roman type k). 2 1 In order to abide by the customary nomenclature.53) When we compare (1. which is due to their Coulomb attraction.51) (1.2. is U= 1 8π E · E dV where the integration extends over all space.52) with (1. If the outer ﬁeld slowly oscillates.48) (1. 1 n=√ 2 1 k=√ 2 and. 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. ε1 = n 2 − k 2 ε2 = 2nk. It suggests an energy density u= 1 E · E. 8π (1. u= (1.Waves in a dielectric medium the real and imaginary parts of the optical constant follow from ε1 and ε2 . if we place.4 Energy dissipation of a grain in a variable ﬁeld The total energy of an electrostatic ﬁeld E in vacuum. .54) It becomes smaller because some work is expended on the polarization of the grain. This formula follows readily from the potential energy between the charges. 8π 1 E · D. produced by a ﬁxed distribution of charges. 1. Therefore. so does the polarization and for small energy changes dw = − 1 V d(P · E) = −V P · dE. vice versa. the total ﬁeld energy changes by an amount w = − 1 V P · E. 2 (1. E = E0 e−iωt .

So instead of (1. 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). . These currents also exert a force F on a charge but from (1.25) an electric ﬁeld E and thus a loss rate E · J. Because of the mathematical relation (A. Therefore. U= 1 8π H · B dV which implies an energy density of the magnetic ﬁeld u= 1 H · B.57) are the basic equations for understanding the absorption of radiation by interstellar grains. The bracket . in the case of a magnetic ﬁeld. 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.55) and (1. gives the dissipated power ˙ and its mean is ˙ W = −V PE = 1 V ω Im{αe }|E0 |2 > 0. the dielectric permeability ε is a tensor and symmetric. We ﬁrst look for the formula of the magnetic energy density. 1. H = H0 e−iωt .14 The dielectric permeability The time derivative w. one has to evaluate its energy by changing H.56) In complete analogy to the electric ﬁeld.18)) to a heat dissipation rate W = 1 V ω Im{αm }|H0|2 .33). for the total energy of the magnetostatic ﬁeld. static magnetic ﬁelds are produced by constant currents.1 The symmetry of the polarizability tensor We have already mentioned that. which we denote by W . 2 (1. . for an anisotropic substance. 8π (1. After some elementary vector analysis.57) (1. and we have used P = αe E from (1. one gets. 2 (1. The same applies to the polarizability.1) do no work because F · v = (q/c)v · (v × B) = 0.2.4. which makes sense. a time-variable magnetic ﬁeld.55) It is positive and proportional to frequency ω and volume V . hold for magnetism. denotes the time average.9). leads in a small body of volume V and magnetic polarizability αm (see (1.8). we write more generally Pi = j αi j E j . This produces according to (1. Formally similar expressions but based on different physics. .

and (c) a restoring force.3. one ﬁnds αxz = αzx and αyz = αzy . although a precise idea of what we mean by it is often missing. say. A harmonic wave with electric ﬁeld E = E 0 e−iωt exerts a force F = eE which causes the electron to move. one applies an electric ﬁeld in the x-direction. ¨ ˙ which is proportional to velocity and leads to damping of the system unless it is powered from outside. in the x-direction. The oscillator concept is very fruitful.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. At the beginning. the particle is unpolarized. 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. we later derive the dispersion relation ε = ε(ω) of the dielectric permeability around a resonance at frequency ω0 . H A Lorentz applied the harmonic oscillator model to the motion of an electron in an atom. Using this concept. that grows linearly with the displacement from the equilibrium position. Despite its simplicity and the fact that electrons ‘move’ in reality in complicated paths.58) On the left-hand side. Its motion is governed by the equation m e x + b x + κ x = F. Putting 2 ω0 = κ me γ = b me we get 2 x + γ x + ω0 x = ¨ ˙ eE . (b) a frictional force. 1.3 The harmonic oscillator In the early history of atomic theory. there is (a) an inertia term m e x. me (1. In a similar way.59) . ¨ ˙ (1. 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.54) the total energy W expended on polarizing a particle in a cycle consisting of four steps. Then one takes back the component E x and ﬁnally the component E y .The harmonic oscillator 15 The symmetry of the tensor αi j can be shown by computing after (1. 1. −κ x. −b x. If the cycle is loss-free. But generally we assume that a grain is built up of a system of oscillators. In the ﬁrst step. the condition W = 0 requires αxy = αyx . in the second step in the y-direction.

damping constant γ and resonant frequency ω0 (if the electron is unbound. The electron then oscillates at a frequency ωγ somewhat smaller than the natural frequency ω0 . ω0 = 0). Critical damping occurs for γ = 2ω0 . when there is no friction (γ = 0) and no perturbation from outside (E = 0). (1. 2 x + γ x + ω0 x = 0 ¨ ˙ (1. when damping is weak. Indeed. (1. In the following. with an exponentially decaying 2 amplitude.62) For x to be real. because then x v/ω can be neglected in comparison to the wavelength c/ω of the ﬁeld.3.e.16 The dielectric permeability The oscillator has only three properties: • • • charge-to-mass ratio e/m e . it is required that B be the complex conjugate of A. the velocity of an electron in an atom is typically of order v/c ∼ 1%. γ 2 > 4ω0 and ωγ is imaginary. It is assumed that the electric ﬁeld is spatially constant over the displacement x of the electron. v c.63) . i. (1. The amplitude then subsides exponentially without any oscillations. ωγ is real.2 Free oscillations In the simplest case. If friction is strong.59) reduces to 2 x + ω0 x = 0 ¨ (1. 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. we discuss only the one-dimensional oscillator. If γ 2 < 4ω0 . B = A∗ 2 which means Re{A} = Re{B} and Im{A} = − Im{B}.60) and the electron oscillates harmonically forever at its natural frequency ω0 .61) the solution is called a transient. 1. If there is friction (γ = 0) but no external force. This is correct as long as the velocity v of the electron is small. where the electron moves along the x-axis but one may readily generalize this to three dimensions.

¯ ¯ (1. E0 e x + γ x + ω0 x = ¯ ¯ me (1. the amplitude x 0 is proportional to γ −1 and can become very large. So if we assume an harmonic ﬁeld. (1.62) of the associated homogeneous equation (1.62) eventually dies out and only (1.The harmonic oscillator 1.65) remains. 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.61) one particular solution of (1. ¯ ¯ E and E 0 are complex and e ¯ −iωt 2 ¨ ˙ ¯ . there is friction plus an external ﬁeld that acts on the electron.65) In such a sum. It is now convenient to write the displacement and the electric ﬁeld as complex variables. for example x = x 0 e−iωt . sometimes for clarity we mark the complexity of a quantity explicitly by a bar. evolves.67) If damping (γ ) is small and the incoming wave vibrates with the natural frequency of the electron (ω = ω0 ). (1.66) ¯ ¯ Putting E 0 = | E 0 | and x 0 = |x 0 |. ¯ ¯ E = E 0 e−iωt .64). The electron then oscillates at frequency ω and not ω0 . the real amplitude of the electron’s displacement becomes x0 = eE 0 2 m e (ω0 − ω2 )2 + ω2 γ 2 .3 The general solution to the oscillator equation 17 In the most general case of equation (1.64) One obtains the general solution of this inhomogeneous equation by adding to the general solution (1.59). satisfying certain initial values for x and x at some earlier time t0 .65) describes the steady-state solution into which any particular solution. . Equation (1. the transient (1. For the complex ˙ amplitude of the displacement of the electron one ﬁnds x0 = ¯ ¯ e E0 2 m e (ω0 − ω2 − i ωγ ) . A static ﬁeld E 0 induces in the oscillator a permanent dipole moment p = ex 0 = e2 E 0 .3.

3. Initially. Around the resonance frequency. x and E. the time derivative of the total energy almost vanishes and only the term γ m e x 2 remains. the ¯ complex variables for position and ﬁeld. are out of phase because of ¯ the imaginary term i ωγ in (1.18 The dielectric permeability 1. 2 The total energy declines when there is friction.58) with x gives ˙ W = Fx = ˙ d dt 1 ˙2 2 mex 2 + 1 m e ω0 x 2 + γ m e x 2 . the time-averaged dissipation rate is ˙ W = 2 γ e2 E 0 ω2 1 2 γ m e ω2 x 0 = . friction results from collisions of the electrons with the lattice and this leads to heating.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. it moves in the forced oscillation with the frequency ω of the external ﬁeld.68) T + V = 1 m e (x 2 + ω0 x 2 ). it approaches 180◦. ˙ With x = −ωx. The damping constant γ . ˙ 2 The terms in the brackets represent the total energy. the acceleration vector of the electron pointed. when the ﬁeld E was switched on. This is not a miracle but reﬂects the steady-state response of the electron. the phase shift changes continuously and amounts to 90◦ at ω = ω0 . Because the mechanical power W .3. is then interpreted as the collisional frequency. the lag is small.1 The phase shift Equation (1. 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 . of course. Then the electron moves opposite to the direction in which it is being pushed by the external force eE. in the same direction as the electric ﬁeld.65) tells us that although the electron has a natural frequency ω0 . 1. If γ is small. With friction.69) .66). Without friction (γ = 0). the electron and the ﬁeld are synchronous. 2 2 2m e (ω0 − ω2 )2 + ω2 γ 2 (1. which has the dimension s−1 .3. If we think of a grain as being composed of many oscillators (atoms). which is converted in a forced oscillation into heat. At low frequencies (ω ω0 ). For ω ω0 . equals force multiplied by velocity: W = Fx ˙ multiplication of formula (1.

we ﬁnd f (ω) = x 0 0 ∞ e−γ t /2e−i(ω0 −ω)t dt = x0 .71) The energy of the system drops by a factor e in a time τ = 1/γ or after ω0 /2πγ cycles.70) the total energy E (unfortunately. f (ω) = or. (1. The integral (1.) • • When the frequency is very high or very low. i (ω0 − ω) + γ /2 (1. and especially when damping is weak.74) . the power W becomes large.73) The two functions x(t) and f (ω) form the Fourier transform pair.70). the heating rate W goes to zero because the velocities are small. 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 . we should denote the time average by W but for simplicity we write W . the initial loss rate is 2 2 W = 1 γ m e ω0 x 0 . into harmonic functions e−iωt of amplitude f (ω) and with continuously varying frequencies ω. the electron swings almost freely near its natural frequency ω0 .73) can be regarded as an inﬁnite expansion of the motion of the electron. Near the resonance frequency (ω ω0 ). while its amplitude gradually declines like e−γ t /2. 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. 1. however. For the amplitudes in the Fourier expansion of the free oscillator of (1. (1.5 Dissipation of energy in a free oscillation If the system is not driven by an external force and if damping is small.72) f (ω)e−iωt dω. by deﬁnition. x(t) = 1 2π ∞ −∞ ∞ −∞ x(t)eiωt dt (1. x(t). 2 The Fourier transform of x(t) in equation (1. in view of the reciprocity relation.3.70) is.The harmonic oscillator 19 (In fact.

All electrons inside S1 are suddenly displaced along the x-axis by the inﬁnitesimal length x. the mean charge density ρ over any macroscopic volume V is zero: positive and negative charges balance. in (1.4. we apply a perturbation to a plasma in equilibrium which consists of heavy. so that the volume of the slab V = x. which has the same shape and volume as S1 .74) is the basis for the Lorentz proﬁle to be discussed in section 1. z and y · z = 1. we may consider the oscillating electron as an alternating dipole of strength xe.60) shows that the electrons will oscillate around their equilibrium position with the frequency ωp of (1. ωp . 1. Equation (1. The inverse. If they swing in .20 The dielectric permeability In the decomposition of x(t) into harmonics. After this disturbance. 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 . To prove it. gives the relaxation time of the electron density. and the net charge density (ions plus electrons) in S2 is no longer zero but equal to Ne. ¨ 4π Ne2 x = m e x.7 Dispersion relation of the dielectric permeability Because the restoring force. immobile positive ions and unbound light electrons. As we assume weak damping. y. −κ x.75) −1 where N is the number density of free electrons.6 The plasma frequency The plasma frequency is deﬁned by ωp = 4π Ne2 me (1.58) is due to electrostatic attraction between the electron and a proton. Comparison with (1. 1. therefore. Prior to the disturbance.75).3. only frequencies with a substantial amplitude f (ω) are relevant.3. 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. ¨ The ﬁeld E = 4π Nex is found by integrating the basic equation 4πρ = div D. A real grain contains many such oscillators ¯ (electrons) that are driven by the incoming wave up and down. they all cluster around ω0 . they are in the neighboring slab S2 . Now consider in the plasma a slab S1 with sides x.

it shows the characteristic behavior of the dielectric permeability at a resonance. As we can compute m from ε after (1. The vertical line helps us to locate the maxima with respect to the resonance frequency. The induced dipole moment per .6).The harmonic oscillator 21 Figure 1. from (1.77).76) represents the so called dispersion relation of the complex dielectric permeability and speciﬁes how ε varies with frequency. If we use the plasma frequency of (1. phase and their volume density equals N. • In a constant ﬁeld E. Equation (1. here for a harmonic oscillator after (1.2 and ωp = ω0 .75). all quantities are real. where N is the number density of free electrons. ﬁgure 1.2. Despite this particular choice.2 also gives the dispersion relation for n and k. the dipole moment per unit volume becomes. 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 .77) Figure 1. The dispersion relation speciﬁes how the dielectric permeability ε = ε1 + iε2 or.76) where the equals sign on the far right comes from (1. ¯ ε−1 ¯ E Ne2 ¯ = E P = Nxe = ¯ 2 − ω2 − i ωγ m e ω0 4π (1.48) and (1.49). The bar designates complex quantities. Also of interest are the limiting values in very rapidly and very slowly changing ﬁelds. the optical constant m = n + ik. change with frequency. (1.66).2 presents an example of the dispersion relation ε(ω) calculated with γ /ω0 = 0. equivalently.

k and ε1 with respect to ω0 . n goes towards a constant value and k falls to zero.78) • • • The real part ε1 approaches the electrostatic value ε(0). . compute how an oscillator is damped by its own radiation and evaluate the cross section for absorption and scattering of a single oscillator. At high frequencies (ω ω0 ) and far from the resonance.4 The harmonic oscillator and light We continue to discuss the optical constant from the viewpoint that matter is made of harmonic oscillators. It may become zero or negative. 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 . when the wavelength is reduced to the size of an atom. the concept of a continuous medium breaks down and modiﬁcations are necessary. (1. whereas ε2 becomes proportional to frequency ω times the damping constant γ and is thus small. ε =1+ +i 2 ωp γ 4 ω0 ω. 1. and the material becomes transparent because there are no dissipational losses (k. At exactly the resonance frequency. ε2 is quite symmetric and has a prominent peak. 2 ωp 2 ω0 . then sharply drops and rises again. ε2 → 0). But note in ﬁgure 1. Around the resonance frequency. This is a necessary condition for the fulﬁlment of the Kramers–Kronig relations (see section 2. ε1 (ω0 ) = 1 and 2 ε2 (ω0 ) = ωp /γ ω0 .2 the signiﬁcant shifts of the extrema in n. We derive the emission of an accelerated charge. ε1 increases from its static value as ω nears ω0 .5).2. Correspondingly. Refraction disappears (n → 1). (1. as displayed in ﬁgure 1. The imaginary part ε2 goes to zero far away from the resonance on either side but always remains positive. At very high frequencies.79) • ε is then an essentially real quantity asymptotically approaching unity.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 ).

is always positive. which is impossible for a dust grain in thermodynamic equilibrium. may take up positive and negative values. which itself is proportional to the frictional parameter γ . to ﬁrst order.44) and (1. According to Fermat’s principle. light traveling in a medium of varying n chooses. For light traveling from focus F1 of an ellipse to focus F2 via the reﬂection point M on the circumference of the ellipse.46).3). the total path length F1 MF2 is indifferent to variations around M. n. The index n determines the phase velocity vph of the wave. when inﬁnitesimally varying the actual path. if it is on the curve C which has a curvature radius smaller than the ellipse at M. In the harmonic oscillator model. however.4. 1. In a resonance. the quickest. Without damping one ﬁnds.3. the electrons transfer kinetic energy in collisions to the lattice. The real part of the dielectric constant.The harmonic oscillator and light 23 T M C F1 F2 Figure 1.2). 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 . The loss rate depends foremost on the imaginary part of the dielectric constant ε2 . the travel time does not change. ε2 or k can never be negative as this would imply ampliﬁcation of light. the actual path is a minimum. the phase velocity in glass is different from that in vacuum is contained in the concept of superposition which . n n is responsible for the phenomenon of refraction. for example. c vph = . from among all possible paths. The physical reason that.1 Attenuation and refraction of light The attenuation of light is due to the dissipation of energy. In an idealized loss-free medium ε2 and k vanish. The real part of the optical constant. the path is a maximum. So the chosen route might be a local minimum or a local maximum (see ﬁgure 1. If the reﬂection point M lies on the tangent T. ε1 . More precisely. from (1. ε2 has its maximum value close to but not coinciding with the natural frequency ω0 (see ﬁgure 1.

it all depends.80) So for small attenuation. from (1.2 Retarded potentials of a moving charge An oscillating electron represents a current that is surrounded by a time-variable magnetic ﬁeld which. in the end. the expression for n reduces. one speaks of normal dispersion. cannot travel faster than c (see (1. i. (1. thin sheet of glass oriented perpendicular to the direction of wave propagation. in turn. i.4. This does not violate special relativity as it is not possible to transmit information with a monochromatic wave. according to the principle of superposition.e.77). The electric ﬁeld of the wave accelerates the electrons in the glass and they start to radiate themselves.48) and (1. n rises.e. induces an electric ﬁeld and so on.2). The ﬁeld E a far ahead of the sheet is. When n is less than one. to the wave if there were no sheet. from the interference of the incoming wave with waves generated by the excited oscillators. A wave package. Consider. dips afterwards below one and goes asymptotically to unity at high frequencies. When n rises with ω. a plane wave that encounters a ﬂat. 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. which is composed of waves of different frequencies and is capable of carrying a message. to n 1+ 2 ωp 2 2(ω0 − ω2 ) . for this purpose.2. if dn/dω < 0.131)). n is nearly constant at low frequencies and equal to 2 2 1 + ωp /2ω0 . If a substance has several resonances arising from different oscillators with number density N j and natural frequency ω j . the dispersion is called anomalous. an electromagnetic wave is emitted. for example. when the damping is weak and γ ω0 . we ﬁrst summarize what the electric and magnetic ﬁelds produced by arbitrarily moving charges . When one computes E a (it is not too difﬁcult). for historical reasons.e. In terms of actual frequencies. of course. i. 1. on the value of ω0 . This is true. the phase velocity exceeds the velocity of light in vacuum. for glass in the visible range: blue light entering a prism is bent more than red light. to the left of ω0 in ﬁgure 1. To calculate the emission. in a subtle way. As one approaches the resonance (see ﬁgure 1.24 The dielectric permeability states that the ﬁeld at any given point is the sum of the ﬁelds from all oscillators anywhere in the world. So the phase velocity c/n follows. reaches its maximum shortward of ω0 . one ﬁnds that it has a phase shift relative to the incident wave.80) n(ω) 1+ 2πe2 me Nj j ω2 j − ω2 . the sum of the ﬁelds created by all electrons plus the ﬁeld of the incident wave. However. one has instead of (1. For a medium that is almost transparent.

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 .81) (1.22). c (1. there exists a vector potential A such that B = rot A (1. We now ˙ drop the sufﬁx ‘tot’.27)–(1. c |x2 − x1 | (1. c (1. Then φ and A obey the relations A− 1 ¨ 4π J A= − 2 c c 1 ¨ φ − 2 φ = − 4πρ.85) (1.88) (1. t ) d V. t) = ρ(x1 . t) = A(x2 .30) with the help of (1. 1˙ div A + φ = 0 c (1. the potentials at the point x2 of the observer are (see any textbook on electrodynamics): φ(x2 . If the charges are localized around the center of the coordinate sytem and if their position is denoted by x1 . c c c (1. The delay corresponds to the time it takes light to travel from x1 to x2 : t =t− |x2 − x1 | . c These potentials are gauged by imposing on them the Lorentz condition. they become wave equations and their right-hand sides vanish. In vacuum.87) (1. Because div B = 0. not only the ‘free’ parts: div B = 0 div E = 4πρtot 1˙ 4π 1˙ rot B = E + rot E = − B Jtot .87) are equivalent to Maxwell’s equations. t ) dV |x2 − x1 | J(x1 .19)–(1. We start with Maxwell’s equations in the so-called microscopic form where all contributions to charge and current are included. there exists a scalar potential φ with 1˙ E + A = −∇φ.83) ˙ and because rot(E + A/c) = 0.86) (1.The harmonic oscillator and light 25 of density ρ look like. ρtot + div Jtot = 0.82) They follow immediately from the equation set (1.86) and (1.90) .84) which leaves the ﬁelds E and B untouched. Again there is charge conservation.

4. We do not discuss the near ﬁeld here. |x2 −x1 | |x2 |−x1 ·e.3 Emission of an harmonic oscillator Under such simpliﬁcations. the wave is planar and H =e×E E = H × e. d r (astronomers are always at a safe distance from the action). to atoms where a charge is oscillating at a frequency ν and the linear dimension of the system d ∼ ν −1 v = λv/c.91) If the d is also small compared with the wavelength. If there is only one small charge q of space density ρ(x) that is oscillating about an opposite charge at rest.10)) and the electric ﬁeld of a charge . (1. The vector potential A follows from a volume integral over the current density J at the earlier epoch t = t − r/c.92) yields A(x2 . 1. for example. ∇φ in (1. the result is the same with p = qi xi .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. t − r/c) cr (1.84) is negligible because φ represents the potential of the charge (see the comment after equation (6. d λ there will be no phase shift among the waves emitted from different parts of the source and the emission is coherent. t) = 1 ˙ p(x1 . (1. Far away from the charge. Moreover. t − r/c) d V. so we can write t and A(x2 . one obtains the dipole ﬁeld. so t t − (r − x1 · e)/c. If there are many charges qi shaking at velocity vi .92) This expression applies. where e is the unit vector pointing from the atom to the observer. we may put r |x2 −x1 | and take r out from under the integrals. equation (1. t) = 1 cr t − r/c J(x1 . Far away.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. where v is the non-relativistic charge velocity.

94) (1. 1.98) m is the magnetic dipole moment of equation (1. . From Q i j one deﬁnes the vector Q. cr cr 6c r (1.89) for small x1 · e. 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 (1.4 Radiation of higher order More generally. a traceless tensor. 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 (1.98).91) and expands J(x1. Again. The vector x has the components x i and the length x. 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. Q 3 ) with Q i = j Qi j e j (i = 1. 2. so ¨ |p|2 sin2 θ d . Q 2 . Q = (Q 1 . the timeaveraged power equals half the maximum value of W in (1. (1.4.93) is modiﬁed and at ﬁrst order one has to add two correction terms: A= 1 1 ¨ 1 ˙ ˙ p + m × e + 2 Q.95) where we have assumed that the dipole varies harmonically at frequency ω. t ) in (1. 3) and this Q is used in (1. This ﬂux is given by the Poynting vector of (1. equation (1. one ﬁnds the Poynting vector ˙ S = (c/4π)E × H from E = −A/c and H = e × E.38). Integration over all directions yields for the total momentary power radiated by a dipole: W = 2 ¨ |p|2 . 3c3 (1.96) dW = 4πc3 The emission is zero in the direction of the motion of the charge and maximum perpendicular to it. whereas the ﬁeld of a light source falls off more slowly like ˙ 1/r . δi j denotes the Kronecker symbol.The harmonic oscillator and light 27 falls off like 1/r 2 .98) is also evaluated at the time t = t − r/c. if one does not make the simpliﬁcation t = t − r/c but sticks to equation (1.99) the electric quadrupole moment.97) If the dipole oscillates harmonically proportional to cos ωt.97). The vector potential A in formula (1.

1. the steady-state solution is again x = x 0 e−iωt ¯ ¯ with . we ﬁnd ˙ Frad − t 2e2 2 u u dt = 0. we write the equation of motion in the form ˙ F + Frad = m e u. Averaged over some time ˙ interval t. there may still be electric ¨ ˙ quadrupole or magnetic dipole radiation. we assume that the emitted power due to the radiative deceleration (see (1. self-consistent description of the feedback. the two atoms in ¨ ¨ the hydrogen molecule H2 . One can easily show that if all particles have the same charge-to-mass ratio as. the time derivatives p and m are zero so that only the electric quadrupole radiation remains.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. for instance. The additional force Frad accounts for the retardation caused by the radiative loss and u = x is the velocity. because u = −ω2 u for a ¨ harmonic oscillation.27 × 10−24 s. When a force F accelerates a free and otherwise undamped electron. 3m e c3 Frad has to be added in the equation of motion of the harmonic oscillator.59) becomes eE 0 −iωt 2 ˙ ¨ e .5 Radiation damping An accelerating electron radiates and the emitted light reacts on the electron because of the conservation of energy and momentum.28 The dielectric permeability Even when the electric dipole moment vanishes. there is currently no strict.4. ω0 x + γ u + u − τ u = me τ= It contains time derivatives in x up to third order but. respectively but they are several orders of magnitude weaker. ¨ 3c3 So the force becomes ¨ Frad = m e τ u 2e2 = 6. associated with Q and m. Although theory (quantum electrodynamics) and experiment agree extremely well. ˙ 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. We describe the feedback in classical terms here. Frad acts oppositely to F.

6 The cross section of an harmonic oscillator 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 (1.97).103) 3 is the Thomson scattering cross section of a single electron. from (1.1 Scattering An oscillating electron with dipole moment ¯ p = p0e−iωt = e x 0 e−iωt ¯ ¯ scatters. 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. deﬁned as the scattered power 2 divided by the incident ﬂux S = (c/4π)E 0 of (1. Note that we always assume the radiative losses over one cycle to be small in comparison to the energy of the oscillator.67) and (1. 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. γrad = 1.4.101) ¯ where we put p0 = | p0|. 2e2 2 ω (1.6. 2 m e ω0 − ω2 − i ω(γ + τ ω2 ) 29 This is the same expression for x 0 as in (1.97).104) .69) to the 2 2 time-averaged radiated power p0 ω4 /3c3 of (1. it is frequency independent. So its cross section σ sca .The harmonic oscillator and light (a bar denotes complexity) and the complex amplitude becomes x0 = ¯ ¯ e E0 1 .66) if one replaces there the ¯ dissipation constant γ by γ + τ ω2 = γ + γrad .4. m e c2 (1. becomes σ sca (ω) = where W sca ω4 = σT 2 S (ω0 − ω2 )2 + ω2 γ 2 (1.82 × 10−13 cm.102) 2 8πr0 = 6.38).

we have put 2 ω2 − ω0 2ω0 (ω − ω0 ). From equation (1. and at low and high frequencies: 4 σT ω if ω ω0 ω0 sca 2 (1. We note that ∞ 0 γ (ω − ω0 )2 + (γ /2)2 dω = 2 ∞ −2ω0 /γ dx 1 + x2 2π (γ ω0 ).100).105) results in a Lorentz proﬁle.106) (ω) = πe2 −4 2 4γ ω0 ω γ m e c (ω − ω0 )2 + (γ /2)2 4γ ω−2 (1. .2 Absorption In a similar way.4. When the frequency is high. As we have seen in the Fourier analysis of the motion of a free oscillator after (1.6.107) or (1. σ sca falls with the fourth power of ω (Rayleigh scattering).4. 1.7 The oscillator strength Integrating σ (ω) after (1. (1.108) σtot = σ (ω) dω = mec The integrand has signiﬁcant values only around ω0 .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 . the electron is essentially free and the cross section constant and equal to σT . (1.102) we ﬁnd the following approximations for the scattering cross section at the resonance. 1.106) over frequency yields the total cross section for absorption.74). at the root of such a proﬁle is the exponential decline e−γ t /2 of the amplitude of the electron. It has the characteristic feature that the intensity over an emission or absorption line changes proportional to [(ω−ω0 )2 +(γ /2)2 ]−1 .107). we get from (1.107) A frequency dependence according to the middle line of (1. Near the resonance. When the frequency is small. we have to set γ = γrad after (1. so to evaluate σtot we could also use the approximate second formula of (1. 2π 2 e2 .105) σ (ω) = σT ω0 if ω ω0 4 (ω − ω )2 + (γ /2)2 0 σT if ω ω0 .30 The dielectric permeability If there is only radiative damping.

71) and (1. One may 2 (ω) the resonance curve (see ﬁgure 1.4).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. I (ω).100)). otherwise smaller. 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. . 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. Because all relevant frequencies call x 0 2 for emission are close to ω0 .3). A j i speciﬁes the rate at which a system in level j spontaneously decays to a lower level i (see section 6. The intensity of emission. its energy decays exponentially like e−γrad (ω0 )t (see (1. expressed in wavelength. f j i is related to the Einstein coefﬁcients for induced and spontaneous emission. 1.18 × 10−4 A.110) 2r0 2 ω 3c 0 = 4π ˚ r0 = 1.109) where f j i is called oscillator strength. 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 . It does not depend on the frequency of the transition. The probability of ﬁnding the system in state j decreases with time like e−A j i t .3).111) This is the natural linewidth as derived from classical physics.The harmonic oscillator and light When the cross section σ is a function of ν = ω/2π. λ = 2πc ω 2 ω0 (1. It is of order unity for strong lines. 3 (1. in analogy to the classical formula. the square of the elongation given in (1.67). In quantum mechanics. the Einstein coefﬁcient A j i is the counterpart to the radiative damping constant γrad of classical electrodynamics. B j i and A j i (see section 6. at a frequency ω is 2 proportional to x 0 (ω). we get σtot = σ (ν) dν = πe2 .

Therefore. Furthermore. As the pulse travels with the velocity of light. the energy E j of state j is fuzzy because of the uncertainty principle. 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 ˚ width of the line is 1.100). in quantum mechanics. We show that. unless it is the ground state. the length of the wave train is c A−1 . E t ≥ . in the presence of a magnetic ﬁeld. (More accurately.18 × 10−4 A in wavelengths or γrad in frequency. This leads .) The time A−1 that the atom resides in state j also gives the duration of the ji emitted pulse.32 The dielectric permeability Figure 1. 1. The medium is then a plasma and the dispersion relation is known as the Drude proﬁle. The emission thus cannot be strictly monochromatic but has ji a frequency spectrum centered at ω0 . the optical constant n of a plasma depends for circularly polarized plane waves on the sense of rotation. The emitted intensity of a classical oscillator with a resonance at λ0 that is damped only radiatively with a damping constant γrad after (1.4. when calculating ω.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. E j is undetermined by an amount E = A j i resulting in a frequency uncertainty ω = A j i . Here t A−1 is the average ji time that the atom stays in level j . Irrespective of λ0 .

possible. We treat conductors because some interstellar grains have metallic properties and because the interstellar medium is a plasma. (1. no current can ﬂow because the charges arrange themselves on its surface in such a way that the electric ﬁeld inside it cancels out. (1.30) which are appropriate for conductors. of course.29) and (1. ω which describes the magnetic ﬁeld produced by a quasi-stationary current. a static electric ﬁeld is. 1˙ rot E = − B c rot H = 1˙ 4π D+ J.112) ωµ H c ω 4πσ rot H = −i ε+i c ω rot E = i E. Let us start with the Maxwell equations (1.113) We may look at (1. in a vacuum. c c When we insert harmonic ﬁelds into these formulae.25).1 The dielectric permeability of a conductor A conductor contains free charges that can support a constant current. we can retain the ﬁeld equation ε˙ rot H = E. An electric ﬁeld may exist in a metal.Waves in a conducting medium 33 to the phenomenon of Faraday rotation. 1. more precisely when |ε| Then equation (1. however. We also derive the group velocity of a wave package in a plasma. Formally.114) 4πσ . as we know from everyday experience with electricity. When a conductor is placed in a static ﬁeld. 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. In a dielectric medium. The term with the conductivity σ dominates at low frequencies. Ohm’s law asserts a proportionality between the electric ﬁeld E and the current density J (omitting the sufﬁx ‘free’).113) reduces to rot H = 4πσ E c (1.113) as an expansion of rot H into powers of ω. σ = 0. J = σ E. we get for a homogeneous medium with the help of (1. c .5.112) σ is called the conductivity and is usually deﬁned for a quasi-stationary electric ﬁeld.

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.115) via m = εµ (see (1.116) √ The optical constant m follows from ε of (1. also large and roughly equal: n k→∞ for ω → 0. the dielectric permeability of a metal is approximately (see (1.49) the optical constants n and k are. also for a conducting medium. −κ x.46)). m e (γ − i ω) The conductivity follows from the current density J = σ E = Nev. they experience no restoring force after an elongation and. From (1. ω0 = 0 in (1. is in a conducting medium k2 = ω2 µ 4πσ εd + i c2 ω . ε must then denote the sum of the dielectric permeability of (1. we ﬁnd the velocity of a free electron in an harmonic electric ﬁeld: v= ¯ e ¯ E. If there are N free electrons per cm3 . (1. With the same ansatz x = x 0 e−iωt as before.58) is negligible and all electrons are essentially free. ¯ ¯ therefore. However.34 The dielectric permeability as formulated in (1.2 Conductivity and the Drude proﬁle We repeat the analysis of the harmonic oscillator in section 1.5. (1. σ = 2 ωp Ne2 = m e (γ − i ω) 4π(γ − i ω) (1.123) for an exact expression) ε(ω) = i 4πσ . 1. At low frequencies.115) ε = εd + i ω The complex wavenumber of (1. written here as εd to indicate that it refers to a dielectric.33) for a dielectric medium. This happens around ω 1017 s−1 .5). Then the restoring force.3 for a plasma. therefore.59).41). which appears in the wave equations (1. plus a term relating to the conductivity: 4πσ .48) and (1. in (1. The electrons are then free. ω 1) and ε is then purely imaginary (ε1 = 0).34).118) . (1. much greater than one (|ε| has a singularity at ω = 0.

for the conductivity σ . the conductivity is purely imaginary and inversely proportional to frequency. For ω = ωp .123) To get some feeling for the numbers associated with the conductivity.Waves in a conducting medium 35 where ωp = 4π Ne2 /m e is the plasma frequency of (1.120) • which appears in Ohm’s law. When we put εd = 0. The dielectric permeability ε(ω) corresponding to (1. from (1. So generally speaking.6 × 10 . n becomes zero. (1. µ = 1. The conductivity depends on the density of free electrons through ωp and on the collision time through γ .118) into (1. the conductivity is a complex function and depends on ω. σ becomes frequency independent. If the frequency is high or damping weak (γ ω). A wave with ω ≤ ωp cannot penetrate into the medium and is totally reﬂected.48). σ (ω) = σ1 (ω) + i σ2 (ω) = • 2 ωp γ ω +i . vph > c.121) ω2 .41)): ε(ω) = 1 − 2 ωp γ 2 + ω2 +i 2 ωp γ . the real part n of the optical constant is. (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 (3.119) At long wavelengths (ω γ ). 16 s−1 and a damping constant γ a plasma frequency ωp = 1. smaller than one. here are two examples: • Copper is a pure metal with a free electron density N 8 × 1022 cm−3 . It is then an essentially real quantity approaching the direct-current limit σ (ω = 0) = 2 ωp 4πγ (1. k2 = ω2 c2 1− 2 ωp ω2 c2 1− 2 ωp γ 2 + ω2 +i 2 ωp γ ω γ 2 + ω2 . so the phase velocity is greater than the velocity of light. we ﬁnd for the wavenumber of a plasma k2 = Without damping.75). There is then no dissipation of energy in the current. ω γ 2 + ω2 (1. and substitute. the expression from (1.121) is known as the Drude proﬁle (see (1. 4π γ 2 + ω2 4π γ 2 + ω2 2 ωp (1.60)) are illustrations.116).122) In this case.

124) The variable magnetic ﬁeld of the wave is neglected.3 Electromagnetic waves in a plasma with a magnetic ﬁeld In the presence of a magnetic ﬁeld. 2 The solution to this differential equation is r± = with the cyclotron frequency ωcyc = eB . The presence of the magnetic ﬁeld B modiﬁes the orbit. x= ¨ e eB y ˙ Ex + me mec y= ¨ e eB x. so the direct-current conductivity becomes σ and γ 5 × 10 7 × 1015 s−1 .5. and the modiﬁcation is different for clockwise . which is found in interstellar space. We consider the fairly simple situation when a plane wave with electric vector E = (E x . and E + and E − as the electric vectors of two circularly polarized waves associated with the electron trajectories r+ (t) and r− (t). For example. It has a high direct-current conductivity σ ∼ 7 × 1017 s−1 . 0) E 0 e−iωt . Graphite is a reasonable conductor only when the electrons move in the basal plane. −i. where F is the Lorentz force of (1. Graphite. 0. has N 1. It follows from (1.4 × 1020 cm−3 12 s−1 . therefore. The trajectory r(t) = (x. 0)(t) of an electron follows from integrating the equation of motion. Therefore copper cables are ideal for carrying electricity. 0)E 0 e−iωt = We. wave propagation is generally complicated. ˙ Ey − me mec (1. y. ¨ F = m e r. put r± = x ± i y E± = E x ± i E y and interpret the (x. ˙ E± ∓ i me mec 1 (1. • 1.1). 0. it is two orders of magnitude smaller than for copper.125) e/m e E± ω2 ± ωωcyc A circularly polarized wave makes an electron rotate. mec (1.36 The dielectric permeability 3 × 1013 s−1 . y)-plane as a complex plane. If the wave is linearly polarized.124) that r± = ¨ e eB r± . 0) + (1. E = (1. it can be regarded as a superposition of two oppositely circularly polarized waves. i. 0) travels without attenuation through a plasma parallel to a constant magnetic ﬁeld B = (0. if the electric vector stays along the x-axis. E y . B) oriented in the z-direction.

127) gives u(x.126) We conclude that the two circularly polarized waves travel with different phase velocities vph = c/n ± . their motion ˙ implies a current J± = σ± E ± = Ner± . At the time t = 0. therefore. If there are N electrons per unit volume.115) with εd = 1. A(k) exp i k x − dω t dk dk = C · u x . n2 = 1 − ± 2 ωp ω2 1± ωcyc ω −1 . where the conductivity σ± = i Ne2 /m e . This effect is called Faraday rotation.128) Here ω0 = ω(k0 ) and the derivative dω/dk is evaluated at k = k0 . We therefore develop the dispersion relation ω = ω(k) around k0 .0 with x =x− dω t. the wave package has the form u(x. ω ∓ ωcyc Without damping. dk (1. t) = ∞ −∞ A(k) · ei(kx−ωt ) dk (1. The dielectric permeability ε is given in (1.5. the optical constant n 2 = ε1 .Waves in a conducting medium 37 and anti-clockwise rotation.127) in which the amplitude A(k) has a sharp peak at some wavenumber k = k0 .4 Group velocity of electromagnetic waves in a plasma A one-dimensional wave package is a superposition of monochromatic waves (see (1. dk (1. ω(k) = ω0 + dω (k − k0 ). 1. This leads to a change in the direction of the polarization vector of the linearly polarized wave. t) = exp i dω k0 − ω0 t dk =C ∞ −∞ ∞ −∞ A(k)eikx dk. (1.36)): u(x.129) .128) into (1. 0) = Inserting (1.

we consider molecules with an intrinsic dipole moment and a rigid charge distribution that are allowed to rotate. U = −p · E = − p E cos θ (1. vph · vg = c2 . 1. provided the molecules are sufﬁciently ‘round’ so that they can turn and are not hooked too strongly to their neighbors. In thermal equilibrium at temperature T .134) The average value of cos θ follows from integrating f (θ ) over all directions.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. their lengths being p and E. . (1.6 Polarization through orientation The polarization which we have modeled with the help of the harmonic oscillator of section 1.6. the wave package travels with the group velocity vg = dω . If f (θ ) dθ denotes the number of atoms that have angles between θ . In this section. θ + dθ .44)). 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. dk (1. (1.133) where θ is the angle between the vectors p and E. for a plasma without damping vg = dω =c· dk 2 1 − ωp /ω2 ≤ c. This process is principally relevant to gases and liquids and only marginally to solids.131) For the product of group and phase velocity vph = ω/k (see (1.122).38 The dielectric permeability Therefore. However.132) 1. cos θ = f (θ ) cos θ d f (θ ) d (1. . The atoms are never perfectly aligned because they are tossed around by the motions of their neighbors. then f (θ ) = f 0 e−U/ kT = f 0 e p E cos θ/ kT . (1. the distribution of orientations is expressed by the Boltzmann factor e−U/ kT .3 is due to the deformation of atoms in the sense that their internal charges are shifted relative to each other.135) . The potential energy is at its minimum when the dipole moment lines up with the ﬁeld and θ = 0. as the factor C is purely imaginary and irrelevant.130) According to (1.

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. Let f (θ. 3kT An identical formula holds for magnetic dipoles (dipole moment m) in a magnetic ﬁeld. Second.139) ˙ which makes it rotate. The directions of the individual . The time enters into f for two reasons. the polarization P in the direction of E equals P = N p cos θ . the ﬁeld exerts on each dipole a torque τ = p E sin θ (1. (1. One just has to replace p E by m B. First. x 3 45 (1. 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. so we have to write f (θ. It now depends not only on the angle θ between dipole moment and ﬁeld but also on time. The rotation speed θ is assumed to be proportional to the torque τ . all directions are almost equally likely and the average angle is pE cos θ = . so ˙ τ = ζθ (1.6.140) where ζ is a friction coefﬁcient. t) instead of f (θ ). (1.136) In our particular case.Polarization through orientation 39 where d is an element of the solid angle. Easy to handle and relevant to our applications are weak ﬁelds ( p E kT ) for which pE N 1+ cos θ . 1. there is Brownian motion because the dipoles are jostled about in collisions. where f (θ ) ∝ e p E cos θ/ kT .138) f (θ ) = 4π kT f (θ ) is now almost constant. If there are N dipoles per unit volume.137) with x = pE kT We see that the strength of the net polarization P depends on temperature. the mean cosine is given by cos θ = L(x) where L(x) denotes the Langevin function: L(x) = coth(x) − 1 x x3 = − + ···. We now sketch how one derives an expression for the distribution function leaving aside the mathematical details.

But φ 2 is known: for Brownian motion φ 2 = kT δt/4ζ .142) which follows from (1.141) is due to Brownian motion. indeed.40 The dielectric permeability dipoles vary smoothly with time due to Brownian motion and the alternating electric ﬁeld. The other term ﬁeld is much easier to calculate. because δt is small. 1.134).142). The difference in the number of axes that leave and enter the solid angle d is ﬁeld . after a while. • Altogether. Debye [Deb29] found for the time derivative of the distribution function ∂f 1 ∂ sin θ kT +τf . one can restrict the discussion to the dipoles in the vicinity of d . The change is split into a contribution due to Brownian motion and one due to the ﬁeld = Brown + ﬁeld . t) = 1 + ϕ(t) cos θ kT .141) ζ f˙ = sin θ ∂θ ∂θ The ﬁrst term in brackets on the right-hand side of (1. One computes the change = f˙ d δt in the number of dipoles f (θ. 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. To solve (1.141) for f˙ = 0. (1.6. We may convince ourselves that (1. a solution to (1. Suppose now that the ﬁeld is suddenly switched off at time t = 0. complete disorder is established. • To evaluate Brown .134) is. so f˙ vanishes. The axes are turned at an ˙ angular velocity θ by a variable torque τ (see (1. Then for t > 0.141) for τ = 0.3 Relaxation after switching off the ﬁeld The average orientation in a constant time ﬁeld is described by the Maxwell– Boltzmann equation (1. It does of course not depend on time. the second term due to the rotation of the dipoles by the ﬁeld. t) d over the time interval δt. This process is called relaxation and governed by the equation 1 ∂ ζ ˙ f = kT sin θ ∂θ sin θ ∂f ∂θ (1.140)) that tries to align the moments with the ﬁeld. the torque τ is absent and the orientations begin to randomize. 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. we try a distribution function p E0 f (θ.

Naturally.e.145) For a static ﬁeld (ω = 0). (1.146) This function is plotted in ﬁgure 1. 2 2 1 + ω2 trel 1 + ω2 trel (1. 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. the distribution function f depends explicitly on time.138) but for the relaxation function ϕ(t) and the factor N/4π which has been dropped. f becomes constant and is independent of the direction of the ﬁeld.143) The form of the relaxation function implies exponential decay. p E0 cos θ. i. f (θ. with (1. The system relaxes from statistical alignment in a constant ﬁeld to random orientation on a time scale ζ trel = .142) yields ϕ(t) = e− 2kT ζ t . We have here the novelty . when p E0 kT. (1.141) when the variable ﬁeld is weak. t) into (1. We can now compute the polarization P of such a medium according to (1.4 The dielectric permeability in Debye relaxation In the presence of an harmonic ﬁeld E = E 0 e−iωt .134) is then no longer applicable and needs to be generalized. Because P = χ E. t) = 1 + Ae−iωt kT 2 When inserted into (1.5. It is easy to ﬁnd a solution to Debye’s equation (1. it yields A= 1 .77) and (1. kT 1 − i ωtrel (1.123). For cos θ in (1.e.6. again without the factor N/4π. At very high frequencies.136). Substituting f (θ.145). we are back to Maxwell–Boltzmann.144) 2kT 1.138). The Maxwell–Boltzmann formula (1.Polarization through orientation 41 which is similar to (1. we try an ansatz for f in the spirit of (1. 1 − i ωtrel So the full expression for the distribution function in a variable weak ﬁeld is f (θ. t) = 1 + e−iωt p E0 cos θ .141) and terms with E 0 are neglected. It should be compared with ε(ω) for a dielectric and a metal. i.

148) ˚ For a ∼ 1 A. here we put 4π N p2 /3kT = 1. a viscosity η 0. one can . ˙ ˙ θ θ (1. 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◦ .01 g cm−1 s−1 . (1. For small frequencies. the friction constant ζ follows from the viscosity using the equation for the torque (1. The associated frequency lies in the microwave region. at room temperature. and the center of negative charge. that ε depends on temperature. trel 2 × 10−12 s approximately. The dissipation rate is proportional to ω. inversely proportional to temperature and otherwise determined by the relaxation time trel .5. If the water molecules are approximated by spheres of radius a.139) and the force F of Stokes’ law (see (9.42 The dielectric permeability Figure 1. Shown are n. Therefore the center of positive charge. Liquid water has. resulting in a permanent dipole moment p = 1. which lies in the midst between the hydrogen atoms. The dielectric permeability ε = ε1 + iε2 after (1.9 Debye. located near the oxygen atom. do not coincide. With the support of experimental data.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. one may approximate the imaginary part of χ by χ2 = χ0 ωtrel 2 1 + ω2 trel ωχ0 trel χ0 = N p2 3kT . k and ε1 − 1 and ε2 . ζ = −1 trel Fa τ ∼ ∼ 6πηa 3.147) χ0 is the static value of χ(ω) and refers to a time constant ﬁeld.41)). Let us consider water as an example of rotational polarization.

Polarization through orientation 43 improve the estimate to trel 8 × 10−12 s but the ﬁrst guess was not bad.3 × 1022 cm−3 . at room temperature we have roughly N p2 /3kT ∼ 1. When water freezes. the molecules ﬁnd it hard to adjust their orientation because they cannot rotate freely in a solid. As the density of water is N = 3. 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. .

φ) as depicted in ﬁgure 2. we learn how to compute the scattering and absorption coefﬁcients of particles. In the ﬁnal section.Chapter 2 How to evaluate grain cross sections In section 2.1 Deﬁning cross sections 2.2 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. φ) = 2 2 Ä(θ. 2.4.1. They are complex quantities and Kramers and Kronig discovered a dependence between the real and imaginary parts. such as ε or µ. therefore. The ﬂux is the energy carried per unit time through a unit area and given in (1. The problem was ﬁrst solved in the general case for spheres by G Mie [Mie08] and the underlying theory bears his name. φ). the scattering cross section is deﬁned as follows.39) as the absolute value of the Poynting vector. φ) does not depend on r nor on F0 . which is received at a large distance r from the particle is obviously proportional to F0 /r 2 . In sections 2. Consider a plane monochromatic electromagnetic wave at frequency ν and with ﬂux F0 . Section 2.1.3 and 2. we deﬁne cross sections. F(θ.1. some light is scattered into the direction speciﬁed by the angles (θ. k r The function Ä(θ. We have included in the denominator the wavenumber k= 44 2π λ .5 is concerned with a strange but important property of the material constants that appear in Maxwell’s equations. The ﬂux from this scattered light. When the wave hits the particle. the most important quantity describing the interaction between light and interstellar grains.1) F(θ. absorption and extinction For a single particle. we.1 Cross section for scattering. φ). write F0 (2. Section 2. we approximate the material constants of matter that is a mixture of different substances.

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

and thus independent of direction. We form a new function f˜(θ.1).2 Cross section for radiation pressure 2. for reasons of symmetry. C rp .1.2. we have to divide by the velocity of light c.1 Phase function and asymmetry factor In equation (2. If it is scattered at an angle θ (see ﬁgure 2. the grain receives only the fraction (1 − cos θ ). the cross section for radiation pressure.5) When one does not know or does not need the full information contained in f (cos θ ). only on θ . can be written as C rp = C ext − g · C sca . one sometimes uses just one number to characterize the scattering pattern. (2. A photon that is absorbed deposits its full momentum hν/c. It is then convenient to have a phase function f which has cos θ as the argument. g = cos θ = • • • 1 2 +1 −1 f (x) x d x. c (2. Ä(θ. g = 0. although this case is unusual. When scattering is isotropic. An isotropic scatterer has f˜ = 1. which is proportional to Ä(θ. C rp may be greater than To obtain the momentum transmitted per second to the grain by a ﬂux F. so we put f (cos θ ) = f˜(θ ). no dependence on the angle φ.1.6) It is easy to verify that g lies between −1 and 1. φ) d 4π = 4π and call it the phase function.2 The momentum imparted on a grain by radiation Electromagnetic radiation also exerts a pressure on a grain. the mean of cos θ over all directions weighted by the phase function f (cos θ ). C ext . otherwise it is negative. g is positive. φ) speciﬁes how the intensity of the scattered radiation changes with direction.1). In the limit of pure forward scattering. For spheres. Therefore. (2. When there is mainly forward scattering. (2.8) .46 How to evaluate grain cross sections 2.2.1. φ). there is. Again f = 1 for isotropic scattering and the normalization condition is 1= 1 2 +1 −1 f (x) d x. 2. g = 1. for pure backscattering g = −1. φ) but normalized so that the integral of f˜ over all directions equals 4π: f˜(θ. This number is the asymmetry factor g. so the transmitted momentum is F · C rp .7) As g can be negative.

and some is scattered. is the ratio of C over the projected geometrical surface area σgeo : C . or 1 cm3 of space. extinction and radiation pressure.3 Efﬁciencies. The latter quantity is some hundred times smaller. (2. 2.2 The optical theorem When a beam of light falls on a particle. some light is absorbed by the grain.9) Q= σgeo For spheres. (2. we neglect the vector character of the ﬁeld and assume a unit amplitude. Volume coefﬁcient is the cross section per unit volume and also denoted by the letter K . again Q ext = Q abs + Q sca Q rp = Q ext − g · Q sca . We use the following nomenclature (omitting the dependence on frequency): • • The cross section of a single particle is denoted by the letter C.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 ) . scattering.The optical theorem 2. When the wave encounters a grain located at the origin of the coordinate system. (2.10) (2.2.12) For easier writing. 2. K . There are efﬁciencies for absorption. some light is absorbed and the rest is scattered into all . Efﬁciency. 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. It refers either to 1 g of dust or to 1 g of interstellar matter. where a is the grain radius.1. σgeo = πa 2 . The optical theorem asserts that the reduction of intensity in the forward direction fully determines the particle’s extinction cross section.11) • • With the exception of spheres. is the cross section per unit mass. heating it. 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. σgeo as well as the Cs and Qs change with the direction of the incoming light. Mass coefﬁcient. Q.

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 ).2.13) with (2. y = 0. At a distance r which is large when measured in wavelength units (kr = 2πr/λ 1). they have to be added: F= A |E i + E s |2 d A. (2. φ)|2 corresponds to Ä(θ.13) The information about the amplitude of the scattered wave lies in the complex function S(θ. so d 2 ∼ A. z 0 ).14) . conservation of energy requires E s ∝ 1/r . the factor −i in the denominator is just a convention. φ) ei(kr−ωt ) .1) tells us that |S(θ. φ) dimensionless. r z0 + x 2 + y2 . As before. approximately. The wavenumber k = 2π/λ is introduced to make S(θ. Light enters from the left. The two ﬁelds interfere and to obtain the ﬂux through the disk. Its center coordinates are (x = 0. All points (x. Let us now determine the ﬂux F through a disk of area A far behind the grain. z directions (θ. φ). −i kr (2.48 How to evaluate grain cross sections y d r z0 Figure 2. the exponential term contains the phase. φ). is scattered by a particle and falls at a large distance r through a disk of diameter d. The x-axis is perpendicular to the (y. Because |E s |2 is proportional to the scattered intensity. comparison of (2. The disk has a diameter d. y)-plane and is thus oriented perpendicular to the z-axis. the scattered ﬁeld can be presented as E s = S(θ. It lies in the (x. z)-plane. y) in the disk fulﬁl the inequalities |x| z0 |y| z0 and their distance to the particle is.

π (2.14). The purely mathematical derivation of (2. S(0) x 2 + y2 exp i k i kz 0 2z 0 . In this way. 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 . therefore.17) e 2z0 d x d y = e 2z0 d x = i k −∞ −∞ Of course. we get E s = E i S(θ. The light that has been removed by the particle determines its cross section for extinction: C ext = λ2 Re{S(0)}.13) by (2. It is bafﬂing because it asserts that C ext . 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. the disk does not really extend to inﬁnity. k2 Now without an obstacle. obtain the ﬂux F = |E i |2 A − 4π Re{S(0)} . we have to evaluate the integral (see (A.27)) 2 ∞ ik(x 2 +y 2 ) ∞ ikx 2 2π z 0 .18) may not be satisfying. But .12). so the disk as viewed from the grain subtends a very small angle.The optical theorem Dividing (2. (2. we may neglect terms with z 0 .15) and for the sum of the incident and scattered ﬁeld Ei + Es = Ei 1 − Here we put S(0) = S(θ 0. also known as the optical theorem. (2. i. λ d We.e. −2 Therefore.16) To extract the ﬂux F from (2. it is required that √ A z0. the ﬂux through the disk would obviously be A|E i |2 and thus greater.18) This is the grand extinction formula. in this expression for |E i + E s |2 . φ) because d z 0 . φ) eik(r−z) −i kr 49 (2. is ﬁxed by the scattering amplitude in the forward direction alone. which includes absorption plus scattering into all directions.

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. 2. y)-plane like the one in (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 .3.2 The refractive index of a dusty medium One may also assign a refractive index to a dusty medium.2 serve as a detector and place it far away from the particle. We see from (2.20) 1 − S(0) 2π . Light passes through a plane-parallel slab of thickness l with one face lying in the (x.2 for a deﬁnition of z 0 ). Let a plane wave traveling in the z-direction pass through a slab as depicted in ﬁgure 2.3. it receives only the forward scattered light and. This leads to an integral in the (x. 0.19) 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. The slab is of thickness l and uniformly ﬁlled with identically scattering grains of number density N. z). therefore. We determine the ﬁeld at point P with coordinates (0.2.50 How to evaluate grain cross sections y P z l Figure 2. S(0) contains the information about C ext . no matter how and where it is removed (by absorption or scattering). When we compute the ﬁeld at point P on the z-axis resulting from interference of all waves scattered by the grains.19) The main contribution to the double integral again comes from a region of area z 0 λ (see ﬁgure 2. y)-plane. we have to sum over all particles. (2. The slab is uniformly ﬁlled with identically scattering particles.17) of the preceding subsection where we considered only one particle. 1 − S(0) 2π (2. If we let the disk of ﬁgure 2. like a cloud of grains.

as one can show by studying the frequency dependence of S(0). therefore.41). When m is close to one (|m − 1| interstellar dust cloud. To ﬁnd the refractive index m = n + i k from (2.20) equal to (2. one can calculate S(0). which is certainly true for any eikl(m−1) . which seems unphysical as no light is absorbed. [Boh83. What is in between can be condensed into one sentence: In Mie theory. k (2. This follows from comparing (2. with m and x given. The reader not interested in the mathematics may skip the next pages. assign to the slab an optical constant (with a bar on top) m = n + i k. wonder whether n and k obey the Kramers–Kronig relation of section 2. like ei(kmz−ωt ) .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. from (2. However. The ﬁeld within the slab then varies according to (1.23) 1 − i kl(m − 1). (2. Missing links may be ﬁlled in from the special literature (for instance. The way m is deﬁned. it has the property that if the particles are pure scatterers. eikl(m−1) Setting (2.23) for a cloud ﬁlled with identical spheres of size parameter x = 2πa/λ and refractive index m = n + i k. One may. 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.23) because the extinction coefﬁcient C ext of a single grain does not vanish. refers to a medium that consists of a vacuum plus uniformly distributed particles. and resume the text with the last subsection entitled Absorption and scattering efﬁciencies. Therefore.22) (2. or even cut them out carefully. A positive k implies some kind of dissipation. they do.22) and (2. Hul57. 2.21) The refractive index of the slab. If the slab were empty containing only a vacuum. Its full derivation is lengthy and we present only the sequence of the main steps. therefore. We can. m = n + i k. the series coefﬁcients are determined from the boundary conditions on the particle surface.65).21) yields n−1= 2π N Im{S(0)} k3 2π N k = − 3 Re{S(0)}.5. it would vary like ei(kz−ωt ) .18) and (2. . Ker69]). the presence of the grains causes a change in the ﬁeld at P by a factor 1).3 Mie theory for a sphere Scattering and absorption of light by spheres is a problem of classical electrodynamics. k is nevertheless positive.

the problem of ﬁnding a solution to the vector wave equation reduces to ﬁnding one for the scalar wave equation.29) . The ﬁeld outside is the superposition of the incident and the scattered ﬁeld (subscript s).31) (2. Then the vector function M. H1 and outside of it by E2 .3.116) in the case of conductivity).24) (2. Let Ei and Hi describe the incident ﬁeld. E2 = Ei + Es H2 = Hi + Hs . Let c be an arbitrary constant vector and ψ a solution to the scalar wave equation ψ + k2 ψ = 0 where (2. 2.2 Separation of variables In this way. (2.26) ω2 µε c2 from (1. deﬁned by k2 = M = rot(cψ) is divergence-free (div M = 0) and a solution to the vector equation M + k2 M = 0. 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.28) (2.25) The further calculations are greatly simpliﬁed by the following relations. (2.27) This is easy to prove either by the standard formulae of vector analysis or component–wise.3. All material properties are taken into account by the wavenumber k. (2.1 The generating function Consider a spherical particle in vacuum illuminated by a linearly polarized monochromatic plane wave of frequency ν = ω/2π.30) 1 rot M k (2.32) (2. H2 .52 How to evaluate grain cross sections 2. We start with the vector function M = rot(rψ). We denote the ﬁeld within the particle by E1 .41) (or (1.

Formula (2. which we write as n(n + 1). In the subindices of ψ. The linearly independent solutions to (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. both sides must equal a constant value. φ).29). ±2. as solutions. we get.37) + k2r − n(n + 1) R = 0.36) (2. Memn = rot(rψemn ) Momn = rot(rψomn ). Equation (2. 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 (2.33) r 2 sin2 θ ∂φ 2 1 (2.27). m ψemn = cos(mφ) · Pn (cos θ ) · z n (kr ) ψomn = sin(mφ) · Here z n may either equal jn or yn . ±1.33) in such a way that its left-hand side depends only on r and its right-hand side only on θ and φ.39) is half-integer.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 = 0.42) (2. θ.36) is satisﬁed by the Legendre functions of the ﬁrst m kind Pn (cos θ ). In the same spirit. 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. n].40) (2. In spherical polar coordinates (r.38) (2. Because they must be single-valued (P(φ) = P(φ + 2π)) it follows that m = 0. Altogether we obtain (2. θ.37) has.35) are sin mφ and cos mφ.34) We make an ansatz of separated variables ψ(r. (2. As ψ is the generating function for M. . e stands for even (associated with cosine terms) and o for odd (sine terms). Arranging (2.43) . . Nemn and Nomn then follow from (2. from (2. .35) (2. where n and m are integer and m ∈ [−n.41) m Pn (cos θ ) · z n (kr ). φ) = R(r ) · T (θ ) · P(φ). (2. we can separate θ and φ. .

Nemn and Nomn . one expands the incident. the latter can be excluded because of its behavior at the origin. n=1 (3) (3) (1) (1) (2. For the rest of this paragraph.47) The magnetic ﬁelds Hi . of course. Note that all coefﬁcients with m = 1 have disappeared.15) and make the loop inﬁnitesimally small. Starting with the incident plane wave Ei .32) over the rectangular loop employing Stokes’ theorem (A. the symbol m is reserved for the optical constant. these coordinates are the right ones for the scattered light. When we integrate rot E = (i ωµ/c)H from (1. 2.54 How to evaluate grain cross sections 2. The awkward expression (2.3 Series expansion of waves In the next step.44) where the scalar E 0 denotes the amplitude of the incident wave.3. Momn . internal and scattered waves into the spherical harmonics Memn . At large 2 ). i kr (2. but. the integral vanishes so that the tangential components of E .45) Es = (2.46) follow from the boundary conditions of the electromagnetic ﬁeld at the surface of the grain.45) and (2. One long side lies just outside the particle in vacuum and runs parallel to the surface S of the grain.3. To derive the latter. 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 . 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. Hs follow from the corresponding electric ﬁelds by applying the curl after Maxwell’s equation (1.4 Expansion coefﬁcients The expansion coefﬁcients in (2.46) 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. consider a small loop in the shape of a rectangle with two long and two very much shorter sides.25). it behaves like distances (kr n h (1) (kr ) n (−i )n eikr . the other is immediately below the boundary within the particle. For the internal and scattered ﬁeld one obtains ∞ Ei = n=1 ∞ E n (cn Mo1n − i dn Ne1n ) E n (an Ne1n − bn Mo1n ).44) for the simple incident wave is the consequence of using spherical coordinates which are not suited for planar geometry.

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 = . Applying the same procedure to equation (1.51) In the trivial case. Therefore.33). we get the same result for the tangential component of H. when the optical constant m = 1. and x= 2πa λ the size parameter.Mie theory for a sphere 55 must be continuous at the boundary of the grain.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.49) where e is the outward directed normal to the surface S. 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. mζn (x) · ψn (mx) − ψn (mx) · ζn (x) an = (2. at all points x ∈ S [E2 (x) − E1 (x)] × e = 0 [H2 (x) − H1 (x)] × e = 0 (2.25) 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 .50) (2.113) for metals. Substituting for E2 . or to (1. bn . a its radius. This set of equations leads to four linear equations for the expansion coefﬁcients an . m the complex optical constant of the sphere.46)). cn and dn of the internal and scattered ﬁeld (see (2. H2 from (2. the scattered ﬁeld disappears as an = bn = 0. section 10.1.48) (2.24) and (2.45) to (2.

the energy absorbed by the grain.3.56 How to evaluate grain cross sections starting with [Abr70. Wa . (2. is given by the difference between the ﬂux which enters and which leaves the sphere. therefore. one encounters numerical difﬁculties because the complex Bessel functions contain the term e z which becomes excessively large. 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. y0 (z) = − z z z j0 (z) = When |mx| is of order 100 or bigger. A numerically much superior algorithm is printed in appendix A of [Boh83].53) . −Wa = A Si = (c/8π) Re{Ei × H∗ } i Si · er d A + A Ss · er d A + A Sext · er d A. and the minus sign ensures that Wa is positive.52) Here er is the outward normal of the surface. S= c Re{E2 × H∗ } 2 8π where E2 or H2 is the sum of the incident and scattered ﬁeld from (2.25).12] sin z sin z cos z j1(z) = 2 − z z z cos z cos z sin z y1 (z) = − 2 − .1. Wa is determined by the integral Wa = − A S · er d A. Ws = c Re 8π 2π 0 0 π ∗ ∗ E sθ Hsφ − E sφ Hsθ r 2 sin θ dθ dφ. The ﬁrst integral vanishes because the incident ﬁeld (subscript i) enters and leaves the sphere without modiﬁcation. If S is the Poynting vector of the electromagnetic ﬁeld outside the particle.1.24) and (2.11 and 10. The second integral obviously describes the scattered energy. (2. sections 10. 2.5 Scattered and absorbed power If we imagine the particle to be surrounded by a large spherical and totally transparent surface A.

53) and (2. which we denote by −Wext . Ws = Si C sca and Wext = Si C ext .50) and (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. 2.44)–(2.6) becomes g= 4 x 2 Q sca ∞ n=1 2n + 1 n(n + 2) ∗ ∗ ∗ Re{an an+1 + bn bn+1 } + Re{an bn } .54) and thus the total energy removed from the beam at a large distance. one obtains from (2. not fully derived but the missing links concern only the mathematics.57) 2. Wa is related to the absorption coefﬁcient of the particle. C abs .51). deﬁne the Stokes parameters and compute the radiation ﬁeld scattered into a certain direction. Likewise for the scattering and extinction coefﬁcient. is. According to our deﬁnition in section 2.4. The asymmetry factor of (2.46). Some light is scattered by the particle into a .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. 2. A number of results in this section are merely summarized.Polarization and scattering 57 The negative of the third integral. The expansion coefﬁcients an .1. where Si is the time-averaged Poynting vector of the incident ﬁeld.55) (2n + 1) · |an |2 + |bn |2 .3. n=1 (2.4 Polarization and scattering We introduce the amplitude scattering matrix.6 Absorption and scattering efﬁciencies As the ﬁelds Ei and Es have been evaluated in (2. bn are given in (2.56) They must usually be evaluated with the help of a computer. therefore. n+1 n(n + 1) (2. through Wa = Si C abs . 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.

there is a linear relation between (E s⊥ . the other perpendicular to the scattering plane. A threedimensional model would help visualize the geometrical conﬁguration but a twodimensional drawing is no better than words and.58) The factor before the amplitude scattering matrix is the same as in (2. in the far ﬁeld where r λ. The scattered electric ﬁeld is given by equation (1. (2. Likewise. If its polarizability α is isotropic.4. Here we deal with vectors and there is an amplitude scattering matrix consisting of four elements S j . which is speciﬁed by the unit vector e or by two angles. At a large distance r from the particle. Es E s⊥ = eik(r−z) −i kr S2 S4 S3 S1 Ei E i⊥ . E s ) and (E i⊥ . The z-axis together with e deﬁne what is called the scattering plane. E i ) described by the amplitude scattering matrix. The amplitude of the incident electric ﬁeld Ei may be decomposed into two vectors. their lengths are denoted by E i and E i⊥ .95). missing. one parallel. (2. 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. They depend.59) 2. the amplitude scattering matrix (2. one may decompose the scattered electric ﬁeld Es . Es = ω2 α (e × Ei ) × e. therefore. we work out the scattering matrix of a small grain of unit volume.15) where we considered a scalar ﬁeld.58 How to evaluate grain cross sections certain direction given by the unit vector e. θ and φ. on the scattering direction.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⊥ . p. its dipole.4 we can easily ﬁgure out that E s = cos θ E i and E i⊥ = E s⊥ .2 Angle-dependence of scattering In the case of a sphere. respectively. with only one function S. due to the incident wave is p = αEi . As an example. the components being E s and E s⊥ . With the help of ﬁgure 2.60) . so for a dipole S2 S4 S3 S1 = −i k3 α cos θ 0 0 1 . of course. (2.

(2.62) S2 = n with 1 1 Pn (cos θ ) d Pn τn (cos θ ) = .61) (2.Polarization and scattering 59 Es p Ei k θ e z r Figure 2. Both Ei and Es lie in the scattering plane which is deﬁned by e and k. the intensity of the radiation scattered into the direction θ is given by S11 (cos θ ) = 1 2 |S1 |2 + |S2 |2 . where θ = 0 denotes the forward direction. S1 = n 2n + 1 (an πn + bn τn ) n(n + 1) 2n + 1 (an τn + bn πn ) n(n + 1) (2. S2 depend only on µ = cos θ . The notation S11 comes from equation (2.60) has been negelected. Alternatively (this scenario is not shown in the ﬁgure).1) the same quantity was denoted Ä. in (2. An incident wave with electric ﬁeld Ei excites a dipole p and is scattered into the direction of the unit vector e. 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 = 1.50) and (2. Ei and p may be perpendicular to the scattering plane given by the same vectors k and e. S1 . bn from (2.76). .4. beginning with • For unpolarized incident light (E i = E i⊥ ).63) The factor before the matrix in (2. Then Es is also perpendicular to the scattering plane. The incident wave travels in the direction of the wavenumber k.51). They can again be expressed with the help of the expansion coefﬁcients an . The scattered wave has the electric ﬁeld Es .

5)) is related to S11 through S11 (cos θ ) = x 2 Q sca f (cos θ ). wavenumber k and electric ﬁeld E(x. y)-plane.65) • We add for completeness the formula for the backscattering efﬁciency. Either from (2.66) 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. (2.36) and (1. the real part of the electric vector E rotates at frequency ω and the tip of the vector describes in the (x. which is perpendicular to the z-axis. The amplitude E0 is. Q back = 1. (2. (2.55) or by inserting S1 (0) = S2 (0) of (2. t) = E0 · ei(k·x−ωt ) (see (1.68) . 2 • The angle-dependence of the normalized phase function f (cos θ ) (see (2. 4 (2. It is deﬁned by S11 (180◦) (2.61) into the general extinction formula (2.37)) that travels in the z-direction of a Cartesian coordinate system. E0 = E1 + i E2 with real E1 and E2 . 2.67) For a large and perfectly reﬂecting sphere.3 The polarization ellipse Consider a plane harmonic wave of angular frequency ω. in the general case.18). π 0 S11 (cos θ ) sin θ dθ = 1 x 2 Q sca .64) • We now have two ways to determine the extinction cross section C ext = πa 2 Q ext of a grain. an ellipse. Its series expansion is Q back = 1 x2 ∞ n=1 2 (−1)n (2n + 1) · (an − bn ) . At any ﬁxed z.4. Comparison of the two formulae yields S1 (0) = S2 (0) = 1 2 n (2n + 1) · Re{an + bn }. complex. Re{E} = E1 cos ωt + E2 sin ωt.60 How to evaluate grain cross sections When integrated over all directions.

Q. plus some speciﬁcation of its orientation in the (x. i. E1 · E2 = 0. r is the distance from the particle. it vanishes when Re{E} switches direction. the electric vector never disappears but rotates retaining its full length. For E1 = 0 or E2 = 0. it transmits angular momentum. They are equivalent to (a. The circularly polarized wave sets a two-dimensional harmonic oscillator in the (x. When a plane harmonic wave is scattered by a grain. The matrix Si j contains no more information than the matrix in (2.4. which corresponds to the fact that the four elements S j in the matrix of (2. Instead of these geometrical quantities (a. polarization is usually described by the Stokes parameters I. when E2 ﬂips direction by an angle π. U and V . At a ﬁxed location z. y)-plane. and perpendicular to each other. 2. Circular polarization. • One can combine two linearly polarized waves to obtain circular polarization and two circularly polarized waves to obtain linear polarization. or when E1 . 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.e. y)-plane. We omit the underlying simple mathematical relations as well as the description of the experimental setup. 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. The magnetic ﬁeld has the same polarization as the electric ﬁeld because E and H are in phase and have a constant ratio. φ). γ ). therefore. E2 are linearly dependent.69) = 2 2 . The ellipse is a circle. At a ﬁxed location z. γ ) but have the practical advantage that they can be measured directly. The vectors are of equal length. only seven of its 16 elements are independent. |E1 | = |E2 |.58) and. it is always possible to make E0 real. . the ellipse degenerates into a line. b. b.and y-directions) into a circular motion. the electric vector swings up and down along a straight line whereby its length changes. a and b. This could be the angle γ between the major axis and the x-coordinate. By adjusting the time t. There are two special cases: • Linear polarization.68) is altered into a minus sign. y)-plane (with equal properties in the x.Polarization and scattering 61 The sense of rotation changes when the plus sign in (2.4 Stokes parameters The polarization ellipse is completely determined by the length of its major and minor axes. The ﬁeld can drive a linear oscillator in the (x.58) have four absolute values |S j | and three phase differences between them.

• the sign determines the sense of rotation of the electric vector.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. when Q i = Ui = Vi = 0 (2. Circular polarization implies Q=U =0 V = ±1.75) . The degree of linear polarization is deﬁned by Q2 + U 2 ≤ 1. one has.5 Stokes parameters of scattered light for a sphere In the case of a sphere. dropping the factor 1/k2r 2 in (2. we get Is = S11 Ii Q s = S21 Ii Us = S31 Ii Vs = S41 Ii .69).73) it becomes partially polarized after scattering if S21 .71) Q = cos 2γ U = sin 2γ • It can vary between 0 and 1.e. S31 or S41 are non-zero. I (2. The degree of circular polarization is V −1 ≤ ≤ 1. an inequality I 2 > Q2 + U 2 + V 2. linearly polarized light has V =0 so that Q 2 + U 2 = 1. • • For unit intensity (I = 1). (2. instead of the strict equality I 2 = Q 2 + U 2 + V 2 . Indeed.72) I Even when the incident light is unpolarized. 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. (2.70) Unpolarized light has Q=U =V =0 and for partially polarized light.74) 2.4.69) between incident and Ii 0 0 Qi . i. S34 Ui S33 Vi (2.

additional information. S12 is negative and then linear polarization is perpendicular to the scattering plane. in this case.69) vanishes. . Ui = Vi = 0. 2 Only three of them are independent because 2 2 2 2 S11 = S12 + S33 + S34 . if the incident light is 100% polarized perpendicular to the scattering plane (Ii = −Q i . • If the incident wave is unpolarized (Q i = Ui = Vi = 0). Usually.8). so is the scattered light and Is = (S11 − S12 )Ii Q s = −Is Us = Vs = 0. p= S12 |S1 |2 − |S2 |2 =− |S1 |2 + |S2 |2 S11 (2. from (2. dropping the factor 1/k2r 2 in (2. when the particles are not spherical (anisotropic) and which is outside the scope of what we calculate here. speciﬁes the direction of polarization.71). as happens for big spheres (see ﬁgures 4. • If the incident light is 100% polarized and its electric vector parallel to the scattering plane so that Ii = Q i . Then the polarization vector can have any inclination towards the scattering plane and p may also be non-zero in the forward direction. the scattered light is nevertheless usually polarized. We will not compose a new name for p but also call it degree of polarization. none of the matrix elements in (2. The sign of p. When one deﬁnes the quantity p as the difference of the intensities |S1 |2 and |S2 |2 divided by their sum.7 and 4. via the sign. But S12 can. Likewise.77) • the absolute value | p| is equal to the degree of linear polarization of (2.76) − |S1 | ) ∗ + S2 S1 ) ∗ − S2 S1 ). although it contains. In the forward direction. In the general case. or of S12 . • So the scattered light is also 100% polarized parallel to the scattering plane. Is = S11 Ii Q s = S12 Ii Us = Vs = 0.76). Ui = Vi = 0). 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.Polarization and scattering 63 Out of the 16 matrix elements. also be positive. Is = (S11 + S12 )Ii Q s = Is Us = Vs = 0. we get.75). S1 (0) = S2 (0) and p = 0. Then polarization is parallel to the scattering plane.

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

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

Standard gas abundances imply a ratio of volatile-to-refractory mass of Mice = 1 . The volume fractions of the components.3) is for a ﬁxed wavelength a function of grain radius a. 2. .1 Grain size We ﬁrst investigate the inﬂuence of grain size. To demonstrate the size effect.6.5 How size. We adopt a = 0. they contain ices because of frosting and they are porous. To be speciﬁc. The available mass of condensable material is determined by the gas phase abundances of C. The possible diversity of such grains is inﬁnite and their structure can be extremely complex.5 g cm−3 ρice ≈ 1 g cm−3 . .1. so K abs = K abs (a). Coagulation. 2 fC compatible with the cosmic abundances in solids. . we adopt for the volume ratio of silicate-to-carbon material in the grain f Si = 1. Mref Consequently. . we ﬁx λ to 1 mm. the ice volume is 2. 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. and for the speciﬁc weight of the refractory subparticles ρref ≈ 2. f . The mass absorption coefﬁcient K abs (deﬁned in subsection 2. 2. In the following examples. N and O and their hydrides. again because of coagulation.5. add up to one. 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. which is a wavelength where protostellar cores are frequently observed. f Si + f C + f ice + f vac = 1.5 to 5 times bigger than the volume of the refractories.6. we normalize K abs to its value when the grains are small (a λ).4 . 2.1 µm. it is then insensitive to a.76 • How to evaluate grain cross sections vacuum.

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. However.1 µm (a/λ = 10−4 ) to 30 µm (a/λ = 0. big lumps are not efﬁcacious in blocking light. if all particles in the diffuse interstellar medium had a radius of 1 µm (without changing the total dust mass). For example. One can create plots like those in ﬁgure 2. 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 spikes 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. one has to do proper calculations. 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 0.03). the extinction optical .7.7 for other wavelengths and optical constants. K (0.1.1 µm) It gives the relative change with respect to ordinary interstellar dust particles and it is plotted in ﬁgure 2. When a λ. when abs a λ.Composite grains 77 Figure 2.7 for silicates are resonances that disappear when the grains are not all of the same size but have a size distribution. The curves abs show the normalized coefﬁcient K n deﬁned in the text. the normalized coefﬁcient K n ∝ a −1 because Q abs ≈ 1. abs smaller than the wavelength (1 mm).7 for silicate and carbon spheres. the normalized coefﬁcient abs K n equals one and is constant because this is the Rayleigh limit. For sizes in between.1).

The solid plot refers to a coated sphere with a silicate core and an ice mantle. The ordinate abs Cn gives the increase in the cross section with respect to the bare silicate core. We take a silicate sphere of arbitrary radius a λ and deposit an ice mantle of the same mass on it. on the absorption coefﬁcient C abs of a grain that consists of silicate and ice with a mass ratio 1:1. Estimates for kice at this wavelength are around 0.78 How to evaluate grain cross sections Figure 2. 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.6. The relevant parameter for the absorption coefﬁcient C abs is kice . depth at 2.8.5. again for a wavelength λ = 1 mm. here λ = 1 mm. 2. The total grain’s volume is then three and a half times bigger and the mass twice that of the bare silicate core.2 µm (K-band) would be almost ten times larger than it really is. 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 imaginary part of the optical constant of ice. The inﬂuence of kice . such a mass ratio of ice to refractory core is suggested by the cosmic abundances in the case of complete freeze–out. The grain radius a is much smaller than the wavelength.2 Ice mantles Next we illustrate the inﬂuence of ice in the grain material.01 but uncertain.

changes with ﬂufﬁnes. The inﬂuence of porosity on the grain cross section.4 and 0. abs we learn from ﬁgure 2. We consider. C abs (compact grain of same mass) When the volume fraction of vacuum.01. while the optical constant of the grain. The mass of the grain is kept constant and does not vary with the vacuum fraction f vac . which is calculated here after Bruggeman.Composite grains 79 Figure 2. suggests an increase in the absorption coefﬁcient by a factor of two. which may or may not be a reasonable estimate for interstellar conditions.5+i0. equals zero. Fluffy grains are obviously better absorbers because they are bigger. f vac . silicates with vacuum inclusions.8. abs the normalized cross section Cn is deﬁned by abs Cn = C abs (ﬂuffy grain) .04.9. The compact particle has m Si = 3.3 Flufﬁness A porous grain also has a greater absorption cross section C abs than a compact one of the same mass. We also abs show in ﬁgure 2.5.8 that an ice mantle enhances C abs by a factor Cn ∼ 3 if abs even when k kice = 0. The normalized cross abs section Cn is deﬁned in the text. 2.6.9. A porosity parameter f vac between 0.8 the value of Cn when the ice is not in a mantle but mixed throughout the grain. the grain is compact. . in ﬁgure 2. Note that an ice mantle increases C ice = 0 because the mantle grain is larger than the refractory core and collects more light.

1) x= λ the calculation of cross sections becomes easy. there we stressed the mathematical aspects. With regard to the thermal emission of interstellar grains. They illuminate the problem and are useful for checking the correctness of a computer program. be small.2) . This is the basic section for understanding how and why interstellar dust absorbs and scatters light. 3. we presented general solutions of the ﬁeld equations in the case when a plane wave interacts with a particle with simple geometry. the approximations given here.1 When is a particle in the Rayleigh limit? When a sphere has a radius. when the size parameter 2πa 1 (3. we have to deliver ourselves to the mercy of a computer. In fact. 3. m = n + i k. when we want to extract numbers from the theory for a speciﬁc astronomical application.Chapter 3 Very small and very big particles In sections 2. In a few simple conﬁgurations. analytical solutions are possible and we turn to these in this chapter. one may use for the computation of cross sections.1.4. a may even be big. So the heading of this section is suggestive but not precise. it is wise to retain some mental independence and bring to one’s mind the physical aspects: computing must not be confused with understanding. No matter how efﬁcient such a machine is. only the ratio a/λ. If we additionally stipulate that the product of the size parameter multiplied by optical constant.3 and 2. which is small compared with the wavelength λ. Usually. The particle itself is not required to be small. which occurs at wavelengths where the condition λ a is usually very well fulﬁlled.e. a. i. |m|x 80 1 (3.1 Tiny spheres We derive the efﬁciencies for small spheres of dielectric material.

and because nx 1.1) and (3. 45 m2 − 1 m2 + 2 2 + O(x 7 ) Usually non-magnetic materials (µ = 1) are considered. b1 in the series expansion (2.2 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 .Tiny spheres we ensure two things: • • 81 because kx 1. With respect to the wavelength behavior.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 .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 ).2) hold are said to be in the Rayleigh limit. if one understands by the size parameter the ratio of typical dimension over wavelength. not just spheres. This concept can be applied to any particle. 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 . Then the term with x 3 in the coefﬁcient a1 yields the electric dipole absorption. If x is small. 3.50) and (2. 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. this suggests the frequently cited dependences and Q abs ∝ λ−1 Q sca ∝ λ−4 λ λ . both Q ext and Q sca approach zero. the ﬁeld is only weakly attenuated in the particle.3) (3. Grains for which conditions (3. 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 .

volume V and dielectric constant ε into a constant ﬁeld E. c2 are constants. this leads to the Laplace equation ϕ=0 where ϕ is the potential related to the ﬁeld through E = −∇ϕ. However.3 A dielectric sphere in a constant electric ﬁeld Besides cutting off the series expansion in Mie theory after the ﬁrst term. λ |µ + 2|2 (3.6) where r is the position coordinate of length r = |r|. we are reduced to an exercise in electrostatics. Let the sphere be at the center of the coordinate system.46). Because the optical constant m is. which contains only the coefﬁcient a1 . the ﬁeld becomes deformed.5) • The dissipation process refers to magnetic dipole oscillations and is relevant only at frequencies ω < 1012 s−1 . . In the absence of the sphere.26)). the potential is simply ϕ0 = −E · r. 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. 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. 3. The coefﬁcient b1 is discussed in section 3. ε = 1) replaced by Q abs = λ 3µ2 8πa · . m 2 = (n + i k)2 = εµ (k > 0) • equation (3. the electric ﬁeld in the grain changes in a quasi-stationary fashion. symmetric in ε and µ. For a homogeneous medium (ε = constant). When we want to calculate the ﬁeld in such a conﬁguration.82 Very small and very big particles for scattering and absorption. there is another approach to obtaining Q sca and Q ext for small particles that gives physical insight.1.2 for a non-magnetic conductor and presents magnetic dipole absorption (see (3. When we place a sphere of radius a.3). and c1 . The basic equations valid everywhere are rot E = 0 div D = 0. We now restrict the discussion to a dielectric medium. When x 1 and |mx| 1. from (1. is for purely magnetic material (µ = 1. We label the ﬁeld inside the sphere by Ei and outside it (external) by Ee . they are true only if m(λ) is more or less constant.

6) reﬂects the expected behavior of the ﬁeld.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. outside. Ee is the sum of a dipole. One now has boundary conditions at the interface .11) 3.10) (3. Continuity of the tangential component of the electric ﬁeld implies continuity of the tangential derivative of ϕ. 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 .8)) αe = 3 ε−1 . We determine c1 and c2 from the conditions on the grain surface. 4π ε + 2 (3.9) For other grain geometries there would be other dependences of αe on ε. Inside the sphere. Hence we derive ε−1 3 c2 = c1 = a 3 ε+2 ε+2 and. E i < E. Ei = 3 E ε+2 for r ≤ a. Continuity of the normal component of the displacement D yields εc2 = 1 + 2c1 /a 3 .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 (3.8) and the electric polarizability αe becomes (see (1. There is then a core (index 1) enveloped by a mantle (index 2) of a different substance. (3. If e denotes the unit vector in the direction r. from which it follows that ϕ is itself continuous (parallel and perpendicular to the surface).1. (3. therefore. This gives c2 = 1 − c1 /a 3 . Because the polarization is given by (see (1. which is induced by E and goes to zero at large distances.Tiny spheres 83 Equation (3.7) Note that the ﬁeld is smaller inside the body than outside. plus the constant ﬁeld E. Ei is constant and parallel to E. Equation (3.7) gives the internal ﬁeld.

we can because the variations of the ﬁeld are assumed to be slow. emits radiation.4. synchronously. the polarization of the medium is not that of a static ﬁeld. Of course. Because ω = 0.4 Scattering and absorption in the electrostatic approximation 3. 3c3 (3. does the dipole moment p. just as in the static case.1. which automatically takes care of the time lag between P and E.4) for the scattering efﬁciency Q sca . as before.1. 4π (ε2 + 2)(ε1 + 2ε2) + f (2ε2 − 2)(ε1 − ε2 ) 3.39). (3. W must also equal the total power scattered from the incident wave by the particle. which is now the grain as a whole. However.9). We thus ﬁnd C sca = πa 2 Q sca = 24π 3 V 2 ε − 1 λ4 ε+2 2 (3. so the electron conﬁguration is always relaxed. . The oscillating dipole. This means the electrons always have sufﬁcient time to adjust to the momentary ﬁeld. f = a1 a2 3 ≤1 expression (3.12) For the dipole moment. the dielectric permeability must be taken at the actual frequency ω of the outer ﬁeld. It was obtained in the electrostatic approximation. on the outside. Can we use it in the case when ω = 0? Yes.84 Very small and very big particles between the two materials and.1 Scattering The ﬁeld E is not really static but oscillates proportionally to E 0 e−iωt and so. If f denotes the volume fraction of the inner sphere relative to the total sphere. we have to insert p = αe V E and for the time2 averaged Poynting vector S = (c/8π)E 0 from (1.13) The electric polarizability αe for spheres is given by (3. Instead. therefore C sca = 8π 3 ω c 4 V 2 |αe |2 .9) for the polarizability becomes a bit lengthy: αe = 3 (ε2 − 1)(ε1 + 2ε2) + f (ε1 − ε2 )(1 + 2ε2 ) · . W = 1 ¨ |p|2 = S C sca . therefore. Its average power integrated over all ¨ directions is W = |p|2 /3c3 and follows from (1.97). the permeability ε(ω) is complex.14) which agrees with equation (3.

4.7). as the matrix elements contain only the angle θ . 2 2m e (ω0 − ω2 )2 + ω2 γ 2 When we substitute the dielectric permeability of the harmonic oscillator after (1.69) or via the Poynting vector S multiplied by the absorption cross section C abs . we can transform this equation into Vc 2 ε2 E 0 = SC abs . we must insert the ﬁeld Ei inside the grain according to (3.57) and set the absorbed power equal to SC abs . The power W absorbed by the oscillators can be expressed in two ways.77). c (3. This gives C abs = 4π ωV Im{α}. 4λ (3. and not the outer ﬁeld E. so W = VN 2 γ E 0 e2 ω2 = SC abs .1. There are several noteworthy facts: • • The scattering pattern no longer depends on wavelength.2 Absorption 85 We can ﬁnd the absorption coefﬁcient of a small dielectric or magnetic grain if we use (1.15) But let us be more elaborate and assume that the grain consists of N V harmonic oscillators excited in phase. Scattering is symmetrical in θ about π/2 and has two peaks.1. .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 (3.16) For the electric ﬁeld E 0 which drives the oscillators. the other in the backward (θ = π) direction. the scattering matrix given in (2. c |ε + 2|2 (3.55) or (1.3) but now we understand the physics: C abs = ε−1 6π V Im λ ε+2 = V ω 9ε2 .Tiny spheres 3. we recover the efﬁciency for electric dipole absorption of (3.5 Polarization and angle-dependent scattering For small spheres.18) θ = 0 gives the forward direction. V being the volume and N the oscillator density. either by the dissipation losses of the harmonic oscillators given in (1. When we do this.17) 3. one in the forward.

The degree of linear polarization becomes p= • • sin2 θ . the lattice constant. Here we only remark on the inﬂuence of the surface in the case of small grains.86 • • Very small and very big particles The matrix element S12 < 0. Free electrons in a metal move with the Fermi velocity vF = 3 me 3π 2 n e . A more general theory is then needed to describe the optical behavior of particles.6) vanishes and the asymmetry factor becomes zero. φ). for their ability to bind to gas atoms or for the speciﬁc heat of the grain. for example.59)) as a collision frequency with atoms of the crystal. 3. a substantial fraction of atoms is on the surface only when the particle is small. the light is completely polarized at a scattering angle of 90◦ . We will consider some quantum effects when we discuss PAHs. g = 0. The intensity of the scattered light. and thus the phase function f (θ. Q i = Ui = Vi = 0). rather regularly spaced and separated by a distance r0 . If the incident radiation has unit intensity and is unpolarized (Ii = 1. Mie theory. 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. although scattering by a small sphere is not isotropic. the ratio of the number of surface atoms Nsurf to all atoms N in the grain is roughly Nsurf N 6 r0 . so the polarization is perpendicular to the scattering plane. If the particle is small. an additional term must be added to the damping constant that comes from collisions (reﬂections) at the surface. 1 + cos2 θ (3. which is based on the classical electrodynamics of a continuous medium. is proportional to 1 + cos2 θ . If the particle has a diameter a. we have Is = 1 (1 + cos2 θ ) 2 Q s = − 1 sin2 θ 2 Us = Vs = 0. This has consequences. the situation is different for those on the surface which have bonds only towards the particle’s interior. Whereas atoms inside the particle are surrounded from all sides. a speciﬁc kind of very small carbon grains. As a result. the integral in (2. a ˚ As the lattice constant is of order 2 A. fails when the structure of matter or quantum effects become important.19) Consequently.6 Small-size effects beyond Mie theory A real grain is not a homogeneous continuum but a crystal built up from atoms.1.

proportionally to e−iωt . their time average is σ E2 .9) very large. For example.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 (6.114). in graphite with an electron 1020 cm−3 and γ = 5 × 1012 s−1 . 3. c . 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. When one knows Hi .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. 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. So there is nothing new in magnetostatics. therefore.25). When we place a particle in a constant magnetic ﬁeld H. one has to use the x 6 term in the coefﬁcient a1 of equation (3. Mie calculations automatically do. The presence of E in the conductor implies a current and. 3. in other words. one can derive the induced ﬁeld E either from the Maxwell equation (1. ohmic losses. The charges on the metal surface become polarized in the outer ﬁeld but the electric ﬁeld does not penetrate into the particle. Let us now include it.2. There are the same types of equations. But not quite because we have neglected in our small-size approximation the magnetic ﬁeld which is also present in a wave.54).3)). one estimates that noticeable density n e ˚ changes in γ . therefore. and thus in the dielectric permeability. rot E = i µω i H c or for a slowly changing ﬁeld from (1. occur for sizes a ≤ 50 A. The magnetic ﬁeld Hi inside the sphere is then also changing and induces an electric ﬁeld E. One might.1 Slowly varying ﬁeld The situation becomes interesting when the magnetic ﬁeld H is slowly alternating. then p = a 3 E. say. there is a formal identity with electrostatics. Slowly means that H is spatially uniform over the dimension of the body or. 4πσ E = rot Hi .

34). sin(kr ) r Here e is a unit vector in the direction of r.3 (see equations (2. we start with the wave equation (1. .26)–(2. When metallicity dominates (ω|εd | k2 = i 4πσ ωµ .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. Because H is constant. c2 We solve (3.6) and the easy-to-prove relations div( f H) = H · ∇ f ∇f =e k cos kr − f r ( f H) = −k2 f H. Hi + k2 Hi = 0 (3.88 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. to determine the internal ﬁeld Hi . we use formula (A. as required. When one works it out. deﬁned by the function A = β rot( f H) also fulﬁls the wave equation A + k2 A = 0. A. We have used this result before in section 2.28)). To evaluate the somewhat complicated expression Hi = β rot rot( f H). Instead. If we now put Hi = rot A the equations div Hi = 0 and Hi + k2 Hi = 0 are fulﬁlled.116). one obtains for the magnetic ﬁeld inside the sphere Hi = β f + k2 f r H−β 3f + k2 f r e(e · H).33)). The constant β will be adjusted later. The square of the wavenumber is given by (1. 4πσ ). the vector potential.20) together with div Hi = 0.

where k = c c (3. ∂ 2 Hx + k2 H x = 0 ∂z 2 √ √ i 4πσ ω 2πσ ω = (1 + i ). H = (Hx (z). We ﬁnd β = 3/[2k2 f (a)] and αm = − 3 8π 1− 3 3 cot ak . It falls off exponentially in the metal and. When we divide W by the Poynting vector. for which rot He = 0 and div He = 0.11).21) With αm . 0. 3. the ﬁeld has the form Hi = H0 e−iωt eikz = H0 e−z/δ ei(−ωt +z/δ) . can be written as He = H + V αm 3e(e · H) − H .2. y)-plane marks the surface of the metallic body. the (perturbed) ﬁeld He outside the sphere. where a plane wave falls on a metal surface. we apply the wave equation (3. + a 2 k2 ak (3. c 1+i δ= √ = k 2πσ ω (3. To see how far it can penetrate. we can determine the dissipation rate W in a grain after (1. as we assume in this chapter. 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 .57). the magnetic ﬁeld may not fully pervade it.2 The magnetic polarizability 89 In analogy to (3.2.3 The penetration depth Even when the particle is small compared to the scale on which the outer magnetic ﬁeld changes. 0) and the (x.20) to a simple one-dimensional situation. Suppose the ﬁeld vector H is parallel to the x-axis and a function of z only.23) .A small metallic sphere in a magnetic ﬁeld 3. we do not have to integrate σ E2 over the particle volume. H = H0 e−iωt and inside it (z > 0). 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. Then with µ = 1. we get the absorption cross section of a magnetic dipole. therefore.22) At the boundary of the body.

the greater δ becomes.27) αm = − 8π 2a 16π a and C abs = 3 π 2 1/2 a ω .28) 3. a λ = 2πc/ω.24) where ez is the unit vector in the direction of the z-axis.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 .4 Limiting values of the magnetic polarizability The formula (3. is small or large compared to the grain radius. At any rate. we can determine their scattering and absorption cross section once we have worked out the dipole moment that they .26) If the penetration depth is small (δ a λ).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 . 3. 2σ (3. where δ). (3.90 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. E is parallel to the y-axis.2. we develop the cotangent function √ a 2πσ ω a ka = (1 + i ) = (1 + i ) δ c 1.21) for the magnetic polarizability αm of a sphere simpliﬁes further when the penetration depth δ. • If the penetration depth is large (a in (3. which we just introduced. Then the ﬁrst two terms in the bracket of (3. In analogy to the previous discussion. the grain is always small compared to the wavelength. E = (1 − i ) ω Hi × e z 8πσ (3.21) to ﬁfth order in ka. the magnetic polarizability becomes 3δ 9 δ 3 1− +i (3. The electric ﬁeld has the same penetration depth and follows from (1.114).3 Tiny ellipsoids The treatment of a sphere in a constant electric ﬁeld may be extended to ellipsoids. 15c3 (3.

−c2 and for reasons of continuity must vanish somewhere in each of the intervals (−a 2 . We will again need the Laplace equation ϕ = 0. It has poles at −a 2.30) (ξ. c with a>b>c>0 the function f (u) = y2 z2 x2 + 2 + 2 −1 a2 + u b +u c +u (3. named ξ. η. with ξ > −c2 − c2 > η > −b2 − b 2 > ζ > −a 2 . ζ ) are called elliptical coordinates because for u = ξ . y and z. They are deﬁned as follows: For any three numbers a.Tiny ellipsoids 91 acquire and the strength of their internal ﬁeld.31) For u = η or u = ζ . b. Equation (3. u = η or u = ζ . ζ .32) . An ellipsoid has three principal axes a. Dividing the Laplace operator ϕ by 1 (ξ − η)(ζ − ξ )(η − ζ ). 2 a b c (3. Therefore. If a = b = c.1 Elliptical coordinates Ellipsoids are naturally handled in elliptical coordinates. one obtains confocal hyperboloids. 3. This gives. (3. for example. +∞). 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. −b 2 . The essential point is that ξ is constant on the surface of an ellipsoid. we are reduced to a sphere and f (u) has only one root. the equation f (ξ ) = 0 describes an ellipsoid that has the same foci as the ellipsoid y2 z2 x2 + 2 + 2 = 1.3. x=± (ξ + a 2 )(η + a 2 )(ζ + a 2 ) (b2 − a 2 )(c2 − a 2 ) and corresponding expressions for y and z. (−b 2. To transform the elliptical into Cartesian coordinates. η. −b2 ). f (u) has three real roots. (3. b. this time in elliptical coordinates. c. −c2 ) and (−c2 . We use here the convention a≥b≥c and that a is aligned along the x-axis of a Cartesian coordinate system.29) is of third order in u.29) constitutes a set of three equations when we put u = ξ. one has to solve this set for x.

When we insert ϕ = ϕ0 (1 + F) into (3.92 Very small and very big particles The expressions Ru = (u + a 2 )(u + b 2 )(u + c2 ) (u = ξ.33) where ϕ0 = −E · r is the potential of the unperturbed ﬁeld. c2 is a constant.35) and one obtains the dipole potential 2c1 −3/2 F(ξ ) ξ ∝ r −3 . η.32) and take into account that also for the perturbation (ϕ0 F) = 0. 2Rζ 3. b2 .2. Let the outer electric ﬁeld E be directed parallel to the x-axis and thus to the axis a of the ellipsoid. (x + a 2 )Rx (3.3. and ϕ0 F is the perturbation evoked by the grain. 3 .6). which applies to the interior of the grain. At great distance r = x 2 + y 2 + z 2 . at least one of the Cartesian coordinates is large. The function F depends only on ξ .34): F = constant. by ξ = 0.31) or.2 An ellipsoid in a constant electric ﬁeld 3. dξ (3. There are two solutions to (3. equivalently.29) are negligible and r ξ 1/2 . we write ϕ= ϕ0 [1 + F(ξ )] c2 ϕ 0 outside ellipsoid inside ellipsoid (3. so the terms a 2 .35) Far away from the grain. In analogy to (3. Its boundary is given by (3.3. the perturbation ϕ0 F has the form characteristic of a dipole. This allows us to evaluate the integral in (3. we arrive at the differential equation 0=F +F Rξ 1 + 2 Rξ ϕ0 =F +F d ln[Rξ (ξ + a 2 )]. and F(ξ ) = c1 ∞ ξ dx .34) A prime here and later denotes the derivative with respect to ξ .1 The dipole potential Imagine an ellipsoidal grain with principal axes a > b > c at the center of a Cartesian coordinate system. c2 in (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) .

for ellipsoids.Tiny ellipsoids 3. or of ϕ. Ei = E .39) 3.3 The polarizability of an ellipsoid With c1 and c2 being determined.3. we derive the constants c1 . we can immediately write down the formulae of the scattering and absorption cross section. 2[1 + L a (ε − 1)] (3.16) but now with E 0 = |Ei | from (3. In the case of scattering. C sca and C abs .3.37) With the same arguments as in (3. ε−1 dx (x + a 2 )Rx abc(ε − 1) .40) . equation (3.2. 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) .12) for dipole radiation is applicable with the dipole moment p from (3. c2 from the continuity conditions on the surface where ξ = 0. Continuity of the tangential electric ﬁeld.36) 1 1 + L a (ε − 1) c1 = − 3. (3. 4π[1 + L a (ε − 1)] (3.37). so we use (3.41) . The internal ﬁeld is constant and parallel to E. 1 + L a (ε − 1) (3. we know the electric ﬁeld in and around an ellipsoid.38).2 The shape factor 93 As in the case of a sphere.2. Absorption is still proportional to grain volume V .38) 3[1 + L a (ε − 1)] and its polarizability. gives c2 = 1 + F(0). αa = ε−1 .3.8) for a sphere. the dipole moment of the ellipsoid becomes ε−1 p= E (3. when the electric ﬁeld is parallel to axis a. 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 (3.3 Cross section and shape factor Because of our experience with spheres.

and not to axis a as we have assumed so far. in the second it is a broad ellipse and much bigger. Ei = E. When the electric ﬁeld is parallel to axis b or c.1 and let the electric vector E swing parallel to axis c. the electric ﬁeld inside and outside are more or less equal. the cigar has changed from position 1 to position 2. the projected surface is a small circle. which is perpendicular to the page in this book. the cigar in ﬁgure 3. with a = b = c. 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. all Ls are equal to 1 and we recover the formulae of the polarizability and cross 3 sections for spheres. Obviously. 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). 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. the shape factors loose their importance. Light is traveling in the indicated direction. After a quarter of the rotation cycle. In the ﬁrst case. Consider. for example.94 Very small and very big particles a light c c a 1 2 Figure 3.1. The absorption and scattering . and the polarizability α = (ε−1)/4π = χ.36). the only thing that changes for the cross section is the shape factor of (3. A cigar rotating about axis b. When the small ellipsoid is very transparent (|ε| 1). 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.

.44) are independent of each other. 3λ4 95 (3. a = b > c.44) and (3. in interstellar space. E cos β. all directions are equally likely and the mean of cos2 x over 4π is (see (2. 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. the total cross section of the grain can be written as C = Ca cos2 α + Cb cos2 β + Cc cos2 γ .2)) cos2 x = 1 4π 2π π dy 0 0 d x cos2 x sin x = 1 . the average cross section for identical ellipsoids under random orientation is equal to the arithmetic mean: C = 1 Ca + 1 Cb + 1 Cc . Interestingly. Ei and E are parallel only when E is directed along one of the principal axes.3. for arbitrary grain orientation the internal ﬁeld Ei is not parallel to the outer ﬁeld E. random rotation and thus random orientation of the grains.45) are true only in the electrostatic approximation.3. If Ca . even if the grain material is isotropic.42) (3.Tiny ellipsoids coefﬁcient are then independent of the axial ratios and of orientation.5 Pancakes and cigars When two of the principal axes are equal. the body has the shape of a pancake. C abs (λ) = 2π V ε2 (λ) λ 8π 3 V 2 C sca (λ) = |ε − 1|2. b. c are parallel to the electric vector E of the incoming wave. b. the ellipsoid is called a spheroid. 3. Here E = |E| and cos2 α + cos2 β + cos2 γ = 1. c: E = (E cos α. • If then the two equally long axes are larger than the third one.44) Without alignment.45) Equations (3.4 Randomly oriented ellipsoids When an ellipsoid of ﬁxed orientation in space is illuminated by an electromagnetic wave. E cos γ ). For an ensemble of particles. Cc denote the cross sections of the ellipsoid when the principal axes a. 3 As the terms on the right-hand side of (3.43) 3. we expect. Cb . (3. 3 3 3 (3.

The shape factor for oblate (pancake) and prolate (cigar) spheroids.46) e2 = 1 − 2 . Deﬁning the eccentricity e through c2 (3. L a = L b . and La = g 2 (e) g(e) π − arctan g(e) − 2 2 2 2e with g(e) = 1 − e2 . if a > b = c. L b = L c and La = • 1+e 1 − e2 1 ln −1 + 2 e 2e 1−e (3. it resembles a cigar. We will see in chapter 10 that pancakes and cigars. a • cigars have a > b = c. It can be found by numerically evaluating the integral in (3.47) pancakes have a = b > c.36) now permits an analytical solution (ﬁgure 3. More educated terms are oblate and prolate spheroids. besides being nourishing or fragrant. • Otherwise. The shape factor of (3. (3.48).2).96 Very small and very big particles Figure 3.47) and (3.2.48) e2 .36) or by using the analytical expressions (3. can explain why and how stellar light is polarized by dust clouds.

3 displays.3.1 shows such a situation for a spinning cigar with rotation axis b. from (3. although not as a strict rule. For example. that ellipsoids have a higher average cross section. Cav . Any wiggle in m due to a resonance will be reﬂected in the curves. while the other two are spinning. this is axis b or c. Cc . It is also not difﬁcult to extend the computations of cross sections to coated ellipsoids but for particulars. The rotation axis stays ﬁxed in space. 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. Suppose a spheroid rotates about the major axis where the moment of inertia is greatest. over a broad wavelength band. respectively. As a further sophistication. When the carbon sheets are stacked parallel to the (x.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. 3 Figure 3. the effect of particle elongation on the optical depth is more pronounced in the far than in the near infrared. depend on the direction of linear polarization of the incident wave. one has εx = ε y = εz . than spheres and the effect increases with eccentricity. Overall. grains with an axial ratio of two.19. the cross section is still a function of the optical constant m and thus of wavelength λ.866. one can treat optically anisotropic ellipsoids. 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.Tiny ellipsoids 97 For very long cigars (needles) and very ﬂat pancakes e = 1 and L a = 0. The difference between cigars and pancakes is mild.45). for pancakes it is axis c. It turns out. For cigars. what happens to the optical depth when we replace spheres of a ﬁxed radius by randomly oriented spheroids. Figure 3. CE⊥rot = 1 2 Ca + Cc . CE rot and CE⊥rot . y)-plane. 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. so L b = L c = 1 . Cb . are at λ ≥ 100 µm by some 30% better emitters or absorbers than spheres. We can understand this because Cav is. 3. which implies an eccentricity of 0. A sphere is the subcase when e = 0 and all shape factors are equal 2 to 1 . 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 . the arithmetic mean over Ca . Graphite particles are an example. With ﬁxed eccentricity. identical in shape and of the same volume as the spheres.

Calculations are done in the electrostatic approximation implying grains much smaller than the wavelength.3. The eccentricity of the spheroids deﬁned in (3.46) is indicated. optical constants for the two materials from ﬁgure 7. The cross section of spheres over that of randomly oriented spheroids of the same volume.98 Very small and very big particles Figure 3. CE rot = Cb < CE⊥rot . top) or silicate (Si.19. The grains consist of amorphous carbon (aC. which is . If a pancake rotates about its axis of maximum moment of inertia. bottom).

we need the difference C = CE⊥rot − CE rot .3 we generalized to ellipsoids. Atoms are not at random positions but at privileged sites (lattice grid points are loci of minimum potential .50) If the light travels parallel to the rotation axis of the spheroid (axis b for cigars. no averaging is necessary and CE⊥rot = Ca CE rot = Cc < CE⊥rot . (3. axis c for pancakes). Writing the internal ﬁeld Ei in the form Ei = E + E1 deﬁnes a new ﬁeld E1 .4). there are.51) It is important to make a distinction between the local ﬁeld at exactly one point and macroscopic averages. and light comes in perpendicular or parallel to c. on average.The ﬁelds inside a dielectric particle 99 c. The effective cross section for incident unpolarized light is C= 1 2 CE rot + CE⊥rot . a hundred or so but at least over one unit cell in a crystalline structure. In both cases. the polarization P of the medium is constant and the ﬁeld inside smaller than outside. 3 (3. 3. from (3. • 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. Because E i < E. the ﬁeld has tremendous gradients.7) the ﬁeld Ei inside a dielectric sphere that sits in a time-constant homogeneous outer ﬁeld E.49) Ca + Cc C = Ca − Cc .4 The ﬁelds inside a dielectric particle 3. For example. It arises from all atomic dipoles and is directed opposite to the polarization P. one calls E1 the depolarization ﬁeld (see ﬁgure 3. To calculate in chapter 10 the degree of polarization produced by grains. E1 and Ei are such averages over many atoms. On a microscopic level. In section 3.4. no polarization effects.7) we ﬁnd for a sphere E1 = − 4π P.1 Internal ﬁeld and depolarization ﬁeld We determined in equation (3.

To ﬁnd Eloc at a speciﬁc locus in the grain. therefore. 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.53). There is a theorem which states that for any body of constant polarization P. This is correct because a single dipole p has a potential ϕdip = −p · ∇ 1 . the ﬁeld from the dipoles within the cavity has to be explicitly written as a sum. imagine a spherical cavity around x0 of such a size that beyond the cavity the dipole distribution may be regarded as smooth. their distribution is not smooth. the divergence of the polarization vector is zero and ρpol = 0 but on its surface. . As the dipoles are at discrete lattice points.52) Eloc = E + outside cavity The ﬁeld arising from the smooth distribution outside the cavity can be expressed as a volume integral. we have to add to E the ﬁelds from all dipoles. it does not appear to be so close to x0 . whereas inside it. Inside the body.2 Depolarization ﬁeld and the distribution of surface charges A body of constant polarization P has. We. With f (r) = 1/r and div P = 0. This expression for σ follows when we recall that according to (1.100 Very small and very big particles energy) and the local ﬁeld Eloc acting on an atom is usually different from the average ﬁeld Ei . say at x0 . so generally Eloc = Ei .53) where e is the outward surface normal. (3. P is discontinuous and a charge appears. the depolarization ﬁeld E1 is identical to the ﬁeld that arises in vacuum from the distribution of surface charges as given by (3. a surface charge σ of strength σ =e·P (3. Let ϕ(r) be the electrostatic potential from all dipoles in the body. r Now we transform the volume integral into a surface integral employing the relation div( f P) = f div P + P · ∇ f . we get ϕ(r) = − 1 P · dS = r σ d S. We prove the theorem by writing ϕ(r) as a volume integral. so Edip + Edip . it is discontinuous. ϕ(r) = − (P · ∇r −1 ) d V. 3. at least.20) a non-uniform polarization creates a charge ρpol = − div P.4. on its outside.

The formula is analogous to (1. in view of (3.54) with the help of (3. 3 (3. for a spherical grain we derive from (3. For example. According to our theorem. Suppose we have a cubic lattice.3 The local ﬁeld at an atom 101 The ‘outside’ sum in (3. P = N V α E loc = N V α E i + 4π P . However.4. The sum is zero because of the symmetry of the grid.4. the point x0 is at the origin. only of inverted sign.8): Eloc = E. It remains to include the atoms in the spherical cavity S2 .8) which we applied to a grain as a whole. For a body in the shape of a thin slab with parallel surfaces perpendicular to E. Hence α is called the atomic polarizability. their moments are all of strength p and aligned in the z-direction. For such a situation. yi . If there are N atoms per unit volume. We expect that we may also neglect it if there is no grid order at all. one ﬁnds Eloc = E − 8π P. which is the conﬁguration of a parallel–plate condenser. Eloc = Ei + 4π P. gives the depolarization ﬁeld E1 .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. it is equivalent to the ﬁeld from the surface charges.7) and (3. 3 . So we can neglect the inﬂuence of the nearest atoms altogether. the local ﬁeld Eloc at an atom depends on the shape of the particle. S1 . 3 3. S2 .and y-components of the total ﬁeld vanish. has the same surface charge as a sphere in vacuum of constant polarization P.51). z i ). i. The outer. in an amorphous substance.54). we ﬁnd that the surface charge on S2 produces the ﬁeld (4π/3)P. therefore.e. the dipoles are at positions (x i . The inner. Comparing with (3.54) Given the outer ﬁeld E. there are now two boundaries. the polarization of the matter is.4 The Clausius–Mossotti relation The local ﬁeld Eloc produces in each atom of volume V a dipole moment p = αV E loc . Then the z-component of the total ﬁeld from all dipoles at x0 is (see (3. Likewise the x.The ﬁelds inside a dielectric particle 3.

According to a theorem of electrostatics. 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). x 0 . it attracts them one way and pushes the heavy nuclei the opposite way. − ω2 ) (3. 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. 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. one can relate the dielectric susceptibility χ of the medium to the polarizability α of the atoms.102 Very small and very big particles E Ei E1 S1 S2 Figure 3. This is done in the Clausius– Mossotti formula: NV α χ= . The resonance frequency ω0 of the atom lies typically in the ultraviolet. σ gives rise to a ﬁeld E1 that combines with E to form the average internal ﬁeld Ei . This can be modeled with the harmonic oscillator of section 1. S1 and S2 denote surfaces. and equate the dipole moment p = ex 0 to α E loc .56) It is relevant at optical frequencies because the electrons have little inertia and can swiftly follow the ﬁeld. the value from (1.6)).3. When we take for the amplitude of the electron. The static value of the atomic polarizability in a 2 constant ﬁeld is α0 = e2 /m e ω0 . To ﬁnd Eloc . A ﬁeld E produces on a dielectric grain a surface charge σ . (3.67) but without damping (γ = 0).4.

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

104 Very small and very big particles bright spot 1) dark area 2) obstacle 3) hole Figure 3.5.6. we obtain for . Scattering at the edge of a large obstacle is. however.41) in the medium on the left √ (z < 0). A diffraction experiment to explain Babinet’s theorem.2 Reﬂection and transmission at a plane surface 3. At short distances.2. 3. a large particle as shown in ﬁgure 3. under normal incidence. it is always valid for interstellar grains. This quantity is denoted by r and called the reﬂectance. and k2 = ε2 µ2 ω/c in the medium on the right (z > 0). predominantly forward. we know from everyday experience that a brick removes only as much sunlight as falls onto its projected surface and not twice as much.1 Normal incidence A ray of light travels in the positive z-direction and hits. We wish to evaluate which fraction of the incident ﬂux is reﬂected.5. Therefore Q ext = 2 can only be veriﬁed at far distances. √ If k1 = ε1 µ1 ω/c is the wavenumber from (1.5.

the tangential components of the electric and magnetic ﬁeld are continuous. Ei + Er = Et Ei − Er = Et ε 2 µ1 .117)). If the stone in a ring is a fake. (n + 1)2 + k 2 (3.Very large particles incident transmitted reflected optical constant m 105 0 z Figure 3. we have the incident and the reﬂected wave (indices i and r). A pure diamond sparkles at visual wavelengths because k is small and n = 2. ε 1 µ2 This immediately allows one to calculate the reﬂectance r = |E r /E i |2 . we ﬁnd. to the right only the transmitted wave (index t). if k 0. the reﬂectance equals the backscatter efﬁciency Q back of (2. (3. Should n or k be large.59) how the light that enters into a large and absorbing particle is attenuated. 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).17). 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 . When we express the magnetic ﬁeld via the rotation of the electric ﬁeld (see (1. of standard glass which has n = 1. Light falls perpendicular on a plane surface. We see from (3.32)). At the surface of the particle (z = 0).6. some is reﬂected and some transmitted.67). 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. However.59) To the left-hand side.58) (3. the reﬂectivity is high and absorption low.5. so the reﬂectivity is high (r = 0. The amplitude of its electric ﬁeld is weakened . Metal surfaces make good mirrors because they have a large optical constant m and n k (see (1. the reﬂectivity grows with n. The medium to the right (z > 0) has an optical constant m = n + ik.4. it will catch less attention because it reﬂects only 4% of the light. at z = 0. not 17%.

it only scatters the light.5. the oscillations of the electromagnetic ﬁeld are in phase . then Q abs = 0 and Q sca = Q ext = 2 according to Babinet’s theorem. the reﬂected beam forms an angle θr = θi with the normal. 3. 3. the transmitted light is removed very quickly and the penetration depth is only a few wavelengths.5. Q ref lies between 0 and 1 and is related to Q abs through Q abs = 1 − Q ref . Per wavelength of penetration. One now has to specify in which direction the incident light is polarized which is not necessary under normal incidence.62) Using this formula. If the incident beam is inclined to the normal of the surface element of the particle by some angle θi > 0. the particle must also have a very large size d such that kd/λ is much greater than one. m and θt are real. the intensity decreases by a factor exp(−4πk).61) Whereas for a non-absorbing medium. we can determine the limiting value of Q abs and Q sca for very large spheres. require the optical constant of vacuum (m = 1). A blackbody can be approximated by a particle with n → 1 and k → 0.60) for a blackbody.61) m and also θt are complex. One can deﬁne a reﬂection efﬁciency Q ref for spheres by πa 2 Q ref = 0 a 2πr (x) d x (3. any light that enters the grain will. If the particle is translucent (k = 0). Unless k is very small. But a vacuum is translucent.3 Huygens’ principle In ﬁgure 3. eventually peter out within it.2.62) for an incident angle θi = arcsin(x/a) and a is the grain radius. So the absorption efﬁciency for large particles can never be greater than one. so the intensity It of the transmitted light diminishes like exp(−4πk/λz).106 Very small and very big particles proportionally to exp(−2πkz/λ). a point source Q emits isotropically radiation.63) where r (x) is the reﬂectance after (3. in the generalized form of (3. it has zero reﬂectance and would. therefore.7. By deﬁnition. m (3.60) to the case of oblique incidence. On any spherical surface S around Q. The angle of the transmitted beam is given by Snell’s law: sin θt = sin θi . (3. only smaller if some fraction of light is reﬂected off the surface. despite the smallness of k.2 Oblique incidence We generalize the reﬂectance r of (3. 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 . If k > 0. under the assumption of ray optics. One may wonder about the implications of formula (3. So no real substance is a perfect absorber.

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

As formula (3.64) u + k2 u = 0. one ﬁnds ei(kr−ωt ) . The ﬁeld u must obey the wave equation: (3. 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 3.5.64) is akin to the Laplace equation. 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. To evaluate the ﬁeld u at point P inside a region G when u is known on its surface S. u = ei(k·x−ωt ) .2. 3. one can use the familiar formalism of electrostatics to solve it.108 Very small and very big particles S r P S’ Figure 3. the time factor e−iωt is again included. We have already discussed plane waves. (u v − v u) d V = G S u ∂u ∂v −v ∂n ∂n dσ where the function v is deﬁned as v= eikr .1 Kirchhoff’s strict formulation of Huygens’ principle Kirchhoff put Huygens’ principle in a mathematically rigorous form. (3. we use Green’s identity (see (A.8).65) u= r Equation (3. as a solution to (3.64) in section 1. To determine u at a point P inside a bounded region G when u is given on its surface S.8. r .65) describes an outward-going spherical wave. φ = 0.3. By introducing the auxiliary function v = r u.14)). which is encountered in electrostatics and where φ is the electric potential.

7). At P. a distance R from the point source Q. (3. Z 2 . that the ﬁeld from a point source emitting spherical waves can be considered to result from interference of secondary spherical waves. j = 1. The ﬁeld u in P at a distance R = Q P is calculated from Huygens’ principle in the form (3. . one constructs Fresnel zones Z 1 . . there is a singularity because r = 0. of course. as had been asserted before (ﬁgure 3. u + k2 u = 0 and v + k2 v = 0. Letting the radius of the small sphere around P go to zero. The new conﬁguration is depicted in ﬁgure 3. 3. Because in G. . To circumvent it. one cuts out from G a small sphere around P of surface S . . 2. The radius r counts the distance from the point P where we want to evaluate the ﬁeld u. At P. the volume integral vanishes and only the surface integral is left. It is assumed that u is known on the spherical surface S around Q with radius r0 .66) 3. we show. the ﬁeld is. Z 3 . 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. . A point source Q isotropically emits light. .66). up = eikR R . the wave equation is fulﬁlled for u and v.5. The surface integral in Green’s identity now extends over S and S . this remaining region is called G.9.9. . one eventually arrives at an equation that incorporates Huygens’ principle. . 4πu p = − S u eikr ∂u ∂ eikr − ∂n r r ∂n dσ. The volume integral in Green’s identity is then taken only over the remaining region without the small sphere.4 Fresnel zones and a check on Huygens’ principle To convince ourselves that (3. To carry out the integration. i.66) is indeed a strict form of Huygens’ principle.e.Very large particles 109 S n r Q r0 Z3 Z2 Z1 P R Figure 3.

yields u1 = 2eikR . r) with the radius vector r. over whose surface one has to integrate. r We evaluate this integral as a sum and. r) + (i k − r0 ) dσ. comprises now all space outside the sphere of radius r0 . R The contribution u j of the j th zone Z j to the ﬁeld at P follows from a simple integration over r .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. and this strengthens our conﬁdence in Huygen’s principle. The last zone is the one on the far side of the sphere which. r)] dσ. r0 4πu p = −i k eikr0 r0 k−1 = λ/2π). uj = R The ﬁrst zone alone. r) r where r is the radius vector from P to S and r = |r|. The contribution to the integral (3.66) of the surface which is at inﬁnity may be neglected. The surface normal n of a given segment forms an approximately constant angle cos(n. The ﬁrst two zones together produce almost nothing but darkness. The area of a segment is dσ = 2πrr0 dr.67) If the distances are much greater than the wavelength (r. On the surface S. R The contributions from the following zones alternate in sign. These are segments on S lying between constant radii r and r + λ/2.66) supposing that we know the ﬁeld and its normal derivative on S. The region G surrounding P. for this purpose. rr0 (3. in the limits R − r0 + j λ/2 and R − r0 + ( j − 1)λ/2. divide the surface S into so called Fresnel zones. at ﬁxed [1 + cos(n. It is not difﬁcult to work out the sum u j over all Fresnel zones. u = u0 = eikr0 r0 ⇒ ∂u ∂n =− 0 eikr0 r0 ik − 1 r0 . . eikR (−1) j +1 1 + cos(n. we only have to consider the surface S. So we calculate u p from (3. we get 4πu p = − S eik(r+r0 ) −1 (i k − r −1 ) cos(n. Because eikr ∂ eikr = ∂n r r ik − 1 cos(n. S eikr [1 + cos(n. like the ﬁrst. r)]. if all others were covered by some dark material. is intersected by the straight line through P and Q. r) . One really obtains eikR /R.

5. (3.67) under the assumption k−1 by r. Light falls from Q though an oriﬁce S and is observed at P.68) λ rr0 S 1 Here cos θ 2 [cos(n. We now apply it to a circular hole of radius a and remember from the . To ﬁrst order. 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. interesting phenomena occur only through diffraction at their edges.68) gives the ﬁeld of an electromagnetic wave that has passed through an oriﬁce. r) − cos(n. Therefore we approximate equation (3.10). r0 i cos θ up = − eik(r+r0 ) dσ. geometrical optics is valid and the hole deﬂects light only by small angles. 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. This is the reciprocity theorem of diffraction theory. 3.5 The reciprocity theorem As very big particles block practically all light that falls onto them.68) with respect to r and r0 implies that when a source at Q produces a ﬁeld u p at P. The distances r and r0 are also almost constant and may therefore stand before the integral.10. r0 )]. 3. eik(r+r0 ) varies of course over the hole because it is many wavelengths across.6 Diffraction by a circular hole or a sphere Equation (3. The symmetry of formula (3.5. however. the same source brought to the point P produces the same ﬁeld at Q.Very large particles 111 P r S r0 θ Q Figure 3.

10) is close to one and may be omitted. subsection on Babinet’s theorem that a spherical obstacle will produce the same diffraction pattern. one obtains yp s cos ϕ.11 are A = (x. y. It is assumed that the hole is small (s R. 0. R0 ) and that Q. z) to the source Q and the observing point P. The x-axis is perpendicular to the page of the book. ϕ. The hole is in the (x. r0 is the distance between Q and dσ . z p ) C = (0. The source Q is behind a circular hole (dash-dot line) and illuminates the point P on a screen. yp . y)-plane of the Cartesian coordinate system with origin C. As we have to integrate over the hole. 0) Q = (0. The coordinates of the points marked in ﬁgure 3. R0 and R are the distances from the center C of the Cartesian coordinate system (x. r R P Q R0 y P C z Figure 3.11. R R + R0 − . respectively. 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. 0. it is advantageous to use cylindrical coordinates (s. it follows that r0 R0 + s 2 /2R0 and r of order s 2 or higher. The conﬁguration is shown in ﬁgure 3.112 Very small and very big particles y A r0 s . which implies s r + r0 R + (s 2 − 2yyp)/2R. y.11. 0). z). −R0 ) P = (0. Neglecting terms yp . C and P lie roughly on a straight line so that cos θ (see ﬁgure 3. r is the distance between P and an arbitrary surface element dσ located at A.

617 λ . yp − y the wave from T has.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 .21). To determine the ﬁeld at P. To evaluate the double integral. (3. one uses complex integer Bessel functions Jn (z) deﬁned in (A. the integral in (3. this approximation has an error of roughly 10%. 2πa (3. Therefore. This leads to the so called cornu-spiral . as much energy as falls onto the hole from the source emerges on the other side. a phase lag δ= 2π (y p − y)2 .69) The Bessel function J1 (x) is tabulated in mathematical encyclopediae. 3.7 Diffraction behind a half-plane As a ﬁnal example.5. J1 (x) → 1 x. The formulae (A. At P. although the ﬂux passing through the hole increases only with a 2 . in the visual bound. 2 The intensity |u p |2 drops to half its maximum value at α = 0 at a deﬂection angle αhalf 1. energy is conserved. at x = 1. for a grain with 1 mm diameter. The situation is depicted in ﬁgure 3. relative to the wave emitted from S.Very large particles Because dσ = s · ds dϕ. They have practically all the same length but different directions. eik(r+r0 ) dσ = eik(R+R0 ) S 0 a 2π 113 ds s 0 dϕ e−ikαs cos ϕ .22)–(A. Because we assume R.68) becomes. the path T P is approximately equal to R +(y p − y)2 /2R. We have introduced the deﬂection angle α = yp /R. But as the hole becomes bigger. λ 2R Note that the phase lag δ increases quadratically with (y p −y). αhalf is about 1 arcmin. in the end. opposite to S. the ﬁeld vectors E j of all elementary waves have to be added up. we derive the intensity pattern on a screen behind a half-plane (wall).70) For example. For small x.12. the diffraction pattern gets smaller and. one has to sum up all elementary waves from the plane in which the wall lies. This problem affords a nice graphical solution. 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.

If one connects any two neighboring dots in ﬁgure 3. and the second consists of all E j from points below S. the large arrow in ﬁgure 3. of ﬁgure 3. it ends in the lower half of the spiral. the hole was assumed to be much bigger than the wavelength so that sections of its rim can be approximated by a straight line. is blocked by a wall and observed at various points on a screen. Figure 3. The following vector E j +1 is rotated by an angle that increases as one approaches the asymptotic points. this arrow corresponds to a particular vector E j . the arrow goes from A almost to B.5).12. up to inﬁnity. At point P3 . which is far up on the screen. 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. opposite to the edge of the wall. from (3.13 would end in the middle of the spiral at the fat point.69). The asymptotic points of the spiral are A and B. It starts at A and ends at the dot which corresponds to the elementary wave from the rim of the wall. Obviously.114 Very small and very big particles screen P 3 light S y T P y p R P 2 P 1 wall Figure 3.14 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. If we observe at position P2 . Observing at P1 . But exactly behind a sphere at large distances there is.13 by a small arrow. thus the curvature of the spiral increases too. Their sum. a position below the edge of the wall. which is the resulting ﬁeld at P. A blurred rim appears near P2 . the intensity at P2 is four times smaller than at P3 . Light comes in from the left. is represented in ﬁgure 3. always a maximum intensity .13. down to the edge of the wall.13 by a large arrow.

Very large particles 115 Figure 3. On the dark side. the intensity oscillates and approaches unity. The cornu-spiral. see text. the intensity equals 0. On the bright side of the screen.12.13.42 in √ units λR/π .14 is 1. At exactly P2 (y p = 0). Figure 3. The separation between the ﬁrst two maxima in ﬁgure 3. because the waves from the circular rim are all in phase on the center line and interfere there constructively.14.13. it falls smoothly to zero which is geometrically clear from ﬁgure 3.12.25. Here is an astronomical application of this result which can. . The normalized intensity around position P2 in ﬁgure 3. The squared length of the plotted vector gives the intensity at a point somewhere above P2 in ﬁgure 3.

it may. (3.54 arcsec s−1 . For example. the second intensity maximum follows the ﬁrst after 5.2 s. The formalism for how waves originating from different points (subvolumes) are added up is basically the same as that discussed in section 2. 3. therefore.43). their absorption and scattering cross sections are given by (3.5. the absorption efﬁciency of a Rayleigh–Gans sphere for any x is Q abs = 8x Im{m − 1}.116 Very small and very big particles and has been.42) and (3. the absorption cross section C abs of the total grain is also given by formula (3. The analytical computation of the scattering cross section or the phase function is. the electromagnetic ﬁeld is only weakly deformed and practically the same as in the incoming wave. if the subvolumes are ellipsoids. Inside such a particle. . complicated. its intensity will oscillate as shown in ﬁgure 3. Of course. tends to reduce C sca (λ) with respect to (3.71) and that it is more or less transparent. It is this effect which.8 Particles of small refractive index A grain that fulﬁls the conditions that • its optical constant is close to unity. d |m − 1| λ 1.43). for large bodies.42). be big compared to the wavelength. each of them absorbs and scatters many tiny subvolumes vi with independently of the others. which happens to lie on its path.14.2 on the optical theorem. even for simple grain geometries (see examples in [Hul57]). If it occults a quasar. If we imagine the total grain volume V to be divided into vi = V . however. Consequently. everything can be extracted from the full Mie theory but not in analytical form. 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. k 0 (3. Therefore. Otherwise it may be of arbitrary shape and size. 3 To ﬁnd the scattering cross section or the scattered intensity in a certain direction. |m − 1| • 1 or n 1. The silvery moon on its heavenly orbit (R = 384 000 km) moves relative to the stars with an angular velocity of 0.72) is called a Rayleigh–Gans particle. one cannot simply sum the contributions of the subvolumes because there is a phase difference between them which leads to interference. which we derived in the Rayleigh limit. observationally checked.

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. |m − 1| 1. we get Q sca = 2|m − 1|2 x 2 . As the frequency ω is large. interstellar dust particles are always big because x = 2πa/λ 1. The latter is much smaller than for large. say 10 A.5. At a wavelength of. likewise for the optical constant. . 3. The value of the dielectric permeability in this range may be estimated from the high-frequency approximation (1.Very large particles 117 Here are some results for spheres: If x is the size parameter and γ = 0. non-transparent spheres which always have Q sca ∼ 1.72): 2πa |m − 1| λ 1. therefore.9 X-ray scattering We now apply the results obtained for particles of small refractive index to X˚ rays. we expect ε1 to be close to one and ε2 to be small. 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. so |ε − 1| 1.79). 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 1.577 215 66. we obtain the Rayleigh limit Q sca = 32 27 |m − 1|2 x 4 and for x 1. Euler’s constant. The grains are. very transparent and even satisfy condition (3.

scattering is very much in the forward direction deﬁned by θ = 0.118 Very small and very big particles For big spheres.5 and then stays very small. like a bell-curve. the angular dependence of the scattered intensity is given by I (θ ) ∝ G 2 (u) with u = 2x sin 1 θ. one ﬁnds that it has its maximum at u = 0. . this corresponds to θ ∼ 10 arcmin. reaches zero at about 4. For grains of 1000 A radius. therefore. Therefore. One can. 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. Consequently. The intensity towards it follows from the fact that the total scattered X-ray ﬂux is smeared out over the halo. there is forward scattering ˚ over an angle such that θ x ∼ 2. drops monotonically.

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

2 exempliﬁes the effects of adding impurities to the material.51) and is due to interference in the scattered wave (see(2. Then the abscissa of the left frame is proportional to the grain radius.5. this value is appropriate for glass in the visible part of the spectrum. it is followed by gradually declining maxima around x = 11. the broad crests of the waves to maxima in the sum an + bn . bn . The ripples correspond to small denominators in an . 17. its maximum value is 4. (2. • 4.1 and displays a medium with m = 1. The ﬁrst maximum of Q ext is achieved roughly at 8(n − 1). m depends on wavelength. The top frame is identical to the left box of ﬁgure 4. m = 1. . bn of (2. Because in any real material.1.5 + i 0.1). The minima in between stay more or less all around two. Now . The extinction efﬁciency can be quite large. Q ext → 2 for x −1 → 0.50).1. . the right the range 0.2 A weak absorber Figure 4. The left box shows the range 0 ≤ x ≤ 20. The extinction efﬁciency Q ext as a function of size parameter x and its inverse x −1 for an optical constant m = 1.1. . In ﬁgure 4. 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. when the grain is very large. the extinction efﬁciency approaches two (see the right-hand frame of ﬁgure 4. The phenomenon of ripples and waves can be traced to the behavior of the coefﬁcients an . whereas we have kept it ﬁxed in the ﬁgure.002 ≤ x −1 ≤ 0.05 corresponding to 20 ≤ x ≤ 500.4 times (!) bigger than the projected surface of the particle.46)). . • In accordance with Babinet’s theorem.5. In the middle.120 Case studies of Mie calculus Figure 4. it is best to envisage λ as constant.02. the optical constant is complex. in our particular example this occurs at x 4.

as can be seen by comparing the two bottom panels where k changes from 0. the ripples and the waves are irrelevant.05. For example.02 to 0.05i may be appropriate for astronomical silicate around λ = 6 µm. An optical constant m = 1.5 + 0. the others are weakly absorbing. scattering (dots) and extinction (full line) for three different substances: one is not dissipative. The efﬁciencies for absorption (dashes). The damping is sensitive to k. 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.Efﬁciencies of bare spheres 121 Figure 4. For interstellar grains. .2.

the general features of small-sized grains.3 we retain the value of n = 1. The optical constant m(λ) will change somewhat over this bandwidth and. We discern. the observation is not monochromatic but comprises a certain bandwidth λ.122 Case studies of Mie calculus Figure 4. Q abs Q sca .4) as Q sca ∝ x 4 • so Q sca falls off more steeply than Q abs (see logarithmic plot of ﬁgure 4. as well as the asymmetry factor g for a strongly absorbing material with m = 1.5 + 0.3 A strong absorber In ﬁgure 4. This implies strong absorption. Q abs increases quickly with x at x < 1. so the peaks produced by particles of a certain diameter are compensated by minima of slightly smaller or bigger ones.5 of the previous two plots but choose for the imaginary part of the optical constant k = 0. as predicted by (3. 4.5).5. in this particular example. .3). The efﬁciency for absorption.1. interstellar dust displays a range of sizes. scattering and extinction. Absorption dominates over scattering.5i. When x → 0: • • Q abs and x are proportional. The scattering efﬁciency changes after (3. more importantly.3. when we measure the intensity of a star behind a dust cloud. Because of the strong absorption. The efﬁciencies change now very smoothly and there are no signs of ripples or waves left.

the scattering increases and soon takes over. a small reﬂectance Q ref = 1 − Q abs . The asymptotic values for x → ∞ are: g = 0. vanishes.5.7 + i 1. therefore.9. Unity is the value of Q abs of a blackbody and may thus appear to be an upper limit for any object. In this particular example of m = 1. only the concept of a blackbody is reserved to sizes much larger than the wavelength.0 which applies to amorphous carbon at a wavelength λ = 2. The presentation is different from the preceding ﬁgures as we choose for the abscissa the grain radius a.4 A metal sphere • • • • Ideally. • • Figure 4. 2 When the sphere has a size comparable or smaller than the wavelength. a metal has (at low frequencies) a purely imaginary dielectric permeability so that n k goes to inﬁnity (see (1.137. The logarithmic plots reveal the limiting behavior of small and large particles. of all the light removed. These features.1. When the sphere is big.918.2µm.1. The combination of both effects gives g = 1 . compiled in table 4. Nevertheless. are independent of the choice of m or λ. we compare efﬁciencies. the calculations are correct. the reverse is not true.5. . close to the Babinet limit of two. 4.4 illustrates these items in case of large but not extreme metallicity (m = 20 + i 20).5 + i 0. as always. For small values of |mx|. The other half is scattered at the particle’s rim entirely in the forward direction. When the sphere is big.2 µm. which alone would produce g = 1.3 plots only the range up to a size parameter of ﬁve but the behavior for larger x is smooth and can be qualitatively extrapolated. very reﬂective and Q abs tends to zero.117)). Q ext is. a very large particle (x 1) • • scatters mostly in the forward direction. Surprisingly. Q abs = 0. as deﬁned in equation (3. But as x grows. 4. so g is not far from one. Figure 4.63).5 Efﬁciency versus cross section and volume coefﬁcient In ﬁgure 4. the metallic sphere also obeys the relation Q abs Q sca .Efﬁciencies of bare spheres • 123 The asymmetry factor g of (2. the absorption efﬁciency can exceed unity. half is scattered isotropically and it alone would yield an asymmetry factor g = 0. the wavelength is kept constant at 2. and it has a large absorption efﬁciency and.1. which happens here when x > 0. therefore.863 and Q ref = 0. cross sections and volume coefﬁcients using an optical constant m = 2. which describes the mean direction of the scattered light. Although isotropic scattering implies g = 0. backward scattering dominates (g < 0).6). whereas the absorption stays at some low level. and not the size parameter x. A metallic sphere is.

one may assume the Rayleigh limit to be valid at all wavelengths greater than 10 µm. Table 4.1. cross section and mass or volume coefﬁcient on the radius.124 Case studies of Mie calculus Figure 4. irrespective of the size distribution of the particles. The asymptotic dependence of efﬁciciency. Q abs ∝ λ−1 and Q sca ∝ λ−4 . Note that g becomes negative. Scattering is.19).4).5. of a spherical grain.3) and (3.4. 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 4.3 but now for a metal for which n and k are large and equal.1. As interstellar dust has typical sizes of 0.1 Spheres of small radii • • • The efﬁciencies depend on wavelength as given by (3. therefore. a. . Same as ﬁgure 4. negligible relative to absorption.1 µm. The situation applies approximately to amorphous carbon at millimeter wavelengths (see ﬁgure 7. abs The mass absorption coefﬁcient K λ is proportional to the grain volume V . If m is constant.

Although the scattering process is identical in all subvolumes of a grain. . the middle one the cross section per grain C = πa 2 Q.5. The optical constant m = 2. wavelength λ = 2. the net effect is not linear but proportional to the square of the grain volume because of interference of the scattered waves.0.2 µm. The top frame gives the absorption and scattering efﬁciency Q.7 + i1.Efﬁciencies of bare spheres 125 Figure 4. and the bottom one the volume coefﬁcient K referring to 1 cm3 of grain volume. • sca The mass scattering coefﬁcient K λ follows V 2 .

the transmitted light becomes redder. proportional to the volume V of a single scatterer (one H2 O molecule or one water droplet). Because Q sca ∝ λ−4 and λblue < λred . As preferentially blue light is removed in scattering. decrease inversely proportional to the radius.126 • Case studies of Mie calculus The emission coefﬁcient λ abs = K λ Bλ (Tdust) also depends linearly on the grain volume. If there were no atmosphere.19)). 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. Provided the infrared photons are not trapped in the cloud. Sun and planets. The size of the water droplets is then still .1)).5. The scattered light is polarized and maximum polarization occurs 90◦ away from the Sun (see (3. the sky is painted blue. However. increase without bounds proportional to the projected area of the grain. 4. although the H2 O molecules were there before. Bλ (Tdust ) is the Planck function at the dust temperature (see (8. The reason that they become visible when they cluster into droplets is the following: The mass scattering coefﬁcient K sca is. a condition that is usually fulﬁlled. These may arise from industrial exhausts. Q. During the phase transition from gas to liquid. C.6 The atmosphere of the Earth The atmosphere of the Earth presents another instructive example.1. it would appear black. except for the stars. and not as vapor. An additional requirement is that the air molecules are randomly moving. We can also explain why we see the water in the air only when it has liqueﬁed into clouds. a sand storm or a volcano eruption. reach a ﬁnite value with Q ext = Q abs + Q sca = 2. the observed ﬂux is directly proportional to the total dust volume. The dependence of absorption on λ is less steep than for scattering but qualitatively similar (Q abs ∝ λ−1 ) and also results in reddening. The cross sections per grain.1. This seems puzzling because upon condensation the water molecules do not drastically change their properties as radiating oscillators. as otherwise interference would cancel out the intensity except in the forward direction. V grows by a factor of ∼ 1010. or at night time 90◦ away from the moon.2 Spheres of large radii The efﬁciencies. according to table 4. the tiny air molecules scatter the sunlight towards us. But this does not explain the occasional romantic sunsets. K . The mass or volume coefﬁcients.1. More relevant for the reddening towards the horizon is the removal of blue light through absorption by tiny solid particles. 4. We can now understand why the daylight sky is blue.

The change in m relative to the non-dissipative sphere shown on the . although g = 0. scattering becomes very forward and for a grain diameter just equal to the wavelength (x 3). almost all light goes into a forward cone. Diagrams of the intensity distribution of scattered light for three sizes for parameter x and two optical constants m.5. its value in any other direction is given by the distance between the frame center and the contour line. Note that the scattering is not isotropic. Each diagram is normalized in such a way that the intensity equals one in the forward direction (θ = 0).2.2 Scattering by bare spheres 4. the left frame refers to a non-dissipative sphere with m = 1. smaller than the wavelength of visible light so that the dipoles in the droplet swing in phase.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. Light enters from the left and the grain is at the position (0.63) and visualized in ﬁgure 4. The curve labeled x = 0. 0).6. The pattern is sensitive to the size parameter x = 2πa/λ.6.Scattering by bare spheres 127 Figure 4. we are dealing with a reﬂective material.2. In the right frame where m = 10 + i 10. In these examples.1 The scattering diagram The pattern of how the intensity of scattered light changes with angle is described by the phase function of (2. 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. When x ≥ 1. All contours are mirror-symmetric with respect to the horizontal arrows. 4. see also table 4.

x = 2πa/λ 0. shape and optical constant of the particle. When one measures the linear polarization of scattered light at various locations around the exciting star of a reﬂection nebula.77)). asymmetry factor and back scatter for spheres whose scattering diagram is displayed in ﬁgure 4. 4.04 × 10−5 0.5 10 + i10 10 + i10 10 + i10 Q sca 2. • The polarization curve p(θ ) of tiny and weakly absorbing spheres (x = 0.01. although curious tiny rear lobes appear. at x = 1.0 × 10−8 3. Tiny metallic particles (x = 0.15 3.19 0. The behavior of p(θ ) at intermediate sizes (x = 3) is more complicated in both materials. They display the basic features.05 2.2 The polarization of scattered light For the same optical constants and size parameters as previously.2.53 4.31 × 10−9 2. dashes in ﬁgure 4. ﬁgures 4.08 Asymmetry factor g 1.75)) and the direction of polarization with respect to the scattering plane changes from perpendicular to parallel or back. k 1. For weak absorbers.7 and 4.01 1 3 m 1. Here the matrix element S12 switches sign (see (2. at the intermediate value x = 1. The polarization changes sign and there are several maxima and minima of varying height. p(θ ) hardly changes as x grows from 0.7) is symmetric around 90◦ and has the shape of a bell.11). the observed values • • . p vanishes at three intermediate angles.451 Q back 3.111 0. m = 10 + i 10.01.42 2. we now have preferential backscatter and the asymmetry factor is negative (g = −0. Scattering efﬁciency.6. ﬁgure 4. However. although the details are sensitive to size. whereas in the left-hand panel.5 1.01 up to 1.01 1 3 0.98 × 10−5 0.31 0.67 × 10−8 2. the polarization p(θ ) is no longer symmetric and attains a maximum value of only 78%. the scattering is mainly forward. The scattering plane is deﬁned by the unit vectors in the direction from where the light is coming and where it is going.2.5 1. There is also not much difference for x = 3.8 depict the degree of linear polarization p of light scattered by a sphere (see (2. The polarization is 100% at a scattering angle of 90◦ .8) have the same pattern as tiny dielectrics but at x = 1.128 Case studies of Mie calculus Table 4.5 × 10−9 0. 01. In our examples.20 0.42 left does not affect the curve x = 0.73 1.

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 + i10.5 + i0. 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. .7. The dotted line depicts a very large sphere (x = 1000) with some slight contamination (m = 1.5.Scattering by bare spheres 129 Figure 4. the polarization at certain scattering angles goes through zero and becomes negative. For intermediate sizes (x = 3).8.003). the polarization vector ﬂips. Figure 4.

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

But at positions a few arcseconds off.5 g cm−3 . Of .10 for a scattering angle θ = 90◦ . 10−5 and 3 × 10−5 cm (i. therefore. 0. where we replace Ä(θ.2) as otherwise multiple scattering would lead to depolarization.03. consisting of Nd = 3/4πa 3 ρd identical spherical grains of radius a and density ρd = 2. roughly S11 ∝ (a/λ)6 . 16π 3 ρd D 2 a 3 (4. which is illuminated by a ﬂux F0λ from a nearby star.63). Some of the radiation is scattered under an angle cos θ towards the observer who is at a distance D. the matrix element S11 (cos θ ) is very sensitive to both grain size and wavelength.1) for right angle scattering (cos θ = 0). scattering occurs at right angles and the light becomes strongly polarized.1) The expression (λ2 /a 3 )S11 (cos θ ) is delineated in ﬁgure 4.3 The intensity of scattered light in a reﬂection nebula To evaluate the intensity of scattered light. The ﬂux Fλ that he receives is found from formula (2. In the infrared where a λ. The 10 µm feature of silicates is discernible.19. a = 0. 4. determines the intensity of the scattered infrared light. Fλ = F0λ λ2 3 · S11 (cos θ ).3 µm). Optical constants from ﬁgure 7.Scattering by bare spheres 131 Figure 4. The term (λ2 /a 3 )S11 (cos θ) in equation (4.10.1.e. Note that S106 must be optically thin to scattering in the K -band (see table 7.1). and the ensuing degree of linear polarization is small.2. It is computed as a function of wavelength for silicate and carbon grains with radii a = 3 × 10−6 . 0. The size of the largest grains. we consider 1 g of dust in interstellar space. φ) by the element S11 of equation (2.

with a gas-to-dust mass ratio of 150 and accounting for 10% of helium. As an exercise. we neglect that the distance of the scattering dust to the star changes along the line of sight.1 mag. its visual ﬂux at a distance r = 0. Only the appearance of two more boundary conditions at the interface between the two dust materials is new. 4. Such particles may be approximated by two concentric spheres.33 + 0.10 may only be used if θ is not too far from 90◦ .1 mag corresponds after (7.5 mag arcsec−2 . The relevance of calculating coated particles stems from the observational fact that grains in cold clouds acquire ice mantles. An extinction of 0. Elongated grains.10 at a wavelength of 0. isotropic scattering at infrared wavelengths is not a bad assumption.03i ). we ﬁnd a surface brightness in the nebula at V of 18. scatter more efﬁciently than spheres of the same volume. Then we read off from ﬁgure 4. In the ultraviolet. a dust mass of 7. The left box in ﬁgure 4. For spheres.03i .7 + i .1 pc is F0.V = 9. only of mantle material (m = 1.2. If the star is approximated by a blackbody.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. We calculate this quantity at a projected distance from the star of r = 0. For a rough estimate. we plot Q abs for coated spheres as a function of acore r= . the shape of the particle also plays some role. we apply ﬁgure 4.23) to a hydrogen column density NH = 2 × 1020 cm−2 .3 Coated spheres The mathematical formalism of Mie theory presented in section 2.3 can readily be extended to coated spheres.1 pc assuming that the extinction along the line of sight through the nebula equals AV = 0. atot For r = 0. With the factor wλ = 3640 to convert Jy into that (λ2 /a 3 ) × S11 magnitudes from table 7.0 × 1026 g in a column with a cross section of 1 arcsec2 .11 shows the absorption efﬁciency Q abs as a function of size parameter x for homogeneous particles with optical constants m = 2.132 Case studies of Mie calculus course.33 + 0.55 µm for right angle scattering 8 × 105 . This gives. In the right box. even of arbitrary orientation. So the total grain radius is atot = acore + d. Let the particles have radii a = 10−5 cm. for r = 1. the dependence of S11 (cos θ ) on the scattering angle is complicated and the curves in ﬁgure 4.7 + i and m = 1. The four curves represent .80 × 10−15 erg s−1 cm−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. the grain consists only of core matter with m = 2.

The right frame shows the absorption efﬁciency of a coated sphere. we expect a large value for Q ext at a wavelength where ε+2 0.4.4 Surface modes in small grains 4.03i is applicable to dirty ice at the same wavelength.Surface modes in small grains 133 Figure 4. the extinction cross section may be large without an accompanying feature in the bulk matter. 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. the reason is generally a resonance in the grain material.7+i is representative of amorphous carbon at λ = 2. an extinction peak.2 µm and m = 1. Dotted vertical lines for reference to right box. For easy comparison. these values are also indicated by dotted lines in the left frame.3) proportional to ε2 /|ε + 2|2 . this happens when the real part n of the optical constant is close to zero and k 2 ≈ 2. .0. size parameters x = 2πatot/λ of the total sphere between 0.1 Small graphite spheres When grains display.33 + 0. in the case of grains which are small compared with the wavelength. at some wavelength. x denotes the size parameter of the total grain.11. The optical constant m = 2. The phenomenon bears the name surface mode. As the extinction efﬁciency is in the Rayleigh limit after (3. Because ε = m 2 . The left frame gives the absorption efﬁciency as a function of size parameter for homogeneous spheres. However. 4.5 and 8.

12 illustrates how the peak in Q ext drifts towards smaller wavelengths (greater λ−1 ) with decreasing radius a.13 illustrates the interplay between ε and Q ext in a surface mode for a dielectric consisting of identical harmonic oscillators. They are shown in the upper right frame of ﬁgure 4. it moves ˚ ˚ from 2280 to 2060 A as the radius shrinks from 300 to 30 A. of course.4.12 shows ε⊥ = ε1 + i ε2 and the resulting extinction efﬁciency for spheres of different sizes.0. however. necessary for the appearance of a surface mode in spheres.4. The upper left box of ﬁgure 4. We wish to make two points: .8). 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. There is no further shift for still smaller particles. The left-hand side of ﬁgure 4. The variation of ε is. only at a higher frequency. only the resonance is here sharper (γ = 0.or z-axis. there is no wavelength where the condition of small ε+2 is approximately fulﬁlled ˚ (see ﬁgure 7. via the shape factor L x . The form of the particle therefore inﬂuences.19) but graphite around 2200 A is a candidate. similar to ﬁgure 1.05). 4. In astronomical observations of the extinction curve.0.3 Metals versus dielectrics Figure 4.2 Ellipsoids From comparison of the electric polarizability for spherical and ellipsoidal particles (see (3. the dielectric constant is then denoted by ε⊥ . 4. For the Rayleigh approximation to be valid. must for ellipsoids be replaced by 1 + L x (ε − 1) 0 or similar expressions for the y.12. But the position of the resonance contains further information on grain size.2. the strength of the surface mode as well as its center wavelength. the particles must have diameters ˚ of 100 A or less. Q ˚ ˚ particles (a ≤ 300 A) clearly display a resonance around 2200 A. K ext . Small effect of the surface mode. it follows that the condition ε + 2 0. amorphous carbon and silicate.9) and (3. We see that a surface mode cannot happen far from a resonance in the bulk material and if it does.134 Case studies of Mie calculus For the major components of interstellar dust. The wavelength ˚ interval stretches from 1670 to 3330 A or from 6 to 3 µm−1 .39)). 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 relevant quantities are. which is absent ˚ in the bulk material because particles with a radius greater than 1000 A do not show it. The graphite surface mode is invoked to explain the strong feature around ˚ 2200 A in the interstellar extinction curve (ﬁgure 7. 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.

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

2 for a damping constant γ = 0. The dotted curve of |ε +2|2 is not always within the box. 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 . Figure 4. The grain radius a is determined by the condition that the size parameter equals x = ωa/c = 0. The dielectric permeability ε of the grain material in the ﬁgure is that of an harmonic oscillator (see (1.13. where the denominator |ε + 2| in (3. When the resonance frequency ω0 and the damping constant γ are measured in units of the plasma frequency. The peak in the absorption efﬁciency is due to a surface mode.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. When the grains are large. When the grain is much smaller than . We plotted ε in ﬁgure 1. because Q ext attains its maximum. one can discern some correspondence between Q ext and the imaginary part ε2 . For better visibility. At intermediate sizes.05. For small spheres.2). ω0 = 1 and γ = 0.3).77)).2ω0 and a plasma frequency ωp = ω0 .5.5 Efﬁciencies of idealized dielectrics and metals 4. Q ext is basically constant over the resonance and does not seem to depend on ε at all. Q ext is magniﬁed by a factor of 10. 4.77).136 Case studies of Mie calculus Figure 4.2ω0 .3) has its minimum. as in ﬁgure 1. the absorption efﬁcieny Q ext can be calculated from the Rayleigh limit (3.05 at the frequency ω0 .15 shows the extinction efﬁciency Q ext when there is a broad resonance in the bulk material (γ = 0.

05ωp . The curve in ﬁgure 4. all charges move synchronously in the electromagnetic ﬁeld. size parameter x = ωp a/c = 2πa/λ = 0. as already discussed in ﬁgure 4.3) for the .16 labeled big grains (radius a = 10c/ω0) demonstrates that when there is a resonance in the bulk material at some frequency ω0 . the corresponding signature in the emission or absorption of the grain gets lost if the particle is very large.05.123): γ = 0. this is not so.14. For example. However. this will be discussed in section 8. The latter states that Q ext → 2 for a/λ → ∞ if the dielectric permeability is kept constant.13. Figure 4. As ﬁgure 4. However. whereas here ε becomes smaller and smaller as the frequency rises. the wavelength.3. Another way to swamp a resonance is by high optical depth.78) into the Rayleigh approximation (3. there is no conﬂict with Babinet’s theorem.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. When we insert the low-frequency limit of the dielectric permeability ε of an harmonic oscillator after (1. Scattering is then negligible and one would expect Q abs to mimic ε2 rather closely. One may wonder why Q ext falls and does not approach two when the particle is much bigger than the wavelength.15 but over a wider frequency range and on a logarithmic scale.Efﬁciencies of idealized dielectrics and metals 137 Figure 4. silicate grains of a size much exceeding 10 µm will not display the famous 10 µm feature.

Broken lines represent the extinction efﬁciency of spheres with the dielectric constant ε of a harmonic oscillator given in equation (1. The full curves represent ε = ε1 + iε2 .1c/ω0 small ones (x = 0.15. therefore..05 at ω0 ).2 Dielectric sphere with Debye relaxation The dielectric permeability for Debye relaxation is given by formula (1. absorption efﬁciency. Q ext is plotted for three grain radii.146).138 Case studies of Mie calculus Figure 4. 4.77). the particle is big (size parameter x = 10 at frequency ω0 ). The absorption efﬁciency Q abs is now temperature-dependent and varies with 1/T . where ω0 is the resonance frequency. we get Q abs = 48cπ 2 4 ω0 2 ωp γ 3+ 2 ωp 2 ω0 2 a . Q abs ∝ ν 2 for ν → 0. this line is enhanced for better visibility by a factor of 5.5. here with γ /ω0 = 0. When a = 10c/ω0 . λ2 (4.2 and ω0 /ωp = 1. . a. 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. the case a = c/ω0 represents medium-sized grains (x = 1 at ω0 ) and a = 0.2) The behavior at long wavelengths far away from the resonance is.

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 .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. 2 αtrel a (3 + α)2 λ2 with α = 4π N p2 3kT (4. Q abs = 48cπ 2 so again Q abs ∝ ν 2 .3 Magnetic and electric dipole absorption of small metal spheres We derived in equation (1. 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) In section 3.16. in some sense. it corresponds.15 but now on a logarithmic plot and over a broader frequency range.Efﬁciencies of idealized dielectrics and metals 139 Figure 4. The efﬁciencies of ﬁgure 4. 4. to the resonance frequency of an harmonic oscillator. For small ω. We also evaluated .15.5.

λ = 62. Barring quadrupole terms.2 the magnetic polarizability αm of small metal spheres analytically.57). which also contains electric dipole absorption. an expression formally identical to (1. The size . We assume that ε has no dielectric contribution and put (see (1. we assess the importance of magnetic dipole absorption for pure metal spheres by comparing the corresponding efﬁciency Q mag with the total Q tot . 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.17. in section 3. There is also magnetic dipole scattering but it is much weaker in the Rayleigh limit and we neglect it here. For example. We thus have all the tools to calculate the cross section due to magnetic dipole absorption. the wavelength follows from x. given the particle radius a. In ﬁgure 4.120).115)) ε=i 4πσ ω where σ is the direct-current conductivity of (1. 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 .17.8 µm for a = 10−5 cm.55).55) of Mie theory. The size parameter x = 10−2 is small and kept constant. we have Q tot = Q mag + Q el . We then calculate the total absorption efﬁciency Q tot correctly from formula (2. The dissipation rate of the latter is given by (1.140 Case studies of Mie calculus Figure 4. Therefore.

15γ c λ2 x2 (4. however. x = 2πa/λ = 10−2 . At low conductivities.26)) Q mag ∝ a 3 /λ2 • δ a (for small σ ). As m = n + i k is constant in ﬁgure 4. we use.17 for a dielectric. where the curves are ﬂat. and in the size parameter x only the grain radius changes. for ε. The optical constants n and k are then large and roughly equal. the implied frequencies ω lie between 3 × 1012 and 3 × 1014 s−1 . It applies to the low frequency limit where ε i 4πσ/ω and σ is the direct current conductivity. the penetration depth is small. Q el = • 6 48π 2 cγ a Re{a1 } = 2 x2 ωp λ2 (4. We now plot Q as a function of frequency (in units of ωp ) in the same manner as in ﬁgure 4.4. Because the size parameter is constant. the penetration depth of the magnetic ﬁeld. Obviously. Q mag does not depend on radius and is proportional to the wavelength (see (3.28)): Q mag ∝ λ−1/2 δ a (for large σ ). • • A large size favours magnetic dipole dissipation.17.17 still increase. where the curves in ﬁgure 4.Efﬁciencies of idealized dielectrics and metals 141 parameter in ﬁgure 4.21).6) . we get for the electric dipole absorption (see (3.23). We consider in ﬁgure 4. The damping constant is the only free parameter (here γ = 0. as deﬁned in equation (3.1ωp ).17 is small and kept ﬁxed. magnetic dipole absorption increases with the conductivity and it can be the dominant absorption process.4) Im{αm }. 3 λ the magnetic polarizability αm is taken from (3. • At long wavelengths.4. An equivalent formula for the Rayleigh limit of the electric dipole absorption efﬁciency Q el is not valid everywhere in ﬁgure 4. although the particle itself is small. the plotted values of Q refer to a ﬁxed frequency.3)). Therefore we can write 32π 2 a Q mag = (4.17 the Q’s for three radii in the likely range of interstellar grains. the Drude proﬁle from (1.4 Efﬁciencies for Drude proﬁles We have already computed the efﬁciency Q of a metal-like sphere in ﬁgure 4.18. 4. In ﬁgure 4.5. At high conductivities.123) and keep the grain diameter constant. being a metal.5) and for the magnetic dipole absorption Q mag = 2 8π 2 ωp a 3 6 Re{b1 } = . is large compared with the grain size and (see (3. the relevant quantity |mx| is not necessarily so.

Q el ∝ a Figure 4. repeat in ﬁgure 4.17 suggests that for graphite grains (σ = 7 × 1015 s−1 ) of sizes ∼0.1 µm.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. • Both decline at low frequencies like ν 2 .18. for the same ε.and high-frequency behavior.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.1 µm) is small enough for the Rayleigh limit to be valid for both Q mag and Q el .142 Case studies of Mie calculus Figure 4.1. depends on the polarization of the wave. We. a. as indicated. magnetic dipole absorption is important in the far infrared around 100 µm. The dotted line gives the scattering efﬁciency for a = c/ωp . We learn from ﬁgure 4. however. therefore. The permeability ε(ω) is computed from the Drude proﬁle and the particle size (a = 0. their dependence on radius is different: Q mag ∝ a 3 . which are an extreme version of elongated particles and are treated in section 10. An example is plotted in ﬁgure 4. They are plotted here on a logarithmic ordinate to demonstrate their low.20 for idealized graphite material (see previous subsection) and a cylinder radius a = 10−5 cm. The grain radius equals a = c/ωp . When the direction . note that Q sca Q ext holds only at low frequencies (ω/ωp 1).5. 4. 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 = 0.1. The right panel shows the extinction efﬁciencies for three particle radii.

123). The behavior of Q . e approaches one and the shape factor L x goes to zero. and their efﬁciency is. when the electric vector is parallel to the cylinder axis. is radically different. For L x = 0 and ω → 0. Q ⊥ is due to magnetic dipole absorption and proportional to a 3 . 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 .Efﬁciencies of idealized dielectrics and metals 143 Figure 4. To understand this behavior. As we keep stretching the cigar. we consider a spheroid with an eccentricity e close to unity so that it resembles an inﬁnitely long cylinder.2. At very low frequencies. the corresponding efﬁciency Q ⊥ is similar to that of a sphere of the same radius. Q is due to electric dipole absorption and can be computed from equation (3. In the long wavelength limit. All real cigars are ﬁnite. as displayed in ﬁgure 3. The efﬁciency does not fall with wavelength but levels off at some high value.19. we indeed ﬁnd that Q abs is constant: Q abs = 16πσ a 3c where a is the short major axis. the steep λ−2 -decline sets in only when λ is much larger than the big .40). proportional to aλ−2 .7 × 1014 s−1 ). of the electric vector is perpendicular to the cylinder axis. The permeability ε is from (1. But if the cigars are very elongated. in the long-wavelength limit. at least for ω < ωp . ωp = 6.

The permeability ε is from (1.7 × 1014 s−1 corresponding to a wavelength λp = 2. For comparison.144 Case studies of Mie calculus Figure 4. leads to a current and the ohmic losses per unit length are πa 2 σ E 2 . i. ωp = 6. So the inﬁnite cylinder is similar to a wire in which a current ﬂows. 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 . outside the observable range. however.e.123). the dotted curve presents Q abs for a sphere composed of the same metal and with the same radius. A constant ﬁeld E in the cylinder. The cylinder is purely metallic with damping constant and plasma frequency like graphite (γ = 5 × 1012 s−1 . . The absorption efﬁciency of an inﬁnitely long cylinder under normal incidence. major axis of the cigar.20.8 µm). at extremely long wavelengths.

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

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

Boltzmann statistics There are two additional and obvious requirements: • The total number of particles N should be constant and equal to n 147 Ni . When we deﬁne. (5. In this sum. 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 = 0.3 Partition function and population of energy cells We have found Ni /N but we still have to determine β. Ni ln . Z= j g j e−β E j equations (5.1).3) and (5. Exploiting Ni = N eliminates α and gives the fractional population Ni = N j gi e−β Ei g j e−β E j . If we denote them by α and β.1.4) The maximum of f . can be found using the method of Lagrangian multiplicators. (5. Ni = gi eα−1 e−β Ei .5). all brackets must vanish.5) 5.5) yield ln = − Ni =− Ni ln gi − β E i − ln Z N = β E + N ln Z − Ni ln gi . So for every i . subject to the conditions expressed by the auxiliary functions φ and ψ. • 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. in (5. φ= i=1 Ni − N = 0.

Ni = N gi e−Ei / kT gi e−Ei / kT = Z g j e−E j / kT (5.8) and the abundance ratio of two levels i and j .51)). T This allows us to express the multiplicator β in terms of the temperature.3. ∂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 . which depends only on temperature. S = k ln . important deviations from the mean never occur. practically.7) This is called the partition function. Because at constant volume V . Nj g j −(E j −Ei )/kT = e .9) Although the population numbers are statistical averages. therefore. 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 .6) The expression Z introduced above now becomes Z (T ) = j g j e−E j / kT . (5.148 Particle statistics We now plug in some thermodynamics from section 5. . kT (5. dS = d E + P dV . Ni gi (5.1). The entropy S of the system equals the Boltzmann constant multiplied by the logarithm of the thermodynamic probability of (5. The fractional abundance of atoms with energy E i is. they are extremely precise and.

10) We can also easily compute the mean oscillator energy E .1. At low temperatures ( ω kT ). For atoms with internal energy levels E i . We compute the partition function of a system of N quantized identical harmonic oscillators in equilibrium at temperature T . 1 ∂Z ∂ ln Z e−β Ei =− =− .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 (5.11) kT ). E = kT. . .25)). 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 . e− 2 β ω . the statistical weight gi denotes then the degeneracy of the level. ∞ Z (T ) = i=0 e−β Ei = e− 2 β 1 ω ∞ i=0 e−iβ ω . . the average is E = Ni E i = N Ei Ni = N Ei ω ).Boltzmann statistics 5. 2. With β −1 = kT . If Ni oscillators have an energy E i .36)). we get the classical result that the sum of At high temperatures ( ω potential plus kinetic energy of an oscillator equals kT . equations (5. We substitute in this . E i = (i + 1 ) ω for i = 0. the average E is close to the zero point energy.26) and (5.1. The energy levels are nondegenerate (gi = 1) and equidistant. 1. therefore. Z (T ) = 1 − e−β ω 1 smaller (5. (5.4 The mean energy of harmonic oscillators 149 With some reinterpretation.9) are also valid in quantum mechanics (more general forms are given by (5. E = ( 1 + e− ω/ kT ) ω. ω The last sum is an inﬁnite series where each term is a factor e−β than the preceding one. 2 5. (see 2 (6.7)–(5.8).

we obtain the momentum distribution. 2 (5. 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). vp = • 2kT . v = 8kT . vp .16) . vx + dvx ] is given. N(vx ) includes all particles with any velocity in the y. . x y For the size of an energy cell.29) in appendix A associated with the bell-curve. m (5. the sum over all g need not be one. N.13)) because near zero velocity. we exploit the integrals (A. it is the relative not the absolute value of the statistical weight g that matters.27)–(A.1) which states that if there are N gas atoms altogether.e.14) N(vx ) is symmetric about vx = 0 and has its maximum there (contrary to N(v) in (5. therefore. • The most probable velocity. πm (5.14) by integrating from −∞ to ∞. p2 /2m. When we replace the sum in the partition function Z (T ) of (5. follows from (5. we take g = 4π p2 d p.8).150 Particle statistics formula for E i the kinetic energy of an atom. To compute them. . The total number of atoms.. except for a normalizing constant. 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 .7) by an integral. N(vx ) dvx = N m 2πkT 1/2 e−mvx /2kT dvx .or z-direction. by the 2 Boltzmann factor e−mvx /2kT . i. the number of those whose absolute velocities are in the range v . the number of atoms with velocities in the interval [vx . (5.12) In the ratio Ni /N of (5. There are three kinds of averages of the absolute velocity v. v + dv equals N(v) dv = N4πv 2 with 0 ∞ m 2πkT 3/2 e−mv 2 /2kT dv (5.13) N(v) dv = N. for the statistical weight.15) The mean velocity v is relevant for calculating collision rates. In any arbitrary direction x.

15)–(5.2. we divided the energy or momentum space into arbitrarily small cells.1. In quantum statistics. The ordinate gives the probability density N(v) after (5. we form cells of size d = V · 4π p2 d p .13) with respect to one atom (N = 1). (5. The vertical dotted lines show from left to right the means vp . which consists of coordinates and momenta. vp < v < v2 .1 The unit cell h3 of the phase space In deriving the energy distribution for an ensemble of particles after Boltzmann.17). (5. The Maxwellian velocity distribution for hydrogen atoms at 100 K.2 Quantum statistics 5. one divides the phase space. v and v 2 according to (5. The real coordinate space was not considered.Quantum statistics 151 Figure 5. • 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 .18) 5.1). into cells. If V is the volume and p the momentum.17) v2 = m The averages are ordered (see also ﬁgure 5.

position q and momentum p of a particle can only be determined to an accuracy p and q such that p· q ² .152 Particle statistics where 4π p2d p is the volume of a shell in momentum space with radius p and thickness d p. (5.31)) is called the statistical weight (see also (5. then one speaks of a symmetric wavefunction. two photons or two electrons. Therefore. are otherwise identical. The situation is formally almost identical to standing waves in a crystal. The quantity g (named d Z in (8.19) h3 The eigenfrequencies are the only allowed states in which a particle can exist and correspond to standing waves. The total energy of the system is then n E= i=1 Ei . Let particle i have the coordinate x i .4. So after they have been swapped. which would correspond to a unit cell of size zero. all of one kind and not interacting. x 2 . particles in a box of volume V can only have discrete momenta. ﬁt into the phase space element d . To determine the state of a particle with non-zero spin. Let (x 1 . The wavelength of a particle is related to its momentum (after de Broglie) by p = h/λ. or is transferred into − . . . the particles are indistinguishable. traveling at the speed of light. This means that when we swap their positions in phase space.12)). each of size h 3 . In quantum mechanics. g= 5. particles are represented by their wavefunctions. not just photons. either itself is not altered.2 Bosons and fermions Particles are described by their position in phase space. We may. the number of quantum states of an electron (spin 1 ) is twice the value given in (5. x n ) denote the wavefunction of a system of n particles. one needs. the spin direction. According to the uncertainty principle. exploit equation (8. . Any two particles of the same kind. . The same is true for 2 photons (spin 1) which. which we treat in section 8. therefore. Because of the wave character. Note that classically the number of possible (physically different) states is unlimited. This relation results from the wave character possessed by all particles. It states how many unit cells. besides place and momentum. Their identity then implies that | |2 stays the same when any two of the particles are interchanged. then the wavefunction is called anti-symmetric.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 . nothing changes physically. otherwise they would be destroyed by interference.2. for example. also have two (not three) spin directions. the wavefunction ψi and the energy E i . .19).

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

there are (gi + Ni − 1)! (5. . g1 . i. In this sequence. . . As permuting the atoms or unit cells does not result in a new quantum state of the subsystem d . a Ni . ...2. and so forth. Therefore the total number of mathematically different sequences is gi (gi + Ni − 1)!. A particular distribution of the system is completely determined by specifying for each cell d its population Ni . through the three sets of values gi = N1 . a3 are in Z 1 . only (gi + Ni − 1)! gi (gi + Ni − 1)! = Ni !gi ! Ni !(gi − 1)! of the sequences are physically different. one particular distribution is given. Each cell contains Ni particles of energy Ei = and comprises V 4π pi2 d p d = (5. . for instance. . E2 .e. . . Let us label the unit cells within d by Z 1 . gi . First. the atoms a4 . Its Ni atoms constitute a subsystem. . . Z 2 .. Z gi and the atoms by a1 . E1. . We ask in how many ways can one distribute its Ni particles over its gi unit cells (quantum states).. .154 Particle statistics 5.23) h3 h3 unit cells. . cell Z 2 is empty. when considering the total phase space. by the sequence Z 1 a1 a2 a3 Z 2 Z 3 a4 a5 Z 4 a6 Z 5 a7 ..24) pi2 2m The probability of ﬁnding this particular distribution is proportional to the number of ways W in which it can be realized. If we write behind each unit cell the atoms which it contains.1 Counting states Let us assume N identical particles of mass m in a box of volume V and with a total energy E. . In boson statistics. . g2 . .2.. . a2 .3 Bose statistics 5.25) = Ni !(gi − 1)! i . (5. All such sequences of symbols Z l and ak . Ei . the atoms a1 . a2 . because we always ﬁrst specify the cell and then the atoms it contains. . Therefore. N2 . a5 are in Z 3 . like the one here. We divide the phase into cells of size d = V 4π pi2 d p. say cell i of size d . energy E i and statistical weight gi (size).. . . start with some Z . . .3. . we consider only one cell. Ni . there is no limit as to how many atoms can be squeezed into one unit cell.

is found in the same manner as the maximum of the probability ω in (5. the α is related to the chemical potential µ by α = −µ/kT .28) becomes p2 e−α e−E/ kT .3). We only mention that 1.28) The coefﬁcient α is always positive. Following the procedure outlined in section 5.6)) Æ β= 1 . populated by dn particles.29) . we get dn = g dp V 4π p2 = α+β E .23) for the statistical weight. we drop the subscript i . this leads to ln gi + Ni = α + β Ei . i. Ni 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. Using the same thermodynamic arguments as for Boltzmann statistics gives (see (5. which is the number of particles per unit cell. When eα+β E integrand in (5. in the last formula. and insert (5. The maximum of . from dn = 4π V h3 eα+β E (5. one calls 1 dn = α+β E (5. E− i Ni E i = 0 N− i Ni = 0.1. We still have to determine the coefﬁcients α and β. which is what nature chooses.2) for Boltzmann statistics. One forms the logarithm using the ﬁrst two terms of the Stirling formula (5. write dn instead of Ni (dn is the number of particles in the phase space element V 4π p2 d p). so e−α lies between zero and one.Quantum statistics 155 ways in which the conﬁguration of (5.27) = g e −1 the occupation number. −1 α follows from the requirement that the number of particles is conserved.26) As the g unit cells are. according to this formula.24) can be achieved.2 The occupation number in Bose statistics When.3. which yields e−α = h3 N V (2πmkT )3/2 (5.e. kT p2 d p = N V. as otherwise the denominator under the integral might vanish.2. e −1 h 3 eα+β E − 1 (5.

their number is not conserved.30) The factor 2 accounts for the two possible modes of circular polarization.26) is zero and dn = g ehν/ kT − 1 = V 8πν 2 dν . Because there .31) Formula (5.32) The occupation number equals dn/g and. the average is ﬁxed and follows from integrating u ν / hν over frequency. n phot. 1 Æequil = ehν/ kT − 1 . in which photons are created and destroyed.4 Bose statistics for photons For photons. which have a momentum p = hν/c. from (5. As radiative equilibrium is established through emission and absorption processes. may be ﬁlled by an arbitrary number of atoms. c3 (5. (5. A unit volume of gas in thermodynamic equilibrium. the statistical weight is g=2 V 4πν 2 dν . there is no such constraint as N− i Ni = 0 the parameter α in (5.17) for an evaluation of the integral). c3 ehν/ kT − 1 The radiative energy density u ν now follows from u ν dν = hν dn/V . Consequently. The occupation number of photons in equilibrium is. Although we did not explicitly prescribe the total number of photons within a unit volume.156 Particle statistics and one recovers the Maxwell distribution (5. n phot = 0 ∞ uν dν = 8π hν kT hc 3 0 ∞ ex x2 dx −1 (see (A. c3 ehν/ kT − 1 (5.2.31) describes the distribution of photons in equilibrium at temperature T —the so called blackbody radiation. however. dn = N 4π p 2 d p 2 e− p /2mkT . also has a value when the photons are out of equilibrium and no temperature is deﬁned. (2πmkT )3/2 5. therefore.27). uν = ν3 8πh .13).

thus in all = i gi ! (gi − Ni )!Ni ! (5.27)) Æ = dn = eα+β1 + 1 . This gives. We again divide the phase space into cells of size d = V 4π p2 d p.Quantum statistics 157 are dn = g photons in the phase cell d . each harbouring Ni electrons.34) However. therefore. and not −1.4 and rediscover the basic equation (5. We will return to blackbody radiation in section 5. it is now +1. A unit cell is either empty or ﬁlled with one electron. there may be two particles of opposite spin per unit cell because their quantum states differ. We consider a cell d consisting of gi unit cells. (5. like electrons.26) for the number of particles dn in the phase space element V 4π p2 d p which contains g unit cells. h3 (5. the counterpart to (5.33) uν = c3 Likewise. we repeat the steps which we carried out for Bose statistics. 8πhν 3 . Æ Æ Æ Æ 5.36) and for the occupation number (cf. the occupation number may be used to specify the radiative energy density at a particular frequency. may deﬁne the intensity of radiation. with the same procedure as before.37) In the denominator. Of course. as before β = 1/kT and the parameter α follows from the condition that the total number of particles . E g (5.31) from less abstract and less strict arguments. In counting states. so the statistical weight is gi = V · 4π pi2 d p . obey Pauli’s exclusion principle. dn = g eα+β E + 1 (5.5 Fermi statistics Fermi statistics deals with particles that have an anti-symmetric wavefunction and which. which have a total energy g hν.35) different possibilities. (5.2. Now there can only be one particle per unit cell h 3 with a given spin direction. 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.

particles are indistinguishable and states are counted either after Bose as in (5.25) or after Fermi as in (5. in Bose statistics. which is also called the degeneracy parameter.35).r+1 −χ/ kT N1.r g1. In classical statistics. however. Suppose that in 1 cm3 there are Ne electrons and Nr particles of species Xr . and χ > 0 is the energy difference between the ground state of ion Xr and Xr+1 . Ni ! N In accordance with the correspondence principle.158 Particle statistics comes out correctly (cf. the atoms of any element X exist in different stages r of ionization.25) and (5. particles are distiguishable and the probability is. from (5. N1. Denoting the corresponding ion by Xr .2. there are ionizing and recombining processes symbolized by Xr ª Xr+1 + e.38) g1.38) suggests that the Saha equation can be derived from the . changes When the temperature T goes to zero. of which N1. may be positive as well as negative (from −∞ to +∞).r+1 Ne =2 e . we are in the realm of classical µ is the chemical potential. when the gas is hot and rareﬁed (see (5. The very form of (5. the quantum mechanical probabilities (5. In Fermi statistics. 5.6 Ionization equilibrium and the Saha equation In a hot gas. But now α. the occupation number discontinuously from one for energies below the Fermi limit E F to zero for E > E F (subsection 6. dn = N V.35) approach class when the Planck constant h goes to zero and the gi become very large (gi Ni ). Degeneracy is absent for large positive α.r is the statistical weight of the ground state of ionization stage r. there is not more than one particle (of the same spin) per unit cell. As in Bose statistics: α = −µ/kT where 1.4.2). In quantum statistics.r h3 (5.29)). (5. all particles are in their lowest (zero momentum) state at T = 0. The Ns of two neighboring ionization stages are related in thermodynamic equilibrium by the Saha formula (2πm e kT )3/2 g1. Æ class = N! i gi i . 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 .2).28)). and if eα+β E physics.r are in their ground state.

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

h3n2 Nn = e−En / kT .160 Particle statistics When the partition function of the neutral hydrogen atom Z = gi e−Ei / kT is −E 1 / kT . instead of energy space one considers the phase space of the system. the path of the atoms in phase space contains the full mechanical information. T ∼ 15 × 106 K).1 The ergodic hypothesis Boltzmann’s equilibrium population of the energy levels of a system was derived by determining the energetically most likely distribution. In the central region of the Sun (ρ ∼ 102 g cm−3 . 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. This happens in stellar interiors where the density is high. 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. d is less than the Bohr radius and even the ground state of hydrogen cannot exist. .5).H is equal to the number NH of all hydrogen atoms and Np Ne (2πm e kT )3/2 −χ/ kT = e . .3. For the computation of the population of energy levels in the smallest grains (see section 12.40) Note that −E n is positive and for high levels very small. 5. Ne Np (2πm e kT )3/2 (5. q f and the . . More generally. although LTE (local thermodynamic equilibrium) certainly prevails. A system of f degrees of freedom is described by the spatial coordinates q1 . their radius is r = a0 n 2 where a0 is the Bohr radius. For hydrogen. entropy and number of accessible states. then N1. . Atoms in high quantum number n are big. The formulae around the speciﬁc heat ﬁnd their application mainly in the theory of magnetic dissipation in section 11.2. 5.3 Thermodynamics This section summarizes the results of thermal and statistical physics. although the Saha equation predicts that about half of all atoms are neutral. The Saha equation goes wrong when the mean distance d between ions becomes comparable to the size 2r of an atom.1) we have to recall the deﬁnition of temperature. which is often possible and implies that approximated by its ﬁrst term g1 e almost all atoms reside in the ground state. NH h3 We can also immediately calculate the number Nn of atoms in level n under conditions of thermodynamic equilibrium.

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

is so large that even its logarithm ln is of order f . one gets ρ(E) f E f −1 /( f ω) f . the starting point is the number of accessible states with energies from [E. S = k ln .43) Of course. A + A . heat can ﬂow between them but the external parameters (like volume) are ﬁxed.e. otherwise E and E are arbitrary. so the joint energy E tot = E + E is constant. The probability of a particular microstate which actually is encountered and where the atoms are very evenly distributed must. (E) (5. 5. (5. one can easily show that δ E is irrelevant in (5. therefore. Note that ρ and rise with E f −1 .44) Let us see what these two deﬁnitions mean for a bottle of warm lemonade (system A) in an icebox (system A ).162 Particle statistics ﬁrst approximation. the number of degrees of freedom of the atoms is ∼ 1024. like the gas content in an empty bottle.42) ( f − 1)!( ω) f If the total energy E of the system is n times greater than the natural energy unit ω. E + δ E]. The two systems are in thermal contact. be equally low. 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. The number of accessible states of the whole system. If one counts the states more properly but neglects powers of E with exponents f − 2 or smaller. it determines the entropy. respectively. This. 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. is isolated (we do not have an electric icebox). The absolute temperature T is then deﬁned by ∂ ln ρ 1 1 ∂S = = . is a huge number but because f appears as an exponent. When we evaluate for something from everyday life. The total system. all accessible cells in a phase space have an equal chance of being populated. subject to the condition that subsystem A has an energy E.43).2 Deﬁnition of entropy and temperature In statistical physics. . 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. one ﬁnds E f −1 ρ(E) . k ∂E ∂E kT (5. one will never encounter such a conﬁguration. is given by the product (E) (E tot − E).3. i. or 1024. by itself. the density of states becomes proportional to n f −1 /( f − 1)!. P(E) ∝ (E) · (E tot − E). where refer to A and A . After the ergodic principle. (E) depends on the width of the energy interval δ E but because is so large.

−β E s se (5. 5. The probability P(E) is almost a δ-function. irrespective of their energy. as A is ﬁxed to state r . The constant C follows from the condition s Ps = 1 in which the sum includes all possible states s of A. starting from some arbitrary microstate. 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 (5.3. ∂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. Because E tot Er . Because of the extreme When (E) rises. the value where it is not zero determines equilibrium. on E .45) The sum in the denominator represents the partition function Z (T ). therefore. of the whole system has its maximum follows from ∂ ln P = 0.46) . Note that nothing has been said about how long it takes. ln where β = ∂ ln distribution /∂ E (E tot − Er ) = ln (E tot ) − β Er = (kT )−1 (see (5.Thermodynamics 163 (E tot − E) must fall. The energy E where P. the dependence of the number of accessible states on E. Pr = C (E tot − Er ). and obtains the canonical Pr = e−β Er . or the entropy S + S . the lemonade is cool. The heat bath has then the energy E = E tot − Er and (E tot − Er ) accessible states. To ﬁnd system A at an energy E = E eq is totally unlikely. one can develop ln around E tot. or of probability P(E) must have a very sharp maximum at some value E eq . 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. The energy of A is not ﬁxed. only the joint energy E tot of the combined system A + A . Suppose now that A is in a deﬁnite state r of energy Er .3 The canonical distribution Let a system A be in thermal contact with a much larger heat bath A of temperature T .44)). to arrive at equilibrium.

y + δy].49) ∂U ∂T dT + V ∂U ∂V dV T ∂U ∂V + p d V. y) . If U depends on temperature and volume.48) P(y) = ρ(E) 5. for example. In view of the ergodic postulate. y).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. its internal energy U is altered by the amount dU = δ Q + δ A. T (5. we then symbolically write Y = y. the energy of ten selected atoms or the integrated magnetic moment of all particles.9). y) . besides having an energy between E and E + δ E.3. U = U (T. according to the ﬁrst law of thermodynamics.3. So when V is decreased. some parameter Y may have to take up a certain precise value y. the expression is also correct when A is a microscopic system. For example. or lie in the range [y.47) Likewise the probability P can be expressed by the ratio of the densities of states. (E) (5. the probability P of ﬁnding the system in the desired conﬁguration Y = y is P(y) = (E. 5.50) . then. Formula (5. δQ = ∂U ∂T dT + V (5. and we denote their total number by (E. The parameter Y may be anything. ρ(E.1 Constraints on the system Sometimes a macroscopic system A may have to fulﬁl additional constraints.164 Particle statistics where (E) is the corresponding number of states accessible to A.46) is in agreement with the Boltzmann distribution (5. Thermal contact then just means that A can exchange energy with A . δ A is positive. V ) and dU = and because of equation (5.49). The states for which Y = y form a subclass of all accessible states. If the inﬁnitesimal work is due to a change of volume d V . (5. there is only one state for which E = E j . If A consists of just one atom with discrete energy levels E j . so (E) = 1 and one recovers the Boltzmann distribution (5. δ A = − p d V.9): As the size of system A has not entered the derivation of P(E).

• The free energy or Helmholtz potential F = U − T S.51) with δ A = − p d V . ∂2S ∂2S = ∂T ∂V ∂V ∂T we get from (5. 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 free enthalpy or Gibbs potential G = U + pV − T S. (5. α N j ) = αS(U.55) • As convenient variables one usually uses for G temperature. V. N j ) . the free energy of the system increases by F = δ A. The enthalpy H = U + pV. N j ). ∂U ∂V =T T ∂p ∂T − p.Thermodynamics 165 The second law of thermodynamics brings in the entropy S.53) • To connect a physical meaning to F. its entropy increases by dS = dU − δ A δQ = . Because d S is a full differential.56) deﬁnes the chemical potential. we note that if. pressure and number N j of atoms of the j th gas component. as in the famous Joule–Thomson experiment. (5. in which for any α S(αU. for example. V )-plane along any closed path is. αV. it is the enthalpy that stays constant. by compressing a gas. V (5.54) When one presses gas through a small hole from one vessel to another. i. G = G(T. in an isothermal reversible process. In a homogeneous phase.52) Other common thermodynamic state functions besides U and S are as follows. one applies the work δ A on a system.e. T T (5. When the heat δ Q is added reversibly to a system at temperature T . therefore. zero.51) The entropy is a state function and the integral δ Q/T in the ( p. V. (5.

N j ). For a mechanical system. Therefore. (5. the equilibrium condition for the total system A + A reads: Stot = (SA + SA ) = 0. F has then its minimum because Stot of the total system A + A is at its maximum. the free enthalpy of a system consisting of a one-component ﬂuid and its vapor (only one kind of molecules. we may drop the index A in the entropy and get U − T S − δ A = 0. . i.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 . If A is not isolated but in contact with a heat bath A . all forces Fi acting on the particles must vanish. For an isolated thermodynamic system A of constant energy U and volume V . F= (U − T S) = 0. δ A = − p V and U −T S + p V = 0. the potential φ is at its minimum and the differential φ = 0. The forces derive from a potential φ. In the case of pure compressional work.e. δ Q = T SA = U − δ A. so Fi = −∂φ/∂ x i . Note that all variables without an index refer to system A.166 Particle statistics one ﬁnds (without proof but it is not difﬁcult) G= j µj Nj. In equilibrium. the differential SA is zero under small variations of the variables (U. 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 (5.3. the entropy SA attains its maximum.5 Equilibrium conditions of the state functions Let us recall the conditions under which a system is in equilibrium. j = 1) is G = G ﬂ + G gas = µﬂ Nﬂ + µgas Ngas .58) (5.49)).57) Equation (5. As all variables here refer to system A. V. the differential of the free energy vanishes under small changes of the variables. 5. Therefore.

P(y) = e− F/ kT . P(y ) ∝ tot(y ) = e Stot(y )/ k for another value y of the parameter Y . the lower level 1 is populated by N1 and the upper level 2 by N2 atoms with N1 +N2 = N. Likewise. In an equilibrium state a. In a nearby. (5.45). the corresponding populations are N1 +1 and N2 −1. the differential of the free enthalpy G = (U + pV − T S) = 0 and G has its minimum. (2) At constant temperature and pressure ( T = p = 0). In an analagous manner as for the free energy.43)) tot (y) = e Stot(y)/ k and the probability P(y) of such states is proportional to tot (y). 1 and 2. Let system A depend on some parameter Y . . The number of accessible states where Y takes up values between y and y + δy is (see (5.9). for the population ratio of states where Y = y and Y =y. the condition F = U − T S = 0. N2 At constant temperature and volume.9): Suppose the N particles of the system possess only two levels. implies N2 /N1 = e− U/ kT .59) (3) At constant pressure ( p = 0) and constant entropy ( S = 0. H = (U + pV ) = 0 and the enthalpy has its minimum. The thermodynamic probability for the two states states is given by (5. where U is the excitation energy of level 2. we get.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 . there is no compressional work and δ A = 0. As Y varies from y to y (this need not be a small step). almost-equilibrium state b. adiabatic process). putting G = G(y) − G(y ).Thermodynamics 167 It is reassuring that the condition F = 0 is also in line with the Boltzmann equation (5. P(y ) This result follows also from the canonical distribution (5. as in (5. With F = F(y) − F(y ). a population ratio of states where the parameter Y has values y and y P(y) = e− P(y ) G/ kT . 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 ). one derives Stot = − G/T and. As the volume is constant.

(5. to another place Y where there is some ﬁeld H0. to change the magnetization by d M requires the inﬁnitesimal work δ A = H d M. Cp − Cv = T ∂p ∂T ∂V ∂T = −T P V ∂p ∂T 2 V ∂p ∂V −1 T . are deﬁned by δQ ∂U Cv = .50). H ). 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.60). P (5.16) for . where there is no magnetic ﬁeld. near a coil through which runs an electric current.7 The work done by magnetization Consider a magnetic body of unit volume in a ﬁeld H and with magnetization M.6 Speciﬁc heat of a gas The speciﬁc heat at constant pressure.3. The body is attracted by the coil and in the ﬁeld H0. using (5. U = U (T. and at constant volume.60) Cp = dT P ∂T V Let us determine Cp − Cv . say. CP . If a ﬁeld H is needed to produce in the body the magnetization M.52) and (5.3.61) It follows immediately that δ Q = Cv ∂T ∂p d p + Cp V ∂T ∂V d V.62) 5. we ﬁx the magnetization M0 (that is why it is a thought experiment). M(d H /d x) as follows from (11. The force acting on the body is.63) body H Y coil x X We move an unmagnetized body of unit volume along the x-axis from a position X. it acquires the magnetization M0 . Then we pull the body back to X but while doing so. Its internal energy depends on the temperature and on the magnetic ﬁeld. at each position. (5. This follows from the following thought experiment: (5. C V .168 Particle statistics 5. (5.

61) and (5. Therefore χad = CM χT .66) The adiabatic and isothermal (or static) susceptibility are deﬁned as χad = ∂M ∂H and S χT = ∂M ∂H .Thermodynamics 169 the potential energy of a dipole.65) T ∂T ∂M d M + CM H d H.66) by putting δ Q = 0 (S = constant). deﬁned by CH = we just have to interchange M↔p and H ↔ V.64) M In complete analogy to (5.68) T where we have exploited. So indeed δ A = H d M and. δ Q = T d S = dU − H d M. one also has χT = M/H . T (5. 5.62). 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.3. The last equality is obvious when one identiﬁes the integrals with the area under the curves M(H ) and H (M). To obtain the relations for the speciﬁc heat at constant magnetic ﬁeld H and at constant magnetization M. therefore. M (5.67) As long as magnetic saturation is excluded. CH (5. χad = − CM CH ∂T ∂H ∂M ∂T = H M CM CH ∂M ∂H (5.69) . formula (5.8 Susceptibility and speciﬁc heat of magnetic substances The previously derived formulae for CP and C V now come in handy. 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. after the second equals sign. We compute χad from (5.65). ∂U ∂T CM = H δQ dT (5.

the Planck function may be referred to wavelength and designated Bλ (T ). culminates at x max = 2.e. .4.4 Blackbody radiation 5. The two forms are related through (5.2 depicts the plot of the curve y= ex x3 −1 if T2 > T1 . for example. its unit is then erg cm−2 s−1 ster−1 cm−1 .74) Fν = π Bν (T ). Written in the frequency scale.1 The Planck function The Planck function gives the intensity of radiation in an enclosure in thermal equilibrium at temperature T . It is a universal function depending only on T and frequency ν. is approximately applicable to stellar atmospheres when T is the effective surface temperature. Bν (T ) is usually very sensitive to both temperature and frequency. The Planck function increases monotonically with temperature. at any frequency Bν (T2 ) > Bν (T1 ) Figure 5. from which one can read off the value of the Planck function for any combination (ν.822 and asymptotically approaches zero for large x.72) Bλ (T ) dλ = −Bν (T ) dν. hν c2 e kT − 1 (5. Bν (T ) = 2h ν 3 .73) In view of the exponential factor. 0) with a slope of zero. An object that emits at all frequencies with an intensity Bν (T ) is called a blackbody. Bλ (T ) = 2hc2 λ5 (e kT λ − 1) hc .71) uν = c c e kT − 1 Alternatively.170 Particle statistics 5. This expression.70) The intensity is taken per Hz and has the units erg cm−2 s−1 ster−1 Hz−1 . The emergent ﬂux Fν from a unit area of its surface into all directions of the half-sphere is (5. (5. It starts at the origin (0. Because of dν = −(c/λ2 ) dλ. Bν (T ) is related to the monochromatic radiative energy density u ν in the enclosure by 4π 8πh ν3 Bν (T ) = 3 · hν . T ) of frequency and temperature. i. (5.

kT • With respect to dust emission. x 1 and Bν (T ) → 2hν 3 − hν e kT .2.4.2 Low.76) As the photon energy hν is much smaller than the thermal energy kT of an oscillator. c2 (5. c2 (5. Wien’s limit is never appropriate.75) hν .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 . The universal shape of the Planck function. x= • In the Wien limit. one can expand the Planck function into powers of x and enter the realm of classical physics where the Planck constant h . where wavelengths are typically between 1 µm and 1 mm and temperatures from 10 to 2000 K. 5. one has to multiply the ordinate y by the factor (2k 3 / h 2 c2 )T 3 to get Bν (T ). As the abscissa x is here in the unit hν/kT . In the Rayleigh–Jeans limit. x 1 and Bν (T ) → 2ν 2 kT.Blackbody radiation 171 Figure 5.

Integrating the Planck function over frequency. For K ν ∝ ν 2 . The dependence of Bν (T ) on frequency and temperature is then no longer exponential. which refers to the wavelength scale.44 λT (λ in cm) 5. 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. 1. the same for Fλ and Fν . is a factor 1.4.78) Note that λmax from (5. we obtain (see (A.77).3 Wien’s displacement law and the Stefan–Boltzmann law In the wavelength scale.70 × 10−11 Hz−1 K.77) In the frequency scale. one ﬁnds λmax T = 0. one must check whether x= is really small compared to 1. The total energy per s over a certain spectral interval is. Therefore λmax T = 0. However. so the λmax of radiating dust is shifted to shorter wavelengths with respect to a blackbody emitter of the same temperature. the displacement law determines the temperature of a blackbody.172 Particle statistics vanishes. The wavelength where the ﬂux from a blackbody peaks depends thus on whether one measures the ﬂux per Hz (Fν ) or per cm (Fλ ). maximum emission is determined by ∂ Bν /∂ν = 0 and occurs at νmax for which T νmax = 1. Maximum emission follows now from ∂(ν m Bν )/∂ν = 0.1) for the correct expression) if the emission is optically thin and the absorption coefﬁcient has a power-law dependence K ν ∝ ν m . the Planck function Bλ (T ) reaches its maximum at λmax given by ∂ Bλ /∂λ = 0. (5. of course. The term ν m Bν (T ) is sometimes called the modiﬁed Planck function. When λmax is known.76 smaller than the corresponding wavelength c/νmax from (5. and sometimes also applicable to dust emission.78).17)) B(T ) = 0 ∞ Bν (T ) dν = σ 4 T π (5.289 cm K.206 cm K. If one wants to detect a blackbody with an instrument that has a sensitivity curve Sν . (5. The Rayleigh–Jeans approximation is always good for centimeter radio astronomy.79) . one usually tries to maximize Sν Bν (T ) dν.

108).84) 5. we obtain γE = 4π I (ω)σ (ω) dω = 4π I (ω0 ) σ (ω) dω = 4π I (ω0 ) I (ν) = 2ν 2 E. mec 0 0 (5.4. For the total radiative energy density u. it loses energy through emission at a rate ˙ −E = γ E (5. (5.67 × 10−5 erg cm−2 s−1 K−4 (5. 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. we ﬁnd for its bolometric luminosity: 2 4 (5. 3c2 (5.87) ∞ ∞ . it must pick up the same energy from the radiation in the enclosure. Because the resonance curve is 2 very narrow. remembering that I (ω) = I (ν)/2π.86) The cross section σ (ω) is taken from (1.Blackbody radiation where 173 2π 5 k 4 = 5.100). If we denote the radiative intensity by I (ω). The integrated absorption cross section is from (1.83) 4σ = 7.74)): σ = F= Fν dν = σ T 4 . 2π 2 e2 . derive it once more by representing the atoms as harmonic oscillators. we get u= with constant a= u ν dν = aT 4 (5.80) 15c2h 3 is the radiation constant. We. According to (1. we wish to understand it well. When we substitute for γ the radiative damping constant from (1. In equilibrium.4 The Planck function and harmonic oscillators Because the Planck function is fundamental for the emission processes of dust and molecules. we can take 4πω0 I (ω0 ) out from under the integral. Consider a harmonic oscillator in an enclosure in thermal equilibrium with its surroundings. therefore. and drop the subscript 0 in the frequency.71).56 × 10−15 erg cm−3 K−4 .106).82) L ∗ = 4πσ R∗ T∗ .81) Applying this to a star of radius R∗ and effective temperature T∗ . c (5.85) where γ is the damping constant.

.76) which is valid for blackbody radiation at low frequencies. not just one.e. potential plus kinetic energy.11).83). in agreement with the Stefan– Boltzmann law in (5. we get the equation ∂2S 1 du 4 d = = ∂T ∂V T dT 3 dT u T = ∂2S .86). E = kT is the average total energy per degree of freedom. We obtain the correct Planck function if we assume equally spaced energy states E i = i hν with i = 0. . does one obtain the classical result. for which the average E per degree of freedom is not kT but. c2 This formula. In the classical picture. u(T ) ∝ T 4 . the integration extends over the solid angle 4π implying that the oscillators absorb radiation from all directions. . Because dU = u d V + V du. one recovers the Rayleigh–Jeans formula of (5. T T As d S is a full differential. fails at photon energies hν comparable to or larger than kT because the intensity would rise inﬁnitely with frequency. Something is wrong with the classical ideas. Inserting E = 3 E = 3kT into (5. 2. E = kT x ex − 1 x= hν . i. Only when 1. however. from (5.86) still holds in quantum mechanics but we have neglected that light comes in packages (photons). The oscillators must therefore be able to move freely and have three degrees of freedom. Iν (T ) = 2ν 2 kT.87). The cross section σ (ω) in (5.174 Particle statistics In (5. 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 = . . A gas of volume V and internal energy U (T ) = u(T )V has the gas pressure P = u/3. 1. we obtain a function that is proportional to the fourth power of the temperature. It is also enlightening to apply the ﬁrst principles of thermodynamics to a photon gas in equilibrium. . ∂V ∂T Solving for the energy density u. kT The quantum mechanical mean energy E is smaller than kT .

The ﬁnal section deals with transmission and reﬂection of a free particle at a potential barrier. Photon emission is. If velocities are small (non-relativistic).1 A charged particle in an electromagnetic ﬁeld 6.1) Alternatively. It helps to understand quantitatively very diverse topics: how atoms can wander about the grain surface by way of tunneling through a potential barrier.2) . ∂qi (6. or how electronic bands appear in crystallized grains. therefore. 6. H= qi pi − L ˙ (6. using the conjugate momenta pi = one constructs the Hamiltonian.3) 175 ∂L ∂ qi ˙ (6.Chapter 6 The radiative transition probability Almost all astronomical information eventually comes from light which we detect with our telescopes. by integrating the second-order Lagrange equations d dt ∂L ∂ qi ˙ = ∂L . 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. a fundamental process and a major goal of this chapter is to explain the concept of induced and spontaneous emission.1. how electrons are energetically arranged in white dwarfs. how protons can fuse to deuteron in the interior of the Sun.1 The classical Hamiltonian ˙ Consider a system of particles with generalized coordinates qi and velocities qi .

2 c (6.1.5) (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. in . F = − grad V . φ denotes the scalar potential and A the vector potential. We now use Cartesian coordinates (x. it is a constant of motion. ∂qi (6. Moreover. c (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.6) (6. E = T + V = H (qi . 6. pi ).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. we may readily convince ourselves that equation (6.8) 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 . in our applications.4) If H does not explicitly depend on time.176 The radiative transition probability and integrates the ﬁrst-order equations qi = ˙ ∂H ∂ pi − pi = ˙ ∂H .7) As usual. 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.1) with the Lagrangian of (6.7) yields the Lorentz force 1 F=e E+ v×B . z). H equals the total energy E of the system. However.

Hwave = 6. z).9) E = H = T + eφ.1.1 The Schr¨ dinger equation o In quantum mechanics.A charged particle in an electromagnetic ﬁeld 177 the case of an electromagnetic ﬁeld. ˙ div A + φ/c = 0. therefore.5) by turning the energy E and the Hamiltonian H into operators using the standard prescription for the conversion of energy. we may regard φ as representing the static electric ﬁeld of the nucleus and.3.11) . e2 e (p · A + A · p) + A·A 2mc 2mc2 describes the perturbation of the electron by an electromagnetic wave.4) governing the motion of the particles are replaced by the Schr¨ dinger equation o ∂ ˆ =H .85). separate. V of (6. pi ) of (6. H= 2 ∂L e = mvi + Ai ∂ xi ˙ c + eφ. conjugate momentum and coordinates. x 3 ) = (x. Using the conjugate momenta pi = the Hamiltonian becomes e 1 p− A 2m c It equals the total energy E of the system. the formulae (6.10) If we think of the motion of an electron in an atom. (6. The new φ is then constant in time and refers only to the static ﬁeld. (6. This is because of the gauge condition (1.) The remaining part of the Hamiltonian. (6. ˆ (6.3 The Hamilton operator in quantum mechanics 6.1. from the Hamiltonian. the part p2 Hstat = + eφ 2m which describes the electron without an electromagnetic wave. (In fact. 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.12) ∂t This equation follows from E = H (x i .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 . i E →i ∂ ∂t pi → pi = −i ˆ ∂ ∂ xi xi → xi = xi . x 2 .13) (6. y.

1. in particular [ x i .15) (6. (6. The eigenfunction ψ(x) depends only on coordinate x.19) with expansion coefﬁcients an . = (x.178 The radiative transition probability Operators are marked by a hat on top of the letter.3. 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 . 2m e c 2m e c2 (6.11).18) The eigenfunctions ψn . (6. t) = ψ(x) e−i Et / . each to an eigenvalue E n . 6. t) contains the time merely through the factor e−i Et / which cancels out on forming the probability density | |2. the wavefunction can be written as (x. ˆ (6. . Stationary solutions correspond to ﬁxed energy eigenvalues E.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. One has to keep in mind the commutation rules. t). The time-independent Schr¨ dinger equation of a particle of o energy E in a potential V (x) follows from (6.12) depends generally on space and time. form a complete set so that an arbitrary wavefunction (x.16) This follows from (6.2 Stationary solutions of the Schr¨ dinger equation o The wavefunction in (6. t) = n an ψn (x) · e−i En t / (6.17) (x. In this case. H ] = x i H − H x i = i ˆ ˆ ˆ ˆ pi . 2 2m ψ + E − U (x) ψ = 0. t) can be expanded into a sum of ψn : (x. omitting the subscript ‘wave’.12).

2 2m ∂ x 2 2 (6. j ˆ m 6.15). 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.23) .1. with the help of equation (6. If we put ω j k = E j − E k and call µ jk = e ψ ∗ (x) x ψk (x) d V j (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).4 The dipole moment in quantum mechanics ˆ The Hamiltonian operator H is Hermitian. we get e (6. therefore. (see (6. and −κ x the restoring force (see section 1.3).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. It follows. The asterisk denotes the complex conjugate.21) ψ ∗ p ψk d x = i ω j k µ j k . The oscillator obeys the equation of motion x + ω2 x = 0 ¨ where ω2 = κ/m is the square of the frequency of oscillation.A charged particle in an electromagnetic ﬁeld 6. The total energy of the system E =T +V = 1 p2 + mω2 x 2 2m 2 and the time-independent Schr¨ dinger equation is.5 The quantized harmonic oscillator We review the solution of the time-independent Schr¨ dinger equation for the o undamped free linear harmonic oscillator.20) the dipole moment with respect to the states described by the eigenfunctions ψ j and ψk .1. m the particle mass.18)) o ∂ 2 ψn 1 + E n − mω2 x 2 ψn = 0.

x and p . 2n n! π (6. With the help of (A.180 The radiative transition probability Figure 6. 2.1. For comparison. So d x p = dt m . . For high n. ω (6.22) are equidistant: E n = (n + 1 ) ω 2 and the lowest level E0 = 1 2 n = 0. and put y = αx and λn = 2E n / ω. . 1. The energy levels E n of the harmonic oscillator in (6.24) Hn are the Hermitian polynomials described in appendix A.1 displays. the square of the eigenfunction |ψn (x)|2 for n = 3 and α 2 = 1.3) we ﬁnd that the mean position and momentum of an oscillator. . we show the corresponding probability of a classical oscillator (dots) of the same energy. Figure 6. 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 √ . 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). always disappear for any energy E n . the dotted and full curve converge. here the particle is strictly conﬁned to the allowed region.25) is above zero. as an example.

so that the Schr¨ dinger equation (6. t) = n an (t) ψn (x) e−i En t / . As the eigenfunctions are orthogonal. t) = 0.2. a ˆ . from a starting state s to a f inal state f .29) the dot over an means time derivative.27) We expand ψ after (6.28) Inserting this sum into (6.1 The perturbation energy ˆ Let us introduce. (6.2. .31) For equal subindices ( f = n).26) 6. t = 0) = ψs (x). 6. the matrix element Hnn gives the perturbation ˆ ˆ ˆ energy. For the product of the uncertainties we have x p= x2 − x 2 p2 − p 2 = En = (n + 1 ) . to a system with Hamiltonian H and energy eigenvalues E n . This means when the Hamiltonian H is replaced by H + H . Suppose that our system was at time t = 0 in state s.12) reads: o small perturbation. multiplication of (6. f (6.2 Small perturbations 6. the energy eigenvalues change from E n to E n + Hnn .Small perturbations 181 is fulﬁlled in a trivial way but x 2 and p2 do not vanish. ψ(x.2 The transition probability We consider a transition s → f .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. H ∂ ˆ ˆ H + H −i ∂t ψ(x. 2 ω (6.19) 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.30) with the matrix coefﬁcients Hfn = ˆ ψ ∗ H ψn d x. (6.27) gives e−i En t / n ˆ ˙ an H ψn − i an ψn = 0 (6.

i a f = − H f n eiω f s t .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 .36) f (ω) = (ω f s − ω)2 resembles the δ-function: it has values close to zero almost everywhere. (6. 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 . instead of H of the expansion coefﬁcient.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 . Integrated over frequency.28) vanish. The time derivative in equation (6.35) is large compared to the oscillation period. the function 1 − cos(ω f s − ω)t (6.3 Transition probability for a time-variable perturbation ˆ When the perturbation varies harmonically with time.32). ˙ (6. we have to write H e−iωt ˆ .2. If the interaction ˆ operator H is weak and the perturbation time t not too long.32) After integrating from the starting value a f (0) = 0 and assuming that H f s is not time-variable. equation (6. given in (6.29) for the perturbation operator. we can substitute in (6. ∞ 1 − cos(ω f s − ω)t dω = πt. 1 − eiω f s t i . t ω−1 . If ω f s = E f − Es is the energy difference between the two states. (ω f s − ω)2 (6. (6. except for as (0) = 1. a f . except around ω = ω f s in the small interval ω from −π/2t to π/2t.30) the an (t) by their values at t = 0. If the time t in (6.182 The radiative transition probability Then all an (0) in (6.30) yields for the time derivative of the expansion coefﬁcient a f . so an (0) = δsn where δsn is the Kronecker symbol. (6.34) 6.37) (ω f s − ω)2 −∞ .

6.The Einstein coefﬁcients A and B 183 Figure 6. (ν) dν = 1. respectively. one has almost exactly ω = ω f s . As atomic energy levels and lines are not inﬁnitely sharp but have some ﬁnite width.3.2 for t = 100. of course.3 The Einstein coefﬁcients A and B 6.2.1 Induced and spontaneous transitions 6. where.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. let Ni (ν) dν = Ni (ν) dν be the number of atoms in state i that can absorb radiation in the frequency interval [ν. 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. The probability p f s (t) in (6.1. ν + dν]. line . If one waits long enough.3.35) is not negligible and transitions from state s to state f occur only when |ω −ω f s |t ≤ π.36) and shown here for t = 100. and be bathed in a radiation ﬁeld of energy density u ν . The function f (ω) is plotted in ﬁgure 6. Let the atoms have number densities N j and Ni per cm3 .

39) If we now let the temperature tend to zero.40) which connects the A coefﬁcients with the B coefﬁcients. N j u B j i = rate of induced downward transitions and Ni u Bi j = rate of induced upward transitions.2 How A and B are related A j i . B j i (e x − 1) (6. As then also spectrum and u ν becomes arbitrarily large so that u ν B j i e x → 1.38) 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. we can derive the relations between the As and Bs. uν = A ji . 6. we are in the Rayleigh–Jeans part of the A j i . The Boltzmann formula (5. g j B j i = g i Bi j .1.3. we are in the Wien part of the spectrum and A j i −(E j −Ei )/ kT 8πhν 3 −hν/ kT e = e . 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 . we obtain hν = E j − E i . It also follows that A ji = 8πhν 3 B ji c3 (6. Setting u= line u ν (ν) dν (6. Bi j are atomic quantities and do not depend on the radiation ﬁeld. B j i . If we assume blackbody radiation (u ν = 4π Bν (T )/c) and thermodynamic equilibrium.184 The radiative transition probability Radiative transitions between level j and i may be either spontaneous or induced. . gj If we ﬁx ν and let T go to inﬁnity. B ji c3 As this equation holds for any small T . we get the symmetry relation between the Einstein-B coefﬁcients. Consequently. 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.9).

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. At an optical frequency ν = 6 × 1014 Hz.41) exactly if one puts µ = 1 p0 and ω = 2πν. and the frequency low.The Einstein coefﬁcients A and B 6. A j i increases with the square of the dipole moment and with the third power of the frequency.41) requires quantum electrodynamics. Now A j i ∼ 10−7 s−1 . Let x 0 be equal to the ˚ atomic radius in the ground state (0. 3c3 64π 4 ν 3 |µ j i |2 3hc3 (6.97)). If x = x 0 e−iωt is the time-variable coordinate of the electron and p0 = ex 0 its dipole moment. then A j i hν = 2 p0 ω 4 .4 × 10−18 cgs = 2.41) that.42) is the dipole moment corresponding to the transition (see (6. A rigorous derivation of formula (6. ν 1. we apply the formula: (1) to an electronic transition in the hydrogen atom. 6.4.3.3. We see from (6.3.1. (2) To the lowest rotational transition of the CO molecule. Note that 2 according to equation (6.4 Debye.1. the non-relativistic limit is discussed in section 6.5A). µ = 0.20)).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. the Einstein coefﬁcient becomes A j i ∼ 107 s−1 . the dipole moment is then µ = 2. which is 14 powers of ten smaller! 6.41). A j i is high for optical transitions and low at radio wavelengths. ψi and ψ j are the eigenfunctions of the energy states.41) This yields (6.11 Debye. To get a feeling for the numbers. The dipole moment in this case is fairly weak.4 A classical analogy The essence of formula (6. cum granu salis.5 Transition probability for general forces Equation (6.15 × 1011 Hz. ˚ corresponding to λ = 5000 A.41) may also be put in the form A ji = c 8π 3 α 3 p h 3 .1.

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) .

58) as a function of particle energy ε. 11 or 24. the right-hand side of (6. b. c = 0. those for which A = B = C = D does not equal zero.04. leads to cos ka = β 2 − α2 sinh βc · sin αb + cosh βc · cos αb. . the case when ε 4. a. a = 2.5. Energies for which | f (ε)| > 1 are forbidden.58). which is not periodic and where the walls are inﬁnite. 1] are permitted and those with | f (ε)| > 1 are forbidden. after some algebra. ε = k2 . It is calculated for the periodic potential of ﬁgure 6.3. If the length L of the well in ﬁgure 6. The quasi-sinusoidal variation of the right-hand side of equation (6. Because of the cosine term on the left-hand side of (6. we denote it by f (ε).6 for a speciﬁc set of values U. however. In a periodic potential. Figure 6. The function f (ε) is plotted in ﬁgure 6.5 with U = 100. there will be a continuous spectrum as depicted by the continuous line in ﬁgure 6. In the potential well on the left-hand side of ﬁgure 6.58) For ﬁxed values a. U of the potential in ﬁgure 6. The condition Det = 0. only energies for which f (ε) ∈ [−1.7. the energy ε rises quadratically with the wavenumber. 2αβ (6. Non-trivial solutions of this linear system of equations. This is.Potential wells and tunneling 197 Figure 6.6.58) is a function of particle energy ε only.7 is the basis for explaining why electrons in crystals are arranged in energy bands.3 is large. for instance. c. have a vanishing determinant. the function ε(k) is only aproximately quadratic and there are now jumps at integral values of |ka/π|.

b]. When the barrier U0 is inﬁnitely large. a = 2 and c = 0.59) If the barrier U0 is ﬁnite. The corresponding wavefunctions are denoted by ψ− and o ψ+ . respectively.4. ψ+ ψ− ψ1 = √ + √ 2 2 ψ+ ψ− ψ2 = √ − √ . −a] and [a.or right-hand well.4. the particle can only be in the left.198 The radiative transition probability Figure 6. The energy spectrum ε(k) of particles in a periodic potential as in ﬁgure 6.4. (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. The curve without discontinuties is explained in the text.6. where U (x) ≤ ε. and satisfy the Schr¨ dinger equation (see (6.5 calculated for U = 100. there is a certain chance of tunneling from one well to the other. 2 2 .4 The double potential well 6. 6. Classical motion is allowed in the intervals [−b.04.7.18)): ψ+ + ε − U (x) ψ+ = 0 ψ− + ε − U (x) ψ− = 0.8. The function ε(k) has discontinuties at integer values of ka/π. The particle is now not localized in either of them and its wavefunction is a symmetric and anti-symmetric combination of ψ+ and ψ− . See also ﬁgure 6.

60) by ψ+ . Likewise we such that ψ1 ﬁnd ε2 − ε. (6. 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.e.8. √ 4mν0 1 a 4mν0 2a 2mV0 ε2 − ε1 = . Exploiting ψ1 (0) = ψ+ (0). and integrate from x = 0 to x = ∞. subtract the two products.61). ψ1 (0) = 0 and assuming that the tunneling probability is small ψ+ for x > 0 gives ε1 − ε = −21/2ψ+ (0)ψ+ (0). 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. So the energy difference is determined by the wavefunction ψ+ in the √ ε − U (x) denotes the classically forbidden region at x = 0. A particle in a double potential well with a barrier U0 between the minima.59) by ψ1 and the left equation in (6. and ﬁnally get ε2 − ε1 = ψ+ (0) · ψ+ (0). we multiply the left equation in (6. If p = momentum and p0 its value at x = 0. o ψ1 + ε1 − U (x) ψ1 = 0 ψ2 + ε2 − U (x) ψ2 = 0 (6. To obtain the difference ε2 − ε1 . ν0 is the time for the particle to go from a to b and back. and. Because of tunneling.61) exp − | p| d x exp − −a . an energy level ε splits into two with a separation ε given by (6. therefore. The wavefunctions ψ1 and ψ2 also obey the Schr¨ dinger equations. i.Potential wells and tunneling 199 U(x) U0 ε −b −a a b x Figure 6.60) but with slightly different energies ε1 and ε2 .

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 .4. 6.61) into (6.62) ttun = |E 1 − E 2 | This equation expresses the uncertainty principle E · t . implies a high mobility. A broad energy band E. It reaches the left well when (t) = ψ− .62) we see that with increasing potential barrier V0 .63) ttun ν0 exp .200 The radiative transition probability The possibility that the particle can tunnel to the adjacent well leads to two wavefunctions. From (6.49)). we ﬁnd √ 2a 2mV0 −1 . the particle is then not localized anywhere. the wavefunction has the value (0) = 2ψ+ . however. ψ1 and ψ2 . (6. 2 Here we have used again E = ( 2 /2m)ε and V = (√ /2m)U (see (6. 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. Inserting the energy difference of (6. so the particle starts in the right well.4.62). Their space probabilities |ψi |2 are different. At time t = 0. the energy splitting E 2 − E 1 becomes smaller and the tunneling time longer.61) and (6. we turn to the time-dependent wavefunction (t) = ψ1 e− i E1 t + ψ2 e− i E2 t . which happens after a tunneling time π . (6.

1.1) with integral u.1. b and c such that for any two points r. therefore.5. w. b. c are said to be primitive and generate the primitive cell. The shape of the extinction curve can only be explained if the grains are not of uniform dimension but display a size distribution. Its interpretation requires a basic knowledge of stellar photometry and the reddening law.2 what holds them together.1). v.1 the way in which atoms are arranged in a solid and in section 7. We.1 The lattice and the base ˚ Interstellar grains probably contain crystalline domains of sizes 10 –100 A. A cell is a parallelepiped deﬁned by three vectors a.1 Crystal structure 7. In view of the overall cosmic abundance of elements.Chapter 7 Structure and composition of dust We study in section 7. r in the crystal whose difference can be written as r − r = ua + vb + wc (7. Equipped with a quantitative idea about size and chemical composition of interstellar dust. 7.1.3). the atoms are regularly arranged in a lattice which means that the crystal can be built up by periodic repetition of identical cells. In a crystal. This is the one with the 201 . proceed in section 7. the vectors a.1 Translational symmetry 7. we present typical and likely grain cross sections based on a reasonable set of optical constants.4 to discuss their atomic structure and bonding. 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. What kind of distribution and how it can be achieved in grain–grain collisions is sketched in section 7. the environment is exactly the same. the extinction curve rules out major dust constituents other than silicate and carbon grains.

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

. The cells of the triclinic and rhombohedral system are always primitive. The cubic system has the highest symmetry: a. There are 14 basic kinds of translation lattices (Bravais lattices) which correspond to 14 elementary cells. the lengths of the vectors a. 7.Crystal structure 203 Table 7. 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. β = 90◦ = γ = 90◦ = γ = 90◦ = 90◦ . whereas for other crystal systems. 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). primitive cells do not have a cubic shape (see the two-dimensional analog in ﬁgure 7. Altogether there are 14 lattice types or Bravais cells. tetragonal and cubic system are further split into lattice types that are either primitive or centered. body centred (bcc) or f ace centred (fcc) of which only the sc cell is primitive. this is shown in ﬁgure 7. 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◦ . furthermore. b. let ua + vb + wc be the one with the smallest integers u.1.1 Bravais cells and crystal systems In the general case. orthorhombic. it depends on direction. γ = 120◦ = γ = 90◦ = γ = 90◦ Lowest symmetry Not shown in ﬁgure 7. 5. v.1 for deﬁnition of sides and angles. The polarizability is then isotropic. Among them. There is an inﬁnite number of such vectors pointing in the same direction.1 and shown in ﬁgure 7.1.1 Not shown in ﬁgure 7. 4. 7. The plane (200) is parallel to (100) but cuts the a-axis at 1 a. The direction is then denoted by the triplet [uvw] in square brackets. When lengths or angles are equal. 040 and 002.2 Lattice types 7. b. The bcc cell is two times bigger than the primitive cell and the fcc cell four times. the direction [uvw] is always perpendicular to the plane (hkl) with h = u. 6. Lengths and angles in the unit cells of the seven crystal systems.2 shows the three lattice types of the cubic family: simple (sc). 3. For the cubic crystal system. The monoclinic. only seven of them are primitive. Figure 7. the plane (436) runs through the points 300. c are orthogonal and their lengths are equal. In the cubic system (see later).2. one obtains grids of higher symmetry.1. z are integers. or when angles have special values. k = v and l = w. y. without centring.1 Highest symmetry • For instance. See ﬁgure 7.2. a = b = c. 2.5). w. These 14 lattice types can be grouped into seven crystal systems which are described in table 7.1. like 90◦. 1. c in the conventional cell and the angles between them are arbitrary.

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

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

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)

one receives from the stars the ﬂux Fi (λ) = L(λ) 4π Di2 · e−τi (λ) i = 1. gives the color excess m(λ) − m(λ ) = −[τ1 (λ) − τ1 (λ )] E(λ. the center wavelengths of the B and V band. m at two wavelengths. 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. λ ) at 0. Ext(λ) = Aλ − AV τλ − τV E(λ. 1). At λ = 0. λ ) = which no longer contains the distance D.Reddening by interstellar grains 217 of which is reddened (star No. we can write (7.15) E B−V = (B − V ) − (B − V )0 and likewise for any other pair of wavelengths. The band symbol is also used for the apparent magnitude. V ) and called the standard color excess. V = m V or B = m B . the difference in magnitude becomes m(λ) = −τ1 (λ) − 2 ln The difference in m(λ) between the two stars D1 D2 . without dust emission along the line of sight. L(λ) and τi (λ) are the spectral luminosity and optical thickness. which includes the effect of the selective weakening by interstellar dust. one arrives at the extinction curve in its traditional form. the color excess is denoted by E B−V = E(B. The intrinsic color is denoted (B − V )0 in contrast to the observed color B − V .2. m i (λ) = ln L(λ) − τi (λ) + 2 ln Di + constant and because τ2 = 0.2 How the extinction curve is deﬁned Fixing the wavelength λ in the color excess E(λ. Obviously.3. 2. V ) = = . In the case of pure extinction. λ and λ . it is the result of absorption plus scattering but observationally one cannot separate the two. V ) by E B−V .55 µm and normalizing E(λ. . With this notation. whereas the other is not (star No. 7. for example.16) Aλ is the extinction in magnitudes at wavelength λ. Because the apparent photometric magnitude m is a logarithmic derivative of Fi (λ). 2). Ext(B) = 1 Ext(V ) = 0.55 µm.44 µm and λ = 0. E B−V AB − AV τB − τV (7.

RV . Ext(λ) of equation (7. At longer wavelengths.1 to 10 µm. The observed variations of RV range from 2.16) is.17). the dust begins to emit itself. deviations occur only in the UV.1 to well over 5. The only resonance in the extinction curve is the broad bump at 4. There is also scatter 1 ± 0. Still other forms. The visual extinction in magnitudes AV . Aλ /AJ (the J band is at 1. The extinction curve refers to broad-band observations but nevertheless it is remarkably smooth. −1 −1 ). one measures E B−V . however. containing the same information. even in the infrared. fairly uniform over all directions in the sky and RV equals 3. to ﬁrst order.17) is called the ratio of total over selective extinction or. simply. all extinction curves look alike for λ ≥ 0. for example. assumes an RV value and then uses (7.3 Remarks on the reddening curve The interstellar extinction curve (ﬁgure 7. one gets τλ Ext(λ) = +1 τV RV (7.8) is observationally determined from about 0.2. The curves are largely (but not totally) ﬁxed over the entire wavelength range by the one parameter RV of equation (7.17). which also appears in the distance modulus of (7.25 µm) or (Aλ − AJ )/(AV − AJ ).218 Structure and composition of dust The quantity RV = AV = − Ext(λ = ∞) E B−V (7.2 µm however. they can differ substantially. at shorter wavelengths. If one plots instead of Ext(λ) the ratio τλ /τV then. the optical depth is small and the extinction of background light weak. Photometric data exist only for cloud edges. To obtain AV from photometry. its width varies ( λ • • . Because K λ /K V = τλ /τV . Towards clouds.55 µm. their cores are too obscured. 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). the shape of the curve Ext(λ) varies from one source to another. The reduction in UV extinction for large RV suggests that the small grains have disappeared.18) τλ /τV and Ext(λ) are mathematically equivalent.6 µm−1 ˚ or 2175 A which is always well ﬁt by a Drude proﬁle. the larger values being found towards molecular. the smaller ones toward high latitude clouds. at optical and infrared wavelengths. It is not a directly observable quantity. The reddening curve displays the following salient features: • • In the diffuse interstellar medium.1. One can also express the reddening by dust through the mass extinction coefﬁcient K λ normalized at the V band.13). are sometimes more suitable for displaying certain trends. is the most common quantity to characterize the opaqueness of a cloud.3. 7. moreover.

we show in ﬁgure 7.32 mag.9 reﬂects the variation of this supression (called the Balmer decrement) with effective temperature. the ratio τλ /τV ﬁrst declines and here the light is made bluer(!). At higher spectral resolution. say. mainly 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.6).9 µm. There are altogether more than a hundred. the slope and length of the arrow would be different . A plausible explanation is coagulation of dust particles in clouds as a result of which the small grains disappear. So compared to a blackbody of the same color B–V. one could subtract scattering from extinction to obtain a pure absorption curve. Beyond 2175 A. It is correlated with RV in the sense that the resonance is weak in clouds where RV is large.1) shifts any star in the UBV diagram from the main sequence in the direction parallel to the arrow of ﬁgure 7. This should happen several times during their lifetime as they pass from dense into diffuse medium and back. This would provide a touchstone for any dust model. it corresponds to AV = 5 mag. If one had good albedo measurements (which one does not have). The latter would imply ﬂuffy particles built up of smaller subunits (section 2.30 and −0. stellar light is reddened because extinction ˚ decreases with wavelength. 7.9 the UBV diagram of unreddened main sequence stars. one plots one color against another. The length of the shift is proportional to the foreground AV and in ﬁgure 7. TCDs are a simple and efﬁcient tool with which to separate distinct or identify similar astrophysical objects. ˚ From the infrared to the hump at 2175 A.Reddening by interstellar grains 219 • • • in the strength of the bump.9.9. of variable ˚ strength. shape and width. the broadest being about 2 A wide. one ﬁnds superposed on the extinction curve diffuse interstellar bands (DIBs but they are not shown in ﬁgure 7.3 Two-color diagrams In two-colour-diagrams (TCDs). a stellar photosphere is much weaker at U . The modiﬁcations may be due to energetic photons. condensation of gas atoms or collisions among grains. All luminous stars of type B0 or earlier cluster in a tight strip with B–V between −0.8).3. the curve rises again. the extinction curve rises continuously. In the far UV (λ−1 > 6 µm−1 ). Interstellar reddening with the standard extinction law (RV = 3. The characteristic wiggle in the main sequence line in ﬁgure 7. As an example of a TCD. The two extinction curves in ﬁgure 7. with RV = 5. The reason for this behavior is that photoionization of the n = 2 level in hydrogen falls into the U-band. Although discovered 80 years ago.8 suggest that the grains are modiﬁed when they change their environment. the identiﬁcation of the DIBs is still unclear. In the case of another extinction law. As this is the dominant process for the photospheric opacity at this wavelength. it greatly supresses the stellar ﬂux.4 and 0. Over this range.

16). commonly deﬁned in the infrared as α= d log(λFλ ) . RV = 3. 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.9 and know. for some reason.1. parallel to the arrow. Whereas τλ /τV is normalized at V. RV = 5 to the edges of molecular clouds. until it reaches the main sequence.19) .4 Spectral indices Akin to a color is the spectral index. The observed interstellar extinction curve in the form τλ /τV and as Ext(λ) according to equation (7.220 Structure and composition of dust Figure 7.8. refers to the diffuse medium. that it is a main sequence star. d log λ (7. The ratio of total over selective extinction.3. Ext(λ) is zero at V and equals one at B. 7. we can determine the amount of extinction by moving it up. If we observe an object somewhere in the right-hand part of ﬁgure 7. (for the same AV ).

8) and A V = 5 mag of foreground extinction. The data for the main sequence are taken from the literature. therefore. α = −3 − τ (λ2 ) − τ (λ1 ) .20) For a blackbody obscured by a foreground extinction τ (λ).1 (ﬁgure 7. see text. in the limit of high temperatures. ln(λ2 /λ1 ) (7. In practice. quite accurate and may be used to ﬁnd the position of a main sequence star that suffers a certain amount of extinction A V . 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 ) . The main sequence locations of a few spectral types are indicated.Reddening by interstellar grains 221 Figure 7. log λ2 − log λ1 (7.9. the upper to 40 000 K. The ﬁgure is. The lower tip of the blackbody line refers to a temperature of 3500 K. Hence. UBV diagram for unreddened main sequence stars (thick line) and for blackbodies (thin line). one has. the blackbody and reddening curve have been calculated.21) . 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. a spectral index depends on wavelength.

An important example is the spectral index between 2. K λ . the object is a blackbody or. To obtain the absolute value of the cross section per gram of interstellar matter.222 Structure and composition of dust Figure 7. for instance. The weak dotted lines are drawn to alleviate comparison between the two frames.2 to 20 µm after (7. for instance.10 and 7. α of a blackbody approaches −3 at high temperatures. The spectral index α in the wavelength interval from 2. one has to know K V .20) of a source at temperature T that is observed through a foreground of visual extinction A V .4). Notice the different temperature ranges right and left. other wavelength intervals fulﬁl the same purpose. one also uses the index between 2. In the left box it is an optically thin dust cloud with the standard mixture of silicate and carbon grains (see section 12. for standrad dust (see ﬁgure 7. The curves show how the spectral index is modiﬁed as the foreground extinction increases from 0 to 20 mag and 40 mag.3. it is used in the classiﬁcation of protostars. For this purpose. In the right box. a star. In this case.2 and 20 µm which serves as a classiﬁer for protostellar objects. 7.11 demonstrate how the indices change as a function of source temperature.20 or 12. K λ /K V . Because α is sensitive to both T and A V .5 The mass absorption coefﬁcient The reddening curve yields only a normalized extinction coefﬁcient.10) α → −3 + AV · 0.10. Of course.036 for T → ∞. one measures towards a star the standard color excess E B−V and the total hydrogen column density NH to .2 and 5 µm. Figures 7. to ﬁrst approximation. Without extinction.

The amount of dust relative to the gas follows then from the condition (7.24) 200 cm2 per g of interstellar matter.11.22) that a hydrogen column density of 5.10 but for the spectral index α between 2. NH 1.086 × NH K V .22) As AV = 1. This value is easy to remember.Reddening by interstellar grains 223 Figure 7. one chooses stars that are only slightly reddened and located in the diffuse interstellar medium.1 to 5 µm.23) 5. (7. we know K λ in the range from about 0. As ﬁgure 7.9 × 10−22 cm2 per H-atom and (7.2 and 5 µm. For technical reasons. 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 . The average value over a large sample of stars is NH or with (7.8 × 1021 E B−V cm−2 (7. In combination with the interstellar reddening curve.8 × 1021 cm−2 produces a standard color excess .17) and RV = 3. Equation (7. their shape and sizes. one ﬁnds K V a mass extinction coefﬁcient KV 4.1.23) also allows us to estimate the dust-to-gas mass ratio Rd if one makes reasonable assumptions about the composition of the grains.9 × 1021 AV cm−2 . which both atomic and molecular hydrogen contribute: NH = N(HI) + 2N(H2 ).

1%. (7. like C. which has a density ρ ∼ 10−3 g cm−3 . so almost all of it resides in grains. mainly silicates form. assuming a bulk density of 2. Rd = Mdust Mgas 0. cannot be made in the interstellar medium.25) The lower limit may be appropriate for the diffuse interstellar medium. Silicon has a cosmic abundance [Si]/[H] = 3 × 10−5. If [C]/[O] > 1. the total dust volume in a column of 1 cm2 cross section with AV = 1 mag is Vdust ∼ 1. In such an environment. this is in agreement with the dust-to-gas ratio derived from the Kramers–Kronig relation in (2. .224 Structure and composition of dust E B−V of 1 mag. Any dust model compatible with the interstellar reddening curve gives. had the same relative dust content. At ﬁrst. N. at least their seeds. R. respectively. How dusty is the interstellar medium? Very dusty! If the atmosphere of the Earth. The observational characteristic of silicates is the presence of an Si–O stretching and an O–Si–O bending mode at 9. 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. besides minor solid constituents like MgS.95) but the method employed here is probably superior. • .23) and (7. or Mg. Si.1 Origin of the two major dust constituents Interstellar grains. carbonaceous grains form. 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. [C]/[O] < 1. According to equations (7. Fe.25). . MgO and FeO. N stars).4.5).8 µm and 18 µm. Considering the uncertainties.5 g cm−3 . the dust can only consist of the most abundant elements. quite independently of its particular choice. as in C-type stars (these are carbon-rich objects like C. 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. they can only be modiﬁed there or destroyed. O. Because at least half a percent of interstellar matter is in the solid phase. as in M-type and in OH/IR stars.2 × 10−5 cm−3 .4). the higher for dense clouds where grains are ice-coated.5 . it is heavily depleted in the gas phase (depletion factor f depl (Si) ∼ 30). The type of dust that is produced depends on the abundance ratio of carbon to oxygen: • If there is less carbon than oxygen. 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 9.4 Carbonaceous grains and silicate grains 7.

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

is an especially simple and symmetric hydrocarbon (a so called PAH.14). two adjacent C atoms are coupled by a σ . the carbon atoms are held together by a triple bond. on average. so altogether we have a C=C double bond (one σ and one π). the C atoms are sp hybridized yielding C–C and C–H σ -bonds. Here are examples: • In methane. H2 C–CH2 . Because of the σ -bond between the two Cs. which makes the CH2 groups stiff with respect to rotation (see ﬁgure 7. in total. C≡C. Because of the complete symmetry of the ring. The combination of one s and three p electrons is denoted as an sp3 hybrid. In this planar ring (aromatic) molecule. the stronger they are bound and the shorter their internuclear distance (see ﬁgure 7.13). They point from the C atom at the center of a tetrahedron towards the H atoms at its corners.5◦. The binding is therefore intermediate in strength between a single and a double bond. HC–CH. the unhybridized electrons in the 2p-orbitals are not localized but equally shared (resonant) in the ring.and half a π-bond. the coupling of carbon is completely symmetric to all four H atoms and the difference between s and p valence electrons has disappeared.15). CH4 . So. whose orbitals are perpendicular to each other and to the internuclear axis. There are σ -bonds between C–H and C–C. • • • • . the CH3 groups can rotate relative to each other (see ﬁgure 7. Benzene. each carbon atom has three sp2 hybrid orbitals connecting through σ -bonds to the adjacent two C atoms and one H atom. 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. H3 C–CH3 . likewise there are sp2 and sp hybrids. The s and p wavefunctions can combine linearly resulting in hybrid orbitals. the C–H binding is through σ -bonds. although the symmetry is no longer perfect. see later). In the linear molecule acetylene. which is a planar molecule. The angle α between the internuclear axes follows from elementary geometry. The more bonds between two C atoms there are. where the angle from C over C to H equals 120◦. The carbon atoms are sufﬁciently close together so that neighboring 2p orbitals can pair to form an additional π-bond. In a π-bond. one gets cos α = − 1 . But the two remaining 2p orbitals in the carbon atoms. 3 The situation is similar in ethane. An sp2 hybrid is present in ethylene.12). Acetylene is believed to be the basic molecule for the nucleation of carbonaceous grains in the wind of giant stars (see ﬁgure 7. In the identical hybridized sp3 orbitals. the p-orbitals are perpendicular to the plane.226 • • Structure and composition of dust In a σ -bond. There is still one unhybridized 2p electron per C atom left. overlap to an additional π-bond. the wavefunction of the two electrons has a lobe on each side of the internuclear axis. C6 H6 . besides the sp2 hybrids. There are two more π-bonds. the electron distribution has rotational symmetry about the internuclear axis. so α = 109.

σ -bonds are drawn with full lines. acetylene π (C2p.Carbonaceous grains and silicate grains 227 ethane σ (Csp3 .13–7. H atoms.H1s) Figure 7.14. a crystalline form of carbon. the angle between ◦ .4. H1s).3 Carbon compounds 7.H1s) Figure 7. Four types of carbon binding are exempliﬁed in ﬁgures 7. ethylene σ (Csp2 . In the description of the bond.5 Cs p 2 .13. Double bond in ethylene (C2 H4 ). σ (Csp2 .Csp3 ) σ (Csp3 .Csp) σ (Csp.C2p) σ( Figure 7.H 1s ) . As a C atom has only four nearest (and 12 the internuclear axes again 109. the bonding is similar to methane. for instance. Triple bond in acetylene (C2 H2 ).3. C atoms.12. the type (σ or π) is followed by the atomic symbol and the participating orbitals.15.4. small ones. 7. The distance between the atoms is 1.Csp 2) π (C2p. π-bonds with broken lines. Each C atom is linked tetrahedrally to its four nearest neighbors through sp3 hybrid ˚ orbitals in σ -bonds.54 A. Here a single bond in ethane (C2 H6 ). big circles.C2p) σ (Csp.1 Diamond In diamond.

each with an hexagonal ˚ honeycomb structure. H1s) 2 π (C2p. graphite sheets Figure 7. where in both cases each atom has 12 nearest neighbors and the volume ﬁlling factor amounts to 74%.35 A.17).42A. The side length of the hexagons equals 1. besides the sheet sequence ABABAB .15. . Graphite is formed by sheets of carbon atoms. . the available space is ﬁlled to only 34% assuming that the atoms are hard spheres. 3. either face-centered cubic or hexagonal close-packed (see ﬁgure 7. also ABCABC .C2p) σ (Csp2 . next nearest) neighbors.16.228 Structure and composition of dust benzene σ (Csp . Resonance structure in benzene (C6 H6 ) with three π-bonds shared among six C atoms.17). . is possible and combinations thereof. the distance between ˚ neighboring sheets is 3.35A . . This is to be compared with a close-packed structure.Csp2 ) Figure 7. In analogy to close packed spheres (ﬁgure 7.

(a) When a ball is centered at the lower cross. diamond is used for cutting and drilling. So diamonds are long lasting presents that will outlive the afﬂuent donors as well as the pretty recipients of the gems.. . diamond is not in equilibrium at the conditions at the surface of the Earth. A ground layer A of equal balls (dashed). is covered by an identical but horizontally shifted layer B (full). directly over a sphere in layer A. which is the energetically lower phase. In fact. all other locations are then ﬁxed.17.Carbonaceous grains and silicate grains 229 next higher layer B bottom layer A Figure 7.3 eV per atom) and due to its overall bonding isotropy. diamond is extremely hard with hardness number 10. . one gets by repetition a sequence ABCABC . (b) When a ball is over the upper cross. 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. one only needs to specify the position of one ball in the new layer. diamond is electrically insulating. The stiffness of the bonds also explains the exceptionally high thermal conductivity (several times greater than that of copper). Big raw diamonds are cleft parallel to octahedral crystal faces. each touching its six nearest neighbors. The bonding in diamond is strong (7. and a face-centered cubic lattice. This gives an hexagonal close packed structure (hcp). The upward transport during the volcano eruption occurs sufﬁciently rapid without a phase transition. which is the standard gem with a circular girdle and 33 facets above and 25 facets below the girdle. . it is metastable in our environment but well separated by a large activation barrier from graphite. On Earth. There are two ways to put a third layer on top of B. In the subsequent cutting. As there are no free electrons. diamonds are formed under high pressure and temperature at a depth of about 200 km. . however. the angles between the facets are not . into brilliants. one obtains by repetition the sequence ABABAB .

Therefore.16). The sheets are only weakly held together by van der Waals forces. Graphite has a density of 2. Possibly one ﬁnds at the periphery also other species. If there are many defects and if regularity extends only over a few atoms. has the shape of a football. The diameter of the spheres is ∼7. brieﬂy PAH.23 g cm−3 and a very high sublimation temperature (Tev > 2000 K at interstellar pressures).42 A. 7.3. Diamond grains are also found in meteorites but they are extremely small ˚ (∼30 A). the material is said to be amorphous. Graphite consists of such C6 sheets put on top of each another. C60 . as in benzene. tiny chunks peel off to form sentences of rubbish or wisdom.1 A. like OH or more complex radicals. its name is derived from the Greek word for writing: when gently pressing a pen over a piece of paper.4. hydrogen atoms are attached but only sporadically. The angles are chosen to maximize the ﬁre (brilliance) of the stone. They contain many H atoms and their density ρ is considerably lower than in perfect crystals for which ρ = 3. The distance from one ˚ sheet to the next is 3. which produce the curvature. The most famous. At the edge. The origin of the meteoritic diamonds is unclear but probably interstellar (carbon stars. graphite cleaves well along these planes and owing to this property.3.2 Graphite Carbon atoms combine also to planar structures consisting of many C6 ˚ hexagonals.230 Structure and composition of dust related to the crystalline structure but to the refractive index n. We reckon that in interstellar space about 10% of the carbon which is in solid form is graphitic. supernovae. the coverage need not be complete. interstellar shocks?). Their existence in interstellar space is hypothetical.4 Amorphous carbon Diamond and graphite are very regular (crystalline). Fullerines do not contain hydrogen.51 g cm−3 . It is made of 12 pentagons (C5 ). 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.4. 7. 7. so that not a negligible fraction of C atoms is at the surface.3. A fascinating kind of PAHs are fullerenes. This mobility endows graphite with an electric conductivity within the sheets. 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. besides hydrogen. PAHs are unambiguously identiﬁed in the interstellar medium and account for a few percent by mass of the interstellar dust. 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.35 A (ﬁgure 7. the angle between ◦ .3 PAHs A polycyclic aromatic hydrocarbon. depending on who is pressing. .4. ˚ and 20 hexagons (C6 ).

two adjacent tetrahedra share one oxygen atom. the σ . too. with many unclosed rings and an endless variety of carbon–hydrogen connections.2.1). as a potpourri of carbon compounds with all types of the bonds discussed earlier. the π-band lies energetically above the σ -band. here a double chain where more than one O atom per tetrahedron is shared (amphiboles). Middle: In pyroxenes. (Mg. some of them stacked.6 µm−1 hump. ˚ 7. Since the π-states are weakly bound.3. We may tentatively think of such hydrogenated amorphous carbon.18. Most interstellar carbon grains are probably amorphous (aC). The splitting into a π.Carbonaceous grains and silicate grains 231 pyroxenes Si O Figure 7.and π-electrons in such grains form the σ . In interstellar grains. These amorphous particles should also contain hydrogen because it is present in the environment where they are created (wind of mass loss giants). As we have seen in section 7. Left: The building blocks of silicates are SiO4 tetrahedra.5 The 2175 A bump in the interstellar extinction curve The bump at 4. respectively.3.and π ∗ -band is analogous to the splitting into a binding and anti-binding state as illustrated in .and π-band. The triangles represent the SiO4 units. an example is bronzite.8) is usually attributed to small graphite-like grains (section 4. pure carbon grains could only come from the hydrogen deﬁcient atmospheres of WC stars or R CrB stars. or as a disordered agglomerate of PAHs. which have a chain structure. When the electric vector of the radiation ﬁeld is parallel to the plane of the carbon rings. the chains are probably not very regular and linear.4. the π-electrons can be excited into the π ∗ -band.4. as in crystals but may more resemble worms because of widespread disorder. abbreviated HAC.Fe)SiO3 . Right: Other chain types are realized in silicates.0. and this may cause the 4.6 µm−1 in the interstellar extinction curve (ﬁgure 7.

First. r is different. There are two basic reasons why silicon is chemically different from carbon.1 Silicon bonding and the origin of astronomical silicates Silicon stands right below carbon in Group IV of the Periodic Table. that the coordination number N of a Si4+ ion. For crystals with 0. two s and two p electrons (3s2 3p2 conﬁguration).4.6 µm−1 hump to π → π ∗ transitions is.40 A. therefore. silicon atoms are bigger.232 Structure and composition of dust ﬁgure 7.73. Therefore. however.4.17.41 < r ≤ 0. This implies. The assignment of the 4. like carbon. . which is the number of its nearest equal neighbors. in the third (n = 3) it has. ˚ In silicates. The ground state is also 3 P0 .4 ˚ than the radius of the O 0. We may idealize an SiO4 tetrahedron as an Si4+ ion symmetrically surrounded by four O2− ions. the coordination number N equals 4 and the nearest neighbors form a tetrahedron. only in a solid the levels are broadened because 2 of the interaction with many lattice atoms.2 Coordination number It is intuitively clear that the relative size of adjacent atoms in a crystal is important for the crystal structure. is four. r = 0. the π ∗ -band is empty and responsible for electric conduction. 7. controversial because of the overall messy character of the binding in carbon with its multitude of hard-toidentify bonds. Silicates consist of negatively charged SiO4 groups in the form of ˚ tetrahedra with a side length of 2. second.4.3.23 < r ≤ 0. it takes more energy to promote an s electron in order that all four electrons become available for covalent bonding. that oxygen ﬁlls basically all the volume and.62 A.41/1. The dust particles formed in oxygen-rich atmospheres are predominantly silicates. ﬁrst. Its inner two shells are ﬁlled. which assumes that the ions are hard spheres touching each other.41.7 for the H+ molecule. there are no silicon ring molecules and double bonding (Si=Si) is rare (it involves delectrons). are summarized in table 7.4 Silicates 7. so their p orbitals cannot come together closely enough to overlap and form a π-bond. In other crystals.41 A and much smaller 2− ion which is 1. Second. The case r = 1 is depicted in ﬁgure 7. Let us deﬁne r = ratio of the radii of neighboring atoms.4. the radius of the central Si4+ ion is 0. one has N = 6 and an octahedron as coordination polyhedron. 7. however. They are the building blocks which form an ionic grid together with positively charged Mg and Fe cations. for 0. The coordination number and the coordination polyhedron for the limiting values of r .3. there is also substantial covalent bonding in the tetrahedron.4. Note that whereas the π-band is ﬁlled.

4. To visualize the three-dimensional structure of this mineral.3. The prototype is olivine (Mg. The repeating unit has the formula [SiO3 ]2− .Fe)SiO3.Fe)2SiO4 which belongs to the orthorhombic crystal family. We will call these data our standard set and it may be used as a benchmark for comparison between dust models. One.Fe). In this mineral. amorphous carbon and silicate. which is a sufﬁciently broad interval for most applications. MgSiO3 ). By writing (Mg.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.3 Silicate types The (negative) [SiO4 ] anions and the (positive) metal cations can be regularly arranged in various ways. in the literature they are. three or even all four oxygen atoms are shared with neigboring tetrahedra.4). The latter are then isolated islands. imagine that each Mg2+ or Fe2+ cation lies between six O atoms of two independent tetrahedra.23 0. one also needs m(λ) for the two minor solid constituents: graphite and PAHs (section 12.Carbonaceous grains and silicate grains 233 Table 7. Ratio r of ionic radii 0.41 0. The wavelength ranges from 0. one indicates that magnesium is often replaced by iron.5. (Mg. The question whether the choice displayed in ﬁgure 7.03 to 2000 µm. The ratio r of the ionic radius of the metal cations to that of O2− is about 0. These six O atoms are at corners of an octahedron around the cation.15 0.4. Optical constants vary with time. We can now proceed to present a reasonable set of optical constants m(λ) for the two major interstellar solid substances. also of the orthorhombic crystal family (the form without Fe is called enstatite. there are chains of SiO4 tetrahedra in which two O atoms are common to neighboring units. Because the O atoms are so big.17).19 is up-to-date or out-of-date .4. they form approximately an hexagonal close packed structure (ﬁgure 7. at least. For some applications. The basic silicate types are determined by the following criteria: • No oxygen atom is common to two tetrahedrons. • 7. 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. two. We mention bronzite.

2 µm. The absorption and extinction efﬁciencies resulting from ﬁgure 7. two resonances at 10 and 18 µm and a far IR decline proportional to ν 2 . For both substances.5.7 µm and then falls steadily at longer wavelengths. very low absorption in the near infrared. ε2 ) for silicate material after [Lao93] and amorphous carbon after [Zub96] (their type BE).234 Structure and composition of dust Figure 7. the optical region medium-sized and the UV. Optical constant m = (n. k) and dielectric permeability ε = (ε1 . The infrared part requires ˚ large grains. it declines proportionally to ν 1. the wavelength dependence is more complicated.5.55 . particles of different sizes must be invoked to explain its various sections.5 in the UV and usually negligible beyond 3 µm. For silicate. There is also a ﬂat part in the ultraviolet up to 0.19. the 2175 A bump and . the albedo is of order 0. the extinction is basically ﬂat up to λ 0. degrades to secondary importance in view of our general ignorance about grain properties.20.1 The size distribution Because the extinction curve covers a large frequency range. The data fulﬁl the Kramers–Kronig relations of section 2. For amorphous carbon. in the far infrared.19 for a typical grain size are shown in ﬁgure 7.5 Grain sizes and optical constants 7. 7.

The scattering efﬁciency can be found as the difference between extinction and absorption. smaller ones are inefﬁcient as absorbers or scatterers.1 µm radius with the standard set of optical constants from ﬁgure 7. Amorphous carbon = aC. .19. we expect that at wavelength λ.Grain sizes and optical constants 235 Figure 7.26) which is called the MRN size distribution [Mat77]. 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.20. The result is widely accepted and follows from binning the radii into intervals [ai . The absorption (dots) and extinction (full line) efﬁciency for spherical dust grains of 0. the radii a of the relevant grains are given by 2πa/λ ∼ 1. To quantify this supposition. the far UV small particles. For the dust composition. 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. one assumes silicate and carbon material with optical constants similar to those in ﬁgure 7. silicate = Si. composite grains made of these materials are also possible. one can ask how the grains have to be distributed in size in order that their wavelengthdependent extinction follows the observed interstellar reddening curve. Qualitatively speaking.19.5 (7. a + da] one obtains a power law: n(a) ∝ a −q with q 3.

27) but the outcome is not very sensitive to either boundary. which has an exponent q = 3. one separates the variables: N(m. t) = η(m) · ζ (t).30) M is the maximum mass of the particles and the total mass of the particles is conserved. m) dµ. because extinction becomes gray for large grains. a− (7. and even less to a− because small grains λ) where only the total volume of the grains are in the Rayleigh limit (a− counts. To solve (7.29) n(a)a 2 da ∝ If q were greater than four. It is. . t) = −N(m.3 µm (7. If fragmentation is the only process that determines the mass distribution. t) is governed by the formula ∂ N(m. P(m. m) dµ = number of fragments in the interval µ to µ + dµ resulting from the collision of a body of mass m. . Dor82]. t)ξ(µ. t) dm = number of particles in the interval m . . ξ(µ.5. 7. t)P(m.28) (7.30). and not their individual sizes. the small grains would also contain most of the volume.236 Structure and composition of dust To ﬁx the size distribution.5.5 by studying grains undergoing destructive collisions [Hel70. m (7. For an MRN distribution. t) such that N(m. t)P(µ. a+ and a− . N(m. roughly.2 Collisional fragmentation One can theoretically obtain a size distribution n(a) ∝ a −3. t) + ∂t M N(µ. therefore. m + dm. no wonder that the smallest ˚ grains (a < 100 A) were detected through their emission and not from studies of the extinction curve. one must additionally specify its upper and lower limit. a− ˚ 10 A and a+ 0. Not to a+ . Consider a time-dependent mass distribution N(m. t) dt = probability that particle of mass m is collisionally destroyed during time dt. 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 ∼ √ .

If we assume. we need to know the mass distribution of the debris. The constant θ follows from the condition of mass conservation: θ 0 m mx µ dµ = m. Both sides may be set to a constant. 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. very small particles are not destroyed. . ξ(µ.5 . m/µ.31) η(µ) µ 3 + m 3 1 1 2 dµ.30) now becomes ˙ 1 ζ = −γ (m) + η(m) ζ2 M m η(µ) γ (µ) ξ(µ. the MRN distribution n(a) ∝ a 3y−2 a −3.5 ≤ x ≤ 2. µx+1 With a power law ansatz η(m) = m −y one ﬁnds with a little algebra that y = 1.5 ≤ x ≤ 3). is related to the ratio of initial mass over fragment mass. is the minimum mass for destructive collisions. One expects that the number of debris. we may write P(m. t) µ 3 + m 3 1 1 2 dµ = ζ(t) · γ (m) (7.31) with ζ /ζ 2 = −C for η(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. that vrel is constant. ξ(µ. m) dµ. we recover.83 over a wide range of x values (0. To solve ˙ (7. m). Because for spheres m ∝ a 3 and dm ∝ a 2 da.Grain sizes and optical constants 237 The probability P(m. as a ﬁrst approximation. m) = θ x+1 µ empirical evidence suggests for the exponent that 0. When one puts mx ξ(µ. after each shattering event. m . t) = Q with γ (m) ≡ Q M m M m N(µ. Equation (7. m). in terms of sizes. The lower boundary on the integral. Q is some proportionality factor. (7.32) The equation is completely separated as there is a pure time dependence on the left and pure mass dependence on the right.

Second. the particles have to be born uncomfortably big. which do exist as one observes. such as accretion or coagulation.238 Structure and composition of dust There are two dissatisfactory aspects to this scenario when applied to interstellar dust. for instance.5 . . 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 example. First. varying values of RV or ice mantles. in the outﬂow of giants [Bie80].

1) 239 .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. it also presents a ﬁrst example of radiative transfer. Finally.1 under the assumption that a grain consists of an ensemble of coupled harmonic oscillators in thermal equilibrium.2. for example by a photon. a grain in interstellar space is not at all in an LTE environment. A single grain radiates according to Kirchhoff’s law and we strictly derive this law in section 8.1.1 Kirchhoff’s law 8.4. we have to know the speciﬁc heat and the internal energy of the dust material. According to Kirchhoff. We.3 illustrates the emission of grains for a typical dust type. therefore. 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. In section 8. investigate. given by ν abs = K ν · Bν (Td ). section 8. Therefore. in this chapter. 8. This discovery had already been made in the abs 19th century. But whenever it is heated. (8. Of course. the caloriﬁc properties of dust. which are those whose temperature does not stay constant. for a dust cloud of uniform temperature.5 presents examples of the emission of very small grains. grain emission is also only a function of Td and. Section 8. 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. 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. the physical background of dust emission.Chapter 8 Dust radiation We treat. For evaluating the emission of very small grains. later it was found that ν /K ν equals the Planck function. in section 8. Td . as in LTE.

potential (V ) and interaction (H ) energy.42). we have to multiply Pi. of course.v−1hνi . The probability Pi. . The dimensions change accordingly. the emissivity ν per unit volume is expressed in erg s−1 cm−3 Hz−1 ster−1 . a photon of frequency νi escapes.1).4.v = 1. Otherwise the oscillators would be decoupled and unable to exchange energy at all: starting from an arbitrary conﬁguration. one: ∞ Pi.2) weakly-coupled one-dimensional harmonic oscillators. In the thermal (canonical) description. For example. 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.v by the Einstein coefﬁcient Ai v.v−1 (here the superscript i is not an exponent) and the photon energy hνi . v) −βhνi −vβhνi i e = Pi. qi and pi denote coordinates and momenta.v of ﬁnding the i th oscillator in quantum state v is given by the Boltzmann equation (5. 1. the level population of the quantized harmonic oscillators is described by a temperature T . It can refer to a single particle. v=0 To obtain 4π th (i. If the energy difference is lost radiatively. 4π th (i.v e−βhνi (v+ 2 ) = 1 − e−βhνi e−vβhνi = Z (T ) 1 with the partition function Z (T ) from (5.3) The Einstein coefﬁcient Ai v.2) and consists of kinetic (E kin). and can make transitions of the kind vi → vi − 1.8): Pi. v.41) and (6.10) and β = 1/kT .240 Dust radiation The emission over all directions equals 4π ν . For a harmonic oscillator. Classically. a unit volume or a unit mass.2).2 Thermal emission of grains To understand how and why an interstellar grain emits according to equation (8. The sum over all probabilities is. The latter is small compared to E kin and V but it must not be neglected altogether. In (8. 2. equilibrium could never be established. .v Ai Av. . the radiation integrated over all directions from oscillator i in the transition v → v − 1 at temperature T .1. The quantity ν is called the emissivity.v−1 hνi = 1 − e (8. 8. v).v−1 is calculated according to the general formulae (6. The i th oscillator has levels vi = 0. we assume that it consists of N atoms and approximate it by a system of f = 3N − 6 (see section 8. the eigenfunctions ψ are the . each of mass m i and resonant frequency ωi .

For the integrated radiation th of the particle over all frequencies. therefore.1. v i i K νi = Pi.61)). we obtain th (i ) = hνi Ai 1.0 eβhνi − 1 .3).v−1 Bv−1.v−1 = v A 1. 8.v−1 = Bv−1.Kirchhoff’s law 241 Hermitian polynomials Hn (y) of (A.0 v≥1 v 1 − e−βhνi e−vβhνi = hνi Ai 1.v−1 1 − e 8πνi2 .5) This is the total emission of the grain at frequency νi . (8. one must add up all oscillators.1).4) All one has to know is Ai . To compute the total emission per solid angle of oscillator i .v Bv. have to evaluate the integral Hv (y)y Hv−1(y)e−y d y 2 and its solution is given in (A. yields v K νi = c2 −βhνi e−(v−1)βhνi − e−vβhνi . v).v and a change from B to A coefﬁcients. towards the boundary their spacing decreases.40).0 (v ≥ 1).v−1 hνi . Ai v. 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. v≥1 Because of the mathematical relations (A. We. according to (6.3 Absorption and emission in thermal equilibrium According to the theory of line radiation.v − Pi. Note 1. we sum up over all levels v ≥ 1. the coefﬁcient for the ground transition. Bv. whereas a real oscillator has a maximum energy above which the system is unbound and only its lowest levels are approximately energetically equidistant.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. th (i ) = th (i.16). The Einstein coefﬁcient is thus proportional to the quantum number v and we may put i Ai v. th = i th (i ). c i i As the statistical weight of the levels is one.

. the radiation of frequency νi interacts with all level pairs and in the total absorption coefﬁcient K νi the temperature has disappeared.6). 2 Furthermore. Also note that K νi does include stimulated emission because it is incorporated into the formula v for K νi . that energy between the members of the system can . 2 When the atoms are not free but bound to their neighbors by electric forces. Quite generally. d p f = e−βapi api2 d pi 2 e −βapi2 d pi = 1 1 = kT. . there is. When we combine the two formulae.242 Dust radiation Summing over all levels v ≥ 1 gives the absorption coefﬁcient K νi of the grain at frequency νi . but we have to be aware that the frequency νi refers to a certain oscillator. rather interestingly. This derivation of equipartition 2 presupposes.0 v K νi = K νi = . 8. 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 . d p f 2 e −β(api2 +E ) dq1 . still contains the temperature via β = 1/kT . E . and when the total energy of the rest of the system. 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 . . (8. v Note that the absorption coefﬁcient K νi . the same average kinetic energy 1 kT .4 Equipartition of energy We conclude with remarks on the distribution of energy under equilibrium conditions. we retrieve Kirchhoff’s law (8. however. Let us ﬁrst consider a gas where the atoms are unbound. The mean kinetic energy.1). . However. which is taken with respect to a particular pair of levels (v. Then the total energy E of the system. however. v − 1). there is also potential energy V . A gas of N atoms possesses 3N degrees of freedom and each degree of freedom has an average energy E = 1 kT . the typical factor (1 − e−hνi / kT ) has canceled out. c2 Ai 1.6) 8πν 2 v We might drop the subscript i in equations (8. can be written as E = api2 + bqi2 + E . 2β 2 Likewise. as in a solid.1.5) and (8. one ﬁnds bqi2 = 1 kT . depends neither on pi nor qi . altogether 2 E tot = E kin = 3 NkT . including particle i . 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. As the atoms have only kinetic energy.

2 then have different mean energies equal to hν/(ehν/ kT − 1) after (5. yield exactly the same Td .3). 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.1 The energy equation Equation (8. Q abs and Q abs . for instance. a grain is hot when Q abs is high at the ν wavelengths where it absorbs and low where it emits. (8. ν (8.The temperature of big grains 243 be exchanged continuously. by collisions with gas particles. 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 .9) . However.8).8) If other forms of heating or cooling are relevant.ν that differ at all frequencies by an arbitrary.2.2 Approximate absorption efﬁciency at infrared wavelengths When one wants to determine the dust temperature from equation (8. it holds only for classical systems or. Different oscillators. Simplifying the latter by a power law. 8. our standard case. we get Q abs = ν 8πa m 2 (λ) − 1 · Im λ m 2 (λ) + 2 = a Q0νβ . 1. but constant factor.7) abs K ν is the mass (or volume) absorption coefﬁcient of dust at frequency ν. According to (3.8) that it is not the absolute value of Q abs that determines ν the dust temperature in a given radiation ﬁeld Jν . For a quick and often sufﬁciently precise estimate.1) permits us. It is evident from (8. We neglect them for now. one exploits the fact that dust emits effectively only in the far infrared where the Rayleigh limit is valid. although in thermal equilibrium. in a straightforward way. Therefore. E = 1 kT . 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.8). and Jν is the average of the radiation intensity over all directions. When T is small and the energy levels are quantized. For spherical grains.7) and (8.ν 2. Two efﬁciencies. 8.2.11). These procedures require a computer. there are certain approximations to Q abs which allow us to ν evaluate Td analytically. ν Q abs (a) · Jν dν = ν Q abs (a) · Bν (Td ) dν. Qualitatively speaking. of radius a and absorption efﬁciency Q abs (a). at high temperatures.2 The temperature of big grains 8. (8. often with only a small loss in accuracy. they have to be added in equations (8. equivalently.

We. Values smaller than 1 are excluded for very long wavelengths because of the Kramers–Kronig relations (section 2.10). β = 1.1 µm. for the ν particular value a = 0.5). The curves display the ratio of absorption efﬁciency over grain radius.244 Dust radiation Figure 8. We see that the ﬁt Q abs /a from (8. (8. A blackbody would have β = 0 and a Q 0 = 1. The optical constants are from ﬁgure 7. . At wavelengths λ > 10 µm.} in (8. therefore. The broken line shows the approximation from (8.1 µm but are quite generally valid in the infrared. Estimates of the exponent β range from 1 to 2. When the complex optical constant m(λ) deserves its name and is truly constant.19. . Q abs /a. The ratio of absorption efﬁciency over grain radius. This is the value we favour. they are fairly independent of radius provided the grains are not very big (a ≤ 0. See also ﬁgure 7.10) is not bad at ν λ > 10µm for both interstellar silicate and amorphous carbon dust. ν in Hz]. When the expression Im{. β = 2.3 µm).1. Q abs /a.1 gives a feeling for the quality of the approximation.9) varies inversely proportional to wavelength. propose for quick estimates at infrared wavelengths Q abs ν 10−23aν 2 [a in cm. The curves have been calculated with a = 0. .1µm. which is the relevant range of emission.10) Figure 8. for amorphous ν carbon (aC) and silicate (Si).20 which shows Q abs ν for a = 0.

as long as the grain temperature stays below a few hundred K so that the Planck function at these frequencies is small.12) σ being the radiation constant of (5.The temperature of big grains 245 When we follow the suggestion of (8.13) 4πr 2 For example. although our planet does not emit like a perfect blackbody and its clouds reﬂect some 30% of insolation.494 if β = 0 24.1 Blackbodies Easiest of all is to ﬁnd the temperature of a blackbody. this value is close to the average temperature of the surface of the Earth.9) for Q abs . overestimated at high frequencies. the ν energy equation (8.9) and use a power law for the absorption efﬁciency. β≥1 Q abs ∝ ν β ν Q abs is. But this is irrelevant for ν the evaluation of the integral on the right-hand side of (8.8) becomes ∞ 0 Q abs Bν (T ) dν = a Q 0 ν 2h c2 kT h 4+β 0 ∞ x 3+β d x . In a given radiation ﬁeld. With the power law (8. But this is not a law. If a blackbody is heated by a star at distance r and bolometric luminosity L.80). AU For r = 1.8) describing emission.2.3.17). its temperature follows from L = 4σ T 4 . ex − 1 The right-hand integral is evaluated in (A.8) then reduces to ν Jν dν = σ 4 T π (8. (8. a blackbody is usually colder than any other object.2. we ﬁnd that a blackbody r astronomical units from the Sun heats up to r −1/2 T = 279 K. Approximate values are: ∞ 0 x 3+β d x ex − 1 6.11) 8.3 Temperature estimates 8. . Equation (8.08 if β = 2. a perfect absorber with Q abs = 1 everywhere. The temperature is now independent of particle size.89 if β = 1 122. of course. one can construct counter examples. (8.

r in cm. The equation is applicable as long as the grain diameter stays below ∼1 µm.47 × 10−6 aTd6 (cgs units).10) together with the integral (8. Q abs ν so that 0 ∞ 1 Jν dν 1. which is usually true in the interstellar medium. Consider a grain at distance r from a hot star of luminosity L.15) and use L = 4πσ R∗ T∗ after −1 ) (5. the approximation ν (8. To determine Td in (8.11) for β = 2.3. the stellar radius disappears and we ﬁnd (a. and Jν in erg cm−2 s−1 Hz−1 ster−1 . from 20 to 30 K requires a tenfold increase in ﬂux. one may put.47 × 10−6aTd6 (cgs units). From 2 the position of the grain.8) then transforms into ∞ 0 Q abs Jν dν ν 1. Td in K. to warm a particle.2 Interstellar grains directly exposed to stars For real grains. Jν = 2 Bν (T∗ )π R∗ .17) .2. the heating rate of a grain and. a is expressed in cm. therefore. additionally. Jν is the diluted blackbody radiation of temperature T∗ . (8. Consequently. a moderate temperature difference implies a vast change in the energy budget. it remains to evaluate the integral on the left.15) If.82). we may use.14). for the absorption efﬁciency Q abs . For an early-type star or even the Sun. (8.0 L a 1 6 r−3 1 (cgs units).246 Dust radiation 8. at all wavelengths relevant for absorption. For example. L in erg s L 16π 2r 2 1.16) So the grain temperature falls off with distance from the star like Td = 4. 2 4πr 2 4 When we insert this expression of Jν into (8. in view of equilibrium.47 × 10−6aTd6 (cgs units). (8. or a whole dust cloud. also its total emission rate are proportional to Td6 . (8. ν in Hz. the star subtends a solid angle π R∗ /r 2 and the intensity towards it is Bν (T∗ ).14) In cgs units. effective temperature T∗ and radius R∗ . According to (8. The average intensity over all directions is. There is a further simpliﬁcation if the radiation ﬁeld is hard. the 4 integral over Jν is directly proportional to T∗ .14). The energy equation (8.

the other from interstellar dust with a maximum at ∼200 µm. one must replace the over L ν e−τν .3 µm). We will see in section 8. Figure 8. instead their internal energy ﬂuctuates in response to the quantum character of the absorbed photons. One can discern. In view of the usual grain properties and geometry of the are often no less trustworthy than 8. 1 However.8). conﬁguration. because Q abs stays under the integrals ν in (8. the absorption efﬁciencies are calculated from Mie theory with optical constants from ﬁgure 7. If the grains are big.8) and is not constant. For the size range supposed to prevail in the interstellar medium (a ≤ 0. rather in the space between the stars. If the particles are very small so that the Rayleigh limit is applicable to both emission and absorption. Its main sources are stars of spectral type A and F. 247 line of sight. estimates of this kind sophisticated computations. the dust temperature changes with particle radius a like Td ∝ a − 6 . The ﬁgure contains none of our previous approximations. Generally speaking.5. much bigger than the particles found in interstellar space. By the latter we mean the environment in the solar neighborhood but outside clouds and not close to any star. the maximum temperature ratio is smaller. 4π ISRF Jν dν ∼ 0.3 demonstrates the size dependence of the dust temperature for these two environments. several components. giants and interstellar dust. we compute grain temperatures near a luminous star and in the interstellar radiation ﬁeld (ISRF). small grains are warmer than big ones.6 that really tiny grains may not attain an equilibrium temperature at all.The temperature of big grains If there is extinction along the luminosity L by a frequency average uncertainties regarding radiation ﬁeld.4 Relation between grain size and grain temperature In the estimate (8. of order 1. Tlim . Then a plot of the kind of ﬁgure 8. Integrated over frequency and solid angle. this relation is valid only for grains of intermediate size.04 erg s−1 cm−2 . the radius a in the absorption efﬁciency Q abs (a) cancels out (see (3. The ISRF should be uniform in the galactic disk on a scale of 1 kpc. one is from starlight peaking at ∼1 µm.2. The radiation ﬁeld expected there averaged over a solid angle is depicted in ﬁgure 8.3)) and all tiny grains of the same chemical ν composition have the same temperature. This value is similar but not identical to that of a blackbody. in ﬁgure 8. Q abs (a) in (8.19. . to either side of (8.e.2. The two ISRF major ones are of comparable strength in terms of ν Jν .2. The temperature increases from tiny to huge particles by a factor of about three. As an example.17). i.3 becomes meaningless. Tbb .8) becomes independent of ν size and the grain temperature levels off to some limit.

grain radius a and distance r . • • • Writing the dependence of the temperature on distance as Td ∝ r −α . An increase in grain radius from 0. Carbon has a very constant α of 0.2. further away colder than carbon grains.5 Temperature of dust grains near a star The variation in dust temperatures in a reﬂection nebula.375. is depicted in ﬁgure 8.17) with the help of ﬁgure 8.01 and 0. The approximate mean intensity Jν in the Milky Way at the locus of the Sun. The underlying dust model is emits at wavelengths > 3 µm a ﬂux proportional to Jν described in section 12. which is typically excited by a B1V star. The curve is based on data from [Per87] but ISRF includes the emission of PAHs (spikes). the slope α is not far from 1/3. . the emissivity of silicate particles is small.4. When we check the accuracy of the approximation formula (8. it turns out to be satisfactory in both variables. Near the star. the curves are very smooth. This behavior can be explained with the help of ﬁgure 8.1 µm and consist either of silicate or amorphous carbon.01 to 0. so they have to be hotter than the carbon grains in order to get rid of their energy. 8. silicates are warmer. grains are very hot and emit also below 10 µm.1 µm lowers the temperature by ∼30%.2. At these wavelengths.2. In the logarithmic plot. The grains have radii of 0.4.248 Dust radiation ISRF of the interstellar radiation ﬁeld (ISRF) Figure 8. and there is a wiggle around r = 1015 cm for silicates.1: at short distances. Small grains are always warmer than big ones. Interstellar dust exposed to a radiation ﬁeld Jν ISRF . almost linear in the case of carbon.

8.8 K in the ISRF. For comparison.19.2.17). Bottom.2. at a distance of 10 and T∗ = 2 × 104 .19) (8. The dotted line represents Td from the approximate formula (8.2 K near the B1 star and Tbb = 3.6 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. The temperature of spheres of amorphous carbon (aC) or silicate (Si) as a ISRF function of grain radius: Top. After the basic equation of radiative transport (see section 13.3. the experimental determination of dust temperatures is always dubious. a blackbody would acquire a temperature Tbb = 34. In both boxes.18) Fν = Bν (Td ) · [1 − e−τν ] · . here the integrated mean intensity of the radiation ﬁeld is about 7000 times stronger.1). 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.The temperature of big grains 249 Figure 8. the optical constants are from ﬁgure 7.

marked by the subscripts 1 and 2.01 µm for the upper full and dotted curve and 0. do not lie both in the Rayleigh– Jeans limit of the Planck function.20) the dust temperature under the following premises: • • • The emission is optically thin (τ 1). ν denotes the frequency. there is no absorption between the star and the grain. ν1 and ν2 . Td would cancel out because Bν (Td ) ∝ Td . which is usually true in the far infrared. full curve) grains as a function of distance from a B1 main sequence star with 104 L and effective temperature T∗ = 2 × 104 K. becomes B1 (Td ) [1 − e−τ1 ] F1 = F2 B2 (Td ) [1 − e−τ2 ] 1 2 . a certain region in a galactic cloud. The observational frequencies.19. Optical constants are from ﬁgure 7. This apparently trivial condition is sometimes hard to fulﬁl when the source is extended relative to the telescope beam (see section 13. Particle radii are 0. If they did. for instance.1 µm for the lower ones. i. Temperature of amorphous carbon (aC.1. The ﬂux ratio at two frequencies.4) and the observations have to be carried out with different spatial resolution. .4. dotted curve) and silicate (Si. The optical depth towards the star is zero. The observations at the two frequencies refer to the same astronomical object.20) It is customary to extract from (8.250 Dust radiation Figure 8. (8.e.

related through α =β +2 independent of temperature. all curves are parallel for any T . Should the assumed value for K 1 /K 2 be wrong. like a planet. If all requirements are fulﬁlled. one gets a purely formal color temperature. 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 .9). In a double-logarithmic plot of Fν versus ν and when λ is large. equivalently the exponent β in (8.The emission spectrum of big grains • • 251 The dust temperature in the source is uniform. This quantity ν is proportional to the emissivity ν of (8. 8. we should always be sceptical about absolute values of Td . to ﬁrst order. The blackbody intensity (Q abs = 1) ν is shown for comparison. ﬁgure 8. for silicate grains of 600 A radius. over the particular frequency interval from ν1 to ν2 is known or.9) is debatable. has a spectral index α = 2. The ratio of the dust absorption coefﬁcients.3.5 represent three astronomical environments: . K 1 /K 2 .20) simpliﬁes to F1 K 1 · B1 (Td ) = F2 K 2 · B2 (Td ) (8. a blackbody.9) and the slope α are.21) and yields Td in a straightforward manner. (8. A blackbody (β = 0).21) but with K 1 /K 2 = 1 because a star is.5 ˚ displays.1 Constant temperature and low optical depth As a ﬁrst illustration of the spectral energy distribution emitted by dust. The temperatures chosen in ﬁgure 8. However. In view of the numerous restrictions and because the exponent β in (8. without any physical correspondence. it is deﬁned by F1 ν1 α = .3 The emission spectrum of big grains 8. The ﬂux ratio also determines the spectral index α of the energy distribution.1). F2 ν2 The exponent β in (8. The number 2 in this equation comes from the Rayleigh–Jeans part of the Planck function. We recall here that the surface temperature of a star can also be obtained through photometry from an equation like (8. the product Q abs Bν (T ). at very long wavelengths.

For instance. can boost emission by orders of magnitude.6 µm abs of the silicate grain is calculated radius at different temperatures. . say from 20 to 60 K. This is similar to Wien’s displacement law for a blackbody (see discussion after (5. Emission of a blackbody (full curve) and of a silicate grain of 600 A = 0.252 Dust radiation ˚ Figure 8.19 (dotted curve). especially in the far infrared.10) gives acceptable results. the dust emission is very smooth. The efﬁciency Q ν from approximation (8. 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. only in the hot dust do we see the 10 µm resonance.5. Although the dust optical constants of ﬁgure 7. the power law approximation for the absorption efﬁciency Q abs from (8. Unless the dust is hot (²100 K). A seemingly unspectacular temperature change by a factor of three. The Planck function Bν (Td ) as well as Q abs Bν (Td ) have the ν units of an intensity.77)).19 have some structure. Several points deserve a comment: • • • • • A dust particle emits at all wavelengths less than a blackbody. • • • 20 K for the bulk of the dust in the Milky Way.10) (broken curve) and from Mie theory with optical constants after ﬁgure 7.

5 are proportional to the observed intensity Iν ν as given by equation (8.3.The emission spectrum of big grains 253 ˚ Figure 8.5 but the temperature is now higher. one needs the optical depth τν .6.18). Bottom. The variation of the optical depth with wavelength is depicted in the lower part of the ﬁgure.1 and 103 .1 approximately reﬂects the optically thin case and may be compared with the plots in ﬁgure 8.2 Constant temperature and arbitrary optical depth If the dust in a cloud is at constant temperature and the emission optically thin. 8. the curve there is normalized at 0. To obtain the absolute value of Iν .55 µm where τλ /τV = 1.55 µm. the intensity has been calculated as a function of wavelength and arbitrary optical depth (from τV = 0. the curves Q abs Bν (Td ) in ﬁgure 8. the normalized optical depth of silicate grains with 600 A radius. As . In ﬁgure 8. The visual optical thickness τV varies between 0. Top.1 to ∞) for a cloud consisting of ˚ identical silicate spheres of 600 A radius at a temperature of 600 K.6. 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 wavelength scale starts at 0. For small τν . The Planck function Bν (Td ) corresponds to τV = ∞. the spectral distribution of the intensity is Iν = τν Bν (T ). The line with τV = 0.

If there are N mass points in the grain. one can approximate the potential by a Taylor expansion. Because V and its ﬁrst derivatives are zero. ηi = x i − x i0 and put V (x0 ) = 0. . . Any information about the emitters is then lost.254 Dust radiation τV increases. At long wavelengths. . the atoms in a grain are replaced by mass points connected through springs. ij (8. so the derivatives of the potential V (x) vanish. For instance. designated x0 . ∂V ∂ xi = 0. ˙ T = 1 2 i m i ηi2 ˙ (8. This is exempliﬁed by the disappearance of the 10 µm feature. If the oscillations are small. x = (x 1 . we treat the conglomeration of atoms in the grain as an ensemble of harmonic oscillators. all forces exactly balance. x0 We introduce coordinates relative to equilibrium. They are equidistant and have the same spectral slope Iν ∝ ν α with α 4.1 Normal coordinates In a simple-minded model. 8. x n ) n = 3N.4 Caloriﬁc properties of solids To investigate the caloriﬁc properties of a a dust particle.23) .22) As the kinetic energy T is quadratic in ηi . we describe their positions by one vector in Cartesian coordinates.4. determine their eigenfrequencies and density of states and evaluate the energy of the grain under the assumption of thermal equilibrium. . At the equilibrium position. 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 . To ﬁnd the eigenfrequencies of the oscillators. one uses normal coordinates. which is always possible. 8. the intensity curves for all τ run parallel. the cloud becomes optically thick at 25 µm and emits like a blackbody for λ ≤ 25 µm when τV > 100. Iν asymptotically approaches the Planck function.

with the property that each normal coordinate corresponds to a harmonic motion of just one ˙ frequency. and that the kinetic and potential energy are quadratic in yi and yi . T =1 2 2 i i So a grain of N atoms may be substituted by f = 3N − 6 independent oscillators. The motion in any coordinate x i will be a superposition of n harmonic oscillations of different frequencies ωi and amplitudes ai . . Let us consider a longitudinal wave.24) m i ηi + j Trying. . a solution of the kind ηi = ai e−iωt yields a set of n linear equations for the amplitudes ai .4. . It is straightforward to derive the dispersion relation 2κ 1 − cos(kd) (8.26) ω2 = m where k = 2π/λ is the wavenumber and λ the wavelength. It is a standard procedure to obtain from the relative coordinates. The force on any mass point depends then only on the distance to its nearest neighbors on the left and right. When there are two kinds of atoms in the chain of mass m and M > m. ηi . six solutions will be zero if there are more than two (nonlinear) atoms but the remaining frequencies refer only to internal atomic oscillations.1. j For non-trivial values of ai . (8. in alternating sequence. so called normal coordinates yi . In fact. through a linear transformation new. (8. the determinant must vanish. Let all atoms be of the same mass m. n. (V j i − δ j i m i ω2 ) ai = 0. It has n solutions and one thus ﬁnds n frequencies. . each with its personal frequency.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.1) the equations of motion ¨ Vjiη j = 0 i = 1. yi2 ˙ V = 1 ωi2 yi2 . respectively. as usual.25) This is an algebraic equation of nth order in ω2 . 8.Caloriﬁc properties of solids 255 one derives from the Lagrange function L = T − V of (6. . |V j i − δ j i m i ω2 | = 0. with a constant distance d between them when they are at rest. and connected through springs of force constant κ.

from (5. 8. Let there be s different frequencies altogether. the mean energy of the oscillators of frequency νi is. An atom in a solid can be considered as a three-dimensional harmonic oscillator. If the body has N atoms. there are now two eigenfrequencies. i = 1. 1. oppositely and out of phase. 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. (8. then s ni = f i=1 and the possible energy levels are E iv = hνi (v + 1 ) 2 v = 0. 2. disregarded.30) .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. therefore. there are f = 3N − 6 one-dimensional oscillators. although there are now forces between the atoms. (8.29) U (T ) = ehνi / kT − 1 i=1 When N is large. . But in most applications. we can put f 3N. When N ≥ 3. The total energy content U of the solid is obtained by summing over all oscillators: s hνi ni . .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. A solid body consisting of N atoms has 3N degrees of freedom. For each wavenumber k. .256 Dust radiation the spectrum splits into what is called an acoustical and an optical branch. The dispersion relation reads κ 2 (8. In the acoustical mode. We bin oscillators of identical frequencies. s. .28) but drops out when calculating the speciﬁc heat and is. adjacent atoms swing in phase.4. If n i oscillators have the frequency νi . .11). . At temperature T . . 1 hνi . 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.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. in the optical mode where frequencies are higher.

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

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 .4 The density of vibrational modes in a crystal 8. 3 3·8 λ 3c3 We divided by 8 because l. If cl and ct are the sound velocities for the longitudinal and for both transverse waves. 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. β. and as a transverse wave in which the atomic motion is perpendicular to wave propagation. The direction into which the wave travels is given by the angles α. Thus all points (l.4.31) . dν c3 ¯ The number of eigenfrequencies in the interval ν to ν + dν is then dZ = 4πa x a y az 2 ν dν. c = λν denotes the sound velocity. m. 8. γ .4. Their total number is approximately 4πax a y az 3 4π 8ax a y az Z≈ = ν .258 Dust radiation Each triple (l.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. m. n) of positive integers speciﬁes one mode and can be represented by a point in a Cartesian coordinate system. n) corresponding to wavelengths greater than or equal to λ lie inside an ellipsoid of volume V = 32πa x a y az /3λ3 . Because the transverse wave has two kinds of polarization corresponding to motions with perpendicular velocity vectors. m. c3 ¯ (8. n are positive numbers and fall into the ﬁrst octant.

kT (8. Therefore the maximum of Z is Z max = 3N. the crystal does not have to be rectangular but may have any shape. The Debye temperature θ is related to νD through θ= hνD .33) The frequency density may now be written as ρ(ν) = 9N 3 νD ν2.34) into (8. For a continuous distribution of modes. the number of all modes.37) = 9k N V x 4ex d x. 8.36) (8. we insert ρ(ν) from (8. we get ¯ νD = c · 3 N a x a y az 9n .34) Actually.32) This is the Debye frequency.30) to ﬁnd the internal energy and speciﬁc heat.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. 4π (8.29). What the true frequency density might look like compared to the Debye approximation is qualitatively illustrated in ﬁgure 8.4.Caloriﬁc properties of solids 8. (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. If n= is the density of atoms. k (8.4.30) for the internal energy of a crystal is the highest possible frequency.8.2 The Debye temperature 259 The cutoff νD that appears in (8. (e x − 1)2 There are two important limits: .4.35) It speciﬁes how much energy is needed to raise the temperature of a body by 1 K. Cv = ∂U ∂T f =k V i=1 x i2 e xi ni [e xi − 1]2 xi = hνi .

17) for the mathematics): U= CV = 3π 4 NkT 5 12π 4 Nk 5 T θ T θ 3 (8. (8. so U = 3NkT (8.34) (full curve). which is to be compared with the Debye approximation of (8. The latter is correct only for sound waves with wavelengths much larger than ˚ the grid size of the crystal (∼1 A).8. There is a cutoff at νD because the number of degrees of freedom of all atoms is ﬁnite.40) and the speciﬁc heat is constant and given by the rule of Dulong–Petit. the formulae approach the classical situation where a three-dimensional oscillator has the mean energy E = 3kT .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 low temperatures. The frequency density ρ(ν) of crystal vibrations. A true distribution might look like the dotted curve. C V = 3Nk.260 Dust radiation Figure 8.39) • The characteristic feature in C V is the proportionality to T 3 . It yields at low temperatures the famous T 3 dependence of C V . . the upper bound θ/T approaches inﬁnity and the total energy of the grain and its speciﬁc heat are (see (A.38) 3 (8. At high temperatures.

44) x 3ex (e x − 1)2 d x. . this gives kθ νmin = √ .4 is repeated for a two-dimensional crystal of N atoms. νmin ] the PAH has just one frequency.43) x 3ex dx (e x − 1)2 The two-dimensional case is important for PAHs because they have a planar structure. Very low vibrational frequencies cannot be excited in small grains. only the lowest levels are populated. One can estimate the minimum frequency νmin from the condition that in the interval [0. For graphite sheets.42) which increases only linearly with frequency. 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 . With θz = 950 K referring to out-of-plane bending and θx y = 2500 K to inplane stretching vibrations [Kru53].Caloriﬁc properties of solids 8. Under normal interstellar conditions. h 3N (8. only at temperatures above 20 K. Although the coupling between the sheets is relatively weak. It also applies to graphite which consists of PAH sheets. Collisional excitation of the modes by gas atoms is possible provided kTgas ≥ hνmin . not as ν 2 .45) The bigger the PAH. With ρ(ν) from (8.4. one ﬁnds a density of modes ρ(ν) = 6N ν 2 νD (8. the smaller νmin becomes.6 Two-dimensional lattices 261 When the analysis of section 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 (8.4. however. 1= 0 νmin ρ(ν) dν. T (8. when the temperature goes to zero. there is good agreement with experimental data [Cha85]. C V eventually approaches the T 3 dependence.42).

9 summarizes the speciﬁc heats C V (T ) which we use in the calculations of the emission by small grains. we need their optical and thermal properties. 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 optical behavior depends in a sophisticated way on the two dielectric functions ε1 (ω) and ε2 (ω) and on the particle shape.44)). Figure 8. for PAHs C V changes like T 2 . The speciﬁc heat per gram of dust for silicate (full curve. after [Cha85]) and PAHs without hydrogen atoms (dotted curve. Graphite has 5.9. graphite (broken curve. the grain temperature jumps up by some not negligible amount and subsequently declines as a result of cooling. graphite and silicate have a T 3 dependence.0 × 1022 and silicate about 2.41). 8. after [Kru53] using (8. As the grains get warmer. the curves ﬂatten towards the Dulong–Petit rule (8. C V = 3Nk. The thermal behavior is determined more simply from the speciﬁc heat.6 × 1022 atoms per gram. This happens because whenever an energetic photon is absorbed. similar to [Guh89]).262 Dust radiation Figure 8. To compute their emsission. . its temperature will ﬂuctuate. At low temperatures.5 Temperature ﬂuctuations of very small grains When a dust particle is very small.

We bin U (T ) into N states U j of width U j with j = 1. which is a function of temperature only. 8. of course.5.1 The probability density P(T ) 263 Consider a large ensemble of identical grains in some interstellar environment. we can express its average monochromatic emission per solid angle by ν = πa 2 Q abs ν Bν (T )P(T ) d T.46) In normal interstellar grains of average size.Temperature ﬂuctuations of very small grains 8. at any time. its internal energy U (T ). obeys Kirchhoff’s law (8. (8. 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. (8.8). for each level j the number of populating and depopulating events. . where Teq follows from the steady-state balance between emission and absorption from (8. 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 . . T + d T and call P(T ) the probability density. so in the case of a sphere of radius a.47) Although the emission of such a single grain is not constant over time. the whole ensemble radiates at any frequency at a steady rate. . An absorption or emission process implies a transition in U from an initial state i to a f inal state f .1). In equilibrium. 2. changes. Npop and Ndepop . ν Even for a very small particle we will assume that its radiation. 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 . the temperature oscillates only a little around an equilibrium value Teq and in the limit of large grains. P(T ) approaches the δ-function δ(Teq ). It is. . . must be equal: Æ Æ Æ Npop = Ndepop . . 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 . Q abs Jν dν = ν Q abs Bν (Teq ) dν. normalized: ∞ 0 P(T ) d T = 1. . N.5. 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]). They occur at a rate Pi A f i .

solve (8. the ﬁrst sum after the ﬁrst equal sign refers to processes that cool and the second to those which heat the grain. As it should be. i (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. Npop / Æ= k> j Pk A j k + k< j Pk A j k = k= j Pk A j k Akj . . .51) hν Above the main diagonal stand the cooling elements.50) abs Jν stands for the mean intensity of the radiation ﬁeld and Cν is the absorption cross section of the grain. for dust cooling from state j to a lower one k. The energy balance requires for the cooling and heating rate of each . for each level j . With the purely mathematical deﬁnition Akj Ajj = − k= j we may write the condition Npop = Ndepop for all j as A j k Pk = 0.48) for P2 .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 .264 Dust radiation Therefore.47). Akj = abs 4πCν Jν hν νk ν = νk − ν j j < k.48) Only N − 1 of these N equations are linearly independent. k (8. below those for heating. (8. abs 4πCν Bν (T j ) Akj = νk ν = ν j − νk k < j. (8. . . one may ﬁrst put P1 = 1. PN and then rescale the P j by the obvious condition that all probabilities must add up to one (see (8. To ﬁnd the probability density P(T ) required in equation (8.46)). k= j Ndepop / Æ = Pj k< j Akj + P j k> j cooling Akj = P j heating In both formulae. P j = 1.

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. Although heating elements of the form ∞ A j +1. 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 |. they would result in an unrealistically small spread around the equilibrium temperature Teq of (8. j +1 k≤ j We mention that heating may not be reduced to transitions j → j + 1. .5. Therefore. .48) the computationally rapid recursion formula (but see the simple trick described in [Guh89] to safeguard against numerical rounding errors). it is good to know when such calculations are necessary. . have to be written as A j −1. One now immediately obtains from (8.Temperature ﬂuctuations of very small grains level j . This suggests that in cooling from state j one needs to consider only the transitions to the levels immediately below. j = ∞ 0 abs 4πCν Bν (T j ) dν · h(ν j − ν j −1 ) −1 . Unfortunately. One can. this is not very . only the elements A f i with f = i − 1 are non-zero.3 Practical considerations Calculating the emission of a grain with temperature ﬂuctuations is not straightforward. 8. This would ignore the big energy jumps of the grain after UV photon absorption which are important for the probability function P(T ). except A j −1. As cooling proceeds via infrared photons which have low energy. put all matrix elements A f i above the main diagonal to zero.8). above the main diagonal. (8.52) The total matrix A f i has thus acquired a new form where. . Generally speaking. 1 Akj Pk j = 1. But the latter. (8. j = 0 abs 4πCν Jν dν · h(ν j +1 − ν j ) −1 do not violate energy conservation. N − 1. their emission changes the grain temperature very little. In fact. in practical applications it sufﬁces to ignore cooling transitions with j → k < j − 1. in order to fulﬁl the energy equation.53) P j +1 = − A j. j .

An indicator for the computational accuracy. recommended: starting with a ﬁrst choice that crudely brackets the maximum of P(T ).5. ν The right-hand side describes the difference between the power absorbed from the radiation ﬁeld Jν and the cooling rate. a grid of 100 energy bins is sufﬁcient provided they are properly selected. The simplest grid has a constant mesh size. especially in problems of radiative transfer. therefore. As P(T ) varies strongly with hardness and strength of the radiation ﬁeld as well as with particle size. however. Umin and Umax .1) with a constant temperature from (8. 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. a good grid is sometimes not easy to ﬁnd. equal one. we will present examples that give some feeling for when temperature ﬂuctuations are important and how they modify the spectrum. This point is counterintuitive but is exempliﬁed in ﬁgure 8.266 Dust radiation practical advice. a grid of constant T seems to be better suited than one with constant U . Because U ∝ T α with 0 ≤ α ≤ 3. one has to avoid a large transition matrix A f i and properly select the energy bins. it sufﬁces to calculate the radiation of the particle from (8. but not a precise one. To minimize the computational effort. are hard to determine beforehand and intuitive values like Umin = 0 and Umax = hνmax are often not adequate. there are three requirements for temperature ﬂuctuations to occur: • • • The radiation ﬁeld is hard to ensure the presence of energetic photons. Qualitatively.8). 8. An iterative procedure is. The radiation ﬁeld is weak to make the intervals between capture of energetic photons long. Evaluating the probability density P(T ) when temperature ﬂuctuations are small is not only unnecessary but can also incur numerical difﬁculties. However. The grains are tiny so that their heat capacity is small.13. The boundaries of the grid. We are purposely vague about what is meant by hard but one may think of the UV range. 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. is time variable. of course. 1012) from its maximum. Replacing U by the speciﬁc heat . The temperature of an individual particle. Generally. Whenever the function P(T ) becomes very sharp. 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 .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. either in temperature or energy.

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

13.47)) is displayed as a solid line. from the formalism developed in section 8.6. We show an arbitrary section of 400 s. 4 σ Teff In ﬁgures 8.268 Dust radiation 8. πL Bν (Teff ). The probability density P(T ) in the lower left panel of ﬁgure 8. otherwise by a solid line. • In the interstellar radiation ﬁeld (ISRF) with a spectral shape as depicted in ﬁgure 8.10 gives the chance of ﬁnding the grain within a temperature interval of 1 K width centered on T . The true emission (from (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.8). more simply. Its monochromatic ﬂux. 8.9 K. the emission under the false supposition of constant temperature from (8.4 or. the area under the curves equals one. The full and dotted curves for P(T ) (see previous explanation) practically coincide. It is luminous (L = 104 L ). the emission coefﬁcient ν refers to one grain and is plotted in the unit erg s−1 Hz−1 ster−1 . we depict P(T ) by dots. L ν .2. either from the stochastic time evolution of the temperature T (t) described in section 8.10–8.1) is shown dotted.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.5. All examples deal with silicate grains because of their 10 µm resonance which occasionally shows up.5. Here Teq = 116. For comparison. The probability density P(T ) in ﬁgures 8. . Lν = and satisﬁes the condition L ν dν = L. where P(T ) attains its maximum. which is close to but not identical to the value Tmax = 115.13 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. The temperature excursions are small and amount to some 10% around a mean value. it does not matter whether ones takes the temperature variations into account or assumes a (constant) equilibrium temperature Teq after (8.1 s. In the ﬁrst case. In the emission spectrum of the lower right panel the 10 µm feature is indicated.10–8. In this example. is proportional to the Planck function.1 K.1 Small and moderate ﬂuctuations The top panel of ﬁgure 8.2. has a hot atmosphere (Teff = 2 × 104 K) and guarantees a copious amount of energetic quanta.

In ﬁgure 8. was ﬁnite. In the mid infrared. its effect is negligible here. Because the total time interval over which we integrated. lower right. lower left. The dots (hardly discernible) plot the emission assuming a constant temperature. See text. it is hit by an energetic photon only once every 100 s and the temperature excursions are no longer small. One would have to wait very long to see the grain.11. the errors . There are now discernible diffferences in the probability P(T ) depending on the way in which it is computed (see previous explanation). the same grain is placed at a distance ten times greater from the star (r = 1018 cm). the solid from section 8. probability distribution P(T ) of the temperature shown on a linear scale (the dotted line is computed from section 8.5. although large. at 170 K. although close to the full one. As one can estimate from the ﬁgure.10. say. Small stochastic temperature excursions: top. the spectrum is a good approximation only at far infrared wavelengths.2). when the emission is evaluated under the false supposition of temperature equilibrium (dotted). so the rate of impinging photons is reduced by a factor 100 and the particle is.5. and is determined well only around the maximum of P(T ) and does not extend to probabilities below ∼10−5 . the dotted line displays a scatter.4.The emission spectrum of very small grains 269 Figure 8. the full curve includes temperature ﬂuctuations. In the bottom frame on the right. temperatures far from the mean never occurred. emissivity ν of the grain in erg s−1 Hz−1 ster−1 . Therefore. however. on average. time evolution of the ˚ temperature of a silicate grain of 40 A radius at a distance of 1017 cm from a B1V star. colder.

which gives a better feeling for the scatter than the probability function P(T ).2 K after . The ordinate for P(T ) is now logarithmic. The absorption cross section is also 43 times smaller than before (the Rayleigh limit) and photon capture is. Moderate ﬂuctuations.11.6.270 Dust radiation Figure 8.10 but the same grain is ten times further away from the star.12. one hesitates to assign an average temperature at all. the grain is again at a distance r = 1017 cm from the star but has a ˚ ˚ radius of only 10 A. When looking at the temperature evolution T (t). less frequent.2 Strong ﬂuctuations In ﬁgure 8. although mathematically this can be done. the maximum is at Tmax = 51. 8. 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. are large (two powers of ten at 10 µm) because the grain is occasionally at temperatures far above the average. Compared to the two preceding examples where a = 40 A. The probability density P(T ) has turned asymmetric.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. As in ﬁgure 8. The temperature ﬂuctuations have increased. accordingly.

The energy reservoir U (T ) of a grain is proportional to T 4 when it is cold.The emission spectrum of very small grains 271 ˚ Figure 8. we can follow in detail individual absorption events and the subsequent cooling. ˚ In ﬁgure 8. Note the strong 10 µm silicate feature. even with regards to low-energy photons and occurs approximately every few hours. even in the far infrared. Absorption here is a rare event. The dotted line. In these examples.12. The dotted line in the bottom right-hand box bears no resemblance to the real emission (full curve).13. a longer integration time would smooth it. (8.3 K to ∼55 K.8). The dotted line shows the probability P(T ) as calculated from the time evolution T (t). To evaluate the emission without taking into account the hot excursions no longer makes sense. The probability density P(T ) tapers off gradually from its maximum at Tmax = 8. the same and equal to the absorbed ﬂux. the grain has a radius of 40 A and is heated by the weak light of the ISRF. is jerky and inaccurate above 120 K because of the ﬁnite time over which we calculated the evolution. Note the much larger time scale in this ﬁgure. although the frequency integrated emission is. The cooling rate varies after (8. representing P(T ) as determined from T (t). Strong ﬂuctuations. (8.14) with the sixth power of the temperature.38).10 but the grain is now small (a = 10 A). in both cases. As in ﬁgure 8.40) and . beyond 55 K a sharp drop sets in. and above the Debye temperature U ∝ T (see (8.

T6 and. when an energetic photon is absorbed before . A silicate grain of 40 A radius in the ISRF. also ﬁgure 8.12. only the emitted power in the wavelength band from λ1 to λ2 diminishes with distance. 8.9).13.272 Dust radiation ˚ Figure 8. In a reﬂection nebula. τcool is of order 10 s. It concerns their color temperature or. i. therefore. obviously because it receives less energy. The interesting point is: no matter whether these spikes are rare or common. For a very small grain. the situation is more tricky. The cooling time is roughly τcool ∝ U (T ) .6. Strong ﬂuctuations. λ1 and ˚ λ2 . a grain of normal size (>100 A) becomes colder when the distance to the exciting star is increased. Of course. In the spikes of the present examples. When multi-photon events occur. equivalently. as long as they do not overlap. 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. the ﬂux ratio at two wavelengths. falls rapidly as T increases. the ﬂux ratio is constant.3 Temperature ﬂuctuations and ﬂux ratios Very small grains display in their emission another peculiar feature.e.

is again distancedependent.The emission spectrum of very small grains 273 Figure 8. The grains are made of graphite and have radii between ˚ 5 and 40 A. the grain has had time to cool from a preceding capture.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. Small particles undergo strong temperature ﬂuctuations which lead to ﬂux ratios that are almost independent of the distance from the star. For all grain sizes. like K–M corresponding . Figure 8. Flux ratios for graphite grains of various sizes as a function of distance to a B1V star. (λ1 )/ (λ2 ). such as that illustrated in ﬁgure 8. the near infrared colors.14.10.

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

A change in the optical properties of the grains and thus their emission characteristics. Consider a gas of temperature Tgas containing a certain species (subscript i ) with particle mass m i .1) A grain of geometrical cross section πa 2 . whereas otherwise they would be strong emitters and important coolants. In equilibrium. which can be considered to be at rest. The depletion of molecular species in the gas phase as they freeze out on the grains. Such species may not then be observable.1 Gas accretion on grains In the interstellar medium. accretes the gas species i at a rate Racc = n i πa 2 vi ηi (9. number density density n i and mean velocity (see (5. The formation of new molecules.1 Grain surfaces 9.Chapter 9 Dust and its environment 9.16)) vi = 8kTgas . • • • • The transfer of energy from gas to dust and back which may strongly inﬂuence the temperature of the components.1.2) 275 . the number of accreted atoms per unit time is equal to the number of atoms leaving the grain. πm i (9. They may either rebounce from the grain surface or stick. Accretion of H atoms is the only way in which molecular hydrogen can be made at all in relevant quantities. gas atoms and molecules continually collide with the dust particles. Gas accretion has great astronomical consequences as the following examples demonstrate.

The growth rate da/dt of the grain radius should be independent of a. we ﬁnd that an atom that sticks on collision (ηi = 1) freezes out after a time τacc ∼ 2 × 109 yr. which is given by some ﬁxed far away charges. 108 yr). . 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 = .2 Physical adsorption and chemisorption 9. . the matter will mostly accrete on the small dust particles as they have the larger total surface area. vi = 0. If instead of the point charge q there is. When the grains have a size distribution n(a) ∝ a −3.007. n H = n(HI) + n(H2 ) the total number density of hydrogen.1 The van der Waals potential To describe the collision between an atom on the grain surface and an approaching gas atom. . ˚ a+ = 3000 A. their total cross section F for gas capture per cm3 is 3n H m H Rd F= . 9.5 g cm−3 . A point charge q in an external electrostatic potential φ.3 km s−1 ). localized around x0 . Consequently. as the impinging atoms do not see the grain curvature.4) τacc is shorter than the lifetime of a molecular cloud (τcloud ∼ 107 . Therefore. (9. as in clumps. ρgr = 2. increases.3) τacc = Fvi ηi 3m H Rd ηi n H vi ˚ Inserting reasonable numbers (Rd = 0. we ﬁrst derive their interaction potential. a charge distribution ρ(x). nH (9.1. Both atoms are electrically neutral but have dipole moments: let p1 refer to the surface and p2 to the gas atom. which is the average over the total distribution. The lifetime τacc of a gas atom grain material. 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).2.1. although the mean grain size. either in atomic or molecular form and ρgr the density of the a− . has at position x0 the electrostatic potential energy U = qφ(x0 ). large grains hardly grow any bigger through accretion. √ 4ρgr a− a+ Here Rd is the dust-to-gas mass ratio. If the gas density is high (n H > 104 cm−3 ). the energy becomes U= ρ(x) φ(x) d V.276 Dust and its environment where ηi denotes the sticking probability.5 with lower and upper limit a− and a+ . a− = 100 A. because such clouds always have densities above 102 cm−3 .

In a collision of an atom with the grain surface. The strength of the former depends then on its polarizability α (see (3.8)): 2αp1 p2 = 3 r and the dipole moments will be parallel (p1 · p2 = p1 p2 ) so that U (r ) = − 2 4αp1 . changes sign at s = σ . E(x) is then described by (3.2) of a dipole p. U (r ) becomes inﬁnite for r → 0.2. reaches its √ minimum value −D at r = 6 2σ and remains negative as it approaches zero for r → ∞ (ﬁgure 9. In our case of colliding atoms. . r3 r5 (9. Denoting by r the vector from p1 to p2 . This potential bears a more empirical character and changes with distance even more abruptly.1). much quicker than for monopoles. a repulsive interaction sets in because the electrons tend to overlap and Pauli’s exclusion principle forbids them to occupy the same quantum state. But when the two dipoles are very close. On a regular surface. the potential attains minima at various locations privileged by symmetry. these minima are at the mid-points between four neighboring surface atoms (see ﬁgure 7. The parameter D deﬁnes the strength of the potential and σ its range. like 1/r 12.2).7) − U (r ) = 4D r r 2 with Dσ 6 = αp1 . Suppose the ﬁeld E(x) is due to the dipole p1 on the grain surface.2 The full potential including repulsion The absolute value of the van der Waals potential increases rapidly at short distances. one has to include the contribution from all force centers.10) and (1.Grain surfaces Expanding φ(x) to ﬁrst order around x0 .6) 9. atoms on the grain surface. r6 (9. the effective charge q vanishes. The net result of the combination between repulsion and attraction is σ 6 σ 12 (9. For a simple or body centered cubic lattice. we get U (r ) = p1 · p2 3(p1 · r)(p2 · r) − .1.10).e. φ(x) = φ(x0 ) + x · ∇φ(x0 ) = φ(x0 ) − x · E(x0 ) and substituting the expansion into the volume integral for U . i. we obtain U = qφ(x0 ) − p · E(x0 ) 277 where we have used the general deﬁnition (1.5) Let us further assume that the dipole p2 of the gas atom is induced by p1 of the surface atom.

particularly hydrogen. The . Chemically active sites will have disappeared once the grain surface is covered by physical adsorption by one monolayer of. As a precondition for chemisorption. The interaction is therefore much stronger (from 0. Therefore.5 eV. we expect grains in cold and dense clouds to be covered by a sheet of physically adsorbed ice.5. 9.3 Physical and chemical binding Physical adsorption is rather weak.5 to 5 eV) and the range of the chemical potential shorter than in the case of physical adsorption. The potential U (R) between dipoles after (9.1.278 Dust and its environment Figure 9. here with D = √ and 0.7). corresponding to 1000 K if the binding energy E b is expressed as a temperature T = E b /k.1 eV to remove the atom or molecule from the grain surface. The exact value depends on the composition and structure of the surface and on the type of gas species. the surface must contain chemically active sites and the gas species should not consist of saturated molecules. the mean binding energy of atoms and molecules in an ice mantle ˚ several A or more thick is less than 0. it needs typically only 0.1. In principle. H2 or H2 O.25 σ = 0.2. This is not possible on a cold grain so that the process is probably unimportant there. radicals like OH could also chemically bind to the grain surface but prior to the reaction an activation barrier must be surmounted. The curve is relevant for physical adsorption. The minimum is at r = 6 2σ and U (r ) = −D. Quite generally. It involves a profound change in the electron structure of the binding partners. for example. like H2 or H2 O but atoms. A much tighter coupling of a gas atom colliding with the grain surface is possible through chemical binding or chemisorption.

One ﬁnds the energy E s which is transferred to the surface atom during the impact by numerically integrating the equations of motion. b To ﬁx the initial conditions. The force associated with the potential.1. NH3 and others. the constant b is then called the slope parameter and is of order 0. 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 . 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.Grain surfaces 279 sheet may be envisaged to be made either of pure water ice or to be a composite of different ices. mixed in a certain proportion. F = m gr . The gas atom passes in the collision ﬁrst through the attractive potential where its kinetic energy increases. let the gas atom at time t = 0 pass the point r = 2b with a velocity r = − 2(D + E k )/m g . Let us neglect the attraction in the potential and approximate its repulsive part by a parabola [Wat75]. then encounters the repulsive part.7).1). such as H2 O. An analytical solution under simplifying assumptions is illustrative.4 A. U (r ) = −D + −D D + Ek (r − 2b)2 4b2 0 ≤ r ≤ 2b r > 2b. where r = x g − x s > 0 is their distance and D the binding energy. obviously. For the gas atom to stick. CO2 . 0 ≤ η ≤ 1. 9. For the interactive potential U (r ) between the two atoms we use (9. The repulsive potential U is often also written as U (r ) = −D + (E k + ˚ D)e−r/b .3 The sticking probability We estimate the probability η that an impinging gas atom stays on the grain surface. 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 . F(r ) = −U (r ). In the quadratic equation. Its equation of motion. and rebounces at the distance rmin where U (rmin ) = E k . ˙ ¨ .8) (9. Such a simple mechanical system is governed by the equations of motion ¨ m s xs = − κ xs − F m g xg = F ¨ (9. which is almost like a wall (see ﬁgure 9.9) if the surface atom of mass m s has its equilibrium position at x = 0. is attractive and negative when r is large and repulsive and positive when r is small. otherwise it will rebound. One can approximately evaluate the process by studying the interaction of the gas atom (subscript g) with just one surface atom (subscript s).

Its inverse deﬁnes the collision time. the solution r = 2b · (1 − sin ω0 t) where the frequency ω0 = F0 /2bm g (9. Putting where ωs = κ/m s is the vibration frequency of the surface atom. 1 ˙ f (t) ξ − i ωs ξ = ms which has the solution ξ(t) = eiωs t 0 t (9. 2 With t1 and f (t) = −F(t) from (9. During the impact.280 Dust and its environment then has. π = t1 ω0 (9. −1 ω0 = τcoll . ξ0 = ξ(t = 0) = 0.10) is of order 1014 s−1 .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. . e−iωs t sin ω0 t dt = e−iωs t 2 2 ωs − ω0 ω0 cos ω0 t + i ωs sin ω0 t . Altogether the force varies with time like F(t) = F0 sin ω0 t 0 0<t< else .11).12) by one of ﬁrst order. The infall of the gas atom is reversed at the turning point r = 0 at time ˙ t = π/2ω0 where also r = 0. 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 .12) √ ξ = x s + i ωs x s ˙ 1 f (t)e−iωs t dt + ξ0 . for times t > 0. ms In our case. one can replace the second-order differential equation (9. it undergoes a forced oscillation described by ¨ m s x s + κ x s = f (t). the integrations can be evaluated analytically because for ω0 = ωs .

or not. Other atoms will then also absorb energy and the assumption of just two colliding bodies is inadequate. ωs . alternatively. typically U0 ∼ 0.3E b .4 Thermal hopping. consider oblique incidence and the possibility that the gas atom repeatedly recoils from the grain surface. is bigger than its initial kinetic energy E k .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. the collision time is long compared to the oscillation When ω0 −1 period ωs of the crystal. it was assumed that the term cos(πωs /ω0 ). this ratio is 1. 9. use a more suitable interaction potential because a gas atom generally hits a spot somewhere between several surface atoms. we obtain ω0 ωs 4 2 π /4 ω0 = ωs mg 4 (D + E k ) (9. which then appears. we learn from formula (9. The atom can jump over the barrier classically by means of thermal excitation. it has to overcome the surrounding potential barrier of height U0 . E s .1. For the limiting cases. m g /m s This simple theory can be reﬁned in various ways: one can take into account the reaction of the crystal. it may quantum mechanically tunnel through the barrier (see [Tie87] for details). the collision time τcoll is very short and e−iωs t is practically constant.13) for whether the energy loss of the gas atom.13) Es = 2ω0 ms ω0 ωs . • The adsorbed atom vibrates and thereby swaps its kinetic and potential energy with a characteristic frequency ν0 . A physically adsorbed gas atom or molecule ﬁnds itself in a potential minimum.2. • As under most interstellar conditions E k D. • • When ω0 ωs .1 and 1 presents an educated guess. 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. generally smaller than one. Nevertheless. vanishes on average. It cannot travel freely along the surface because to move. The value of U0 is a few times smaller than the binding energy E b of the gas atom. Elaborate estimates suggest that under most astronomically important circumstances sticking of the atoms is likely. 2 2 (ω − ω0 )2 In the evaluation of the integral for ω0 ωs . To use a sticking coefﬁcient between 0. the Boltzmann distribution gives the population ratio . For two states separated by an energy difference U0 .Grain surfaces 281 This can be veriﬁed immediately by taking the derivative. implying sticking. Two numerical examples for the case ωs = ω0 are presented in ﬁgure 9. one can get a feeling from (9.

in these two states.10) which contains the range parameter b. The collisional frequency is deﬁned by ω0 = 2(D + E k )/σ 2 m g . whereas here we use the range parameter σ after (9. It is evident from the ﬁgure that when the gas atom loses energy in the collision. of upper over lower level or.8) and (9.13) according to which the gas atom rebounds for E s /E k < 1. the dash-dots. slightly different from (9. binding energy D = 0. the elongation of the surface atom increases. the residence time is also the time thop . Top: Sticking with m s /m g = 20 and E s /E k = 3. ωs . the time ratio of how long the system resides. which is needed for the atom to overcome . The inverse of the latter can be considered as the effective collision time.7).9) by a Runge–Kutta method. Both numbers for E s /E k agree qualitatively with the approximate formula (9. 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). m s /m g = 50 and E s /E k = 1.2. The forces between the two particles follow from the U12–6 potential of equation (9. temperature of grain and gas: Ts = 20 K.7). The vibrational frequency of the surface atom.2. or otherwise ˚ sticks. equivalently. is 1.58×1014 s−1 and equal to the collisional frequency ω0 .05 eV. enlarged 20 times. Further parameters are: range of the repulsive potential σ = 0. Tg = 50 K.2 A.282 Dust and its environment −1 τcoll = ω0 . Bottom: Rebounce with m g = m H . Full curves denote the surface atom. Curves are obtained by integrating the two second-order differential equations (9.0. Figure 9. on average. The time coordinate on the abscissa is in units of the vibration period of the surface atom. the gas atom. For the lower level.

• (9.5 Tunneling between surface sites Because of its exponential dependence on grain temperature in (9. m and E b are the mass and binding energy of the adsorbed atom. it has no preferential direction when jumping from one site to the next and its path is a random walk (see ﬁgures 9. The gas atom on the grain surface then has a high mobility and is not ﬁxed to any particular site. Therefore. For ν0 . If U0 < kT . the root mean square deviation from the starting position is σ = N 1/2 a. the time scale for thermal hopping is −1 thop ∼ ν0 eU0 / kT (9. the adsorbed atom needs a time N 2 thop to move a distance Na from the starting point. occurs on average after a time −1 tchem ∼ ν0 e Ea / kT . When the potential barrier U0 is inﬁnite. The time ttun is very sensitive to all numbers . that a reaction in which a molecule on the grain surface is chemically transformed but which requires an activation energy E a . If the mean residence time −1 in the upper level is ν0 . there is energy splitting with an amount E 2 − E 1 that increases as U0 is lowered (see (6. one may use the frequency of lattice vibration of the grain. as before. an atom has the possibility to quantum mechanically tunnel through the potential barrier as discussed in section 6.14) where T is the grain temperature.14) U0 by the binding energy E b . thermal hopping is very −1 quick and thop ∼ ν0 . 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.61)). the tunneling time −1 ttun ∼ ν0 exp 2a 2mU0 is short for small U0 .4 and 9. thermal hopping does not work when the grain is cold and kT falls below U0 . If the atom takes N steps of constant length a equal to the distance between two surface atoms. When an adsorbed atom moves on the surface of a grain by thermal hopping. the levels are degenerate (the U here is denoted V in section 6.1. According to (6.4).4. typically a few times 1013 s−1 .63).14).16) 9.15) tevap ∼ ν0 e Eb / kT . One can argue. For ﬁnite U0 .Grain surfaces 283 the energy barrier and move to a neighboring site. Replacing in (9. otherwise thop increases exponentially. However.5). one gets the evaporation time scale −1 (9.

A real grain has defects on its but the well is reached after a time tn surface.6 Scanning time For an ideal surface. we obtain barrier U0 to 0. U0 /k 10−11 s and E 2 − E 1 10 K. If the surface contains N sites altogether.e. an order of magnitude shorter than the crude estimate given here. but this discrepancy does not worry us considering the uncertainties and simpliﬁcations. The case of a one-dimensional double potential well can be generalized to a perfectly regularly structured grain surface.e. Let us evaluate the separation of the energy levels. the calculations yield E/k 30 K and thus ttun 10−12 s. 9. (9. the energy difference between the two split states |E 1 − E 2 | is replaced by the width E of the lowest energy band. we ﬁnd tscan º 10−6 / s. Suppose the grid constant of the atomic lattice is of unit length. so scanning is quick. Putting the potential centers and vibrating at a frequency ν0 = 3 × 10 100 K. E 2 − E 1 . the ttun estimates are coarse. tunneling to a site n grid spacings away is not a random walk.1. Inserting numbers for a ˚ grain of 1000 A radius. . tunneling can only be important for the lightest atoms.18) Provided that n. Obviously. to the lattice spacing 2a. The mobility of other species is restricted to thermal hopping.17) When it is applied to a hydrogen atom on ice. the mass of the gas atom m and the barrier height U0 . where the potential is periodic in two dimensions [Hol70]. (9. 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 . ttun 4 E . one calls τscan the scanning time.67 × 10−24 g) ˚ physically adsorbed on an ice layer with a spacing 2a = 2 A between force 12 s−1 . sites surrounded by a high potential which the atom cannot penetrate and where it is deﬂected in its motion. Because of the exponential terms. The defect sites invariably arise because the grain is bombarded by soft X-rays and cosmic rays. The full analysis gives a very similar residence time for an atom in a particular well.61) and (6. In the earlier expression for ttun . 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. thus leading to a random walk. i. n · ttun . i. i.284 Dust and its environment in the exponent.3 times the binding energy E b . and the tunneling time ttun from (6.63) for a hydrogen atom (m = 1.e. in practice for hydrogen or deuterium. It consists of as many sublevels as there are interacting wells. Let be the mean free path before the atom is scattered.

20) 2 V is the actual impact velocity and σe = πaeff the effective cross section. The bracket has a value greater than one when the dust is positively charged (Z > 0) and less or equal unity otherwise. .2. 1 Z e2 1 m e v2 = m e V 2 − 2 2 a aeff v = aV. Mechanisms are at work that tend to alter its charge. 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. notably • • • the impact of an electron the impact of a positive ion and the ejection of an electron by a UV photon. In equilibrium. Ye their sticking probability and the bracket . This critical value is determined by 2 m e v0 Z e2 = . 2 a . denotes an average over the Maxwellian velocity distribution (5. Consider a spherical grain of radius a and charge Z . 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. 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. 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 . The term in the brackets determines the change over the pure geometrical cross section σgeo = πa 2 .19) (9.21) n e is their density. (9. 9. .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. In the case of negative grain charge (Z < 0).Grain charge 285 9.2 Grain charge A grain in interstellar space is not likely to be electrically neutral.

kT . equals the work Z e2 /a necessary to liberate one unit charge. one has to include a term in the charge equilibrium equation (9. vσ (v) e = vσ (v) i . There are corresponding formulae for ion capture where the quantities m.3 that for a ﬁxed temperature.21). We notice that in a hot plasma. For a plasma with equal density and sticking probability for electrons and singly charged ions. σ.22) that accounts for the fact that UV . As one would expect. we must put v0 = 0.23) 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. (A. we get exp Z e2 akT = me mi 1 2 1− Z e2 akT . where + Z e2 (9. When we evaluate the integrals vσ (v) using the relations (A. n e = n i and Ye = Yi . The impact rate of electrons on a grain of charge Z is n e v σeff . (9. the charge can become very large.286 Dust and its environment Otherwise. Y bear the subscript i. 9. large grains bear a greater charge than small ones but the potential U= Ze a does not change. the average refers to a Maxwell distribution for electrons and on the right for ions. by order of magnitude. In equilibrium. if Z ≥ 0. e Interestingly.2.28) for the ions and (A.2 The photoelectric effect 9. There is a corresponding equation for ions. the grain must be negatively charged (Z < 0) because the electrons are so much faster than ions.22) On the left.2.24) Z −2. Heavier ions make the grain more negative but only a little. n.32) for the electrons. Solving this equation for x = Z e2 /akT and assuming that the ions are protons. Z adjusts itself in such a way that.30) and (A. Without photoemission. We see in ﬁgure 9.1 The charge balance In the presence of a hard radiation ﬁeld of mean intensity Jν .2. we can write for the brackets that appear in (9. the mean kinetic energy of a gas atom.26). one ﬁnds akT (9. the degree of ionization and the density of the plasma do not appear in this formula.5 2 .

The second parameter. Putting the sticking probability Ye of electrons equal to one. yν . Photoelectric processes are absent. If photoemission is strong. One can immediately solve (9. provided one knows the parameters νt and yν . the grain will be positively charged. This certainly happens near a star of early spectral type but also in diffuse clouds permeated by the average interstellar radiation ﬁeld. one can then neglect the impact of positive ions. hν (9. is the yield for photoemission.25) for the charge Z . The ﬁrst.25) We divided under the integral by hν because we wanted the number of absorbed photons. 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. 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. represents a threshold frequency for photon absorption leading to electron emission. . 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. νt .3. photons can chip off electrons from the bulk material of the grain.Grain charge 287 Figure 9.

le . it is evident that small grains (radii a ∼ 50 A) are much more efﬁcient in ˚ photoemission than big ones (a ∼ 1000 A). possibly shorter for metals and longer in dielectrics.26) where the integrals extend over the whole grain volume V . The mean free path of electrons in the bulk material.52). Because of the factor ˚ e−x/ le . The factor C incorporates the following two probabilities: for excitation of an electron to a ‘free’ state and. E ν . when such an electron has reached the surface. is of order ˚ 30 A. the electron is thermalized and its own average energy will then also be 3 kT . The likelihood P that the absorption leads to emission of a photoelectron is assumed to have the form P = C exp(−x/le ). 9. 2 hν (9. one gets d Wa = − div S d V where S is the Poynting vector. Let the subvolume be at a depth x below the surface. the excess energy. for penetrating to the outside and not being reﬂected. one can compute the internal ﬁeld of the grain (the relevant formula is (2. The energy absorbed by a subvolume d V of a grain is given by (2. The material constants are uncertain but various evidence points towards yν ∼ 0. As the mean kinetic energy of a photoejected electron.27) . the higher the chance for deexcitation. after subtraction of the electrostatic grain potential U . In the end.2. is collisionally imparted to the gas.45)) and thus the Poynting vector. 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 deeper the subvolume d V below the grain surface.13).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.2. When one applies the Gauss theorem (A.3 The photoelectric effect and gas heating Photoemission can also be important for heating the interstellar gas. 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.2 The photon yield The yield yν for photoemission may be estimated from the following physical picture based on classical electrodynamics [Pep70].1 [Wat72].288 Dust and its environment 9.2. From Mie theory. exceeds the average thermal energy 3 2 kT of a gas particle.

29) needed to move a spherical grain of geometrical cross section πa 2 at a constant velocity V through a gas. . N(vx ) dvx = N m 2πkT 1/2 e−m(vx +V ) 2 /2kT dvx . vx + dvx ] that hit the grain head-on (vx < 0) equals −πa 2 vx N(vx )dvx and each atom imparts in an .28) in a numerical experiment. unaffected and purely Maxwellian. N (9. If the vectors Li are of constant length L but in an 2 arbitrary direction. The maximum of N(vx ) is now at vx = −V .4 shows a two-dimensional random walk and ﬁgure 9. one has arrived at the position R N = R N−1 + L N . the mean square of the distance. The y. x = 0 and F = µV . In a steady state. Figure 9. starting from position R0 = 0. ¨ We determine the force F in (9. of course.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. grows like R2 = N L 2 .3 Grain motion 9.Grain motion 289 The photoeffect has to be invoked to explain the fairly high temperatures of 50 .3. there it is the dominant heating mechanism.29) On the right stands an accelerational term M x and a dissipational term.28) by induction because the average of R N · L N−1 obviously vanishes. After N steps. RN . Let the grain advance in the positive x-direction. a sequence of steps deﬁned by the vectors Li . Suppose one applies a constant outer force F on the test particle of mass M.27) alone but only from the balance with the cooling processes. The velocity distribution N(vx ) of the gas atoms along this direction with respect to the grain is no longer given by equation (5. the temperature does not follow from the rate H in (9.3. The ¨ coefﬁcient µ in the latter depends on the properties of both the ﬂuid and the test particle.28) It is straightforward to prove (9.and z-axes are. The gas has a number density N at temperature T and its atoms have a mass m M. 100 K observed in HI regions. 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. in three-dimensional space. 9.5 the veriﬁcation of formula (9.14) but has an offset in the exponent. The number of atoms in the velocity range [vx .1 Random walk Suppose one makes. ¨ ˙ (9. . Of course. whereas in the rest frame of the gas it is at zero velocity. 9.

which leads to the expression πa 2 Nm • m 2πkT 1/2 0 −∞ 2 vx e−m(vx +V ) 2 /2kT dvx . Random walk in two dimensions starting at the coordinate center (0.4.30) Suppose the grain moves much slower than sound. The term that does not cancel out under this operation is F = πa 2 4NmV and therefore.30) w = vx + V and taking the momentum difference between front and back. Substituting in (9. one has to integrate over all velocities vx < 0. (9.31) . one gets the retarding force on the grain.290 Dust and its environment Figure 9. −46). F = πa 2 NmV 8kT mπ 1/2 m 2πkT 1/2 0 ∞ we−mw 2 /2kT dw . the momentum mvx . To obtain the total momentum transfer. inelastic collision. (9. 0) and ending after 2700 steps of equal length L = 1 at the big dot near (5.

the drift velocity. for subsonic motion.32) F is now proportional to the square of the velocity. the and the drift velocity V . the friction coefﬁcient becomes µ = πa 2 Nm v . in a random walk one travels after N steps a mean distance √ N L (smooth line).4 is the jittery line. πa 2 . The drag is proportional to the geometrical cross section of √ grain. corresponding to an efﬁciency Q rp = 1.7) and (2. C rp .Grain motion 291 Figure 9. The actual distance in the numerical experiment of ﬁgure 9.8) but there the letter F means ﬂux). the forces would be larger by about a factor of two. According to (9. With the mean gas velocity v = 8kT /mπ. equal to the geometrical cross section σgeo = πa 2 . there is only a force acting on the front side and the momentum transfer is simply F = πa 2 NmV 2 . • When the grain moves highly supersonically. In the case of direct illumination by a star. An astronomically important case of an outer force acting on dust particles is provided by radiation pressure (see formulae (2. we may approximately set the cross section for radiation pressure.5. is then mπ 1/2 L∗ . (9. V = 2 Nm 8kT 4πcr .28). In elastic collisions. If L ∗ is the stellar luminosity and r the distance of the grain to the star.

The removal is always rapid as one can show by integrating radius falls with M∗ the outward acceleration v = 3L ∗ /16πcρgr ar 2 (see (9.1 µm) are acr 3.24 L∗ L M∗ M 3L ∗ 4πc Gρgr M∗ −1 (9.35) Grains smaller than acr are expelled. a 10 M star has 2.3. The kinetic energy in a 20 K gas only V = 28 cm s of the grain. E kin.3 Brownian motion of a grain Under equipartition between dust particles and gas.292 Dust and its environment N. 3 2 kTgas = E kin = 1 M V 2 .33) (9. Around main sequence stars.34) . ˙ 9. From the balance between the two. However. equally distributed among the three degrees of freedom.33)). the grains perform a Brownian motion. 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. the gas density is always low and the gas drag unimportant.36) ˚ Even a small grain of a = 100 A with bulk density ρgr = 2.4 mm. Evaluating this formula for typical numbers of L ∗ . M (9. 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. . is.5 . For low mass stars L ∗ ∝ M∗ and the critical 2. too. 2 The Brownian velocity V follows from V = 3kTgas . so 2 M Vx2 = M Vy = M Vz2 . N and T . one ﬁnds that in stellar environments supersonic drift speeds are easily achieved. C rp is much smaller than the geometrical cross section and V accordingly smaller. on average.5 blown away by radiation pressure. In such circumstances. (9. For instance. It has a translatory and a rotational part but for the moment we neglect rotation. L ∗ σgeo G M∗ M = 2 r 4πcr 2 one obtains a critical grain radius independent of the distance: acr = or acr µm 0. so all particles with sizes of interstellar grains (∼0. If M and V denote the mass and velocity of the dust particle. A grain is attracted towards the star of mass M∗ by gravitation and repelled by radiation pressure. m and T refer to the gas.5 g cm−3 has −1 : it is practically at rest.

Thus we require F V = p2 /2M and because M V 2 = kT in equilibrium at temperature T . the friction coefﬁcient can be expressed through the damping time tdis . must be constant in time because the particle has no memory about its past. After a disorder or damping time tdis.29) by x. the associated heat loss F V must be compensated by a permanent acceleration p2 /2M. the rate of change of the mean square distance. (9. In a quasi-stationary state at constant velocity V . when all directions are equal. it will have completely lost its memory about p0 .39) Nmvπa 2 Because F = µV = M d V /dt M V /tdis. (9. Therefore. the square of the distance r grows linearly with time. ﬁrst. as in a random walk. this equation shortens. (9. The latter always involves dissipation of energy. d x 2 /dt. 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. therefore. tdis (9. p2 . when M V 2 = mv 2 the momentum of the grain is profoundly altered after M/m collisions. where p2 is the average change in the square of the momentum.Grain motion 293 The one-dimensional equation (9.37) To ﬁnd the mean distance that a grain travels when there is no external force. p2 = 6µkT. 2 dt dt 2 dt On taking averages.e.40) . So in equipartition.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. On ˙ averaging. we get p2 = 2µkT . 6kT t.4 The disorder time Suppose a grain has.38) r 2 ≡ x 2 + y2 + z2 = µ F x = M x x + µx x = ¨ ˙ 9. at a certain instant. Second. per unit time due to collisions with gas atoms. when the mass of the colliding atoms equals the mass of the grain. M d dx2 µ dx2 − Mx2 + ˙ . we multiply equation (9. the momentum p0 . and Z atoms by mv Z . we note. i. tdis = µ= M . in three dimensions.3. In three dimensions. to 1 µ d x 2 /dt = M x 2 = kT . the disorder or damping time is M . in a gas of number density N. 2 Therefore. One impinging gas atom of mass m M and velocity v changes the momentum of √ the grain statistically by mv.

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%. the time evolution of the mean square deviation r 2 = x 2 + y 2 . To follow the stochastic evolution. The parameters are such that a gas atom impacts the grain about once every 1000 s. The actual occurrence of such an event is prompted by a random number generator. Because of the large 2 time interval displayed in the plot. and likewise for N(v y ).6.38) only after integrating over many disorder times tdis because one disorder time corresponds to one step in the random walk of ﬁgure 9.14) into 100 velocity intervals.05 × 10−17 g.6 also yield. radius 100 A.38) with the dissipation constant µ from (9.and 2 y-component of the velocity. The computations pertaining to ﬁgure 9.294 Dust and its environment Figure 9. .40).4. Choosing a time step of 103 s. hydrogen atoms at T = 100 K with number density 104 cm−3 . mass M = 1. The ﬁgure shows the x.39) equals 1. of course.6 displays a numerical experiment of a two-dimensional Brownian motion assuming inelastic collisions. The disorder time according to (9.5 × 109 s. Therefore one can check whether r 2 (t) fulﬁls the theoretical prediction of equation (9. grain ˚ parameters. either from the front or back. we bin the velocity distribution of the gas atoms N(vx ) of (5. Figure 9. the chance that during one time step the grain is hit by an atom within a certain velocity interval. is small. the actual jitter is graphically not fully resolved. One ﬁnds good agreement between numerical experiment and (9. initially 1 M Vx = kT and V y = 0. Numerical experiment of a two-dimensional Brownian motion: gas parameters.

For a rectangle of area A = bl and with normal perpendicular to the velocity v.41). A sphere rotating at velocity v at the circumference is retarded by a torque τ = Fa with F also approximately given by (9.74) and equation (15.93) and is of order one. The retarding force F in (9.89)). that µ = 6πηa.41) where η = ρν. When the ﬂow is turbulent. in which the gas velocity increases from zero. we consider gases of sufﬁciently high density such that the mean free path of the atoms after (15. So the discussion does not apply to grains in the interstellar medium but is relevant to dust particles in accretion disks (section 15. the gas density ρ = Nm and the velocity squared. D (9.29) we ﬁnd.4) or planetary atmospheres. if one writes for a sphere: F = νρ ∂v 2πa 2 ∂a • and replaces the derivative ∂v/∂a by v/a. to v at the boundary of the layer. according to Stokes law. This somewhat strange result can be understood from (15. For the coefﬁcient µ in (9. But even in a turbulent ﬂow there is a laminar surface layer of thickness D. To obtain the coefﬁcient 6π rigorously is tiresome.41).90) is smaller than the dimension of the body moving through the gas. and ρ and ν are the density and kinematic viscosity coefﬁcient of the gas (see the empirical relation (15. • A laminar ﬂow of velocity v around a sphere of radius a exerts. on the surface of the body. The coefﬁcient cW depends on the Reynolds number (15. by comparison with (9.42) The work required to renew the kinetic energy of the surface layer continually is 1 v2 = v 2 bv Dρ.3. the retarding force is F = ηA v .74).41) is linearly proportional to the velocity v but also to the radius a. F is now proportional to the cross section πa 2 . the decelerating force becomes F = cW πa 2 ρv 2 as in (9. Fv = ηbl D 2 .Grain motion 9. a force F = 6πηav (9.32).5 Laminar and turbulent friction 295 In this section.

43) where ζ 75 erg cm−2 is the surface tension of water. V ∝ a 1/2.45) The pressure can become high. a more precise formula is ζ(T ) = 116. It is slightly temperature dependent. we study a falling rain drop.6 A falling rain drop As an example. Not to be a sphere. almost. one ﬁnds by integration for the thickness of this so called Prandtl layer D= 6ηl . the terminal velocity of the falling drop changes like V ∝ a 2 . When one takes into account that the velocity in the surface layer increases linearly from zero to v. would be energetically quite disadvantageous. vρ Inserting D into (9.1 mm and sinks at a velocity V ∼ 1 m s−1 . for large ones. where it is surrounded by other water molecules on all sides. By equating the p d V work (here d V = inﬁnitesimal volume) to the work required to create new surface. The rain drop is pulled by gravity with the force F = 4πa 3 gρw/3 (gravitational acceleration g = 981 cm s−2 .42) gives a force that is in between the purely laminar and turbulent cases. −3 g cm−3 .8 × 10 density ρ 1. i.44) One roughly estimates that to lift a molecule from the interior of the drop.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. For small Reynolds numbers.3. it also follows that the pressure p inside a drop of radius a is given by p= 2ζ . To create an area d A of surface takes the work dW = ζ d A (9. to have (for the same mass) a surface larger than necessary.e. η = ρν −4 g cm−1 s−1 ). Equation (9.15 cm2 s−1 . With the appropriate numbers for air (kinematic viscosity ν 0. This has the advantage over an interstellar grain that its properties are known and that it is shaped like a perfect sphere. 9. when the drop has a radius a ∼ 0.82 − 0. .151T erg cm−2 . to the surface requires a few hundredths eV.2 × 10 and laminar deceleration become equal.1 µm in radius. a (9.45) is needed when evaluating the evaporation of small grains.93) is then slightly below 10. the turbulent 1. The Reynolds number Re = aV /ν of (15. water density ρw = 1 g cm−3 ). (9. 6πηaV = πa 2 ρV 2 . it is more than ten times the atmospheric pressure at sea level for a rain drop 0.

Because there is mostly optical radiation. (9.3.7 The Poynting–Robertson effect 297 Consider a grain of mass m.47) τPR = L ∗ σgeo or.48) yr µm L AU The Poynting–Robertson effect is an efﬁcient way to remove dust in the solar system. mπc2 2 r (9. assuming a density of ρgr = 2. the angular momentum of the grain decreases per unit time through emission by L ∗ σgeo E d = −m photr v = − 2 r v = − . dt 2r dt Due to the loss of angular momentum.Grain motion 9. the absorption coefﬁcient of the grain is C abs σgeo and the particle absorbs per unit time the energy E= L ∗ σgeo . radius a and geometrical cross section σgeo = πa 2 circling a star at distance r with frequency ω and velocity v = ωr . the stellar photons that are absorbed travel in a radial direction and carry no angular momentum. If we associate with the absorbed energy E a mass m phot = E/c2 . Seen from a nonrotating rest frame. a τPR L ∗ −1 r 2 = 1700 . Let M∗ and L ∗ be the mass and luminosity of the star. the distance of the grain to the star shrinks according to L ∗ σgeo dr =− · . during the lifetime of the Sun (∼ 5 × 109 yr) only bodies we get v = G M∗ /r and . 4πr 2 In thermal balance.46) dt 2πr mc2 When we integrate the equation dt = −(2πmc2/L ∗ σgeo )r dr from some r . (9.5 g cm−3 for the grain material. the same amount is re-emitted. The angular momentum of the grain is = mr 2 ω = mr v. dt c 4πc2r 2 m Because for a circular orbit √ v2 G M∗ = 2 r r dr d = . we ﬁnd the time τPR that it takes a initial radius r to the stellar radius R∗ grain to fall into the star. For instance. whereas the emitted photons do because they partake in the circular motion of the grain around the star. in more practical units.

including dust. Coagulation: in dark clouds. Therefore the numbers given here are not precise at all but they do show the order of magnitude. Most grains probably form in the wind of red giants (like M stars. This phenomenon arises because one has to add the velocity of the photon and the grain according to the rules of special relativity. Birth: .1. they are born.298 Dust and its environment with a diameter greater than 6 m (!) can have survived within the orbit of the Earth. gas atoms condense onto grain surfaces to form mantles.4 Grain destruction 9. 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. continually changing interstellar medium. IRG and ISN . As gas and dust are intimately linked. mainly in star formation. The star formation rate implies that within one billion years. 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. So the input rate of dust from red giants is IRG ∼ 0. red giants (∼20%) and supernovae (∼10%?). In such a reference frame. all interstellar matter. Destruction: partial or complete. It comes mainly from planetary nebulae which supply about 80% of the gas. grains collide. In a steady state. stick and form larger particles. modiﬁed and destroyed in processes such as mainly in old (evolved) stars with extended shells but possibly also in novae and supernovae (SN). The photons thus decrease the angular momentum of the grain and force it to spiral into the star.4. and express them in solar masses per year. respectively. OH/IR and carbon stars) as high temperature condensates. The rates at which this happens are quite uncertain. The Poynting–Robertson effect also works when the photons are not absorbed but isotropically scattered. The continuous mass loss of gas in star formation must be offset by an equal mass input. a short period compared to the Hubble time. As part of the dynamic.1 Mass balance in the Milky Way Grains do not live forever but have a ﬁnite lifetime. we begin with a few remarks about the mass balance of all interstellar matter in the Milky Way. hot gas or shocks. 9.01 M yr−1 . Accretion: in dark clouds. four important numbers are listed in table 9. dust formation is balanced by dust destruction. red giants and supernovae by IPN . The Poynting–Robertson effect may also be described by an observer in a frame corotating with the grain. Let us denote the input rates of dust due to planetary nebulae. Particles existing today smaller than 6 m must have been replenished from comets or asteroids. is processed in stars.

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. But even for impact energies above the threshhold.Grain destruction 299 Table 9.4. tSF = Mgas ∼ 109 yr. they are cycled at least 10 times between cloud and intercloud medium.1. For each input rate. The loss rate of dust associated with astration equals ISF = Mdust /tSF ∼ 0. one gets a dust input rate from supernovae comparable to that of red giants of ISN ∼ 0. Although this is all potential dust material. possibly η ∼ 0. H2 O or otherwise and is unable to form grains.1). are less effective than giants in forming grains so that probably IPN < IRG . a considerable fraction is locked up in CO.4). To estimate the contribution of supernovae to the dust balance. But by far the greatest sink is star formation and the destruction rate tSF gives the maximum lifetime of a grain. . Atoms are ejected from a grain by colliding gas particles. 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). This happens near luminous stars.01 M yr−1 . I • If grains should live a billion years.03 M yr−1 . The solid is heated up to the condensation temperature.3) when the grains are extremely small or have volatile mantles. to a certain extent in HII regions (section 14.2 Destruction processes Grains are destroyed in various processes (recommended reading [Sea87] and [McK89]) such as the following ones. Sputtering.03 yr−1 Planetary nebulae.3 M of dust and if there are three supernova events per century in the Milky Way (see table 9. although they inject more gas into the interstellar medium. suppose that 3 M of heavy elements are ejected per SN explosion. If one assumes that each explosion creates 0. Global parameters of the Milky Way relevant to the mass balance of dust. also in the diffuse medium (section 14.49) Mdust . τSFR (9. atoms are chipped off only with an efﬁciency η smaller than one.1. one can deﬁne a formation time scale t by t= 9. • Evaporation. either neutrals or ions.

4. grains will be vaporized if the efﬁciency for knocking off atoms is greater than 1%. The mechanism of grain destruction depends on the type of shock: • In a fast shock. • To estimate the importance of shock destruction.2.1 Destruction in shocks Besides star formation. so big grains become faster than small ones and are more easily destroyed. Photodesorption which is the ejection of grain atoms by photons. cooling is slow. the cooling time is smaller than the expansion time of the supernova remnant. A charged grain of mass m will gyrate in the magnetic ﬁeld B. the shock becomes radiative when v ≤ 200(n 2 /E 51 )1/14 km s−1 . . whereas the binding energy is only 5 . According to [McK89]. usually in grain–grain collisions. A supernova rate . If one determines the rate of impinging protons using (9. E 51 is the energy expressed in units of 1051 erg. In a low-velocity shock. 10 eV for refractory material. The ﬁnal velocity vgr is limited by drag forces from the gas. A velocity of 100 km s−1 corresponds to ∼1000 eV kinetic energy per atom. In a gas of density n = 1 cm−3 and with the standard explosion energy E 51 = 1. The collisional velocities between the grain and the gas atoms are now non-thermal and non-thermal sputtering dominates. the component of B parallel to the shock front. During the ﬁrst (Sedov) stage. whereas in normal clouds only a fraction of order 1% of these atoms is in the gas phase. The shock is radiative and the density jump is much greater than four. 2 at later times. High-velocity clouds are interpreted to be fragments of an expanding and shocked supernova shell. Sputtering is thermal because the velocities of the gas atoms are thermal. Shattering which is the destruction of a grain into smaller units. small grains may survive. the grain velocity vgr increases because its magnetic 2 moment µ = mvgr /2B is conserved and the grain is accelerated (betatron acceleration). one ﬁnds for the mass of the supernova shell MSNR ∼ 103 M at the onset of the radiative phase. 9. grains are mostly destroyed in shocks associated with supernova remnants (SNR). the remnant of mass MSNR and velocity v is adiabatic and its kinetic energy E = 1 MSNR v 2 conserved. The decelaration is proportional to the inverse of the grain radius. Grains may also collide with one another. one ﬁnds that at least small grains are likely to be eroded. 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. we turn to the theory of supernova blasts. The shock is adiabatic or non-radiative and has a moderate density jump of four. is compressed. As B . A shock with v ∼ 300 km s−1 corresponds to a temperature T ∼ 3 × 106 K.300 • • • Dust and its environment Grain–grain collisions after acceleration in a magnetic ﬁeld.1) and adopts a gas density n = 1 cm−3 . the momentum vMSNR is constant. .

also to interstellar grains.03 yr−1 then implies that all interstellar material of the Milky Way is processed in a time tSNR = Mgas ∼ 2 × 108 yr. Q dP = dT (Vg − Vf )T (9.4. are in equilibrium at temperature T . however. Low-velocity shocks are also efﬁcacious. The examples refer to water because its properties are experimentally well established but the physics apply. Therefore the mantle material with a low binding energy is conﬁned to dark clouds. like liquid and gas. MSNR τSN As the high-velocity clouds indicate an efﬁciency for dust destruction of 50%. the associated timescale (∼4 × 108 yr) is substantially shorter than the joint dust injection time scale from supernovae and red giants (∼1.50) .1% of all interstellar matter.5. grains of 1000 A size are eroded in ∼109 yr. the vapor pressure P changes with T according to the Clausius–Clapeyron equation.5 Grain formation We derive approximate equations that describe the nucleation of monomers into large clusters. n > 10 cm−3 ). 9. with some modiﬁcations.3 Sputtering of grain mantles Similarly simple computations show that volatile grain mantle material which has low binding energies per atom (∼0.2 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). In a steady state.5 × 109 yr).1 eV) is effectively sputtered in the diffuse interstellar medium (T ∼ 103 . For the total dust in the Milky Way. Assuming there a gas density ˚ n = 10−3 cm−3 . There. 9. this requires an additional dust source for which accretion in the interstellar medium. .4. 104 K. especially in dark clouds. is usually invoked.Grain formation 301 τSN = 0. . the material constants are poorly known. negligible because it contains only ∼0.2.2. 9. 9. in agreement with observations. destruction in the coronal gas is.1 Evaporation temperature of dust When two phases. however.

also valid with respect to sublimation.7). and the gas constant R. The shaded area marks the ﬂuid. one returns the latent heat Q and the work (P − d P)(Vg − Vf ). respectively. the total effective work done is. The fundamental formula (9. one brings the system back to its initial state (P. and thus applies to the evaporation of interstellar grains and their mantles. in view of the ﬁrst law of .50) is derived in a thought experiment from a Carnot cycle: • First. We remember that 1 mol consists of L = 6. 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. the substance expands from Vf to Vg and the vapor pressure P does the work P (Vg − Vf ) by lifting a piston. with obvious modiﬁcations. where Vg and Vf are the volume per mol in the gas and f luid phase. see text.302 Dust and its environment 1 r p ∞ Vg. A reversible cycle employing two vessels to ﬁnd the vapor pressure of a drop of radius r . • As the internal energy of the system is the same at the beginning and the end of the cycle. Then the vapor is condensed in another heat bath at slightly lower temperature T − d T and pressure P − d P. L (9.7. and Q is the heat necessary to evaporate 1 mol.r Figure 9. the Boltzmann constant k and L are related through k= R .51) The Clausius–Clapeyron equation is. ∞ 2 pr Vg. this requires heat Q. T ). During the phase transition from ﬂuid to gas. Finally. In this way. L is Loschmidt’s number.02 × 1023 molecules. which is the phase transition between the solid and gas phases.

the result is rather insensitive to the gas density.8 assuming an H2 O abundance of 10−7 . (9. kT = 8.Grain formation thermodynamics (see (5. assuming six degrees of freedom per molecule. One gram of H2 O.8.54) (9. according to the second law of thermodynamics. Therefore.1 cal to vaporize the water.184 × 107 erg the total sublimation energy per H2 O molecule at 0 ◦ C is.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. The efﬁciency of converting heat Q into work is η= d P · (Vg − Vf ) dT = Q T 303 (9. it takes 79.55) Because of the exponential dependence of the vapor pressure on temperature. 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. n X kT . water ice evaporates at T ∼ 120 K as one can read from ﬁgure 9.49) with dU = 0).37 × 109 erg. NH3 and CH4 by ∼30 K.8. has N = 3. Vg . (9. This agrees nicely with the ﬁt parameter T0 = 6170 K in ﬁgure 9. Because 1 cal = 4. A rise in density from 106 to 1012 cm−3 increases the evaporation pressure for H2 O. CO2 (20 K). Typical evaporation temperatures of other astronomically important species are: hydrogen (3 K). then 100 cal to heat it up the water to 100 ◦C and another 539. At hydrogen densities of order ∼106 cm−3 . one gains 3Nk T = 1. P0 and T0 have to be determined experimentally. in whatever form. therefore. no heat engine can do better. . CO. If it is ice.54) is very general and does not say anything about the details of a speciﬁc phase transition. In cooling the vapor by T = 100 K from 100 to 0 ◦ C. equal to the evaporation pressure. silicates (1800 K) and graphites (2500 K). we can approximate (9.52) and. They can be neatly ﬁt over the whole range by equation (9. Equation (9.54) with properly chosen constants. P0 e−T0 /Tevap = n X kTevap .4 cal to liquify it at 0 ◦ C. Ammonia and methane go into the gas phase already at about 90 and 70 K. d P · (Vg − Vf ) = Q − Q . respectively. Laboratory data for water ice from 0 ◦ C down to −98 ◦C are displayed in ﬁgure 9.50) by Because Vf Q d ln P = dT RT 2 which has the solution P = P0 e−T0 /T T0 ≡ Q/R.22 × 1022 molecules.64 × 10−13 erg corresponding to a temperature of 6260 K.

p∞ . The lower horizontal line shows the partial gas pressure. (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. 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 . one performs an isothermal reversible cycle of four steps.5. the full curve is a ﬁt according to (9.7). This has fundamental consequences. 9. we write down the work Wi that is being done in each step. Vapor pressure of ice. To compute pr .1 cm−3 . The upper horizontal line is for n X = 105 cm−3 . therefore. Evaporation is.304 Dust and its environment Figure 9. the formulae for Wi are elementary. P = n X kT in mm Hg column for a number density n X = 0.8.54) with T0 = 6170 K and P0 = 4.2 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.0 × 1013 dyn cm−2 or 3.0 × 1010 mm of Hg column. The volumes per mol of gas and . Here.43). As molecules leave the grain. Experimental points (dots) from [Wea77]. The ﬁt is extrapolated to lower temperatures. easier in grains of small radius r and their vapor pressure pr is higher than that over a ﬂat surface. the surface area shrinks by an amount d A thereby creating the energy d W = ζ d A according to (9.

(4) To complete the cycle. As the cycle was isothermal (d T = 0). W2 = RT ln( pr / p∞ ). W1 = pr Vg.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.56). W3 = −RT.5. 2ζ /r . a sphere of diameter 2r is in equilibrium with the vapor. 9. a smaller one will evaporate. so all the time r = constant. The vapor is then said to be supersaturated. 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∞ (9.45) and the outer pressure pr the same amount of liquid as is being lost to the gas. (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∞ . we take from vessel 2 with a syringe 1 mol of liquid.Grain formation 305 ﬂuid are Vg. = p∞ kT r (9. When 1 mol has become gaseous.r − pr + 2ζ r Vf . so r is the critical cluster radius. we calculate the work W needed to form in a reversible cycle a drop of radius . W4 = Vf p∞ . Because RT = pV and because the pressure in the drop. (2) Isothermal expansion from pressure pr to p∞ of the 1 mol of gas that has been vaporized in step (1).r and Vf . we obtain ln pr 2ζ v0 . is much bigger than pr − p∞ . 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. respectively. Let v0 denote the volume of one molecule in the liquid phase. At pressure pr given by (9. a bigger drop will grow indeﬁnitely.57) is greater than one.3 Critical saturation To estimate the critical saturation parameter scr > 1 at which clusters are created. the sum Wi must be zero.

For longrange forces. When we insert the saturation parameter s = p/ p∞ of (9. S = k ln . Therefore.57).58) The term −nkT ln( p/ p∞ ) is the potential energy of the drop. to subtract from the system the heat Q = W . The other term 4πζ r 2 . The work in each of the four steps is denoted by Wi .306 Dust and its environment r . W2 = −nkT ln( p/ p∞ ). so W = Wi . Although the entropy of a macroscopic system can only increase. (3) Press the n atoms into another vessel. on a microscopic level all processes are reversible and S ﬂuctuates. according to the ﬁrst law of thermodynamics. 3 (9. For the sum we get W = −nkT ln( p/ p∞ ) + 4πζ r 2 = 1 ζ · 4πr 2 . W3 = nkT. (9. introduces a correction because atoms on the surface are attracted only from one side.51)) S = Q/T = 4πζ r 2 /3T. only connect to their nearest neighbors. one has. therefore. (1) Remove n gas atoms from the vessel. the probability P = 1/ for the formation of a seed is given by e−S/ k . S decreases because a liquid represents a state of higher order than a gas. W4 = 4πζ r 2 . 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 . W1 = −nkT. during formation of the droplet the entropy of the system falls by (see (5. which goes as n 2/3 . Formation of a seed grain comes about by such an entropy ﬂuctuation. As the entropy is after (5.43) equal to Boltzmann constant k multiplied by the logarithm of the number of states.59) . (2) Isothermally expand these n atoms from p to p∞ . It is proportional to the number of molecules n because the molecules possess shortrange forces and. As the energy of the system stays constant over the cycle. 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). also at temperature T but containing a liquid of ﬂat surface under vapor pressure p∞ .

changing from practically impossible to highly likely in a narrow interval s. there are. A small cluster or droplet of n molecules is an n-mer with concentration cn .4 Equations for time-dependent homogeneous nucleation Let us study the creation of seed grains in a kinetic picture. the exponent S/k ∼ 116/ ln2 s. 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 . If atoms impinge on a drop at a rate βn An and evaporate from it at a rate αn An .Grain formation 307 For water (ζ = 75 erg cm−2 . 2 denoted c1 . the factor N 2 vσ has very little inﬂuence. all the physics is contained in the coefﬁcients for evaporation and accretion. one speaks of homogeneous nucleation.56).61) .57). 3 n Consider a gas of constant temperature T and pressure p = c1 kT with saturation parameter s = p/ p∞ > 1 after (9. in contrast to heterogeneous nucleation when different molecular species or ions are present. The outcome of the simple calculation depends entirely on the exponent in (9. v0 = 9 × 10−24 cm3 ) at T = 1000 K. per second. mean velocity and collisional cross section of the vapor atoms. where v is the mean velocity of (9. S/k ∼ 500/ ln2 s. then pn αn = √ 2πmkT p β= √ . N 2 vσ atomic collisions each leading with a probability P to the formation of a seed. 2πmkT (9. If N. to s. A cluster has a radius rn and a surface area An = 4πrn . if ζ /T is ﬁxed. One ﬁnds typical values of the critical saturation parameter for water at room temperature around 10 which implies in view of (9. For carbon compounds (ζ ∼ 1000 erg cm−2 . ˚ o 9.0 × 10−23 cm3 ) at temperature T = 275 K.1) and pn /kT from (9.59) which has to be of order one.5. 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 . If the gas has only one kind of atoms or molecules of mass m. n and rn are related through nv0 = 4π 3 r . So J = N 2 vσ P is the rate at which seeds form and the condition N 2 vσ P ∼ 1 yields scr .60) This is a very general equation. ˙ (9. When v0 is the volume of one molecule. v and σ denote the number density. The number density of the gas molecules (they are monomers) is. v0 = 3. It is exactly this property which allows us to estimate the critical value scr as follows. αn and βn . The probability P is most sensitive to ζ /T and.56) a critical seed radius rcr of a few angstr¨ ms. therefore.

When they have climbed the barrier. 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 . All values at n ∗ will. β is constant for all n and the sticking coefﬁcient is one. the difference in free enthalpy. In a steady state (subscript s). they will grow unrestrictedly. They have to overcome the barrier of height G ∗ . G n is. Jn = J s = constant > 0. ˙ Equation (9. (9. it has its maximum at n ∗ where ∂ G n /∂n = 0.62) We can now transform equation (9. Figure 9.5 Equilibrium distribution and steady-state nucleation When the system is in phase equilibrium. The last relation also enables us to write.58)). be marked by an asterisk.308 Dust and its environment In this case. The conditions for steady state are less stringent than for equilibrium because Jn need not vanish. In equilibrium.65) G n = 4πζ rn − nkT ln( pn / p∞ ). nothing changes with time and ∂/∂t = 0. So n ∗ is the critical size.10 plots the dependence of n ∗ on the saturation parameter s. it only has to be a positive constant.63) 0 The equilibrium concentrations cn are given by the Boltzmann formula 0 0 cn = c1 e − G n / kT (9. for a system at constant temperature and pressure.5.5 on the equilibrium conditions of the state functions.60) into the deceptively simple looking form cn = Jn−1 − Jn . for non-equilibrium conditions. detailed balance holds. We will ﬂag equilibrium concentrations by the superscript 0. pn is the vapor pressure of an n-mer according to (9. 2 (9. . Jn = 0 and 0 0 cn β An = cn+1 αn+1 An+1 .60) disregards collisions between clusters. 0 cn (9. The function G n is depicted in ﬁgure 9.56).64) where G n is the work to be expended for creating an n-mer out of monomers (see (9.9. 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. In view of the discussion in section 5. their size is n ∗ and for n > n ∗ .3. in the following. 0 Jn = −cn β An cn+1 0 cn+1 − cn .

65)). The broken curve depicts the equilibrium 0 concentration cn of n-mers on an arbitrary linear scale.9. from (9. Under this condition.Grain formation 309 2 Figure 9. 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. one has to invoke a Maxwellian demon who removes large clusters with n ≥ L > n ∗ by gasifying them.66) To realize a steady state in a thought experiment. the minimum is at n = n ∗ . we get. T = 300 K. (9. s = p/ p∞ = 4 and the surface tension ζ = 75 erg cm−2 . The curve reaches its maximum at n ∗ . cs Js cs = n − n+1 0 0 0 cn β A n cn cn+1 − ∂ ∂n cn 0 cn . The demon supplies the boundary condition for the cluster distribution. . One does not have to be very particular about L. s cn = 0 for n ≥ L. In these plots. 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.63). it just has to be somewhat greater than n ∗ .

66). L−1 Js n=1 cs cs 1 L = 1 − 0 =1 0 0 cn β A n c1 cL (9. The dependence of the critical cluster size n ∗ . 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. on the saturation parameter s = p/ p∞ for water vapor at 273 K. A Taylor expansion of G n around the maximum n ∗ . deﬁned in ﬁgure 9. Consequently. by performing a sum over (9. For clusters of size n ∗ .67) we can directly compute the steady-state nucleation rate J s . Because G n has a fairly sharp peak at n ∗ .68) .67).310 Dust and its environment Figure 9. the surface 2 area An = 4πrn can be taken out from under the integral and replaced by A∗ . the difference in the Gibbs potential between gas and droplet. G n .9. has its maximum and ∂ G n /∂n = 0. 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 (9.10.

12 shows the deviation of the equilibrium from the steady-state concentrations. the steady-state nucleation rate J s . Figure 9.6 Solutions to time-dependent homogeneous nucleation 9. we want to ﬁnd the new one. entirely determined by the exponent. L) by (−∞.25).69) is quite a satisfactory approximation to the sum in (9.Grain formation and ζ v2 ∂ 2 Gn = − 04 ∂n 2 2πr∗ 311 yields. 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. ∞) to obtain the standard integral (A. 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.60) can immediately be brought into the form An cn−1 + Bn cn + Cn cn+1 + Dn = 0 (9. The magnitude of J s is. For large n. cn . Equation (9. are as simple as in (9. We learn from ﬁgure 9.67).60) can easily be solved when the coefﬁcients for evaporation and accretion. αn and βn .11 illustrates the immense change in J s . The expression in (9.70) 3 where a0 denotes the radius of a monomer.69) The exponent in square brackets equals − G ∗ /kT and µ is deﬁned by µ= 2 4πζ a0 kT (9.6. 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 . equilibrium and steady-state s 0 concentrations are the same.61). the latter being calculated from L−1 s 0 cn = cn J s i=n 1 ci0 β Ai . the ratio cn /cn tends to zero. over many powers of ten. 9.5. Around the critical cluster size n ∗ . (9. upon replacing the integration limits (1. so v0 = 4πa0 /3.5. Figure 9. of course.12 that for small n-mers.1 The evolution towards the steady state The time-dependent system of equations for nucleation presented in (9.71) . with the saturation parameter s.

we take c L = 0 because c L /c0 = 0. surface tension ζ = 75 erg cm−2 . nucleation is negligible. Dn are known coefﬁcients (so for the moment. Below s 5. 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.69) and displayed on a linear (top) and logarithmic scale (bottom). The pressure p∞ is derived from (9. Bn .72) We determine the concentrations cn in the size range g≤n≤L with 1 g n ∗ (as far as possible) and L > n ∗ . L .71) yields γn = − An Bn + γn+1 Cn δn = − δn+1 Cn + Dn .312 Dust and its environment Figure 9.12: At the upper end. Cn . where An . J s is computed from (9. The boundary conditions are suggested by ﬁgure 9. An is not the surface area of an n-mer). Bn + γn+1 Cn (9.54) and equals 1. Putting cn = γn cn−1 + δn and inserting it into (9.11. above catastrophic and s 5 represents the critical value of the saturation parameter.92 × 1017 dyn cm−2 .

.72). we start with a conﬁguration where only very small clusters exist and put cn = 0 for n > g. 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. we avoid using the enthalpy G n of (9. We see that the ﬂuxes Jn . Figure 9.65) for the smallest clusters where it cannot be correct. . s−1 . At the lower end. These two values 0 imply a monomer concentration c1 = 3.5×1017 cm−3 and a critical size n ∗ = 71.13. L − 1 from (9. τrel ∼ 2 × 10−7 s and Jn −3 . γ L = δ L = 0.63). .13 presents a numerical experiment for water vapor at constant temperature T = 263 K and saturation parameter s = 4. . and this allows to compute γn = δn = 0 for n = L − 1. converge towards their steady state values J s given in (9. 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. the ratio is about one half. here for water vapor at T = 273 K and saturation parameter s = p/ p∞ = 4.69).73) s In the particular example of ﬁgure 9. At n = n ∗ . . At time t = 0.12 (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 .9. Therefore. .66) to be of order τrel ∼ 2 r∗ 2 4βζ v0 . By choosing g considerably greater than one. g + 1. (9.Grain formation 313 Figure 9. The steady state is reached after a relaxation time τrel that can be shown by an analysis of equation (9.12. as deﬁned in (9. . .

and bigger clusters are absent (cn = 0 for n > g). The smallest clusters for which we compute the time evolution consist of g = 12 molecules.9. The bottom plot shows how the concentrations of various cluster sizes. the largest of L = 120.62).2 Time-dependent nucleation using steady-state ﬂuxes As the relaxation time τrel in (9.5 × 1017 cm−3 . 9.314 Dust and its environment Figure 9.6. Under these conditions.5. normalized to the equilibrium value. the steady-state ﬂux J s represents a good approximation to all . the smallest grains 0 are in equilibrium. cn /cn = 1 for n ≤ g = 12.73) is short compared to the time it takes to grow big stable drops. At time t = 0. evolve in time. the critical cluster size n ∗ = 71 and the concentration of the monomers c1 = 3. Water vapor at 263 K supersaturated by a factor s = 4. The top panel depicts the corresponding particle ﬂuxes Jn of (9.13.

t J s (t )N(t ) dt . reaches the vapor pressure P∞ over a ﬂat surface. Such a situation prevails in the outward ﬂowing wind of mass loss giants where most interstellar grains are formed. these clusters grow at a rate 2 ˙ (9. so 4π R 3 /3 = Nv0 . is unrealistically long.74) R = πa0 v c1 (t) √ where a0 and v = 8kT /πm are the radius and mean velocity of a monomer. The time ˙ dependence of the saturation parameter s follows via P∞ as given by (9. Te To illustrate the formation of grains. roughly given by the inverse of J s .74) and (9.75) with Runge–Kutta asssuming an adiabatic expansion with a cooling rate T = Te − wt with Te = 292 K and w = 100 K s−1 . For t ≥ tcr . At this instant. (9. the saturation parameter s equals one. At ﬁrst. Then at tcr = 0. P = c1 kT .247 s. nucleation rises in a spike as rapidly as shown in ﬁgure 9. K = T /c1 is a constant. 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.75) the term γ T T γ −1 /K γ where γ = 1/(κ − 1). The rate at which monomers are depleted through steady-state nucleation is.11. As the gas cools further. the gas temperature is denoted by Te and the time t is set to zero.14. s increases.76) s(t) = T (t) T0 /T (t )−T0/Te e . Let N(t) be the number of monomers in clusters that were formed at time tcr and and let R(t) be their radius. When the partial gas pressure of the condensible component. One then has to add to the density ˙ decrease c1 (t) of (9.54). Results are plotted in ﬁgure 9.Grain formation 315 ﬂuxes Jn after the time τrel when transient effects have died out. where κ = C p /Cv is the ratio of speciﬁc heats. Until the moment of crtitical supersaturation.9) and the time it takes to form one critical cluster. depriving the gas of its atoms . we integrate equations (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. 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. (9. therefore. 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. the steady-state nucleation rate J s is negligible because all clusters are below the critical size n ∗ (see ﬁgure 9.

the gas is at Te = 292 K and just saturated (s(0) = 1) with a monomer concentration c1 (0) = 6. The gas expands adiabatically cooling by 100 K every second.247 s. the number density of the gas molecules c1 . At t = tcr = 0. 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. The radius at which their growth levels off (at t = 0. 9.316 Dust and its environment Figure 9. ζ. p0 .5. v . the steady-state nucleation rate J s and the radius R of the largest drops.65 s) represents the typical ﬁnal grain size (one can also determine a size distribution). s.7 and ∼ 6 × 106 . The ordinate is for all four variables linear with the zero point indicated. clusters grow beyond n ∗ according to (9.7 Similarity relations The number of variables that enters the nucleation calculations is quite large (v0 .70) and deﬁned below [Yam77]. From that moment on.0 and the temperature has fallen to 268 K. the saturation parameter s is near its critical value of 5. T0 ) but one can drastically reduce the parameter space to only two variables: µ from (9. The saturation continues to increase after tcr because of cooling but eventually falls for lack of gas atoms. m. The maximum values are 7. c1 .14.74) whence they are stable. We plot as a function of time the saturation parameter s. Therefore.3 for s. c1 ∼ . µ = 9. At t = 0. At the maximum of the steady-state ﬂux J s .6 × 1017 cm−3 . at an accelerated pace. T . Nucleation in an adiabatically cooling water vapor. 103 s−1 cm−3 for J s and 280 µm for R.

T (t) = Tcr − at.77) 4µ3 27(x + ln y)2 ) dx . . The ﬁnal grain size is largely inﬂuenced by (see deﬁnition of ρ). The second. it may be approximated by a linear function in time. ζ ∼ 103 dyn cm−2 ) as long as µ and are comparable. one ﬁnds for the time dependence of the saturation parameter s(t) = where 1 τsat T0 d ln T . ˙ 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.Grain formation 317 109 cm−3 . The ﬁrst.74) and (9. By deﬁning y = c1 (t)/c1 (0) x = t/τsat 2 = τsat c1 (0) πa0 v 3R ρ= a0 the nucleation formulae (9. Tcr dt c1 (t) t /τsat e c1 (0) The cooling rate d ln T /dt is evaluated at Tcr . When one inserts this T (t) into the evaporation pressure p∞ = p0 e T0 /T of (9. is ﬁxed by the ratio of surface tension over temperature and thus incorporates grain properties. 9. As the gas temperature changes only a little during the brief period of catastrophic nucleation when T ∼ Tcr .54). (9. oversimpliﬁcations and .7. is determined by the conditions in the environment.54)). µ.78) 81 µ π 1/2 0 x y 2 ρ(x ) exp − They contain only the two independent parameters µ and .76) can be transformed into the new equations: dρ =y dx 1− y = 4 (9.1 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.5.

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

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

C/L is then constant. In this case. When light impinges under normal incidence. Carbon. We choose λ = 0. one speaks of picket fence alignment. In ﬁgure 10.1) Q= 2a L In this section. whereas the difference Q ext has a ﬂat peak near x 1.3 and 2 µm. C .1 with ﬁgure 4.2. Because for a given dielectric permeability. we will also consider in this chapter examples of carbon particles. without any magnetic inclusions. It refers to the same optical constant m = 1. taken with respect to 1 cm3 of dust material (see . To derive from ﬁgure 10.1. They are not equal and. we mostly talk about extinction efﬁciencies and sometimes omit the superscript ‘ext’.7 + i 0. Note that Q ext may be negative. ⊥ The efﬁciencies Q ext and Q ext reach their ﬁrst maximum at size parameter ⊥ x 2.e. When there are many such cylinders with their axes all parallel. The ﬁgure informs us that in polarizing visible light. The efﬁciency Q is deﬁned as the cross section over projected area. over the whole visible region and part of the near IR. we further learn that there is a direct proportionality between the cylinder radius and the wavelength λmax of maximum polarization. What counts is the difference ext C ext = C ext − C⊥ . the cylinder axis is perpendicular to the direction of wave propagation. because there the observed interstellar polarization typically attains its maximum. which is about the optical constant of silicate material between 0. it is hard to align.55 µm. is often disregarded in the context of polarization because.1.5. However. Q ext is only a function of the size parameter x = 2πa/λ. We adopt m = 1.7 + i 0. except that we now have two Qs differing by an amount Q ext = Q ext − Q ext . the other major chemical component of interstellar dust. i. By comparing the top of ﬁgure 10. silicate grains of cylindrical shape are most efﬁcient when their radii are about 0. which shows the efﬁciencies Q and Q ⊥ .320 Polarization L.1 we present Q ext and Q ext for inﬁnite ⊥ cylinders with circular cross section. ext C⊥ : the cylinder axis is perpendicular to the electric and parallel to the magnetic vector of the incident electromagnetic ﬁeld. In the bottom frame of ﬁgure 10.03 but we now keep the wavelength λ ﬁxed and vary the radius.03. the volume coefﬁcients K and K ⊥ . in every aspect that of a sphere. 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. we see that the extinction efﬁciency of a cylinder mimics. therefore. the display of Q ext is rearranged. unpolarized light becomes slightly linearly polarized after interaction with the cylinder. (10. which is the center of the visual band V. the cross section C is also halved.1 µm and that much thinner or thicker cylinders are ineffective.

Therefore.03. . Q ext = Q − Q ⊥ .1.Efﬁciency of inﬁnite cylinders 321 Figure 10. The data for Q ext are exactly the same as in the top box.55 µm and the same m. This gives K ∝ a −1 . 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 top frame shows the extinction efﬁciencies Q and Q ⊥ and their difference. The bottom frame shows the dependence of Q ext on radius a for a wavelength λ = 0. as a function of the size parameter x = 2πa/λ for inﬁnite cylinders of radius a and optical constant m 1. section 2.1). only rearranged.7 + i0. if at some wavelength Q ext is equal for thin and thick rods. the thin ones are more efﬁcient polarizers (with respect to the same total dust mass).

on average. Suppose the cylinder circles in the (x. Therefore we also have to evaluate the cross section of a spinning cylinder. At = 90◦. Around normal incidence down to orientation angles of 40◦ . so Q(θ ) ∝ sin θ for a λ.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. presented by the page of this book. There is a sharp resonance for the curve with the size parameter x = 0. The sinusoidal dependence of Q on θ for large size parameters is already indicated in the curve with x = 2.2) . where C is divided by the projected geometrical cross section 2a L sin θ . the direction of wave propagation. in [Boh83]. Let the cylinder be illuminated by an unpolarized ﬂux whose wavevector k lies in the (y. Furthermore. Q and Q ⊥ converge and for extremely oblique incidence they tend to zero. there will be. We can ﬁgure out in a quiet moment that θ is given by cos θ = cos cos φ. when the cylinder has a very large radius. Q(θ ) → 0 for θ → 0. Anyway. the angle θ between k. 10.2 Oblique incidence If the cylinder is oriented arbitrarily. the efﬁciency reﬂects the geometrical contraction. The incidence is generally oblique but we have just learnt how to handle this.3).6 that peaks at an orientation angle of 0. although this is not in accord with the deﬁnition for Q in (2.1. then cross sections are different for electric vectors along the x. k is parallel to the cylinder axis. At an angle = 0◦ . and the cylinder axis changes. for reasons of symmetry. customary to call the quantity Q = C/2a L the efﬁciency. so one has to form an average over a rotation cycle.9).1. its axis can form any angle θ with the wavevector k. It is also. and its momentary location is characterized by the angle φ (see ﬁgure 10. y)-plane of a Cartesian coordinate system.and z-axes. in the case of oblique incidence. for instance. no polarization.3 Rotating cylinders Grains in interstellar space are knocked about by gas atoms and rotate. Formulae to compute Q for normal incidence are found. light falls directly from above on the page and then. z)-plane and makes an angle 90 − with the z-axis. whereas at θ = 0. the efﬁciencies Q and Q ⊥ as well as their difference Q are rather constant. y)-plane.322 Polarization 10. When the cylinder is tilted further. with Q = C/2a L. During rotation the incident angle θ varies. the wavevector lies in the (x. Figure 10.55◦. for oblique incidence in [Lin66]. Normal incidence corresponds to θ = 90◦ . (10. While the cylinder spins.

The bottom right panel gives the relevant quantity for polarization. the lower shows Q ⊥ when E is perpendicular to the plane deﬁned by the wavevector and the cylinder axis. Q − Q ⊥ . Where Q and Q ⊥ (dots) cross over.Efﬁciency of inﬁnite cylinders 323 Figure 10.2. The bottom left panel is a magniﬁcation for x = 0. . for a size parameter x = 1. There are three pairs of curves for three size parameters. the upper curve gives Q when the electric vector E.6. The top frame shows the extinction efﬁciencies for polarized light of obliquely illuminated inﬁnite cylinders. An orientation angle θ = 90◦ corresponds to normal incidence. the polarization reverses.2. the wavevector and the cylinder axis are in one plane.

as before. An inﬁnite cylinder rotating in the (x. y)-plane. We see that the picket fence. . tan φ . when the electric vector. Now. we get tan ϕ = 2 π π/2 0 (10. Q is proportional to the degree of linear polarization that the rotating cylinder produces. the cylinder axis and k lie all in one plane. y)-plane. θ and ϕ are both functions of φ as speciﬁed in (10.2) and (10. The angle ϕ is just the projection of φ onto a plane perpendicular to k.4. i. equivalent deﬁnitions hold for Q ⊥ (θ ) and for Q y . agrees qualitatively with the more sophisticated models that include rotation. by some 30% compared to rotation with = 0 and by more when is larger.3). 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. Polarization will become weak when the rotation axis begins to point towards the observer. makes an angle 90 − with the z-axis which is perpendicular to the (x. Naturally. An example is shown in ﬁgure 10.e.3) Denoting by Q = Q y − Qx = Q (θ ) − Q ⊥ (θ ) cos 2ϕ dφ.3. sin Q the time average of Q y − Q x . which refers to rigid cylinders. given by the wavevector k. Q ext is greatest for the picket fence. In the integral. Let Q x be the efﬁciency when the electric ﬁeld swings in the plane containing k and the x-axis. The direction of the incident light. This again applies to silicate at optical wavelengths.324 Polarization y φ x Figure 10. let Q (θ ) be the efﬁciency of the cylinder for oblique incidence under the angle θ .

1.4 Absorption efﬁciency as a function of wavelength When cylinders have a diameter 2a 0. of ⊥ a rotating inﬁnite cylinder with refractive index m = 1.1. Within a factor of two. 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. the situation is radically different. Q ext = Q ext − Q ext .Efﬁciency of inﬁnite cylinders 325 Figure 10. The particles consist of our standard dust materials. their efﬁciencies Q and Q ⊥ and the efﬁciency of a sphere of the same radius a are. Whereas for both . When the cylinder is spinning.5. The curve labeled picket fence can also be identiﬁed in the top frame of ﬁgure 10. The difference in the extinction efﬁciency.7 + i0. This is demonstrated in ﬁgure 10. denotes the angle between k and the plane of rotation. quite similar. amorphous carbon and silicate. which is a typical size of interstellar grains. with frequency-dependent dielectric permeabilities from ﬁgure 7.4.19. where we have calculated the Qs over a broad wavelength region for cylinders as well as spheres. Q⊥ Q (sphere).03 as a function of size parameter for various inclinations of the rotation axis.1 µm. at optical wavelengths. 10.

the right.6. It must be plugged into equation (8. we have computed. In ﬁgure 10. from equation (8. is in the far infrared much larger than Q(sphere).5. Q ⊥ and Q(sphere) are comparable at all λ. of inﬁnite cylinders (full lines) under normal incidence of light. they are much stronger emitters in the far infrared. The left panel is for silicates. its emission and the degree to which the emission is polarized. When the cylinders in a cloud are randomly oriented or randomly rotating in space.5 for silicate.8) when one wants to determine the temperature of the cylinders in a radiation ﬁeld Jν . extinction is usually irrelevant at these wavelengths.1). especially if they consist .326 Polarization Figure 10. the emission ν of cylinders near a B1V star and compare it with that of spheres. one has to take an average over the solid angle and over the polarization direction.4) where θ equals 90◦ when the light falls at a right angle on the cylinder. The cylinder radius is a = 10−5 cm. substances. amorphous carbon.7. Q abs is ν plotted in ﬁgure 10. where the electric vector of the light is along the cylinder axis. There are tremendous differences in the dust temperature. This has consequences for the temperature of dust. The absorption efﬁciencies. the efﬁciency Q . Despite the fact that cylinders are much colder than spheres. a factor of three (!) for amorphous carbon and a factor of 1. The mean efﬁciency is given by Qν = 1 2 π/2 0 Q ν (θ ) + Q ν⊥ (θ ) sin θ dθ (10. The efﬁciency of a sphere (dotted) of the same radius is shown for comparison. Q and Q ⊥ .

10.1 Effective optical depth and degree of polarization p(λ) In a cloud with anisotropic grains that are aligned to some degree.6. When the unpolarized light from a background star traverses the cloud. τmin .2 Linear polarization through extinction 10. perpendicular to it. otherwise as ﬁgure 10.5.5) . τeff = − ln 1 −τmax 2 (e + e−τmin ) > 0. of course. the extinction of a linearly polarized wave depends on the orientation of the electric ﬁeld vector. 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.2. the optical depth has its minimum.4) for randomly oriented rotating cylinders and for spheres (dots). The average Q ν of (10.3). Let τmax be the optical depth in the direction of maximum attenuation.Linear polarization through extinction 327 Figure 10. an extreme example but particles with realistic elongations also show considerable enhancement in their far infrared emission (one may consult ﬁgure 3. Inﬁnite cylinders are. of amorphous carbon which has a large absorption efﬁciency because of its metallicity. (10.

7) p = 1 (τmax − τmin ) 2 However. e−τmin + e−τmax (10. T (aC. the higher the degree of polarization.cyl) = 30. Emission in erg s−1 ster−1 Hz−1 of 1 cm3 of amorphous carbon (right) and silicate dust (left).77)) p= e−τmin − e−τmax . when τmax − τmin is large. The observed percentage of polarization rarely exceeds 10%.4 K. τeff = 1 (τmax + τmin ). 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. T (Si. Teff = 20 000 K) and are either spheres (dots) or randomly rotating cylinders (full curve) but always of radius a = 10−5 cm.sphere) = 44. 2 The (positive) degree of polarization is (see (2. the polarization goes to unity. just very long. τmax − τmin . The total volume of the cylinders equals also 1 cm3 . so they are not inﬁnite. The grains are at a distance of 1018 cm from a B1V star (L = 104 L . p=1 for τmax − τmin → ∞. strongly reddened stars.328 Polarization Figure 10.sphere) = 56. (10.9 K. See also previous ﬁgure.6) The difference in optical depth.7.cyl) = 19. The upper limit is set by the difﬁculty of observing faint. T (Si. The more foreground extinction there is.3 K.3 K.71) and (2. . In the case of weak extinction (τmax 1).

It has three parameters: λmax . varies with wavelength as stellar light is extinguished by aligned grains in foreground clouds.6 µm. 10. pmax and k.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 .2 The Serkowski curve A central question is how the polarization. The meaning of λmax is obvious—it is the wavelength where the degree of polarization reaches its maximum pmax . In section 10. Equation (10.1. Nature also takes the liberty of behaving otherwise. (10.13 to 3. as an example. The Serkowski curve approximates polarization measurements of most stars quite well. multi-wavelength observations of the star HD 161056 in the spectral interval from 0. nothing more and certainly not a law. Figure 10.8) is squared. we calculated. the full curve is the best ﬁt Serkowski curve. Linear polarization of the star HD 161056 [Som94]. Dots represent measurements. Reproduced from [Som94] with permission of the American Astronomical Society.2. It is also easy to see that the parameter k determines the width of the curve.8. As the logarithm in (10. from Mie theory. it does not matter whether we write λ/λmax or λmax /λ in the exponent. We now apply these results in an attempt to give a theoretical .8 presents. the cross sections of inﬁnite cylinders.Linear polarization through extinction 329 Figure 10.8) is just a mathematical construct to ﬁt empirical data. p(λ).

for a size distribution of cylinders. to achieve good agreement it takes only a few cylinder radii with proper size steps. the size distribution is not nearly as important as it is for modeling the extinction curve. the agreement in ﬁgure 10. we would be at a loss to explain the observed variations in k and λmax .4 is m = 1. which is not a bad assumption for many purposes.8). We do not expect them to be related to Ng and the inﬂuence of alignment is uncertain and probably slight. depends only on x = 2πa/λ. We also conclude from ﬁgure 10.330 Polarization explanation to the Serkowski curve.03. we know that a spread in cylinder radii by only 50% will effectively smear out the wiggles. we go back to ﬁgure 10. and then ﬁts the measurements for each star by a Serkowski curve. As variations are common. λmax ). we expect strong ﬂuctuations in pmax . are more subtle. Of course. Indeed.7) that Q ext (λ) is generally proportional to the polarization p(λ) and thus has the same wavelength dependence. the cylinders form a picket fence. We infer from equation (10. 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. representative of silicate at optical and near IR wavelengths. k. like inﬁnite cylinders. on the right. akin to real interstellar grains. If interstellar grains were the same everywhere. p(λ) will be smooth and close to the Serkowski curve everywhere. they rotate with the rotation axis inclined by an angle = 45◦ . from a tenth to a few micrometres.7 + i 0. in their polarizing capabilities over a wide wavelength interval. are. k and λmax . so that only λ appears in the abscissa. Figure 10. This quick result is gratifying and guides us in understanding why interstellar polarization has the functional form of equation (10. in the line of sight. say a = 0.4 but rearrange them by ﬁxing the cylinder radius to some typical size. Naturally. It also testiﬁes that such artiﬁcial geometrical bodies. For modeling polarization. On the left.9 that rotation.9 between model and Serkowski curve is not perfect. as opposed to the picket fence. For this purpose.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. Rotation mainly reduces the height of the curve (degree of polarization). one gets a continuous range of values for the three parameters ( pmax .9 shows two alignment scenarios. Their maxima are spaced by x 0. the Serkowski curve gives a remarkably good ﬁt. Q ext . whereas the parameters λmax and k are not much affected. The variations in the other two parameters.7 but as the difference in the extinction efﬁciency. When we use exactly the data of ﬁgure 10. There are broad and deep wiggles. and also for various inclination angles of the rotation axis. The refractive index of the cylinder material in ﬁgure 10.1 µm. In either conﬁguration. Therefore. locally it is far from it. does not change the shape of the wavelength dependence of polarization greatly. we conclude that . When one observes the wavelength dependence of polarization towards a large and diverse sample of stars. the plots already look quite similar to a Serkowski curve. Ng .

.7 + i0. the maximum wavelength λmax is proportional to grain size. the difference in the extinction efﬁciency. A good explanation for this formula is still missing.55 µm. If we allow for rotation and an inclined rotation axes. intrinsic differences exist among the polarizing grains in various environments. which is proportional to the polarization p(λ). Q ext = Q − Q ⊥ .9.1 µm. A dependence of k on cylinder radius a is not evident.1 µm. they ﬁt more or less.8) (dotted lines) with parameters λmax = 0.35 to 0. The plots refer to picket fence alignment.6 µm and k = 1. k 1.4 for = 45◦ and is obtained by putting a = 0. The computations are performed for two materials. changes with wavelength.2. Nevertheless. For ﬁeld stars. rotating cylinders with rotation axis inclined 45◦ to the line of sight. The wavelength dependence of linear polarization produced by aligned inﬁnite cylinders with optical constant m = 1. The full curve is a rearrangement of the curve in ﬁgure 10.3 Polarization p(λ) of inﬁnite cylinders Figures 10. The left panel shows rigid cylinders under normal incidence.10 that.Linear polarization through extinction 331 Figure 10. silicate and amorphous carbon. nothing essentially changes.03 (full curve). the right.66λmax .10 and 10. We will argue in the discussion of ﬁgure 10. In both frames. for cylinders. Also shown are Serkowski curves after (10. the cylinder radius a = 0. 10. for inﬁnite cylinders. there exists an interesting statistical correlation between k and λmax [Whi92]. λmax has a large scatter from approximately 0.9 µm but values cluster at 0.2.11 display how.

to yield the Serkowski curve with the standard λmax = 0.1 µm.10.2 µm.2.6 µm. Computations were done for three cylinder radii.9. 10.025 to 0. The cylinder radii change from 0.332 Polarization Figure 10. In least–square ﬁts to p(λ) by a Serkowski curve. Consequently.19.10 and determines the location of the ﬁrst peak (the one at λ < 2 µm).1 Silicate cylinders Both silicate and amorphous carbon grains have their peculiarities. almost identical (dots in ﬁgures 10.3. they must have diameters of ∼0. The optical constant m(λ) is from ﬁgure 7. Let us ﬁrst look at the polarization curve of silicate cylinders with radius a = 0.2 µm.55 µm. or a bit less.6. if the polarizing dust particles in interstellar space are silicate cylinders.6 µm and k = 1. m(λ) is variable and the wavelength scale logarithmic. the parameters k and λmax are.10).10. Besides the bump at 0. only there the optical constant m(λ) was ﬁxed and the wavelength display linear. in both cases. This is the full curve in ﬁgure 10. and cover a wide wavelength range.10 two other peaks . The dotted line represents a least–square ﬁt by a Serkowski curve with λmax = 0. When one smooths the oscillations in the curves of ﬁgure 10.2. 12 and 23 µm). one ﬁnds that the relation between λmax and the cylinder radius a is roughly linear.9 and 10.10. whereas in ﬁgure 10. which should comprise the astrophysically relevant sizes. Q ext (λ) for inﬁnite silicate cylinders in picket fence alignment. The one around 0. as indicated.6 µm is very similar to the bump in the left frame of ﬁgure 10. It has three bumps (at about 0. there appear in ﬁgure 10. a.

the optical constant m(λ) = 1. in the mid infrared which are not predicted by the Serkowski curve.7 µm silicate absorption feature but its position is substantially offset by about 2 µm to the red. where most polarization curves peak. they are λmax = 2.19).11. As ﬁgure 10. for a = 0.2. λmax .025 µm. For cylinder radius a = 0. but now for cylinders of amorphous carbon (aC). at much larger λmax compared to silicates.1 µm.Linear polarization through extinction 333 Figure 10. ˚ Extremely thin carbon rods (a ≤ 200 A) are required to produce a hump at 0. But even when carbon rods of a certain radius produce the right wavelength of maximum polarization. For cylinder radius a = 0. The location of the polarization bump is independent of the cylinder radius. however.81 µm.55 µm. for the same cylinder diameter. sharper peak is associated with the 9. The curve p(λ) now has only one peak that occurs. 10. the ﬁt parameters are λmax = 0. Dots show Serkowski curves. Their origin is of an entirely different nature and due to resonances in the bulk material (see ﬁgure 7.23i is ﬁxed and has the value of aC at 0.19 and variable. m(λ) is from ﬁgure 7. k = 0. The bumps in the mid infrared have disappeared.5 µm.11.3. these bumps would vanish.85 + 1.10.2 Carbon cylinders Carbon grains are depicted in ﬁgure 10. k = 1. If m(λ) were constant. its strength increases with a. nevertheless the polarization at these long wavelengths is several times stronger than for silicates. The ﬁrst.2.55 µm.025 µm. for the other cylinder radii.8. the overall shape of p(λ) does not agree with .

41+i 0.1). In the infrared region. include cylinders in the limit of inﬁnite axial ratio a/c. On these grounds.95) have C /C⊥ = 2. however.36 + i 0.334 Polarization observations.5). The particles are spinning with their rotation axis perpendicular to the line of sight ( = 0 in . where the particles are small compared to wavelength. 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. Cigars. which does not seem to be an unreasonable size. The cylinder cross section C is about 25% greater than C⊥ (see ﬁgure 10. polarization is well described by the Serkowski curve which can be quantitatively reproduced by applying Mie theory to inﬁnite cylinders. One must. Figure 10.3. where m = 3.025 µm. Maximum polarization occurs when the cylinder radius is comparable to the wavelength. amorphous carbon is not likely to be the prime polarizing agent.2. For instance. the ratio C /C⊥ can be large. In the infrared.1 µm. Coated ellipsoids will thus be superior in ﬁtting observations.9 and for amorphous carbon cylinders the ratio approaches 104 (see ﬁgure 10. silicate cylinders at 10 µm (optical constant m = 1. it is unsatisfactory that their shape is so artiﬁcial. a subclass with major axes a > b = c. We can improve the inﬁnite cylinder model by treating ellipsoids as a more realistic alternative. critically ask whether a reﬁnement of the dust model in the direction of complicating shape and composition deepens or muddles our understanding of dust.2. 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. we can ﬁt only the peak of the Serkowski curve. These numbers are independent of cylinder radius as long as a λ. this value goes up to 39. 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 = 0.12 depicts how the optical depth τ (λ) and the polarization p(λ) produced by small silicate cigars change with wavelength.3 mm. At λ = 1.61. However. For example.034. 10.3 The ratio C /C⊥ at optical and infrared wavelengths In the optical region. although we will not do so.3. It is also straightforward to compute coated ellipsoids. 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. They allow an investigation of a much greater variety of shapes. in the plot of p(λ) for a = 0. They further widen the parameter space: one can then vary the axial ratio of the ellipsoids. their mantle thickness and the optical constants of core and mantle. 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. therefore.8). 10.

6). The curve p(λ) gives the degree of polarization one would observe in a column with τ9. The size of the particles is irrelevant as long as they are in the Rayleigh limit. At low optical depth. The optical depth is one at 9. 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) 1.5 µm. the curves are less interesting and display a monotonic decline with wavelength.13 we conclude that if interstellar dust is made entirely of weakly elongated particles (a/c = 2/3.5 µm = 1 under perfect spinning alignment. τ (λ) is proportional to the time-averaged cross section C = 1 (C⊥ + C ). corresponding to τV ∼ 100 mag. a cloud with an optical depth of three at 20 µm.19.5 µm.12. the right box. The results for silicate pancakes are practically identical. The optical . The left box shows moderate elongation with axial ratio a/c = 3. τ (λ) is the effective optical depth after (10. which is approximately true outside the peak at 9. In this particular example. would produce a polarization of 50% under perfect grain alignment. no other grains are asumed to be present.49) and (3. It allows us to read off p(λ) if the optical depth τ (λ) at wavelength λ equals 1 or 3.13. The rotation axis is perpendicular to the line of sight. A different presentation of the polarization produced by perfectly aligned spinning spheroids is given in ﬁgure 10.5. τ is one at 9.Linear polarization through extinction 335 Figure 10.50)). about the shape of an egg). a/c = 1. 2 and p(λ) to the difference C = C⊥ − C (see formulae (3. Optical thickness τ and degree of polarization p in the infrared as a function of wavelength for small rotating silicate cigars. When the spheroids are made of amorphous carbon (not shown). The dielectric permeability εSi (λ) is taken from ﬁgure 7. From ﬁgure 10.1).5 µm (curve maximum). weak elongation. the nomenclature of section 10.5) and p(λ) is deﬁned in (10.

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. The percentage of polarization due to perfectly aligned spinning spheroids of silicate and amorphous carbon. From ﬁgures 10. here the degree of polarization p(λ) is plotted for ﬁxed effective optical depth τ (λ). one nevertheless expects a considerable degree of infrared polarization in those cases where there is a suitable infrared background source.19.12 and 10. there exist signiﬁcant offsets in the resonance peaks. one ﬁnds that a small or moderate axial ratio (a/c ≤ 3) has little affect on extinction (see ﬁgure 3. polarization p(V ) is then close to one but could not be observed because of the large extinction. Although alignment in real clouds will not be perfect. Full curves are for cigars. dotted ones for pancakes. Optical constants are from ﬁgure 7. as can be checked by scrutinizing ﬁgure 10.336 Polarization Figure 10.12. Note that in contrast to ﬁgure 10. if necessary with the help of a ruler. 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. However. .13. Furthermore.12.

the curves also become narrower. The optical constant is ﬁxed and appropriate for silicate in the visual band. To be speciﬁc. the polarization.14 and 10. of course. the response in amorphous carbon particles to a change .41 to 8. we assume constant values c = 0.15. the cigars begin to resemble cylinders. Q ext (λ) for prolate spheroids (full curves) and a cylinder (dashed curve) under normal incidence in picket fence alignment. expressed through the difference in extinction efﬁciency Q. which have principal axes a > b = c. If we keep the small axes b = c ﬁxed and increase a. and c/λ. The cigars have principal axes a > b = c with uniform c = 0. For an axial ratio of a/c = 8. only on the size parameters a/λ. in the visual band.55µm (visual band) and vary the axial ratio a/c ≥ 1. the body is a sphere and there is no polarization. and on the refractive index m. 10.2. When all axes are equal. is similar to that of an inﬁnite cylinder. and demonstrate how their axial ratio inﬂuences the polarization. When a/c decreases. as it should be. The results depend. By and large. the maxima of the curves shift to shorter wavelengths and the degree of polarization ( Q) falls.5 Polarization p(λ) of spheroids at optical wavelengths Unfortunately.Linear polarization through extinction 337 Figure 10. interstellar grains of spheroidal shape are not small relative to wavelength and computing their cross sections entails some numerical effort [Asa75].1 µm but various axial ratios a/c ranging from 1.14. Results for silicates under normal incidence are displayed in ﬁgures 10.1 µm and λ = 0. We restrict the discussion to cigars. The numerical code was kindly provided by N V Voshchinnikov [Vos93].

For instance. we multiply Q by the geometrical cross section πac and divide by the volume of one grain. we have multiplied Q cyl in ﬁgure 10. If we want to know how much polarization we get from a unit volume of spheroidal dust particles. K . This enables direct comparison of all polarizing efﬁciencies. in the ratio a/c is similar. A Serkowski curve (k = 1. 10. Naturally.2.14 by 8/3π.15. 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. To determine K .14. 4πac2/3. This is a derivate of ﬁgure 10.6 µm) is added to study the shape of the polarization curves better. In order that the cylinders also refer to a unit volume. The Qs for cigars with axial ratio 4 and 8 have been omitted.5).41 and 2 are enhanced so that the maxima of all curves are about equal. So K is proportional to Q/c. we must convert Q into a mass coefﬁcient. λmax = 0.6 Polarization and reddening It is instructive to combine photometric with polarimetric observations.338 Polarization Figure 10. assuming that they are spheroids. The former yield the effective optical depth τeff of (10. the latter the degree of polarization p. Both are produced by the extinction of dust particles and both .15. and it is hard to tell one from the other. those for a/c = 1.

Without pretending to be precise. These plots include the Serkowski curve but also cover the mid infrared region.10) This inequality implies that the optical depth at visual wavelengths in two perpendicular directions never differs in interstellar space by more than ∼6%. . pmax E B−V º 9%. β ≡ τmax −1 τmin º 0. We can determine a theoretical upper limit to β by assuming that all grains are cylinders and optimally aligned.Polarized emission 339 depend on wavelength.1 and 10. 10.3 Polarized emission Figures 10. which gives.7). using equation (10. the orientation is never perfect and possibly changing along the line of sight. is related to E B−V . The ratio of pmax over standard color excess E B−V as deﬁned in (7.062.15) combines photometry and polarimetry. in those cases. 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. pmax p(V ) and the visual extinction in magnitudes. AV . (10. When extended further into the far infrared.9) also as p(V )/τV ≤ 0.10 to 10. no detectable effect is expected because the extinction optical depth becomes too small. we can express the condition (10.4 that the maximum value of β = Q/Q is about 25%.17).086τV where τV is the corresponding optical depth.031. or τeff and p. 9% is observed. the quantity β However. and gives the polarization per unit reddening. where pmax /E B−V must attain this maximum value of 6%. from (7. we can read from ﬁgures 10. furthermore.9) Because the highest polarization is generally reached in the visual. It is a measure of the polarizing efﬁciency at visual wavelengths along the line of sight. There is an important empirical upper limit. through AV = RV E B−V = 1.12 present the theoretical wavelength dependence of polarization due to extinction by silicate cylinders and ellipsoids.

C and C⊥ . If they rotate about their axis of greatest moment of inertia and are fully aligned.2 Infrared emission of spheroids At low frequencies. 2 − (e−τmin + e−τmin ) (10. Even for arbitrarily small τ . This is quite contrary to polarization by extinction which grows with τ and vanishes for τ → 0. can differ by orders of magnitude. the polarization can only decrease. so p(λ) does not change much.5. The (positive) degree of polarization can then be written as p τmax − τmin . It also turns out that when the rotation vector is inclined towards the observer. Rotation of the cylinders roughly halves the value of C /C⊥ with respect to picket fence alignment but C /C⊥ is still large. 10. τmax + τmin (10. the degree of polarization drops less swiftly than in the case of extinction (see ﬁgure 10.11) We abide by the nomenclature of section 10.12) with cylinders.340 Polarization 10.3. We start the discussion of polarized dust emission according to equation (10.2 where τmax and τmin denote the optical depth at the position angle of maximum and minimum attenuation. As the optical depth increases.4). as is evident from ﬁgure 10. Let the grains have major axes a ≥ b ≥ c with corresponding cross sections Ca .3. expect a very high degree of polarization in the case of complete alignment (see ﬁgure 10. the optical depth is small.1 The wavelength dependence of polarized emission for cylinders However. therefore. the ratio C /C⊥ may be above 10. becomes p= e−τmin − e−τmax . Cc . We. p(λ). Towards a uniform cloud of optical depth τν . temperature Td and intensity Iν = Bν (Td ) · [1 − e−τν ] the degree of polarized emission.16). Their cross sections for light when the electric vector lies along or perpendicular to the cylinder axis.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 (10.13) = p= τmax + τmin Ca − Cc pancakes (Ca = Cb > Cc ) . the polarization is ﬁnite. dust not only absorbs but also radiates and polarized emission of aligned grains can be observed in the far infrared and millimeter spectral region.3. one can also easily compute spheroids in the small particle limit as outlined in section 3. Ca + Cc . Even for a dielectric. Cb . In most cases and certainly at submillimeter wavelengths.

They are either inﬁnite cylinders (the two top curves in each frame).19. Only the dotted top curves in each frame show cylinders arranged in a picket fence. cigars and pancakes and the rotation axis is perpendicular to the line of sight. the associated angles have values between 0◦ and 180◦ . The percentage at which thermal emission by dust is polarized in the far infrared. the polarization curves are ﬂat at long wavelengths.11) and are . the two are given by (10. left box) or amorphous carbon (aC.3. 10.40) produce very substantial polarization (∼20%).Polarized emission 341 Figure 10. which is equal to the degree of polarization. Some results are shown in ﬁgure 10. The particles consist of silicate (Si.16 and we point out that • • even spheroids of small elongation (a/c = 1. right box) with optical constants from ﬁgure 7. cigars (all other full curves) or pancakes (all other dotted curves) of varying axial ratios a/c. are perpendicular to each other. emission and extinction. It is easy to see that the polarization vectors associated with these two processes.16.7) and (10. A polarization vector is deﬁned by its length. There is perfect spinning alignment for cylinders.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. 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.

The light is oriented in such a way that it can be decomposed into two equally strong waves. information on the particle shape. 10. one obtains βsub /βV .10). When the phase difference amounts to π/2.77). the initially linearly polarized wave presented by the sum E + E⊥ has been converted into a circularly polarized wave. when light that is linearly polarized (but not along a principal direction) enters a birefringent medium. • When the real part of the refractive index. m = n + i k. The particular structure of the molecules in the medium has the effect that the motions of the charges. Calcite. the phenomenon bears the name dichroism.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. • We will be dealing with birefringence only. depends then on orientation. linearly polarized along the principal directions. . which determine m or ε after (1. E and E⊥ are in phase. The optical constant. As pV . this ratio contains. too. a slab with the right thickness to do just that is called a λ-quarter plate. E and E⊥ . inside they will fall out of phase. which speciﬁes the maximum change in the optical depth with direction. Let us shine linearly polarized light through the slab. Quite generally.4 Circular polarization In some media. one speaks of birefringence. At the front of the slab. This produces a number of interesting phenomena which can all be understood if the molecules are treated as harmonic oscillators. Because the inﬂuence of grain elongation on β is markedly different at visual and far infrared wavelengths. When the imaginary part of the refractive index. depend on the direction of the electric ﬁeld vector. is anisotropic. CaCO3 . the propagation of a linearly polarized wave is sensitive to the orientation of polarization because the building blocks of matter are anisotropic as. for example. The gem tourmaline is renowned for this property. n. Imagine a slab ﬁlled with a medium that has unequal indices n and n ⊥ in two perpendicular directions and thus unequal phase velocities. k. it leaves with some degree of circular polarization. in all crystals of the non-cubic lattice or substances consisting of long and aligned ﬁbrous molecules. 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). is the best known example. psub and τV can be determined observationally. differs in two directions. in principle.

the index of refraction. . each with a cross section for phase lag C pha . Q pha /Q ext and φ will be smaller. by putting K pha = φ. C pha = λ2 Im{S(0)}. Let us deﬁne the volume coefﬁcient for phase lag. an optical depth τ produces a phase lag φ=τ C pha .4. one tenth.2. Im{S(0)}. φ) discussed in section 2. To understand this. from (2. 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 . the phase lag in a cloud of visual optical depth τ due to perfectly aligned cylinders is of order φ ≈ τ/10.1 The phase shift induced by grains When a dust cloud is traversed by a plane wave. can formally be interpreted as the optical constant of the interstellar medium. we exploit the complex scattering function S(θ.22). C ext Near the wavelength λmax of maximum linear polarization in the Serkowski curve. Its value in the forward direction. S(0). n−1.1)) is for silicate cylinders.14) When the wave has crossed a distance l. the ratio Q pha /Q ext = C pha /C ext (see (10. so that K pha = NC pha . A linearly polarized wave entering an optically active medium exits it still linearly polarized but with its orientation shifted by some angle. the grains not only reduce the intensity of radiation but may also change the phase of the wave. we get. optical activity. according to (2. K pha .Circular polarization 343 There is another related phenomenon. Consequently. m = n + i k. Therefore. pha The optical thickness over this distance l equals NlC ext . which is responsible for the phase velocity. 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). The imaginary part. The electric vector is rotated to the right when the left-circular wave is faster and to the left otherwise. If there are N particles per cm3 . 2π (10. If there are also non-polarizing particles in the line of sight. very roughly. which we mention for completeness. Here the phase velocity of the medium is different for circularly polarized waves with opposite senses of rotation. 10. determines.22).

17. pcirc (λ). is given by the product of two ﬁrst-order effects. The curve Q ext (full curve) is identical to the one in ﬁgure 10.1. 10. Therefore circular polarization is a second-order effect and weak. One needs another cloud where the particles are aligned in some other direction to produce the phase shift. the Qs are the efﬁciencies. the more the better. As usual. pha (10.2 The wavelength dependence of circular polarization Interstellar circular polarization proceeds in two stages: • • One needs linearly polarized light to start with. . The percentage of linear polarization is usually small. This is provided by a cloud with grains aligned in one direction. The optical constant m is ﬁxed.4. 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.344 Polarization Figure 10. Its wavelength dependence. pcirc (λ) ∝ Q ext (λ) − Q ext (λ) · Q ⊥ pha (λ) − Q ⊥ (λ) . Linear and circular polarization and phase lag of inﬁnite cylinders in picket fence alignment as a function of size parameter x = 2πa/λ.15) The ﬁrst factor stands for the linear polarization. the second for the phase lag.

Circular polarization 345 Figure 10.1 µm radius in picket fence alignment.23) as well as the differences n −n ⊥ and k −k ⊥ are connected through the Kramers– Kronig relations. seem superﬂuous. we do not know the linear polarization at all wavelengths. The indices n and k of the interstellar medium as given in (2.17–10.18. nothing new in circular polarization or in its dependence on wavelength. When one computes the index n with the help of the Kramers–Kronig relation. one arrives at circular polarization. in principle. However. This whole section might. which is given via the index k. therefore. The ﬁgures display the following quantities. in reality. Optical constants from ﬁgure 7. pcirc (λ).19 illustrate the behavior of circular polarization for inﬁnite cylinders in picket fence alignment. Linear and circular polarization and phase lag of inﬁnite silicate cylinders with 0.22) and (2. Figures 10. It sufﬁces to know the linear polarization. either as a function of size parameter or of wavelength: Q ext = Q ext − Q ext . such a point of view is too academic because. pha pha Q pha = Q − Q ⊥ . Because of the proportionalities (n − n ⊥ ) ∝ (C pha − C⊥ ) pha ext (k − k ⊥ ) ∝ (C ext − C⊥ ) there is. the difference in the phase lag efﬁciency.19. the difference in the extinction efﬁciency which is ⊥ proportional to linear polarization. and .

the sign reversal of pcirc is close to but not exactly at the maximum of linear polarization. In either case. The curves for silicate are rather jittery. can have several local extrema.55 µm wavelength and in carbon cylinders of 0.346 Polarization Figure 10. in a size distribution the spikes would disappear. Q circ = Q ext Q pha . This occurs.19. although the optical constants are completely different. the sense of rotation changes and either Q ext or Q pha vanish. for example.19. We summarize the noteworthy points about the ﬁgures: • • The efﬁciency for circular polarization. Where Q circ (λ) reverses sign. the product describing after (10.4 µm.1 µm radius at 0. in silicate cylinders of 0. accompanied by a change of sign. Optical constants from ﬁgure 7. Q circ (λ). • • .05 µm radius at 1. The 10 µm silicate resonance is very weakly discernible in circular polarization. Linear and circular polarization and phase lag of inﬁnite carbon cylinders with 0.05 µm radius in picket fence alignment.15) circular polarization. However.

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

3) ˙ It corresponds to the equation for translatory motion. L. the tips of the arrows form the inertia ellipsoid. For example. the inertia ellipsoid of a cube or a regular tetrahedron must. This is a very regular ﬁgure.4) ˙ This equation is analogous to E = F · v for translational motion.5) . therefore. the angular momentum L stays constant in space and the tip of the vector L marks there a certain ﬁxed point. dt (11. let us call it Q. x y 2 (11. When we resolve the angular velocity with respect to the instantaneous values along the principal axes. With respect to a coordinate system connected to the rotating body. changes like dL dt =L×ω+τ body (11. L changes in space according to (11. Likewise. be a sphere.348 Grain alignment the moment of inertia in any possible direction as an arrow whose length is given by the value of I . the time variation in kinetic energy E of a freely spinning top is given by dE = τ · ω. F = p. where v is the velocity. The product τ · ω also gives the power needed to sustain rotation at constant angular velocity ω against a torque τ due to friction. Without a torque. its square and the kinetic energy of the body are: L = (Ix ωx .3). the total angular momentum L. body If there is a torque. ω = (ωx . I y ω y . Q is not constant but moving and the vector L as seen from the rotating body varies like dL dt = L × ω. 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 ). dt (11. for reasons of symmetry. ωz ).1) (11. no matter how irregular the body. As viewed from the rotating body. ω y . if we replace τ by the force F and L by the momentum p.2) The equation of motion of a rotating body describes how its angular momentum L changes when a torque τ is applied: τ= dL .

5◦.8) applies to the wandering of the pole of the Earth. ωz is then zero. 11. ˙ Formulae (11. consequently. 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.e. 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. This implies time-variable stresses and. where • . To estimate the effect. It precesses around the ﬁgure axis with angular velocity . are not trivial. 2π/ωz = 1 day and Iz /(Iz − Ix ) = 305.3) can still be solved with pencil and paper but the rotation axis and the principal axes perform complicated wobbling motions around L. ˙ The solution of (11. where F = 0 implies boring uniform linear motion. say Ix = I y . Ix (11. we use equation (11. Iz are unequal. In the general torque-free case. 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.8) During the rotation.6) The kinematics of free rotation.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 ). where all momenta Ix . The axis of the Earth is inclined against the normal vector of the ecliptic by ψ = 23.6) to eliminate ω y ˙ gives ωx ∝ ωx and likewise for the y-component ω y ∝ ω y . dissipation.6) is easy for τ = 0 and Ix = I y .2 Symmetric tops 349 (11.7) (11. ωpr = τ/L. I y .8) one ﬁnds 1 yr. which is called the ﬁgure axis. i. in qualitative agreement with the Chandler period. For our planet.5) or (11.3) as we want to derive the change of the rotation axis with respect to the stars. For our purposes.3).1. • Formula (11. altogether ¨ ¨ ωx = A sin t where A is a constant and = ωz ω y = A cos t I x − Iz . bodies where the moments of inertia about two principal axes are equal. The body is then symmetric about the z-axis. The precession velocity ωpr follows immediately from (11. it sufﬁces to consider symmetric tops. ω and the ﬁgure axis describe circular cones around L. Obviously.6) are known as Euler’s equations. quite unlike the translation analog. equation (11. From (11. which means without a torque. Taking the time derivative of the ﬁrst equation of (11.

Inserting numbers yields for the period T of the Platonic year. The torque is a tidal effect inversely proportional to the third power of the distance r . the ﬁgure axis and the angular momentum vector L all lie in one plane. Nowadays the polar axis is directed towards the Northern Star and gives . the rest to the Sun. L = Iz ωz is the angular momentum of the Earth.5 cos ψ. the angular velocity vector ω can be decomposed into ωz . and into a perpendicular component ω1 with moment of inertia I1 = Ix . T = 2π/ωpr ∼ 26 000 yr. the latter two form an angle θ. Rotation of a symmetric top with ﬁgure axis z and moments of inertia Ix = I y . the factor sin 2ψ changes into 1. When one corrects for the fact that the torque oscillates as the Sun and the moon apparently orbit the Earth. The angular velocity ω. about two-thirds of the effect are due to the moon.1.350 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. which is constant. In the plane deﬁned by the ﬁgure axis and the momentary rotation axis. 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.

be carried over to rotation. However. The ﬁeld B exerts on the dipole m a torque τ = m × B. the polar star will no longer point north and one will have to be more careful when walking away far from home at night. If one applies the classical formula (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 .12) ωpr = J 11. When S and L couple to form the total angular momentum J = S + L. e We will mainly be concerned with pure spin angular momentum where J = S. the grains perform translatory and rotational Brownian motion. (11.1.3 Atomic magnet in a magnetic ﬁeld An atomic magnet in a ﬁeld B is another example for a rotation which is not force-free. 11. So the magnetic moment m associated with the spin of an electron (S = 1 ) equals Bohr’s magneton: 2 µB = e = 9.Grain rotation 351 guidance to nocturnal wanderers.27 × 10−21 [cgs]. When there is equipartition between dust particles and gas. in a straightforward way. it amounts to 0. 2m e c (11. In future millenia.9) m=g 2m e c with the Land´ factor g = 1.4 Rotational Brownian motion The results of section 9. in the case of pure spin momentum (S). one gets e L (11.10) Quantum electrodynamics gives an upward correction.3 on translatory Brownian motion may. Therefore J precesses around B with angular frequency mB . not its length J . to ﬁrst order in the ﬁne structure constant α.13) (in which the vector J is the current density) to an electron in circular motion of angular momentum L.11) Because τ stands perpendicular to the angular momentum J. This result is also true in quantum mechanics with e respect to the orbital momentum L of the electron.116% α/2π. (11. the torque changes only its direction. the latter is usually not parallel to the net magnetic moment m because of the different Land´ factors for S and L. g = 2.1.

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

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

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

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

the multiplicity is 5 and the total angular momentum J = 4 ). has a potential energy (see (1.2. from [Kit96].2 × 10−5 >90% Npm 6.4 µB eff. The magnetic moments of the electrons in the third shell do not balance resulting in a net moment and thus paramagnetism.133)) U = −m · B = −m B cos θ. The ground state of atomic iron. moment: m 5.22 µB per atom χ0 12 n = 4 shell: 2s electrons n = 3 shell: 2s.87 g cm−3 Nbulk = 8. Fe atoms constitute some 10% of all atoms in such grains and their number density there should then be Npm 6. mag.2 × 1021 cm−3 1183K≤ T ≤1674K T ≤ 1183K cubic face-centered (fcc) body-centered (bcc) Tc = 1043 K ρ = 7. as of Fe2+ .2. An atom of magnetic dipole moment m.356 Grain alignment Table 11.9 µB ground state 5 D4 ground state 5 D4 ground state 6 S5/2 silicate particles. 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. The electron conﬁguration of iron. The ion Fe3+ has a ground term 5 6S 5/2 (L = 0.2 × 1021 cm−3 . multiplicity 6. Its magnetization M in . totalling 26.87 A ˚ 2.50 × 1022 cm−3 ˚ 2.48 A Msat = 1750 G m 2. Parameters of iron pertaining to the magnetic properties of interstellar grains. (11. moment: m 5. The third (n = 3. together with some of its other parameters. oriented under an angle θ to a ﬁeld B. For the value of Npm it is assumed that all iron is condensed into silicate particles.16) Suppose a grain has N such atoms per unit volume. M-shell) could accommodate 2n 2 = 18 electrons but contains only 14. There are two more electrons in the 4s subshell. mag. is summarized in table 11. J = 2 ). 6p and 6d eff. is 5 D4 (D stands for orbital angular momentum L = 2 . The two inner shells of iron are complete.

only those directions for which the projection of the angular momentum along the direction of B differs by multiples of are allowed. This is a ﬁctitious ﬁeld insofar as it does not appear . the magnetic moment equals twice Bohr’s 2 magneton. mB kT and the susceptibility χ = M/B depends on temperature according to Curie’s law. In weak ﬁelds. Below 1183 K. We mention two cases for a system with spin angular momentum S only. kT 357 (11.3 Ferromagnetism Ferromagnetism appears in certain metals. It only shows up below the Curie temperature TC . The magnetic susceptibility is then slightly modiﬁed.17) The Langevin function L(x) is deﬁned in equation (1. the constant C in (11. in ferromagnetism there is an additional interaction among the electrons themselves formally described by an exchange ﬁeld He .2. L(x) x/3. This is the result of a collective. A single iron atom is not ferromagnetic. for small arguments. and M = Nm tanh x • with x = mB . like Fe. kT (11.20) There are some minor changes if there is also orbital momentum L. Whereas in paramagnetism only the applied ﬁeld acts on the electrons and tries to align them. Crystalline iron possesses a cubic grid. C Nm 2 M = with C = . nonmagnetic effect of the electrons. has a Curie temperature TC = 1043 K. Co and Ni but also in alloys of these elements and some of their oxides. of course. When taken into account. well above any common dust temperature. It has 2S + 1 equally spaced energy levels.6. above face-centered (γ -form) but this form is. (11. the relevant element for us.137).19) If the ﬁeld is weak and S arbitrary. Equation (11.Magnetic dissipation the direction of B is then M = Nm L(x) with x = mB . 11. The magnetization M in a ferromagnet is very strong even when the applied magnetic ﬁeld Ha is weak or absent. m = 2µB . only a cluster of atoms can show this property. Iron. • If S = 1 and the ﬁeld is arbitrary. 3k (11.18) becomes C= N S(S + 1)m 2 .136) and its derivation was given in section 1. never ferromagnetic.18) χ= B T 3k So far we have neglected the quantization of space.17) corresponds to (1. as in interstellar space. the grid is body-centered (α-form).

iron is paramagnetic and the dependence of the magnetization M on the total ﬁeld. µB H e kTc . Let us assume that it is proportional to the magnetization. follows Curie’s law. the dipole ﬁeld of ˚ a Bohr magneton at the distance r ≈ 2. He = λM. He so the total effective ﬁeld is Ha + λM λM. 11.5 A between neighboring iron atoms is 2µB /r 3 ≈ 103 G. where ferromagnetism begins to fail.4 The magnetization of iron above and below the Curie point Above the Curie point. The conception of an exchange ﬁeld He is useful. Therefore we estimate that He to be of order 107 G.2. at the Curie point (∼1000 K).21) . or ten thousand times weaker. 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. It exerts on the electrons an apparent force which makes their spins parallel. 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.358 Grain alignment in Maxwell’s equations. (11. At its root is Pauli’s exclusion principle. The exchange ﬁeld is much stronger than the applied ﬁeld. the kinetic energy of the atoms must be comparable to the potential energy of a Bohr magneton in the exchange ﬁeld. However. Ferromagnetism can only be understood quantum mechanically. M = χ Ha it follows that χ= C T − Tc with Tc = λC. M= C (Ha + λM). He + Ha. T As the magnetic susceptibility χ combines the applied ﬁeld Ha with the magnetization.

The crystal is partitioned into domains because its total energy. 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.Magnetic dissipation 359 Here C is the same as in (11. In a mono-crystal of iron of only 0. is then lowest. if the crystal were one big single domain.21). Jon67. the total energy would be higher. In a ferromagnet consisting of several domains. are ferrimagnetic. χ has a complicated behavior depending on the applied ﬁeld Ha and also on the magnetic history. Some iron oxides that might be found in interstellar grains. (11. is only approximate. then rapidly and goes to zero at T = Tc . we use (11. For bulk iron.22 µB . There are two thermodynamic systems in a grain: .19). Dav51. except that the saturation magnetization is much lower. 11. ﬁrst gradually. This phenomenon is known as spontaneous magnetization. which includes the magnetic ﬁeld outside the crystal. The one most frequently evoked for the alignment of interstellar grains is paramagnetic relaxation [Cas38. Solving it. To evaluate the magnetization below the Curie point. 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 . the magnetization below the Curie point is not uniform over the crystal but divided into small domains.5 Paramagnetic dissipation: spin–spin and spin–lattice relaxation After these preliminary remarks about magnetism. We then have an equation for M. Spi79]. one gets values of M which are different from zero even without an applied ﬁeld (Ha = 0).22) This scenario of spatially constant magnetization applies to single domains and thus only to very small particles. To explain it. we discuss and quantify processes of magnetic damping. so the saturation magnetization Msat (Fe) 1750 G. Akin to ferromagnetism is ferrimagnetism.50 × 1022 cm−3 . Equation (11. the effective magnetic moment per atom is m 2. as in a ferromagnet but anti-parallel without fully compensating each other. although the susceptibility χ is still large. With rising temperature. which expresses M as a function of m B/kT but replace B by Ha + λM.1 µm size.20). When the temperature approaches Tc from above. the susceptibility rises steeply. Within each domain. there is almost perfect alignment and the magnetization is close to its saturation value. like magnetite (Fe3 O4 ) or maghemite (γ –F2 O3 ). We now have a relation between the Curie temperature Tc and the magniﬁcation factor λ. known as the Weiss law. With Ha = 0. one proposes that neighboring electron spins are not parallel. M falls. the number density N = 8.2.

Equilibrium with the lattice system is established much more slowly after the spin–lattice (sl) relaxation time τsl ∼ 10−6 s.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. (2) The lattice system. heat ﬂows from the lattice to the spin system at a rate −α(TS − TL ) (α > 0). the temperatures of the two systems are equal. When the ﬁeld is suddenly increased from H to H > H . they correspond to changes in the quantum numbers of the lattice vibrations. serves as a heat reservoir and is always relaxed. has much more energy than the spin system. Equilibrium is characterized by a Boltzmann distribution e−U/ kTS at temperature TS . The magnetic moments may be due to electron spin as well as orbital angular momentum.8. 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 .23) . lower than before the disturbance.2. where after (11. the spin system gets disturbed. In a constant magnetic ﬁeld of strength H . The excess energy has been transferred to the lattice. This process is adiabatic. TS = TL . For TS = TL . 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 heat ﬂow is proportional to the temperature difference d T = TS − TL . It stops when the two temperatures are equal. the dipoles are better aligned in the new stronger ﬁeld H and their potential energy U is. The coupling between spin and lattice is mediated via phonons. there is some net orientation of the dipoles. The above numbers for τss and τsl are very crude but certainly τss While τsl varies inversely with temperature. Once equilibrium has been established (TS = TL ). (11. τss is more or less independent of it. there is no heat exchange with the lattice. • τsl . 11. If the spin system was initially hotter.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. it will lose energy. In equilibrium. The ensemble of magnetic moments arises from the electrons of the paramagnetic atoms. It is at temperature TL . the level populations of the dipoles stay the same so that m H /kTS = m H /kTS .360 Grain alignment (1) The spin system. It consists of the vibrating atoms or ions in the grid of the solid body.3. therefore.

The formula is correct whether a bias ﬁeld H0 is present or not. χ2 is proportional to ω. It is positive. χad and χT denote the adiabatic and isothermal value of the susceptibility. 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 . 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. At low frequencies.24) The imaginary part χ2 stands for the dissipational loss. χ approaches the polarizability α.55) which we derived before. The reason being that the . Therefore the susceptibility for spin–lattice relaxation is: χ1 (ω) = χad + χT − χad 2 1 + ω2 τsl χ2 (ω) = (χT − χad ) ωτsl . 2 1 + ω2 τsl (11. However.23) follows from equation (5.66).63). The product of the two brackets in the expression for χ(ω) yields −χT according to (5. It also agrees with the energy dissipation rate (1.69). the very process of dissipation by spin–lattice relaxation does not work for purely paramagnetic interstellar grains. W = 1 ωV χ2 h 2 . After a sudden disturbance. 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 . because χT = χ(0) > χad = χ(∞). A look at the permeability of (1. because in the case of a small susceptibility.68) and (5. 2 Here V is the grain volume. as it should be. 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 .146) conﬁrms that we are dealing with some kind of Debye polarization. H CH and CM are the speciﬁc heat at constant ﬁeld and constant magnetization.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. When the time derivative of the heat input.

i. one must know χ0 and τ . As the grains rotate. In section 11.or ferro-magnetism can ever become important (see second term in (3. 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. therefore. 11.5)). d T = 0. The underlying microscopic processes are very complex and their treatment is beyond the scope of this text. the spin temperature TS does not oscillate. in the range from ω = 105 s−1 for Brownian motion up to 109 s−1 in the case of suprathermal spinup. d H = he−iωt . where h is now the interstellar magnetic ﬁeld. 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). Nevertheless. We wish to estimate the values of χ(ω) for magnetic grain material at the frequencies at which interstellar grains may rotate. as discussed in section 1.5).e.147) because the magnetization of the grain is due to orientational alignment of the dipoles in a time-variable ﬁeld. The imaginary part χ2 (ω). The spinning particles only feel the time-variable part. The former is inversely proportional to temperature and follows from Curie’s law (11.3 we will revive spin–lattice relaxation by proposing an internal bias ﬁeld in the grain material due to ferromagnetic inclusions. and a hyperﬁne splitting interaction (accounting for the inﬂuence of the magnetic moments of the nuclei of the paramagnetic atoms). Consequently.2. our troubles are not in vain.26) . and there is no interaction with the lattice.25) 1 + ω2 τ 2 To extract numbers. the magnetic dipoles have to adjust their precession to a ﬁeld that changes its direction but not its strength. has.6. So their potential energy U in the ﬁeld and the level populations remain the same. of course.7 The magnetic susceptibility in spin–spin relaxation The rotation of paramagnetic dust particles may be damped via spin–spin relaxation. The magnetic susceptibility χ(ω) for spin–spin relaxation must have the functional dependence of the Debye permeability after equation (1.362 Grain alignment bias ﬁeld H0 is absent. the form ωτ χ2 (ω) = χ0 . The dissipation comes about because the alignment of the dipoles always lags behind the new ﬁeld direction (see ﬁgure 11. which is responsible for dissipation. Stark splitting of the magnetic sublevels (arising from the electric ﬁeld of the crystal). It is. 3kT (11. (11. a quantum-mechanical exchange interaction (which tends to make spins parallel as in ferromagnetism).18): χ0 = Npm m 2 .

neither does the Bohr magneton show up in the product χ0 τ .12) so that τ −1 ωpr 2µB B loc 8. In contrast to the perfect cubic lattice discussed in section 3.4. the paramagnetic atoms are dispersed irregularly over the grain.2.4). When its moment is 2m Npm directed towards the precessing electron. of course. does not appear in the expression for χ2 (ω). therefore. 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 3.9) and (11. −1/3 we assume the ﬁeld to come from a dipole at a distance r = Npm . and the effective magnetic dipole moment of an iron atom are taken from table 11. nuclear paramagnetism. besides electronic paramagnetism which we have had in mind so far. only the nearest matter. have unsaturated nuclear moments. Their average contributions to B loc cancel but the root mean square deviation does not vanish. As ﬁelds from dipoles fall off quickly and proportionally to r −3 .Magnetic dissipation 363 When the volume density of parmagnetic atoms. Because spin–spin relaxation is so fast. therefore.4 × 10−11 s. The electron spins precess around the applied ﬁeld at frequency ωpr . cancels out and. which is the average separation between Fe atoms (see table 11. violently ﬂuctuating because the spin directions are tossed about in collisions with phonons. They are a grain constituent when the grain has an ice mantle. This ﬁeld is.27) χ2 (ω) = χ0 4 × 10−12 . χ0 is equal to χad in equation (11. it produces a ﬁeld B loc 700 G. The full expression should be used for magnetic emission at wavelengths λ = 1 cm or shorter. T 1 + ω2 τ 2 The approximation on the right holds at low (rotational) frequencies.045/T . So the mechanism is independent of the strength of the magnetic moments and. includes. one sets it equal to ωpr because this is the characteristic time for a change in the magnetization perpendicular to the applied ﬁeld.49 /kT and ωτ ω (11.2). Another form of the susceptibility for spin–spin relaxation uses the fact that the frequency distribution function deﬁned by f (ω) = χ2 (ω) ω . It is remarkable that in the product χ0 τ the density of paramagnetic atoms in the grain. One thus ﬁnds χ0 τ = 0. Npm . In particular. Interestingly. To ﬁrst order. As the ground state of Fe3+ is classiﬁed as 6 S5/2 . To get −1 a handle on the spin–spin relaxation time τ . which are building blocks of the otherwise non-magnetic H2 O molecules. the static susceptibility becomes χ0 = 0.69)). 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. Npm . hydrogen nuclei.

which describes how the magnetic moment M decays when a constant magnetic ﬁeld H is suddenly switched off. 11. where the decay was exponential. scattered light is absent and cannot contaminate the polarization. . The magnetic ﬁeld follows the arms nicely but the optical polarization vectors.3 Magnetic alignment The polarization surveys of the Milky Way. f (ω) is related through Fourier transformations to the relaxation function ϕ(t).28) with τ = ω2 − 2 . derived from the polarization of radio synchrotron emission. has the same direction (projected on the sky) as the electric ﬁeld vector of polarized starlight. a galaxy which has beautiful spiral arms and is viewed face-on.364 Grain alignment is mathematically fully determined by all its moments: ωn = f (ω)ωn dω · f (ω)dω −1 . especially when it occurs at right angles. in line with experiments.4 for M 51. one obtains ω χ2 (ω) = χ0 ωτ 1 π 2 1 2 e−ω 2 τ 2 /2 (11. But for a factor of order unity. For plausible reasons. revealed that the polarization vector from interstellar extinction runs predominantly parallel to the galactic plane. match the magnetic ﬁeld vectors only poorly. especially in the lower right of the ﬁgure. however. in the ﬁgures of [Mat70] for stars with a large distance modulus. As the magnetic ﬁeld. When one compares the magnetic ﬁeld lines with the optical polarization vectors in other spiral galaxies. In extinction measurements of the Milky Way.6.143) of section 1. which comprise several thousand stars both in the southern and northern hemisphere. and is completely unrelated to magnetic ﬁelds. and keeps only the second moment 2 .3 and 11. One should also note in these ﬁgures. ϕ(t) = χ0 e− 2 ω t . however. The polarization resulting from scattering by dust is usually strong. When. This is exempliﬁed. χ2 (ω) resembles Debye relaxation at frequencies ω τ −1 . This is demonstrated in ﬁgures 11. the large local excursions. for example. 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. it seemed natural to propose that magnetic ﬁelds are somehow responsible for the grain alignment. We encountered an example of ϕ(t) in equation (1. the coincidence is less impressive. one approximates the relaxation 1 2 2 function by a Gaussian.

a torque (see (11.18). The magnetic B-vectors at 2. The torque tries to line up the dipole with the ﬁeld. The radio polarization is fairly high (∼20%) and the corresponding vectors are shown by the large dashes. pointing the same way but perpendicular to the cylinder axis. ω and L. as in ﬁgure 11. its magnetization M changes. a cylinder with its angular velocity and momentum vectors. the susceptibility χ taken at the rotation frequency ω.5.3. we consider. they follow the spiral arm pattern. because M = χB.11)) τ =m×B directed perpendicularly to m and B. The ﬁeld exerts.3. For simplicity. Radio and optical polarization in M51.Magnetic alignment 365 Figure 11.11)).8 cm [Nei90] are overlaid on the electric polarizarion vectors at the center wavelengths of 0. also black) dashes. To determine τ . which is assumed to be small. But χ is complex and the magnetization M stays a small angle χ2 /χ1 . we need the magnetization M and. If χ were real.85 µm (adapted from [Sca87]). in the constant interstellar magnetic ﬁeld B a magnetization M and a dipole moment m = V M.1 A rotating dipole in a magnetic ﬁeld A particle of volume V acquires. 11. on the dipole. from (1. the magnetization would adjust instantaneously to the direction of B and the torque would vanish because of the term B × B = 0 (see (11. If the grain spins. The electric polarization is small (∼1%) and represented by short (unfortunately.

and is reproduced here with permission from AURA/ST Scl. operated by Aura Inc. Use of this image is courtesy of the Palomar Observatory and the Digitized Sky Survey created by the Space Telescope Science Institute.30) The rotational energy decreases.366 Grain alignment Figure 11. producing a magnetization M1 = χ1 B and a small one. B2 .29) (11. B1 B. The companion on top is NGC 5195. behind the ﬁeld B (see (1.4. An optical picture of the spiral galaxy M51 from the Palomar Sky Survey shown in the same orientation and on approximately the same scale. as viewed by an observer in the rotating grain. This produces the magnetization M2 = χ2 ω×B ω which does not disappear in the vector product with B.29). Because of the double vector product in (11. perpendicular to the ﬁrst and to ω and of length B2 = (χ2 /χ1 )B sin θ . for NASA. 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. 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 . it is wasted into heat. dt ω (11. . the magnetization responds as if there were two magnetic ﬁeld components: a major one.12)).5). Therefore.

31) −1 A typical number is 106 yr. We see that magnetic alignment is favoured by a low ratio of moment of inertia over volume. ω. 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 .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. All vectors τ . from diverse independent evidence. B does not exceed several times 10−6 G in low density clouds (n H < 103 cm−3 ). 11. the standard scenario for magnetic alignment. This leads to a torque τ on the grain. Note that a higher rotation speed. V χ2 B 2 (11. When the alignment is complete (ω B). B.3. As a result. A minimal value of I /V is given by a sphere and. by order of magnitude.Magnetic alignment 367 B ω. The inverse trel is. there will be no more losses. L θ τ Figure 11.5. ω and L lie parallel to each other and perpendicular to the axis of the spinning cylinder. But there are limits to these numbers. although it implies enhanced dissipation. I /V . A paramagnetic cylinder rotating in a magnetic ﬁeld B acquires a dipole moment that is not fully aligned with B. does not decrease the relaxation time trel because χ2 ∝ ω at low frequencies. L are in the same plane. the cylinder lines up with its long axis perpendicular to the ﬁeld B. This is the Davis–Greenstein mechanism.29): trel = Iω . the rate at which the angle θ between the ﬁeld and the angular momentum vector changes. and a strong magnetic ﬁeld.

The subparticles are possibly synthesized in supernova explosions and somehow built into interstellar grains.3 × 10−21 B2 1 2 ω .39).3. will be much increased and no longer be given by (9. Suprathermal rotation. As the relaxation time trel of (11. as discussed in section 11. the angular momentum of the fast rotating particle must stay stable in space over a time greater than trel . This may occur.1 Magnetic alignment in suprathermal rotation Should the grains be rotating suprathermally with angular velocity ω 105 s−1 .31) is not altered by the spinup as long as χ2 ∝ ω. Of course. B2 Because the Serkowski curve mandates a typical grain size a of order 10−5 cm. trel /tdis must be smaller than one. effective grain alignment according to the Davis–Greenstein mechanism with damping from paramagnetic spin–spin relaxation seems possible.27) yields 1 trel tdis 2 × 10 −9 2 Tdust Tgas an . tdis . 11. Pure paramagnetic spin–spin relaxation with χ2 from (11. we ﬁnd trel 3 = tdis 10 8km a π 1 2 2 Tgas an ω B 2 χ2 1 Tgas an 7. they .1. Even if they contain only a few tens of iron atoms.368 Grain alignment given by (9. trel /tdis would be substantially above unity.32) m a and n are the mass and density of the gas atoms.3. The rotation speed ω does not appear in this formula. 11. they have a very high kinetic energy and the time to create disorder.2. 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. Because inhomogeneities on the grain surface drive the suprathermal spinup. down and thus point a way out of the dilemma [Jon67]. for example. disorientation will set in when the surface properties change. Therefore one has to search for a more effective magnetic alignment mechanisms. otherwise orientation is poor. For alignment to be effective. trel /tdis .3 Super-paramagnetism Interstellar dust may contain not only isolated iron atoms. one can readily check that in the environment where we actually observe optical polarization.39). χ2 (11. when new layers are deposited or active sites are destroyed or created. supra–paramagnetism and ferromagnetic inclusions can bring the ratio of relaxation time over collisional disorder time. 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. Time scales for these processes are debatable.

4 Ferromagnetic relaxation In a more general way. Therefore χ0 increases by a factor n over the static susceptibility with isolated iron atoms. Therefore the relaxation time has the form τ γ eUbar / kT with θ = 0. these are the cube edges [100] and the body diagonals [111]. (11. M = χ0 H . not restricted to paramagnetic relaxation. As n increases. If τ is small.77)) χ2 (ω) = χ0 ωτ 1 − (ω/ω0 )2 2 + ω2 τ 2 . It is very sensitive to the number n of iron atoms per cluster. because not all directions of magnetization are equal. As obviously Npm = Ncl n. a pronounced . It may be overcome by thermal excitation and the rate at which this happens is proportional to e−Ubar / kT . 11. behaves like a paramagnet. The phenomenon is halfway between ferro. 2 In a static ﬁeld. Ubar (= nkθ ) becomes.Magnetic alignment 369 already behave like ferromagnetic single domains.11 K and γ = 10−9 s determined experimentally.25).and paramagnetism in the sense that the clusters are ferromagnetic single domains but their magnetization changes spontaneously by thermal perturbations so that the grain.e. 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 (11.33) M + γ M + ω0 M = ω0 χ0 H. as a whole. it must overcome a potential barrier Ubar . χ2 (ω) after (11. in the expression for the static susceptibility (11. respectively) separated by Ubar .17) with the Langevin function L(x). each consisting of n atoms of magnetic moment m a . A grain with such ferromagnetic inclusions may then display super-paramagnetism. When a cluster changes its magnetization. However. one assumes that the magnetization M is forced by a periodic outer ﬁeld H to oscillate harmonically.33) implies with τ ≡ γ /ω0 (see (1. they show spontaneous magnetization. Equation (11.3. There is an easy one and a hard one (for iron. 2 2 ¨ ˙ (11.34) For small frequencies (ω ω0 ). Suppose the grain has Ncl iron clusters. The more atoms there are in the cluster. the higher the barrier.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. the expression again approaches Debye relaxation (11. corresponding to weak damping. the static susceptibility of the grain as a whole becomes χ0 = n Npm m 2 a 3kT . i.25) can become very large for small frequencies.

The latter is equal to 4π Msat /3 (see the electric analog in (3. [1 + (ωτ/2)2 ]2 (11. The difﬁculty is to associate χ0 .6. γ = 2ω0 after (1. As now frequency ωpr −10 . of course.3 × 1011 s−1 . Then there are only two parameters.370 Grain alignment resonance appears at ω0 . If the system is critically damped. χ0 and τ . the changing magnetic ﬁeld causes the transition layer between adjacent domains (Bloch walls) to rearrange and the wandering of the walls dissipates energy. With the static susceptibility χ0 = 12 from table 11. the low-frequency limit of χ2 (ω)/ω becomes ∼10−7 which is four orders of magnitude greater than for spin–spin relaxation.2) 4πa 3 Nbulk 2. . as we did for paramagnets. • However. for which we estimated above 700 G. at a distance r from its center. the precession τ −1 (4π Msat /3)(e/m e c) 1. a ﬁeld (see table 11.63). two scenarios exist: • If the iron clusters are big enough to be divided into several domains.33). Putting the saturation magnetization Msat = 1750 G and χ0 = 12 (table 11. ˚ If the iron clusters have sizes below ∼200 A. The effect on the damping of the grain as a whole depends. This mechanism. A spherical single domain of radius a has.22µB 3r 3 7000 a r 3 . τ and ω0 with physical processes and to determine their values from a combination of experimental data and theory.2 and an estimate for τ of order 10−8 s from the laboratory. The ﬁeld produced by the inclusions must. be as strong as the ﬂuctuating ﬁeld from the isolated iron atoms in the paramagnetic grain material. One can squeeze out some semi-theoretical number for χ2 supposing. they are stable as ferromagnetic single domains.1% would increase the susceptibility tenfold. This enables paramagnetic dissipation by spin– lattice relaxation to operate in the otherwise paramagnetic grain material. Equation (11. on the volume fraction f Fe of the iron inclusions but even f Fe = 0. the presence of single-domain ferromagnetic inclusions has the interesting consequence that it provides a bias ﬁeld H0 for the adjacent paramagnetic material [Dul78]. in order for the resulting ﬁeld to be considered at a constant bias. of course. is much more efﬁcacious in enhancing the ratio χ2 (ω)/ω than spin–spin relaxation. especially at low frequencies as evidenced by ﬁgure 11. and χ2 (ω) = χ0 ωτ . as in (11. particles with single-domain iron inclusions seem not to χ2 (ω)/ω ∼ 10 be terribly effective in damping. The moving walls can phenomenologically be described by a harmonic oscillator. which we had so far discarded. that dissipation comes from precession of the magnetic moments in the local ﬁeld.34) says nothing about the dissipation mechanism.35) For a grain with ferromagnetic inclusions.54)).2).

the broken line depicts for this case χ2 /ω which determines the alignment efﬁciency after (11.1) and (11.31).Magnetic alignment 371 Figure 11. 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. therefore.25χT . For the relaxation times it is assumed that τsl = 100τsl . as a function of frequency in paramagnetic dissipation for spin–spin (ss) and for spin–lattice (sl) relaxation.7) and using the angle θ between the ﬁgure axis and L .2) that the angular velocity ωz grows at the expense of ωx and ω y . Therefore. while the angular momentum vector L stays constant in the absence of an external torque. With the help of (11. Consequently. it follows readily from (11. A sketch of the magnetic susceptibility. Assuming. the axis of maximum inertia (the z-axis) tends to become parallel to L.6. The rotational energy E rot of the grain then decreases and is turned into heat.3. for example. we further adopt ss χad = χ2 (0) = 0. 11. be most effective polarizers. When such grains are then magnetically aligned. χ = χ1 + iχ2 . their orientation will be almost perfect and they will. The ordinate is arbitrary. Ix < I y < Iz . The dots show the total dissipational loss rate W ∝ χ2 ω when sl ss both processes are activated (here χ2 = χ2 + χ2 ).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.

11. (11.372 Grain alignment (see ﬁgure 11. the rotational energy E rot of (11. will probably not show such alignment. • When an unmagnetized iron cylinder with inertia I is suddenly magnetized by an outer ﬁeld. As the total angular momentum of .3. the other gyromagnetic. 11. To see how it works.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. the atomic magnetic moments and their associated angular momenta line up. Suppose that in the process of magnetization. t is much shorter than tdis .3. It turns out that for suprathermally spinning inelastic grains. 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. I x Iz If one knows the dissipation rate W = d E rot/dt. we ﬁrst recall the famous experiments by Einstein and de Haas and its counterpart by Barnett. The previously introduced time t depends on the stiffness of matter. Interstellar grains in Brownian motion. N electrons ﬂip their spin direction from up to down.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.1). the mechanical damping constant of the grain material and.2) can be written as 2E rot = L2 + L 2 A cos2 θ Ix A= I x − Iz .6. When rotation is not about a principal axis. it is necessary that t be shorter than the disorder time tdis (see (9. on the rotational velocity.3.2 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. however. 11.39) for its value for Brownian motion). so they will always rotate about their axis of greatest moment of inertia.6 Mechanical and magnetic damping We discuss two further dissipation mechanisms: one mechanical. crucially.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.36) θ dθ dθ For the alignment to work.

.30) with χ2 from (11. it feels a magnetic ﬁeld B. we ﬁnd that the alignment time t in (11. each atom of mass m endows the grain upon collision with a small angular momentum (11. e (11. not likely to be responsible for polarization.37). a magnetization M = χB (Barnett effect). To understand the linear relation (11.37) between ω and B. the cylinder acquires an angular momentum L = N and rotates afterwards at a speed ω = N /I (Einstein–de Haas effect).4 Non-magnetic alignment We discuss two other ways in which grains may be aligned in the interstellar medium. in a stellar wind. the centrifugal force may be neglected and one may put v = x x . They are interesting in themselves but except for special conﬁgurations. in the cylinder. (11.27) and B from (11. this is Larmor’s theorem. When we apply this result to an interstellar grain of volume V and compute the dissipation rate W = χ2 ωB 2 after (11.37) The ﬁeld B then produces.39) dLgas = r × mv. Therefore. Rotating the atom is thus equivalent to exposing it to a magnetic ﬁeld of strength B = (2m e c/e)ω.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).1 Gas streaming When gas streams with a velocity v past a dust particle. which is parallel to ω and has the absolute value B=ω 2m e c .Non-magnetic alignment 373 • the cylinder is zero before and after the magnetization. The sum of the two is zero when ω + (e/2m e c)B = 0. 11. ¨ 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).4. The ﬁrst term is due to rotation and the other represents the Lorentz force of the magnetic ﬁeld. when we take an atom and apply a magnetic ﬁeld and furthermore slowly rotate the atom. for example. When an unmagnetized cylinder is rotated at angular velocity ω. 11. each of its electrons is subjected to the additional force: 2m e v × ω + (e/c)v × B. we mention. When ˙ ˙ ω is small.36) is inversely proportional to ω2 and much shorter than the disorder time tdis . ﬁrst.

8. Let us choose spherical polar coordinates (θ. φ).374 Grain alignment θ φ v Figure 11. 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. all such planes are equally likely. The net polarization is due mostly to grains with φ 0.8 falls almost along the x-axis. L gas will be limited by friction with the gas. while those with φ π/2 do not contribute. dLgas . the vector r in ﬁgure 11. Because of the vector product. If the grain is hit by N atoms. d L gas = 1 lmv. 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.7 ﬁnds that the starlight is polarized. Directions are given in the spherical polar coordinates (θ. . 2 The situation is depicted in ﬁgure 11.7. 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 . When the number N of collisions is large. An observer (right) views a star (left) through a cloud of cylindrical grains. all changes in angular momentum. dLgas lies in the plane θ = π/2 which is perpendicular to v. If the grain is a rod of length l. approximately. If the grain is very elongated. When there are many particles. Perpendicular to the line of sight. Therefore the angular momentum is perpendicular to the x-axis which implies that the grain rotates in a plane with φ = constant. The observer in ﬁgure 11. there is no favorite φ. gas streams at supersonic velocity v relative to the grains. lie in this plane but are randomly distributed there. we have.7). 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].

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

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

from the UV to the microwave region. Although their overall spectral signature was subsequently observed in very diverse objects (HII regions. however.1 What are PAHs? These are planar molecules. reﬂection nebulae. without proper identiﬁcation. usually with hydrogen atoms bound to the edges. planetary nebulae. The smallest consist of barely more than a dozen atoms. Observing several transitions simultaneously allows us to infer the conditions of excitation. made of a number of benzene rings. is poor. Moreover.Chapter 12 PAHs and spectral features of dust Gas atoms or molecules emit and absorb narrow lines. the emission is restricted to infrared wavelengths.1 Thermodynamics of PAHs 12.1. their proper identiﬁcation took place only in the mid 1980s. 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. mainly gas temperature and density. the transitions are broad and do not allow us to extract velocity information. Being a solid. 12. The spectroscopic information from dust. The smallest grains. These features are the topic of the present chapter. dates back to the early 1970s when in the near and mid infrared a number of hitherto unknown features were found [Gil73]. Because of their sharpness. cirrus clouds. each grain emits very many lines but they overlap to give an amorphous continuum. star burst nuclei and other external galaxies). Because of the strong disturbance of any oscillator in a solid. which show very characteristic bands are a fortunate exception. PAHs. so they are intermediate between molecules and grains and constitute a peculiar and interesting species of their own. PAHs is a short form for 377 . evolved stars. The ﬁrst observation of PAHs. the lines also contain kinematic information via the Doppler shift in their radial velocity. by which they can be uniquely identiﬁed. Resonances are also observed from silicate material and ice mantles.

There the velocity is small and. the situation is multi-dimensional but otherwise analogous. The phase space accessible to a one-dimensional oscillator with energy between E and E + δ E is. in view of (5. The unit phase cell has the size δqδp = . PAHs are excited by the absorption of a single ultraviolet photon upon which they emit their characteristic infrared lines.1. for a given q. one ﬁnds the highest density of cells. i. In interstellar space. position q and momentum p.2) as the sum of kinetic and potential energy of all atoms which are approximated by harmonic oscillators.2). When .2 Microcanonic emission of PAHs Let us investigate the possible states of a PAH of total energy E.378 PAHs and spectral features of dust unit cell p E + δE E q Figure 12.1. For f > 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. There are then two coordinates. The accessible states are in a narrow range from E to E + δ E. which is at the left and right edge of the ellipse. v) is the density of states at energy E subject to the condition that oscillator i is in quantum state v.v = ρ(E. and all states lie in an annulus around an ellipse.48). Polycyclic Aromatic Hydrocarbons and they are called this way even when the hydrogen atoms are missing. The oscillating particle is most likely to be found near the greatest elongation. The ellipses correspond to total (kinetic plus potential) energy E and E + δ E. 12. i.1 illustrates the locus of the states in phase space when the system has only one degree of freedom ( f = 1). given by the shaded annulus. v)/ρ(E). ρ(E) is the density of states at energy E and ρ(E. respectively. It is given in equation (8. Figure 12. according to equation (8. Pi.

v hνi Ai v. CH stretching.1.Thermodynamics of PAHs 379 one extends expression (5. Besides the four obvious ones. we consider the PAH anthracene.2) and is.3) 12. εmic (E.0 v≥1 v Pi.2) E + a E0 The i th oscillator emits in the transition v → v − 1 the power εmic (E. v) ξ = ( f − 1)ξ 1 − v + ρ(E) 2 f −2 f −2 ( f − 2)! j =i −1 hν j .v . therefore. v) = Pi. .v = a ρ(E. There are altogether f = 3 · (14 + 10) − 6 = 66 degrees of freedom. easy to handle theoretically. i. • • CC stretching. i.42) for ρ(E) to the case when the oscillators are not identical but each has its own frequency νi .079 ln(E/E 0 ) E0 = 1 2 j hν j . ξ= hνi . and further reﬁnes the expression by adding to E the zero-point energy E 0 of all excited oscillators. i ) = hνi Ai 1.3 The vibrational modes of anthracene As an illustration. In the model on which ﬁgure 12. (12. i. The vibrational modes can be computed if one knows the force ﬁeld (force constants) or the potential in the molecule.v−1 and the total microcanonic emission from oscillator i is. all bonds at its edges are saturated by hydrogen atoms. therefore. (12. There is one degree of freedom less and E.1) ρ(E) f ( f − 1)! j =1 hν j with a 0. have to be diminished accordingly. v) is also calculated after (12. as well as the zero-point energy E 0 .87 + 0. 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. one obtains [Whi63] (E + a E 0 ) f −1 (12. ρ(E. which has a simple and fairly symmetric structure (see insert in ﬁgure 12.2 is based seven vibrational types are considered. This gives ρ(E. The PAH is built up of three benzene rings.1) but now one has to exclude oscillator i . i.

Hydrogen atoms are also involved in the modes around 1000 cm−1 which are due to a CH bend. Excluding the CH bend at 3000 cm−1 . Some vibrational modes lie very close together because of the symmetry of the molecule. It is clear that atoms in similar force ﬁelds must swing in a similar manner. is the Debye frequency. is at • • . The rest of the histogram is due to the skeleton of carbon atoms and surprisingly smooth.8)). all CH stretches of the ten hydrogen atoms in anthracene are crowded between 3030 and 3040 cm−1 . This range is completely isolated and due to CH stretching. When κ is the force constant of CH binding and m the mass of an H atom. Despite the simplicity of the model. the theoretical frequencies agree well with laboratory data. The wavenumbers are tabulated in [Whi78] and grouped here into intervals of 100 cm−1 width. For reasons of symmetry.2. three mixed modes in which several atoms take part in the oscillation are also included. which. They correspond to 66 oscillators (modes). 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. the achieved accuracy is good. These are CCC and CCH bending as well as CCCC torsion. each having its eigenfrequency. It contains several noteworthy features: • The modes strongly cluster around 3035 cm−1 . For instance. for a graphite plane. the frequency is roughly ω = √ κ/m (see (12.4. we gave the Debye temperatures. The frequencies of the 66 oscillators by which the molecule is replaced are found by introducing normal coordinates (section 8.2. The distribution of the number of modes over energy is displayed in ﬁgure 12. θz = 950 K and θx y = 2500 K. In section 8.380 10 PAHs and spectral features of dust number of modes anthracene C 14 H10 0 1000 2000 3000 wavenumber [1/cm] Figure 12. The polycyclic aromatic hydrocarbon anthracene has 66 degrees of freedom. • • CC out-of-plane bending and CH out-of-plane bending. by deﬁnition.25). the high frequency cutoff.4) and solving equation (8.

the thermal assumption is usually bad.Thermodynamics of PAHs • 381 1800 cm−1 and corresponds nicely to θx y (see (8. whereas it grossly underestimates the population numbers at short wavelengths. E is equal to the sum of the mean energies of all 66 oscillators (see (5. from ﬁgure 12.1. If the shift due to anharmonicity is small. the assumption of thermalization. things only improve. It is acceptable only for lowfrequency vibrations. they have to be taken into account. if one looks closer. we can calculate from this equation the temperature of a thermalized anthracene molecule of energy E. Let the PAH absorb a photon of energy E. We now apply our skills to anthracene and check whether. When the levels are thermalized. is permitted. Because of anharmonicity. We see. the modes extend into the far infrared. We also learn from the microcanonic results of level populations that those oscillators in the PAH which correspond to the major bands (table 12. as for the C–H out-of-plane bend at 11.4 Microcanonic versus thermal level population We have learnt how to compute the microcanonic population of levels.2. the spacing between the upper levels decreases and the lines from higher v-states are shifted towards the red.33)).11)). see table 12.3 µm. v ≤ 1.45) if one uses θz = 950 K. However.4. The v = 2 → 1 line is always weaker because of low level population but note that the Einstein A coefﬁcient increases proportionally with v. If the photons are more energetic (E > 10 eV). Because all νi are known. when it is excited by a photon of 4 eV. 66 E= i=1 hνi hνi / kT e −1 . There are now for each energy interval ﬁve times more modes. not important. this is always the statistically correct way. The shift is sufﬁciently large so that the v = 2 → 1 line can occasionally be seen well detached from the v = 1 → 0 transition. This implies that effects produced by the anharmonicity of the oscillator potential are. to ﬁrst order.1) and at 3. For higher photon energies. Figure 12. To estimate how big PAHs behave. 12. and thus also for line emission.42 µm (v = 2 → 1). the highv lines blend with the ground transition producing an overall broadening of the band. we may indeed use the Boltzmann formulae (dotted lines) for the level population. The best example is presented by the C–H stretches at 3. At long wavelengths. the situation . we consider a ﬁctitious molecule with 330 degrees of freedom but with the same relative mode distribution as in ﬁgure 12. which when fulﬁlled makes life so much easier.3 demonstrates that if the PAH has absorbed a typical stellar photon of hν 4 eV. that for such a big PAH. for this PAH. The lowest energy is 73 cm−1 (137 µm) and again in qualitative agreement with the estimate for the minimum frequency νmin from (8.1) are mostly found in the lowest quantum numbers.28 µm (v = 1 → 0.

which only have a meaning at integral quantum numbers v. As the PAH gets bigger. it must eventually be thermalized like a normal grain. one may certainly assign a temperature but it is doubtful whether one can do so in the case of a PAH. see also text. roughly .5 Does an ensemble of PAHs have a temperature? The concept of temperature is only valid if the system has many degrees of freedom. 12. Dots show the microcanonic fractional population as approximated by (12.3. if the size of the PAH is further increased. Of course. give the thermal results at a temperature T = 1325 K. improves towards thermalization. the assumption of thermal emission gets poorer.1 eV (13 µm wavelength). which may bear more afﬁnity to a big molecule than to a solid body. the number of states whose energy does not exceed E is. for a PAH with f = 100 degrees of freedom that is excited to an energy of E = 10 eV and emits IR photons of 0.1.41).382 PAHs and spectral features of dust Figure 12. 1010 atoms. The dotted lines. 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. To an ordinary grain made of N = 105 . always Nv = 1.2). For example. . steadily declines. νmin after (8. the threshold for collisional and photoexcitation. from (5.5). Note that while such a highly excited PAH cools. .45) and νcut after (12.

5 4 12 5. For PAHs. and per C atom for C–C modes. excitation through energetic photons is much too rare an event and gas collisions are negligible altogether. as before. for example. 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. Approximate numbers for PAH resonances.5 1.3 11. However. The cross sections integrated over the band.3 15. See also ﬁgure 12.6 11.7 16. If the photons were monoenergetic.8).7 1.3 6.8 13.9 12. Furthermore. prior to absorption of a photon.7 8.0 2. so would the energies of the PAHs freshly excited from the . whether the PAH is approximately thermalized or not.6 5. the PAH is usually in its ground state.2 7.5. This is not a fantastically large number. at low gas density.0 2.1 15.4 18.1. If one cannot assign a temperature to a single PAH.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 .1 23. The kinetic temperature of the gas does not then describe the population of the internal levels of the atoms.2 1. So one has to check in a microcanonic treatment. as it should be for a good temperature but one of order unity.0 14. when exciting events are rare. 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. major (top) from minor bands (bottom).1 12 2. σint = σ (λ) dλ.2 21. are per H atom for C–H vibrational modes. Center wavelength λ0 (µm) 3.2 7.Thermodynamics of PAHs 383 Table 12. somewhat artiﬁcially. The space divides.9 5 3 2 3 3 3 3 Integrated cross section σint (cm2 cm) 12 14 51 27 41 27 47 12 1. the levels are not thermalized.1 Damping constant γ (1012 s−1 ) 20 14 22 6 4 7 3.2 1.

also in their lowest level. Level population Nv of a PAH with f = 330 degrees of freedom. their frequencies do not mimic thermal conditions.1). some on time scales of 10−12 s. say. Collisions with gas atoms are rare and the gas temperature is too low anyway to thermalize the PAH.6 eV. a neutral PAH molecule is almost all the time in its electronic ground state. i. The emission lasts typically for 1 s. once a day. Before the IR photons are emitted. Afterwards the molecule is highly excited and in a new electronic singlet state Si . But by and large. Their distribution in energy would not show the spread typical of thermal systems but resemble a δ-function. 12. The dotted lines are calculated under the assumption of thermalization at T = 545 K (left box) and T = 1000 K (right box). Otherwise as ﬁgure 12. Emission of infrared lines from the PAH molecule is initiated by absorption of a UV photon of energy E UV .3. ground state be.4.2). very fast. and then degraded into infrared photons. immediately after the UV photon has been . The energy of the absorbed photon equals 4 and 12.2 PAH emission 12. It has the same relative mode distribution as anthracene (see ﬁgure 12.e. Then various and complicated things happen. a singlet S0 . Although the actual exciting photons are not monoenergetic but come from the interstellar radiation ﬁeld and have a considerable spread.1 Photoexcitation of PAHs In the diffuse interstellar medium. distributed over all available vibrational modes.384 PAHs and spectral features of dust Figure 12. the outcome is that the ultraviolet energy is thermalized.2. mainly by emission in the fundamental modes (see table 12. The vibrational modes are. therefore.

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

12.2. the carbon rings are broken. E 0 = 2. approximately. For example. and it has the overall effect of stabilizing the molecule against destruction. in a PAH with f degrees of freedom and total energy E. the oscillator i in a state v ≥ vdis is given by equation (12. ν0 = 1015 s−1 [Joc94]. which is of order 102 s−1 . (12.3 Photo-destruction and ionization Because the PAHs are so small. absorption of a UV photon can lead to dissociation.11). evaporation will occur. with a critical internal energy E cr and because E cr > E 0 . As kcr enters logarithmically. The chance P(E) of ﬁnding. one. The two factors. The infrared emission rate of PAHs. 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 . E 0 = 2. E 0 may be loosely interpreted as the bond dissociation energy. Ionization after absorption of an energetic UV photon is another reaction channel. When kdis(E) > kcr . with respect to C2 H2 loss. an exact value is not required. Big PAHs are easier to ionize than small ones. After UV absorption.8 eV and ν0 = 1016 s−1 .6) ν0 has the dimension of a frequency. the ionization potential of benzene is 9. kcr is associated. therefore. Because of the anharmonicity of the potential of a real oscillator. If hydrogen atoms detach. ν0 and E 0 . the aromatic cycles are unscathed. besides dissociation and infrared emission. ln kcr ln ν0 − ( f − 1) E0 . can thus be considered as the critical dissociation rate.24 eV and declines to ∼6 eV for molecules with 100 carbon atoms.9 eV. if however acetylene evaporates. and P(E) is proportional to the dissociation rate kdis(E) of the molecule.2). E cr So there is a rough linear relationship between the degrees of freedom of the PAH and the critical energy.6). can be determined experimentally.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.2). In slight modiﬁcation of (12. writes kdis(E) = ν0 1 − E0 E f −1 . from (12. PAHs will not exist at all. kcr . The critical temperature Tcr can be found from E cr via equation (5. In a strong and hard radiation ﬁeld. . with respect to hydrogen loss. one has. When relaxation through emission of IR photons is faster than dissociation. the PAH is stable. f E cr = i=1 hνi hνi / kTcr e −1 .

The probability function P(T ) of (8.e. proportional either to NH or NC .1 compiles their vibrational type. near an O star (distance r = 1016 cm. harsh radiation ﬁeld. As the total amount of absorbed and emitted energy is determined solely by the carbon skeleton. and N the number of C or H atoms. The strength of the emission is. . i. NC should be above 200. under what conditions do PAHs survive in a given.4 µm which was mentioned in section 12.PAH emission 387 For the astronomically relevant question. L = 105 L ). As the physical processes connected with PAH destruction are most complicated. γ ν2 2 π 2 [ν 2 − ν0 ]2 + [γ ν/2]2 (12. center wavelength and integrated line strength but it also lists some of the weaker or minor resonances which are. one has to balance their destruction rate with the rate at which they are built up by carbon accretion. respectively. when ∞ Tcr P(T ) d T ≥ f evap .46) has to be computed anyway for the evaluation of PAH emission.1. 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 .2.106)).1 because it is an overtone. 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. we estimate that PAHs with only 30 carbon atoms can survive. In the interstellar radiation ﬁeld (ﬁgure 8. which are all located at the periphery of the PAH. however.e. i. It is not listed in table 12.2). a PAH without hydrogen atoms will have weaker C–C bands than one with hydrogen atoms (and the same NC ).7) where ν0 = c/λ0 is the center frequency. respectively.4. more variable in intensity from source to source and their origin is less clear. We approximate the line shapes by Lorentzian proﬁles (see (1. Table 12. the other only carbon atoms. 12. therefore. σint = σ (λ) dλ the cross section of the particular band integrated over wavelength. There are two classes of bands: one involves hydrogen atoms. The damping constant γ determines the band width and is probably the result of an overlap of many transitions with frequencies clustering around ν0 . the number of hydrogen and carbon atoms.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 most prominent representative of the minor features is the band at 3.

The resonance is broad in an amorphous material. in a triple C≡C bond at ∼5 µm.6 µm (see table 12. . Likewise. Its width and center frequency depend weakly on temperature: when the solid cools. the center wavelength increases from approximately 11. For example. the stretching mode of the light CH molecule occurs at ∼3 µm. Let us consider the vibrations in a characteristic group that consists of just two molecules.388 PAHs and spectral features of dust 2 1 4 2 3 Figure 12. for the heavier CN.9) The frequency is high when the molecules are strongly coupled and the masses of the involved atoms small. hydrogen atoms are attached to the edge of the carbon skeleton. In a PAH.5.1).3 Big grains and ices A few infrared resonances can also be observed in grains of normal size. the feature becomes narrower because collisional damping with neighboring atoms is reduced. The number of neighboring H atoms is indicated for each (peripheral) carbon ring. Due to the coupling between the vibrating H atoms. the force constant κ and thus the frequency ν in (12. for example OH in water molecules when water has frozen out. 12.3 to 13. m1 + m2 (12. At the same time. in a single C–C bond.8) m1m2 .8) increase because the lattice shrinks. 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. the resonance is at ∼10 µm. In a simpliﬁed picture. and fairly sharp in a crystal where high structural order leads to long-range forces. They allow us to identify certain characteristic groups in molecules of which the grains are made. three (trios) or four (quartets) adjacent H atoms. 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 band lies at ∼10 µm. The features are grain-size independent and serve as a tool to unravel the chemical composition of interstellar dust.

To derive the ratio of the visual to the 9. It is the strongest indicator of silicon in space. one measures the extinction through a cloud that lies in front of a carbon star. so these branches are supressed. in CH3 but its exact identiﬁcation has not yet been settled. one can determine the visual extinction AV from the 10 µm absorption. the atoms are squeezed in by other molecules and cannot rotate freely. τV τ9.3. CH3 OH.3.1). and not in a ring) C–H stretching mode. the absorption coefﬁcient ratio κ18 /κ10 0. In these stars. τV /τ9. towards oxygen-rich mass loss giants it is seen in absorption and occasionally in emission. Towards star-forming regions.1). The method still works when stellar photometry is no longer possible.1 µm feature due to OH stretching seems to require shielding by more than 8 mag of visual extinction. Another feature that is widely observed in absorption in the diffuse medium but. CO.1 and ﬁgure 14. The stars have shells of carbon dust that produce a smooth 10 µm emission background with a temperature of ∼1000 K and without the 9.2 Icy grain mantles Ice mantles form in cold and dense molecular clouds as a result of gas accretion onto refractory cores (section 9.1 The silicate features and the band at 3.7 2. all oxygen is bound in CO and silicate grains are absent. there is an O–Si–O bending mode which is weaker and much more difﬁcult to observe from the ground because of atmospheric attenuation.7 18 (12. An impressive example of absorption by ice mantles is presented in ﬁgure 12. The vibrational spectrum of diatomic molecules in an ice mantle has several peculiarities.7 µm optical depth. provided there are no hot grains along the line of sight that emit themselves at 9.10) with a scatter of about 10%. Knowing the ratio τV /τ9. In a solid. For example. each consisting of many rotational lines (see section 14. absent in molecular clouds is the one at 3.6 we estimate that the object IRS9 in NGC 7538 suffers about 35 mag of visual extinction corresponding to τ9.7 .5. in varying abundance ratios. To stay on the grain and not to become photodesorbed. the 3. from the depression of the 10 µm feature in ﬁgure 12. quite interestingly.2. On average.7 µm.7 µm feature. Only hindered rotations may be possible in .and a P-branch.Big grains and ices 12. It is usually attributed to an aliphatic (the carbon atoms are arranged in a chain. CO2 . NH3 .6. .7 µm due to an Si–O stretching vibration in silicates. CH4 . 12. there is generally an R. in a gas.7 . For instance. for example. . For free molecules. they have to be well hidden from the UV radiation ﬁeld. The mantles consist of a mixture of molecules like H2 O. it is observed in absorption. At around 18 µm. .4 µm.4 µm 389 The most prominent and widely studied resonance is the one at 9.

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. 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.) Altogether. The other features come from molecules that have frozen out onto refractory grains and are now in ice mantles. lies in its relative simplicity. by rotating. see chapter 10. The center frequency is also inﬂuenced by the composition of the matrix into which the molecule is embedded. The infrared spectrum towards the infrared object IRS9 in the star-forming region NGC 7538. yield successful matches to observed spectra. Reproduced from [Whi96] with permission of EDP Sciences. which is energetically different. It uses published sets of optical constants. polarization. The grains have the simplest possible structure and shape: they are uncoated spheres. only 12 types of . It will be applied in chapter 16 to compute the spectral energy distribution of dusty astronomical objects. we have to turn some of the spheres into inﬁnite cylinders.390 PAHs and spectral features of dust Figure 12. its advantage. 12. (Therefore. to account for the interstellar polarization. which the molecule switches from one position to another. scattering and infrared resonances and. if any. if employed in radiative transfer calculations. Our model certainly does not produce superior ﬁts. without modifying them at certain wavelengths to improve ﬁts. They are all capable of explaining the basic data on extinction.6.

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

12. They consist of amorphous carbon (abundance in solid [C]/[H] = 2.1 The three dust components Our dust model for the diffuse interstellar medium consists of three components with the following properties: • Big grains.8. Very small grains (vsg).4. Also shown are the extinction ˚ (full curve) and absorption (dotted curve) coefﬁcients for big silicates (Si.4. a+ = 40 A). both with bulk density ∼2. They • . It refers to 1 g of interstellar matter adopting a dust-to-gas ratio Rd = 140. Big grains attain a constant temperature in any radiation ﬁeld.5 g cm−3 . a− = 300 A. broken curve) as a function of wavelength for the dust model of the diffuse medium. ˚ form a population of very small grains (vsg) with radii less than 100 A. a− = 150 A. One ˚ ˚ a+ = 2400 A) can read the amount of scattering as the difference between extinction and absorption. A few percent of the solid matter.5). The total extinction coefﬁcient (MRN+vsg+PAH.5 size distribution (section 7. The ˚ ˚ ˚ bumps at 2200 and 700 A are due to very small graphite particles (a− = 10 A. a+ = 1200 A). Absorption and scattering cross sections are calculated from Mie theory employing optical constants from ﬁgure 7. ˚ and big amorphous carbon grains (aC. Most of the solid matter in the interstellar medium resides in big grains.5 × 10−4) and silicate particles ([Si]/[H] = 3 × 10−5). They are spheres and their radii ˚ range from ∼200 to 2400 A with an a −3. Their chemical structure has been discussed in section 7.5).392 PAHs and spectral features of dust Figure 12. also called MRN grains (section 7.19. we adopt 5–10%.

Such a restriction. besides speeding up the computations. The main reason why one has to include vsg is their timevariable temperature. In estimating PAH properties. Finally. which is the ratio of hydrogen-to-carbon atoms.8/ NC . for them. and big ones with NC = 400. For the hydrogenation parameter. we put. so optical constants of graphite are appropriate.6.11) . Although there must be a plethora of different species. and not amorphous. Optical cross sections are still calculated from Mie theory. although the concept of a continuous solid medium may no longer be fully valid. we consider only two: small ones with NC = 40 carbon atoms.An overall dust model 393 Figure 12. for NC > 30.9. PAHs. • may be regarded as the small-size extension of the big particles. we add PAHs to the dust mixture. fH/C . 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. as demonstrated extensively in sections 8. (12.8.5. and assume that the carbon component is graphitic. We adopt. a size spectrum n(a) ∝ a −4 . which is somewhat steeper than for MRN grains (but this is an arguable minor point). makes it easier to elucidate the inﬂuence of the PAH size on the spectrum. The ﬁt could be substantially improved by modifying the abundance. we widely follow [Sch93].5 and 8. The extinction coefﬁcient of our dust model is displayed in ﬁgure 12. The temperature of the PAHs also ﬂuctuates violently and has to be calculated according to the recipes of section 8.

there the dust consists of pure (unmixed) silicate and amorphous carbon grains with a− = 0.02 µm and a+ ∼ 0. over the total number NC .8.03 µm.14) for NC = 400 (40). YC a certain kind of PAHs. the upper limit a+ is indicated. The MRN curve is more or less identical to the broken curve of ﬁgure 12.44 (0.4)). ice and vacuum. C PAH . so C PAH does not depend on frequency and is proportional to the number of carbon atoms. f H/C is thus proportional to the number of carbon atoms at the periphery of the PAH. except in the far UV due to slight differences in the vsg abundance. The line labeled MRN shows the diffuse medium for reference. The lower limit a− of the size distribution is in all curves 0. although this is a severe simpliﬁcation. where the H atoms are found. irrespective of their geometrical arrangement. At wavelengths shorter than λcut . we put C PAH = NC × 10−17 cm2 . In reality. Ionized PAHs can be excited by less energetic photons and have greater infrared absorption coefﬁcients than neutral ones [Li01]. there is probably a large scatter in the hydrogenation parameter due to variations in the radiation ﬁeld. Mass extinction coefﬁcient per gram of interstellar matter (IM) as a function of wavelength for composite grains which are ﬂuffy aggregates of silicate. The formula gives f H/C = 0. For the absorption cross section of a single PAH.3 µm.10. which is usually in the UV (see (12.394 PAHs and spectral features of dust Figure 12. carbon. we disregard differences between neutral ond ionized PAH species. The cross sections in the resonances are . 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.

6. the vsg are irrelevant.5. for ice from the tables of [Ber69] and [Leg83].1 µm. In the far infrared.2) and Cλ should fall off like λ−m with m between one and two. the reproduction of the interstellar extinction curve is not bad. the upper limit a+ is varied. vsg.4 and 2.7. The optical constants of silicate and amorphous carbon are from ﬁgure 7. In all grains.6). for instance. 12. The curve marked a+ = 0. .An overall dust model 395 taken from table 12. four for the big Si grains and two for the very small grains. Nevertheless.6). Silicate has twice the volume of carbon.4. possibly even triples (see discussion on icy and ﬂuffy grains in section 2.4. their size increases and the dust mass doubles (Rd = 1 : 70). The effect of all three processes (ﬂufﬁness. 12. the one at 3. Several ice resonances are visible. the lines with a+ = 30 µm or 3 mm might be appropriate. We use only four particles sizes for the big aC grains.9 further quantify our dust model.19. When the grains are very big. whereas the ice volume is 2. The absorption coefﬁcient of PAHs per gram of interstellar matter is displayed in ﬁgure 12. we compute the mass extinction coefﬁcient of dust that consists of such icy and porous grains.03 µm = 300 A. Without UV radiation. f Si / f aC = 2.3 µm is an educated guess for dust in protostellar clouds before it is warmed up by the star and the ices evaporate. f vac = 0. at λ > 25 µm. Si plus aC. The particles are spheres and have a size distribution n(a) ∝ a −3.3 Extinction coefﬁcient in protostellar cores We extend our dust model to cold protostellar clouds.5 times bigger than the volume of Si plus aC.10. The PAHs have disappeared and are dirty spots in the ice mantles. Assuming that helium accounts for 28% of the gas mass. ice and vacuum.5. PAHs) imply a total dust-to-gas mass ratio in the diffuse medium of Rd = 1 : 140. amorphous carbon (aC).8 and 12. as in stellar disks. this continuum is usually swamped by the emission from big grains and not observable. frosting and grain growth) on the particle cross sections is investigated in section 2. The vacuum fraction is always constant. Average optical constants are calculated from the Bruggeman mixing rule (section 2. one expects a continuum (see the smooth frequency distribution in the modes of even a small PAH in ﬁgure 12.2 Extinction coefﬁcient in the diffuse medium Figures 12. these cited abundances for all three dust components (big grains. All grains are ﬂuffy and composed of four components: silicate (Si).6. The deﬁcit in the far UV is irrelevant for all models of infrared sources where the observer does not receive far UV radiation. There grains are modiﬁed with respect to the diffuse interstellar medium by coagulation and by ice mantles. However. the ice mass is equal to the mass of the refractory components. Consequently.5 ˚ with lower limit a− = 0.1. In ﬁgure 12.

1. we also discuss the radiative transport in molecular lines because line observations are always complementary to dust observations when investigating stars in their making. We summarize the elements of radiative transfer. estimates on temperature.1): Consider a surface element dσ at location x with normal unit vector n.Chapter 13 Radiative transport This chapter deals with the transfer of radiation in a dusty medium. be handled in one dimension. the power d W = Iν (x. absorbed and re-emitted before they are collected in the telescope. one has to understand how the photons propagate within the source. It receives. We append solution strategies of radiative transfer for two other astronomically relevant geometries: dusty accretion disks and a dust-ﬁlled star clusters. both of which can. . e) cos θ dσ d dν. For example. To extract from the observational data the full information on the physical conditions in the star-forming region. e) has the dimension erg s−1 cm−2 Hz−1 ster−1 and is a function of 396 . 13.1) Iν (x. It is deﬁned in the following way (see ﬁgure 13. which is inclined by an angle θ against n. Finally. for a homogeneous medium. under minor assumptions. . from the solid angle d in the direction e. (13. ν + dν.1 Basic transfer relations 13. e) is the fundamental parameter describing the radiation ﬁeld. when one observes a star-forming region. 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. density and masses. most photons created within it do not reach us on a straight path but are scattered. within the frequency interval ν .1 Radiative intensity and ﬂux The intensity Iν (x. discuss the general transfer equation and sketch how to derive.

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

The source function is thus the limiting value of the intensity for high optical thickness. When we introduce the source function Sν = we can rewrite (13.2. We see from (13.7) ext dτν = K ν ds. φ) cos θ sin θ. (13. its value is given by the integral τν = so along the line of sight S2 S1 ext K ν ds.1. 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. its intensity Iν changes. This is written in the following way: d Iν ext = −K ν Iν + ν .5) 13.1 The source function When a light ray propagates in the direction e along an axis s. Note that the coefﬁcient ν deﬁned in (8. Both K ν and ν refer to unit volume −1 and erg s−1 cm−3 Hz−1 ster−1 . An object of low optical depth (τ 1) is transparent and radiation reaches us from any internal point. τν . (13.6) that per unit length.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. the intensity Iν decreases ext ext by an an amount K ν Iν and increases by ν . It depends on frequency. and ν comprises emission and scattering.398 • Radiative transport The net ﬂux Fν through a unit surface follows from (13.6) as d Iν = −Iν + Sν . respectively.9) ν ext Kν (13. and their dimensions are cm A fundamental quantity in light propagation is the optical depth or optical thickness.1) stands for ‘true’ emission only and is thus different. (13.1): Fν = π 2π dθ 0 0 dφ Iν (θ. When light travels from point S1 to point S2 . It is weakened by extinction and reinforced by emission and by light that is scattered from other directions into the direction e.6) ds ext K ν is the coefﬁcient for extinction.1. . dτν (13.2 The transfer equation and its formal solution 13.

and increases because the grains radiate thermally and scatter light.9) are: Iν (s) = Iν (0) exp − Iν (τ ) = Iν (0) · e−τν . Emission plus absorption.10) where Jν is the mean intensity of the radiation ﬁeld after (13. the observed intensity grows linearly with the path length s.6) for three scenarios: • Pure extinction without emission ( ν = 0). ext Pure emission without extinction (K ν = 0).14). If scattering is isotropic and the grains are at temperature T .2 Analytical solutions to the transfer equation We solve equation (13.14) is only a formal solution to the transfer equation (13. In this most general case. This situation applies quite well to submillimeter radiation from an interstellar dust cloud.12) • Iν (0) is the intensity of the background star if it were not attenuated.1. the source function becomes Sν = abs sca K ν Bν (T ) + K ν Jν ext Kν (13. An example is starlight weakened on the way to us by an intervening dust cloud.6) and (13. which is the standard scenario. . and for constant emission coefﬁcient ν . in reality.9). now Iν (s) = Iν (0) + s 0 ν (s ) ds . we multiply (13.14) The index for the frequency has been dropped for convenience of notation. If Sν (τ ) is constant. The hard part is to ﬁnd the source function Sν (τ ) in formula (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 .15) Iν (τ ) = Iν (0)e−τ + Sν (τ ) · [1 − e−τ ].2. (13.11) (13.13) • Without a background source (Iν (0) = 0).4). The obvious solutions to (13. it may be taken out from under the integral yielding (13. s 0 K ν (s ) ds (13. (13. 13. we have not. Although it appears as if we had mastered the radiative transfer problem. Equation (13.Basic transfer relations 399 In a dusty medium. the intensity of a light ray decreases because of extinction. The observed intensity diminishes exponentially with optical depth. which is the sum of absorption and scattering.

Bν (T ) They imply that without a background source and if the cloud is translucent (τ 1). (13. on wavelength.16) If the background is a point source of ﬂux Fν (0). There it is common to replace the intensity Iν by the brightness temperature Tb which is deﬁned through Iν = Bν (Tb ). of course. out of a solid angle . However. Sν = Bν (T ). the intensity Iν (τ ) = Iν (0)e−τν + Bν (T ) · [1 − e−τν ].3 A dust cloud of uniform temperature In a dust cloud.16) are: Bν (T )τν + Iν (0) for τν 1 (13. (13. one receives. Towards a uniform cloud of optical depth τν . At these wavelengths. the only exception is a blackbody for which Tb is independent of ν. Although Tb is not a direct physical quantity. and thus its mass. (13. if the source is opaque (τ 1). equation (13. therefore.3 The brightness temperature Observations at wavelengths greater than 100 µm fall in the domain of radioastronomy. observes.18) Iν (τ ) = for τν 1. In this case.1. all information about the grains is wiped out and the object appears as a blackbody of temperature T . its use offers practical advantages: • One now has for the intensity handy numbers in a simple unit (Kelvin).17) When the background is absent or its spectrum known and multi-frequency observations are available. grain scattering is practically absent.15). one. the intensity is directly proportional to the optical depth: doubling the column density. doubles the strength of the received signal. Because Tb expresses an intensity. For dust at temperature T . .19) Bν (T ) is the Planck function.1. it depends. according to (13. 13. emission occurs only in the infrared. instead of weird numbers in awkward units.2. the source function is then equal to the Planck function at that temperature.400 Radiative transport 13. The limiting solutions to (13. the ﬂux Fν (τ ) = Fν (0)e−τν + Bν (T ) · [1 − e−τν ] .17) yields an estimate of the source temperature and its optical depth. 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.

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

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

1 Moment equations for spheres In a spherical cloud. (13.17)) are no longer acceptable. However. scattering and extinction are denoted by the slightly different symbol K ν . where θ is the inclination angle to the radial vector. It is a simple exercise to show that for spherical symmetry 1 Note that volume coefﬁcients for absorption. the basic quantity. from (13. one may encounter difﬁculties using a public code because it usually has to be modiﬁed to meet the demands of a speciﬁc astronomical problem.4) and (13. equals 1 and the quantity (4π/c)Kν gives 3 the radiation pressure. (13. for the mean intensity and the ﬂux: Jν = 1 2 1 −1 1 −1 Iν (µ) dµ Iν (µ)µ dµ. the frequency-dependent intensity I . In practice. inﬁnite cylinders and spheres. also depends on direction θ . the dust temperature T (r ). Putting µ = cos θ . however. Easy-to-model geometrical source conﬁgurations are inﬁnite slabs. Iν = Jν and the net ﬂux is zero.24) In the case of an isotropic radiation ﬁeld. Fν = 0. 13. Jν and Fν are the zeroth and ﬁrst moment of the intensity. θ ). The structure of the medium then depends only on one spatial coordinate. The second moment reads1 Kν = 1 2 1 −1 Iν (µ)µ2 dµ. We now present the equations and sketch the numerical strategy for such an endeavour in spherical symmetry.22) (13. so altogether I = Iν (r. the dust density ρ(r ). the mean radiative intensity Jν (r ) and the ﬂux Fν (r ) are only functions of distance r to the cloud center. even at the expense of less professionality. The radiative transfer may be solved in many ways and fast and efﬁcient public computer codes exist. the problem is one-dimensional. Then the ratio Kν fν = Jν which is called the Eddingon factor. A more reﬁned model is needed.23) Fν = 2π (4π/c)Jν is the radiative energy density.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 (13.2. .5). It may then be better to write a code oneself. we obtain.

.27) but the problem of having one more unknown than equations remains because now Kν comes into play.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. one needs physical guidance.28) equals 4σ T 3 /π. (13. 3 13.25) because there is no dependence on the angle µ.25) Multiplying (13. the radiation ﬁeld is isotropic and f ν = 1 . The introduction of the next higher moment (multiplication of (13. r 2 dr (13. the deﬁnition of K R in equation (13. σ T 4 /π.28) must be.6) becomes µ ∂ Iν 1 − µ2 ∂ I ν ext + = −K ν Iν + ∂r r ∂µ ν. The Rosseland mean gives the greatest weight to the lowest values of K ν . either. one uses the Rosseland mean K R (T ) deﬁned through 1 ∂ Bν (T ) 1 K ν ∂T dν = . although not evident at ﬁrst glance.28) ∂ Bν (T ) K R (T ) dν ∂T where σ is the radiation constant of (5. One could try to ﬁnd an additional equation by multiplying (13. 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. 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. equivalent to KR Fν dν = K ν Fν dν.25) by µ2 ) will not remedy the situation. For instance.80).2. we cannot solve it for Jν (r ) because it contains the new variable Fν (r ).26) This equation looks much simpler than (13. For high optical depth. for low optical depth.25) by µ0 = 1 and integrating over all directions gives 1 d 2 ext (r Fν ) = −4π Jν K ν + 4π ν . to be able to use formulae that do not depend explicitly on the direction angle µ. where the mean intensity Jν is close to the Planck function Bν (T ). Instead.404 Radiative transport equation (13. the radiation ﬁeld is streaming radially outwards and Jν = K ν = Fν /4π. and indeed is. (13. However.

Then the total ﬂux F = Fν dν is. When we put for the absorption efﬁciency Q ν = 10−23 aν 2 after (8. determined by the temperature gradient in the star: F =− 16σ T 3 d T . it may be better under such conditions to use the enhanced estimate K P ∼ 10−3 T 2 cm2 per gram of IM. the Planck mean K P may be used to assess the effective optical depth of clumps in a molecular cloud. as a frequency average.5 × 10−24 R/ρgr . and let K R refer to 1 g of interstellar matter.2. A dust-to-gas ratio Rd = 0. one may compute the coefﬁcients analytically.29) • We point out that because Pr = aT 4 /3. The coordinates p and z.2. where a is the grain radius in cm. As grains in early-stage protostellar condensations are probably ﬂuffy and possess ice mantles (section 2. which are used instead of r and µ.27). the Planck mean K P . are connected to the radius by r 2 = p2 + z 2 (13. one takes.31) The two values are astonishingly close. 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 .29) corresponds to Fick’s ﬁrst law of diffusion.33) . which is ﬁne for interstellar dust (section 8. (13. K P = 8.84). It is now not a question of which frequency penetrates deepest. In a tenuous cloud. from formula 3 (13.32) The Rosseland mean opacity may be acceptable in protostellar cocoons or accretion disks. one gets a quadratic increase with temperature.30) Using the approximation K ν = K 0 ν m . Bν (T ) dν (13.Spherical clouds 405 For example. is the radiation pressure.6). Instead one has to take the average over the emitted energy.10).01 and a matter density ρgr = 2.3 Differential equations for the intensity We give here a set of equations for the intensity that retains the full information on frequency and direction. For m = 2.14 × 1021 K 0 T 2 K R = 1.08 × 1022 K 0 T 2 . with a from (5. Light is propagating at constant impact parameter p parallel to the z-axis either to − + the left (Iν ) or to the right (Iν ). 3K R (T ) dr (13. K 0 = 7. K P (T ) = K ν Bν (T ) dν . 13. applied to a photon gas. equation (13. Our choice of coordinates is illustrated in ﬁgure 13.5 g cm−3 leads to K R ∼ 3 × 10−4 T 2 cm2 per gram of interstellar matter. (13.2). they all do.

+ − at z = 0.36) • The formulation of the second boundary condition depends on whether there is a central star or not. The coordinate system for the intensity in a spherical cloud of outer radius R. i. z e ) = I0ν with z e = R 2 − p2 .37) Iν ( p. the incoming intensity − Iν is equal to the intensity of the external radiation ﬁeld I0ν : − Iν ( p. scattering and extinction referring to 1 cm3 of interstellar space. for reasons of symmetry.2. z) = Iν ( p. Without it or when there is a star but the impact parameter p is larger than the stellar radius R∗ . (13.10). K ν and K ν are the volume coefﬁcients for absorption. z ∗ ) − Iν ( p. (13. z ∗ ) = F∗ν π with z ∗ = 2 R∗ − p 2 . dz (13. K ν . Light rays at constant impact parameter p are directed either to the left (I − ) or to the right (I + ).406 Radiative transport p R I− I+ r ze z Figure 13. z) With a star of stellar surface ﬂux F∗ν and when p ≤ R∗ (see (5. the source function is given by abs sca ext (13.74)).e. z e ).35) If the dust particles scatter isotropically. (13.9)) + d Iν ext + = −K ν · [Iν − Sν ] dz − d Iν ext − = K ν · [Iν − Sν ]. and the intensities obey the differential equations (see (13. The ray I + enters the cloud at ( p. one has. + − Iν ( p. (13.2. where z = z e .34) (13. −z e ) and leaves at ( p. The cloud is immersed into a radiation ﬁeld of isotropic intensity I0 .35) have to be solved only in the right-hand quadrant of ﬁgure 13.38) . The equations must be complemented by two boundary conditions: • The ﬁrst states that at the cloud’s edge.34) and (13. for z > 0. In view of the symmetry of the spherical cloud.

it is. the optical depth τ increases from left to right. we then calculate. the intensity Iν from (13. the mean intensity of the radiation ﬁeld Jν (r ).43) It is not difﬁcult to see that this agrees with the deﬁnition of Jν from from (13.2.14)) I + (τ ) = e−τ I + (0) + 0 τ S(x)e x d x (13. (13. r ) r 2 − p2 d p. one gets an updated mean intensity Jν (r ) = 1 r r 0 pu ν ( p. we determine for each impact parameter p the − intensity Iν from (13. for reasons of numerical stability.35). z) = − 1 + 2 Iν ( p. Using the inner boundary condition. an initial mean intensity Jν (r ) = 0 should be acceptable. From Iν and Iν we form the quantities u ν ( p. (13. one still has to determine the dust temperature. so τ (z = 0) = 0 and τ (z > 0) > 0.34) and (13. and thus after (13.42) From the ﬁrst. u ν .39) and (13. . Suppose that after iteration cycle i we approximately know the grain temperature T (r ).40) I − (t) = e−t I0 + 0 t S(x)e x d x .8)) ﬁnishes iteration cycle i + 1.22).41) (13.40).4 Integral equations for the intensity 407 Instead of solving the differential equations (13. We ﬁnd improved values of T (r ).10) the source function Sν (r ). z) 1 + − 2 Iν ( p.2. For the temperature. z) . The boundary conditions stay the same. Updating the source function Sν (r ) (see (13. + + − for all p.Spherical clouds 13. In (13.39).39) (13. Solving (13. 13. advisable to use the corresponding integral equations (see (13.8) or into Jν (r )K ν (r ) dν = Bν (T (r ))K ν (r ) dν which yields new temperatures when solved for T . one may put T (r ) = constant if there is no central star and the outer radiation ﬁeld is not too hard and strong. so t (z < z e ) > 0. Jν (r ) and Sν (r ) in the following way: First.40) is not eneough. the optical depth t equals zero at the cloud surface (t (z e ) = 0) and grows from right to left.5 Practical hints • As starting values for the ﬁrst cycle (i = 1).39). z) + Iν ( p. The new Jν (r ) is then inserted into equation (8.40). z) = vν ( p. In (13. z) − Iν ( p. One arrives at a full solution to the radiative transfer problem iteratively.

one can compute.44) This formula can be derived from (13. however.2). as one recedes from the star. Generally speaking.408 Radiative transport With a star. there therefore exists a cutoff frequency with the property that only photons with ν < νcut are energetically relevant. . whereas those with ν > νcut . whose mean free path is. In Simpson’s rule (quadratic interpolation). Use linear interpolation (trapezium rule) for evaluating integrals. The integrated ﬂux through a shell of radius r is L(r ) = 4πr 2 Fν dν. The integrated ﬂux L(r ) is then zero because what enters at the cloud surface must also leave. Numerically. are unimportant. The iterations converge when the changes of the temperature T (r ) become smaller with each new cycle. the radiation ﬁeld softens and the mean free path of the photons increases. for each radius r .42). especially in the outer envelope. the condition L(r ) = L ∗ should be numerically fulﬁlled everywhere to an accuracy of ∼1%. As a check on the accuracy of the calculations. in a cloud of 50 mag of visual extinction with a central hot star.23) and (13. At each radius r .17)). heating comes from an outer isotropic radiation ﬁeld of intensity I0ν . νcut may be deﬁned by and computed from ∞ νcut Jν (r ) dν = α ∞ 0 Jν (r ) dν (α ∼ 0. The accuracy is then proportional to the square of the step size h. the net ﬂux Fν (r ) = 4π r2 r 0 • • p vν ( p. there are only far infrared photons and the grid may be coarse. the dust column density between neighboring grid points must be small near the star because UV radiation is absorbed very effectively. Without an embedded source. |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. shorter. Nevertheless. To select a sufﬁciently ﬁne radial grid which is also economical in terms of computing time. the dust may be quite hot. r ) d p. T (r ) ∼ 20(L ∗ /r 2 )1/6 should work when r and L ∗ are expressed in cgs units (see (8. the number of points and their spacings must be adapted during the iterations. (13. it is proportional to h 4 and that is worse when the grid is coarse. For example. • If the cloud has a central star of luminosity L ∗ . At the cloud edge. as a rule of thumb.

z). N and p0 = 0. Writing (8.8) in the form σ Q abs Jν dν = Q(T ) T 4 ν π where σ is the radiation constant of (5.1%) bigger than r1 . . the exact value of the evaporation radius has little inﬂuence on the spectrum. For N radial grid points r1 = R∗ . . . . we consider. ν The sequence T j . . The second radial grid point r2 should only be a tiny bit (0.8). there are N +1 impact parameters pi = ri with i = 1. one needs only two impact parameters ( p = 0 and p = R∗ ) for the star. . r3 . dust evaporates. . T j +1 .3. Very close to the star. . z = 0). T j +2 . Imagine a ﬂat and thin disk with density structure ρ(r.Passive disks 409 • • • Choosing the radial step size in such a way that the optical depth at the cutoff frequency is of order 0. Let T j be the value of the grain temperature in iteration cycle j . in ﬁgure 13.80) 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 ). 13. it depends. r2 . only in the near infrared. A disk is passive when it is only heated by the star and internal dissipational losses are negligible. Let it be illuminated by a central star of luminosity L ∗ . To account for dust evaporation.1 Radiative transfer in a plane parallel layer All stars are surrounded during their early evolution by an accreting disk. To determine the disk emission. z) given in cylindrical coordinates (r. . The exact radius revap is part of the solution of the radiative transfer. 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 .3 Passive disks 13. The dust temperature Td is computed from (8. r N = R. of course. quickly converges towards Td . The ﬂag then controls whether the grain contributes in the next cycle to the extinction and emission or not. if at all. . . on the grain type. For heavily obscured sources (AV > 20 mag).3. radius R∗ and temperature T∗ whose mid-point is at (r = 0. .1 automatically ensures that the grid is ﬁne only where necessary. a small section at radius r from the star. Because to ﬁrst order the intensity over the stellar disk does not change.

I + = I − at z = 0. A small portion of a thin disk. the procedure is iterated until T (z) converges. follows from symmetry requirements. which is evaluated in equation (13.53) for an inﬂated disk.9) is solved under all inclination angles θ for incoming (I − ) and outgoing (I + ) radiation. Again one starts by solving the pair of equations (13. at large distances.410 Radiative transport . The basic transfer equation (13. The situation is symmetric with respect to the mid-plane which is indicated by the dotted line at z = 0.3. 2 r In order not to break the slab symmetry. the upper hemisphere of the star subtends. Viewed from the disk surface (ﬁgure 13.39) and (13. which are now the intensities along straight lines under various angles θ with respect to the z-axis.3). z light fr α gr 0 om sta r I + I − θ Figure 13. the stellar hemisphere is replaced by a luminous ring of the same intensity and solid angle. This ring encircles the αgr . whole sky at an elevation αgr . The formalism of the radiative transfer developed for spheres can be carried over to the slab geometry.49) for a ﬂat disk and in (13. . The position of the observer is also shown. 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 .40) for I + and I − . 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∗ ). The second boundary condition. The starlight falls on the disk under a small effective grazing angle αgr . Then one calculates from these intensities a new vertical temperature run T (z). a solid angle ∗ = 2 1 R∗ π 2.

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

If the disk is ﬂat and thin or if it has a constant opening angle. there can be none because there are no internal sources and the disk is symmetric about its mid plane.45) for I + .5). . 13. 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. A small portion of a geometrically thin but optically very thick disk.1.3.29) a net energy ﬂux. Bν (T∗ ) denotes the uniform stellar intensity. The UV light from the star on the left is completely absorbed in the top layer. Note that the zero point of the z-axis is different here from that in ﬁgure 13.412 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 13.47) = Bν (T∗ ) arcsin(R∗ /r ) − (R∗ /r ) 1 − (R∗ /r )2 .3. About half of the re-emitted IR photons heat the mid layer which is assumed to be isothermal at temperature Tmid . However. 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. One calculates the radiative transfer for the top layer (z ≥ 0) using the boundary condition (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.4. By the whole upper half of the star. The assumption of isothermality of the optically thick mid layer is valid because a temperature gradient would imply in the diffusion approximation of (13.

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

we set x = 1/r .48) αgr = . (13.49) 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. If the disk is a blackbody. when the gas is in hydrostatic equilibrium in the z-direction. expand around x = 0 and let x go to zero. If ρ(z) denotes the dust density distribution in vertical direction and K V the visual absorption coeffcient.53) is usually greater than the ﬁrst.51) 13. (13. π (13. whether it is inﬂated or not.52) The level z = H represents the photosphere of the dusty disk and it is the approximate place where stellar photons are absorbed. we deﬁne the height H by the condition that the visual optical depth AV from there towards the star is one. A ﬂared disk intercepts more stellar light than one with constant H /r . the disk height H increases with the distance r from the star (subsection 15.4. The disk thickness is 2H . Summing Fν up over all frequencies.53) The second term in (13.2 The grazing angle in an inﬂated disk In a Kepler disk. 1= KV αgr ∞ H ρ(z) dz. one ﬁnds that each side of an inﬁnite disk intercepts exactly one-eighth of the stellar luminosity L ∗ = 2 4 4π R∗ σ T∗ . Indeed. The surface temperature of a blackbody disk.54) Tdisk(r ) = ∗ π ∗ . the effective grazing angle αgr of the incident radiation increases over the expression (13. the dust disk is then not ﬂat nor is the ratio H /r constant. (13. it will have a surface temperature 4 Tdisk(r ) = 4 T∗ arcsin(R∗ /r ) − (R∗ /r ) 1 − (R∗ /r )2 .50) For r R∗ . Assuming that the gas and dust are well mixed. Tdisk(r ) = T∗ 2 3π 1/4 R∗ r 3/4 .414 Radiative transport expressions at the upper bound r = ∞. (13. To derive the grazing angle αgr for this general case.3). has the form αgr 4 4 T . the radiative heating rate has a r −3/4 -dependence. the disk is said to be inﬂated or ﬂared.3. so it is desirable to have a good estimate for H and its derivative d H /dr .

so they are distributed over the galactic nucleus like raisins in a . approximate it by a spherical central source with a power-law emission spectrum and use the formalism outlined in section 13. In both cases. Many galactic nuclei have large infrared luminosities as a result of internal activity. the effective grazing angle αgr of stellar light is enhanced with respect to the ﬂat disk by β − β . is converted into infrared photons by dust. whereas a grain at the same galactic distance but not ISRF very close to any 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. 13. r and H are the radial distance and height above the mid-plane. the hard primary radiation.6. which is the distance to the center of the stellar cluster but also locally with the separation to the nearest star. H r Figure 13. to ﬁrst order. the conﬁguration is intrinsically threedimensional because the dust temperature varies not only on a large scale with galactic radius r . 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. absorbs only the mean interstellar radiation ﬁeld Jν (r ) and will thus be cooler.4. each with a star of monochromatic luminosity L ν at the center.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. like the center of the Milky Way. Its origin may be either rapid star formation or accretion onto a massive black hole. This circumstance must be taken into account in some approximate manner. when the luminosity comes from a star cluster.4 Galactic nuclei 13. Let us assume that the hot spots are spheres. The small shaded sphere represents the star. For a surface element P on a ﬂared disk. Loosely speaking.2 for single stars.Galactic nuclei 415 z P β β . one may. However. It turns out that their total volume fraction is small. Their presence signiﬁcantly changes the spectral appearance of a galactic nucleus. The bold line marks the top of the ﬂared disk atmosphere. When the luminosity of the black hole dominates. from the star or the black hole.

each containing identical objects. Stars of the ﬁrst class have small or moderate luminosity. heating by the star dominates. ν They represent the population of old stars. whereas inside. the intensity of the interstellar radiation ﬁeld in the galactic nucleus is. and the contribution of their hot spots to the overall spectrum may be neglected.416 Radiative transport cake. R HS follows from ISRF Q ν Jν dν = 1 (4π R HS )2 Q ν L ν e−τν dν. L OB and L OB . In view of the deﬁnition √ for R HS in (13. ν • The low luminosity stars are very numerous. the dust distribution within the hot spot. Note that L ∗ need not be speciﬁed.56) the volume emission coefﬁcient ∗ ν (r ) = n ∗ (r ) · L ∗ .55) This equation can readily be generalized to a mixture of dust grains. the total volume N(R HS )3 of all hot spots decreases as N −1/2 . If τν is the optical depth from the star to the boundary of the hot spot. When we ﬁx L nuc = N L ∗ but increase N and thus lower L ∗ . To account for the radiation of these stars. They are young and luminous and were formed in a starburst. Stars of the second class are of spectral type O and B. a space density n ∗ (r ) and a monochromatic and bolometric luminosity L ∗ and L ∗ .2 Low and high luminosity stars It is useful to divide the stars in a galactic nucleus into two categories. also on the monochromatic stellar luminosity L ν . are very bright and not so numerous.55). (13. and on the grain type via the absorption efﬁciency Q ν . The OB stars. altogether typically 109 . of course. 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. but it depends. ν • If the stellar atmospheres are blackbodies of temperature T ∗ . one ﬁnds that R HS ∝ L ∗ ∝ N −1/2 . To see why. one only has to introduce in the numerator of the source function (13. to ﬁrst order. consider a nucleus of integrated luminosity L nuc containing N identical stars of luminosity L ∗ . one may put L ∗ ∝ Bν (T ∗ ). independent of N. 13.4. There are rarely more than 106 in a galactic nucleus and their space density n OB (r ) . The radius R HS of a hot spot is a function of galactic radius r . however. where ν L∗ = L ∗ dν. only the product ν ν ∗ ∗ ∗ ν (r ) = n (r ) · L ν . The radius R HS of a hot spot is determined by the condition that outside. respectively. Therefore. The corresponding values are denoted n OB (r ). a dust grain is mainly heated by the interstellar radiation ﬁeld (ISRF).

at the outer edge.37)).39) and (13. however.10)) Sν = HS ν (r ) + ∗ ν (r ) + abs sca ISRF K ν Bν (Td ) + K ν Jν . γ is of order 10−3.56) It is straightforward to generalize to a dust mixture with different temperatures Td and to include small grains with temperature ﬂuctuations. the source function in a spherical galactic nucleus with isotropic dust scattering becomes (see (13. we use (13. I + and I − .40)) I (τ ) = I (0)e−τ + 0 τ S(x)e−(τ −x) d x (13.36) and (13. The volume emission coefﬁcient due to the hot spots is HS ν (r ) = n OB (r ) · L HS .57) for the spherical nucleus as a whole. It gives. To obtain L HS (r ). ν Altogether. This is done along lines of constant impact parameter for the intensities in positive and negative direction. γ (r ) shrinks when n OB (r ) becomes large. one has to determine the luminosity L HS (r ) emerging from a hot spot. we calculate for each galactic radial grid point the ν radiative transfer of a spherical cloud centrally heated by an OB star.57) is not strictly correct. of course. which ﬁxes the outer boundary condition (13. I As the galactic nucleus in this model consists of two phases.38) with the ﬂux from the surface of the OB star. For typical space densities of OB stars in starburst nuclei.Galactic nuclei 417 is moderate. equation (13. ext Kν (13. Before solving the radiative transfer on a large scale in the galactic nucleus. 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.55). I − = 0 (see (13. One then solves with this source function the integral equations (see (13.36). γ (r ) = 4π OB n (r ) · R HS (r ) 3 3 is small. The hot spot is illuminated at its edge by an interstellar radiation ﬁeld (ISRF). The inner boundary condition is now always + = I − and. a dusty medium interspersed with hot spots. a good approximation as long as the volume fraction γ of the hot spots. at the inner boundary. The cloud radius R HS is determined from (13. The emission of their hot spots is not negligible and has to be evaluated explicitly. . typically one star per pc3 or less in the starburst region. The ν frequency integral L HS dν is. They ISRF yield the mean intensity Jν (r ).

The molecules absorb radiation not only at exactly the center frequency ν j i but over some interval. dν + dν] induces.1 Absorption coefﬁcient and absorption proﬁle In a gas of atoms or molecules.1). In other environments. gi . The frequency-dependent absorption coefﬁcient results from the difference between upward and downward induced transitions and can be written as hν (ν). 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). This is a normalized function. The center frequency ν j i of the line is at hν j i = E j − E i . solid angle d and frequencies in the interval [ν. Consider the levels j and i with statistical weights g j .6).59) In our applications. per unit length.418 Radiative transport 13. Following the discussion in subsection 6. The basic equation of radiative transfer (13. (13.58) which for a Gaussian of half-width 2H has the form √ (ν − νi j )2 ln 2 (ν) = √ · exp − ln 2 . a beam of light of intensity Iν . energies E j > E i . Iν Bi j Ni (ν) d c dν upward transitions.3.1. 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.5. the other of emission. the levels themselves are broadened by collisional perturbations. d Iν = −K ν Iν + ds ν is still valid but K ν refers now only to absorption. like stellar atmospheres. line radiation arises from transitions between discrete energy states. H2 H π (13. n i . The emission and absorption coefﬁcient can be expressed through the Einstein coefﬁcients A j i and B j i for spontaneous and induced emission.60) K ν = n i Bi j − n j B j i c .3. and population numbers n j . How effectively they absorb away from the line center is described by the absorption proﬁle (ν) (see section 6. (ν) dν = 1 line (13.5 Line radiation 13.

Usually one may put (ν) = (ν).63) = n j A ji with the proﬁle function (ν).65) is equivalent to the Boltzmann equation (5.9).63). The ratio of the level populations deﬁnes an excitation temperature Tx . Likewise. When for a particular transition Tx = T .64) and the proﬁle function has canceled out.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 .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 .65) When we insert Tx into the Planck function. (13. 13. Bν (Tx ) = Sν .62) may be expressed as (ν) hν 4π (13.66) Different transitions of the same molecule have usually different excitation temperatures. ni gi (13.61) c and the optical depth element dτν = K ν ds = K (ν) ds. the emission coefﬁcient ν ν (13. whereas the induced photons ﬂy in the same direction as the photons in the incident beam. we see from equation (13.64) that the source function is just the Planck function at temperature Tx .60) and (13. Note that spontaneous emission is isotropic. in view of (13. nj g j (E j −Ei )/ kTx = e .5. . The source function Sν becomes. and then (13. equal to the kinetic temperature of the gas T . The integrated line absorption coefﬁcient is hν K = K ν dν = n i Bi j − n j B j i (13. Sν = ν Kν = 2hν 3 c2 g j ni −1 gi n j −1 (13. Only in thermodynamic equilibrium does one have one value of Tx .

73) (13. i ni bi ≡ ∗ .72) The term T0 e−τ representing a background source of strength T0 has been added to stress the analogy to (13. dτν The Rayleigh–Jeans approximation.20). d Tb = −Tb + Tx dτ then has.67) gi 8πν 2 the integrated absorption coefﬁcient of (13.61) becomes K = n i K 0 1 − e−hν/ kTx . radiative transitions due to spontaneous and induced emission and to induced absorption (section 6. One uses the so called bi -factors to indicate the deviation of the population of a level i from its LTE value denoted n ∗ .69) ni Thus. there are collisional transitions. (13.70) bi Because the brightness temperature Tb is deﬁned by (13. Generally.3 Radiative transfer in lines For line radiation.9) can be written as d Bν (Tb ) = −Bν (Tb ) + Bν (Tx ). the absorption coefﬁcient K in (13.5. the solution Tb = Tx (1 − e−τ ) + T0 e−τ .3). if we replace in equation (13. all subject to certain selection rules. 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.74) (13. (13. in a uniform cloud.71) Iν = Bν (Tb ) the transfer equation (13.68) The brackets contain the correction for stimulated emission. These are. b j −hν/ kT e = e−hν/ kTx . ﬁrst.420 Radiative transport the corresponding levels are said to be thermalized. second. Employing the excitation temperature and setting g j c2 K0 = A ji (13. (13. . (13. 13.19) from the intensity.68) the excitation temperature Tx by the kinetic temperature T .61) depends on the statistical level population n j . (13.

the right-hand side depopulates level j .and para-hydrogen. 2. the main collisional partners being helium atoms and ortho. The inverse rate Ckj follows from g j C j k = gk Ckj e−(Ek −E j )/kT . . N − 1. CS or CO (see section 14. however. . The collision rate C j k from j → k is a function of temperature only. 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 = 0.3. 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. Let there be N + 1 levels altogether and let us put i = j −1 k = j +1 C j j = 0. 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 (13.75): • When the density is high. e gj . Collisions. The left-hand side populates.1 Level population of carbon monoxide 421 Let us consider the excitation of rotational levels in a simple diatomic molecule. .76) 13.38).75) for j = 0. The total number of CO molecules is ﬁxed by the additional condition N n j = n(CO).1).Line radiation 13. For j = 0. terms connecting to i = j − 1 disappear because level i = −1 does not exist. radiative transitions are negligible and collisions dominate.5.3. for example.2 LTE population We point out limiting cases of (13. . can go from j to any k = j and back. j =0 (13. 1. Radiative transitions coupling to rotational level j are then restricted by the selection rules to levels j ± 1. The number of such transitions per s and cm3 is given by n j C j k .5.2.

3.76). One solves the radiative transfer equations (13. their precise origin being unclear.13)).39) and (13. observed lines are usually a few times wider. therefore. the local line proﬁle (ν) appears in the expression for the absorption and emission coefﬁcient. however. In the case of a blackbody radiation ﬁeld. therefore. nj gj 8πh ν j i + n j − ni gi c3 B(ν j i . one. However.75) and (13.75) and (13.4 The Sobolev approximation When the velocity ﬁeld v in a cloud has a large gradient. 13.3. u ν = B(ν. therefore.39) 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. turbulent character. When collisions are negligible. For example.60) and (13. T ). The observed proﬁles are.2. the radiative energy densities in the lines. we now have to follow the intensity not only in the right quadrant of ﬁgure 13. K ν and ν . may be computed locally. in spherical symmetry. non-thermal motions. u i j . In the line proﬁle (13. 13.422 Radiative transport These equations are fulﬁlled if the brackets vanish which is true when all levels are in LTE.76) for the abundances n j contain the radiative energy densities u i j .59). 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. For the radiative transfer we again use the integral form (13. puts H2 = 2kT 2 + ξturb ln 2 m where m is the molecular mass and ξturb the most likely turbulent velocity. and repeats this sequence until convergence is reached. Broadening is. nevertheless. purely thermal and optically thin molecular lines from a cold interstellar cloud of 10 K would have a width of typically 0. T ) B j i = 0 • which also implies thermalization of the levels at temperature T .1 km s−1 (see (5. opposite signs in the near and far quadrant.40). They must.5.3 The microturbulent approximation The equations (13. According to (13. dominated by other.40) for all lines and afterwards the abundance equations (13.5. be solved together with the radiative transfer. without knowledge of the .63). The function (ν) is rarely of purely thermal origin. usually of Gaussian shape which indicates that the motions have a random.

we get 1 1 1 − e−τ dµ. If β = 1. This signiﬁcantly simpliﬁes the procedure. one must further average βe over all directions e. 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. To determine β. If β = 0. two interacting points along the line of sight (ﬁgure 16. Let τ be the optical depth from x towards the edge of the cloud along some axis s. (13. radius r and direction µ. If τ is small. where θ is the inclination angle to the radial vector and µ = cos θ . For a radial inﬂow. βe = 1/τ . the mean βe is given by an average over e−τ . The escape probability βe depends on the optical depth τ but not on the radiation ﬁeld. τ If τ is large. J = (1 − β)S.75). To ﬁnd the effective β. If K is the integrated line absorption coefﬁcient of (13.64). Because the velocity gradient is large. Here e denotes the unit vector in the direction of the s-axis. all relevant contributions to the optical depth τ come from the immediate vicinity of point x. there are. The velocity gradient along the s-axis is given in spherical symmetry by dv dv v = µ2 + (1 − µ2 ) . 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. with s = 0 at point x.61) and ν0 the frequency at the line center. Ryb70]. photons cannot escape and J equals the source function of (13. As there is also emission along the line for s > 0.Line radiation 423 radiation ﬁeld in other parts of the cloud [Sob60. For a spherical cloud of radius r .77) β= 2 −1 τ To evaluate this integral. photons leave unimpeded and there are no induced transitions in (13.8). consider a point x in a cloud. which is all reasonable. 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 . however. The standard example is the outward ﬂow in a stellar wind. Let βe be the corresponding escape probability given by βe = e−τ . Atoms do then not interact with one another radiatively over large distances because their emission is Doppler-shifted by comfortably more than the linewidth. ds dr r . βe = 1.

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

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

because it is the basis for the formation of planets. The dust is just a small admixture. without aiming at completeness. The dust then changes its environment leaving. 14. in the Milky Way about 30%. hydrogen is mostly molecular (H2 ). because it converts the radiation from stars into the infrared. and of order 1% in HII regions. hydrogen is mostly atomic (H).2 The relevance of dust If there is so relatively little dust. hydrogen is ionized (H+ ) and forms a hot plasma. it is also essential for the dynamics of the gas. The passage of spirals wave initiates star formation. because it strongly inﬂuences the physical and chemical conditions of the interstellar medium (thermal balance. in this phase. for example. molecular abundances. why is it so important? There are many reasons: practical. its mass in the Milky Way amounts to Mdust ∼ 3 × 107 M . 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). The total gas mass is Mgas ∼ 5 × 109 M . In HII regions. half in the diffuse gas. the Milky Way has formed a spiral pattern which can be admired in face-on external galaxies (ﬁgure 11. in some galaxies up to 99%. Besides H2 . half of interstellar the mass is in molecular clouds. In the diffuse or HI 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 .1. the fact that there is a lineage between us and dust is probably the ultimate reason for our interest in it. Some are listed here. Together. one ﬁnds in them all kinds of molecules.4). because it determines the spectral appearance of stars during their formation.426 • • • Diffuse matter in the Milky Way In molecular clouds. the three phases account for 99% of the mass of the interstellar medium or about 5% of the stellar mass of the Milky Way. Dust is so important: • • • • • • because it weakens the visual light and thus limits our optical view in the Galaxy. radiation ﬁeld). Although not an argument of natural sciences but of humanities. Roughly speaking. 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. Assuming a dust-to-gas mass ratio of 1:150. As a result of its rotation. astronomically fundamental and philosophical. This affects the composition and structure of the grains and happens repeatedly during their lifetime. and because man is made of interstellar dust. the warm and tenuous medium and entering a cold and dense phase.

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

E el • E vib E rot .2 Nomenclature of levels CO possesses rotational. vibrational and electronic levels which require progressively higher energies for their excitation. .2. H2 CO and HCO+ . 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 .2. different physical conditions. We.1. 14. These molecules have very diverse structures and trace.1. therefore. It has several observable isotopes: CO. without being too precise. . CS. exemplify the discussion of interstellar molecules by CO. The lowest transition j = 1 → 0 has a wavelength λ = 2. SiO. Where it exists. . NH3 . 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. they are H2 . its number density relative to molecular hydrogen is [CO]/[H2 ] ∼10−4 . H2 O. Average parameters of molecular clouds.5 14. 2. in various lines. C18 O and C17 O spanning three orders of magnitude in abundance and likewise in column density and optical thickness. 1. . HCN.2. 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. 13 CO.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.09 eV. Its lowest rotational levels are easily populated by collisions. Rotational states have quantum numbers j = 0.428 Diffuse matter in the Milky Way Table 14. OH. It is very stable with a dissociation energy of 11. CO.5 N(m) ∝ m −1.1 The CO molecule 14.1. 3. . All other molecules are at least one order of magnitude less frequent.6 mm.

±1 with the further restriction that transitions between j = 0 and j = 0 are forbidden as well as transitions between -states with j = 0. . the Greek indicates that the total orbital angular momentum of the electrons vanishes.2.67 µm.1 for v = 1 transitions under LTE at T = 1000 and 2000 K. The lowest CO state is denoted X 1 + v = 0 j = 0. The letter X stands for the electronic ground state. the state is denoted . the energy levels are 2 j ( j + 1) Ej = 2I and the angular momenta j ( j + 1). for = 1.3 Frequencies. Such highly excited CO is found in accretion disks of young stars. . ψ = ψel · ψvib · ψrot . X 1 + → A 1 . . The change in rotational quantum number j in a radiative transition is subject to the selection rule j = j − j = 0. Lj = . Electronic states bear the names X.Molecular clouds • • 429 Vibrational states are labeled v = 0. . for a − . j = 1. B. If I is the moment of inertia of the molecule about its rotation axis. . The total eigenfunction ψ of the molecule is approximately the product of the electronic. it would change sign. 2. vibrational and rotational wavefunctions. 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. The superscript 1 at the letter shows the multiplicity. 3. j = 0 and R-branch. is at ˚ 1544 A. . j = −1 Q-branch. A. 14. The transition from the ground state to the next higher electronic state.1. E. The P. 1. the Q-branch is absent. The lowest v = 1 → 0 band is at 4. so the quantum number = 0. . 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).and R-branches are displayed in ﬁgure 14. . Vibrational transitions split into branches depending on the changes in the rotational quantum number j : • • • P-branch. C.

LTE line intensities of rot–vib transitions with v = 1.2) (14. and goes from zero to 4. (14. The rotational levels are degenerate with statistical weight g j = 2 j + 1.1) Ej hB = j ( j + 1) k k and the frequency of the transition j → j − 1 is ν = 2B j. Inserting the eigenfunctions levels are E j /k of the rigid rotator into the Einstein coefﬁcient (6. the lower curves refer to v = 2 → 1.4) A j. The intensity scale is linear.6 × 10−14 erg s−1 . It gives the average emission per molecule over 4π. equal in both boxes.3) For 12 CO.1.430 Diffuse matter in the Milky Way Figure 14. 3 → 2 and 4 → 3. which reﬂects the potential energy of the atom.763 × 1010 s−1 and the energy 2.41). one ﬁnds for the j → j − 1 transition 512π 4 B 3 µ2 j 4 (14. The upmost sequences of dots show the v = 1 → 0 bands. Deﬁning the rotational constant B by B= it follows that h 8π 2 cI (14. is missing.77 j ( j + 1) in the unit Kelvin. j −1 = 3hc3 2j +1 . The eigenfunctions are similar to those of the hydrogen atom except that the function with the radial dependence. the rotational constant B = 5.

the population n i of any level i is determined by (5. is not adequate.1 LTE population and critical density In local thermodynamic equilibrium at temperature T .112 Debye = 1. Radiative transition probabilities of the CO molecule for pure rotational lines ( v = 0) in various vibrational levels v. Figure 14.8). n Z (T ) .2. gi e−Ei / kT ni = .12 × 10−19 cgs.0 = 7. j of the vib–rot levels.4 × 10−8 s−1 . 14. The upmost sequence of points refers to v = 0. The Avalues increase like ∼ j 3.2. for the lowest transition A1.2 Population of levels in CO 14.2.3 the energies E v. all for the electronic ground state.2 plots the A-coefﬁcients of rotational lines in various vibrational levels and ﬁgure 14.Molecular clouds 431 Figure 14. With higher j -number. where the dipole moment µ = 0.2. the internuclear distance increases and the rigid rotator model. which assumes a bar of ﬁxed length between the nuclei.

In molecular clouds. This is always true in the limit of high densities. the most densely populated levels are j = 1. When level populations are close to LTE. usually only the lowest rotational levels of CO are close to thermalization. Z (T ) = Z rot · Z vib · Z el . 1. 3. Energies above ground of the CO molecule in the electronic ground state for vibrational quantum numbers v = 0.3. 5 as a function of the rotational level j . Energies E/k are expressed in Kelvin. respectively. n is the total number of CO molecules per cm3 and Z (T ) the partition function of (5. 7. the molecule is said to be thermalized. in LTE at T = 10. the higher ones are not.65). 2.17. 20 and 30 K. we neglect photons so that n cr depends only on . the molecule is in its vibrational and electronic ground state (Z vib = Z el = 1) and Z rot equals 3. At these temperatures. The temperature T computed from the Boltzmann equation (5. The lowest sequence of dots is for v = 0. respectively. 2. To estimate the minimum or critical gas density n cr necessary to excite the lowest rotational line j = 1 → 0. vibrational and electronic part. Z (T ) can be split into its rotational.8) is then the gas kinetic temperature Tkin . For example. If the molecule is not in LTE and the levels are not thermalized.432 Diffuse matter in the Milky Way Figure 14.96.56 and 11. the ratio of level population n j /n i deﬁnes the excitation temperature Tx according to (13.7).

CS with µ = 1. The values have been calculated including radiative excitation under the Sobolev approximation (section 13. Because 13 CO is heavier than CO. E 0 (13 CO) < E 0 (CO) . For para-H2. By and large. somewhere between 40 and 80. Isotopic fractionation which favours 13 CO. The ratio is inﬂuenced by the folowing processes: • • Self-shielding in the dissociating lines which favours CO. a nonzero energy E 0 = 1 hν in the ground level v = 0. Only in the diffuse medium have CO.5) CO + 13 C+ ⇔ 13 CO + C+ . and in the Galactic Center it is noticeably lower ([CO]/[13 CO] ∼ 20). also higher gas temperatures.2. 14. 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. The frequency ν decreases 2 with the molecular mass. The balance of level population requires n(H2 )n 0 C01 = n 1 [ A10 + n(H2 )C10 ].3 CO abundance and isotopic ratios From many pieces of indirect evidence.1) when n cr = n(H2 ) ∼ A10 /C01 ∼ 100 cm−3 . H and H2 absorption lines been observed in the far UV towards weakly reddened hot stars stars (AV ≤ 1 mag). The value is much smaller in diffuse clouds because of photo-destruction.2 Population of rotational levels including radiative excitation Abundances of rotational levels for representative values of density. Direct evidence for [CO]/[H2 ] can. temperature and velocity gradient of molecular clouds are shown in ﬁgure 14. in other places of the Galaxy it tends to be smaller. j −1 ∝ µ2 . molecules with a larger dipole moment (for example. Because A j. of course.75)). in principle. This rough estimate indicates that the j = 1 → 0 line of CO is always seen in molecular clouds.5.2. the average abundance ratio [CO]/[H2 ] ∼ 10−4 .3). j −1 ∝ j 3. With C01 ∼ 3 × C10 . ν ∝ m −1/2 .4. The vibrations of the molecules have. 14. like all harmonic oscillators. C10 3 × 10−11 cm3 s−1 when T is in the range from 10 to 50 K. and possibly also in dense cold clouds because CO freezes out onto dust grains.98 Debye) require denser gas for their excitation. Because A j. At its root is the charge exchange reaction (14.2.Molecular clouds 433 the collision rates C01 and C10 and on the Einstein A coefﬁcient A10 (see equation (13.2. the upper transitions need higher densities and. The solar value of the isotopic ratio [C]/[13 C] is 89. one ﬁnds that already 10% of the molecules are excited (n 1 /n 0 ∼ 0. typical of molecular clouds.

the number densities n j are normalized so that their sum equals one.69). radiative excitation is more important than collisional excitation.434 Diffuse matter in the Milky Way Figure 14. Non-LTE level population of CO for T = 10. . b j .4. those dots which are not connected by a line are calculated without a radiation ﬁeld and thus without an escape probability. We see that for j ≥ 3.77) for a velocity gradient of dv/dr = 1 km s−1 pc−1 . In the three vertical frames on the left. is deﬁned in (13. 20 and 40 K and for H2 densities 103 cm−3 (circles). 104 cm−3 (squares) and 105 cm−3 (triangles). The escape probability β is computed in the Sobolev approximation from (13. The CO abundance is [CO]/[H2 ] = 10−4 . The deviation from LTE.

The g (gerade) signiﬁes that the the homonuclear molecule is symmetric with respect to swapping the two nuclei. The j = 2 → 0 emission line from this level appears at 28 µm and. They are immediately followed by electric . enriches the interstellar medium more efﬁciently with 13 C than with 12 C.2.2. gas temperatures and densities or shock velocities. Therefore.8 × 10−10 s−1 ) is at 17 µm and even harder to excite. However. with jets and copious UV radiation. is hardly excited under normal conditions of the interstellar medium and. only quadrupole rot–vib transitions are allowed (section 1.4 Formation of molecular hydrogen on dust surfaces The major destruction route of H2 in the diffuse gas. The lowest + excited level of para-H2 (X 1 g v = 0 j = 2) lies 510 K above the ground ( j = 0). by far the most abundant molecule. The spacing of rotational levels is given by (14. because of the speciﬁc preceding nucleosynthesis. outside HII regions. Wherever there is high-mass star formation. the isotope HD. the reaction (14.4. The standard isotopic ratio of C18 O and C17 O are 500 and 1800. Being homonuclear. rot–vib lines of H2 are seen. 14.3 Molecular hydrogen Molecular hydrogen. 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). where the nuclei are not identical. A = 4. whereas u (ungerade) would imply asymmetry. 14. There are two forms of molecular hydrogen: ortho-H2 with parallel and paraH2 with opposite proton spins. Mass loss from stars heavier than 1 M .Molecular clouds 435 • with an energy difference E 0 /k = 35 K.5) is temperature-dependent and goes preferentially from left to right in cold clouds (T < 35 K). the ortho form is three times as abundant as the para form. + The electronic ground state of H2 is X 1 g (see nomenclature in section 14. as a quadrupole transition. The existence of the ortho and para forms is a consequence of the exclusion principle. so these molecules are some ﬁve and 20 times less abundant than 13 CO. generally inconspicuous.4) subject to the selection rules j = ±2 or 0 (excluding 0 → 0 transitions). is photo-dissociation.2. respectively. it is well observable in photo-dissociation regions and shocks and there its emission gives information about the ultraviolet radiation ﬁeld. it just supplies the mass for the interstellar gas. When the temperature is high and many rotational levels are excited. too high to be populated at normal temperatures. Radiative transitions between ortho and para hydrogen are forbidden. which. however. The lowest ortho-line ( j = 3 → 1. corresponding to the ratio of the statistical weights. even in external galaxies. spin exchange can occur by collisions with molecules and ions or on grain surfaces but the rates are low.3). does not show this property.1). has a small Einstein coefﬁcient (A = 3 × 10−11 s−1 ). therefore.

and how much is carried away by the H2 molecule in the form of excited rot–vib levels. The smallest grains should get the highest weight (see (7. If η ∼ 0.5 × 10−27 nH a3 where n H = n(HI) + n(H2 ) is the total hydrogen density. carbon is ionized for τV ≤ 2. and most gas-phase carbon . R ∼ 10−17 n 2 T 1/2 cm−3 s−1 H and this should indicate the right order of magnitude. v from (5. 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 . roughly speaking. a (14. With a gas–to–dust of ratio 150 and a bulk density of 2. If the zero point of the visual optical depth. 14. this happens in about one out of seven cases. τV . R = η n(HI) σgr v n gr .2. This leads to the formation of a sequence of chemically distinct layers. n gr 1.29)). Molecular hydrogen is observed in the diffuse medium if the ultraviolet radiation ﬁeld is not too strong. ﬁnding another hydrogen atom by tunneling over the grain surface. Its photo-dissociation can then be calculated and must be balanced by H2 formation. The efﬁciency η includes the probability for sticking. other reactions are negligible. On leaving the grain surface.436 Diffuse matter in the Milky Way dipole decay ( A ∼ 108 s−1 ) to the electronic ground state. three-body reactions are excluded as they require densities n ≥ 1012 cm−3 . As the radiation penetrates into the cloud. Therefore R 7 × 10−23 η n(HI) n H T 1/2 . it becomes absorbed (mainly by dust) and the UV ﬂux weakens. Radiative association H + H → H2 + hν is strongly forbidden. is taken at the cloud surface. it is unclear how much of the formation energy of 4. molecule formation and desorption.6) In the diffuse medium.1 A few remarks on H2 and CO chemistry In the envelope of a cloud illuminated by ultraviolet light with wavelengths ˚ λ > 912 A. If the ﬁnal vibrational quantum number v is greater than 14. n(HI) is the density of hydrogen atoms. molecular hydrogen is dissociated for τV ≤ 1.5 g cm−3 .5 eV is transmitted to the dust particle.16) their mean velocity and σgr = πa 2 the geometrical cross section of spherical grains of radius a. which has many modes of energy disposal. the chemistry of the major gas species is determined by photodissociation. the state is unbound and the molecule dissociates.2.4. then. n(HI) n H . so a ∼ 10−6 cm seems appropriate. The only remaining alternative to create H2 is on grain surfaces.

) that couples radiationless to a dissociating state.2 The early universe In the early universe. F. 3 H2 + CR H+ + H2 2 −→ −→ H+ + H. Although molecular hydrogen is chemically rather inert. is reactive and relevant for the chemistry of the 3 interstellar medium as it can initiate the formation of important molecules like H2 O. . ˚ 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. however. H2 could not then form on grains. CO is formed by neutral–neutral reactions like CH + O → CO + H. the dissociating lines are slightly shifted in frequency. at a redshift z º 1000 when hydrogen was already neutral but before the appearance of the ﬁrst stars. 14.4. H+ . Because the 13 CO column density is much smaller. For an isotope like 13 CO. carbon is in the form of C+ and CO is absent. there were no heavy elements and thus no dust. H+ + CO 3 −→ HCO+ + H2 . When UV shielding is high. So at the transition between atomic and molecular hydrogen (τV 1). a small fraction becomes ionized by cosmic rays (CR) and is transformed into H+ . it could be created via H + H+ H+ + H 2 or H+e H− + H −→ −→ H− + hν H2 + e −→ −→ H2 + H+ H+ + hν 2 . OH+ + 2H2 H3 O+ + e or remove carbon monoxide. for example. . 3 H+ 2 The new species.Molecular clouds 437 is locked in CO for τV ≥ 3. The line absorption leads to the effect of selfshielding. . via C+ + OH −→ CO + H+ . (14. 13 CO is destroyed in a larger volume than 12 CO. CO formation is promoted by ionized carbon.2. only hydrogen and helium.7) H+ + O 3 −→ −→ −→ OH+ + H2 H3 O+ + 2H H2 O + H When the UV shielding by dust is low (τV < 3).

are derived from observations of the famous 21 cm line but also from Hα and atomic ﬁne structure lines. Typical parameters of HI clouds. . 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. it is useful to deﬁne a standard HI cloud with parameters as in table 14. they led to a small fraction of molecular hydrogen which was important for the formation of the ﬁrst stars. They contain only a few molecular species. Temperature Density Cloud diameter Column density Distance between clouds Mass fraction Volume fraction 21 cm linewidth 21 cm line optical thickness Tgas = 50 . They are. therefore.01.2.2. They consist mainly of atomic hydrogen.438 Diffuse matter in the Milky Way Table 14.1 . infrared dust emission and pulsar dispersion. . . has a larger scale height and a very low optical depth in the 21 cm line. it is much more voluminous. 14.1 General properties of the diffuse gas About half of the mass of the interstellar medium is in diffuse clouds. . The critical mass for gravitational instability of a gas cloud depends on temperature as T 3/2 (see (15. As hydrogen is mainly atomic there. which is a few times bigger than for CO and increases outside the solar circle. Its properties. In the warm ionized medium (WIM). The scale height of the clouds at the locus of the Sun is about 250 pc.48)) and contraction is possible only if the release of potential energy can be radiated away.3. 100 K Tdust ∼ 20 K n(HI) ∼ 1 .2 < τ < 1 and be destroyed radiatively or by collisions with H atoms. more strongly ionized and much warmer. τ < 0. There also exists some hot ionized medium (HIM) with . .3 Clouds of atomic hydrogen 14. Although the HI gas is very inhomogeneous. . this component is called a HI gas. This component is only seen in emission. Although the reactions were not efﬁcient. n = 0. 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. There are other components which are less dense and completely penetrated by UV radiation. to a large degree. 1 cm−3 and gas temperatures are several thousand K. Here molecular hydrogen could have acted as a coolant down to 100 K by emission of its lowest rotational lines.

10)) of moment µB and decays with distance like r −3 .16) which gives the potential energy of a magnetic dipole in a magnetic ﬁeld. There is level splitting for the same reason as in the Zeeman effect. .Clouds of atomic hydrogen 439 Tgas ∼ 105 .2 The 21 cm line of atomic hydrogen In its electronic ground state. only here the magnetic ﬁeld is supplied by the nuclear magnetic dipole. µN = 2m p c The magnetic ﬁeld in which the proton aligns is supplied by the electron. 106 K. kinematic behavior. of course.793 times greater than a nuclear magneton µN (compare with (11. It occupies a lot of space. therefore.3. Indeed. 14.793 · µN and is thus 2.1 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. it is a singlet.11 cm and one. the spins are anti-parallel. total mass and overall distribution. its temperature.10) for the Bohr magneton). electron and proton spin are parallel. in the 1950s it played a dominant role in elucidating the structure of the interstellar medium of the Milky Way. density. very tenuous (n = 0. F = S + I. is due to the study of the 21 cm line.3. As its propagation is not impeded by dust.29×10−9 cm. The transition from an upper to the lower level occurs at ν = 1420 MHz or λ = 21. Let F denote the quantum number of total angular momentum which is the sum of electron spin S and nuclear spin I . When one evaluates its strength at one Bohr radius a0 = 5. In the upper state. It is. The dipole moment of the proton is given by µp = 2. In the lower state. It is a dipole ﬁeld (see the electric analog in (3. a hydrogen atom has two hyperﬁne sublevels because the spin of the electron couples to the spin of the proton. e . F = 0 and g0 = 1. O VI at 1030 A) towards hot stars. speaks of the 21 cm line. it is a triplet. most of what we know about the diffuse component. 14. (11. A very good number is obtained when one averages over the radius and takes the . F = 1 and the statistical weight is g1 = 3. .16) yields a frequency ν = E/ h 530 MHz.01 cm−3 ) and detected either by soft X-ray emission or through UV absorption lines of highly excited ˚ ions (for instance. probably most of the galactic disk but its mass fraction is negligible.2. 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.

and the radiation temperature TR are deﬁned by g1 n1 = e−hν/ kTx n0 g0 8πν 2 kTR . it is a number with 11 signiﬁcant digits. and second. the frequency has been determined to extremely high precision. for generality.3 How the hyperﬁne levels of atomic hydrogen are excited 14. 14. compared to optical transitions where τ ∼ 10−8 s.440 Diffuse matter in the Milky Way 1s wavefunction as the weight.41)). g0C01 = g1 C10 e−α α≡ hν . In equilibrium at kinetic temperature T . a radiation ﬁeld u ν .40) between the Einstein A and B coefﬁcients. hν hν (14. for example. The value of A10 comes out very small (A10 = 2.41) but this time µ is a magnetic dipole moment given by the sum µp + µB . As there are only two levels involved. we have. 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). and hν αx ≡ kTx one ﬁnds uν = e−αx nC10 + A10 + kTR kTR A10 = nC10 e−α + A10 . from a supernova remnant or the 3 K microwave background. we include. the right-hand side depopulates it. 0 and 1. in standard notation. Quantum mechanically. because it is not an electric but a magnetic dipole transition which reduces A10 by a factor ∼106 . The Einstein A-coefﬁcient of the line follows from the general formula (6.3. Nevertheless.8) The left-hand side populates state 0. It may come.39) and (6.3. kT The excitation temperature Tx . c3 With the relations (6.9) and . because the frequency is low ( A ∝ ν 3 after (6. nn 1 C10 + n 1 A10 + n 1 u ν B10 = nn 0 C01 + n 0 u ν B01 . The atomic levels change because of collisions as well as spontaneous and radiatively induced transitions.1 The excitation or spin temperature In determining the population of the hyperﬁne levels. which is often called spin temperature. there is enough neutral hydrogen around to make the line easily observable.3. τ = 1/A ∼ 107 yr. (14.869 × 10−15 s−1 ): ﬁrst. The excited state has an extremely long lifetime.

the usual formula n cr A10 /C01 is wrong by a factor ∼1000. the sublevels are.068 K and the gas temperature T ∼ 100 K. In a standard HI cloud. the proton of atom (1) is shielded by the electron cloud and its spin is unaffected.Clouds of atomic hydrogen 441 This is a general result for a two-level sysytem. Then the levels are thermalized (Tx T ) above the critical density: n cr = y −1 = A10 kT . rather surprisingly. the electron spin of atom (1) can ﬂip so that afterwards it is in the state F = 0. in estimating n cr for the CO rotational levels in section 14.3. However. the exponents α and αx are much smaller than one. the radiaton ﬁeld is negligible. The statistical weights gi are gone. The electron spin of the hitting atom . In the collision. in view of the small Einstein coefﬁcient.2. After a linear expansion of the e-function.10) 14.10)).1. Suppose a hydrogen atom labeled (1) with F = 1 and electron spin up is hit by another hydrogen atom. in a tenuous and hot 7 in equation (14. which has T = 100 K and n ≥ 1 cm−3 .05 cm−3 . However. is spin exchange. C10 hν One often uses for the critical density the expression n cr ∼ A10/C01 . Because the temperature difference between the levels of the 21 cm line is only hν/k = 0. and T = 1000 K implying y there is. when there are only two levels and no radiation.3.3.3. corresponding to a collision rate C10 = uσ10 ∼ 2 × 10−10 cm3 s−1 . Tx = ynT + TR 1 + yn with y ≡ C10 hν . The cross section for collisional deexcitation (F = 1 → 0) in a gas of 100 K is σ10 ∼ 10−15 cm2 . For the 21 cm line. 14. Indeed. so the population ratio n1 n0 3 and the total hydrogen density n is close to 4n 0 . a substantial excursion of the hyperﬁne levels from LTE and the ratio Tx /T is only one-quarter. σ10 . for example.3 Spin exchange by collisions among H atoms The physical process that determines the cross section. at very low frequencies (hν kT ). A10 kT (14. equation (14. the spin temperature Tx can be directly expressed by the kinetic gas temperature T and the radiation temperature TR . cloud (n = 0.9) implies Tx ∼ T when n = A10 /C01 . We did so. thermalized. The brackets denote an average over the Maxwellian velocity distribution and u is the velocity. provided that α ≥ 1.2 The critical density for excitation Under most circumstances. thermalization requires a density that is kT / hν times larger.

so the collision rates are higher. undergoes many collisions with H atoms at the gas kinetic temperature T . Only the 2P levels are allowed to combine with the ground state 1S1/2 . σ10 changes only weakly with temperature (∝ T −1/4 ). which coincide in Dirac theory. Because in the absence of collisions and radiatively induced transitions. potential Vs ). as in stable H2 molecules. Another interesting way of exciting the hyperﬁne levels of hydrogen atoms is through Lα photons [Wou52]. Therefore the atoms exchange electron spins at a rate (Vt − Vs )/ . are actually separate due to the Lamb shift. So in a time interval dt. the complex is in the attractive electronic singlet state (1 .4 Excitation by electrons and Lα radiation Spin ﬂip is also possible as a result of collisions with free electrons. 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]. 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. Here the cross sections are about half as large but electrons ﬂy faster. potential Vt ). the wavefunction of the complex is written as a sum of a symmetric and an anti-symmetric function with respect to the interchanging particles.3. if it is down. Electron impact becomes important when the fractional ionization of hydrogen exceeds a few percent. In quantum mechanics. the phase between triplet and singlet changes by (Vt − Vs )dt/ . If the electron spin of the hitting atom is also up. the population of the hyperﬁne levels is determined by the Lα radiation ﬁeld. This yields σ10 . They connect the n = 1 and n = 2 states and are created in HI clouds by cosmic-ray ionization and subsequent proton–electron recombination.3. its proton spin is irrelevant. it is not possible to specify the state of the atoms separately. the two potentials are equal. the anti-symmetric part is associated with the phase factor exp(−i Vs t/ ). i. At large separations. The symmetric part is associated with the phase factor exp(−i Vtt/ ). During the impact. In principle. Because the interaction potential is steep. the spin temperature Tx is also forced towards the kinetic gas temperature T . Instead. The radiation ﬁeld in the Lα line therefore acquires the same shape (spectral slope) as the Planck function at that temperature. the two atoms form a molecular complex. The state n = 2 consists of three sublevels. 2P1/2 2S1/2 2P3/2 each being double because of the hyperﬁne splitting. 14.442 Diffuse matter in the Milky Way is random and thus some linear combination of up and down. the wavefunction stays the same. . As a resonance line. the Lα optical depth is immense and each Lα photon is scattered many times. The 2S1/2 and 2P1/2 states. As the potentials Vt and Vs are known. because when the electrons are swapped. the complex is in the repulsive electronic triplet state (3 .e.

4 Gas density and temperature from the 21 cm line 14.3. reduces the cross section in the 21 cm line by a factor of order 103 (!) at typical excitation temperatures Tx ∼ 100 K.4.62). from (13. (14. N(HI) and Tx are measured in cm s−1 . v = 0. the lower the optical depth. which is proportional to τν Tx . one can expand the e-function in (13.74). φ(ν) = c P(v) ν and. and not to the frequency ν. Tx (14. cm−2 and K.82 × 1013. Because P(v) dv = (ν) dν.13) . the hotter the gas. Because hν kTx . respectively. (14.11).68). If N(HI) denotes the total column density of neutral hydrogen. again with P(v) dv = 1. It is then denoted by P(v). Without it.12) When v.11) Because of stimulated emission. one would have K n 0 K 0 .Clouds of atomic hydrogen 14.1 Optical depth and column density The optical depth element in the HI line is. So stimulated emission. the optical thickness becomes τν = N(HI) hν · K0 · · 4 kTx (ν). analogous to (14.67) proportional to the Einstein coefﬁcient A10 .68) and obtain hν K n0 K 0 . The factor hν/kTx is due to stimulated emission. At the line center. It is often convenient to refer the proﬁle function to the Doppler velocity v. kTx Here n 0 is the number of atoms in the lower singlet state and K 0 is after (13.3. C = 1. is independent of temperature. the optical depth at velocity v is τv = C −1 N(HI)P(v) . Tb (v) = T0 · e−τv + Tx (1 − e−τv ). from (13. dτν = K (ν) ds 443 where (ν) is the normalized proﬁle function and the absorption coefﬁcient K is from formula (13. which is usually negligible at optical wavelengths. The brightness temperature Tb at velocity v observed towards a cloud in front of a background source of intensity Tc is. But note that the intensity of optically thin line emission.

the optical thickness need not be small. 14. the hydrogen isotope. one performs a measurement towards the quasar at a frequency outside the line where the HI cloud is transparent (τv = 0). when the optical depth is small everywhere in the line. at a position immediately adjacent to the quasar. Of course. Then one observes the quasar at various velocities in the line. 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. In the line core. In deuteron. (14. so T0 is practically constant. one obtains.4. the spins of proton and neutron are parallel. N(HI) = N(HI)P(v) dv = C Tb (v)τv dv. One can now evaluate the column density N(HI) after (14. The actual frequency changes are very small. also shows hyperﬁne splitting in its electronic ground state. such a measurement yields the spin temperature Tx .3. as is often the case for the 21 cm transition. The magnetic moment of the neutron is µn = −1.5 The deuterium hyperﬁne line Deuterium. 1 − e−τv (14. Tb = Tx (1 − e−τv ).15) 14.12).14) Therefore. with cosmological consequences because deuterium has been created during the Big Bang. This provides the brightness T0 of the quasar after (14. This gives τv . If the quasar is much brighter than the foreground HI gas. 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.14).3. it will be seen in absorption and equation (14. one can determine the optical depth τv as well as the spin temperature Tx of an HI cloud. say.913 µN .2 How to measure the optical depth and the spin temperature With the help of a strong background source. As τv is known. First. from (14.13) reduces to Tb (v) = T0 e−τv .444 Diffuse matter in the Milky Way Without the background. So far all attempts to detect the transition have failed because the isotope is so rare ([D]/[H] ∼ 10−5). a quasar. The importance of this line rests in the fact that it could improve the estimate of the deuterium abundance of the interstellar medium. integration over the observed line proﬁle directly yields the HI column density: N(HI) = C Tb (v) dv.13).

In its ground state.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. 1 ) and H = 2 for hydrogen (S = 1 . F = 3 . again very hard to observe. the deuterium hyperﬁne line has a frequency that is 2 a factor gH H /gD D 4. The magnetic moment of deuteron is quite close to the sum of the two.857. which also gives rise to a magnetic dipole moment.2). for hydrogen. 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 . I = 1.Clouds of atomic hydrogen 445 and directed opposite to the magnetic moment of the proton. As the ionization zones of H and He are not co-extensive (section 14. for the electron S = 1 and gel = 2. one can only see it where helium is ionized.34 smaller corresponding to a wavelength of 91. we have to translate the classical formula (11. Another hyperﬁne line of cosmological relevance is emitted by 3 He+ at 8. the derivation of the abundance ratio [3 He]/[H] along the line of sight is problematic. S = 1 2 F(F + 1) − I (I + 1) − S(S + 1) 2 .793. For deuterium. deuteron is a mixture consisting to ∼95% of an S (l = 0) wavefunction and to ∼5% of a D (l = 2) wavefunction. 0). we can write mnuc = gnucI for the e nucleus and mel = gel S for the electron. Of course. F = 1. This is witnessed by its electric quadrupole moment.6 cm.857 µN . one must take into account that the deuteron nucleus possesses some orbital angular momentum (quantum number l). it therefore has the expectation value I. µD µn + µp 0. 2 2 2 2 I = 1 .665 GHz (F = 0 → 1). so W = mnuc · mel = gnuc gel I · S. . When one aims at greater precision for µD . ID = 1 and gD = 0. Instead. Therefore. To ﬁnd the frequency of the deuterium hyperﬁne line relative to the hydrogen 21 cm line. But for a constant factor. When I · S is turned into a quantum mechanical operator.4. The difference in these averages between upper and lower state is D = 3 for deuterium (S = 1 . we cannot simply scale with the ratio µD /µp . This is in the inner parts of HII regions where hydrogen is ionized too. IH = 1 and 2 gH = 2 · 2. where g is the Land´ factor.

6. 2π 2 m e m e ν 3 vph c (14. equation (1. approaches the Earth with a group velocity vg given by (1. A pulse. 2 ωp 1 1 .446 Diffuse matter in the Milky Way 14. are n e ∼ 0. When they are traveling parallel to a magnetic ﬁeld B. we can write. 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. 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).3.126) yields for their difference in phase velocity vph = c n± vph vph = n e e2 eB 1 . one thus ﬁnds. which is a composite of many frequencies. 14.18) The relative phase changes per wavelength λ by 2π 2π . τ= e2 2πm e c 1 2 ν1 − 1 2 ν2 DM.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. The quantity DM = 0 L n e (s) ds (14. Typical values for the diffuse medium. a fundamental quantity of the interstellar medium. approximately.2 The rotation measure A linearly polarized wave can be decomposed into two waves of opposite circular polarization.17) If the distance L is known. When one measures the arrival time of a pulse at two frequencies of which ν2 > ν1 .3.01 cm−3 . The travel time depends on the observing frequency ν: long waves are slower than short waves.6. the mean electron density.6 Electron density and magnetic ﬁeld in the diffuse gas 14.16) is called the dispersion measure and has the unit pc cm−3 .131). (14. there is a delay τ between the two. outside HII regions.3. via the dispersion measure DM.

but opposite to other σ -component (2) e B σ is right–hand circularly polarized π is missing σ is left–hand circularly polarized.3 The Zeeman effect in HI The strength of the interstellar magnetic ﬁeld may be estimated from the Zeeman effect in neutral hydrogen.3.20) Because the dispersion measure DM is equal to n e ds and the rotation measure RM proportional to Bn e ds.6. To determine its value. it may be greater than 2π. Although the rotation angle is usually smaller than 90◦ . Measured values for B also cluster around 3 µG. by half this amount. The B vector lies preferentially parallel to the galactic plane. the degeneracy of the upper hyperﬁne state (the triplet with F = 1) is removed. ν = B eB = 2. . together with the case when B is parallel to e.Clouds of atomic hydrogen 447 and the rotation angle of the linearly polarized wave. This is summarized here.19) = λ 0 c with the rotation measure RM deﬁned by RM = e3 2πm 2 c4 e L n e B ds. The frequency shift between the components of opposite circular polarization is. their ratio yields the mean magnetic ﬁeld strength RM . no frequency shift σ is linearly polarized perpendicular to B. therefore. all with different polarizations (section 6. 14. therefore.80 2πm e c µG [Hz]. (1) e ⊥ B • • • • • • σ is linearly polarized perpendicular to B π is linearly polarized parallel to B. in principle. In the presence of a magnetic ﬁeld B. one needs measurements at more than two wavelengths. obviously. not only modulo 2π.3. 0 (14. B ∝ DM From systematic observations in the Milky Way. It is much smaller than the linewidth (∼ 20 kHz) and. not easy to observe. one observes a central π-component and two symmetric σ -components. When B is perpendicular to the line-of-sight vector e. one ﬁnds B ∼ 3 µG. The total change on the way from the source at distance L to the observer is π L vph ds = RMλ2 (14.2).

The gas temperature is fairly constant there (Tgas ∼ 8000 K). The numbers are not precise but sufﬁcient for many purposes. One often wishes to relate the Lyc ﬂux NL of a main-sequence star to its mass m.4. we suggest from various sources of the literature the approximation log NL = −5. The resulting nebula of hot plasma is called the HII region. much warmer than the average dust in HI or molecular clouds. radio and optical recombination lines. 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. Dust that survives the harsh conditions in the nebula is very warm (Tdust ∼ 50 K).22) Table 14. In reality.82 s−1 .1.448 Diffuse matter in the Milky Way 14. ﬁne structure lines. the spectral type and some other stellar parameters. (14. They have energies greater than the ionization potential of hydrogen.13(log m)2 + 19. The ionization of hydrogen requires Lyman continuum (abbreviated Lyc) photons. there is a detailed balance so that each process has its exact counterpart running in the opposite direction. a situation which does not prevail in an HII region.56 eV. they ionize the surrounding hydrogen. If m is in solar units.4 HII regions 14. hν ≥ hνL = χ(H) = 13.21) This is a simplistic formula. HII regions can be observed in many ways: via free–free radiation (bremsstrahlung).1 The Lyman continuum ﬂux The hottest stars on the main sequence are of spectral type O and B.75 log m + 30. the number of electrons with velocities .4.4.2 Relation between ionization and recombination coefﬁcient In thermodynamic equilibrium. 14. 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. Hence. 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. By order of magnitude.4 for a list of symbols). infrared emission of dust. As their effective surface temperature Teff exceeds 20 000 K. hν (14. the atmospheres of OB stars are not blackbodies but are extended and non-LTE effects play an important role. or wavelengths ˚ λ ≤ λL = 912 A (see table 14. the exact number depends foremost on the abundance of metals which produce cooling lines.1 Ionization and recombination 14.1.3 lists NL .

6 × 104 1.9 R∗ [R ] 15.2 × 1018 1. α (2) = 3. at 8000 K. hν (14. SpT O4 O6 O9 B3 A0 Teff [K] 50000 42000 35000 18000 10000 L [L ] 1.3 × 106 2. nH Nn αn α (i) βn K n. v + dv] captured by protons into level n equals the number of ionizations from level n by photons with frequencies [ν.0 × 1049 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.2 × 1049 1.6 2. rS and MHII .2 × 1048 5.0 × 103 54 NL [s−1 ] 8.4 rS [cm] 4. 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. The radius and mass of the HII region.6 × 10−13 . are calculated for an electron density n e = 1000 cm−3 .6 × 1016 MHII [M ] 260 40 4 Table 14. List of symbols used in this section.HII regions 449 Table 14. ν + dν]. Spectral type.4 2. np.0 × 1018 3.ν Kν K χ χn gn.ν . mass and radius for main sequence stars of various spectral type. bolometric luminosity. effective temperature.0 6.23) .0 3.4. α (1) = 4. n e n p βn (v) f (v)v dv = Nn K n.ν 1 − e−hν/ kT cu ν dν. Lyman continuum ﬂux.ν Jν Lν ν = Threshhold frequency for ionizing hydrogen ˚ = c/νL = 912 A.1 × 10−13 cm−3 s−1 = Cross section for electron capture into level n = Cross section for ionization from level n [cm2 ] = K 1.2 × 1018 2. νL λL NL Nc (r ) hνc ne.0 10.0 × 1043 M∗ [M ] 60 30 19 7. 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.5 × 105 4.3.

1 Ionization balance In each cm3 of a stationary and dust-free HII region of pure hydrogen. 14. the total recombination coefﬁcient αn (T ) ≡ 0 ∞ βn (v) f (v)v dv 3.13) for electrons. If the corresponding recombination coefﬁcient is denoted α (1) . and x = χn /kT .ν from (14. When one expresses in (14.ν from principal quantum number n and the cross section for electron capture βn (v) into that level.40) with E n = −χn and substitutes K n.ν . The brackets on the right contain the correction factor for induced emission.23) yields the Milne relation βn (v) = 2n 2 h 2 ν 2 K n.ν are atomic quantities and independent of the radiation density u ν and the particle velocity distribution f (v). f (v) is the Maxwellian velocity distribution (5.ν is close to one.22 × 10−6 x e E 1 (x).4. 2 In equation (14. then ∞ nH νL 4π Jν K ν (H) dν = n e n p α (1) . respectively. the other arising from recombinations within the HII .24).20). The latter (without proof) is K n. hν (14. one ﬁnds after integration over all velocities and frequencies. T 3/2 n 3 (14. c2 m 2 v2 e (14.ν for photoionization.ν = 26 π 4 m e e10 gn.2 Dust–free HII regions 14.71). frequencies and velocities are related through hν = χn + 1 m e v 2 .2.25) E 1 (x) is deﬁned in (A. (14.24) where the Gaunt factor gn. both at temperature T .ν n5ν 3 (hν > χn ) (14.23).82 × 1029 gn. u ν the blackbody radiation density of photons after (5.450 Diffuse matter in the Milky Way If χn is the energy necessary to ionize an atom in state n. Using the Saha equation.ν 33/2 ch 6 n 5 ν 3 2.4.23) Nn /n e n p by the Saha equation (5. There is thus a remarkable link between the ionization coefﬁcient K n.27) The radiation ﬁeld has two components: one from the star (subscript s) which is directed radially outwards. βn (v) denotes the cross section for electron capture and K n. 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 ≥ 1.26) It must also hold when the medium is not in thermodynamic equilibrium because βn (v) and K n.

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 = 1.29) and (14. .26)) 1 d 2 (r Fsν ) = −4π Jsν n H K ν (H).31).31) = −4πr 2 The integrals extend from νL to inﬁnity. 108 s−1 for L ± 1). The stellar ﬂux Fdν declines with distance r from the star because it is geometrically diluted and weakened by absorption. The latter is diffuse (subscript d) and travels in all directions.HII regions 451 region. r 2 dr (14. . by deﬁnition. In the bracket on the right-hand side of (14. 1 d 2 (r Fdν ) = −4π Jdν n H K ν (H) + 4π r 2 dr dν . altogether Jν = Jsν + Jdν . dividing by hν and integrating over ν.30). Fsν (r ) = The optical depth τ (ν) = 2 R∗ Fsν (R∗ )e−τ (ν). The bracket on the left gives the number of Lyc photons that pass per s through a shell of radius r . which is the number of all recombinations per second and cm3 . (14. r2 r R∗ (14. The difference between .30) Adding (14. the ﬁrst term equals α (1) n e n p . we denote this quantity by Nc (r ) (unit s−1 ). 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 .28) n H K ν (H) ds is due to absorption of hydrogen atoms in their ground state 12 S. Equation (14. which is the number of recombinations to the ground level only. and the second term equals α1 n e n p .28) can now be written as (see (13. one obtains d 4πr 2 dr Fsν + Fdν dν hν n H K ν (H) 4π Jsν + 4π Jdν dν − hν 4π dν dν . Nc (r = R∗ ) = NL . In spherical symmetry. 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. hν (14.

4). Note that the degree of ionization.37) • . (14.36) MHII = n e α (2) Per unit volume. 3 S e 14. n H . the recombination rate n 2 α (1) equals the rate of ionization.38). a function of radius r . If n ≡ n p + n H . Therefore. NL m H . that o rS = • 3NL 4πn 2 α (2) e 1/3 . recombination time o • For the Str¨ mgren radius. recombine after an interval τion = 1 . e An individual electron will. We thus obtain d Nc (r ) = −4πr 2 α (2) n e n p .35) • For densities 103 cm−3 and K (H) ∼ 10−17 cm2 (table 14. dIF = 1 . The mass of an HII region depends not only on the spectral type of the exciting star but also on the environment. therefore. Its width dIF is determined by the condition that the optical depth τ with respect to Lyc radiation is of order unity. from the last equation. we may directly integrate equation (14.2 Str¨ mgren radius. 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 . of course. Because rS o R∗ .33) n e is a very good approximation. the width dIF is only ∼1014 cm. is not determined by the Saha formula (5. (14.32) from the stellar surface (r = R∗ ) to the edge of the HII region. in the case of uniform plasma density NL = NL (r =R∗ ) = 4π 3 2 (2) r n α .34) • y is. n H K (H) (14. hydrogen is almost fully ionized. dr (14. The transition from the HII region to the neutral gas is sharp and called ionization front. n H ne = np. n e α (1) (14.2. one immediately ﬁnds.4. it does not tell us the Although n H density of hydrogen atoms. where the coefﬁcient α (2) = α (1) − α1 stands for all recombinations to levels n ≥ 2. whereas the diameter of the HII region may be greater than 1018 cm.32) In an HII region. The radius there is denoted rS and called Str¨ mgren radius. ionization structure. (14.452 Diffuse matter in the Milky Way both terms is α (2) n e n p . It is inversely proportional to the electron density. 1 − y = n e /n H .

Because helium ionization requires more energetic photons (χ(He) = 24. The dusty HII region extends to the dusty Str¨ mgren radius rdS . NL dτ NL K d NL Inserting rS from (14. we get from (14.He depends sensitively on the stellar effective temperature: For B0 stars. The equation may be solved numerically but if the density n is constant. the HeII region is never greater than the HII region. at best co-extensive. Let τ be the optical depth in the Lyman continuum with respect to dust only.6 eV > χ(H) = 13. where n = n e + n H and helium has been negelected. the size of an HII region.40) which gives Nc (τ ) directly as a function of the dust optical depth τ = r n K d .3. the HeII zone is practically absent.4. for stars of spectral type O6 or earlier. the Str¨ mgren radius rS (He) for helium becomes o rS (He) = 3NL.He 4πn e n(He+ )α (2) (He) 1/3 . equation (14.37) implies τion ∼ 104 yr. and K d the corresponding dust cross section per H atom.He is the number of Lyc photons with hν > χ(He).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. When helium is present in the gas (typical galactic abundance by number [He]/[H] 0. Its Lα ˚ radiation from the singlet system of para–helium at λ = 584 A is also able to ionize hydrogen. where all Lyman o .3 Dusty HII regions 14. therefore.1).39) with the boundary condition Nc (τ =0) = NL .32) 4πα (2) nr 2 Nc 1 d Nc =− − . rS (He) = rS (H).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. As the degree of ionization within an HII region is close to one. If NL. (14. So dτ = n K d dr .4.38) The ﬂux NL.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 a plasma of moderate density (n e = 10 cm−3 ). it competes with hydrogen for photon capture. 14.6 eV). it offers the analytical solution [Pet72] 3τ 2 − 6τ + 6(1 − e−τ ) Nc = e−τ − NL n K d rS (14.

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.

The positrons unite with electrons and are annihilated producing γ -rays. neutrinos.4) The 1. The chain consists of three major steps: In the ﬁrst step. 41 H −→ 4 He. 15. they burn hydrogen by melting four protons into helium.7% of the mass is converted into energy. The fusion of one helium nucleus thus liberates mc2 = 4. The energy of 0. In other words.5 MeV. The strong force has a range of order ∼10−13 cm. Because this process is at work in the Sun. of ﬁnding in the tail of the Maxwellian . 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. excluding gravitational collapse into a black hole.1. up to masses a little more than 1 M .282 × 10−5 erg = 26. ∼0.3.3.263 MeV per fused He nucleus they carry away is lost. The chance. The 26. (15.442 MeV include the annihilation energy of the positron e+ and the energy of the electron–neutrino νe .3) From burning 1 g of hydrogen into helium one receives 6. deuterium is generated according to 1 H + 1H −→ 2 D + e+ + νe + 1. (15. positrons and as the kinetic energy of the reaction products. The neutrinos have an extremely small cross section and escape from the burning core without interacting with the stellar material. The mass difference m = m He2+ − 4m p is such that m/4m p = 7. A helium nucleus (mass m He2+ ) is a bit lighter than four protons.3 Hydrogen burning 15.5 × 107 K. the average kinetic energy of atoms is only 2 keV or a thousand times smaller.442 MeV. PMaxw (v).1 Energy yield in hydrogen burning 465 When stars are on the main sequence. All γ -photons collide with other particles and deposit their energy in the form of heat. which has a central temperature of 1.40 × 1018 erg and this provides the greatest energy reservoir of a star.73 MeV released in reaction (15. The strong force is insensitive to the electric charge of the nucleons. helium is created in the proton–proton or pp chain. it binds the nucleons but is not felt outside the nucleus. so it does not discern between protons and neutrons. we discuss a few details. The potential barrier between two protons separated by a distance r = 10−13 cm is E b = e2 /r ∼ 1. In the Sun.3) appear in the form of γ -rays.12 × 10−3 .1.2 The proton–proton chain In all low-mass stars.1.Stars on and beyond the main sequence 15.73 MeV.

the complex is bound. a neutron of one up and two down quarks.859 MeV.6) . One of the protons must also be converted into a neutron (see reaction (15. down). It is. using calculus. not enough to have the two protons approach each other via tunneling to a nuclear distance. The distance L at which tunneling sets in follows from 1 2 2 2 m p v = e /L. When we evaluate the velocity where Ppen (v) has its maximum.493 MeV. a deuteron. As the protons get faster. there is a transformation p = (up. After the tunneling. The reason is that the potential of the strong force depends on the spin direction. (15. however.5) follows only seconds later. It is so much faster because it requires only the electromagnetic and not the weak force. when they are parallel. 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. In the ﬁnal step the build–up is completed by 3 He + 3 He −→ 4 He + 2 H1 + 12. A proton in the Sun has to wait ∼1010 yr before it is incorporated into a deuterium atom. Ptun (v) increases.13)).5 MeV is negligible (see (5. Ppen . while PMaxw (v) decreases. we ﬁnd that tunneling already occurs at a distance L ∼ 5 × 10−12 cm. The appearance of a γ –quantum is necessary for the conservation of energy and momentum. down. The photon energy is accounted for in the 5. this state is excluded because the two protons are identical and as fermions their quantum numbers must not coincide. Only then does one have a stable system. with a binding energy of 2. 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.493 MeV (15. 2 D + 1H −→ 3 He + γ + 5. When the spins of the two nucleons are anti-parallel. there is an ephemeral pp complex but it is not stable: 2 He does not exist. down) −→ n = (up. is given by Ppen = PMaxw (v) · Ptun (v). the reaction (15.466 Stars and their formation velocity distribution atoms with a kinetic energy of 1.4)). Because a proton consists of two up and one down quark. although this formula applies strictly only to square potentials in one dimension. up. The next step. the system is unbound. The penetration probability.4) proceeds very slowly. The only way protons can unite is by tunneling through the Coulomb potential barrier. therefore. We can estimate the tunneling probability Ptun (v) for protons of velocity v from (6.57). far beyond the range of the strong force.23 MeV.

The 3 He nuclei are doubly charged. The net result of the reaction chain is again the conversion of hydrogen into helium. there is an alternative mode of hydrogen burning: the CNO cycle. the cycle can only operate if initially one of the catalysts is present. Be.3 The CNO cycle In all massive stars. It may be started by adding a proton to a 12 C atom. N and O that give the burning its name take part in the reactions only as catalysts: in equilibrium. In this way. after helium. when the stellar mass is slightly above 1 M . Of course.3.1. The β-decay reactions in (15. The burning process consists of two steps. are much slower. so the Coulomb repulsion is strong and as they are also rare. synthesized in stars by burning is carbon. by far the slowest step being the formation of 15 O from 14 N which takes about 300 million years. Indeed. 15.. equivalently. First. their abundance does not change. The elements C.. two α-particles unite to 8 Be.7) proceed quickly (102. The seemingly simple reaction 3 He + p → 4 He is irrelevant because it involves the weak force. 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. Therefore. β stands for β-decay. symbolically 12 C −→ p 13 N −→ β 13 C −→ p 14 N −→ p 15 O −→ β 15 N −→ p 12 C + 4 He.7) The letter p above an arrow indicates proton capture. even if ones starts out with no nitrogen at all. α+α −→ 8 Be + γ − 92 keV . on about the same time scale that a free neutron disintegrates into a proton. B but they are far less common. 14 N will build up until an equilibrium abundance is reached. electron and anti– neutrino.6) involving the elements Li. The beryllium atom resulting from the ﬁrst step.Stars on and beyond the main sequence 467 For this reaction to proceed. the CNO cycle is the major source for nitrogen in the universe. (15. 15. however. The CNO cycle requires higher temperatures than the pp cycle because the Coulomb barriers are higher. then another α-particle is added to transform beryllium into carbon. the reaction is fairly slow with a time scale of order 106 yr. Because of the strong Coulomb repulsion between α-particles. In the sun there are other channels besides (15. The CNO cycle dominates when the central stellar temperature is higer than ∼18 million K or.3 s). one builds up nuclei of subsequently higher mass number but eventually ends up again with a 12 C atom plus an α-particle. the temperatures have to be above 108 K. the preceding two must have occurred twice. and then another and another.1.4 The 3α process The next element. The proton captures. It is made in red giants by fusing three α-particles.

(15. This reaction is endothermic requiring Q = 92 keV. and a temperature rise of only 5% makes the reaction ten times faster. more frequent). The small fraction of beryllium nuclei reacts further to form carbon. unstable and α-decays. in the form of 8 Be.2 × 108 K.2. the energy production rate is proportional to T 30 . C∗ . Without this.37 MeV. The energy yield in the 3α process per gram of matter is ten times lower than in hydrogen burning. so we may write 2α ←→ 8 Be.65 MeV 12 C Figure 15. 8 Be + α −→ 12 C + γ + 7. For those atoms whose kinetic energy is close to E R . which lies = 7. however. is. The existence of the state C∗ speeds up the reaction 8 Be + α →12 C by a factor 107 . Now it is important that carbon possesses an excited state.468 Stars and their formation C* 0.38).2). the cross section for creating C∗ has a sharp maximum (resonant reaction). This makes a tremendous difference considering the extreme temperature sensitivity of the 3α process. the stellar interior would have to be as hot as 2 × 108 K for helium to burn into carbon.65 MeV above the ground level but only E R = 0.2 × 108 K.288 Me above the complex 8 Be + α (ﬁgure 15. 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. The formation of 12 C from the unstable compound (8 Be + α) proceeds through the resonant state C∗ . it goes in both ways. however.8) When the temperature in the stellar core reaches 1.8).288 MeV 8 Be + α 7. C∗ may then de-excite to the ground state 12 C (α-decay is. E∗ . This follows from the Saha formula when one makes some obvious modiﬁcations in (5. Once formed. It allows the triple-α process to operate already at a temperature of 1. At ∼108 K.

Stars are best classiﬁed by their line spectrum.32 MeV + 9. a star spends on or near the main sequence. because 90% of the fuel reserve has already been used up. To ﬁrst order. oxygen. and second. neon. It can be directly determined only in binary systems. τms . . 15. L ms and L av . The stellar mass m is not an observational quantity and much less certain. G.3)). as a function of the stellar mass m. m . Most of this time. F. the total lifetime is not much longer than the main sequence lifetime. one gets a lifetime of 20 billion years. M) or effective temperature Teff .16 MeV + 9. L av . the yield decreases as heavier elements are synthesized. They are based on computations of stellar evolution and adapted from [Mas88]. and the luminosity the speed of its consumption. because the star has become a giant and is generally much more luminous.007c2 erg per gram of burnt matter (see (15.13) and ﬁgure 15. the stellar population and the optical and infrared appearance of the Milky Way.1 are approximations of the parameters τms . Therefore. despite the fact that the post-main-sequence phase is short. A.1. to a large degree.08 and 100 M .73 MeV 24 Mg + γ 28 Si + γ 24 Mg + α When taken per gram of stellar matter. The analysis yields the spectral type (O. For example. the luminosity averaged over the total lifetime of a star. can be several times greater than the main sequence luminosity L ms . +α +α 20 Ne + γ + 4.5 Lifetime and luminosity of stars Stars are born with masses.98 MeV. and the luminosity class (roman numbers from I to VI) or surface gravity. 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.9)–(15. between 0. τ ∝ L The stellar mass ﬁxes the amount of fuel.Stars on and beyond the main sequence 469 Once carbon is present. not bad as a ﬁrst estimate. B. Here are some reactions with their energy yield: 12 C + α 16 O 20 Ne −→ −→ −→ −→ 16 O + γ + 7. Formulae (15. the upper limit being rather uncertain. so the consumption rate is higher. because giants are so bright. magnesium and so forth can be generated through the capture of α-particles. K. assuming that 20% of the mass of the Sun is in its hydrogen burning core and that the energy yield is 0. However. The subsequent evolution is very quick: ﬁrst. m. Their lifetime τ and luminosity L determine.

12) assumes an energy yield of 6 × 1018 erg per gram of burnt remnant matter with a mass fraction of 0.989 × 10−3 + 4.14) .1 × 1010 m −3. (15.12) L av is expressed through the mass m rem of the stellar remnant. i.13) 2. 15. .65 1. It is a white dwarf when the initial mass 0.65 0.51m 3 0.6 ≤ m ≤ 1 m ≤ 0. stellar masses in M and luminosities in L . then d N(m) ∝ ξ(m) dm (15.34 0.77 × 1010 in (15. A fundamental problem concerns the distribution of masses of young stars.4 + 0.77 × 1010 max m rem . It is a neutron star or a black hole when the progenitor explodes as a supernova. almost simultaneously.2 m rem = (15.616 log m − 0. (15.594 ≤ m ≤ 7. 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 .11) m > 7.1.4 0. If d N(m) stars are born in the mass range m . one gets the following results • Main sequence lifetime: 3 × 106 + 1.1m m > m SN . (15.65 m 0.7 1.5 Main sequence luminosity: For m ≥ 1 M .6 The initial mass function Stars generally form in clusters.293 2.06313 log3 m.65 ≤ m ≤ m SN : m ≤ 0.293 m < 2. when the initial mass m > m SN = 6 M .594 . L ms .10) For m < 1 M .012m 4.9) • Average luminosity (mean over lifetime of star including giant phase): L av = 9.2 ≤ m ≤ m SN 0.6557 log2 m − 0.7 of the heavy elements (the ashes). The constant 9.470 Stars and their formation When lifetimes are expressed in years. log L ms = 4. L ms = • 1.65 ≤ m ≤ 2. or elsewhere.2 × 109 m −1.e. . as in Orion. either born in clusters.105(m − 2.85 τms = 107 + 5 × 109m −2. τms (15. m+dm.6.2)1.

prone to observational bias by the detection limit as young clusters are always heavily obscured by dust. It gives the number of stars per unit volume and interval of absolute visual magnitude. An outer pressure P0 is exerted on the cloud surface. For the lower and upper mass limit of stars. where no member has yet evolved off the main sequence. Such a method is. .3) and assuming that the star-formation rate has been constant over the past. N (15. A much more direct approach to ﬁnd ξ(m) is to count in a young stellar cluster. . refer to 1 M of gas that has transformed into stars. 15. 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 .3). m l and m u . for example. ¨ F j = mx j i = 1. Figure 15. ξ(m) = m −2.2 Clouds near gravitational equilibrium 15. One may alternatively try to determine ξ(m) theoretically by making certain assumptions about the processes during star birth.2.35 1 exp(−0. however. all of equal mass m and with coordinates x j .206 ln2 m) m Salpeter IMF Miller–Scalo IMF. 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.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. vanish. .16) . Mil78]. the number of stars per mass interval.966 ln m − 0. one often assumes 0. . they may. One arrives at the initial mass function ξ(m) by deconvolving ψ(m) with the stellar lifetime τ (m) (see again ﬁgure 15. The theorem follows immediately from the equation of motion. respectively but these numbers are debatable and depend on the environment.1 Virialized clouds Consider an interstellar cloud of volume V consisting of N atoms. the result from any one cluster is not representative for the Milky Way as a whole. (15. . Also. When one restricts the counting to main sequence stars.15). Then one determines their distances to obtain the luminosity function φ(MV ).1 M and 50 M . This leads to a function ψ(m) such that ψ(m) dm is the present stellar density for the mass interval m . m + dm. MV can be uniquely translated into a stellar mass m (see ﬁgure 15.15) The functions are not normalized. Two analytical expressions for the IMF are in wide use [Sal55.Clouds near gravitational equilibrium 471 deﬁnes the initial mass f unction ξ(m). . abbreviated IMF.

so their post-main-sequence evolution does not bother us.472 Stars and their formation Figure 15. The full curve gives main sequence luminosity L ms .13). when one multplies by x j and sums over all particles. They also live much longer than 1010 yr. dotted line shows L av which is an average over the whole stellar life including the giant phase. 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 .3. without increasing their luminosity.9). (15. The top panel shows the lifetime of stars according to equations (15.10) to (15. For stars of very high and very low mass.17) . The latter never turn into giants. The bottom one their luminosity after (15. L ms L av . The former move after the exhaustion of hydrogen in the Hertzsprung–Russell diagram horizontally to the right.

one-tenth of the stars by mass accounts for almost all the luminosity (precisely.11). The cumulative mass M. stars with masses smaller than 10 M account for only 9% of the luminosity. although they comprise 90% of the stellar mass. and P0 V . |xi − x j | An interstellar cloud fulﬁlling (15. 2 P0 V = NkT + 1 E grav 3 with E grav = − i< j (15. for 91%). ˙j Without systematic motion. For a spherical cloud of uniform density. one has to integrate over the cloud surface and transform the expression into a volume integral according to Gauss’ theorem.22). all kinetic energy is thermal and m x2 = 3NkT . The end result links the thermal energy E therm = 3 NkT . the Lyc ﬂux NL (m) is from (14. 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 = 0.1 M and m u = 50 M .10) and (15. the gravitational (potential) energy E grav . radius R and . Virialization is a special cloud property. To evaluate this sum. In other words. 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. the other containing the inner forces. in a Salpeter IMF.4. The dependence of the luminosity on mass. is from (15. The other sum F j x j can be split into a term containing only those forces F j which act from outside.Clouds near gravitational equilibrium 473 Figure 15. For example. The inner forces come from mutual gravitational attraction of the atoms.18) is said to be virialized. L(m).18) Gm 2 .

the luminosity would be sustained over the Kelvin– Helmholtz time scale 3kT M E therm (15. Equation (15. 1 d r2 d P = −4π Gρ.22) (15. which is of second order and called the Emden equation [Emd07]. the other half is radiated away.24) r 2 dr ρ dr We solve (15.474 mass M. Stars and their formation 3G M 2 . the luminosity L is entirely due to gravitational contraction. is the mean particle mass. whereas the stellar radius and the luminosity shrink. When the star is on the main sequence and. one switches off nuclear burning. tKH equals 30 million years.20) m For example. It is not valid for comets that ﬂy on a parabolic orbit of inﬁnite extension.22) and (15. its surface temperature is then approximately constant. When accretion has ended and nuclear burning not yet started. tKH is a thousand times smaller.18) yields 3kT M −E grav = 2E therm = . (15.2. as before. when pressure and gravitational forces balance exactly everywhere. (15. dr (15. a low-mass protostar in its late stage of evolution moves towards the main sequence along the Hayashi track.25) . (15. for O stars. (15.23) Mr denotes the mass contained in a sphere of radius r .22) and (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.23) subject to the boundary conditions ρ(0) = ρc dρ dr =0 r=0 (15.23) can be combined into one.2 Isothermal cloud in pressure equilibrium In a gas sphere.21) tKH = L 2m L where T is an average by mass over the star and m. Formulae (15. G Mr dP = − 2 ρ dr r d Mr 2 = 4πr ρ.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. For the Sun.19) 5R When the outer pressure can be neglected with respect to the central pressure. E grav = − 15. in a thought experiment.

where r = R.2.26) where m denotes the mean mass of the gas particles and vs = ∂P = ∂ρ kT m (15. beneath its surface layer. which is true during the early protostellar phases.3 Structure and stability of Ebert–Bonnor spheres Equations (15. In either case. happens either through absorption of far infrared radiation by grains or by interaction of cosmic rays with the gas. For polytropes.Clouds near gravitational equilibrium 475 i. For every mass M. the maximum dust emission lies at submillimeter wavelengths and such photons can freely escape. At the prevailing high densities. P = Kρ 1+ n 1 (15.28) where K is some constant.22) and (15. One still has to add the equation of state. the heating rate per gram of interstellar matter is fairly uniform over the cloud and does not depend on density. the pressure P can be expressed solely by ρ.23) are integrated from the center outwards. dust and gas are thermally coupled by collisions between gas molecules and grains.29) (15.27) the isothermal sound speed. Here we are interested in the structure and stability of an isothermal sphere which is described by a polytrope of index n = ∞. As the cloud temperatures are low. General solutions of polytropes are discussed in [Cha39]. Heating of such a cloud. which has to be ﬂat.30) . the collapse does not enhance the temperature. The assumption of isothermality correctly reﬂects the conditions in protostellar clouds before they collapse. the Pd V work of the gravitational compression is transferred from the gas to the dust and radiated away. P= kT 2 ρ = vs ρ m (15. Cooling comes mainly from grains (although some is due to molecular lines. especially of H2 O and CO). The temperature does not enter but T is nevertheless not uniform over the cloud. 15. the central density ρc being the parameter. As long as the cloud is optically thin to dust radiation. there is a family of solutions. the cloud is conﬁned by an outer pressure P0 which is equal 2 to the pressure just below the cloud surface. we prescribe the central density ρc and its gradient.e. At the edge. so P0 = vs ρ(R). When the cloud collapses. By introducing the variables y = ρ/ρc x = r 4π Gmρc /kT (15.

Figure 15. 3 The density is ﬂat in the core. However. it follows that (u /x)x=0 = − 1 .34) one can determine to which value of x u (or radius R) a sphere of given mass M. If we further put y = eu .33) where x u = R · integral 2 4π Gρc /vs . To solve this second-order differential equation by a Runge–Kutta method. 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. Bon56].32) behaves near zero. Collapse starts only when the Ebert–Bonnnor sphere becomes . interior parts are unstable. Its environment may vary but the cloud is stable and adjusts to a changing outside pressure P0 . In ﬁgure 15. The function P0 = f (R) and the ensuing stability criterion can be studied analytically but the treatment is laborious [Ebe55.476 Stars and their formation equation (15. and ρ falls off in the envelope approximately like r −2 . which displays the I (x u ) = 0 xu y(x) x 2 d x (15.24) can be made dimensionless and brought into the form y − y2 2y + + y2 = 0 y x (15. ∂ P0 /∂ R > 0. Its solution describes the structure of isothermal gas balls in equilibrium. they are called Ebert–Bonnor spheres. Thus the cloud is further compressed and ﬁnally collapses. When such a cloud is perturbed.6. which is the point of minimum cloud radius.7 depicts how the radius R of an Ebert–Bonnor sphere varies with the boundary pressure P0 . (15. the cloud arrives at a new conﬁguration where the actual outer pressure P0 surpasses the value required for equilibrium. With the help of ﬁgure 15. between A and C. A cloud in a low-pressure environment settles into an equilibrium conﬁguration.32) with u(0) = 0 and u (0) = 0.31) simpliﬁes to u + 2u + eu = 0 x (15. As one increases the central density and moves on the curve beyond the point C towards the eye of the spiral. the instability continues. When somewhere on this part of the curve the radius is decreased by some inevitable ﬂuctuation.7. somewhere to the right of point A on the curve in ﬁgure 15. central density ρc and temperature T extends. clouds from A over B to inﬁnite radii are stable because ∂ P0 /∂ R < 0. we still have to know how u /x in (15. Because obviously u /x → u (0) for x → 0.5. Although ∂ P0 /∂ R may again be negative for the cloud as a whole.7.31) with the boundary conditions y(0) = 1 and y (0) = 0. The result of the numerical integration is shown in ﬁgure 15. it reverts to the conﬁguration whence it started from.

kT I (x) The expressions I 2 y and x/I are readily evaluated numerically. we write the outside pressure P0 and the cloud radius R as a function of the dimensionless variable x. The density y is in units of the central density. The radial coordinate x is 2 proportional to the cloud radius.37) (15.5.411 .450.40 k4 T 4 G 3m 4 M 2 Gm M.31). For a ﬁxed cloud mass M and temperature T . kT (15.4106. To determine the critical values. P0 attains its maximum at x = 6. critical. the broken curve shows for comparison the slope of a density distribution falling off like 1/r 2 .36) R=x kT 4π Gmρc = x Gm M .38) Rcrit = 0. y = ρ/ρc . where I 2 y/4π = 1. 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. In this logarithmic plot.398 and x/I = 0.35) (15. Therefore. Pcrit = 1. the cloud is stable only if the outer pressure is smaller than the critical value Pcrit and the radius greater than Rcrit . The structure of an (isothermal) Ebert–Bonnor sphere after (15. x = r (4π Gρc /vs )1/2 .

the largest possible stable mass for a cold H2 cloud of 10 K is thus only ∼6 M .18) follows directly from the equation for hydrostatic equilibrium (15. become important and the curves diverge. roughly I (x ) ∝ x . 2 )1/2 marks the cloud boundary. say P0 = nkT ∼ 10−12 dyn cm−2 . Indeed.45. .18) only in an integral form. pressure gradients.478 Stars and their formation Figure 15. multiplication of (15.22). A cloud in pressure equilibrium is also virialized and the virial theorem in the form (15. which are taken into account by the virial theorem in (15.34). However. xu = R(4π Gρc vs u u 3 for small ones I (xu ) ∝ xu . The mass integral I (xu ) = yx 2 d x of equation (15.22) 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 . Assuming some reasonable pressure to prevail in the interstellar medium. r When the cloud has a large volume. when the cloud is compact. as in a tenuous HII region. Insert: The functions x/I (x) and y(x) I 2 (x)/4π near the critical value xcr = 6. 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.6. For large values.

R = 1.52) for unmagnetized spheres of constant density. at point B.2 from one point to the next as one follows the spiral of dots from right to left. t) denote the radius of an internal sphere that contains . For an H2 cloud of 1 M and T = 10 K. thus neglecting all other forces that arise from pressure gradients. Consider a gas sphere of total mass M which at time t = 0 is at rest and has an outer radius R.41 × 10−11 dyn cm−2 . Let r (m. Stable conﬁgurations are only possible from A over B to inﬁnity. ρc = 2.7. 15.15 × 10−20 g cm−3 .24) when R and P0 are normalized to the values of the critical sphere.19 × 10−18 g cm−3 . magnetic ﬁelds or rotation. 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 (15.4 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. The central density ρc increases by a constant factor of 1. the full curve is from the virial relation (15. ρc = 1.Clouds near gravitational equilibrium 479 Figure 15. For comparison. at the critical point A.2.33 × 1017 cm and P0 = 3.

i. 3 (15. This happens for β = π/2. like rotation or pressure gradients. 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. when r = 0. Integration of (15. 0) and ρ0 denotes the initial constant density. then obviously 3 4πρ0r0 /3 = m. r(m. clouds are generally not in the stage of collapse.39) r2 together with the conditions that. turbulence or outer forces are absent. 0) = 0. ˙ When r0 ≡ r (m. frosting of molecules onto dust particles. 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.e.480 Stars and their formation the mass m ≤ M at time t. If they were. ∂t (15. such as fragmentation of the cloud into subunits. the cloud is at rest.41) tff depends only on the initial density ρ0 and is inversely proportional to its square root.42) (15. one ﬁnds β+ 1 2 sin 2β = t 8π Gρ0 . are excluded.43) . gas cooling. The collapse is then described by Gm (15.40) β and thus also r/r0 do not depend on the mass m and the collapse therefore proceeds homologously. 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. the star-formation rate would be orders of magnitude higher than what one observes.2. In a medium of constant temperature T .5 The critical mass for gravitational instability Although in any interstellar cloud there is always some gravitational pull which tries to compress it. It is valid only when rotation. from which follows the free-fall time tff = 3π . 32Gρ0 (15. 15. at time t = 0. It is often useful to compare tff with the time scale of other processes. magnetic ﬁelds.39) yields r =− ¨ r ˙ 8π Gρ0 r0 −1 . =− r0 3 r Putting r/r0 = cos2 β. It is completed when the cloud has contracted to a point.

(15.47) where n is the number density of hydrogen molecules per cm3 . ρ (15.48) may be written as MJ L T. Let the medium intitially be uniform and at rest. For convenient comparison with observations. This occurs when ω is imaginary (ω2 < 0). (15. the cloud is unstable. ≈ 2.27).2 × 1019 T /n cm (15. We introduce a small perturbation. when the wavenumber k is below some critical value kJ (the letter J stands for Jeans) given by kJ = π = LJ 4π Gmρ0 . and examine whether it grows or not.49) .44) 2 and the gas pressure P by the equation of state (15. at some later time ρ = ρ0 + ρ1 v = v0 + v1 . ρ1 ∝ ei(kz+ωt ) one obtains 2 ω2 = k2 vs − 4π Gρ0 . 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 . i.4 × 10−19 M cm (15.46) 4Gmρ For a cloud of molecular hydrogen (m = 2m H ). So a cloud of density ρ and temperature T is unstable to collapse if it has a size greater than πkT LJ = . If the initial values of density and velocity are ρ0 = 0 and v0 = constant. kT Do not confuse the symbol k for the wavenumber with Boltzmann’s constant k.45) If the perturbation ρ1 increases exponentially.e. L J ≈ 1. where m is the mean particle mass and vs the sound velocity of (15.48) It is called the Jeans mass. P = kρT /m = ρvs .Clouds near gravitational equilibrium The gravitational potential φ is given by the Poisson equation φ = 4π Gρ 481 (15. Therefore. (15. Writing the density change ρ1 in the form of a plane wave.26). denoted by the subscript 1.

15.49) should. gravitational energy is converted into heat. we thus notice from (15. formula (15. Of course. the collapse is isothermal because dust is a very effective coolant. This derivation of the critical mass MJ from perturbation theory is logically not clean. 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. the dust optical depth τ .1 The role of dust in gravitational stability Because an isothermal collapse of a molecular cloud requires radiation losses.6.50) min(MJ ) = 2.46)– (15.49) helps decide whether it should collapse or not. Continuing our crude analysis of cloud collapse. min(MJ ) ∼ 0.04 M . must be smaller than unity at wavelengths where dust emission is efﬁcient.482 Stars and their formation A gravitationally unstable clump of one solar mass has. therefore. the IMF is heavily biased towards massive stars and low-mass stars do not seem to form at all. A homogeneous medium at rest cannot be in equilibrium. 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.2. where the dust is warm (Td ≥ 30 K).4 × 10−7 T 4 M . gas cooling is relatively inefﬁcient.1 pc.6. the Jeans criterion is qualitatively correct and very useful.2 Fragmentation and thermodynamic instability During cloud contraction. so τ = 1 2 L J Kdρ < 1. from the cloud center to the surface. a size of ∼0. ∇φ and thus φ would have to vanish but that is impossible because of the Poisson equation (15. by measuring the temperature T . For T = 20 K.2. Initially.44). All constants in the preceding equations (15. For example. Smaller subunits . If it were. not be taken too literally.6 Implications of the Jeans criterion 15. the minimum fragment mass that can undergo free collapse is (15. Using for K d the Planck mean absorption coefﬁcent K P of equation (13.48) 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. However. therefore.33).2. 15. linear size L and mass M of a suspected protostellar condensation.

6. the rise is even steeper.2. for inhomologous contraction. one gets M 3 3G M 2 = 2 · kT. In a homogeneously contracting cloud.51) Besides fragmentation. 5R m 2 . The condition ttrav = R = vs 3π = tff 32Gρ • • together with (15. So as the cloud shrinks. One must then replace.48). Otherwise. δ Q = dU + P d V = 0. When the gravitational energy is not radiated away.2). radius R and with M/m gas particles. Suppose in some place of a cloud the gas is contracting. the sound velocity vs by the turbulent velocity. is fundamental. for which R 3 ρ = constant. The isothermal phase ends when the cloud becomes opaque to the cooling radiation. This process. 15. to a gas sphere of mass M. in the corresponding formulae. also yields the Jeans mass or Jeans length. there is gravitational instability if γ falls below γcr = 4 .Clouds near gravitational equilibrium 483 of the mother cloud become unstable as long as the temperature does not rise faster than ρ 1/3 . Compression then leads to heating and pressure gradients build up which stop the collapse: a hydrostatic core forms. the dust optical depth τ grows proportionally to R −2 . If ttrav is shorter than the free-fall time tff of (15. the cloud will be stable. According to (15. Isothermality implies γ = 1. where the outer pressure is absent and the gravitational energy equals twice the thermal energy. it cannot respond quickly enough to the density perturbation and collapse will ensue.3.20). called fragmentation. the gas behaves adiabatically. 3 (15. and the thermal energy by the energy of the turbulent motions. The information about the contraction travels through the cloud in a time ttrav .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).27) for the sound velocity. and T ∝ ρ γ −1 where γ = Cp /Cv is the ratio of speciﬁc heat at constant pressure to that at constant volume. τ must at some moment exceed unity. the value γcr also ﬁgures in protostellar evolution (section 15. When one applies the virial theorem in the form of (15.41).

equation (15.46) and (15.18) so that it incorporates magnetic forces. again but for a factor of order unity. One can approximately extend the virial equation (15. for a spherical cloud threaded by a uniform ﬁeld of strength B.13.52) have then the same 1/R-dependence and if one form of energy. The radius of the critical Ebert–Bonnor sphere also has the same form as the Jeans length (see (15. Any spherical cloud supported against its gravity by an internal pressure P becomes unstable when P ∝ ρ 4/3 . which can obviously be written in two ways. We conclude that for R = 0.18) is generalized to 4π R 3 P0 = 3NkT − 1 3G M 2 + R3 B 2.52) If the ﬁeld is frozen into the cloud. This condition leads to a minimum mass for instability in the presence of a magnetic ﬁeld.7 Magnetic ﬁelds and ambipolar diffusion 15.53).7). So the critical value γcr also holds for magnetic pressure Pmag .38) and (15. independently of the physical origin of P. we are led to Mmag in (15.7.2. (15. the magnetic pressure Pmag = B 2 /8π. The cloud can.484 Stars and their formation Within a factor of order unity.48) the critical mass Mmag in the presence of a magnetic ﬁeld (see section 15. . it will do so throughout the subsequent evolution. As the terms in (15. the magnetic ﬂux is conserved and the relation B R 2 = constant holds no matter whether the cloud is contracting or expanding. The gravitational and magnetic term in (15. dominates at the beginning. gravitational or magnetic.18) represent global cloud energies.2. one expects the new term for the magnetic ﬁeld to be equal to the total magnetic ﬁeld energy (see (1.1 Critical mass for magnetized clumps When a cloud is pervaded by a magnetic ﬁeld. • 15. therefore. for P. We can thus extract from the Jeans criterion (15.1 pc and B = 10 µG.46)) and the two expressions are also practically equivalent.48) as MJ = (π/4G)3/2 P 3/2 /ρ 2 and insert.48). only collapse if 3G M 2 /5R > R 3 B 2/3. 2 G 3/2 ρ 2 48π π G 1/2 (15. from 5/3π = 0.56)). the critical mass for collapse is ∼1 M . one immediately recovers the formulae for L J and MJ . Mmag = B3 53/2 51/2 = . but such reﬁnements are academic as estimates based on the virial theorem are rough anyway. When the analysis is extended and cloud ﬂattening taken into account. when we rewrite equation (15. its net effect is to lend further support against collapse.24 to 0. Indeed. Mmag .2. the √ proportionality factor drops.53) The second expression for Mmag contains the ﬂux = π R 2 B through the clump. Indeed. 5R 3 (15.

which we now deﬁne for a spherical cloud of mass M and radius R. to clump densities.2 Time scale of ambipolar diffusion Of course. Assuming that the density of the neutrals is much larger than the ion density. the cross section for momentum transfer is large. A 1 M cloud can. The strength of the coupling between gas and ﬁeld is expressed through a diffusion timescale td . n = 1 . in the 3 case of equipartition between thermal energy of the gas and magnetic energy. all this is correct only if the magnetic ﬁeld is coupled to the gas. one ends up with a ﬁeld strength of ∼10 µG or more. All this suggests that a cloud must ﬁrst get rid of its magnetic ﬁeld through ambipolar diffusion before it can collapse. Should the degree of ionization be much above 10−7 .7.2. For homogeneous contraction (R 3 ∝ ρ −1 ). n n i . As ambipolar diffusion is a slow process compared to dynamical contraction. σ u ∼ 2 × 10−9 cm3 s−1 . because the medium is clumpy and stray UV photons manage to penetrate into the cloud interior. cosmic rays alone can probably keep one out of 107 gas particles ionized.1 pc. for example. and this should be sufﬁcient to effectively freeze in the magnetic ﬁeld. Although the interstellar matter is mainly neutral. the diffusion time tad would exceed the cloud lifetime and collapse could not occur. The process is called ambipolar diffusion. 2 3 2 15. and that both kinds of particles have the same mass m. With n i /n = 10−7 . otherwise there is no interaction. only contract if its radius is smaller than ∼0. one assumes a relation B ∝ ρ n between gas density and ﬁeld strength.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. (15. the diffusion time tad is several million years.54) Because the slippage occurs between ions and neutrals. Let the cloud be close to equilibrium so that the gravitational force is balanced by the magnetic ﬁeld. . for neutral–neutral collisions it would be a thousand times smaller. where measurements are easier and B is at least 1 µG. ﬂux freezing (B R 2 = consant) implies n = 2 . For the extrapolation. it limits the pace at which stars can form. even in molecular cloud cores. therefore. where wd is the drift speed between the two components and σ u an average over thermal velocity times cross section. each ion imparts to the neutrals per second the momentum n σ u · mwd . a more elaborate analysis yields 1 ≤ n ≤ 1 [Mou91]. 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. The ions are then kept at their position while the neutrals drift slowly across the ﬁeld lines under the inﬂuence of gravity.

a reasonable mean value for the Sun. This is what the Milky Way does and what all other celestial objects do. about equal to the travel time of a sound wave through the cloud.56) By the time the accretion process is over. this gives a mean luminosity of ∼40 L .3. Today.3 × 10−19 g cm−3 . 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. So on the way from the protostellar cloud to the main sequence. namely G M 2 /4R ∼ 1048 erg. Evidence from molecular lines and dust radiation from low-mass protostellar clumps indicates a temperature T ∼ 10 K.41) then becomes tff 1. and the cold neutral gas turns into a hot plasma of over 107 K with thermonuclear reactions.58) 2 d R0 . Equation (15.3.9 × 105 yr. let us consider the presolar nebula. corresponding to a molecular hydrogen density somewhat above 3 × 104 cm−3 . the Sun has a radius R = 7 × 1010 cm and a mean density 1. So very elementary considerations suggest that the Sun was. during some of its protostellar evolution more luminous than it is today. 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. (15. at least.1 The presolar nebula 15. We know this from the position of T Tau stars in the Hertzsprung– Russell diagram.486 Stars and their formation 15. has gone into heating. The other half was radiated away. possibly a bit more as some matter was dispersed and did not fall onto the star. Over one free-fall time.1 Gravitational and thermal energy To get a feeling for the parameters of a protostellar cloud.1.3.2 Rotational and magnetic energy A protostellar cloud rotates. The free-fall time from (15. the cloud radius has shrunk to ∼2R .57) A = − R0 2 d R0 1 dω0 −1 −B = R0 + ω0 10 km s−1 kpc .55) (15. the density increases by 20 powers of ten. the gas has acquired an average temperature of ∼3 × 106 K.4 g cm−3 . Half of the released gravitational energy.54 × 1017 cm and a density ρ ∼ 1.05 pc or 1.3 Gravitational collapse 15.38) then yields a critical cloud radius of about R = 0.1. 15. It must have had a mass of 1 M . (15. As a result. ρ ¯ there are vast changes: the radius shrinks by a factor ∼107 .

We may envisage a large cloud to revolve around its own axis at an angular frequency ω = |dv/d R0 | 1. From (15. this would reduce ω accordingly [Oll98]. Note: the previously cited values of A and −B are not up-to-date but easy to remember. Rigid rotation of the disk would imply A = 0 and B = −ω0 . ω ∼ 10−15 s−1 seems a fair guess for them. For a presolar 5 cloud. As protostellar clouds have undergone some contraction by which they were spun up. In the differentially rotating galactic disk.2 Hydrodynamic collapse simulations Modern hydrodynamic calculations of protostellar evolution are multidimensional. Because of the differential rotation of the galactic disk. the orbital speed of an interstellar cloud is higher on the near side facing the galactic center than on the far side. so the rotational energy rises steeply as the radius shrinks.57) and (15. with two or three spatial coordinates. the numbers for both A and −B tend to converge around 12. 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 . A constant density sphere has a moment of inertia I = 2 M R 2 . Because . They are based on sphisticated codes and carried out on computers as powerful as available at the time. the initial rotational energy becomes E rot = 1 2 2 Iω ∼ 1037 erg. The main mechanism by which a protostellar cloud rids itself of the magnetic ﬁeld is probably ambipolar diffusion.5 km s−1 kpc−1 . Flux conservation implies for the contracting cloud B R 2 = constant and thus E mag ∝ R −1 . conservation of angular momentum I ω implies E rot ∝ R −2 . Although this is small compared to E grav or E therm . This. 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.Gravitational collapse 487 They are determined observationally and refer to the locus of the Sun where ω = ω0 and R = R0 .59) Here we have used dv = ω0 d R0 + R0 dω0 . (15. The magnetic ﬁeld is initially relatively weak but grows with R −2 and should thus be 1013 times stronger in the ﬁnal star. the magnetic energy is E mag = B 2 4π 3 R 8π 3 6 × 1040 erg. In more recent analyses. 15. is not what one observes. Their uncertainty is about 20%.6 × 10−16 s−1 . one ﬁnds ω0 = A − B 8−16 s−1 corresponding to a rotation period of 250 million years.58). a few times smaller than ω0 .3. however.

The sound velocity vs is 2 then constant and in (15. therefore.60) (15.8). The core becomes opaque when about 0. The dynamical equations of a spherical cloud can be written as (cf. and on time t. The submillimeter dust radiation is then trapped.6). the supersonically falling gas is stopped at the core . sketch simpliﬁed scenarios which nevertheless catch important aspects of the collapse stages.42) and (15. we. The released gravitational energy is then no longer used to increase T but to separate the hydrogen atoms. Here and in section 15. the assumption of isothermality has to be abandoned. One must then add to (15.2. But when hydrogen dissociates. When a hydrostatic core has formed.62) ∂r During the early phases. Initially. the non-trivial outer boundary condition reads as u = 0. the core warms up and settles into hydrostatic equilibrium.62) into difference equations and solve them numerically. γ falls below the critical value of 4/3 and the hydrostatic core begins to collapse. Mr is the mass of a sphere of radius r . a naive understanding of what is happening gets lost. 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. one often uses a frequency–averaged (grey) approximation in the spirit of (13. The gas is driven by the gradient of the pressure P and by the gravitational attraction. it is straightforward to transform (15. When the cloud becomes optically thick (see section 15. In this case. they usually cannot be adequately presented in plots but have to be visualized in motion pictures. which happens at a central density of ∼10−3 g cm−3 . so ∂ Mr − 4πr 2 ρ = 0. Inevitably. the cloud is made up mostly of H2 for which γ = 7/5 > γcr of (15. ﬂow velocities become quickly supersonic because the sound speed is only ∼1 km s−1 in a cloud of 10 K.60) the derivative ∂ P/∂r = vs ∂ρ/∂r . For a ﬁxed cloud volume.29).60) to (15.43)) ∂u 1 ∂P G Mr ∂u +u + + 2 =0 ∂t ∂r ρ ∂r r 1 ∂ 2 ∂ρ + 2 (r ρu) = 0.62) an equation for the conservation of energy (ﬁrst law of thermodynamics) and for the transport of radiation. the collapse is isothermal. This second collapse is halted only when γ rises again above 4/3.488 Stars and their formation of the complexity of the numerical results.3.9. an example is presented in ﬁgure 15.01 M of gas have been accumulated within a radius r ∼ 1014 cm.3.51).8. pressure P = vs ρ and velocity u depend only on radius r .61) 2 The geometry is here one-dimensional: density ρ. and as long as there are no shocks. ∂t r ∂r (15.8 or 15.60)–(15. (15. As one can read from ﬁgure 15. (15. When the gas temperature reaches ∼2000 K. molecular hydrogen dissociates. For the latter.

and the free-fall time tff = 1.86 × 105 yr. The distribution of density ρ and velocity u during the isothermal contraction of a spherical and initially homogeneous H2 cloud of 1 M . After 2. The width of the shock is determined by the mean free path of the gas particles. The cloud is at temperature T = 10 K. so practically it is a discontinuity described by the Rankine–Hugoniot jump conditions and this poses a numerical challenge. its radius is ﬁxed (u = 0 at the surface). the exponent equals −2.6 in the inner regions.8. The collapse is very inhomologous. the core (r < 1014 cm) turns opaque to its own far infrared radiation and the assumption of isothermality is no longer valid.3 in the envelope and −1. the evolution would be similar. For an Ebert–Bonnor sphere (slightly beyond the brink of stability). surface giving rise to a shock. In the .60×105 yr. If the density at that moment is approximated by a power law.Gravitational collapse 489 Figure 15.

the protostellar luminosity.67) describing spherical isothermal collapse. If R∗ and M∗ are the radius and mass of the hydrostatic core. ρ of an initially (t = 0) 2 hydrostatic cloud of density ρ = vs /2π Gr 2 at any later time t0 > 0. The solution of the ordinary coupled differential equations (15.64)). One can determine. becomes L shock = ˙ G M∗ M . To evaluate it correctly.490 Stars and their formation Figure 15. shock front. and to 2 obtain the density ρ. to get the velocity u. the gas kinetic energy is converted into radiation.68) with A = 2. To avoid ﬁssion of the core. the size and radius of the hydrostatic core are therefore the parameters that determine the protostellar luminosity. R∗ (15. one multiplies α by (4π Gt0 )−1 (see (15. the cloud structure in terms of r.9. For example. for instance. one multiplies v by vs . a proper treatment of shocks is obviously necessary.63) ˙ The accretion rate M. To get the radius r . from this ﬁgure. one multiplies the abscissa x by vs t0 .0001. When the numerical effort to compute protostellar collapse is much enhanced and the physical processes are reﬁned.66) and (15. u. one may. the core has the tendency to split up. invoke strong . The time evolution goes along the lines from right to left. when the collapse calculations are carried out in two dimensions and cloud rotation is included. The starting values at x = 10 are from (15. new problems arise concerning the stability of the core. prior to nuclear burning and neglecting the contraction of the protostellar core.

15. A fruitful ansatz is u(r. t) and ρ(r. The similarity solutions can be found by introducing a dimensionless variable which expresses some relation between r and t. This restricted class of solutions does not add anything new to the one-dimensional numerical calculations of [Lar69] but because of its simplicity. the dependent variables velocity. α x Instead of two independent variables.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. which are denoted by a prime. yields m = m (x − v) m = x 2α ⇒ m = αx 2 (x − v). let us choose x= r . (15. vs t Because of similarity.3. x. t) = 2a 2r/G. density and mass are the product of a function of t times a function of x. one has only one.Gravitational collapse 491 turbulent friction (of speculative origin). ρ and M into (15. x −v = 1 and α = 2/x. and there are no more partial derivatives. the spatial distribution of u(r. Two solutions are obvious. it is very instructive.66) (15. . corresponds to a static sphere with a diverging central density.65) Now (15. 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.67) 2 α = α − (x − v) (x − v). t) = vs v(x) ρ(r. It would guarantee an efﬁcient outward transport of angular momentum and thus enable the formation of a single star [Tsc87].3 Similarity solutions of collapse 15. although the velocity u is not zero.62) and into ∂M ∂M +u =0 ∂t ∂r which is an equivalent form of the continuity equation (15.61). r and t. t) = α(x) 4π Gt 2 M(r.3. only derivatives with respect to x.3. G (15.1 Equations for spherical collapse Similar solutions to the one-dimensional hydrodynamical equations for an isothermal cloud also exist [Shu77]. v = 0 and α = 2x −2 . t) = 3 vs t m(x).60) and (15. The ﬁrst. can be discarded as unphysical because it implies a static mass distribution M(r.64) Inserting these expression for u. The second. By deﬁnition.

Of course. When A 2. When t → 0 ⇒ x → ∞. for x → ∞. A−2 x They yield. ρ(r. 15.67) v + v 2 /v + 2v /x = 0. corresponding to t → ∞. m 0 = 0.66) one then ﬁnds v = α and from (15. ρ(r. The ﬁnal cloud structure for t → ∞ is.68). t) = 0 M(r.0001 starting with x = 10 (that is large enough) is plotted in ﬁgure 15. 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. Then v goes to zero and (15. therefore.3.492 Stars and their formation 15.71) 3 u(r. the cloud is close to hydrostatic equilibrium and has a structure similar to the envelope of an Ebert–Bonnor sphere. The solution for A = 2.9.3. the solutions are similar.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. the absolute value of the dimensionless velocity |v| 1 and αx|v| 1. the asymptotic solutions α → Ax −2 v→− m → Ax. the cloud is at rest.66) and (15.2 Initial cloud structure Let us consider an infall scenario where initially (t = 0).66) and (15.3. 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) = 2 Avs r. (15.67) become v = α − 2x −2 α = α(α − 2)x −1 . t) = 3 m 0 vs − 1 − 3 t 2r 2 32π 2 G 2 1 1 (15.3 Final cloud conﬁguration There are also analytical expressions for the conﬁguration towards which this cloud evolves as x → 0. for other values of A slightly above two. for A → 2. therefore. We can read from ﬁgure 15.3. . t) = 2 vs A 4π Gr 2 u(r.67) from some large value of x by a Runge–Kutta method down to x = 0 (corresponding to t → ∞). G (15.69) The density falls off like r −2 .9 that for x → 0. if one takes the initial parameters from (15.975. t) = − 2m 0 vs t 2 r − 2 . the singular isothermal sphere with A 2 is often used to outline qualitatively protostellar collapse. As one can sketch the global aspects of its evolution with elementary mathematics. The initial structure (t → 0) of a singular isothermal sphere is. From (15.70) (15. One can integrate (15.

G (15.41) decreases as ρ −1/2 . In the similarity solution. the gas is still at rest. or 1. • For example. x 1 and r = vs t. Because the initial density declines like r −2 and the free-fall time tff of (15. 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. At r = 1014 cm. The density has not changed. only the parameters α and v are required for some value of the variable x ∝ r/vs t. After t = 5 × 1012 s.61). To follow the density and velocity at some ﬁxed radius in time. With the help of ﬁgure 15. all gas interior to r = 1017 cm is collapsing and the mass accreted at the center 1. proportionally to t −1/2r −3/2 .2 km s−1 .0 × 10−15 g cm−3 and equals ∼0. the collapse begins at the center working its way outward.72) 15. so this transition region is moving outwards with the speed of sound. if the total cloud mass is 1 M and vs = 0. the density now changes like r −3/2 and the velocity u(r. G 493 ˙ The accretion rate M. the cloud stretches out to R = 1. one needs a starting model and boundary conditions at the edge and center of the cloud. the density is ρ 5 cm s−1 .3 M . we can delineate the evolution of an initially 2 hydrostatic cloud of density distribution ρ = vs /2π Gr 2 .6 × 105 yr. Inner and outer cloud boundaries are disregarded and should not inﬂuence the evolution of the ﬂow. • • In the envelope. which is the quantity that determines how long the collapse will last. In the core.60) and (15. The density decreases with time and radius.67 × 1017 cm.4 Remarks on the cloud evolution To solve the full equations (15.3.Gravitational collapse At a ﬁxed time. t) = − 2G M∗ (t)/r is the free-fall velocity towards the central mass M∗ (t) = 3 m 0 vs t.3. for x < 1. is time-independent and given in the self–similarity analysis by 3 m 0 vs ˙ M = 4πr 2 ρu = .71). 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. At the interface between free-falling core and static envelope. ρ is still proportional to r −2 . it does not yet know that the inner regions are collapsing.9. from (15. for x > 1. the velocity u −9 × 10 .

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

77) .10. the middle one has a different angular velocity ω = ω0 . the dissipation rate per cm3 of gas. in complete analogy to (15. C3 exerts on C2 the torque τ (r ) = νρr dω 2πr hr dr (15. D = τ ω/4πr hb or (15. C2 . Because the work expended per second equals τ ω after (11.75). In the marginally modiﬁed experiment of ﬁgure 15. The thin layers between the cylinders are ﬁlled with liquid or gas. the kinematic viscosity ν is 15 times larger but the density ρ is 830 times smaller. we get. It equals force per unit area multiplied by area and by radius. one needs a force F after (15. the angular velocities of the cylinders C1 . from everyday’s life. water has ν = 10−2 cm2 s−1 and ρ = 1 g cm−3 . dr Let us denote the derivative with respect to r by a prime and with respect to time by a dot.11). at 20 ◦ C.Disks 495 y u 2b x Figure 15. The inner and outer cylinder are corotating.76) D(r ) = νρ(r ω )2 ≥ 0. C3 decrease with radius. for air. For example.12. A torque τ then has to be applied to the middle cylinder in order to sustain the motion.4). τ = νρr dω 4πr hr. Again the molecules are at rest at the cylinder walls and there is a shear ﬂow in between.74). A rotational analog of this system consists of three coaxial cylinders of height h (ﬁgure 15. To move a sheet at a constant speed through a viscous ﬂuid.

as in a disk with Keplerian rotation.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. But for a change of sign. Therefore. When we remove C2 in the experiment. if the middle cylinder C2 has a thickness r . the gas that ﬁlls its place is subjected to exactly the same torque. A viscous ﬂuid is trapped between three closely spaced cylinders.11 but now the angular velocity ω decreases monotonically outward. this is equal to the torque of C2 on C3 which tries to accelerate C3 . . 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. it feels the net torque τ r .11. the one in the middle has ω = ω0 . the inner and outer one are corotating at angular velocity ω0 . Like ﬁgure 15.12. ω −d ω trying to retard it. The net torque on a gas ring of 1 cm width is dτ/dr . The same considerations apply to C1 and C2 .

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.43)).78) The torque τ (r ) is from (15. When we divide this term by 2πr so that it refers to the unit length of the circumference. Such a force is not conservative and cannot be derived from a potential. ϕ. becomes ˙ 1 ∂ ∂ + (r vr ) = 0 ∂t r ∂r where the velocity has the components v = (vr . vϕ = ωr. We use cylindrical coordinates (r.79) (15. the correct equation of motion is 1 Fvisc ∂v + (v · grad)v = − grad P − grad φ + .4. therefore. that 1 ∂ ∂ =− ∂t 2πr ∂r τ (r 2 ω) . It is then formally similar to (15.78).78) but for the creation term dτ/dr due to the torque. It contains a time derivative on the left-hand side and a second-order space derivative on the right.79) and assuming that ω is time-independent yields r vr · (r 2 ω) = τ /2π from which it follows. ∂t r ∂r 2πr dr (15. The latter is positive when matter streams inwards. For a viscous ﬂuid. We can immediately work out the radial gas velocity vr = and the radial mass ﬂow τ 2πr (r 2 ω) ˙ M(r ) = −2πr vr .42) must be generalized to include the viscous force per cm3 . vz = 0) vϕ is the Kepler velocity. The equation of mass continuity.Disks 15.80) This is the general formula for the evolution of the surface density. a diffusion equation. it is. Fvisc . ∂t ρ ρ We now write it in a way that it directly expresses the conservation of angular momentum r 2 ω. Signiﬁcant changes in the structure of the disk occur over a diffusion timescale tdif . If we put in a . again with the help of (15. z) and assume that the disk parameters do not depend on z or ϕ.78) and (15. The momentum equation (15.77). ρ + div ρv = 0 (see (15. we get 1 ∂ 1 dτ ∂ ( r 2 ω) + (r vr r 2 ω) = . Combining (15. (15.

81) The disk structure in the z-direction can be determined assuming that the gas is isothermal and in hydrostatic pressure equilibrium.3 The Kepler disk In a thin disk gravitationally dominated by a central mass M∗ . One ﬁnds (r 2 ω) = 1 r ω and τ /(r 2 ω) = −3π[ν + 2r (ν ) ]. matter moves in Keplerian orbits. z G M∗ 1 ∂P . (15. ω(r ) = j (r ) = G M∗ r −3/2 G M∗ r 1/2 = r 2 ω.498 Stars and their formation ˙ dimensional analysis X ∼ X/t and X ∼ X/r . where X denotes some variable. from the earlier expression for vr or from equation (15. vr ν Without viscosity. is then balanced by the pressure gradient ∂ P/∂z.83) = gz = − 2 r r ρ ∂z 2 Because P = ρkT /m = ρvs . gz .82) (15. that tdif = r r2 ∼ . The vertical component of the gravitational acceleration.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 ). one ﬁnds ω2 ∂ρ = −ρz 2 ∂z vs and this differential equation is satisﬁed by a vertical Gaussian density proﬁle. ∂r (15. the surface density would stay constant forever. when radial pressure gradients are absent. The angular velocity ω decreases outwards while the speciﬁc angular momentum j increases. the diffusion equation (15. = 2 G M∗ m vϕ (15.85) .84) 2 vs r 2 kT r 3 . 15. we ﬁnd. ρ = ρ0 exp − with h2 = z 2 ω2 2 2vs = ρ0 e−z 2 /2h 2 (15. With these 2 two expressions.4.80).

and inew the new value a small time step τ later. 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). r2 .86) vϕ = G M∗ /r = vs h 15. (r ) = exp − (r − r0 )2 /σ 2 and (r0 ) = 1. At later times. we choose ν = r (units are not important in this section). the spike will broaden and we want to see in detail how. In a radial mesh r1 . functions of the distance r . Let i denote the known value of the surface density at grid point i and time t. one needs (at least) three grid points to express a second-order derivative and two for a ﬁrst-order derivative. 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. Equation (15. the radial velocity vr is zero. . √ Here we have used the Kepler velocity vϕ = G M∗ /r. At the disk edge (r = R). Let the surface density of the starting model (t = 0) have a bell-shaped spike centered at radius r0 = 1 of width σ = 0.4 Why a star accretes from a disk Let us follow the time evolution of a viscous Kepler disk according to the diffusion equation (15. h r . √ 2r vs . or ν r 1/2 = constant (see (15. For the viscosity coefﬁcient.25) for a sphere). (15. So initially. All variables in the resulting difference equation for (15.85) has the interesting consequence that when the disk is thin. the Kepler velocity must be highly supersonic. We rewrite it as ˙ = 3(ν + 2ν + ν ) + 9(ν + ν )/2r translate it into a difference equation and solve it numerically. r N with spacings r = ri − ri−1 . the surface density is ﬂat or ∂ /∂r = 0 (see the analog (15. This corresponds to a solid conﬁnement but . At the disk center (r = 0).92)). The derivatives of ν are written accordingly.Disks 499 h measures the disk thickness and is independent of the surface density. The temperature and isothermal sound speed vs are.81). .81) refer to the old model. except for the term of the time derivative ˙ . For comparison.1. .4. of course.82)). . 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 .

01. so their tops are cut off. For t = 0. Without this separation into low and high angular momentum gas. There is mass inﬂux towards the central gravitating mass for r < r0 . 2πr j . Curves are shown for time t = 0. not shown in the ﬁgure. Because of the viscous forces. the spike ﬂattens and broadens. the maximum values of the central spikes are all one. Note how mass and angular momentum separate during the evolution. a star or a black hole could not accrete matter from a disk. whereas farther out. the gas streams away from the center. The angular momentum dissipates outwards and the mass diffuses inwards while the total mass and angular momentum stay constant. At time t = 0.13 displays the numerical results for the evolution of the surface density. corresponding to = 0 and vr = 0. it has no inﬂuence on the early disk evolution. The full curves in the left frame are plots of 2πr indicating how much mass is contained in a ring of unit width.13.82) (not shown) is roughly proportional to (r − r0 ). almost all mass has accreted on . respectively. The dotted curves give the angular momentum. The right panel displays the surface density . 1 = 2 and N = N−1 (ν N−1 /ν N )(r N−1 /r N )1/2 . 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. In the end. 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. dots and solid line practically coincide.04. therefore. 0. The inner and outer boundary condition are. 0. as we assume the edge to be far out (R = 5). The spreading of a mass spike in a Kepler disk due to internal friction after equation (15. in these rings.500 Stars and their formation Figure 15.81). The radial velocity vr of (15. The right box of ﬁgure 15.

it loses much of its instructiveness. We can determine the constant C in (15. at the point where the ﬁrst derivative ω vanishes. However. the increase cannot continue up to the stellar surface because the star rotates quite slowly. therefore. one works out that ν= 1 3 −1 for R∗ r. at least.Disks 501 the star and almost all angular momentum has been transported to large radii. the angular velocity ω increases inwards like G M∗ /r 3 . At the position where ω = 0.78) the time derivative ˙ ∂/∂t to zero implies that the accretion ﬂow M = −2πr vr does not depend on space or time.1 The viscosity coefﬁcient So far. T Tauri stars do. the viscosity must be inversely proportional to the surface density.79) gives r 3 ωvr = r 3 ν ω + C. equation (15. We did not discuss the physical processes involved or how the kinematic viscosity coefﬁcent ν depends on the parameters of the gas. the analytical solution is superior to the numerical results in showing the asymptotic behavior of the disk for t → ∞.5 The stationary accretion disk When the gas ﬂow is steady. In an ideal gas at temperature T .87) if we assume that ω is abruptly reduced in a thin layer immediately above the stellar surface and that in this layer. 15.87) becomes = ν −1 ˙ M 3π 1− R∗ . The reason for viscosity in a gas ﬂow with a velocity gradient is the exchange of momentum perpendicular to the ﬂow direction.4.4. Setting in the equation of mass conservation (15. (15.81) offers an analytical solution [Lyn74].4. r (15. Integration of the momentum equation (15.89) . one can readily derive the structure and luminosity of the disk.88) ˙ The mass inﬂow rate M together with the viscosity ν determine the surface density (r ). we have described internal friction only phenomenologically. equation (15. 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 The α-disk 15. where the atoms have a mean velocity u and free path .6. When the viscosity is a function of radius. But because the mathematics are involved. ν∝ 15. (15. one √ ˙ ﬁnds C = M G M∗ R∗ /2π and. However. It also follows that at distances comfortably greater than the stellar radius. u .

91) where α is a fudge factor introduced to express the inherent uncertainty. the viscosity is greatly enhanced.81) of a Kepler disk. It is reasonable to use. Turbulence means that superimposed on the average ﬂow there are violent chaotic motions on all scales capable of very effectively exchanging momentum. (r ) ∝ r −3/4 .502 Stars and their formation √ Because in a Maxwellian velocity distribution u ∝ T and because grows only weakly with T . With vs ∝ T ∝ r −3/4 and equation (15. The largest eddies determine the character of the ﬂow. If they are in hydrostatic equilibrium in the vertical direction. For hydrogen molecules. for the size of the largest eddies. We will not prove formula (15. Disks with ν in the form of (15.90) The product νρ. But our previous analysis on internal friction applies to laminar ﬂows.89).4.92) Although this expression is too nice to be true. one expects for an ideal gas something like ν ∝ √ T .93) which contains the linear dimension of the object. the more momentum they transfer and the stronger the friction. which appears in the basic equation (15. one writes the viscosity coefﬁcient ν = αvs h (α ≤ 1) (15. the free path length is = (nσ )−1 .01 would not lead to a riot among astronomers. (15. 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. one realizes that the deeper the atoms penetrate from one layer into the next and the faster they move. (15. it gives some handle on the surface 2 density .2 The Reynolds number To answer the question whether there is turbulence or not.6.85) so that for a turbulent Kepler disk the viscosity is 2 ν = αvs r 3 /G M∗ . In analogy to (15.89) but it is qualitatively understandable. is thus independent of the density ρ (the surface density equals ρ multiplieed by the disk height h). the disk height h and for their velocity the sound speed vs . 15. Looking at the ﬂow depicted in ﬁgure 15.10.88).91) are called α-disks [Sha73]. one can substitute h from (15. one turns to the Reynolds number deﬁned as Lv . supersonic motions would be quickly damped in shocks. This becomes evident from the Reynolds number (15. one ﬁnds for the same power law decline as for the temperature. (15.93) Re = ν . When the gas is turbulent. Proposing α ∼ 0. If n is the number density of the particles and σ their collisional cross section.

94) To obtain the total disk luminosity L disk. the heat generated in the optically thick disk by internal friction is lost radiatively from its surface. the effective temperature Tvisc follows from F(r ) = π 4 Bν (Tvisc) dν = σ Tvisc(r ). The answer to this apparent contradiction follows from the analysis of the ﬂow equation of an incompressible ﬂuid. we must integrate over both sides of the disk. the ﬂow around objects is laminar when Re < 10.88) yields F(r ) = 1 ν (r ω )2 = 2 ˙ 3 G M∗ M 1− 3 8π r R∗ . and with the size of the object (a big body disturbs the ﬂow more effectively). (15. These numbers give some rough general guidance.7 Disk heating by viscosity In a steady state. it is. There. very large Reynolds numbers seem to be required. which should mean little momentum exchange between neighboring stream lines yields a high Reynolds number and thus implies turbulence. F(r ) = ˙ 3G M∗ M/8πr 3 and Tvisc ∝ r −3/4 .95) L disk = 2 2R∗ R∗ ˙ L disk depends on the mass and radius of the star and on the accretion rate M. At large distances. Let F(r ) denote the outward ﬂux at radius r on one side of the disk surface. r (15. if the disk is permeated by a magnetic ﬁeld. however. To guarantee an effective outward transport of angular momentum in an accretion disk. turbulent when Re > 105 . twisting of the ﬁeld lines in the rotating plasma.Disks 503 L is the dimension of the system and v the speed of the ﬂuid. The Reynolds number (15. In laboratory experiments. With respect to the last point. the smallness of ν is more than compensated by a large second-order gradient in the vorticity rot v. 15.80). ∞ ˙ G M∗ M 2πr F(r ) dr = . (15. ˙ The viscosity does not appear but is hidden in M. puzzling that a small viscosity. Possible ways to achieve them are convection in the disk or.76) using (15. Local balance with the frictional dissipation rate of (15. For a blackbody surface.97) . in the term containing the viscosity.4.96) Here σ is the radiation constant of (5.93) increases with velocity (a strong wind whirls up more dust). and also when the viscosity decreases (water is more likely to be turbulent than honey). and the critical range is Re ∼ 3000. A disk with a ﬁnite radius Rout has the total monochromatic luminosity L ν = 4π 2 Rout R∗ r Bν (Tvisc (r )) dr (15.

e. 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 . The other half is stored in rotational energy.95) corresponds to only half the potential energy that was available when matter was at inﬁnity.Stars and their formation √ 4 ˙ with Tvisc(r ) = 3G M∗ M[1 − R∗ /r]/8πσ r 3 . the power 1 ˙ 2 2 Mvϕ = ˙ G M∗ M 2R∗ (15. velocities along the line of sight. An estimate of the sprectrum is obtained by assuming blackbody emission of temperature TUV and 4 putting L UV = Aσ TUV.4. one has to apply an obvious cosine correction. If the disk extends to the star. when the disk is inclined. he receives the ﬂux L ν /2π D 2 .7. An observer sees. 504 15. 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. In the case where the gas rotates in a disk all the way to the star. Alternatively. where magnetic and kinetic energy are about equal. . i. it is difﬁcult to produce such large radial velocities. the disk may be prevented from reaching the star by magnetic forces of the stellar magnetic ﬁeld. of course. If he views it face-on from a distance D. Examples of disk spectra are presented in chapter 16. As the energy is released over an area A small compared to the stellar surface. only one side of the disk. The result is again a hot continuum.1 The UV excess of T Tauri stars L disk in (15. it will lead to hot UV continuum radiation of luminosity L UV . At a distance of a few stellar radii.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 infrared luminosity or an estimate of the dust temperature.Chapter 16 Emission from young stars We have learnt to compute how dust grains absorb and scatter light and how they emit. To solve such a task. The hydrogen density n H equals 4 × 106 cm−3 505 . jet or radiation pressure. For this purpose.2 × 1017 cm. it disturbs the interstellar medium in its vicinity through its wind. Most of the spectra here are merely sketches.1 The earliest stages of star formation 16. 16.6 M at a distance of 200 pc with diameter of 2r = 1. When a star is born in a molecular cloud. They have masses of ∼10 M and appear as dark spots on photographic plates. star formation is a contagious process. one constructs models that are supposed to resemble the source and varies the model parameters until agreement between theory and observation is achieved. we apply our faculties to astronomical examples relating to star formation. a senior scientist needs a good student (the reverse is not true). 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). 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. In this ﬁnal chapter. for the purpose of illustrating the magnitude of the emission.1.1 Globules Usually. too. in an obvious fashion. Fitting an extensive observational data set is laborious and requires occasional intuition. These are cloudlets that have been stripped off from larger complexes. Let us consider a spherical globule of 2. 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. The isolated birth of a star is a rare event but it can happen in globules. Its infrared continuum spectrum yields not only. and then neighboring clumps are pushed beyond the brink of gravitational stability.

4. the overall visual optical thickness through the cloud center amounts to 282 mag. 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). at a distance of 1. and a very soft one of spectral shape ν 2 Bν (T = 20 K) that mimics the ubiquitous far infrared radiation.19) and (15. 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. Without vsg and PAHs. they absorb some 20–30% of the UV light and their excitation therefore radically changes the infrared appearance of the source. The globule in ﬁgure 16. the globule would only be detectable in the far infrared and beyond. when integrated over frequency. it is ﬁt by a modiﬁed Planck curve (section 5. Its emission has a broad maximum around 250 µm.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. ext We compute the radiative transfer for an external radiation ﬁeld Jν that is. 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). Without them. at the brink of gravitational stability.1 appears observationally ﬁrst of all as a very cold submillimeter source. The presence of the PAHs has the further interesting consequence that it leads to important heating of the interior by mid infrared photons. Although the tiny grains account for only a few percent of the total dust mass.2.1.5.2 Isothermal gravitationally-bound clumps A homogenous spherical cloud of mass M and temperature T has. The millimeter spectrum comes from the coldest dust. 16. Most noticeable are the PAH features (section 12.5 pc from a ext B3V star). 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. Such excursions in the radiative intensity can produce remarkable effects and occur when the globule is near a star (for example. 5kT . 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. Using the standard dust model described in section 12. from (15. four times stronger than the ISRF of ﬁgure 8. so the globule is very opaque. 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.20) a radius R G Mm . the core would be extremely cold (Td 5 K).3) of only 7 K.4.

the clump subtends a solid angle = and an observer receives the ﬂux Sν = • Bν (T ) · [1 − e−τν ]. the dotted curve the emission from dust at 7 K. 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.1. M K ν Bν (T ) D2 (16. The broken curve gives the ﬂux when PAHs and vsg are absent.The earliest stages of star formation 507 Figure 16.2. See text for further explanation. 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. Dust emission of a globule irradiated by a UV ﬁeld that is four times stronger than the ISRF of ﬁgure 8.1) π R2 D2 If the clump is tranparent (τν → 0). 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. Sν = .

Sν ∝ M 2 .10).1) emitted by dust from a gravitationally bound.1 The density structure of a protostar In sections 15. homogeneous and isothermal clump at 100 and 350 µm. is given by (16. The ﬂux Sν from (16. and a far infrared dust absorption coefﬁcient according to (14. The break in the slope of the ﬂux Sν where the dependence on mass M changes from linear to quadratic occurs at τν ∼ 1. However. • if it is opaque (τν → ∞). the ﬂux is simply proportional to the cloud mass. Sν . It is named HH108MMS and its surroundings .2 The collapse phase 16. D2 Cold clumps are best detected by their submillimeter dust emission. which happens at λ = 100 µm for small masses. corresponding to a normal mixture of H2 molecules and helium atoms. when τν is large. Sν is shown as a function of cloud mass and for three dust temperatures (full curves).3. 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 12.1). We now discuss a protostar where it is possible to verify the theoretical predictions by direct measurement of the dust absorption [Sie00]. 16.3.2 for various temperatures and wavelengths as a function of clump mass M assuming a source distance D = 200 pc.3. Sν = π R 2 · Bν (T ) . a mean molecular mass m = 2.2 and 15.34m H. The source is at a distance of 200 pc.508 Emission from young stars Figure 16. we derived the density distribution of a protostellar cloud under the assumption of spherical symmetry.2. which is always true at 850 µm or longer wavelengths. It is plotted in ﬁgure 16. When the optical depth is below one. Their ﬂux.2.54).

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

therefore. respectively. The geometrical conﬁguration for our analysis is drawn in ﬁgure 16. The dust opacity appropriate for cold clumps is depicted by the upper full curve of ﬁgure 12. If it is a sphere of radius R . an embryo star has therefore not yet formed and the accretion phase not yet begun.10. Towards the position of maximum obscuration. It emits zodiacal light of intensity Iz and is. The far and near side of the molecular cloud with temperatures T1 and T3 and optical depths τ1 and τ3 . 3). To ﬁnd the optical depth τ2 across the protostar. at a position next to the absorbing core. one can derive the density structure in the protostellar core.2) yields the desired expression for the optical depth in the core as a function of position. equation (16.3 mm ﬂux towards that position yields for the central beam an average optical depth τ1. Ib = Iz + I0 e−τcl . Inserting I0 e−τcl into (16. The interplanetary dust of the solar system.2) Is − Ib = I0 e−τcl · [e−τ2 − 1]. Four regions contribute to the observed 14 µm ﬂux: • • • • The background of intensity I0 . 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. HH108MMS is embedded in a molecular cloud and viewed from Earth through the veil of zodiacal light of the solar system.1. The optical depth τ2. From τ2 . therefore. from the variation of the surface brightness over the source.510 Emission from young stars No far infrared luminosity is detectable from HH108MMS. max . of order 10 and well above unity. Is and Ib are known from observations. max ) . be written as Is = Iz + I0 e−(τcl +τ2 ) . The absorbing core (protostar) of optical depth τ2 and temperature T2 . the optical depth and the density proﬁle in the source. The 1. We put τcl = τ1 + τ3 . i = 1.max is.4.1 suggests that this radiation is due to emission by PAHs and vsg heated in the surface layer on the backside of the molecular cloud. less reliable.2) can. be approximated by I0 e−τcl = Ib − Is. are less direct and. (16.max and the corresponding intensity by Is. therefore.3mm ∼ 10−2 (see (8. Alternative methods to obtain a density proﬁle.5 for two perpendicular cuts. HH108MMS appears at 14 µm in absorption against the diffuse background and this offers the opportunity to derive. in fact. Our globular model in section 16.3mm ∼ 1000.19)). this gives K 14 µm /K 1.max . The intensity in the direction of the absorbing core (source) can. 2. and towards the background. As the zodiacal light is constant on scales of a few arcsec. one gets (16. by far the strongest contributor to the 14 µm ﬂux. by observing millimeter dust emission or certain molecular lines. let us denote the maximum value of τ2 by τ2. τ2 = − ln 1 − (Ib − Is )/(Ib − Is.3) τ2 is plotted in ﬁgure 16. therefore.

in the absence of rotation and magnetic ﬁelds.1 . I0 is the intensity behind the Serperns cloud. Reproduced from [Sie00] with permission of EDP Sciences.5 and −1.6) corresponding to a visual extinction of 200 mag.3 predicts for the early evolution. Good ﬁts are obtained for ρ(r ) ∝ r −1. at least. The variation of the optical depth and the best ﬁt density distributions are shown in ﬁgure 16. a density proﬁle ρ ∝ r −2 in the outer envelope. and a less steep distribution ρ ∝ r −3/2 in the inner part. The dynamical calculation for a low-mass protostar in ﬁgure 15.8 [Bas95]. The self–similarity solution of gravitational collapse in section 15. 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 . For ﬁnding the exponent α. So the observational results for HH108MMS conﬁrm the theoretical predictions.4. 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 .6. In more sophisticated models. .8±0. The intensity towards the source (protostar HH108MMS) and the background is denoted Is and Ib . when magnetic ﬁelds and rotation are included.The collapse phase interplanetary dust 511 Is Ib Figure 16. A sketch of how HH108MMS is embedded into a larger molecular cloud. respectively.8 gives similar results.3. up to an optical thickness at 14 µm of 4 (see ﬁgure 16. Temperature and optical depth in the various regions are indicated. the product Kρ0 is irrelevant.

The full curves show the theoretical variation of the optical depth in a spherical cloud with a power-law density distribution. a deviation by only 0. Reproduced from [Sie00] with permission of EDP Sciences.8.5.512 Emission from young stars Figure 16. The protostar is at offset zero. The exponent α is close to 1. IRAS18331–0035 at offset +70 . For the major axis. The top frame gives the difference between the ﬂux towards the protostar HH1108MMS and the background in a cut along the major axis. Reproduced from [Sie00] with permission of EDP Sciences. as in ﬁgure 16.2 from this value would imply an unacceptable ﬁt.5 but now on a logarithmic scale. The bottom frame shows the optical depth derived from (16. .3). Figure 16. Optical depth proﬁles (diamonds) of HH108MMS. ρ ∝ r −α .6.

At stage 1. Rin .1) and later from hydrogen burning take over. During the collapse.38) of an Ebert–Bonnor sphere.3. L shock. 0. is about one solar mass.7 shows models at ﬁve evolutionary stages. During the main accretion period (stage 2 and 3). one may set Rin equal to the radius of the solar planetary system (40 AU). In the example of ﬁgure 16. 1. The disk emission would then have to be evaluated separately (section 16.019. L shock is 30 L and fairly constant over one free-fall time [Win80].2. we put Rin = 2 × 1013 cm and neglect the disk. the protostar approaches the main sequence from above.0018 M . It drops later to 3 L (stage 4) and 2 L (stage 5) in the T Tauri phase. including the embryo star.3) and added. the visual optical depth from the center to the cloud edge as well as the clump mass (without the embryo star) decline.2.7.The collapse phase 16.7. 1. The spectra have the following qualitative features as they change in time.3 × 1017 cm is determined by the critical radius (15.70)).2 and 20 µm. Its value. we plot ν Fν instead of the observed ﬂux Fν . for a source distance of 150 pc. a protosun. 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 15.2. ν2 ] of the same length. Or one may use the centrifugal radius rcenfug of (15.73) for rcenfug are very rough. The spectral index α between 2. The density ρ changes in the protostellar envelope like ρ ∝ r −3/2 (see (15. As the numbers extracted from equation (15. ν2 ] and [ν1 . −0. is given by (15. the values 12. 11. the luminosity is much higher (L = 30 L ). . equal areas under the curve ν Fν imply equal spectral luminosities over these frequency intervals. i. 57. the outer cloud radius Rout = 1. in a consistent fashion.2 Dust emission from a solar-type protostar 513 We compute the dust emission from a single low-mass protostar.7. One can thus directly compare the energy emission from different spectral regions.1 mag and Mcloud = 0. The curves labeled 1 to 5 follow a time sequence. 0. the accretion phase starts and the luminosity is still low (L = 1 L ). 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. for curve 1–5. at roughly constant color B − V.4. 0.73) assuming that inside this radius gas and dust are strongly ﬂattened into a disk. 0.4) has. which would imply a value less than 1 AU. There are various ways to ﬁx Rin in the model. which is used in the classiﬁcation of protostars (section 7. to the ﬂux from the spherical cloud.2. In the early phase of collapse.e. 0. One may equal it to the evaporation temperature of dust. the corresponding values are AV = 560. They suggest that for a clump of initially one solar mass. In the Hertzsprung–Russell diagram. Figure 16.93.63) and (15.093. The total cloud optical depth thus depends foremost on the inner cloud radius. 12. 560. We opt for a value in between. This has the advantage that for any two logarithmic frequency intervals [ν1 .72) but one needs hydrodynamic calculations to relate M∗ to R∗ . ν1 /ν2 = ν1 /ν2 . The total cloud mass.93. In the particular presentation of ﬁgure 16.

There is a strong 10 µm silicate absorption feature but a near infrared counterpart of the embryo star is not yet detectable. The protostar appears ﬁrst as a submillimeter source. one expects an accretion disk around the embryo star whose structure and emission have not been clariﬁed.0 and 20 µm which are the wavelengths used for computing the spectral index α introduced in section 7. In the course of the early protostellar evolution.2. . The spectral energy distribution of a protostellar cloud of 1 M at ﬁve consecutive evolutionary stages. Second. the maximum of the emission shifts towards shorter but still far infrared wavelengths.7. the output must not be taken too literally. all dust models give similar curves. Third. the emission increases rapidly in the near infrared. Finally. the radiative transfer is calculated consistently together with the multi-dimensional hydrodynamic evolution. the dust properties are not crucial. in state-of-theart models. Interestingly. because of the simplicity of the one-dimensional code. First.514 Emission from young stars Figure 16. except for the outer cloud envelope where the grains may be icy and ﬂuffy.4. numbered 1 to 5. In the advanced phases. the silicate absorption disappears and the star becomes visible optically.3. The models are described in the text. a real cloud is more complicated. The curves are marked by squares at 2. Although the computer was busy for a few minutes to obtain the spectral energy distributions of ﬁgure 16.7. 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. it is asymmetric due to rotation and the presence of magnetic ﬁelds which makes the observed spectrum dependent on the viewing angle. 5.

9 and 16. a ρ ∝ r −3/2 density dependence and an infall velocity u = 5. The structure of a spherically symmetric.2 km s−1 . the temperature will decrease away from the star because the cloud has an internal energy source. As interstellar dust does not supply us with velocity information. the collapse cannot be identiﬁed with certainty. 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. We choose a kinetic gas temperature Tkin = 17 K. This leads to the signature of infall: an asymmetric proﬁle where the blue peak is stronger than the red one. infall betrays itself by distinctive features in the proﬁles. The isovelocity curves with respect to the Doppler shift toward the Sun are displayed in ﬁgure 16.3 Kinematics of protostellar collapse 515 The search for a protostar has occupied observing astronomers for decades. If the line is optically thick. Along a line of sight. a speciﬁc transition of a particular molecule with which one can probe the conditions in the gas. assuming a constant turbulent linewidth of 0.2.5 × 1012r −1/2 cm s−1 (which implies an embryo star mass M of 0. To illustrate what the lines might look like. emission from position 1 (3) interacts with the gas at position 2 (4) because the radial velocities at the two points are equal. as for rare isotopic species. be hotter than point 1 (4). It may continue to do so for many more to come because there is no exact deﬁnition what a protostar is. one has for each physical domain. Ideally. one receives red-shifted emission only from the cold position 4 because emission from the warm gas at 3 is absorbed. When the observed lines are analysed in a radiative transfer model. in the study of a protostellar clump. we have to turn to atomic or molecular lines. The cloud is then isothermal.The collapse phase 16. It is important to note that although Tkin is constant in our model. however.10 model calculations for the early phase of protostellar collapse.65 M . the proﬁles will be symmetric because of the symmetric conﬁguration in the near and far side of the cloud. before the release of gravitational energy in a shock front. we present in ﬁgure 16. The clump has a radius R = 1017 cm and its total gas mass (without the embryo star) equals 0. the . therefore. The computations are performed in the microturbulent approximation described in section 13. This is a healthy reminder that even dust is not everything. The observations are carried out with high spatial resolution so that one can resolve the cloud structure. characterized by a certain interval of temperature and density. If the line. collapsing protostellar cloud was sketched in section 15. The term is applied loosely to anything at the verge of gravitational stability to the stage when it becomes optically visible. Point 2 (3) will.3: the gas density decreases with radius r like a r −3/2 and the infall velocity v goes with r −1/2 . The source is mapped in various transitions of several such molecules to cover the full physical range encountered in the cloud.11 M if one puts u 2 = 2G M/r ).3.5. and likewise blue-shifted emission is detected only from the warm position 2. After an embryo star