2002 - The Sun and Space Weather - HANSLMEIER

THE SUN AND SPACE WEATHER
ASTROPHYSICS AND
SPACE SCIENCE LIBRARY
VOLUME 277
EDITORIAL BOARD
Chairman
W.B. BURTON, National Radio Astronomy Observatory, Charlottesville, Virginia, U.S.A.
(burton@starband.net); University of Leiden, The Netherlands (burton@strw.leidenuniv.nl)
Executive Committee
J. M. E. KUIJPERS, Faculty of Science, Nijmegen, The Netherlands
E. P. J. VAN DEN HEUVEL, Astronomical Institute, University of Amsterdam,
The Netherlands
H. VAN DER LAAN, Astronomical Institute, University of Utrecht,
The Netherlands
MEMBERS
I. APPENZELLER, Landessternwarte Heidelberg-Königstuhl, Germany
J. N. BAHCALL, The Institute for Advanced Study, Princeton, U.S.A.
F. BERTOLA, Universitá di Padova, Italy
J. P. CASSINELLI, University of Wisconsin, Madison, U.S.A.
C. J. CESARSKY, Centre d’Etudes de Saclay, Gif-sur-Yvette Cedex, France
O. ENGVOLD, Institute of Theoretical Astrophysics, University of Oslo, Norway
R. McCRAY, University of Colorado, JILA, Boulder, U.S.A.
P. G. MURDIN, Institute of Astronomy, Cambridge, U.K.
F. PACINI, Istituto Astronomia Arcetri, Firenze, Italy
V. RADHAKRISHNAN, Raman Research Institute, Bangalore, India
K. SATO, School of Science, The University of Tokyo, Japan
F. H. SHU, University of California, Berkeley, U.S.A.
B. V. SOMOV, Astronomical Institute, Moscow State University, Russia
R. A. SUNYAEV, Space Research Institute, Moscow, Russia
Y. TANAKA, Institute of Space & Astronautical Science, Kanagawa, Japan
S. TREMAINE, CITA, Princeton University, U.S.A.
N. O. WEISS, University of Cambridge, U.K.
THE SUN AND
SPACE WEATHER
by
ARNOLD HANSLMEIER
Institute for Geophysics,
Astrophysics and Meteorology,
University of Graz, Austria
KLUWER ACADEMIC PUBLISHERS

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Print ISBN: 1-4020-0684-5
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Erratum to ISBN 1-4020-0684-5
Dear Reader,
Kluwer Academic Publishers is the proud publisher of ASSL Volume 277 “The Sun
and Space Weather” written by Prof. Arnold Hanslmeier of the University of Graz.
However, we must point out that a number of important references and acknowledgements
to work done by the Australian Space Weather Agency, IPS Radio and Space Services
were not included.
In particular:
1) Figures 9.5 and 9.6 are courtesy of IPS Radio and Space Services.
2) The atmospheric model (for orbital decay) in Section 9.2.7 has been developed
by IPS Principal Physicist John Kennewell.
3) The IPS Radio and Space Services Web site www.ips.gov.au should have been
listed in Section 13.2 as an important resource for information. Sections 9.2.4 to
9.2.7 present information that was taken from the educational section of this
Web site.
With sincere apologies for the unfortunate mistake.
Dr. Harry (J. J.) Blom

Publishing Editor for Astronomy,
Kluwer Academic Publishers
E-mail: harry.blom@wkap.nl
Contents
1 Introduction, What is Space Weather? 1
2 The Sun as a Star 3

2.1 The Sun and the Galaxy 3
2.1.1 Properties of Stars 4
2.1.2 Stellar Spectra, the Hertzsprung-Russell-Diagram 5
2.1.3 Basic Properties of the Sun 9
2.2 Solar Structure 10
2.2.1 Hydrostatic Equilibrium 10
2.2.2 Basic Equations 12
2.2.3 Energy Generation in the Sun 12
2.2.4 Convection Zone 13
2.3 Model: Internal Structure of the Sun 14
3 Observing the Sun 17

3.1 General Remarks 17
3.2 Examples of Telescopes 17
3.3 SOHO 18
3.4 Solar Polarimetry 20
3.5 Solar Radio Astronomy 23
4 Phenomenology of Solar Active Regions 25
4.1 Introduction 25
4.2 Phenomena in the Solar Photosphere 26
4.2.1 Radiation Transport 26
4.2.2 Granulation 27
4.2.3 Five Minutes Oscillations 32
4.2.4 Sunspots 33
4.2.5 Photospheric Faculae 41
4.3 The Chromosphere 42
4.3.1 Radiative Transfer in the Chromosphere 43
4.3.2 Chromospheric Heating 48
4.3.3 Chromospheric Network, Supergranulation 50
4.3.4 Solar Flares 51
4.3.5 Classification of Solar Flares 51
V
VI CONTENTS
4.3.6 Where do Flares Occur? 54

4.3.7 Prominences 55
4.4 The Corona 56
4.5 The Solar Wind 58
4.5.1 High Speed Solar Wind 62
4.5.2 Other Diagnostics for the Solar Wind 62
4.6 Heating of the Corona 64
4.7 Variations of the Solar Diameter 65
4.7.1 Satellite Measurements 66
4.7.2 Measurements with an Astrolabe 67
4.7.3 Other Semi Diameter Variations 68
5 Testing the Solar Interior 69

5.1 Neutrinos 69
5.1.1 General Properties 69
5.1.2 Solar Neutrinos 70
5.1.3 Solar Neutrino Detectors 70
5.1.4 Testing the Standard Solar Model 73
5.1.5 Solution of the Neutrino Problem 74
5.2 Helioseimology-Solar Oscillations 76
5.2.1 Theory of Solar Oscillations 79
5.2.2 Helioseismology and Internal Rotation 82
6 MHD and the Solar Dynamo 87

6.1 Solar Magnetohydrodynamics 87
6.1.1 Basic equations 87
6.1.2 Magnetic Buoyancy 89
6.1.3 Magnetic Flux Freezing 90
6.1.4 The Induction Equation 90
6.1.5 Magnetic Reconnection 92
6.1.6 Fluid Equations 93
6.1.7 Equation of State 93
6.1.8 Structured Magnetic Fields 94
6.1.9 Potential Fields 95
6.1.10 3 D Reconstruction of Active Regions 95
6.1.11 Charged Particles in Magnetic Fields 96
6.1.12 MHD Waves 98
6.1.13 Magnetic Fields and Convection 99
6.2 The Solar Dynamo 100
6.2.1 Basic Dynamo Mechanism 100
6.3 Solar Activity Prediction 107
6.4 Stellar Activity 108
CONTENTS VII
7 The Sun and Climate 111

7.1 The Earth’s Atmosphere 111
7.1.1 Structure of the Atmosphere 111
7.1.2 Composition 113
7.1.3 Paleoclimatology 115
7.1.4 Theory of Milankovich 119
7.1.5 Greenhouseffect 121
7.1.6 Ozone 122
7.1.7 The Structure of the Higher Atmosphere 123
7.2 Earth’s History and Origin of the Atmosphere 125
7.2.1 History of the Earth 125
7.2.2 Origin of the Atmosphere 127
7.3 The Faint Young Sun 128
7.3.1 Introduction 128
7.3.2 The Geochemical Cycle 131
7.3.3 Effects of the Biota 132
7.4 The Atmosphere’s Response to Solar Irradiation 133
7.4.1 Introduction 133
7.4.2 Solar Variability 134
7.4.3 Response of the Earth’s Atmosphere 141
7.4.4 Troposphere 144
7.4.5 Long Term Changes in Solar Irradiance 145
7.4.6 Solar Protons 146
7.5 Cosmic Rays 147
7.5.1 The Heliosphere 148
7.5.2 Cloud, and Cloud Formation Processes 149
7.6 What Causes the Global Warming? 152
8 Space Weather and Radiation Damage 155

8.1 The Early Sun 155
8.1.1 T Tauri stars 155
8.1.2 The Early Sun 156
8.2 Radiation Damage on Living Organisms 156
8.2.1 Definitions 156
8.2.2 Radiation Damage on DNA 158
8.2.3 DNA Repair 159
8.2.4 Radiation Dose Limits for Astronauts 159
8.2.5 Genetic vs. Somatic Effects 160
8.2.6 The Solar Proton Event in August 1972 161
8.3 Solar UV Radiation Damage 161
8.3.1 General Remarks 161
8.3.2 Effects on the Skin 164
8.3.3 Effects on the Eye 165
8.3.4 Immune System 165
8.3.5 UV Index 165
8.4 Spacesuits 166
VIII CONTENTS
8.4.1 The Extravehicular Mobility Unit 166

8.5 Radiation Shielding 167
9 The Ionosphere and Space Weather 169

9.1 General Properties 169
9.1.1 Aurora 171
9.1.2 Geomagnetic indices 174
9.1.3 Solar Indices 176
9.1.4 Navigation Systems 177
9.1.5 Radio Communication 178
9.1.6 Geomagnetically Induced Currents 179
9.1.7 Systems Affected by Solar or Geomagnetic Activity 180
9.2 Satellites 181
9.2.1 Solar Panels 181
9.2.2 Power Sources for Spacecraft 182
9.2.3 Satellite Crashes 185
9.2.4 Electron Damage to Satellites 186
9.2.5 Single Event Upsets 186
9.2.6 Solar Activity and Satellite Lifetimes 188
9.2.7 The Atmospheric Model 189
9.2.8 Further Reading 191
10 The NOAA Space Weather Scales 193

10.1 Geomagnetic Storms 193
10.1.1 G1 193
10.1.2 G2 194
10.1.3 G3 194
10.1.4 G4 195
10.1.5 G5 195
10.2 Solar Radiation Storms 195
10.2.1 S1 195
10.2.2 S2 195
10.2.3 S3 196
10.2.4 S4 196
10.2.5 S5 196
10.3 Scale for Radio Blackouts 196
10.3.1 R1 197
10.3.2 R2 197
10.3.3 R3 197
10.3.4 R4 197
10.3.5 R5 197
10.4 Summary 198
10.5 Space Weather on Mars 198
CONTENTS IX
11 Asteroids, Comets, Meteroites 201

11.1 Asteroids 201
11.1.1 General Properties 201
11.2 Potentially Hazardous Asteroids 202
11.3 Torino Impact Scale 203
11.4 NEOs 204
11.5 The Cretaceous-Tertiary Impact 205
11.6 Meteorites 208
11.6.1 The Leonid Threat 210
12 Space Debris 211

12.1 Reentry of Orbital Debris 213
12.2 Orbital Debris Protection 213
12.3 ESA Space Debris and Meteoroid Model 215
12.4 Detection of Space Debris 216
12.4.1 Radar Measurements 216
12.4.2 Telescopes 218
12.4.3 Catalogues 218
12.4.4 Risk Assessments 218
12.4.5 Shielding 219
12.5 Literature 221
13 Appendix 223
13.1 Bibliography 223
13.2 Internet 236
List of tables 239
List of figures 241
Chapter 1
Introduction, What is Space

Weather?
It is generally accepted that the term space weather refers to the time-variable
conditions in the space environment that may effect space-borne or ground based
technological systems and, in the worst case, endanger human health or life. There-
fore there are social and economic aspects of this type of research: one tries to
avoid consequences of space weather events by system design or efficient warning
and prediction. During the last few years space weather activities have expanded
world-wide.
Space weather affects spacecrafts as well as ground based systems.
The main cause for space weather effects is our Sun. It emits a continuous
stream of particles which is called the solar wind. The solar wind is variable. It is
modulated by the well known 11 year solar activity cycle. Another source of space
weather effects are micrometeorites and other space debris.
Related to the solar activity are important effects on spacecraft such as space-
craft charging (surface charging and deep discharges) and single event effects. The
effects on humans in space are also to be considered (radiation, particles). Space
weather effects also play a role on high altitude/high latitude air-flight; cosmic rays
penetrate to the lower atmosphere and pose problems to humans and electronic
components of modern aeroplanes. Other influences of space weather include radio
wave propagation, satellite-ground communications, global satellite-based naviga-
tion systems, power transmission systems etc. Changes of the solar irradiance may
be one of the causes for climatic changes on the Earth.
Space debris, such as meteoroids, or parts of old satellites must be also be
taken into account and are a permanent threat for space missions.
The book is organized as follows. First we want to give a brief review about the
main source of space weather effects, our Sun. The basic physics of the Sun will
be discussed since it is essential to understand the mechanisms that cause solar
variability. This is necessary in order to make prediction models for space weather
forecasts. Then we will speak about the influence of solar variability on the Earth’s
atmosphere. There are similarities with atmospheric weather, however the most
1
2 CHAPTER 1. INTRODUCTION, WHAT IS SPACE WEATHER?
important differences between the atmospheric and space weather systems are:
Meteorological processes are localized; it is possible to make good local
Space weather events occur over a wide range of time scales: the Earth’s
magnetosphere responds to solar-originated disturbances within only a few
minutes, global reconfiguration occurs within some 10 minutes. Enhanced
fluxes of energetic particles in radiation belts decay in time scales of days,
months or even longer.
Spaceweather predictions must rely on the input of just a few isolated mea-
surements of the solar wind and the observations (both ground based and
from space) have only a global character sometimes without details.
Therefore, successful space weather activities aiming to make prediction of dan-
gerous events need to be performed on a global scale. Space-borne and ground
based observations are complementary.
Presently, the most important users of space weather research are spacecraft
engineering, spacecraft operations, RF communications. Spacecraft launchers can
make use of exact knowledge of space weather conditions and the re-entry of space-
crafts depends on the atmospheric drag conditions. When the International Space
Station is in operation, forecasts will become even more important. Other users are
telecommunication operators, users of global positioning systems, electric power
industry etc. Commercial airlines must be careful with the radiation doses to their
crews and passengers.
I want to thank my students who attended a course on space weather I held

at Innsbruck university; they critically read the manuscript and suggested correc-
tions.
Special thanks to Caroline and my children Roland, Christina and Alina; I
was allowed to spend lots of nights at the PC. Thanks for the patience of my
collaborators because several common projects had to be postponed.
Chapter 2
The Sun as a Star
Our Sun is the only star which is close enough to observe details on its surface.
We can observe sunspots, faculae, prominences, coronal holes etc., which are all
summarized as solar activity phenomena. Therefore, the study of the Sun is im-
portant for astrophysics in general. Theories about stellar structure and evolution
can be studied in detail on the Sun.
On the other hand, the Sun is the driving factor for the climate on the Earth
and the structure of the Earth’s magnetosphere thus determining and influenc-
ing the near Earth space environment. Therefore, the study of solar terrestrial
relations is of great importance for our modern telecommunication systems both
based on Earth and in space. The Sun provides the main input for the so called
space weather. Other inputs are meteorites, space debris etc.
2.1 The Sun and the Galaxy

The Sun is a normal star which contains more than 99% of the total mass of the
solar system. The solar system, to which the Sun, the 9 great planets, asteroids,
meteorites, comets and other small dust particles belong is located in the Milky
Way Galaxy. Our galaxy contains more than solar masses. The mass of
the galaxy can be inferred from the rotation of the system. All stars rotate around
the center of the galaxy which is at a distance of about 27 000 light years (Lys) to
us the distance light travels within one year propagating through
space at 300 000 km/s).
At the location of the Sun in the galaxy, one period of revolution about the
galactic center is about 200 Million years. Galaxies in general contain some
stars, many of them are double systems or may contain planetary systems. The
diameter of our galaxy is about 100 000 light years. Galaxies are grouped into
clusters- our galaxy belongs to the so called local group of galaxies. The small
and large Magellanic cloud are two small dwarf galaxies which are satellites of our
system. The nearest large galaxy is the Andromeda galaxy which is at a distance
of more than 2 Million light years.
3
4 CHAPTER 2. THE SUN AS A STAR
Many galaxies appear as spiral galaxies. Young bright stars are in the spiral
arms, older stars in the center and in the halo of the galaxy. An example is given
in Fig.2.1.
Thus, from the astrophysical point of view, our sun is situated at about 2/3
from the center of the galaxy and a normal star on a bulk of stars.
2.1.1 Properties of Stars

The only information we can obtain from a star is its radiation. In order to
understand the physics of stellar structure, stellar birth and evolution we have
to derive quantities such as stellar radii, stellar masses, composition, rotation,
magnetic fields etc. We will just very briefly discuss how these parameters can be
derived for stars.
Stellar distances: though this is not an intrinsic parameter for a star, it is of
fundamental importance. Stellar distances can be measured by determining
their parallax, that is the angle the Earth’s orbit would have seen from a star.
This defines the astrophysical distance unit parsec. A star is at a distance
of 1 parsec if the parallax is 1". 1 pc = 3.26 Ly.
Stellar radii: if the apparent diameter of star is known than its real diame-
ter follows from its distance The problem is to measure apparent stellar
diameters since they are extremely small. One method is to use interfer-
ometers, one other method is to use occultation of stars by the moon or
mutual occultations of stars in eclipsing binary systems. All these methods
are described in ordinary textbooks about astronomy.
Stellar masses: can be determined by using Kepler’s third law in the case we
2.1. THE SUN AND THE GALAXY 5
observe a binary system. Stellar masses are very critical for stellar evolution,
however we know accurate masses only for some 100 stars.
Once mass and radius are known, the density and the gravitational acceler-
ation follow. These parameters are important for the stellar structure.
Stellar rotation: For simplicity we can assume that a star consists of two
halves, one half approaches to the observer and the spectral lines from that
region are blueshifted, the other half moves away and the spectral lines from
that area are redshifted. The line profile we observe in a spectrum is a
superposition of all these blue- and redshifted profiles and and the rotation
causes a broadening of spectral lines;
Stellar magnetic fields: as it will be discussed in more detail when con-
sidering the Sun, magnetically sensitive spectral lines are split into several
components when there are strong magnetic fields.
2.1.2 Stellar Spectra, the Hertzsprung-Russell-Diagram

As it has been stressed above, the only information we obtain from stars is their
radiation. Putting a prism or a grating inside or in front of a telescope, we obtain
a spectrum of a star. Such a spectrum contains many lines, most of them are dark
absorption lines. Each chemical element has a characteristic spectrum.
In the Hertzsprung Russell Diagram (HRD) the temperature of stars is plotted
versus brightness. The temperature of a star is related to its color: blue stars
are hotter than red stars. In the HRD the hottest stars are on the left side. The
temperature increases from right to left. Stellar brightness is given in magnitudes.
The magnitude scale of stars was chosen such that a difference of 5 magnitudes
corresponds to a factor of a hundred in brightness. The smaller the number (which
can be even negative) the brighter the star. The brightest planet Venus e.g. has
magnitude and the Sun has The faintest stars that are visible to
the naked eye have magnitude Since the apparent magnitudes depend
on the intrinsic luminosity and the distance of a star absolute magnitudes were
invented: the absolute magnitude of a star (designated by is the magnitude
a star would have at a distance of 10 pc. In the HRD we can plot absolute
magnitudes as ordinates instead of luminosities. The relation between m and M
is given by:
is the distance of the object in pc. For the Sun we have from a
distance of 10 pc it would be among the fainter stars visible with the naked eye.
How can we determine stellar temperatures? Stars can be considered to a
very good approximation as black body radiators. A black body is a theoretical
idealization: an object that absorbs completely all radiation at all wavelengths.
The radiation of a black body at a given temperature is given by the Planck law:
thus it depends only on the temperature of the object. Here, is the intensity
of radiation at frequency are Planck’s constant, Boltzmann’s constant and
the speed of light. If that equation
is integrated over all frequencies (wavelengths), we obtain a formula for the total
power emitted by a black body:
and for the luminosity of a star:
For the Sun This formula defines the effective temperature of a

star. is the Stefan Boltzmann constant.
What is the power emitted per unit area of the Sun’s surface? Answer: Put T =
6 000 K we find that the Sun radiates of its surface.
By taking the derivative with respect to of Planck’s Law and setting it equal
to zero, one can find the peak wavelength, where the intensity is at maximum:
This is also called Wien’s law.
At about what wavelength can planets be expected to radiate most of their energy?
Answer: Let us assume the temperature of the Earth = 300 K. Then
The Sun has a surface temperature of about 6 000 K. At what wavelength does
the Sun’s spectrum peak? Answer:
Therefore, we can measure from the spectrum directly the temperature of stars.
The temperature derived from the peak wavelength is called Wien Temperature,
the temperature derived from the difference between two intensity levels (=color)
Color temperature etc. In order to define color, a filter system must be defined.
The most commonly used system is the UBV system which has three bands that
are located in the UV (U), blue (B) and visual (V) to measure the intensity
The luminosity of stars is given in magnitudes which are defined as follows:
The color of a star is measured by comparing its magnitude through one filter (e.g.
red) with its magnitude through another (e.g. blue).
E.g. means the magnitude measured with the V filter.
Therefore, instead of determining temperatures from the comparison of the
spectrum of a star with the Planck law, one can use e.g. color indices: Let us
compare a hot star with a cool star (Betelgeuze). If we calculate B-V,
than this value will be:
positive for the cooler star, since it is brighter in V than in B (blue). If the
cool star is brighter in V it means that its magnitude has a lower value and
therefore B-V is positive.
negative for the hotter star. The hotter star is brighter in B than in V,
therefore for the magnitudes in these two bands: and B-V<0.
The HRD consists of:
Main sequence stars: they lie on a diagonal from the upper left (hot) to the
lower right (cool).
giants, supergiants: they have the same temperature as the corresponding
main sequence stars but are much brighter and must have larger diameters
(see equation 2.4).
White dwarfs are faint but very hot objects thus from their location at the
lower left in the HRD it follows that they must be very compact (about
1/100 the size of the Sun). In about years our Sun will evolve into a
red giant and finally to a white dwarf.
The evolutionary path of our Sun is also given in the 2.2. We have the following
main evolutionary steps:
Pre main sequence evolution: from a protostellar gas and dust cloud the Sun
was formed and before it reaches the main sequence where it spends most of
its life, the contracting Sun passes a violent youth, the T Tauri phase.
At the main sequence the Sun changes extremely slowly and remains about
years there. In the core H is transformed to He by nuclear fusion.
The Sun evolves to a red giant, it will expand and the Earth will become part
of the solar atmosphere. The expansion starts when all H is transformed to
He in the core. Then a H burning shell supplies the energy. The He flash
sets in as soon as in center the He burning sets in. The Sun will be a red
giant for some
Finally the Sun becomes a white dwarf which slowly cools.
In terms of radius we have:
present Sun:
red giant:
white dwarf:
In terms of space weather these evolutionary effects are negligible. But it is

interesting to investigate them especially for the early Sun.
For the main sequence stars there exists a relation between their mass and
luminosity:
From 2.9 we see that more massive stars are very luminous and therefore they
use up their nuclear fuel much more rapidly than low massive stars like our Sun.
Massive main sequence stars that are observed today must have been formed in
very recent astronomical history.
According to their spectra, stars can be classified in the following sequence:
O-B-A-F-G-K-M. This is a sequence of temperature (see Table 2.4): O stars are
hottest, M stars coolest; the number of absorption lines increase from O to M.
Some characteristics are given in Table 2.3.
The luminosity of a star depends on a) temperature, b) surface which is
Since e. g. a K star may be a dwarf main sequence star or a giant luminosity
classes have been introduced. Class I contains the most luminous supergiants,
class II the less luminous supergiants. Class III are the normal giants, Class IV
the sub giants and class V the main sequence.
Now we understand the spectral classification of our Sun: it is a G2V star.
2.1.3 Basic Properties of the Sun

As it has been mentioned, the Sun is a G2V star in the disk of our Galaxy. The
mass of the Sun is:
An application of Kepler’s third law gives us the mass of the Sun if its distance is
known which again can be derived from Kepler’s third law:
In our case denotes the distance Earth-Sun P the revolution

period of the Earth around the Sun (1 year), the mass of the Earth and
the mass of the Sun. One can make the assumption that and therefore
If we know the distance of the Sun and its angular diameter the solar radius is
obtained:
In order to determine it, we must use the Sun’s distance and make a measurement
of the angular diameter of the visible solar disk. This is not quite easy; one possi-
bility is to define the angular distance between the inflection points of the intensity
profiles at two opposite limbs. Such profiles can be obtained photoelectrically and
the apparent semidiameter at mean solar distance is about 960 seconds of arc (").
Knowing the mass and radius of the Sun, the mean density can be calculated:
The gravitational acceleration is given by:
The solar constant is the energy crossing unit area of the Earth’s surface per-
pendicular to the direction from the Earth to the Sun in every second. In SI the
units are UV and IR radiation from the Sun is strongly absorbed by the
Earth’s atmosphere. Therefore, accurate measurements of the solar constant are
only possible with satellites. ACRIM on SMM and ERB on Nimbus 7 showed
clearly that the presence of several large sunspots which are cooler than their
surroundings depress the solar luminosity by ~ 0.1%. The solar luminosity is:
And the effective temperature:
2.2 Solar Structure

2.2.1 Hydrostatic Equilibrium
How a ball of gas and plasma, like a star remains stable against gravitational
collapse or free expansion? Let us assume a sphere of mass M and radius R. In
most cases there are only two forces:
2.2. SOLAR STRUCTURE 11
gravity: acts inward

pressure: acts outward
Let us consider a shell inside a star, the lower boundary is at from the center
and the upper at is a surface element and denote the
pressure at and The net force on such a shell is:
and From the above equation:
By dividing the net force by we find the equation of

motion of the shell:
If the acceleration is set to zero (when there is a balance), then the hydrostatic
equilibrium becomes:
Therefore, the pressure at depth must be high enough to support the weight of
the fluid per unit area above that depth. Let us derive an estimate for the central
pressure of a star. The pressure is given by:
At the center from we find the central pressure
which leads to:
For the Sun: and This gives

compared to the atmospheric pressure at sea level on Earth of This is
a very crude approximation, since in reality the density increases with depth and
the true central pressure of the Sun is 100 times larger than the estimate.
Compare the central pressure of a main sequence star of and

to the central pressure of the Sun. Answer: from the central
pressure is times the central pressure of the Sun.
What happens if a star contracts (which will be the case when the hydrostatic
equilibrium condition is not established)? According to the Virial Theorem half
of the gravitational energy which is set free is radiated away and the other half
heats the star.
2.2.2 Basic Equations

In most phases of stellar evolution, the structure of a star can be determined by
the solution of four first order differential equations:
hydrostatic equilibrium,
mass continuity,
gradient of luminosity (related to energy release),
temperature gradient.
The corresponding equations are:
In these equations is the distance from the stellar center, P, T are the pressure,
density and temperature at radius M is the mass contained within the
energy carried by radiation across the nuclear energy release. The quantities
P, depend on density, temperature and composition. is the opacity and
measures the resistance of the material to energy transport.
2.2.3 Energy Generation in the Sun

In principle, a variety of different energy generating processes can take place in
stars. When the star first forms from the interstellar medium it contracts, radiating
away gravitational energy (see the Virial Theorem). During this stage no nuclear
reactions take place and half of the gravitational energy is radiated away, the other
half increases the temperature of the core. As soon as the central temperature
exceeds about nuclear reactions start. Energy is generated by the fusion
of two lighter particles to form a heavier particle whose mass is smaller than the
mass of its constituents, the mass defect being transformed into energy according
to
Let us consider the fusion of H into He. The mass of 4 H is:
The mass of the resulting He atom is
Thus the difference is:

2.2. SOLAR STRUCTURE 13
If one assumes that the Sun consists of pure hydrogen which is converted into
He, then the total energy would be The luminosity of the Sun is
thus there would be energy supply for years.
Let us consider the conversion of H into He in more detail. The so called pp

chain (Table 2.5) dominates in stars with relatively low central temperatures (like
the Sun) and the CN cycle is important for stars at higher central temperatures.
Let us consider the principal reactions for the pp cycle. If reaction 4b is realized
then the further reactions can take place. If reaction 6b occurs, then reaction 7
follows.
The energy production rate depends highly on the temperature:
The pp reaction dominates for stars with central temperatures between 5 and
The CN cycle also produces He from H where C is used as a catalyst.
2.2.4 Convection Zone

In the solar core nuclear fusion generates the energy which is transported outwards
by radiation. At a depth of a third of the solar radius below the solar surface
the convection zone starts, where energy is transported outwards by convective
motions. This zone occupies only 2% of the solar mass. Hydrogen and He are
neutral at the solar surface but they are ionized just below the surface. In these
ionization zones the ratio of the specific heat at constant pressure to the
specific heat at constant volume is much lower than the value 5/3. This value
is appropriate either to a neutral gas or fully ionized gas. Because
convection occurs. For the temperature gradient we already have seen that:
The total luminosity L is:
Basically, convection can be treated as an instability; if an element of material is

displaced upwards, then it continues to rise if it is lighter than its surroundings.
By assuming that the rising element moves sufficiently slowly that it is in pressure
balance with its surroundings but that at the same time its motion is adiabatic
(no heat exchange between the element and the surroundings), then convection
occurs if:
If the stellar material is an ideal classical gas with constant ratio of specific heats
then:
The theory which is usually used contains a free parameter, the so called mixing
length l:
where is the pressure scale height. It is supposed that α is order of unity. As we

will discuss later, information about the depth of the convection zone comes from
a detailed study of solar oscillations. Apart from energy transport one has also to
consider that in convection zones there is a uniform chemical composition. This
prevents any attempt of heavy chemical elements to settle in the Sun’s gravitational
field (any stratification produced by radiation pressure).
2.3 Model: Internal Structure of the Sun

In this paragraph we give a table showing the variation of temperature, luminosity
and fusion rate as a function of increasing distance from the solar center. Such a
model can be calculated from the basic set of equations discussed above.
Solar models computed with mass loss, microscopic diffusion of helium and
heavy element, and with updated physics have been evolved from the pre-main se-
quence to present day (Morel et al., 1997); they are compared to the observational
constraints including lithium depletion and to the seismic reference model of Basu
et al. (1996), derived by inversion. Microscopic diffusion significantly improves the
agreement with the observed solar frequencies and agree with the seismic reference
model within ±0.2% for the sound velocity and ±1% for the density, but slightly
worsens the neutrino problem.
2.3. MODEL: INTERNAL STRUCTURE OF THE SUN 15
Chapter 3
Observing the Sun
3.1 General Remarks

In this short chapter we want to give a few examples of modern solar telescopes.
Some remarks are also given concerning optical design and features as well as
disturbances caused by the Earth’s atmosphere.
Several factors influence the image quality of solar telescopes. Sunlight can
heat up the telescope structure and the main optics causing the so called internal
seeing. Considering reflecting telescopes, in particular the main mirror absorbs up
to 10% of the collected light and its surface may heat up considerably leading to
mirror seeing. The most effective measure to prevent internal seeing is to remove
the air entirely, the telescope is evacuated. A window at the entrance and exit pre-
serves the vacuum. The main problem here is to have a window with high optical
quality which is thick enough to resist air pressure. Helium filling is an alternative
to evacuation. The viscosity of He and the dependence of the index of refrac-
tion from temperature are lower than for air whereas temperature conductivity
is higher. A forced flow of He inside the telescope tube cancels inhomogeneities.
The THEMIS telescope (Telescope Heliographique pour l’etude du Magnetisme
et des Instabilites Solaires, see Arnaud et al. 1998, Mein et al., 1997) has a He
filled tube. Other possibilities are to construct open telescopes, such as the DOT
(Dutch open telescope at La Palma, see Rutten et al., 2000).
To reduce atmospheric turbulence systems which dynamically control the wave-
front deformations effected by the atmosphere are used (adaptive optics). For
THEMIS a joint between the telescope tube and the dome which has an entrance
window of 1 m prevents air exchanges between outside and inside the dome.
3.2 Examples of Telescopes

Very briefly some selected examples are given. The Big Bear Solar Observatory
(BBSO) (Fig. 3.1) is located at 2000 m elevation in the middle of Big Bear Lake.
This site reduces the image distortion which usually occurs when the Sun heats the
17
18 CHAPTER 3. OBSERVING THE SUN
ground and produces convection in the air just above ground. Turbulent motions
in the air near the observatory are also reduced by the smooth flow of wind across
the lake instead of turbulent flow that occurs over mountain peaks and forests.
The main instrument is a 65 cm reflector.
In Fig. 3.2 a drawing of a solar vacuum tower telescope is given. Light enters
the vacuum tank through a coelostat system and a mirror. The vertical tank is
evacuated in order to avoid turbulence in the telescope itself. At NSO, Kitt Peak,
the telescope is a 70 cm f/52 system.
The German Vacuum Tower Telescope (VTT) at the Observatorio del Teide,
Tenerife has two coelostat mirrors (80 cm) and the entrance window to the vacuum
tank (BK7) has a diameter of 75 cm and a thickness of 7 cm. The primary mirror
has 70 cm and the focal length of the system is 45.64 m. The total field of view is
700 arcsec and the scale is 4.52 arcsec/mm.
Other famous solar instruments for observing the Sun in high spatial resolution
mode are the Coupole at the Observatoire Pic du Midi and the Swedish La Palma
Solar Telescope.
A recent review about solar instrumentation was given by v.d. Lühe (2001).
3.3 SOHO
The SOlar and Heliospheric Observatory is a common project being carried out
by the European Space Agency (ESA) and the US National Aeronautics and Space
Administration (NASA) in the framework of the Solar Terrestrial Science Program
(STSP) comprising other missions like CLUSTER and the International Solar
Terrestrial Physics Program (ISTP) with Geotail, WIND and Polar. SOHO was
launched on December 2, 1995.
SOHO is located at the Lagrangian point L1 about 1.5 Million km away from
Earth which permits an uninterupted view of the Sun. All previous space solar ob-
3.3. SOHO 19
servatories have orbited the Earth, from where their observations were periodically
interrupted as our planet ’eclipsed’ the Sun.
The main scientific objectives of SOHO are:
Interior of the Sun
Solar atmosphere
Solar wind
The main instruments are:
CDS: Coronal Diagnostic Spectrometer,
CELIAS: Charge, Element, and Isotope Analysis System,
COSTEP: Comprehensive Suprathermal and Energetic Particle Analyzer,
EIT: Extreme ultraviolet Imaging Telescope,
ERNE: Energetic and Relativistic Nuclei and Electron,
GOLF: Global Oscillations at Low Frequencies,
LASCO: Large Angle and Spectrometric Coronagraph Experiment,
MDI: The Michelson Doppler Imager,
SUMER: Solar Ultraviolet Measurements of Emitted Radiation
SWAN: Solar Wind A Nisotropies,
UVCS: Ultra Violet Coronagraph Spectrometer,
VIRGO: Variability of solar IRradiance and Gravity Oscillations.
Further details about SOHO and the instruments can be found e.g. in the review
given by Fleck (2001).
A drawing of the spacecraft is given in Fig. 3.3.
3.4 Solar Polarimetry

As we will see, magnetic fields are the key to understand solar activity phenomena
and to predict them. To measure magnetic fields on the Sun, it is inevitable to
deal with polarimetry.
Electromagnetic radiation consists of oscillations of electric and magnetic fields
perpendicular to the direction of propagation. The electric field vector determines
the polarization of an electromagnetic wave:
circular polarization: rotates with its endpoint describing a circle in the
plane of polarization, right or left handed, depending on the sense of rotation.
3.4. SOLAR POLARIMETRY 21
linear polarization: remains in a fixed position
unpolarized: orientation of changes randomly with time.

Polarization can be mathematically described by the four Stokes Parameters
I intensity,
the linear polarization in the direction of the position angle
U the linear polarization at
V the circular polarization. For positive V, the vector is rotating clockwise

as seen from the observer.
Usually the polarization parameters are given relative to the intensity, i.e.
U/I, and V/I.
A photodetector can be used to measure the intensity of light generating an
electric current proportional to the intensity I. The polarization parameters how-
ever cannot be measured directly. They have to be measured by using optical de-
vices which are polarization sensitive (linear polarizers, retarders). In a polarime-
ter, the Stokes vector is transformed into
where the transmitted intensity I' depends on
Let us consider a simple example: The intensity I of linearly polarized light is
measured with a photodetector. After introducing a linear polarizer into the light
beam with arbitrary orientation the measured intensity becomes I' < I.
The light is unpolarized if for all orientations of the polarizer the intensity is
the same. The orientation of the linear polarizer is varied and thus the intensity
of the light measured with the photodetector is modulated.
Because of seeing effects, for precise polarization measurements the modulation
frequency must lie above the frequency of the intensity fluctuations caused by
disturbances e.g. atmospheric turbulences in solar observations.
The action of linear optical systems on polarized light is described by the
Mueller matrices:
The intensity of the outcoming beam is a linear combination of all four Stokes
parameters of the incoming beam. The Stokes parameters must verify the following
conditions:
When doing solar polarimetry one has to take into account for different effects:
environmental polarization: a typical observation includes the Earth’s at-

mosphere the telescope the polarimeter the spectrograph
and the detector As light passes these systems, the final Mueller
matrix is given by:
The Stokes parameters are related to the observed Stokes parameters

by
The Earth’s atmosphere is not static, time fluctuations produce wavefront

distortions that lead to spatial smearing of the image and spurious polar-
ization features. When plotting a power spectrum of the polarimetric signal
it is seen that the individual distributions are broadened and overlap (cross
talk).
instrumental polarization: the air inside a telescope can be turbulent and

produce similar effects to those of the atmosphere. That can be avoided
by keeping the telescope in vacuum or some other means. Metallic surfaces
act as partial polarizers and retarders. Windows made of glass can have
mechanic tensions and stresses producing inhomogeneous birefringence and
thus they behave as retarders.
spectrograph and detector polarization
The two basic effects that can be used for measuring magnetic fields are:
Zeeman effect: degeneracy of the atomic eigenstates effected by the magnetic

field, splitting of line profiles and characteristic polarization (Stokes V cir-
cular, Stokes linear). Can be used for magnetic fields to compete
with the microturbulent Doppler broadening of the line profiles.
3.5. SOLAR RADIO ASTRONOMY 23
Hanle effect: useful diagnostic where the magnetic field is relatively weak
(a few to a few tens of Gauss) and where the plasma is sufficiently tenuous
that collisional excitation can be neglected in comparison to the radiative
excitation of the upper level. It introduces both a rotation of the plane of
polarization and a reduction of the net polarization of the scattered light.
3.5 Solar Radio Astronomy

The solar corona is an inhomogeneous, hot, dilute and fully ionized plasma. Its
spatial structure is governed by the magnetic field. Plasma processes associated
with solar activity take place on small temporal and spatial scales and reveal them-
selves by electron acceleration (up to a few MeV) which can emit radio radiation.
These are called non thermal electrons. Radio radiation from the Sun was first
detected in 1942.
From a simple derivation from electrodynamics it follows, that there exists a
plasma frequency, and that propagating waves through such a plasma are only
possible for
where is the number of electrons per unit volume and the plasma frequency.
Let us consider the propagation of an electromagnetic wave throughout the Sun’s
outer layers. Here, the density decreases from the chromosphere to the corona.
Therefore, electromagnetic waves with higher frequencies originate in deeper layers
and by observing the Sun in different frequency channels one can measure the
propagation of a plasma wave through the atmosphere (see Fig. 3.4).
Possible emission mechanisms at cm- and mm-wavelengths are for the active
Sun component:
The quiet Sun component of the radio emission is from thermal emission from
the hot ionized gas.
At a frequency of 100 GHz (0.3 cm), the emission originates at the same height
in the photosphere than at visible wavelengths. At 1.4 GHz (21 cm) the emission
originates from the top of the chromosphere (corresponding to a black body at
100 000 K) and at longer wavelengths (e.g. 300 cm, corresponding to 0.1 GHz)
the emission arises from the corona (1-2 Million K blackbody). Thus, the size of
the Sun varies when measured at different wavelengths.
The slowly varying component also has thermal origin and arises from regions
above sunspots where the electron density is higher
Chapter 4
Phenomenology of Solar
Active Regions
4.1 Introduction
The Sun and its atmosphere can be divided as follows:
Solar interior: can be further subdivided into
1. Core: about 1/3 of the solar radius; here energy production occurs.
2. Radiation zone: about 1/3 of the solar radius; the energy is transported
outward by innumerable emission and absorption processes transferring
the high energy photons that are produced by nuclear fusion into
longer wave photons.
3. Convection zone: starts below the surface extending about km
into the interior.
Solar atmosphere: can be subdivided into
1. Photosphere: starts at the surface (which can be defined as the region

where light is absorbed considerably over a short distance) and extends
up to 500 km.
2. Chromosphere: above the photosphere; extends to about 2 Mm.
3. Transition Region: strong increase of temperature up to over a
very small spatial range (some km).
4. Corona: starts above 2 Mm, high temperature > K.
In Fig. 4.1 the variation of temperature and electron density is shown.
25
26 CHAPTER 4. PHENOMENOLOGY OF SOLAR ACTIVE REGIONS
4.2 Phenomena in the Solar Photosphere

4.2.1 Radiation Transport
The photosphere of the Sun (or of a star) is the layer which can be seen in the visible
portion of the continuous radiation spectrum. Here, the photons in the continuum
of the visible spectrum have their last scattering encounter before leaving the
atmosphere. Let the opacity be that fraction of a beam of radiation of frequency
v and intensity which is absorbed or scattered out of the beam per unit distance.
The scattering occurs by atoms, molecules or electrons of the plasma through which
it passes. Let us define for an element of plasma of thickness and opacity
the optical thickness by:
and hence
The transfer of radiation through the atmosphere of a star is governed by the

equation of radiative transfer. If denotes the angle between the direction of the
beam of radiation and the outward normal, and then under the assump-
tions that a) the atmosphere is plane - parallel and b) is locally in thermodynamic
equilibrium (LTE), the transport equation becomes:
where is the Planck function at temperature T:

4.2. PHENOMENA IN THE SOLAR PHOTOSPHERE 27
An elementary solution yields for the intensity of radiation emerging in direction
The Planck function must increase with depth, since the temperature increases
with depth (se Fig. 4.1). Eddington made the following ansatz:
If we put this into 4.5, we arrive at
The physical depth z corresponding to is said to be the origin of the

emergent radiation of frequency v. Thus, by observing the photosphere at different
frequencies, we sample it at different heights. The deepest penetration is obtained
at IR wavelengths (about higher layers may be sampled by observing
at the centers of absorption lines. Thus, the surface of the Sun is defined as
If we look at the solar disk we immediately see that the central regions are
brighter than the limb. The function is called the limb darkening
(center to limb variation). This may be written as:
If one does an inversion of this equation information about the physical struc-
ture (temperature distribution) of the solar atmosphere is obtained. Stellar limb
functions can not be measured accurately so this method is only applicable to the
Sun.
4.2.2 Granulation
Under very good seeing conditions the Sun shows a cellular like pattern which
is called granulation. The mean diameter of the cells is about 1000 km which
corresponds roughly to 1 arcsec (as seen from the Earth). In the bright granules
matter is streaming upwards, in the darker intergranular lanes streaming down-
wards. Up to now the best granulation images have been taken from the ground
since no large solar telescopes have been launched. In order to minimize the effect
of the turbulence of the Earth’s atmosphere (seeing), the exposure times must
be shorter than 1/10 s. Usually, one makes a burst of several images and then
selects the best image for further analysis. Spectrograms show a high degree of
correlation between intensities and velocities proving the convective character of
the phenomenon. Under a spatial resolution better than 0.5 arcsec, the situation
becomes more complex. Regular granules seem to have a maximum for the upflow
near their center, so called exploding granules have a maximum upflow between
the center and the edge. Measuring the width of spectral lines one gets a hint
for turbulence. Enhanced line widths indicate enhanced turbulence. It was found
that turbulence is located in the downdrafts which is also predicted by 3 D models.
The turbulence may be generated by the shear between upflows and downflows at
granular borders and on transonic flows.
A recent review about solar granulation was given by Muller (1999) where fur-
ther references can be found. A problem to investigate the granulation is how can
we identify a granulum? One possibility is to identify them by an isophote contour
at a level close to the average intensity of the photosphere. The images must be
filtered in order to remove the intensity fluctuations at low frequency, originating
in instrumental brightness inhomogeneities and in solar large scale fluctuations
(which arise from the supergranulation, mesogranulation and oscillations). Fi-
nally, high frequency noise must be eliminated. In the Fourier domain such a filter
has the form:
The parameters are chosen, so that the maximum filter transmission stays in
between spatial scales 0.5 and 1 arcsec. Such a filter is partially restoring as it
enhances the contrast of the smallest granules which can then be identified more
clearly. Another method is to find the inflection points of the intensity distribution
in the image using a Laplacian operator.
How do granules evolve? The most common process is that of fragmentation: a
granule grows and then splits into several fragments (3...4). About 60% of granules
appear or die by this process. Some granules appear spontaneously in intergranular
spaces and grow, others result from merging of two adjacent granules. The most
spectacular evolution is observed for exploding granules.
From the physical point of view, there exists a limitation for the horizontal
expansion because of mass conservation and radiative loss. Matter is streaming
upward in a granulum, expands and horizontal flows are driven by pressure gradi-
ents; thus the central upflow is decelerated which then cannot supply the horizontal
expansion and the radiative loss. The central part cools and the granule splits into
several fragments, after a downdraft developed. On the other hand, intergranu-
lar lanes are interconnected without interruption. They contain some dark holes
which exist over 45 min and may correspond to the fingers of downflowing material
predicted by 3 D models.
Using time series with the 50 cm refractor at the turret dome of the Pic du
Midi observatory Roudier et al. (1997) showed the existence of singularities in
the intergranular lanes what they called intergranular holes which have diameters
between 0.24 arcsec and 0.45 arcsec and are visible fpr more than 45 min. These
holes appear to be systematically distributed at the periphery of mesogranular
and supergranular cells. Spectroscopic observations of the solar granulation with
high resolution yield information about velocities e.g. when observed near solar
disk center, granular profiles are blueshifted because matter rises and moves in
direction to the observer (see Fig. 4.2.2).
The granule lifetime can be determined by their visual identification on suc-
cessive images or by cross correlating these images. There is a large discrepancy
of the results: granular lifetimes range from 6 to 16 min.
Concerning the structural properties of granules, we have to mention that their

number N increases monotonically with decreasing size. Granules of size 1.4 arcsec
are the main contributors to the total granule area. When the area A is plotted
versus their perimeter in a log-log scale, the dispersion of points (each of them
marks a granule) is small and their shape can be characterized by the relation:
where D is the fractal dimension. It seems that there are two ranges with different
fractal dimensions:
D ~ 1.25 for granules smaller than about 1.35 arcsec.

D ~ 2.00 for granules that are larger than 1.35 arcsec.
The physical interpretation is as follows: In hydrodynamics, the fractal dimension

is often used to get some information about the dynamical state. In the theory
of Kolmogorov (he treated isotropic, homogeneous turbulence in three dimensions
and obtained a 5/3 power law for the energy spectrum) a value of D = 5/3 is
predicted for isotherms and 4/3 for isobars. A fractal dimension of 2 or even
larger means that the shape is complex which is confirmed by observations since
many of them are in the process of fragmentation.
Granules above 1.4 arcsec have nearly the same brightness, the intergranular
brightness is nearly constant, with an average value of 0.92 (when the averaged
continuum is at 1.0). The rms intensity fluctuations of the best image is 10-11%
at (50 cm refractor at La Palma) and 8-9% at (50 cm refractor
at the Pic du Midi). Restored values lie between 10 and 22%. Prom the granular
contrast we can infer the temperature variations (assuming Planck’s law) which
correspond to ~ 200 K.
Theoretical approaches
The simplest model of convection is the classical Rayleigh problem: suppose that
we have a fluid (either gaseous or liquid), confined between two horizontal plates
separated by a distance and maintained at temperature (upper) and (lower)
with If the fluid has a positive coefficient of thermal expansion as it
will be the case for a gas and for a normal fluid, the fluid near the lower plate will
tend to rise. However, this will be opposed by two effects: a) viscous dissipation,
b) thermal diffusion in the fluid. Convection will occur when the imposed temper-
ature gradient is sufficiently large or, for a given gradient, when the
coefficients of the kinematic viscosity v and of thermal diffusion are sufficiently
small. Rayleigh’s theoretical analysis of the problem in 1916 inspired Bénard to
investigate this 40 years later. It was found that convective instability occurs when
the Rayleigh number R exceeds a critical value:
where is the temperature gradient. For Rayleigh found the value 657.5.
This value depends on the boundary conditions. Later Chandrasekhar has shown
that e.g. a Coriolis force (as an effect of rotation) inhibits the onset of instability
to an extend which depends on the value of a non dimensional parameter (called
Taylor number):
here, is the vertical component of the angular velocity vector. For details see
e.g. Chandrasekhar (1961).
Let us discuss the Rayleigh number for the solar convection zone. The value is
extremely high,
Important information about the origin of the solar granulation can be in-
ferred from power spectra. Prom spectrograms we can obtain 1-D power spectra
of intensity and velocity fluctuations, from white light images, one gets 2-D power
spectra for the intensity fluctuations. The theoretical power spectrum of the ve-
locity fluctuations decreases as down to the scale of molecular diffusion. The
temperature power spectrum however decreases as only to a scale At
smaller scales the spectrum decreases as Thus separates the inertial
convective range, where heat advection dominates from the inertial conductive
range, where diffusion dominates. The former is the range of large granules, the
latter the range of small granules.
The basic set of hydrodynamic equations to describe solar convection is as
follows:
Conservation of mass
Conservation of momentum:
Conservation of energy:
is obtained from the equation of transfer and is the ratio of radiative

heating/cooling.
The ionization energy dominates the internal energy near the surface (Stein and
Nordlund, 2000).
Interaction between granulation and magnetic elements

In this section we consider magnetic regions which occur as Plages or faculae (in
active regions) and in the photospheric network (in the quiet Sun) in the form of
small bright points. Sunspots will be discussed in the next paragraph. Magnetic
elements (observed in high resolution magnetograms) and bright points (observed
in high resolution filtergrams) coincide. Bright points are visible in white light
near the limb (e.g. as faculae) but also at the disk center because they have a
brightness comparable to granules. It is very easy to observe them with a G Band
filter.
The dynamics of the granules forces these small bright points to appear and
stay in the intergranulum when the surrounding granules converge. Thus there
seems to be a continuous interaction between granules and magnetic elements.
Small magnetic flux tubes are the channels along which the energy is carried in
upper layers by different kinds of waves. In t0hat context Choudhuri et al. (1993)
discussed the generation of magnetic kink waves by rapid footpoint motions of the
magnetic flux tubes. They found that these pulses are most efficient. Kalkofen
(1997) discussed the impulsive generation of transverse magneto-acoustic waves in
the photosphere, propagating upward with exponential growth of amplitude.
Granulation-Mesogranulation
Idealized numerical experiments on turbulent convection were made by Cattaneo et
al. (2001). The authors found two distinct cellular patterns at the surface. Energy-
transporting convection cells (corresponding to granules in the solar photosphere)
have diameters comparable to the layer depth, while macrocells (corresponding to
mesogranules) are several times larger. The motion acts as a small-scale turbulent
dynamo, generating a disordered magnetic field that is concentrated at macrocel-

lular corners and, to a lesser extent, in the lanes that join them. These results
imply that mesogranules owe their origin to collective interactions between the
granules.
4.2.3 Five Minutes Oscillations

In 1962 Leighton, Noyes and Simon identified a strong oscillatory component which
they called five minutes oscillations because of its characteristic period. Later,
these were interpreted as standing acoustic waves trapped in resonant cavities
below the photosphere. This is the field of helioseismology that will be discussed
in a different chapter.
The spatial relation between the 5-min oscillations and the granulation pattern
has been largely debated in the literature. Of course such a discussion is impor-
tant to understand the excitation mechanism of these oscillations and, hence, the
internal properties of the Sun. Theoretical studies suggest that acoustic waves
which comprise the 5-min oscillations are stochastically generated by turbulent
convection just beneath the photosphere (Goldreich et al, 1994). Espagnet et al.
(1996) studied the relation between oscillation and granulation and found that
the most energetic oscillations are concentrated in downflow regions in expanding
intergranular spaces. This was later confirmed by Goode et al. (1998).
Strous et al. (2000) found a roughly linear relation between the peak seismic
flux and the peak downward convective velocity associated with each seismic event.
Other authors like e.g. Hoekzema which analyzed G band images found that
photospheric 5 min oscillations are global and rather insensitive to local fine struc-
ture (1998).
A recent paper on that topic was given by Khomenko et al.(2001) where further
references can be found.
4.2.4 Sunspots
Discovery of sunspots
When the Sun is very low just above the horizon one can make a short glimpse on it
with the unprotected naked eye. Chinese astronomers were the first who reported
on dark spots visible on the Sun. In the year 1611 sunspots were observed for the
first time through a telescope and four men can be named as the discoverers: J.
Goldsmid (Holland), G. Galilei (Italy), Ch. Scheiner (Germany) and Th. Harriot
(England). The first publication on that topic appeared from Goldsmid (he is
better known by his Latin name Fabricius). He even argued that the Sun must
rotate since the sunspots move across the disk. Since he was a Jesuit he first
suspected some defect in his telescope when he observed the spots. Then he
failed to persuade his ecclesiastical superiors who refused to allow him to publish
his discovery. However, Scheiner announced his discovery in three anonymous
letters to a friend of Galileo and Galileo responded in three letters in 1612 (the
sunspot letters) that he had discovered the sunspots. Of course Scheiner and
Galileo became enemies. Scheiner later reported his discoveries in his work Rosa
Ursinae sive Sol in 1630. Both scientists noted that the spots appear only within
zones of low latitudes at either side of the equator. There are never spots near the
poles.
Of course one never should risk a blinding of the eyes and the safest way to
observe the Sun with a telescope is when the solar image at the ocular (exit pupil)
is projected onto a screen.
After the initial interest and the publication of Scheiner’s major work there
was no big interest in sunspots. In 1977 Eddy showed that this must be seen in
connection with the fact that during 1640-1705 there was a great reduction in the
number of sunspots seen on the Sun which is now know as the Maunder Minimum.
The next significant discovery was made by Schwabe who was a German
apothecary and bought a telescope in 1826 in order to search for a planet in-
side the orbit of Mercury. He recorded the occurrence of sunspots over 43 years
and reported on a periodicity of their occurrence of about 10 years. In 1851 ap-
peared his publication on the 11 year periodicity of the annually averaged sunspot
numbers. Several years later Carrington showed from his observations that the
Sun rotates differentially; a point at the equator rotates more rapidly than one at
higher latitudes. He defined an arbitrary reference point on latitude 10° as longi-
tude zero and a rotation completed by this point is known as Carrington rotation
(CR). He was also the first to see a white light flare on the Sun in Sep. 1859
during sketching sunspot projections with a friend. Suddenly two crescent-shaped
patches broke out, brightened, moved a distance twice their length, then faded
away as two dots. All that happened within a period over five minutes. Carring-
ton reported to the Royal Astronomical Society that at 4 hours after midnight
the magnetic instruments indicated a great magnetic storm. So he was in fact
the first who noticed that there exists a connection between solar phenomena and
disturbances on Earth.
R. Wolf of Bern (1816-1893) studied all available records and derived a more
accurate estimate for the sunspot cycle. In 1848 he introduced the relative (Zurich)
sunspot number as a measure for solar activity. Sunspot often appear as
groups. If denotes the number of sunspot groups and the number of individual
spots, then
personal reduction factor. Today more than 30 observatories contribute to

determine this value. Further details about the history of sunspots can be found
in the following chapters.
The physics of sunspots

Sunspots consist of dark central regions, called umbra and a surrounding less dark
filamentary region called penumbra. The umbral diameter is about 10 000 km
but for the largest spots may exceed 20 000 km. Penumbral diameters are in the
range of 10 000 -15 000 km. First it was thought that they are something like
clouds in front of the solar surface. They drift across the surface of the Sun and
this motion can easily be explained by assuming that they are fixed to the sun
and drift because the Sun rotates. Sunspots evolve and some of them are visible
over more than 1 rotation period. The observations of sunspots showed that the
rotation of the Sun is not like that of a solid body. Near the equator it rotates
faster (27.7 days) and at a latitude of 40° the rotation period is 28.6 days; this is
called the differential solar rotation.
Another interesting phenomenon is the Wilson depression. Wilson observed
(1769) a very large spot nearing the west limb and noted that the penumbra on
the further side from the limb gradually contracted and finally disappeared. When
the spot reappeared at the east limb some two weeks later, the same behavior was
displayed by the penumbra on the opposite site of the spot. The surface of a
sunspot is depressed below the surface of the surrounding plasma.
The temperature of the umbra is about 4 000 K whereas the temperature of
the solar surface is about 6 000 K. According to Stefan’s law the total energy
emitted per unit area by a black body at temperature T is proportional to the
above mentioned temperature difference between umbra and photosphere means
that the energy flux through a given area of the umbra is ~ 20% of that through
an equivalent area of the photosphere. The penumbra has a temperature between
umbra and solar surface. In the penumbra we observe also the Evershed effect
which means a radial outflow of matter with the velocity increasing outwards with
a characteristic speed of 1 to 2 kms/s.
In 1908 Hale discovered that the spectral lines were split in the sunspots. This
is caused by the Zeeman effect in the presence of strong magnetic fields. In the
absence of magnetic fields several quantum mechanical state may possess the same
energy but the magnetic fields destroys this symmetry and one has a splitting of
the energy levels. The displacement of the lines due to the Zeeman effect is given
by:
The wavelength is given in nm, the Landéfactor depends on the spin and
orbital momentum of the levels and B denotes the magnetic induction given in
Tesla.
The strength of the magnetic field is in the order of 3 000 Gauss.
Small dark spots with diameters < 2500 km lacking penumbrae are called
pores. They exist within groups or appear also as isolated structures. Their
lifetimes are in the range of a few hours to several days.
Sunspot groups tend to emerge either sequentially at the same or similar Car-
rington longitudes, which are designated as active longitudes, or to overlap in
clusters.
High spatial observations of spots

High spatial resolution observations of sunspots show that there appear a lot of
different morphological phenomena: multiple umbrae, bright umbral dots, light
bridges, dark nuclei in the umbra etc. One problem in the study of sunspots and
their fine structure is observational stray light.
An important photometric parameter of umbral cores is the minimum intensity

(intensity of the darkest point) which is usually in the range of 0.05-0.3 of the
mean photospheric intensity at There seems to be a relation between
the size of the umbrae and the temperature. Umbrae with a diameter < 7"
have higher temperatures than the large ones. Moreover, regions with higher
magnetic field strength are darker and cooler than those with lower strength. The
darkest regions in umbral cores are dark nuclei. These are the areas with the
strongest magnetic fields and the orientation of the field is perpendicular to the
surface of the Sun. They are not necessarily centered in the umbral cores, some of
them are observed close to the edge of the penumbra. They cover 10-20% of the
total umbral core area and their size is about 1.5 arcsec.
The penumbra shows elongated structures which is a consequence of the strongly
inclined magnetic field. Bright penumbral filaments consist of penumbral grains.
They seem to have cometary like shapes with ”heads” pointing towards the umbra
and have a mean width of only 0.36" and a length of 0.5...2". The observed bright-
ness approaches the photospheric one and the lifetimes are between 40 minutes
and 4 hours. They are separated by narrow dark fibrils. The magnetic field seems
to be stronger and more horizontal in dark fibrils and weaker and more vertical in
penumbral grains.
It is also interesting to note that nearly all penumbral fine structures are in
motion. The penumbral grains move towards the umbra with an average speed of
0.3-0.5 km/s. On the other hand, dark cloud like features which arise from the
dark fibrils move rapidly outwards (up to 3.5 km/s) towards the outer penumbral
border.
The last fine structure which is important to study are the light bridges. They
cross the umbra or penetrate deeply into it and can be observed for several days
although they change their shape substantially on the scale of hours. They can be
classified into faint (located inside umbral cores) and strong (separating umbral
cores). Strong light bridges separate umbral cores of equal magnetic polarities
and a subclass of them opposite polarities. The analysis of 2-D power spectra of
intensity fluctuations inside strong light bridges showed that the ”granules” that
can be seen there are smaller (1.2 arcsec, normal granulation: 1.5 arcsec) and the
slopes of power spectra indicated the presence of a Kolmogorov turbulent cascade.
The magnetic field strength in strong light bridges is substantially lower than in
adjacent umbra.
A recent review about the fine structure of sunspots was given by Sobotka
(1999) where other references can be found. A review on empirical modelling and
thermal structure of sunspots was given by Solanki (1997).
Sunspots and magnetic fields

Observations demonstrated, that spots often occur in bipolar magnetic groups.
The magnetic polarity of the leading spot in the pairs (in terms of solar rotation)
changes from one 11 year cycle to the next- this is know as Hale’s law. There is a
22 year magnetic cycle. Spots appear as a magnetic flux tube rises (see magnetic
buoyancy) and intersects with the photosphere. The magnitude of the magnetic
induction is 0.3 T in the umbra and 0.15 T in the penumbra. In the umbra the field
is approximately vertical, and the inclination increases through the penumbra.
Hale’s observations also suggested that the Sun has an overall dipolar mag-
netic field This very weak dipolar field is reversed over the magnetic
cycle. Almost all of the photospheric field outside sunspots is concentrated in
small magnetic elements with a magnetic induction between 0.1 and 0.15 T.
Only the surface properties of the flux tube that defines a spot can be observed.
The question is, how the field structure changes with depth. The simplest model is
a monolithic column of flux. Let us assume that the pressure inside the flux tube
is negligible compared to the magnetic pressure. We also assume that the grav-
itational force is unimportant in obtaining an approximate idea of the magnetic
field structure, the magnetic field in cylindrical polar coordinates can be taken to
be current free:
Thus Since
The neighboring photosphere, in which the flux tube is embedded has a known
pressure variation with height The boundary of the flux tube is at
where
We see that as the field becomes nearly horizontal and and

as the field becomes vertical and
There is one problem with this monolithic model: the difference in the energy
radiated by the spot and by an equivalent area of the normal photosphere is only
about a factor of 4. This is less than would be expected if convection in the spot
were completely suppressed. Therefore, it is believed that some form of convective
energy transport must occur and the field must be more complex e.g. coherent
flux tube or a tight cluster. Reviews about these topics were given by Bogdan
(2000) and Hurlburt (1999).
Sunspot group classification

The 3 component McIntosh classification (McIntosh, 1990) is based on the general
form ’Zpc’, where ’Z’ is the modified Zurich Class, ’p’ describes the penumbra
of the principal spot, and112 ’c’ describes the distribution of spots in the interior
of the group. This classification scheme substituted the older scheme that was
introduced by Waldmeier.
1. Z-values: (Modified Zurich Sunspot Classification).
A - A small single unipolar sunspot. Representing either the formative
or final stage of evolution.
B - Bipolar sunspot group with no penumbra on any of the spots.
C - A bipolar sunspot group. One sunspot must have penumbra.

D - A bipolar sunspot group with penumbra on both ends of the group.
Longitudinal extent does not exceed 10 deg.
E - A bipolar sunspot group with penumbra on both ends. Longitudinal
extent exceeds 10 deg. but not 15 deg.
F - An elongated bipolar sunspot group with penumbra on both ends.
Longitudinal extent of penumbra exceeds 15 deg.
H - A unipolar sunspot group with penumbra.
2. p-values:
x - no penumbra (group class is A or B)
r - rudimentary penumbra partially surrounds the largest spot. This
penumbra is incomplete, granular rather than filamentary, brighter than
mature penumbra, and extends as little as 3 arcsec from the spot um-
bra. Rudimentary penumbra may be either in a stage of formation or
dissolution.
s - small, symmetric (like Zurich class J). Largest spot has mature, dark,
filamentary penumbra of circular or elliptical shape with little irregu-
larity to the border. The north-south diameter across the penumbra is
less or equal than 2.5 degrees.
a - small, asymmetric. Penumbra of the largest spot is irregular in
outline and the multiple umbra within it are separated. The north-
south diameter across the penumbra is less or equal than 2.5 degrees.
h - large, symmetric (like Zurich class H). Same structure as type ’s’,
but north-south diameter of penumbra is more than 2.5 degrees. Area,
therefore, must be larger or equal than 250 millionths solar hemisphere.
k - large, asymmetric. Same structure as type ’a’, but north-south
diameter of penumbra is more than 2.5 degrees. Area, therefore, must
be larger or equal than 250 millionths solar hemisphere.
3. c-values:
x - undefined for unipolar groups (class A and H)
o - open. Few, if any, spots between leader and follower. Interior
spots of very small size. Class E and F groups of ’open’ category are
equivalent to Zurich class G.
i - intermediate. Numerous spots lie between the leading and following
portions of the group, but none of them possesses mature penumbra.
c - compact. The area between the leading and the following ends of
the spot group is populated with many strong spots, with at least one
interior spot possessing mature penumbra. The extreme case of com-
pact distribution has the entire spot group enveloped in one continuous
penumbral area.
There exists also the Mount Wilson classification scheme:

Denotes a unipolar sunspot group.
A sunspot group having both positive and negative magnetic polarities,
with a simple and distinct division between the polarities.
A sunspot group that is bipolar but in which no continuous line can
be drawn separating spots of opposite polarities.
A complex magnetic configuration of a solar sunspot group consisting of
opposite polarity umbrae within the same penumbra.
A complex active region in which the positive and negative polarities are
so irregularly distributed as to prevent classification as a bipolar group.
Sunspots and the Solar Cycle

The number of sunspots changes with a 11 years period. Today we know that all
solar activity phenomena are related to sunspots and thus to magnetic activity.
To measure the solar activity the sunspot numbers were introduced:
Here denotes the number of sunspot groups and the number of spots. The
factor is a correction which takes into account for the different instruments used
for the determination of R. In order to smear out effects of solar rotation, R
is given as a monthly averaged number and called the sunspot relative number.
Today there exist better methods to quantify the solar activity however sunspot
numbers are available for nearly 400 years and thus this number is still used.
The Royal Greenwich Observatory (RGO) compiled sunspot observations from
a small network of observatories to produce a data set of daily observations start-
ing in May of 1874. The observatory concluded this data set in 1976 after the
US Air Force (USAF) started compiling data from its own Solar Optical Observ-
ing Network (SOON). This work was continued with the help of the US National
Oceanic and Atmospheric Administration (NOAA) with much of the same infor-
mation being compiled through to the present.
Since 1981, the Royal Observatory of Belgium harbors the Sunspot Index Data
center (SIDC), the World data center for the Sunspot Index. Recently, the Space
Weather forecast center of Paris-Meudon was transferred and added to the ac-
tivities of the SIDC. Moreover, a complete archive of all images of the SOHO
instrument EIT has become available at the SIDC.
Let us briefly summarize the behavior of sunspots during the activity cycle:
The leader spots (i.e. by convention it is defined that the Sun rotates from
east to west; the largest spot of a group tends to be found on the western
side and is called the leader, while the second largest in a group is called
the follower) in each hemisphere are generally all of one polarity, while the
follower spots are of the opposite polarity.
If the leaders and followers are regarded as magnetic bipoles, the orientation
of these bipoles is opposite on opposite hemispheres.
The magnetic axes of the bipoles are inclined slightly towards the equator,
the leader spot being closer. This inclination is about
Towards the end of a cycle spot groups appear at high latitudes with reversed
polarity, they belong to the new cycle whereas those with normal polarity for
the old cycle occur close to the equator. This is illustrated in the so called
butterfly diagram (see Fig. 4.6).
4.2.5 Photospheric Faculae

Near the solar limb, regions brighter than the surrounding photosphere can be
found and are known as photospheric faculae. These structures are hotter than
their surroundings. At the disk center they are not visible. In the neighborhood of
sunspots they tend to overlap and can be identified further from the limb. They
appear in increased numbers in a region prior to the emergence of sunspots and
remain for a rotation or more after the spots have decayed. They are important
for the energy balance between sunspots and the photosphere. Faculae can be
observed on the whole disk using filtergrams. In that case they are often called
plage and attributed to the chromosphere. Photospheric faculae are manifestations

of concentrated azimuthal magnetic fields. One possibility to study sunspots and
faculae at photospheric levels is to use the Ca II K line 0.5 Å off the center with
a 0.15 Å passband.
Polar faculae appear as pointlike, bright photospheric spots near the solar limb
at latitudes of 55 degrees or more (average of 65 degrees). Polar faculae tend to
occur at lower latitudes (as low as 45 degrees) during the years in which there
are only few observable. They can be distinguished from main zone faculae by
their essentially pointlike and solitary appearance, in contrast to the more area-
and grouplike appearance of the main zone faculae (55 degrees or lower). They
have a shorter lifetime (minutes to hours) than ordinary faculae. The brightest
can last for a couple of days, and can be traced farther from the solar limb too.
In connection with the activity cycle it is interesting to note that polar faculae
are most numerous at times of minimum solar activity, which in turn might be an
additional hint for their relation with the upcoming new solar cycle.
4.3 The Chromosphere

The chromosphere can be observed during short phases of solar eclipses. The
spectrum obtained at these rare occasions is called a flash spectrum. The chro-
mosphere lies between the corona and the photosphere. Above the photosphere
the temperature passes through a minimum of 4 000 K and then rises to many
K in the chromosphere and much more rapidly in the transition region until
the coronal temperature is reached. Two very prominent spectral lines
formed in the chromosphere are the so called H and K lines of singly ionized Ca
(called Ca II). These lines are in absorption in the spectrum of the photosphere
but appear as emission lines in the hotter chromosphere. Their strength varies
through the sunspot cycle, the lines are stronger at maximum. The observations
of the variation of the strength of stellar H and K lines provide thus information
about stellar activity cycles. Important chromospheric lines are given in Table 4.1,
the physics of the formation of these lines is complicated since the assumption of
LTE is not valid.
The temperature variation throughout the chromosphere can be described as
follows:
Temperature minimum: near 500 km; here the UV continuum near 1 600 A,
the far IR continuum and the minima in the wings of Ca II and Mg II lines
are formed,
moderately fast temperature increase from to approx. 6 000 K. In the
first plateau there are the emission peaks of Ca II and Mg II, the centre of
the mm continuum and the wing of
temperature plateau near 6 000 - 7 000 K
sharp temperature rise beginning near 8000 K and terminating in a thin
plateau near 22 000K. From the second plateau the central portion of
and the 3 cm continuum is emitted
4.3. THE CHROMOSPHERE 43
Thus by observing in different lines or even in different depths of a particular line,

one can probe the chromosphere at different height levels. As it is indicated above,
it is possible to observe the chromosphere in radio waves at mm to cm wavelengths.
The emission processes here are free free transitions of electrons with a Maxwellian
distribution.
When analyzing the H and K lines bright grains are detected. These bright
grains are produced by shocks near 1 Mm height in the chromosphere.
4.3.1 Radiative Transfer in the Chromosphere

Above the temperature minimum, the spectral lines are formed under non local
thermodynamic equilibrium conditions (NLTE).
Let us start with the change of the specific intensity along a short distance
ds: there will occur absorption and emission, both of which are described by the
coefficients:
absorption coefficient
emission coefficient
For simplicity we consider a homogeneous, plane-parallel atmosphere stratified by
gravity. Then, the properties depend only on the height The surface of the
atmosphere in a strict mathematical sense is where no interactions take place, i.e.
the particle densities are extremely low. The optical depth is defined by:
The source function is the ratio between the two coefficients:
In local thermodynamic equilibrium (LTE) we have the relation:
which is called Kirchhoff’s law, being the Planck function. We can progress
to solve the transport equation:
In this equation being the angle between the normal to the disk center
and the point where observations are done.
From a Taylor series expansion of about a not specified one gets
where was specified to That means, one observes under the angle to
approximately the source function at optical depth
Let us consider two energy levels in an atom which have the quantum numbers
(lower level) and (upper level). The number of atoms per in the lower level
is und in the upper level Of course a transition from to corresponds
to an absorption process, where a photon of energy is absorbed.
Thus the number of transition per is given by:
is the transition probability for the transition On the other hand let
us consider the number of spontaneous transitions from which is independent
on the intensity J:
is the transition probability for spontaneous transitions. Generally, we do

not know what the average intensity is, only in thermodynamic equilibrium
it is equal to the Planck function. In thermodynamic equilibrium there is a direct
balancing between the number of transitions and and the ratio of the
occupation numbers is governed by the Boltzmann formula:
and
where we have put the Planck function. Let us also substitute the Boltzmann
formula:
where are the statistical weights of the states This was first found by
Einstein. We must also consider the induced emission which are transitions from
depending on the intensity J. The number of induced emissions is written
as:
In an induced emission process, the photons emitted have the same directions and
phases as the inducing photons. Thus a detailed balancing in thermodynamic
equilibrium reads as:
and using and the Boltzmann formula:
These relations are called Einstein transition probabilities.

are atomic constants. Though these relations were de-
rived from thermodynamic equilibrium, they must always hold. Therefore, they
can be used to get information for excitation conditions and the source function
in case we do not have thermodynamic equilibrium.
Let us obtain the source function for a given transition between two energy
levels The coefficient includes spontaneous transitions as well as induced
emission processes:
Sometimes the induced emission process is included as negative absorption, there-

fore we then write:
Let us assume that the source function within each transition between two energy
levels is independent of frequency, i.e. the source function in a given line is assumed
to be frequency independent which means and have the same frequency
dependence, writing
and
this integral has to be extended over all frequencies within the line. Then we find:
The net number of absorbed photons is
The number of photons spontaneously emitted per is
This gives us:
and after simplifying:
Please note, that in deriving that equation we have not made any assumption of
an equilibrium condition. This expression is quite general.
How to determine the occupation numbers The number of collisional
excitation per and s is described by:
Here is the probability for an excitation of an electron in level into a

level by a collision with a free electron with velocity The total number of
collisions is obtained by integrating over all collisions with electrons with different
velocities. Under most conditions the distribution of relative velocities corresponds
to Maxwellian veloity dristributions at a given temperature T. Therefore in the
above equation we have written
The number of collisional de-excitations from is given by:
Let us again deal with the simple case of thermodynamic equilibrium:
thus
which yields
and in thermodynamic equilibrium (TE) the Boltzmann formula describes the

ratio
Under non local thermodynamic equilibrium (NLTE) conditions we have no de-

tailed balancing for collisional processes but also radiative excitations and de ex-
citations. In equilibrium situations the sum of all excitation processes must equal
the number of all de-excitation processes for a given energy level.
Let us consider a two level atom. The source function obtained is
is the absorption profile (a Gaussian or a Voigt function) that is normalized to

and and
is the rate coefficient for collisional de-excitation and the Einstein co-
efficient for spontaneous emission. If the collisions dominate radiative
transitions and one obtains S = B(T), which is local thermodynamic equilibrium
LTE. Let us assume << 1. For a resonance line The
number of collisional transitions from level u to level 1 is
is the cross section the mean electron velocity

cm/s is the sound speed) and
therefore, The source function is dominated by the radiation field and only
loosely coupled to the electron temperature via rare collisions.
By these calculation one can understand the typical profile of the Ca II H and
K lines (see Fig. 4.7). There are two intensity minima on the blue and red side
of the line center (called towards the line center two maxima (called
and then at the line center there is a minimum This indicates
that the temperature increases in the corona. While the source function decouples
from the Planck function it reaches a minimum exhibits a small maximum
and finally drops towards the line center. The profile of the well known line is
simpler, there is just a pure absorption. That can be explained with the structure
of the H atom.
A review about the diagnostics and dynamics of the solar chromosphere can
be found in Kneer and Uexküll (1999).
4.3.2 Chromospheric Heating

In the reviews of Ulmschneider et al. (1991) and Narain and Ulmschneider (1990)
mechanisms which have been proposed for the heating of stellar chromospheres and
coronae are discussed. These consist of heating by acoustic waves, by slow and
fast MHD waves, by body and surface Alfvén waves, by current or magnetic field
dissipation, by microflare heating and by heating due to bulk flows and magnetic
flux emergence.
Following to Kalkofen (1990) the quiet solar chromosphere shows three distinct
regions. Ordered according to the strength of the emission from the low and middle
chromosphere they are
the magnetic elements on the boundary of supergranulation cells,

the bright points in the cell interior, and
the truly quiet chromosphere, also in the cell interior.
The magnetic elements on the cell boundary are associated with intense mag-
netic fields and are heated by waves with very long periods, ranging from six
to twelve minutes; the bright points are associated with magnetic elements of low
field strength and are heated by (long-period) waves with periods near the acoustic
cutoff period of three minutes; and the quiet cell interior, which is free of mag-
netic field, may be heated by short-period acoustic waves, with periods below one
minute. This paper reviews mainly the heating of the bright points and concludes
that the large-amplitude, long-period waves heating the bright points dissipate
enough energy to account for their chromospheric temperature structure.
Skartlien et al. (2000) studied the excitation of acoustic waves using three
dimensional numerical simulations of the nonmagnetic solar atmosphere and the
upper convection zone. They found that transient acoustic waves in the atmo-
sphere are excited at the top of the convective zone (the cooling layer) and im-
mediately above in the convective overshoot zone, by small granules that undergo
a rapid collapse, in the sense that upflow reverses to downflow, on a timescale
shorter than the atmospheric acoustic cutoff period (3 minutes). The location of
these collapsing granules is above downflows at the boundaries of mesogranules
where the upward enthalpy flux is smaller than average. An extended downdraft
between larger cells is formed at the site of the collapse. The waves produced
are long wavelength, gravity modified acoustic waves with periods close to the 3
minute cutoff period of the solar atmosphere. The oscillation is initially horizon-
tally localized with a size of about 1 Mm. The wave amplitude decays in time as
energy is transported horizontally and vertically away from the site of the event.
They also made a prediction of how to observe these “acoustic events”: a darken-
ing of intergranular lanes, which could be explained by this purely hydrodynamical
process. Furthermore, the observed “internetwork bright grains” in the Ca II H
and K line cores and associated shock waves in the chromosphere may also be
linked to such wave transients.
The coronal heating problem can be also studied by an energy release that is
associated with chromospheric magnetic reconnection. A one-dimensional circu-
larly symmetric supergranulation reconnection model was investigated by Roald
Colin et al. (2000) with typical quiet-Sun values. In this model, the assumed
source rate of elements determines heating, because all emerged elements eventu-
ally annihilate.
As an example for observational evidence we cite the paper of Ryutova and
Tarbell(2000). They analyzed spectra of CII and OVI lines corresponding to chro-
mosphere and transition region temperatures; these showed significant broadening
and complex line profiles in regions overlying the sites of small scale magnetic
elements in the photospheric network. Doppler shifted multiple peaks in CII line
were always seen soon after the reconnection of magnetic flux tubes occurs and
usually consist of supersonic and subsonic components caused by shocks propagat-
ing upward. Multiple peaks in OVI line have more diverse features: they are not
as persistent as those seen in CII line, and may have the configuration of maximum
intensity peaks corresponding either to forward or reflected shocks.
Ca II grains can also be used as indicators for shocks. Therefore spatio-
temporal correlations between enhanced magnetic fields in the quiet solar inter-
network photosphere and the occurrence of Ca II grains in the overlying
chromosphere were investigated by Lites et al. (1999).
Cauzzi et al. (2000) analyzed the temporal behavior of Network Bright Points
(NBPs) using a set of data acquired during coordinated observations between
ground-based observatories (mainly at the NSO/Sacramento Peak) and the Michel-
son Doppler Interferometer onboard SOHO. The NBP’s were observed in the
line and were found to be cospatial with the locations of enhanced magnetic field.
The “excess”’of intensity in NBPs, i.e. the emission over the average value
of quiet regions, is directly related to the magnetic flux density. Thus in analogy
with the Ca II K line, the line center emission can be used as a proxy for
magnetic structures.
Simultaneous CaII K-line spectroheliograms and magnetic area scans were used
to search for spatial correlation between the CaII bright points in the interior
of the network and corresponding magnetic elements and 60% of the bright points
spatially coincided with magnetic elements of flux density > (Sivaraman
et al. 2000).
4.3.3 Chromospheric Network, Supergranulation

On a full disk photograph taken in Ca II K a bright network surrounding darker is-
land structures becomes visible. This pattern is known as chromospheric network.
It looks like a photographic negative of the photospheric granulation pattern, how-
ever the scale is larger, typical sizes are between 20 000 and 30 000 km. This is the
size of the so called Supergranulation first observed by Leighton et al (1962). The
bright network is cospatial with the magnetic network. The Supergranulation is
also visible on 30 min averaged MDI Dopplergrams. Fig. 5.4 was constructed out
of a full series of 7.4 hours. The frame shown is the result of averaging 30 full disk
velocity maps and subtracting the contribution from the Sun’s rotation. The color
scale is such that dark is motion towards the observer and bright is motion away
from the observer. The signature of the waves is nearly cancelled in this image
since the wave periods are mostly about 5 minutes. The resulting image clearly
shows the Supergranulation pattern. The ”smooth” area in the center is where the
supergranules do not contribute to the signal since what observers see are horizon-
tal motions and MDI measures only the component of motion directed towards or
away from SOHO (Note that supergranules are convective cells, so their motion
is convective, but they are on a much larger scale than granules, and observers
usually see mostly the horizontal motion).
Close inspection shows that the supergranules flow outwards from their centers
so that the edges towards the center are dark (motion toward SOHO) and the
edges towards the Sun’s limb are bright (motion away from SOHO). These flows
are about 400 m/s. The typical lifetime of a supergranular cell is about half a day.
Recent investigations claim a connection between boundaries of coronal holes and
supergranular structures.
In 1969 Parker and Jokipii hypothesized that the random fluid motions associ-
ated with solar supergranulation may influence the interplanetary magnetic field.
Magnetic footpoints anchored in the photosphere execute a random walk and the
resulting magnetic variations are carried away by the expanding solar wind. The
solar satellite mission Ulysses has observed the resulting large-scale magnetic-field
fluctuations in the solar wind.
By spatio-temporal averaging of two-dimensional velocity measurements ob-
tained in the MgI 5173 line November et al. (1981) found the“mesogranulation”,
in order to indicate the supposed convective character of the phenomenon with a
typical scale of 5 - 10 Mm and a lifetime of approximately 2 h.
The convective nature of the mesogranulation as well as the supergranulation
is not sure. E.g. Rieutord et al. (2000) assign mesogranular flows with both
highly energetic granules, which give birth to strong positive divergences (SPDs)
among which we find exploders, and averaging effects of data processing. A similar
explanation is suggested for the supergranulation.
Hathaway et al. (2000) analyzed power spectra from MDI observations. The
spectra show distinct peaks representing granules and supergranules but no dis-
tinct features at wavenumbers representative of mesogranules or giant cells. The
observed cellular patterns and spectra are well represented by a model that in-
cludes two distinct modes - granules and supergranules.
4.3.4 Solar Flares

The first recorded observation of a flare was a local brightening in the visible light
but most solar flares can be observed in the line. The typical energy release
is of the order of within half an hour. We only mention here, that there
are stars of spectral type M where very large flares occur changing their visible
luminosity but not their bolometric luminosity since energy is radiated in the IR.
Flares produce effects throughout the whole electromagnetic spectrum. They
produce X rays and UV radiation which is an evidence for very high temperatures
during a flare outburst. The radio waves indicate that a small fraction of the
particles are accelerated to high energies. Most of the radiation is synchrotron
radiation produced by electrons moving in helical paths around magnetic field
lines. The flux of high energy particles and cosmic rays are also increased at the
Earth as a result of an intense flare. Magnetic storms on Earth often occur with a
delay of about 36 h. This is basically interpreted as an enhancement in the solar
wind which compresses the magnetosphere and increases the magnetic field near
the surface of the Earth. Flares occur in regions where there is a rapid change in
the direction of the local magnetic field. The favored mechanism to explain the
sudden energy release in flares is magnetic reconnection.
4.3.5 Classification of Solar Flares

There are different classification schemes of solar flares:
Optical classification: in this scheme importance classes S,1,2,3,4 are used,

according to the area of the flaring region at disk center (given in millionths
of a solar hemisphere).
In this scheme the letter S stands for subflares.
Soft x-ray classification: since 1970 flares are also classified based on soft
x-ray observations of the Sun in the 1-8 Å band by Earth orbiting satellites.
The size of the flare is given by the peak intensity (on a logarithmic scale)
of the emission.
According to Table 4.3 a B5 flare has a peak flux of Flares
smaller than C1 can only be detected during a solar minimum phase when
the general x-ray background is low. Occasionally, flares exceed class X9 in
intensity and are referred simply to as X10, X11...
Classification into impulsive and gradual : in fully developed flares an im-
pulsive phase is always followed by a gradual main phase. The classification
according to the time scales is indicative of the magnetic topology.
Long duration flares are linked to coronal mass ejections (CMEs) but recent
observations also showed that some short duration flares may have ejecta.
Coronal mass ejections (CMEs) leave the Sun at speeds up to 2000 km/s
and can have angular spans over several active regions whereas flares imply
events that are localized within a single active region. In CMEs the magnetic
field lines are opened in eruptive events. There occurs a closing down or
reconnection within several hours providing a prolonged energy release that
is typical for gradual or eruptive flares. The intersection of the newly formed
flare loops with the solar surface can be observed: two parallel ribbons in
Therefore, in the older literature we find the designation double ribbon
flares for eruptive flares.
Eruptive flares are very important because of their complexity and associa-
tion with geomagnetic storms; during the event the cosmic ray intensity is
also lowered.
Confined or impulsive events may also result from loop top magnetic recon-
nection. An impulsive flare of say is typically spread over an area of
several in Therefore, the main difference between eruptive and
impulsive flares may be the order of intensity.
Radio bursts and flares: solar flares are associated with radio bursts which
are observed at wavelengths ranging from mm to km. The radio classification
scheme was developed during the 1950s by Australian and French solar radio
astronomers. The different types can be easily recognized in the so called
dynamic spectrum: in such a diagram on the x-axis the time is plotted and on
the vertical axis the frequency. Since the frequency varies with height, one
can easily study the evolution with height of this phenomenon that means
the propagation throughout the solar corona.
Bursts of type III and type V are characteristic phenomena of impulsive
flares (or the impulsive or initial phase of fully developed eruptive flares).
Type III bursts and their associated type V continua are attributed to flare-
accelerated electrons moving along open field lines into the corona. Type II
and type IV bursts are most commonly identified with eruptive flares. Type
II bursts show a slow drift emission which can be interpreted by a shock
wave moving out through the corona with a speed of ~ 500km/s. Type IV
emission is related to magnetic reconnection in CME.
Type II radio bursts result from plasma radiation associated with a MHD
shock propagating through the corona. More than 90% of type II bursts have
an associated flare. They accompany 30% of flares with an importance
class 2 and 3. 70% of all type II bursts are associated with a CME.
Type III bursts occur generally in active regions and thus also without
flares. They are related to suprathermal electrons propagating upward in
the corona. Dynamic spectra of type III bursts are characterized by the
above mentioned frequency drifts from high to low frequencies as the beam
excites plasma at lower densities with increasing height in the corona. The
type III dm bursts are related to flares and described above.
4.3.6 Where do Flares Occur?

As a general rule, flares occur above the places in the photosphere with largest x
B. These are the locations where the electric current has a maximum. Preferred
are regions in sunspots or groups of sunspots where new and oppositely directed
magnetic flux emerges from below. Large gradual flares often occur above the
neutral lines in the photosphere which separates regions with opposite magnetic
polarity. Neutral lines are bridged by arcades of loops and in one sees two
bright ribbons formed by the footpoints on each side of the neutral line. Flares
then occur above the part of the neutral line which has experienced most shear
by different surface motions on both sides. In quiet regions, the most powerful
microflares occur at the boundary of supergranular cells. The frozen-in magnetic
field lines are swept to the down-draft region near the supergranular boundary
forming the magnetic network. At time scales of a few tens of minutes these
magnetic elements can be observed to appear and disappear.
Gaizauskas (1989) made a categorization of flare precursors. According to him,
a precursor is a transient event preceding the impulsive phase. We give a short
list here:
Homologous flares: these are earlier flares in the same location with similar
emission patterns. They occur most often in periods of frequent flare activity.
The rate of repetition ranges from a few per hour to several days.
Sympathetic flares: these group consists of earlier flares in different locations
but erupting in near synchronism. From soft x-ray images of the solar corona
it is evident that there exist links between even remote active regions. Studies
have shown that one flare can trigger another.
Soft x-ray precursors: these are transient enhancements in soft x-rays lasting
for several minutes; they occur in loops or unresolved kernels or close to flare
sites. Weak soft x-ray bursts are often observed at the time of the onset of a
CME. Sometimes several tens of minutes prior to the impulsive phase. The
location is at one foot of a large coronal arch which already exists. The
process can be interpreted by a small magnetic structure which interacts
with the large coronal arch at one of its footpoints. The whole structure
becomes then destabilized.
Radio precursors: often tens of minutes before the onset of a flare, changes in
intensity and polarity in microwaves are observed. However the correlation
with flares is not very strict.
UV precursors: small scale transient brightenings above active regions, some
bright UV kernels coincide with the later flares, others do not.
surging arches: a surging arch is a transient absorbing feature visible at

wavelengths displaced from the central core of Simultaneous red- and
blueshifted components are also visible. The arch is initially straight, ex-
pands and unravels in multiple strands by the time the associated flare
erupts. However the link to flares is not very strong.
Prominence eruptions: very often they precede two ribbon flares. The time
delay between the onset of the prominence eruption and the impulsive phase
is of the order of minutes. Enhanced mass motion, a slow rise of the promi-
nence and untwisting can precede the main flare by hours.
Of course in all the cases joint observations covering the whole electromagnetic
spectrum are important. In the review given by Aschwanden et al. (2001) the
authors focussed on new observational capabilities (Yohkoh, SoHO, TRACE), ob-
servations, modeling approaches, and insights into physical processes of the solar
corona.
Characteristics of flare producing sunspot groups were discussed by Ishii et al.
(2000). A review about reconnection theory and MHD of solar flares is given by
Priest (2000).
4.3.7 Prominences
Prominences are great areas of luminous material extending outwards from the so-
lar atmosphere and were first observed during eclipses. They can also be observed
in the light of . Over the photosphere they appear as dark filaments, at the
limb as bright structures. Some prominences are short lived eruptive events, others
can be quiescent and survive many rotational periods of the Sun. The upper parts
are often in the hot corona. Quiescent prominences are made up of material that
is cooler than the photosphere. They often appear as huge arches of dense cool
material embedded in the hot corona. The length of the arch is typically several
100 000 km and the height up to km. A quiescent prominence may change
into an eruptive prominence. The typical thickness of the loop is km. At the
end of its life, a prominence disperses and breaks up quietly or it becomes eruptive
or matter falls back down the field lines to the photosphere. The particle densities
range from which is a hundred times greater than coronal values.
A possible mechanism to understand cool prominence material (temperature
about K) is thermal instability. The equilibrium of the corona requires:
Suppose now that this equilibrium is disturbed locally. The density of the corona
increases in such a disturbed region and it will become cooler than its surroundings.
If we assume that thermal conduction from the hotter surroundings cannot restore
equality of temperature, the dense region will continue to cool until it reaches a new
equilibrium in which its heat input balances its heat output. When a magnetic field
is present, particles can only move along the field lines, this means that thermal
conductivity parallel to the field lines is very much greater than As a result,
the longest dimension of any cool material is likely to be along the field. The
equation of equilibrium of a magnetized fluid acted on by a gravitational field,
in the is:
The perfect gas law:
where is the gas constant and the molecular weight. In a simple model Kip-
penhahn and Schlüter (1957) assumed that the temperature T and the horizontal
magnetic field components were constant and that P, and were func-
tions of alone. The prominence is represented as a plane sheet.
4.4 The Corona

During a solar eclipse, when the moon occults the Sun for a few minutes we can
observe the outer atmospheric layers of the Sun, the chromosphere and the corona
the latter extending far out. The shape of the corona which extends to several
solar radii depends on the sunspot cycle being more spherical around the Sun at
solar maximum.
The corona includes open streamers and closed loops. These phenomena are
associated with magnetic field lines. Those which return to the surface of the Sun
provide closed loops, the open streamers are related to field lines which extend
a large distance from the Sun carrying the solar wind, which is a continuous
mass loss of the Sun. The light from the solar corona was very puzzling since
many strong spectral lines could no be identified when discovered (such as Helium
or Coronium; therefore their names). Later it was clarified that many of these
lines are forbidden lines arising from a transition in which an electron can spend
an unusually long time in an excited state before it returns to the ground level.
Under normal laboratory conditions the atom will undergo many collisions and
the electron will either move to the ground state without emission or move to a
higher level. Therefore, no forbidden lines will be observed. In the corona and in
gaseous nebulae the density of matter is extremely low, collisions are infrequent and
forbidden transitions can be observed. Moreover, the coronal spectrum contains
lines from highly ionized atoms indicating kinetic temperatures of several K
there which was a big surprise when discovered. Typical lines are Ca XII... Ca
XV, Fe XI...Fe XV etc. Here the roman numeral is one more than the number
of electrons removed from the atom. E.g. Ni XVI has lost 15 of its 28 electrons.
Originally the corona could only be observed during a total solar eclipse. With a
coronagraph the light from the photosphere is occulted and blocked out by a disk
placed inside the telescope. Space observations allow a continuous monitoring of
the corona in the UV and EUV.
The most important features seen in the corona are:
Coronal loops are found around sunspots and in active regions in the corona.
These structures are associated with the closed magnetic field lines that
4.4. THE CORONA 57
connect magnetic regions on the solar surface. As it is shown in the chapter

on MHD, in the corona the magnetic field dominates the motion of the
plasma, and therefore the plasma is aligned in magnetic loops. These loops
last for days or weeks. Some loops, however, are associated with solar flares
and are visible for much shorter periods. These loops contain denser material
than their surroundings. The three-dimensional structure and the dynamics
of these loops is investigated for that reason.
Helmet streamers are large cap-like coronal structures with long pointed
peaks. They are found usually over sunspots and active regions. Often a
prominence or filament lying at the base of these structures can be seen.
Helmet streamers are formed by a network of magnetic loops that connect
the sunspots in active regions and help suspend the prominence material
above the solar surface. The closed magnetic field lines trap the electrically
charged coronal gases to form these relatively dense structures. The pointed
peaks are formed by the action of the solar wind blowing away from the Sun
in the spaces between the streamers.
Polar plumes are long thin streamers that project outward from the Sun’s
north and south poles. At the footpoints of these features there are bright
areas that are associated with small magnetic regions on the solar surface.
These structures are associated with the ”open” magnetic field lines at the
Sun’s poles. The plumes are formed by the action of the solar wind in much
the same way as the peaks on the helmet streamers.
Coronal Holes: From X-ray observations it was seen that the temperature of
the corona is not uniform. The lower temperature regions are called coronal
holes. They are particularly prominent near sunspot minimum and near the
solar poles. Coronal holes tend to form near the centers of large unipolar
magnetic regions; a comparison of the X-ray images with those of magnetic
field lines calculated on the assumption that the observed photospheric field
line structures extend into the corona as potential fields indicates that they
are regions of open (diverging) magnetic fields. Coronal holes can also be
observed in spectroheliograms taken in the 10 830 Å line of Helium. They
tend to rotate more slowly than sunspots or supergranular patterns and not
differentially.
The fast-speed solar wind originates form the coronal holes (e.g., Krieger
et al., 1973), and accordingly they are considered the main reason for the
”recurrent” type of geomagnetic activity. They may form at any latitude.
For the solar cycle of greatest importance are the unipolar coronal fields.
When the polar fields are strongest during sunspot minimum polar coronal
holes are well defined. They disappear during the polar field reversals near
sunspot maximum.
4.5 The Solar Wind

The Sun loses continuously mass and this mass loss is called solar wind. The
existence of the solar wind was first suggested to understand magnetic storms on
the Earth. During magnetic storms, the properties of the Earth’s ionosphere are
modified and radio communication can seriously become disrupted for some time
(about 36 hours) after the observation of some violent activity on the Sun (flare).
Such a perturbation cannot be caused by electromagnetic radiation from the Sun
because it takes 8 minutes to reach the Earth. Therefore, it was suggested that
the Sun was emitting particles which caused magnetic storms when they reach the
neighborhood of the Earth.
In that context it is interesting to remark that it was Carrington who discov-
ered in September 1859 a white light flare and then 4 hours after midnight there
commenced a great magnetic storm on the magnetic instruments at Kew. He
reported this observation to the Royal Astronomical Society with his comment:
”while contemporary occurrence may be worth nothing, I would not have it sup-
posed that I lean towards hastily connecting them (the event of the white light
flare and the magnetic storm he observed); one swallow does not a summer make”.
Another hint for solar wind arose from observations of comet tails. These are
produced when comets are close enough to the Sun and the tails always point
away from the Sun. Originally, it was believed that radiation pressure produces
the tails. If small particles in the comet absorb radiation from the Sun they take
up energy and momentum. If they subsequently emit radiation, this emission is
4.5. THE SOLAR WIND 59
isotropic into all directions and this will carry off no momentum- the matter will be
pushed away from the Sun and thus the dust tails are produced. But observations
showed that there is also a plasma tail consisting of ionized gas. If the Sun emits
a continuous stream of plasma, the ionized solar gas would collide with atoms -
momentum is transferred and charge exchange reaction occur: an electron will be
exchanged between an incoming charged particles and a neutral cometary particles
which produced the plasma tail. Since the charged particles move around magnetic
field lines, the plasma tail is aligned with the local interplanetary field.
E.N. Parker predicted the existence of a solar wind from theoretical arguments
showing that a hot corona would imply a continuous stream of plasma.
The solar wind varies in strength through the solar activity cycle. It has an
average speed at the Earth of about 400 km/s. The total mass loss is a few
This is about 1 million tons of solar material flung out into space
every second. If the solar wind was the same in the past then today the total mass
loss of the Sun over that period would be in the order of Also, the mass
loss rate is comparable with that due to nuclear reactions.
The solar wind flows along the open magnetic field lines which pass through
coronal holes. Additionally to the solar wind, the Sun also looses mass by coronal
mass ejections (CME’s). Some of them but not all are accompanied by solar flares.
Low speed winds come from the regions above helmet streamers we have discussed
above while high speed winds come from coronal holes. However, if a slow moving
stream is followed by a fast moving stream the faster moving material will interact
with it. This interaction produces shock waves that can accelerate particles to
very high speeds.
As the Sun rotates these various streams rotate as well (co-rotation) and pro-
duce a pattern in the solar wind much like that of a rotating lawn sprinkler. At
the orbit of the Earth, one astronomical unit (AU) or about km from the
Sun, the interplanetary magnetic field makes an angle of about 45 degrees to the
radial direction. Further out the field is nearly transverse (i.e. about 90 degrees)
to the radial direction.
As the solar wind expands, its density decreases as the inverse of the square of
its distance from the Sun. At some large enough distance from the Sun (in a region
known as the heliopause), the solar wind can no longer ”push back” the fields and
particles of the local interstellar medium and the solar wind slows down from
400 km/s to perhaps 20 km/s. The location of this transition region (called the
heliospheric termination shock) is unknown at the present time, but from direct
spacecraft measurements must be at more than 50 AU. In 1993 observations of 3
kHz radiation from Voyagers 1 and 2 have been interpreted as coming from a radio
burst at the termination shock. This burst is thought to have been triggered by
an event in the solar wind observed by Voyager 2. From the time delay between
this triggering event and the observation of the 3 kHz radiation, the distance of
the termination shock has been put between 130 and 170 AU.
As it has been stated already, the particle density of the solar wind varies.
From May 10-12, 1999, the solar wind dropped to 2% of its normal density and
to half of its normal speed. This severe change in the solar wind also changed the
shape of Earth’s magnetic field and produced an unusual auroral display at the
North Pole.
The chemical composition of the solar wind is interesting to investigate since
it gives us hints about its origin, i.e. the sources. The most important fact is that
the solar wind composition is different from the composition of the solar surface
and shows variations that are associated with solar activity and solar features
(Bochsler, 2001).
Also magnetic clouds have been observed in the solar wind. These are produced
when solar eruptions (flares and coronal mass ejections) carry material off of the
Sun along with embedded magnetic fields. These magnetic clouds can be detected
in the solar wind through observations of the solar wind characteristics - wind
speed, density, and magnetic field strength and direction.
References on magnetic clouds can be found in Burlaga et al. (1981). About
one half of all magnetic clouds have (and usually drive) upstream interplanetary
shocks, or steep pressure pulses, that in most cases possess large energy- and dy-
namic pressure-increases across their ramps in a stationary frame of reference.
When such a sharp upstream pressure increase encounters the Earth’s magne-
tosphere it pushes it in causing a major reconfiguration of its boundary current
system measured on the ground usually some (5-10) hours before the start of the
main phase of a magnetic storm (Lepping, 2001).
Coronal mass ejections (CMEs) and solar eruptions in general are assumed to
result from quasi-static changes in the photospheric magnetic field which increase
the magnetic energy in the corona and cause sudden release of the stored energy.
This hypothesis is also called storage-release hypothesis. Chen (2001) discusses a
new theory to explain the physics of CMEs. This theory claims that the initial
structure is a magnetic flux rope that is ultimately connected to the solar dynamo
in the convection zone and that magnetic energy propagating from the source along
the submerged magnetic structure enters the corona and drives the eruption. It
predicts that CMEs evolve into interplanetary magnetic clouds (MCs).
Let us give some theoretical arguments of the solar wind and describe its prop-
erties in more detail. Suppose the hot corona sits in static equilibrium on the top
of the solar atmosphere. In such a case the pressure gradient in the corona must
be balanced by the gravitational attraction of the Sun:
In this equation we have replaced the variable M by since the mass of the
corona is negligible to the total mass of the Sun. We also can write:
is the number of particles per unit volume and is the average particle mass.
Please also note that is the kinetic temperature of the corona which is far
from thermodynamic equilibrium.
In the corona, conduction is important for energy transport and if is the
coefficient of heat conduction, then
where is constant. If there is no inertial release of heat in the corona, the

outward flow of heat must be constant:
This equation can be integrated:
where are radius and temperature at some point in the corona. Combining
all four above equations one gets P and as a function of When expanding this
to the Earth one gets a kinetic temperature of K and a particle density of
Parker pointed out that a solution of such a system to the edge of the
solar system gives nonsense. At large values of the value of P becomes constant,
so that This is higher than the pressure of the interstellar medium and
thus a static model of the corona does not make sense.
If the material of the corona moves outward with a velocity in the radial
direction, then equation 4.59 together with 4.60 becomes
Mass conservation requires:
The thermal conduction equation must also be modified to allow for the outward
flow of kinetic energy. The resulting set of equations can only be solved numeri-
cally. Let us do the following substitutions:
Where is the radius at the base of the corona and the value of there.
We obtain then:
4.5.1 High Speed Solar Wind

The high speed solar wind emanating from large coronal holes requires additional
energy. It has been shown that Alfvén waves from the Sun can accelerate the
solar wind to these high speeds. The Alfvén speed in the corona is quite large and
therefore Alfvén waves can carry a significant energy flux even for a small wave
energy density. These waves can therefore propagate through the corona and inner
solar wind. The wave velocity amplitude in the inner corona must be 20-30 km/s.
In the corona and inner solar wind region, the flow speed is much smaller than
the Alfvén speed and the solar wind flow and the wave energy transport are along
the magnetic field lines. In this region, the wave energy flux F in a magnetic flux
tube is approximately constant:
... mass density, wave velocity amplitude, Alfvén speed and A is the
cross section of the flow tube. The magnetic flux is constant, so that the
wave velocity amplitude changes with density as
The subscript 0 indicates a reference level in the inner corona.
4.5.2 Other Diagnostics for the Solar Wind

First we want to mention that besides SOHO two satellite missions measure the
solar wind: Ulysses and ACE. Ulysses was launched from the space shuttle Dis-
covery in 1990. The spacecraft made a journey to Jupiter where the giant planet’s
gravity pulled the spacecraft into a trajectory that carried it over the Sun’s south
pole in the fall of 1994 and its north pole in the summer of 1995. The next passes
over the Sun’s south pole occurred during fall 2000 and over the north pole during
2001. These two orbital passes provide views of the solar wind at times near the
minimum of solar activity and the maximum of solar activity. The solar wind
speed, magnetic field strength and direction, and composition were measured.
The Advanced Composition Explorer (ACE) satellite was launched in August
of 1997 and placed into an orbit about the Lagrangian point between the Earth
and the Sun. The point is one of several points in space where the gravitational
attraction of the Sun and Earth are equal and opposite located about 1.5 million
km from the Earth in the direction of the Sun. ACE has a number of instruments
that monitor the solar wind.
The SOHO/SWAN experiment (Solar Wind ANisotropies) measures the
radiation that is scattered by hydrogen atoms, which flow into the solar system.
This scattered radiation is called interplanetary Lyman alpha radiation and SWAN
observes interplanetary Lyman alpha radiation from all directions of the sky. These
Hydrogen atoms collide with solar wind protons and get ionized. This yields to
an ionization cavity around the Sun. But the form and shape of this cavity is
dependent on the solar wind. Therefore the measurement of the interplanetary
UV glow permits to determine the solar wind latitudinal distribution. If the
solar wind were isotropic, the hydrogen distribution and the Lyman alpha emission
pattern would be axisymmetric around the direction where the interplanetary
hydrogen flows into the solar system. However, this is not true.
Planetary Magnetospheres
Here we briefly describe measurements of the magnetic fields of other planets which
are useful as diagnostics of the solar wind. The magnetic field of Mercury and the
structure and dynamics of Mercury’s magnetosphere are strongly influenced by the
interaction of the solar wind with Mercury. In order to understand the internal
magnetic field, it will be necessary to correct the observations of the external field
for the distortions produced by the solar wind. The satellites Helios 1 and 2 made
a number of passes in the region traversed by the orbit of Mercury; thus it is
possible to investigate the solar wind environment of Mercury. The variables that
govern the structure and dynamics of the magnetospheres of Mercury and Earth
are approximately 5-10 times larger at Mercury than at Earth. Thus, the solar
wind interaction with Mercury will be much stronger than the interaction with
Earth (Burlaga, 2001). The solar wind is not constant and since Mercury is closer
to the origin of it, the solar wind at Mercury is probably more variable than that
at Earth.
Mercury, Earth, Jupiter, Saturn, Uranus, Neptune, and Ganymede (satellite
of Jupiter), have presently-active internal dynamos while Venus, Mars, at least
two of the Galilean moons, the Earth’s moon, comets and asteroids do not. These
active dynamos produce magnetic fields that have sufficient strength to stand off
the pressure of the exterior plasma environment and on the other hand interest-
ing interactions with the solar wind can be studied. Moreover, e.g. the jovian
magnetosphere includes a strong time-varying energy source that adds to the dy-
namics of its magnetosphere and produces a quite different circulation pattern
than that found at Earth and, presumably, Mercury. Also the unmagnetized plan-
ets Venus, Mars and even comets have induced magnetospheres associated with
the solar wind interaction with their atmospheres. Cometary magnetospheres,
parts of which can be remotely sensed, exhibit spectacular disruptions called tail
disconnections. Even the atmosphereless bodies with weak magnetic fields can
interact with the solar wind. Small magnetic anomalies on the moon and possibly
asteroids cause weak deflections of the solar wind. This is discussed in the paper
of Russell (2001).
Krymskii et al. (2000) investigate the interaction of the interplanetary mag-
netic field and the solar wind with Mars. Data from the Mars Global Surveyor
mission have shown that localized crustal paleomagnetic anomalies are a com-
mon feature of the Southern Hemisphere of Mars. The magnetometer measured
small-scale magnetic fields associated with many individual magnetic anomalies

(magnitudes ranging from hundreds to thousands nT at altitude above 120 km).
Thus Mars is globally different from both Venus and Earth. The data collected
by Lunar Prospector near the Moon were interpreted as evidence that above re-
gions of inferred strong surface magnetic fields on the Moon the solar wind flow is
deflected, and a small-scale mini-magnetosphere exists under some circumstances.
With a factor of 100 stronger magnetic fields at Mars and a lower solar wind
dynamic pressure (because of the greater distance), those conditions offer the op-
portunity for a larger size of small ‘magnetospheres’ which can be formed by the
crustal magnetic fields. The Martian ionosphere is controlled both by solar wind
interaction and by the crustal magnetic field. Therefore, the nature of the Martian
ionosphere is probably different from any other planetary ionospheres, and is likely
to be most complicated among the planetary ionospheres (Shinagawa, 2000).
Bochsler (2001) discusses the effect that CMEs have on the composition of
the particle flux. SOHO/LASCO observations show that even at times of so-
lar minimum these spectacular events fed an important part of the low latitude
corona. Elemental and isotopic abundances determined with the new generation
of particle instruments with high sensitivity and strongly enhanced time resolution
indicate that mass-dependent fractionation can also influence the replenishment
of the thermal ion population of the corona. Furthermore, selective enrichment of
the thermal coronal plasma with rare species such as can occur. Such compo-
sitional features in energetic particles are known from impulsive flare events but
it seems that also the above mentioned effect must be taken into account.
The global solar wind structure from solar minimum to solar maximum is
reviewed by Gibson (2001).
4.6 Heating of the Corona

The original idea for the heating of the corona was entirely non-magnetic. From
laboratory experiments we know that if a fluid is set into violent motion, it emits
sound with the amount of sound rising as a high power of the average velocity of
the fluids. As we have seen, the outer layer of the Sun has convective motions.
If these convective motions produce sound waves, they must propagate outwards
from the surface of the Sun. The wave motion has an energy density of
This energy is conserved. If the wave moves into a region of lower density,
then the wave amplitude must increase. The wave turns into a shock wave and
there is a strong dissipation of energy. This is converted into heat and the local
temperature raises. However it turned out that a purely acoustic heating of the
corona is not sufficient to explain the high temperatures there. Acoustic heating
may be important in the outer layers of some stars.
Today we assume that the following two processes are the main reason for the
hot corona:
4.7. VARIATIONS OF THE SOLAR DIAMETER 65
MHD waves: as it has been outlined, when a magnetic field is present there
are two characteristic speeds of wave propagation, the sound speed and
the Alfvén speed If magnetic effects are negligible but this is
not the case for the outer solar atmosphere. The heating process by MHD
waves is analogous to the above mentioned acoustic heating. But it has to
be noted again that MHD waves have an anisotropic propagation.
Magnetic reconnection: The footpoints of magnetic fields often are seen to

be anchored in the photosphere. In this region they are being continually
moved around by convective motions. Thus magnetic reconnection occurs
and electric currents flow which are dissipated.
4.7 Variations of the Solar Diameter

When measuring the solar diameter one has to take into account that the Sun
is a gaseous sphere and its diameter is in principle a matter of definition. When
looking at the solar limb, the decrease of the tangential optical depth from unity
to essentially zero occurs over only a few hundred km which is small compared to
the total solar radius. A major decrease occurs within 0.2 arcsec of both sides of
the point of inflection when regarding a scan. Therefore, one can define a solar
diameter this way.
Ground based measurements of the solar diameter exist over more than 300
years. Because of the small variations the results are controversial and inconsistent.
The first determination of the solar diameter was made by Aristarchus 270 b.c. He
obtained a value of 900 arcsec. The first accurate measurements were performed by
Mouton in the year 1970 at Lyon during the period of 1959-1961 and he obtained
a value of 960.6 arcsec for the solar semidiameter. From historical data it may be
deduced that the solar radius may have been larger during the Maunder Minimum.
As we have seen this minimum of solar activity coincided with extremely cold
periods in Europe and the Atlantic regions (Ribes et al. 1991). Also Laclare
et al. (1996) found a larger solar radius during solar minimum. However other
groups (Ulrich and Bertello, 1995, Noel, 1997 and Basu 1998) found a positive
correlation: the solar diameter increases with enhanced solar activity. Besides
a possible variation of the solar radius with the solar cycle there are also hints
that the solar radius changes over timescales of 1 000 days to 80 years (Gilliland,
1980). Thus we see that there is a wide range of measurements and the results are
ambiguous. From helioseismic measurements Dziembowski et al. (2000) deduced
solar radius fluctuations and they found a change of 10 mas between 1996 and
1998.
The fact that these measurements are controversial is related to the problem
that the fluctuations are quite small and Earth bound observations are always
limited by seeing. Thus one wants to reduce this effect by using balloon borne
instruments (Sofia et al. 1994) or satellite data (Michelson Doppler Imager, MDI
on board of SOHO). These data are free of atmospheric disturbances and promise
very accurate determinations of the solar radius.
Why is it important to study solar radius variations? The radiated energy of

the sun comes from the nuclear energy generation (Fusion of H to He) in the deep
solar interior. In the solar core at a temperature of more than 10 Million K the
energy is generated by the fusion of H to He and high energetic ray photons are
emitted. These energetic photons are absorbed and re-emitted in the solar interior
(mean free path between the absorption processes is only 1 cm) and therefore for
a photon generated by such nuclear reaction, it takes more than 1 million years to
diffuse out of the core region. Thus one can argue that the emergent luminosity at
the core outer boundary is effectively constant on solar cycle timescales. If there
is any luminosity variability at the surface there must be an intermediate energy
reservoir between the core and the photosphere. There are several mechanisms for
storing energy during a solar activity cycle, such as magnetic fields or gravitational
energy. Each of them leads to distinct perturbations in the equilibrium structure
of the sun. Therefore, one can argue that a sensitive determination of the solar
radius fluctuations can help to understand the solar cycle and it is clear that the
magnitude of the radius fluctuations compared to the luminosity change contains
information on where and how energy is stored.
Sofia and Endal (1979) introduced the parameter W by:
The models predict a wide range for W:

Spruit, 1982;
Gilliland, 1980;
Dearborn and Blake, 1980;
Sofia and Endal, 1979;
W could be positive or negative, Lydon and Sofia (1995).
In the following we discuss briefly some measurement methods and give the
results.
4.7.1 Satellite Measurements

Emilio et al. (2000) used SOHO MDI measurements to derive possible variations
of the solar diameter. They used 1 minute cadence images, and these were low
pass filtered in order to remove solar 5 minute p mode intensity oscillations. The
limb pixels (2 arcsec / pixel) were downlinked every 12 minutes. The data set used
was between 1996 April 19 and 1998, June 24. They did not use data obtained
after the recovery of SOHO in November 1998 because of the frequent instrument
mode interruptions and focal length calibration difficulties. They find annual
radius variations at an amplitude of 0.1 arcsec and a secular increase of about the
same amplitude over the period between 1996 and 1998. The systematic variation
is caused by the changing thermal environment of the MDI front window which
4.7. VARIATIONS OF THE SOLAR DIAMETER 67
yields small but measurable changes in the telescope focal length. A temperature
gradient of a few degrees from the center of the window to the aluminium cell at
the filter edge can produce a weak lens effect; that corresponds to a focal length of
a few km and changes the telescope focal length by a few parts in The secular
change is also influenced by the degradation of the front window and increased
absorptivity.
Thus the MDI data yield lower values of opposite sign. Since Sofia et al.
(1979) claimed that W ~ 0.075, solar cycle changes which affect the convective
efficiency near the photosphere will have a large effect on the solar radius; the
MDI measurements rule out this high value of W and suggest that solar cycle
luminosity changes are not caused by superficial fluctuations in the outer layers of
the Sun.
4.7.2 Measurements with an Astrolabe

Laclare et al. (1996) published results of solar diameter measurements obtained
with the Danjon astrolabe at the Observatoire de la Côte d’Azur; this program was
initiated in 1975 and the instrument consists of a set of 11 reflector prisms which
enables the measurement of the diameter up to 22 times a day at different zenith
distances (from 30 to 70 degrees). Observing a transit requires the recording of
the time when both images of the Sun’s edge, i.e. the direct one and its reflection
on a mercury surface become tangent to each other. At this instant the Sun’s edge
crosses the parallel of altitude (almucantar) which is defined in the instrument by
the angle of the reflector prism and also by the refraction and other terms.
Of course this technique requires a true stability of the almucantar during
observation and Zerodur types of ceramic reflector prims (which are practically
unaffected by dilation) and a mercury mirror establishing the horizontal plane are
used.
Furthermore, the observations were cleared of personal bias by using an acqui-
sition system equipped with a CCD camera at the focal plane of the instrument.
The limb was defined as the point where the intensity distribution on a CCD line
has its inflection point (zero of the second derivative of the solar limb function).
For each frame then the limb was reconstructed by a least-square adjustment of a
parabola through the inflection points.
The mean value of the semi diameter was obtained by visual measurements
and by the above described data acquisition system:
5 000 visual measurements, same observer; 1975-1994: 959.46±0.01 arcsec.,
broad band (200 nm) filter was used centered on 540 nm.
CCD acquisition program: 981 CCD measurements in the period 1989-1994;
mean value= 959.40±0.01 arcsec.
Correlations with solar activity: nearly opposing trend; high activity means
smaller diameter.
It is important to notice that all ground based observations must take into
account the quasi biennial oscillation in the Earth’s atmosphere.
4.7.3 Other Semi Diameter Variations

In this paragraph we just summarize some semi diameter variations given in the
literature. The authors do not suggest a possible solar cycle dependence.
Other astrolabe measurements were done by Sanchez et al. (1995) at the San
Fernando Observatory (Cadiz), Noel (1995) at Santiago and Leister et al at Sao
Paulo Observatory (1990). Ribes et al (1991) report on photoelectric measure-
ments made at HAO in Boulder from 1986-1990; Wittmann et al. (1993) report
on measurements using drift timing in Izana and Locarno. Other authors measured
the solar diameter from eclipse data (e.g. Kubo, 1993).
Chapter 5
Testing the Solar Interior
So far we have discussed several aspects of solar activity. In order to understand

the solar activity cycle it is necessary to test the solar interior and there are two
observational possibilities:
Solar neutrinos, that are emitted during nuclear reactions.
Propagation of seismic waves.
5.1 Neutrinos
5.1.1 General Properties
Let us consider the well known Beta decay. If the nucleus of an atom has too many
neutrons the most likely course is that the nucleus emits an electron. This has
the same effect as turning one of the neutrons into a proton. Such electrons are
historically referred to as beta rays having been named before they were identified
as electrons. An example of beta decay is the decay of tritium or into
Interestingly enough, the neutrino was first invented as an ad hoc hypothesis, in

order to save the laws of conservation of energy and momentum from falsification.
Around 1930, in the first detailed studies of radioactive beta-decays, it was found
that some energy and momentum went missing in each decay. Beta decay involves
the conversion of a neutron into a proton, accompanied by the emission of an
electron, and nothing else visible. The energy carried away by the electron ought to
match the energy released by the atom in the process but it didn’t! Wolfgang Pauli
proposed to explain this discrepancy by postulating that an additional, invisible
particle was emitted along with the electron, carrying away the missing energy
and momentum. This ”ghost particle” was named neutrino.
There exist three families of elementary particles, each family consisting of two
quarks, and two leptons. Quarks are constituents of protons and neutrons. Lepton
69
70 CHAPTER 5. TESTING THE SOLAR INTERIOR
is the collective term for electrons and neutrinos and their relatives in the other
families. The electron and the (electron-)neutrino make up the lepton pair
of the first family. In the other two families, the electron-equivalents are called
muon and tau each with their neutrino partner, called mu-neutrino and
tau-neutrino So we have three different charged leptons: electron, muon, and
tau; and three neutrinos, one associated with each of the three charged leptons.
The was discovered in 1988.
5.1.2 Solar Neutrinos

As we have seen, neutrinos are produced in the first reaction of the pp chain having
an energy between zero and 0.42 MeV. The maximum energy for the neutrinos
from the decay of is about 15 MeV. All neutrinos interact very weakly with
matter, the probability of absorption increases with their energy. The rare
neutrinos are more likely to be absorbed. The absorption cross section is the
effective area offered by a target particle to a beam of incident particles. For
neutrinos the cross section is:
When we compare this value to the cross sections in atomic and nuclear physics
which are about we see that neutrinos can penetrate the whole
Sun without being absorbed and therefore they can be used to test our models.
The distance between collisions, the mean free path if the target particles have
a number density is given by:
For a solid target one has and therefore m for neutrinos. So

neutrinos have an extremely large value of the mean free path. How can we detect
them? There are many neutrinos coming from the Sun passing the Earth: about
With the cross section and the number density given above, the
number of detections N would be:
That means about one neutrino per month per cubic meter of the detector.
5.1.3 Solar Neutrino Detectors

The first experiment to detect solar neutrinos was a reaction with neutrinos
resulting in which is unstable and decays to The decay of Ar can be
detected.
5.1. NEUTRINOS 71
Only neutrinos with energies > 0.8 MeV can be detected by this reaction. This
rules out the most numerous low energy neutrinos (first reaction in the pp chain).
The is in a tank containing gallons of perchlorethylene in the
Homestake Gold Mine in Lead, South Dakota. The experiment has to be placed
deep below the surface to avoid contaminating reactions produced by cosmic rays.
Ar is an inert gas, one can extract it from the tank and observe its decay elsewhere.
Neutrino detections are measured by the solar neutrino flux unit defined by:
Since the experiment contains about atoms one has to expect one detection
every
Theoretical models of the Sun predict the following count rates:
However the measured flux is:
As it has been stressed already, the chlorine experiment is (according to standard

solar model predictions) sensitive primarily to neutrinos from the rare fusion reac-
tion that involves neutrinos which are produced in only 2 of terminations of
the pp cycle. In a conference held in Brookhaven, 1978, it was therefore suggested
to design new experiments that are sensitive to the low energy neutrinos from the
fundamental pp reaction. Using instead of chlorine was first proposed by
the Russian theorist Kuzmin in 1965. However about 3 times the world’s annual
production of Ga would be needed to perform that experiment.
In the Ga experiment, neutrinos with an energy can initiate the
reaction:
Therefore, many of the pp neutrinos are included. The SAGE is a Russian/Amer-

ican experiment and uses 60 tons of metallic Gallium. The GALLEX experiment
is a European experiment located underground in Italy. It uses 30 tons of Ga in a
solution. More than half of the neutrinos that can be detected with this
experiment come from the second most important contribution of the pp chain,
from Again the results are inconsistent with theoretical predictions with a
discrepancy by a factor of about 2 however they provided a first experimental
indication of the presence of pp neutrinos.
The Kamiokande experiment uses a large tank of pure water sited underground
and its aim was to study the possible decay of the proton. The half life of a p
is ~ The neutrino detector picked up a number of neutrinos from the
explosion of the supernova SN 1987A in the Large Magellanic Cloud, which is a
neighbor of our galaxy. In an updated version (Kamiokande II) 0.68 kilotons of
water were used and above 7.5 MeV can be detected. The water experiment
Kamiokande detects higher energy neutrinos (above 7 MeV) by neutrino-electron
scattering and according to the standard solar model the decay

is the only important source of these higher-energy neutrinos. The experiment
clearly showed that the observed neutrinos come from the sun because the electrons
that are scattered by the incoming neutrinos recoil predominantly on the direction
of the sun-earth vector. The relativistic electrons are observed by the Cerenkov
radiation they produce in the water detector.
The results of the gallium experiments, GALLEX and SAGE gave an average
observed rate of 70.5 ±7 SNU. This is in agreement with the standard model by the
theoretical rate of 73 SNU that is calculated from the basic pp and pep neutrinos.
The neutrinos which are observed above 7.5 MeV in the Kamiokande exper-
iment, must also contribute to the gallium event rate. This contributes another
7 SNU, unless something happens to the lower energy neutrinos after they are
created in the Sun. Thus the Ga experiments are in accordance with predictions
if we exclude everything but the pp neutrinos. This is sometimes called the third
neutrino problem.
The calculated pp neutrino flux is approximately independent of solar models;
it is closely related to the total luminosity of the sun.
Summarizing the the neutrino problem we can state:
smaller than predicted absolute event rates in the chlorine and Kamiokande
experiments.
incompatibility of the chlorine and Kamiokande experiments,
very low rate in the Ga experiment which implies the absence of neutri-
nos although neutrinos are present.
Solar neutrino experiments are currently being carried out in Japan (Super
Kamiokande,Takita (1993), Totsuka (1996)), Canada (SNO, Sudbury, using 1 kilo-
ton of heavy water; Mc Donald, (1991)) and in Italy (BOREXINO, ICARUS, GNO
(Gallium Neutrino Observatorium), each sensitive to a different energy all working
in Gran Sasso, Arpesella et al. (1992)), in Russia (SAGE, Caucasus) and in the
United States (Homestake). The SAGE, chlorine and GNO work radiochemical,
the others electronic (recoil electrons produced by the neutrino interactions using
Cerenkov effect).
The gallium solar neutrino detector consists of 30.3 tons of gallium, in the form
of 103 tons of an acidic solution of gallium chloride.
Solar neutrinos with energy larger than 230 keV interact with the nuclei.
As a consequence the following reaction takes place (inverse beta decay):
It is important to remark that, due to the low threshold for this reaction, most of
the captured solar neutrinos are the low energy ’pp’ neutrinos.
The neutrino interaction rate is very low, of the order of one interaction per
day in the whole detector mass.
produced by neutrinos is radioactive (halflife about 16 days), and decays
by electron capture into (the reverse process of the solar neutrino capture).
5.1. NEUTRINOS 73
The accumulates in the solution, reaching equilibrium when the number of

atoms produced by neutrino interactions is just the same as the number of
the decaying ones. When this equilibrium condition is reached, about a dozen
atoms are present inside the 103 tons gallium chloride solution (containing
Ga nuclei). The solution is exposed for four weeks, about 12 Ge nuclei are
present and are chemically extracted into water by pumping of N through
the tank. Then it is converted into Ge gas and the decays are observed.
The Sudbury Neutrino Observatory (SNO) is located at 6800 feet under ground
in a mine in Sudbury, Ontario. The neutrinos react with heavy water producing
flashes of light (Cerenkov radiation). The principle is as follows:
As the neutrino approaches the deuterium nucleus a heavy charged particle of

the weak force (called the W boson) is exchanged. This changes the neutron in
deuterium to a proton, and the neutrino to an electron. The electron, according
to mechanics, will get most of the neutrino energy since it has the smaller mass
(consider a gun that is fired; the bullet, being lighter, gets most of the energy). Due
to the large energy of the incident neutrinos, the electron will be so energetic that
it will be ejected at light speed, which is actually faster than the speed of light in
water. This causes the optical equivalent of a ”sonic boom”, where a ”shock wave
of light” is emitted as the electron slows down. This light flash, called Cherenkov
radiation, is detected.
The current status of solar neutrino experiments was reviewed by Suzuki (1998).
5.1.4 Testing the Standard Solar Model

We will speak about helioseismology in a later chapter, however in this context it
should be noted that results from helioseismology have increased the disagreement
between observations and the predictions of solar models with standard neutrinos.
Helioseismological measurements demonstrate that the sound speeds predicted by
standard solar models agree with high precision with the sound speeds of the sun
inferred from measurements. This leads to the conclusion that standard solar
models cannot be wrong to explain the discrepancy.
The square of the sound speed is:
where T is the temperature and the mean molecular weight. Sound speeds can
be determined with the aid of helioseismology to a very high accuracy (better
than 0.2% rms throughout nearly the whole sun). Thus one can estimate tiny
errors in the model values of T and as measurable discrepancies in the precisely
determined helioseismological sound speed:
The quantitative agreement between standard model predictions and helioseismo-

logical observations rules out solar models with temperature or mean molecular
weight profiles that differ significantly from the standard values. This observational
agreement rules out in particular solar models in which deep mixing has occurred.
The best agreement is obtained when including the effect of particle diffusion-
selective sinking of heavier species in the sun’s gravitational field. Models with-
out taking into account of this effect have rms discrepancies between predicted
and measured sound speeds as large as 1% (e.g. Turck-Chièze and Lopez (1993)
whereas models including this effect have rms discrepancies of 0.1% (Bahcall et
al., 1997).
The sound-speed profile in the Sun was determined by carrying out an asymp-
totic inversion of the helioseismic data from the Low-Degree (l) Oscillation Ex-
periment (LOWL), the Global Oscillation Network Group (GONG), VIRGO on
SOHO, the High-l Helioseismometer (HLH), and observations made at the South
Pole (Takata and Shibahashi, 1998). Then the density, pressure, temperature,
and elemental composition profiles in the solar radiative interior were deduced by
solving the basic equations governing the stellar structure, with the imposition
of the determined sound-speed profile and with a constraint on the depth of the
convection zone obtained from helioseismic analysis and the ratio of the metal
abundance to the hydrogen abundance at the photosphere. Using the resulting
seismic model, neutrino fluxes were estimated and the neutrino capture rates for
the chlorine, gallium, and water Cerenkov experiments. The estimated capture
rates are still significantly larger than the observation.
Solar models with helioseismic constraints and the solar neutrino problem are
discussed in Watanabe and Shibahashi (2001) and Roxburgh (1998).
Is there a correlation between neutrino fluxes and solar activity? On the basis
of an analysis of the production rate at the Homestake station for the period
1970-1990, Basu (1992) found that the solar neutrino flux varies with time in
proportion to the solar wind flux. However, Walther (1999) found that there
exists no significant correlation between the Homestake neutrino data up to run
133 and the monthly sunspot number, according to a test that is based on certain
optimality properties for this type of problem. It is argued that priorly reported
highly significant results for segments of the data are due to a statistical fallacy.
5.1.5 Solution of the Neutrino Problem

How to explain this discrepancy between observations and theory? One explana-
tion comes from particle theory itself. There are three conserved quantities, called
electron, muon and tauon lepton numbers and correspondingly three types of neu-
trinos. There are however indications that some modifications to this standard
model are required. These involve that the neutrinos have small masses and that
the neutrinos can transform from one type to another. The Mikheyev-Smirnov-
Wolfenstein effect (MSW) explains such neutrino oscillations and by the above
mentioned experiments we can only detect electron neutrinos. Another explana-
tion of the discrepancy is that the flux is variable during the solar cycle. This
might be explained if the neutrinos possess a magnetic moment and if interaction
with the solar magnetic field is possible.
Let us give a very simplified explanation of neutrino oscillations. An indispens-
5.1. NEUTRINOS 75
able, but counterintuitive, concept in quantum mechanics is that of superposition.

Suppose a certain particle has a property that can have several different values;
the classic example is that of Schrödinger’s cat (look it up!), let us consider a more
practical one: ordinary playing cards have the property ’suit’, with the four pos-
sible values ’spades’, ’hearts’, ’diamonds’, and ’clubs’. In ordinary non-quantum
life, each individual card has a well-defined suit. However a quantum card may be
in a mixed state, a superposition of, say 30% spades, 60% hearts, and 10% clubs.
When you check which suit that card belongs to, you have a 30% chance of finding
that it’s a spade, 60% chance of finding it’s a heart, and so on. Note that this
is not just a matter of your ignorance of the card’s ”true” suit the point is, it
doesn’t have a single well-defined suit until you check it.
In particle physics, the equivalent of the suits are the three families, discussed
above. A neutrino may belong to any one of the three families, making it or
a or a Or, it may be a superposition of the three family flavors, mixed in
some proportions. Now, the standard model assumes that the neutrinos emitted
from the sun are in a pure state, without mixing. This can be understood
with the quantum mechanical concept of eigenstates. This is well known for the
K meson. An eigenstate is a state that is recognized as pure, non-mixed, without
superposition, in a certain context. In quantum mechanics different interactions
recognize and interact each with a different set of eigenstates for the particles. Try
to apply this to a card game. In different games a heart would become a spade
etc. For most particles and interactions the different eigenstates are identical.
This is not the case for the weak interaction. The weak eigenstates of quarks
are different from their strong/electromagnetic eigenstates. The K0 mesons are
produced in strong interactions of quarks, but decay through weak interactions of
their constituent quarks. Thus, the production eigenstates are different from the
travel/decay eigenstates of the K0. As far as the weak interaction is concerned,
leptons are expected to behave in the same manner as quarks. If neutrinos do have
a tiny mass, and different neutrinos have different masses, they will behave in the
same way as K0 mesons. They will be produced in a weak-interaction eigenstate,
but travel in a mass eigenstate. The mass eigenstate may be different from the
weak eigenstate. The weak-interaction eigenstates are the three neutrino flavors
discussed earlier: When they arrive and interact with our detectors,
they do not arrive as the original weak eigenstate in which they were produced,
but as a mixture of two or more flavors. This is a potential solution to the solar
neutrino problem, since the experiments measure an apparent disappearance of
electron-neutrinos, without measuring the other flavors. If the neutrinos oscillate
from the 100% that they are produced as in the sun, to a mixture with around
40% electron-neutrino and 60% some other neutrinos, we get an agreement with
experimental data.
Neutrino oscillations and the solar neutrino problem are discussed by Haxton
(2001).
The search for neutrino decays during the 1999 solar eclipse is discussed in
Cecchini et al. (2000) involving the emitted visible photons, while neutrinos travel
from the Moon to the Earth.
Alternate Solar models

Other suggestions to solve the neutrino problem are:
1. There is an additional force resisting gravity in the solar interior which re-
duces the central pressure and temperature- maybe rapid rotation, strong
internal magnetic fields. Since the pp chain is strongly dependent on tem-
perature, this might explain a different SNU.
2. The Sun contains a central black hole or neutron star. There occurs a grav-
itational release from accretion providing much of the radiated energy.
3. The surface chemical composition is not typical of the interior composition.
4. Waves or weak interacting particles contribute to the energy transport.
Today the most likely solution of the neutrino problem are the neutrino oscillations
suggesting that our solar model is quite correct. Bahcall and Davis (2000) gave a
recent review about the solar neutrino problem and suggest further experiments.
5.2 Helioseimology-Solar Oscillations

In the 1960s the five minutes oscillations were detected on the solar surface. These
are vertical oscillations with a strongly varying amplitude but a period of five min-
utes, the maximum velocities about 0.5 km/s towards or away from the observer.
The pattern persisted for about half an hour (six cycles of wave motion), then
faded away but a similar pattern would then be in progress elsewhere.
It was realized that these oscillations could be understood in terms of a super-
position of many normal modes of solar oscillations.
Let us consider one analogy: For seismic waves on the Earth one usually has
only one source of agitation - an earthquake. For the Sun, there are many sources
of agitation of solar ”seismic” waves; these sources of agitation causing the solar
waves are processes in the larger convective zone. Because there is no single source,
we can treat the sources as a continuum, so the ringing Sun is like a bell struck
continuously with many tiny sand grains.
Waves travelling from the interior of the Sun up to the surface would be re-
flected back again at the surface boundary. Imagine a wave normal to the surface
of the Sun and travelling towards the center. As the wave travels deeper into the
interior, the temperature increases and the wave is progressively refracted away
from the normal until it turns around and returns to the surface. At the Sun’s
surface the sharp density gradient causes subsequent reflection and the wave heads
back into the Sun. Thus the Sun is a resonant cavity, standing waves are created.
The more often a wave returns to the surface, the less deeply it penetrates before
being turned back and conversely, waves reflected only a few times from the surface
probe much deeper into the Sun .
There are two different types of oscillations depending on the restoring force.
p- modes: the restoring force is the pressure;
5.2. HELIOSEIMOLOGY-SOLAR OSCILLATIONS 77
g-modes: the restoring force is the gravity

There exist also surface waves which are called f-modes. The p-modes have fre-
quencies between 1 hour and two minutes and include the five minutes oscillations
discussed above. The g-modes have much longer periods than the p-modes. It
can be shown that they are trapped in the solar interior beneath the convection
zone. The energy generated in the sun is first transported by radiation and then
at a depth of about 200 000 km by convection. In this convection zone the ampli-
tudes of the g-modes are damped exponentially and thus it is extremely difficult
to observe them at the solar surface.
How can we describe the solar oscillations? First we must make some sim-
plifications. We assume that the sun is strictly spherical. This will provide a
spectrum of oscillation frequencies which will be modified by a) rotation and b)
magnetic fields. A second approximation is that the oscillations are adiabatic.
This approximation is valid since the oscillation period is in general much smaller
than the relevant thermal timescale. A third approximation is that we neglect a
change of the gravitational field of the Sun during the oscillation. This is not true
for radial oscillations: in radial oscillations all matter at any solar radius moves
inward or outward in phase. However if we consider nonspherical modes at short
wavelengths in the horizontal direction this is again a good approximation.
Any oscillation can be described by introducing three quantum numbers
The meaning of these numbers is as follows:
denotes the number of points in the radial direction at which the amplitude
of the oscillation vanishes.
determine the angular behavior of the oscillation over the surface of the
Sun. In addition we have the relation
If denotes the associated Legendre function which can be given in an analytical

form, the inward or outward motion of points on the surface is related to the value
of the real part of the function
where are spherical polar coordinates. If are low, there is a relatively small
number of patches on the solar surface (which oscillate with different directions of
radial velocity). If are large, there is a very large number of such patches. We
speak of a high degree model if is large and conversely if is small. Most of the
observable p-modes have periods between 2 and 10 minutes with 5 minutes as a
characteristic value. These p-modes are trapped near to the solar surface and in
the solar interior. For high values of the modes are trapped close to the surface.
In general the oscillation frequency of any mode depends on the internal properties
of the Sun in the region which the mode can propagate. Thus the observation of
the oscillations can provide information about the manner in which quantities vary
in the solar interior.
If we want to observe solar oscillations we must measure Doppler shifts of the
wavelength of solar spectral lines. These shifts are produced by the motion of
matter towards or away from the observer.
The diagram (Fig. 5.3) is fundamental for helioseismology. This diagram
shows how much acoustic energy there is at each frequency for every one of the
spatial modes of oscillation. A musical instrument should be tuned to a single
frequency and a few harmonious overtones, the Sun resonates in tens of millions of
ways all at the same time. The frequency of each mode reveals a slightly different
part of the Sun’s interior. The spatial modes are identified from patterns on the
dopplergrams that are made each minute. The frequencies are very low compared
to sound waves we are used to hearing. Most of the power is concentrated in a

band near 3 mHz, that’s one oscillation every 5 minutes (Sound waves we can hear
vibrate from tens to thousands of times per second). Higher frequencies aren’t
trapped inside the Sun, so they don’t resonate. Modes with lower disappear in
the background noise. The spatial scale of the modes is indicated by the angular
degree telling how many node lines there are in the pattern at the surface of
the Sun. The l=0 modes are ’breathing’ modes where the whole surface of the
Sun moves in and out at the same time. Higher order modes divide the surface
into a pattern like a checker board, where adjacent squares move in different
directions at any given time. A mode of a particular degree, l, at the surface can
be associated with resonances having any number of nodes in the radial direction
inside the Sun. The number of radial nodes is called the order. The curved lines in
the figure are associated with different radial orders. For a given order (line) the
frequency decreases with increasing spatial degree. For a give degree, the frequency
increases with order. In the Fig. 5.3, the lower left corner is most closely related
to what is happening in the core of the Sun. Moving up in frequency or degree
tells more about what is happening near the surface. Because sound waves of a
particular degree can travel in different directions the lines appear relatively broad.
If the material through which any of these modes is travelling is moving, then the
measured frequency of the mode is affected. The rotation of the Sun causes the
biggest frequency shift and makes the lines shown in the figure broad (frequency
shifting). Other motions within the Sun along the path taken by the waves cause
different types of frequency changes. Analysis of these frequency changes reveals
the internal motions of the Sun.
5.2.1 Theory of Solar Oscillations

Let us briefly describe the basic theory of solar oscillations. We use the basic
equations:
The first equation is the equation of motion, the second the equation of continuity,
the third the adiabatic equation and the last is the Poisson equation, denotes the
gravitational potential and is the fluid velocity, is an effective ratio of specific
heats which reduces to when is constant. The time derivative
follows the motion of the fluid. It is related to the derivative at a fixed point by
If we have an equilibrium situation:
Now we consider small disturbances about this equilibrium in which the per-
turbed quantities are functions of all the spatial coordinates and the time. In
the equilibrium there is no dependence on spherical polar coordinates. For any
variable we can write:
The spherical harmonic is given by:
If the star is spherical the oscillation frequency does not depend on For the
Sun, the departure from sphericity is small and the real oscillation modes have a
behavior close to that shown above but with different modes having different
frequencies. The oscillation frequency depends on and The three numbers
are related to the numbers of times vanishes in the radial-, and
and
The functions satisfy a system of differential equations and the boundary
conditions have to be defined. Since stars do not have sharp surfaces we may
assume to a first approximation that all waves are totally reflected at the surface
which is defined as the level where density and pressure vanish. A further sim-
plification arises when the change in the gravitational potential produced by the
oscillations is unimportant; for most perturbations this is a good approximation
because some parts of the star are moving inwards and others moving outwards.
We define a perturbation vector by
If denotes the velocity of sound in the unperturbed star:
one can write:
and the equation for the radial part of is
In addition to the frequency we have three frequencies:

acoustic cut-off frequency
Here, denotes the density scale height,

Lamb frequency
Brunt-Väissälä frequency N
where
is always real but and N can be imaginary. It can be shown that con-
vection occurs when is negative. We can write our differential equation for
as:
We have to consider the sign of for positive we have a sinusodial behav-

ior with radius. For negative we have an exponential dependence giving an
exponentially decaying mode which is also called evanescent mode. In reality
depends on and For different values of there are regions in the star where the
wave propagates and others where it is evanescent. For both, the high frequency
range and the low frequency range is positive: for the high frequency range
and pressure fluctuations are most important; we have the p-modes.
For low frequencies we have the g-modes where the gravity is the restoring
force.
As it has been already stated, convection occurs where N becomes imaginary.
The p-modes can propagate inside the Sun in a region whose lower boundary is
determined by the Lamb frequency and whose upper boundary is given by the
acoustic cut-off frequency. The g-modes are trapped beneath the convection zone.
The above given treatment is valid for a spherical non magnetic star. The
Sun rotates with a rotation period of approximately 28 days which is small in
comparison with the frequencies of the p-modes. It can be shown that for a
rotating star the oscillation frequency depends on and each oscillation frequency
splits into frequencies Low modes penetrate close to the center;
they can provide some information about the internal rotation of the Sun. High
modes sample the outermost layers.
We only mention here that the study of the effects of the magnetic field on
solar oscillations is much more complex.
5.2.2 Helioseismology and Internal Rotation

The rotation of the Sun can be determined quite straightforward: on the one hand
tracers such as sunspots or other phenomena visible on the disk can be used, on the
other hand, spectroscopic measurements of the plasma can be used. It was found
that the Sun does not rotate like a solid body. It rotates faster at the equator (25
days) and slower near the poles (33 days). Moreover, the rotation rate of sunspots
at mid-latitudes is somewhat faster than that deduced from Doppler shifts of the
surface plasma.
Our Sun is a middle aged star. The surface rotation rates of young solar-type
stars are up to 50 times that of the Sun. Our Sun has lost angular momentum
through the magnetized solar wind. Therefore, the outer convection zone must
have been gradually spinning down. This also had led to the suggestion that the
Sun might still posses a rapidly rotating core, perhaps highly magnetized which
also could explain the neutrino problem.
It is extremely important to know the internal rotation of the Sun because the
interplay between turbulent motions and rotation with magnetic fields is essen-
tial for the solar dynamo which leads to the observed 22 year cycles of magnetic
activity.
Here, helioseismology can help to understand the internal rotation rate. In a
spherically symmetric star the frequencies depend upon and but not on For
each pair, there is a fold degeneracy. Rotation breaks the spherical
symmetry and lifts the degeneracy. Advection causes a wave propagation with the
Sun’s rotation to have a higher measured frequency than a similar wave propa-
gating against rotation. Thus the difference in frequency of a pair of oppositely
propagating modes is proportional to times a weighted average of the rotation
rate where the modes have appreciable amplitude. Here, denotes
rotation at radius and latitude The resulting frequency splitting is half
the value of this difference.
Results on the study of the internal solar rotation rate from the SOHO/MIDI
instrument are given in Fig. 5.4.
Measurement of oscillations
How can we measure these oscillations? Let us briefly describe the main principles
of a Dopplerimager. Consider the intensity profile of an absorption line. If the
material from which this absorption line is emitted moves away from the observer,
the line will be redshifted according to the Doppler effect. We can use this effect
to make velocity images of the solar surface. The light from the Sun is sent
through a filter that alternates between letting through light from a narrow range
of wavelengths on either side of the center of the line. The two light intensities
are measured at every point on the solar surface using an imaging camera. The
difference between the two intensities changes when the spectral line shifts, and
therefore that difference is a measure of the velocity.
Example of Dopplerimages are given in Fig 5.5. In the second example, the
average over 45 min was subtracted thus the Doppler effect due to solar rotation
is eliminated.
MDI is one of the scientific experiments on SOHO. The medium-l data are
spatial averages of the full disk Doppler velocity out to 90% of the solar disk’s
radius; the measurements are taken every minute and one obtains 23 000 bins of
approximately 10 arcsec resolution where solar p modes up to l=300 can be de-
termined. Low-l observables are velocity and continuum intensity images summed
into 180 bins where oscillations up to l=20 can be detected. Analyzing such data
first asymmetries are detected which arise from the interference between an out-
ward directed wave from the source and a corresponding inward wave that passes
through the region of wave propagation. The degree of asymmetry depends on
the relative locations of the acoustic sources and the upper reflection layer of the
modes. Observations of line profiles of solar modes are therefore suitable to test
theories of excitation of solar and stellar oscillations and their interaction with
turbulent convection. Concerning the rotation rate, the main result of that inves-
tigation was that:

Differential rotation: occurs only in the convection zone.
Radiative interior: rotates almost rigidly.
Thin shear layer near the surface.
The transition layer between the radiative and convection zone which is
called the tachocline is mostly located in the radiative zone and at the equator
relatively thin but maybe wider at high latitudes.
There is a sharp radial gradient of the angular velocity beneath the con-
vection zone and the narrow peak of the sound speed at is due to
rotationally turbulent mixing in the tachocline.
More details about these results can be found in Kosovichev et al (1998).
Helioseismology can be used also to give arguments in the question of solar
neutrinos. Turck - Chièze at al. (2001) used sound-speed and density profiles in-
ferred from SOHO/GOLF and SOHO/ MDI data including these modes, together
with recent improvements to stellar model computations, to build a spherically
symmetric seismically adjusted model in agreement with the observations. Their
model is in hydrostatic and thermal balance and produces the present observed
luminosity. In constructing the model, the best physics available was adopted.
Some fundamental ingredients were adjusted, well within the commonly estimated
errors, such as the p-p reaction rate (±1%) and the heavy-element abundance
(±3.5%); the sensitivity of the density profile to the nuclear reaction rates was
examined. The corresponding emitted neutrino fluxes demonstrate that it is un-
likely that the deficit of the neutrino fluxes measured on Earth can be explained
by a spherically symmetric classical model without neutrino flavor transitions.
New insight into the internal structure of the Sun can be obtained by using
time-distance helioseimology. Let us explain this technique by considering seis-
mology on earth. Here, the arrival time of the initial onset of a disturbance is
measured. If we know the variation of seismic velocity with depth within the
earth, then we can calculate the travel time of rays between an earthquake and
a receiver using geometrical approximations. So in principle, we can locate any
earthquake in both time and space by recording the arrival times of waves at
stations worldwide.
In time-distance helioseismology, the travel time of acoustic waves is measured
between various points on the solar surface. To some approximation the waves
can be considered to follow ray paths; these depend on a mean solar model. The
curvature of the ray paths is caused by increasing sound speed with depth below
the surface (see Fig. 5.1). The travel time is affected by various inhomogeneities
along the ray path, including flows, temperature inhomogeneities and magnetic
fields. The technique consists of a measurement of a large number of times between
different locations. Then an inversion method is used to construct 3-D maps of
the subsurface inhomogeneities. A review article on that technique was given by
Duvall et al. (1997).
The Global Oscillation Network Group (GONG) project is a community-based

program to conduct a detailed study of solar internal structure and dynamics
using helioseismology, by means of observations from a network of six stations
spread around the World. To measure solar oscillations one takes a sequence of
images of the oscillation pattern at fixed time intervals. The shorter these time
intervals between the images, the easier it is to identify the oscillations. Of course
the Sun shines only for about half of each day and this causes holes in the time
series. In order to avoid these, researchers have established a network of small,
partly automated telescopes which are located at a suitable distance in geographic
longitude between them. Thus one has at best an uninterrupted view of the Sun.
For GONG these stations are Learmont (Australia), Mauna Loa (Hawaii), Big
Bear (US, California), Cerro Tololo (Chile), Teide Observatory (Tenerife, Spain),
and Udaipur (India). A big problem in such a project is the enourmous amount
of data. Each station in the network produces more than 200 megabytes of data
every day. Details about the instrument used (a Fourier Tachometer) can be found
in Beckers et al. (1978).
The BiSON (Birmingham Solar Oscillations Network) project also has six ob-
servatories, most of which are automated. As it is explained above the GONG
observatories measure the motions on the solar surface caused by the oscillations.
The BiSON observatories do so as well, but unlike the GONG network they mea-
sure an average velocity over the solar surface (the Sun is observed as as a point
source, if it were a star). The measurements therefore are sensitive only to oscilla-
tion patterns with very big wavelengths: all smaller-scale patterns are suppressed
by being averaged. The two techniques for GONG and BiSON are therefore com-
plementary.
Inversion techniques
As we have explained above, the observed oscillation frequencies depend on the
physical structure of the solar interior, e.g the variation of quantities such as
with If we assume a spherical symmetric sun and ignore rotational splitting, then
we can deduce from our model of the solar interior the corresponding oscillations.
Alternatively one can regard as unknowns and use the observed frequencies
in order to obtain them. This is called the inversion method. The total number of
quantities that can be determined in such a way is equal to the number of observed
oscillations. If more frequencies can be identified, a better model of the internal
structure can be obtained.
The Seismic Structure of the Sun from GONG data is described in Gough et
al. (1996).
Chapter 6
MHD and the Solar Dynamo
In this chapter we will explain the basic MHD equations which are needed to
understand solar active phenomena such as spots, prominences, flares etc. The
solar dynamo is needed to maintain the solar activity cycle.
6.1 Solar Magnetohydrodynamics

6.1.1 Basic equations
To understand the surface activity of the Sun and the solar cycle it is necessary
to briefly outline the principles of MHD. The properties of electromagnetic fields
are described by Maxwell’s equations:
Here are the magnetic field, magnetic induction, electric displace-

ment, electric field, electric current density and electric charge density.
If are the permeability and permittivity of free space, then for most
gaseous media in the universe:
The following equation relates the electric current density to the fields producing
it (generalized Ohm’s law):
is the electrical conductivity and is the bulk velocity of the matter. The final
equations depend on the state of matter; if it consists of electrons and one type of
87
88 CHAPTER 6. MHD AND THE SOLAR DYNAMO
ion:
are the number density and velocity of the ions and electrons respec-
tively and are the charges on the ion and the electron.
In astrophysics two simplifications are applied:
magnetic fields are treated as permanent
electric fields are regarded as transient
The third Maxwell equation (6.3) states that there are no magnetic monopoles.
This is a common experience: a division of a permanent magnet into two does
not separate north and south poles. Electric fields can be produced by separating
positive and negative charges through the fourth Maxwell equation (6.4) however
the attraction between these charges is so strong that charge separation is usually
cancelled out very quickly. Through the second Maxwell equation electric fields
can be produced by time varying magnetic fields. Such fields are only significant, if
there are rapid changes by time varying magnetic fields. Magnetic fields produced
by the displacement current are usually insignificant in astrophysical prob-
lems because electric fields are unimportant; however they can be produced by a
conduction current if the electrical conductivity is high enough. Such magnetic
fields may be slowly variable in time and space.
We therefore neglect and combine the equations:
and obtain:
6.1. SOLAR MAGNETOHYDRODYNAMICS 89
and using and
In cartesian coordinates this equation for the coordinate is:
The solution of these equations shows that magnetic fields decay together with
the current producing them. We can derive an approximate decay time: let us
assume the currents vary significantly in distance L, then from (6.10) the decay
time becomes
If at time there exists a sinusoidal field
the solution at a later time t is:
The wavelength of the spatial variation of the field is the original field
decays by a factor in the time
Let us consider typical fields of stars: the dimension of the star L and the
electrical conductivity are both high (if the gas is fully ionized). Therefore, the
lifetime of a magnetic field could exceed the main sequence lifetime, such a field
is called a fossil field.
The same is not true for the Earth. Its field is produced by currents in a liquid
conducting core and continuously regenerated by a dynamo mechanism.
The electrical conductivity of an ionized gas is That means that the
characteristic time for decay of currents in the outer layers of the Sun is much
less than the solar lifetime, whereas the decay near the center exceeds the lifetime
(since the temperature near the surface is about 6 000 K and near the center about
If the field in the solar interior were a fossil field extending throughout
the Sun, the field in the outer layers would now be current free - similar to the
field of a dipole. However we don’t observe this. The surface field is very complex
and therefore it must be also regenerated by a dynamo. It is conceivable that a
fossil field of the Sun was destroyed at the very early evolution of the Sun, when
it was fully convective before reaching the main sequence. Also helioseismology
argues against a strong field.
6.1.2 Magnetic Buoyancy

A magnetic field in a conducting fluid exerts a force per unit volume which is
This can be interpreted as:

grad isotropic pressure,
tension along the lines of magnetic induction.

The isotropic pressure must be added to the gas pressure: let us assume we have a
tube of magnetic flux, and denotes the pressure outside and the pressure
inside the tube:
The gas pressure can be written as where is the gas constant and the
mean molecular weight. With we must have:
A tube of magnetic flux is lighter than its surroundings and will start to rise which
is called magnetic buoyancy.
6.1.3 Magnetic Flux Freezing

To a good approximation, the fluid is tied to the magnetic field. Either the fluid
motions drag the magnetic field lines around (this happens in the solar photo-
sphere) or the magnetic force is so strong that it constrains the motion of the
fluid (this is the case in the outer solar atmosphere). The tying of the fluid to the
magnetic field lines also permits the propagation of MHD waves which have some
similarity to sound waves but a characteristic speed (Alfvén speed):
The sound speed is given by
6.1.4 The Induction Equation

Let us consider again the Maxwell equations. From we can
extract
This is substituted into the Maxwell equation (6.2) yielding:
We have already argued that the displacement current can be neglected in the first
Maxwell equation and therefore from which and
using the formula
from vectoranalysis, we get:
This gives us the final form of the so called induction equation:
Here is the magnetic diffusivity. The case where the plasma is stationary
was already discussed above the field decays in the ohmic decay time
Let us discuss the case when Then, the field is completely
determined by the plasma motions and the induction equation is the equivalent
to the vorticity equation for an inviscid fluid. The magnetic flux through a
material surface S which is a surface that moves with the field, is:
If G is the material closed curve bounding S, the total rate of change of is
In the last equation we have used the Stokes Theorem:
If the total flux across any arbitrary surface moving with the fluid remains
constant, the magnetic field lines are said to be frozen in to the flow.
If are typical velocity and length-scale values for our system, then the
ratio of the two terms on the right hand side of the induction equation gives the
Magnetic Reynolds Number
In an active solar surface region one has arcsec

and we find Thus the field is frozen to the
plasma and the electric field does not drive the plasma but is simply
However, if the length-scales of the system are reduced the diffusion term
becomes important. Then the field lines are allowed to diffuse through the plasma
and this yields to magnetic braking and changing the global topology of the field
(magnetic reconnection).
6.1.5 Magnetic Reconnection

Magnetic reconnection is the process by which lines of magnetic force break and
rejoin in a lower energy state. The excess energy appears as kinetic energy of
the plasma at the point of reconnection. In Fig. 6.2 single arrow lines denote
magnetic field and double line arrows the magnetofluid velocity. As it can be
seen, the merging of two magnetofluids with oppositely oriented magnetic fields
causes the field to annihilate. The excess energy accelerates the plasma out of
the reconnection region in the direction of the full double line arrows. Note the
characteristic X-point, where the topology changes for the field lines.
The plasma, where the field is annihilated is accelerated outwards to Alfvén
speed
density inside the current sheet, M the plasma average molecular weight.
A similar process occurs in coronal loops that were observed in hard and soft x-
rays by Yohkoh and SOHO instruments. Such a coronal loop (see right drawing in
Fig. 6.2) is stretched out by pressure which is provided by buoyancy. A magnetic
structure is buoyant because the particle density is lower there since it contains
larger magnetic energy density. Thus the external pressure is balanced by a lower
gas pressure in conjunction with a magnetic pressure. The top of the loop distends
and reconnection occurs. Particles in the reconnection region accelerate towards
the surface of the sun and out away. Those particles that are accelerated towards
the sun are confined within the loop’s magnetic field lines and follow these lines
to the footpoint of the loop where they collide with other particles and lose their
energy through x-ray emissions. Such processes are the cause of solar flares and
will be discussed in the next chapter.
Magnetic reconnection also provides a mechanism for energy to be transported
into the solar corona.
A similar process occurs in the earth’s magnetotail. The solar wind distends
the Earth’s dipole field so that the field extends far behind the Earth. Earthward
flowing plasma streams with flow velocities up to 1000 km/s (which is close to the
local Alfvén speed) have been observed (Birn et al. 1981).
A recent review on solar MHD was given by Walsh (2001)
6.1.6 Fluid Equations

The continuity or mass equation for a fluid is:
and the total derivative means here:
(See any textbook on fluid dynamics for a derivation of this formula). Now let
us consider the equation of motion in a plasma with velocity the momentum
equation includes the Lorentz force term and other forces such as gravity
and viscous forces:
Here is the plasma pressure. Let us assume a Newtonian fluid with isotropic
viscosity, then may be written as:
is the local gravity acting in the radial direction and the kinematic viscosity.
Let us make thinks more complicated: Consider a frame of reference with angular
velocity at a displacement from the rotation axis:
The three terms in [ ] denote: Coriolis force, change of rotation and centrifugal
force. Stars rotate more rapidly when they are young. Under most circumstances
the latter two terms are small compared with the Coriolis term
6.1.7 Equation of State

The perfect gas law
determines the constitution of stars. Here is the mean particle mass and the
number of particles per unit volume. If denotes the entropy per unit mass of the
plasma, then the flux of energy (heat) through a star becomes:
L is the energy loss function. This function describes the net effect of all the sinks
and sources of energy. For MHD applications this becomes:
In this equation we have:

heat flux due to conduction

coefficient of radiative conductivity
T temperature
ohmic dissipation (Joule heating)
H represents all other sources.
6.1.8 Structured Magnetic Fields

If the plasma velocity is small compared with the sound speed the Alfvén
speed and the gravitational free fall speed the inertial and vis-
cous terms in equation 6.34 may be neglected yielding:
This equation must then be solved with and the ideal gas
law as well as a simplified form of the energy equation.
Let us introduce the concept of scale height. Let
Substitute in the above equation (ideal gas) and integrate:
is the pressure at This defines the local pressure scale height
At solar photospheric temperatures (T ~ 5000 K) we find whereas

at coronal temperatures we find
That concept can also be applied to MHD in the case of magnetostatic balance
discussed above. Assume that gravity acts along the negative direction and
measures the distance along the field lines inclined at angle to this direction,
then the component of 6.40 in the z-direction becomes:
Therefore, the pressure along a given field line decreases with height, the rate of
decrease depends on the temperature structure (given by the energy equation).
If the height of a structure is much less than the pressure scale height, gravity
may be neglected. The ratio is given by gas pressure to magnetic pressure
If any pressure gradient is dominated by the Lorentz force and
(6.40) reduces to:
In this case the magnetic field is said to be force free. In order to satisfy (6.45)
either the current must be parallel to (Beltrami fields) or In
the latter case the field is a current free or potential field.
If is not negligible and the field is strictly vertical of the form
then (6.40) becomes:
6.1.9 Potential Fields

Potential fields result when vanishes. We can write so that
with one obtains Laplace’s equation:
If the normal field component is imposed on the boundary S of a volume V,

then the solution within V is unique. Also if is imposed on the boundary S,
then the potential field is the one with the minimum magnetic energy.
These two statements have many implications for the dynamics of the solar
atmosphere. During a solar flare e.g. the normal field component through the
photosphere remains unchanged. However, since enormous amounts of energy are
released during the eruptive phase, the magnetic configuration cannot be potential.
The excess magnetic energy could arise from a sheared force-free field.
Let us consider an example of a potential field in two dimensions: Consider
the solutions such that gives:
where A solution to (6.48) would be:
this gives for the field components:
The result is a two dimensional model of a potential arcade.
6.1.10 3 D Reconstruction of Active Regions

If we look at an active region on the solar disk center we have no information about
the 3 D structure of it, especially about the 3 D magnetic field configuration which
is important for modelling such regions. Information about the height dependence
of active regions can only be obtained when observing such features near the solar
limb. Let us consider some simple model to reconstruct these features. Let us
assume:
We see immediately that Let us assume that the footpoints of the field
are anchored down into the photosphere (z=0). Projecting the resulting field onto
the plane gives:
Therefore A = const. From calculate the components of the

current density:
And then the components of the Lorentz force
6.1.11 Charged Particles in Magnetic Fields

In this chapter we consider first the motion of a single charged particle in a given
electromagnetic field. The particle has charge and the equation of motion is:
Let us write:
where is a unit vector and is perpendicular to equation

6.60 splits into a parallel and a perpendicular component:
Equation 6.61 has the solution
Here is the velocity component at in the direction of the magnetic field

line. We see that particles of opposite sign of charge move in opposite directions,
they move along an electric field parallel to a magnetic field which destroys
Now let us solve equation 6.62 by writing:
and equation 6.62 becomes:
Summarizing we arrive at:
Motion in which acceleration is to the velocity,
const. acceleration to the velocity.
This is a motion in a circle around the direction of and the motion has frequency
the magnitude of the velocity is the radius of the orbit, the gyration
radius is
For an electron the gyration frequency is The corresponding

gyration radius is Summarizing the motion of a
particle:
accelerated motion along the field lines,
circular motion around the field,
drift velocity perpendicular to both electric and magnetic fields,
the sense of the accelerated the circular motions depends on the sign of the
electric charge.
the drift velocity is the same for all particles,
in the absence of electric fields, a particle moves with a constant velocity in

the direction of the magnetic field and with a velocity of constant magnitude
around the field, thus it moves along a helical path. In all this discussion we
have neglected one important effect. Accelerated charged particles radiate,
for non relativistically moving particles this radiation is known as cyclotron
radiation and for relativistic particles as synchrotron radiation.
Finally, if there is a constant non magnetic force perpendicular to there

is a drift velocity:
Please note that again is charge dependent. Let us assume that is the
gravitational force then
Thus the drift velocity depends on the mass/charge ratio, the ion drift is much
larger than the electron drift; the particles drift in opposite directions, a current
is produced.
Let us consider a large assembly of particles; these particles interact which
is called collision. If is the characteristic time between collisions the collision
frequency is If is large, the particle motions will be disordered
and decoupled from the magnetic field, the fluid will not be tied to the field. If
collisions are relatively rare, not only individual particles but the whole fluid will
be tied to the field. The collisions provide the electrical resistivity of matter; in a
fully ionized gas a good approximation to the value of the electrical conductivity
is:
and
6.1.12 MHD Waves

The equation that describes the connections between the force exerted by the
magnetic field and the fluid motions is
The forces on the gas are the gas pressure P, the gravitational potential and
the magnetic force For a full description of the system we write down two
additional equations:
a) equation of continuity (conservation of mass):
b) The relation between P and e.g. in the adiabatic form
Note that d/dt is the rate of change with time following a fluid element moving
with velocity
Consider the simplest case: a medium with uniform density pressure con-
taining a uniform magnetic field We ignore the influence of the gravitational
field and assume that is so large that Now let us assume a
perturbation for any variable in the form of:
is the wave vector, the wave frequency. The dispersion relation between and
when there is no magnetic field is:
Therefore, in that case only one type of waves can propagate – sound waves. The
wave propagates through the fluid at the wave speed which is
called the phase velocity of the wave.
If there is a magnetic field, the force couples to the equation and also the
Maxwell equations must be taken into account. It is very important to note that
the magnetic field introduces a preferred direction into the system. In a uniform
medium, sound waves travel equally strongly in all directions from its source, this
is not true for MHD waves. If we write the magnetic field again in the form
then we find three types of MHD waves:
Alfvén waves : the dispersion relation is given by
fast and slow magnetosonic waves; their dispersion relation is given by:
Let us consider two special cases: if the waves propagate along the field
there are two waves with and the sound wave unaffected by
the field. For wave propagation perpendicular to the field only one wave survives
with When waves propagate anisotropically, it is necessary
to introduce another wave velocity in addition to the phase velocity, the group
velocity, given by with which the wave carries energy or information. The
group velocity for Alfvén waves is always What does that mean? Regardless
of the direction in which it propagates, energy always travels along the field lines
with speed
6.1.13 Magnetic Fields and Convection

Let L be the length of a box, a typical velocity. The magnetic diffusivity is
the eddy turnover time The resistive decay time is then and the
resistive decay time/eddy turnover time is denoted as magnetic Reynolds number
for the flow.
If the magnetic Reynolds number is very low, the field is unaffected by the
motions, if it is high, it is wound up many times before dissipation occurs. For
an intermediate value of the magnetic field is carried from the center of the
eddy becoming concentrated in flux ropes at the edge. This buoyant flux ropes
rise towards the surface and this leads to the appearance of sunspots. However
we must also take into account that convection involves different length scales.
Large eddies affect the overall structure of the magnetic field as it has been just
described. Others may be influenced e.g. granulation. Granulation is suppressed
in a sunspot. As it was shown earlier, in the absence of magnetic field convection
occurs in a gas, if the ration of the temperature gradient to the pressure gradient
satisfies the relation:
If a vertical magnetic field of strength B threads the fluid, then this has to be
modified to:
Thus a strong magnetic field can prevent convection and a weaker field can interfere
with convection. Note also that the magnetic field cannot prevent motions which
are oscillatory up and down the field lines hut these are likely to be less efficient
at carrying energy.
6.2 The Solar Dynamo

So far we have discussed the different aspects of solar activity. In the section on
MHD it was shown that due to dissipation, such recurrent phenomena on the solar
surface and atmosphere cannot be explained by just assuming a fossil magnetic
field of the Sun. Therefore, many attempts had been made in order to explain the
recurrent solar activity phenomena such as sunspots, their migration toward the
equator in the course of an activity cycle etc. In the first section of this paragraph
we will give a general description of the basic dynamo mechanism, in the following
chapter some formulas are given.
6.2.1 Basic Dynamo Mechanism

Let us briefly recall what are the observational facts that a successful model for
the solar dynamo must explain:
11 year period of the sunspot cycle; not only the number of sunspots varies
over that period but also other phenomena such as the occurrence of flares,
prominences,.... etc.
the equator-ward drift of active latitudes which is known as Spörers law and
can be best seen in the butterfly diagram. At the beginning of a cycle active
regions appear at high latitudes and toward the end they occur near the
equator.
6.2. THE SOLAR DYNAMO 101
Hale’s law: as we have mentioned the leader and the follower spot have
opposite polarities. This reverses after 11 years for each hemisphere so that
the magnetic cycle is in fact 22 years.
Sunspot groups have a tilt towards the equator (this is sometimes also called
Joy’s law).
Reversal of the polar magnetic fields near the time of the cycle maximum.
As we know from fundamental physics, magnetic fields are produced by electric
currents. How are these currents generated in the Sun? The solar plasma is ionized
and it is not at rest. There are flows on the solar surface as well as in the solar
interior producing magnetic fields which contribute to the solar dynamo.
The Effect
Let us consider magnetic fields inside the Sun. There the conditions require that
the field lines are driven by the motion of the plasma. Therefore, magnetic fields
within the Sun are stretched out and wound around the Sun by differential rotation
(the Sun rotates faster at the equator than near the poles). Let us consider a north-
south orientated magnetic field line. Such a field line will be wraped once around
the Sun in about 8 months because of the Sun’s differential rotation (Fig. 6.3).
The Effect
However, the field lines are not only wraped around the Sun but also twisted by
the Sun’s rotation. This effect is caused by the coriolis force. Because the field
lines become twisted loops, this effect was called effect. Early models of the
dynamo assumed that the twisting is produced by the effects of the Sun’s rotation
on very large convective flows that transport heat to the Sun’s surface. The main
problem of that assumption was, that the expected twisting is too much and would
produce magnetic cycles of only a couple of years. More recent dynamo models
assume that the twisting is due to the effect of the Sun’s rotation on rising flux
tubes. These flux tubes are produced deep within the Sun.
The interface between radiation zone and convection zone

If dynamo activity occurs throughout the entire convection zone the magnetic fields
within that zone would rapidly rise to the surface and would not have enough time
to experience either the alpha or the omega effect. This can be explained as follows:
a magnetic field exerts a pressure on its surroundings (~ proportional to its
strength). Therefore, regions of magnetic fields will push aside the surrounding
gas. This produces a bubble that rises continuously to the surface. However such
a buoyancy is not produced in the radiation zone below the convection zone. Here,
the magnetic bubble would rise only a short distance before it would find itself
as dense as its surroundings. Consequently, it is assumed that magnetic fields are
produced at this interface layer between the radiation zone and the convection
zone.
The Meridional Flow

The solar meridional flow is a flow of material along meridional lines from the
equator toward the poles at the surface and from the poles to the equator deep
inside. At the surface this flow is in the order of 20 m/s, but the return flow
toward the equator deep inside the Sun must be much slower since the density is
much higher there- maybe between 1 and 2 m/s. This slow plasma flow carries
material from the polar region to the equator in about 20 years.
Thus the energy that drives the solar dynamo comes from a) rotational ki-
netic energy, b) another part in the form of small-scale, turbulent fluid motions,
pervading the outer 30% in radius of the solar interior (the convection zone).
Mathematical description
Let us discuss some basic mathematics. In the magnetohydrodynamic limit the
dynamo process is described by the induction equation:
The flow is a turbulent flow. In the mean-field electrodynamics one makes the
following assumptions: magnetic and flow fields are expressed in terms of a large-
scale mean component and a small scale fluctuating (turbulent) component. If we
average over a suitably chosen scale we obtain an equation that governs the evolu-
tion of the mean field. This is identical to the original induction equation but there
appears a mean electromotive force term associated with the (averaged) correla-
tion between the fluctuation velocity and magnetic field components. The basic
principles of mean field electrodynamics were given by Krause and Rädler(1980).
The velocity and the field are expressed as:
represent slowly varying mean components and non ax-

isymmetric fluctuating components. The turbulent motion is assumed to have
a correlation time and a correlation length which are small compared to the
scale time and scale length of the variations of and In
other words, is a mean time after which the correlation between and
is zero and is comparable to the mean eddy size. We assume that
If this is substituted into the induction equation:
This is subtracted from the complete equation:
where
is a mean electric field that arises from the interaction of the turbulent motion
and the magnetic field. This field must be determined by solving the equation for
and here several assumptions are made. First of all we stressed that
This may be a good assumption when considering a fully turbulent velocity field.
However in the Sun we are dealing with a sufficiently ordered convective field
where the Coriolis force plays an important role. The other approximation is a
first order smoothing: That is valid only if Then our
equation reduces to:
We want to determine Thus only the component of which is corre-

lated with must be considered. By definition is not correlated with
for any may be determined by integration of the above equation
from to Note also, that the order of the convective turn over time
and thus both and may be regarded as independent of Thus the
integration yields:
where depend on the local structure of the velocity field and on If the
turbulent field is isotropic, then and
If is small compared to the decay time the diffusive term may be neglected
and from 6.86 we get
And finally:
Compared to the normal induction equation, this contains the term and the
eddy-diffusivity coefficient In the mean field dynamo, the magnetic diffusivity
is replaced by a total diffusivity and the equation becomes:
Please note that most often the prime is dropped on however, in the presence of
it is implied to use the turbulent diffusivity. It is assumed that is axisymmetric.
Then it can be represented by its poloidal and toroidal components and
and Neglecting the advection terms:
Note that the dynamo action is possible because we have a regeneration of both
toroidal and poloidal fields. Let us consider the source term in the first of the two
above equations. describes a non uniform rotation. It can be argued that this
term is larger than the next term involving This set of equations then describes
the so called The equations describe:
effect: the poloidal field is sheared by non uniform rotation to generate
the toroidal field.
effect: this is the essential feedback. The helicity of the non
axisymmetric cyclonic convection generates an azimuthal electromotive force
which is proportional to the helicity and to
Let us define a characteristic length scale a decay time and
where is of the order of the local radius of rotation and the local angular
velocity. We may rewrite the above equations in terms of the non dimensional
variables and By an elimination of B and neglection of the
terms we arrive at
If and are scale factors giving the orders of magnitudes of and then
In that equation the non dimensional dynamo number D is
It is extremely important to note that the onset of a dynamo action depends on

D. If D for a given system exceeds some critical value than there will be dynamo
action. Examining our set of equations we may also note that dynamo action
is possible when is negligible compared to Such dynamos are called
dynamos. If both terms of the source term are comparable then we speak of an
dynamo.
Solar like stars have well developed and structured convection zones. Thus,
the dynamo is the most likely dynamo mode.
We have already discussed the results of helioseismic observations which have
shown that the observed surface latitudinal differential rotation persists to the
base of the convection zone. Below this zone the angular velocity rapidly changes
to solid body rotation at a rate equal to the surface mid-latitude. Therefore, three
distinct dynamo modes can exist:
polar interface mode: the alpha effect is concentrated near the poles. The
toroidal field regeneration occurs through the agency of the negative radial
shear at high latitudes below the core-envelope interface.
equatorial interface mode: the dynamo mode is concentrated at low latitudes;

here the regeneration of the toroidal field occurs through the agency of the
positive radial shear at low latitudes, below the core-envelope interface.
hybrid mode: this dynamo mode covers all latitudes, the toroidal field re-
generation occurs through the agency of the positive latitudinal shear which
exists at all latitudes above and below the core-envelope interface. It requires
shear both above and below the interface.
Finally let us discuss some nonlinear effects. As long as the Lorentz force asso-
ciated with the growing magnetic fields remains small enough not to impede the
driving flows the above described model remains valid. One can also say that as
long as the magnetic energy remains smaller than the kinetic energy of the fluid
motions the theory is valid. If the two energies are the same, than we speak of
equipartition. At the base of the solar convection zone, the equipartition field is
about 10 000 Gauss. When this is reached, there is a backreaction of the mag-
netic field on the flow. This causes a stop of the dynamo’s growth. Unfortunately
recent numerical simulations have suggested that dynamo action actually ceases
long before equipartition with the mean field is attained. Thus a turbulent hydro-
magnetic dynamo cannot produce structured, large-scale mean magnetic field of
strength significant with respect to equipartition. But of course the Sun produces
them!
The backreaction of the dynamo-generated field on the small scale turbulent
motions can be introduced by a modification of the
This is called quenching. The equation tells us, that once the mean magnetic field
reaches (which is the value for equipartition), the alpha effect is suppressed.
Recently it was also proposed to take into account the extremely high Reynolds
numbers and to describe the alpha quenching by:
This takes into account that the small-scale component of the dynamo generated
magnetic field reaches equipartition with small scale turbulent fluid motions long
before the mean field does. Reviews on the solar dynamo and the emergence of
magnetic flux at the surface can be found in Fisher et al. (2000) and Moreno-
Insertis (1994).
So far we have discussed large dynamos which are invoked to explain the origin
of the solar cycle and of the large scale component of the solar magnetic field. We
should add here that the origin of small scale magnetic fields can also be understood
in terms of dynamo processes. Recent advances in the theory of dynamo operating
in fluids with high electrical conductivity – fast dynamos, indicate that most suf-
ficiently complicated chaotic flows should act as dynamos (Cattaneo, 1999). The
existence of a large scale dynamo is related to the breaking of symmetries in the
underlying field of turbulence (Cattaneo, 1997).
6.3. SOLAR ACTIVITY PREDICTION 107
Observations form SOHO

Near the base of the convection zone the analysis of solar oscillations (data from
the SOHO/MDI) has shown that there exist variations in the rotation rate of the
Sun. A successive acceleration and deceleration with a strange period of 1.3 years
was found near the equator and 1.0 years at high latitudes. The largest tempo-
ral changes were found both above and below the ’tachocline’, a layer of intense
rotational shear at the interface between the convection zone and the radiation
zone. The variations near the equator are strikingly out of phase above and be-
low the tachocline, and involve changes in rotation rate of about 6 nHz, which
is a substantial fraction of the 30 nHz difference in angular velocity with radius
across the tachocline. The solar magnetic dynamo is thought to operate within the
tachocline, with the differential rotation there having a crucial role in generating
the strong magnetic fields involved in the cycles of solar activity. This is illustrated
in Fig. 6.5.
6.3 Solar Activity Prediction

Generally, prediction of solar activity is related to the problem of prediction of
a given time series since solar activity parameters such as sunspot numbers are
given as a function of time. Therefore, the problem can be examined on the basis
of recent nonlinear dynamics theories. The solar cycle is very difficult to predict
due to the intrinsic complexity of the related time behavior and to the lack of a
successful quantitative theoretical model of the Sun’s magnetic cycle. Sello (2001)
checked the reliability and accuracy of a forecasting model based on concepts of
nonlinear dynamical systems applied to experimental time series, such as embed-
ding phase space, Lyapunov spectrum, chaotic behavior. The model is based on a
local hypothesis of the behavior on embedding space, utilizing an optimal number

of neighbor vectors to predict the future evolution. The main task is to set up
and to compare a promising numerical nonlinear prediction technique, essentially
based on an inverse problem, with the most accurate prediction methods, like the
so-called “precursor methods” which appear now reasonably accurate in predicting
“long-term” Sun activity, with particular reference to “solar” and “geomagnetic”
precursor methods based on a solar dynamo theory.
Snodgrass (2001) studied azimuthal wind bands known as the torsional oscilla-
tions . These have been revealed primarily by studying the longitudinally averaged
solar rotation over a period spanning several full solar rotations. This averaging
yields what look like broad but slow, oppositely-moving ( ~5 m/s ) bands lying
to either side of the centroid of the sunspot butterfly, making the activity band
appear to be a zone of weakly enhanced shear. The torsional pattern tells us
something about the cycle, and since it precedes the onset of activity, it might
be useful as a predictor of the level of activity to come. For the present cycle 23,
the torsional pattern did not emerge until just before solar minimum, whereas for
cycles 21 and 22 it appeared several years earlier. This would have suggested by
1996 the cycle 23 would be weaker than the previous two.
Calvo et al. (1995) used the neural network technique to analyze the time
series of solar activity (given by the Wolf number).
Hernandez (1993) also used neural nets to construct nonlinear models to fore-
cast the AL index given solar wind and interplanetary magnetic field (IMF) data.
Gleisner and Lundstedt (2001) used a neural network-based model for predic-
tion of local geomagnetic disturbances. Boberg et al. (2000) made real time
predictions from solar wind data using neural networks.
6.4 Stellar Activity

The Sun is the only star that permits a two-dimensional study of its activity.
However, it is only a single set of stellar parameters, since its mass, composition
and evolutionary status are fixed. Stars are one-dimensional objects when observed
from the Earth but they cover a wide range of physical parameters. Thus the solar-
stellar connection is essential for a better understanding of solar phenomena as well
as for stellar phenomena. In the 40s e.g. the solar chromosphere was thought to
be unique.
The first detection of stellar activity phenomena were made by the observation
of magnetic fields. Field strengths in the range of 1-2 kGauss can only be measured
by a comparison of magnetically sensitive lines with magnetically insensitive lines.
It was surprising that these stars seem to be covered by such strong fields about
20-80% of the total surface (the Sun is only covered The problem is, that by
these methods coverages lower than 20% cannot be detected. That means that the
Sun’s magnetic field would not have been detected if it were at the distance of these
stars. More than 100 years ago Pickering suggested that luminosity fluctuations
in stars of the order of 20% over periods of days or a few weeks might indicate
that they are spotted. In the 1970 extensive investigations were performed to
6.4. STELLAR ACTIVITY 109
explain luminosity variations of e.g. the RSCVn stars or BY Draconis stars (having
luminosities The observed lightcurves required circular spots. The
RSCVn stars occur in binary stars were tidal interactions play an important role,
therefore their starspots are quite different from the sunspots. BY Dra stars are
rapidly rotating young low massive stars characterized by intense chromospheric
emission. Large spots on the Sun cause a variation of the integrated flux < 1%,
whereas up to 30 % for RSCVn and BY Dra stars.
Also flares were detected on stars. Here it is extremely important to have
observations in the EUV/X ray window. Generally pre main sequence stars show
high levels of magnetic activity and strong flares. FU Orionis stars may be in a
phase between T Tauri and post T Tauri stars. More details about that topic can
be found in the review of Haisch et al. (1991). So far we have considered only
stars which have an activity level by orders of magnitude larger than the Sun.
Other indicators for stellar activity are:
EUV lines,
He
H and K lines of Ca II,
Mg II.
The size and extent of chromospheric active regions varies dramatically over
the course of the activity cycle. Thus by measuring the H and K lines of other stars
we can infer on stellar activity cycles. One of the programs that is being carried
out since a long time is the HK project. Almost 100 stars have been observed
continuously since 1966; at present the project is monitoring long-term changes in
chromospheric activity for approximately 400 dwarf and giant stars. In order to
compare the data with the Sun observations of reflected sunlight from the Moon
are done at Mt. Wilson and at Sac Peak and Kitt Peak National Observatory.
The sampling of the stars occurs rapidly: usually less than 10 min per star. The
accuracy of the instrument is between 1% and 2%. When plotting the HK index
against the B – V color index (which is a measure for temperature as explained in
chapter 1) then a clear trend can be seen. The HK index increases as the stellar
temperature decreases. At this point one must be careful with the interpretation.
It is not meant an absolute increase but a relative increase because in cooler stars
also the continuum decreases.
In 1972 Skumanich stated the law for the time of stellar rotation and
stellar chromospheric decay; the rotational velocity and the strength of the CaII
emission of a late type star vary inversely with the square root of the star’s age.
However later it was found that except massive T Tauri stars the majority of low
mass stars rotates slowly.
It was also found that there exists a granulation boundary in the HRD at F5
III. Stars of later spectral type begin to develop a convective envelope that grows
for the rest of their evolution. At the boundary these envelopes are extremely thin
(only 3% of the star’s radius). Stars on the right hand side in the HRD of the
granulation border have smaller rotation rates.
In hydrodynamics, by definition, the Rossby Number is a ratio of inertial forces

to the Coriolis Force for a rotating fluid. In astrophysics it is the ratio of the
rotation period to the turnover time of the largest convective eddy. In stars with
low Rossby numbers the rotation rate dominates the convective turnover time.
The low Rossby number correlates well with the strong MgII 1940 emission. A
low value of the Rossby number indicates a greater influence of the Coriolis forces.
That means that the effect becomes more important.
Stars can only be observed as point sources since we have no spatial resolution.
Some stars show two simultaneous cycle periods. Other stars either have variable
activity, or long trends in activity - longer than our 30-year baseline, or appear to
be very inactive.
For further details on that topics the book of Schrijver and Zwaan (2000) is
recommended where you find further references.
Dravins et al. (1993a) made a detailed comparison of the current sun (G2 V)
with the very old solar-type star Beta Hyi (G2 IV) in order to study the post main-
sequence evolution of stellar activity and of non thermal processes in solar-type
atmospheres. This star has an age of 9.5 +/- 0.8 Gyr. The relatively high lithium
abundance may be a signature of the early sub giant stage, when lithium that once
diffused to beneath the main-sequence convection zone is dredged up to the surface
as the convection zone deepens. Numerical simulations of the 3D photospheric
hydrodynamics show typical granules to be significantly larger (a factor of about
5) than solar ones. The emission of the Ca H and K profiles was found to be
weaker than that of the Sun. The observations suggest continuous changes in the
chromospheric structure, rather than the sudden emergence of growth of active
regions (Dravins et al., 1993b)
How can we measure stellar parameters like differential rotation that play a
key role in the onset of stellar dynamos? Let us assume we have a rapidly ro-
tating spotted cool star and that it is observed one week apart. By comparing
brightness/magnetic images of that star over such time intervals one can measure
the rotation rates of starspots at different latitudes over several rotation cycles
(Barnes et al 2001).
Since several extrasolar planets have been found one should rise the question
whether some of them might be suitable for life. Climatic constraints on planetary
habitability were investigated by Kasting (1997). They found such zones around
main sequence stars with spectral types in the early F to the mid K-range. The
large amount of UV radiation emitted by early type stars poses a problem for
evolving life in their vicinity. But there is also a problem with late-type stars;
they emit less radiation at wavelengths < 200 nm which is required to split
and initiate ozone formation. The authors show that Earth-like planets orbiting
F and K stars may well receive less harmful UV radiation at their surfaces than
does the Earth itself.
Chapter 7
The Sun and Climate
In this chapter we discuss the effects of solar variations on the Earth’s atmosphere.
The variations are small at and above 30 km height but increase to a factor of
2 above 200 km. In general, all correlations of the solar cycle with weather and
climate must be treated with great caution, because besides the Sun there are
many other influences.
7.1 The Earth’s Atmosphere

7.1.1 Structure of the Atmosphere
The Earth’s atmosphere is essential to life. It insulates the inhabitants of Earth
from the extreme temperatures of space, filters out most radiation dangerous to
life etc. It also provides the pressure that is necessary for liquid water at moderate
temperatures on the surface. Considering the average temperature profile for the
Earth’s atmosphere, we can define the following regions:
Troposphere: characterized by convective motions; warmer air is compara-
tively light and tends to rise, colder air is dense and tends to sink; the tem-
perature decreases down to 200 K at it’s upper boundary, the tropopause,
at a height of 17 km. Most of the clouds and weather systems are located in
the troposphere.
Stratosphere: here the temperature slightly increases up to the stratopause

at a height of about 50 km. In this layer there are no vertical motions,
only horizontal motions occur. If a blub of air tends to rise it immediately
becomes colder and thus denser and the buoyancy stops such motions. The
temperature in this region increases gradually to -3° Celsius, due to the
absorption of ultraviolet radiation. The ozone layer, which absorbs and
scatters the solar ultraviolet radiation, is located there. Ninety-nine percent
of ”air” is located in the troposphere and stratosphere. The stratopause
separates the stratosphere from the next layer.
111
112 CHAPTER 7. THE SUN AND CLIMATE
Mesosphere: the temperature falls down again up to -93° Celsius up to

the mesopause (height 80 km). The mesopause is the coldest region in the
atmosphere.
Thermosphere (also called ionosphere): the temperature rises up to 1 000 K
at a height of 250 km. In this region, thermal conduction is very important.
The extension is up to 600 km. The structure of the ionosphere is strongly
influenced by the charged particle wind from the Sun (solar wind), which is
in turn governed by the level of solar activity. One measure of the structure
of the ionosphere is the free electron density, which is an indicator of the
degree of ionization.
Tropopause and troposphere are known as the lower atmosphere, stratosphere,
stratopause, mesosphere and mesopause are called middle atmosphere and the
thermosphere is called the upper atmosphere.
Incoming solar radiation with wavelength larger than 300 nm (in the visible
part of the spectrum) penetrates down to the bottom. Radiation with 200 nm <
< 300 nm is absorbed in the stratosphere (ozone layer) and solar radiation below
100 nm at higher layers.
Generally, the atmosphere extends from the surface down to more than 1000
km. Up to a height of about 100 km the composition is more or less constant.
This is because of the high frequency of collisions between the molecules. These
collisions become less efficient at heights above 100 km. The molecules experience
a force of gravity that is proportional to their mass. Heavy gases are bound more
closely to the Earth and lighter gases flout freely. Hence the lighter atomic oxygen
is more abundant at heights above 160 km than the heavier nitrogen
Sunlight is absorbed in the atmosphere and this process is mainly responsible
for its thermal structure. More than 50% of the energy incident from the Sun is
absorbed by the surface. 30% is reflected back into space (20% from the clouds,
6% by air and 4% by the surface itself). The atmosphere absorbs only 16% of the
incident solar energy. Most of this absorbed energy is captured by dust particles
in the troposphere. If we want to construct a model of the atmosphere we have
to take into account that it is exposed to two different radiation fields: a) from
7.1. THE EARTH’S ATMOSPHERE 113
the Sun (covering all wavelengths from far UV to IR), and b) from IR radiation
reflected at the surface of the Earth.
The overall heat budget of the atmosphere is as follows: the surface receives
17% of its heat directly from the Sun, 15% from solar radiation scattered by clouds
and 68 % from absorption of infrared radiation emitted by the atmosphere. What
happens to the energy that is absorbed by the surface? The greater part (79%) is
returned to the atmosphere in the form of radiation. The remainder part (21%) is
transmitted to the atmosphere by conduction and as by product by the exchange
of water The surface cools when water evaporates and heat is transmitted
to the air as vapor which recondenses to form clouds. Such phase transitions of
play a major role in the energy budget of the lower atmosphere.
The region below 100 km is called homosphere, the region above 100 km the
heterosphere.
7.1.2 Composition
The composition of the Earth’s atmosphere is given in Table 7.1.
Of course there are gases that can vary considerably both in space and time like
nitric oxide, carbon monoxide and ozone. We can also consider the atmosphere as
an extension of the biosphere, especially for gases like Oxygen
is produced by photosynthesis:
In this formula denotes any variety of organic compounds. Aerobic respi-

ration and decay occur in the reverse reaction:
In the absence of this reaction, carbon would accumulate in organic form and the
fuel for photosynthesis (atmospheric would be depleted. If the supply of
is limited such as in the sediments of organic rich swamps and in the stomachs of
ruminants, we get as a product methane
In Table 7.2 the change of the greenhouse gas and other gas concentrations of
the Earth’s atmosphere is given.
The measurements are from:
1
in situ air samples collected at Mauna Loa Observatory, Hawaii (Keeling,
C.D., Whorf, T.P.). 2 : Etheridge, D. M.; Pearman, G. I.; Fraser, P. J. , Tellus,
Series B - Chemical and Physical Meteorology, 44B, no. 4, 282. These authors used
an ice core from the antarctic called DE08.The extracted ice-core air is analyzed
for methane using gas chromatography with flame-ionization detection. The mean
air-age was 35 yr younger than the host ice. 3 Values from Macehead, Ireland. 4
Cape Grim, Tasmania 4 data from Law Dome BHD ice core, Etheridge et al.
In Table 7.2 the present tropospheric concentration estimates are calculated
as annual arithmetic averages; ppm = parts per million ppb = parts per
billion ppt = parts per trillion
The Global Warming Potential (GWP) is generally used to contrast different
greenhouse gases relative to The GWP provides a simple measure of the rel-
ative radiative effects of the emissions of various greenhouse gases and is calculated
using the formula:
where is the instantaneous radiative forcing due to a unit increase in the con-
centration of trace gas, is concentration of the trace gas, remaining at
time, after its release and is the number of years over which the calculation
is performed. This formula is taken from the Intergovernmental Panel on Climate

Change (IPCC) (Houghton et al, 1990).
The data are from an ice core analyzed by Neftel et al. (1985). An
example of their measurements is given in Table 7.3.
These measurements of the gas concentration enclosed in an ice core from
Siple Station, Antarctica, indicate that atmospheric concentration around
1750 was 280 ± 5 ppmv (parts per million per volume) and has increased since,
essentially because of human factors, by 22.5 percent to 345 ppmv in 1984. The
natural and anthropogenic changes in atmospheric over the last 1000 years
from air in Antarctic ice and firn was described in Etheridge et al. (1996).
7.1.3 Paleoclimatology
First of all let us give a definition of climate: Climate is the weather we expect
over the period of a month, a season, a decade, or a century. More technically,
climate is defined as the weather conditions resulting from the mean state of the
atmosphere-ocean-land system, often described in terms of ”climate normals” or
average weather conditions. Climate Change is a departure from the expected
average weather or climate normals.
The reconstruction of past climate changes is one of the great tasks in climate
research. Since there exits only a 140 years instrumental record, we have to use
proxies to reconstruct climate in the past. Some widely used proxy climate data
types are:
Historical data: Historical documents contain a wealth of information about
past climates (diaries, records...)
Corals: Corals build their hard skeletons from calcium carbonate, a mineral
extracted from sea water. The carbonate contains oxygen and the isotopes
of oxygen, as well as trace metals, that can be used to determine the tem-
perature of the water in which the coral grew. These temperature recordings
can then be used to reconstruct climate during that period of time that the
coral lived. Increased sea surface temperature has negative effects on the
health of coral. The most visible symptom of declining coral health is coral
bleaching.
Fossil pollen: Each species and genus of plants produces pollen grains which
have a distinct shape. These shapes can be used to identify the type of plant
from which they came. Pollen grains are well preserved in the sediment
layers that form in the bottom of a pond, lake or ocean; an analysis of the
pollen grains in each layer tells us what kinds of plants were growing at the
time the sediment was deposited. Inferences can then be made about the
climate based on the types of plants found in each layer.
Tree rings: Since tree growth is influenced by climatic conditions, patterns
in tree-ring widths, density, and isotopic composition reflect variations in
climate. In temperate regions where there is a distinct growing season, trees
generally produce one ring a year, and thus record the climatic conditions of
each year. Trees can grow to be hundreds to thousands of years old and can
contain annually-resolved records of climate for centuries to millennia.
Ice cores: Located high in mountains and deep in polar ice caps, ice has
accumulated from snowfall over many centuries. Scientists drill through the
deep ice to collect ice cores. These cores contain dust, air bubbles, or isotopes
of oxygen, that can be used to interpret the past climate of that area. Let
us briefly discuss one example of isotope measurements: Of the temperature
dependent markers the most important is the ratio of This can
be explained by the fact that water molecules composed of evaporate
less rapidly and condense more readily than water molecules composed of
Thus, in the ice cores one obtains annual layers starting with
rich, becoming poor, and ending up rich.
This process also depends on the relative temperatures of different years,
which allows comparison with paleoclimatic data.
Volcanic eruption: After the eruption of volcanoes, the volcanic ash and
chemicals are washed out of the atmosphere by precipitation and these erup-
tions leave a distinct marker within the snow which washed the atmosphere.
We can then use recorded volcanic eruptions to calibrate the age of the ice-
core (here the deuterium to hydrogen ratio is an important proxy).
Ice cores from Vostok, Antarctica, were the first to cover a full glacial-
interglacial cycle.
Ocean and lake sediments: Between 6 and 11 billion tons of sediment (tiny
fossils and chemicals) accumulate in the ocean and lake basins each year.
How can we infer e.g. from ice cores past climate? The accumulation which is
governed by saturation water pressure was lower during colder periods and vice
versa. Accumulation rates inferred in this way are supported by measurements of

the cosmogenic isotope Beryllium 10 an isotope produced by the interaction
of cosmic rays and the upper atmosphere, can be used to determine past snow
accumulation in Vostok ice. Deposition of is assumed to be constant. The
chronology of the ice at Vostok has been established down to 2546 m, which is
dated at 220 000 years before present. The other two elements which are important
are and deuterium. In Antarctica, a cooling of 1°C results in a decrease of 9
per mil deuterium. The last ice age is characterized by three minima separated
by slightly warmer episodes called interstadials.
Air initially enclosed in Vostok ice provides our only record of variations in the
atmospheric concentrations of and over a complete glacial-interglacial
cycle. For both greenhouse gases, concentrations were higher during interglacial
periods than during full glacial periods.
Crowley (2000) discussed the causes of climate change over the past 1000 years.
His main conclusion is that as 41-64% of pre-anthropogenic (pre-1850) decadal-
scale temperature variations were due to changes in solar irradiance and volcanism.
Several periods of warmth (listed below) have been hypothesized to have oc-
curred in the past. However, upon close examination of these warm periods, it
becomes apparent that these periods of warmth are not similar to 20th century
warming for two specific reasons:
a) the periods of hypothesized past warming do not appear to be global in
extent, or b) the periods of warmth can be explained by known natural climatic
forcing conditions that are uniquely different than those of the last 100 years.
Examples of periods of warmth:
Medieval: ~ 9th to 14th centuries; this seems to be in doubt now because

the temperature anomaly at that time was very small; however the Little Ice
Age for the northern hemisphere from 15th to 19th centuries is clearly seen
(Fig. 7.2).
mid-Holocene warm Period (approx. 6 000 years ago); this seems to be in

connection with changes of the Earth’s orbit (Theory of Milankovich).
Penultimate interglacial period (approx. 125 000 years ago). It appears

that temperatures (at least summer temperatures) were slightly warmer than
today (by about 1 to 2°C), for reasons that are well known - the changes in
the Earth’s orbit (Hughes and Diaz, 1994).
Mid-Cretaceous Period (era?) (approx. 120-90 million years ago): Breadfruit

trees apparently grew as far north as Greenland (55 N), and in the oceans,
warm water corals grew farther away from the equator in both hemispheres.
The mid-Cretaceous was characterized by geography and an ocean circula-
tion that was vastly different from today, as well as higher carbon dioxide
levels (at least 2 to 4 times higher than today).
7.1.4 Theory of Milankovich

Seasons on Earth are caused by the tilt of the Earth’s rotation axis relative to its
plane of revolution around the Sun (which is called the ecliptic). In summer, one
hemisphere is pointing toward the Sun, at the same time the opposite hemisphere
is in winter. If the Earth’s axis were not inclined every point on the earth would
receive the same amount of sunlight each day of the year. Changes in this tilt
can change the severity of the seasons. More tilt means more severe seasons, i.e.
warmer summers and colder winters. The tilt of the Earth’s axis changes between
22 and 25 degrees on a cycle of about 41 000 years. If the summers are cool than
snow and ice last from year to year in high latitudes building up massive ice sheets.
Now positive feedbacks in the climate system start to work. Snow reflects more of
the sun’s energy into space causing additional cooling. Also the amount of
falls as ice sheets grow and thus adding to the cooling.
Another astronomical effect on climate is that the orbit of the earth is not
circular. Presently, perihelion (closest approach to the Sun) occurs in January, thus
on the northern hemisphere winters are slightly milder. The perihelion changes in
a cycle of 22 000 years. Therefore, 11 000 years ago perihelion occurred in July
making seasons more severe than today. The eccentricity of the earth’s orbit varies
on cycles of 100 000 and 400 000 years. It is the combined effect of the 41 000
year tilt cycle and the 22 000 year perihelion cycle plus the small effect from the
eccentricity that influences the climate. These variations of the Earth’s orbit were
first investigated by Milankovich.
To study the effect of these astronomical variations on climate one must take
into account, that orbital changes occur over thousands of years and the climate
system also takes thousand of years to respond. The primary driver of ice ages
seems to be the total summer radiation received in northern latitude zones near
65° north (this is where the major ice sheets formed in the past) and past ice ages
correlate with the 65N summer insolation. Astronomical calculations show that
the 65N summer insulation should increase gradually over the next 25 000 years.
No decline of the 65N summer insolation that is sufficient to cause an ice age is
expected within the next 100 000 years.
The most important sources of information about such changes and the asso-
ciated composition of the atmosphere are the two large ice caps of Greenland and
Antarctica. Analysis of ice cores is the most powerful means we have to determine
how climate has changed over the last few climatic cycles. The concentrations of
the principal greenhouse gases played an important role in the
transitions from cold ice age climates to warmer interstadials. Warm interstadials
have always been accompanied by an increase of the atmospheric concentration
of the three principal greenhouse gases. This increase has been, at least for
vital for the ending of glacial epochs. A highly simplified course of events for the
past four transitions would then be as follows:
changing orbital parameters initiated the end of the glacial epoch
an increase in greenhouse gases then amplified the weak orbital signal
in the second half of the transition, warming was further amplified by de-
creasing albedo, caused by melting of the large ice sheets in the Northern
Hemisphere going parallel with a change of the ocean circulation.
The isotopic records of Greenland ice cores show evidence for fast and drastic
climatic changes during the last glacial epoch. Possible causes and mechanisms
of such changes and their significance as global climatic events are discussed by
Stauffer (2000). Ice core results also enable the reaction of the environment to past
global changes to be investigated. The deglaciation of the northern hemisphere is
described in Alley and Clark (1999). A carbon cycle model was used to reconstruct
the global mean surface temperature during the last 150 Million years showing that
during this period the tectonic forcing such as decrease in volcanic activity and
the formation and uplift of the Himalayas and the Tibetan Plateau dominated the
control of the climate (Tajika, 2001).
7.1.5 Greenhouseffect
Trace constituents of the atmosphere such as absorb energy at longer
wavelengths and thus trap heat radiated by the surface. The effect is very similar
to that of a glass pane in a greenhouse. The atmosphere is transparent to solar
radiation but it is opaque to longer wavelengths. The infrared absorbing gases
return heat to the ground and account for about 70% of the net input of energy to
the surface. If our atmosphere would contain no water vapor and carbondioxide,
the surface temperature would be about 40 K colder than today. This would imply
that large portions of the planet would be covered with ice.
Since the 1980s there is a growing concern that the increase in the abundance of
carbondioxide caused by combustion of fossil fuels could lead to a general warming
of the global climate (see Fig. 7.7). Similar greenhouse effects arise from the gases
methane, nitrous oxide and chlorofluorcarbons (CFCs). All these gases are referred
to as greenhouse gases due to their ability to trap heat.
7.1.6 Ozone
The absorption of shortwave solar radiation in altitudes above the troposphere is
responsible for the temperature increase in these layers. Ozone absorbs most of
the UV portion of sunlight The absorption process results in
the dissociation of The recombination process involves the reactions:
denotes an unstable higher energetic level of By collision with other atmo-

spheric molecules M this energy excess is removed. The rate of recombination, i.e.
the number of molecules formed per unit volume per unit time is proportional
to the product of:
O
M
We can make the simplification that throughout the stratosphere all of the radia-
tive energy from the sun that is absorbed by is converted locally to heat. The
heating rate depends on the distribution of Ozone with height and on the incoming
solar energy.
Tropospheric ozone is either produced by oxidation of hydrocarbons and CO or
by downward transportation of stratospheric ozone. Some examples of reactions
are given below.
Natural events such as Volcanic Eruptions can strongly influence the amount
of Ozone in the atmosphere. However, man-made chemicals such as CFCs or chlo-
rofluorocarbons are now known to have a very dramatic influence on Ozone levels
too. CFCs were once widely used in aerosol propellants, refrigerants, foams, and
industrial processes. Changes in the ozone layer caused by release of CFC’s in the
atmosphere have the potential of producing biological damage through increased
UVB radiation. While cloud cover provides protection on the ground against solar
radiation in the visible and near UV wavelengths, biologically damaging radiation
near 300 nm is controlled primarily by the total ozone content.
The ozone is measured in Dobson units. 1 Dobson Unit (DU) is defined to
be 0.01 mm thickness at STP (standard temperature and pressure). Ozone layer
thickness is expressed in terms of Dobson units, which measure what its physical
thickness would be if compressed in the Earth’s atmosphere. In those terms, it’s
very thin indeed. A normal range is 300 to 500 Dobson units.
In the Earths lower atmosphere, near ground level, ozone is formed when pollu-
tants emitted by cars, power plants, industrial boilers, refineries, chemical plants,
and other sources react chemically in the presence of sunlight. Ozone at ground
level is a harmful pollutant. Ozone pollution is a concern during the summer
months, when the weather conditions needed to form it, lots of sun, hot tempera-
tures, normally occur.
7.1.7 The Structure of the Higher Atmosphere

Temperature inversion in the thermosphere
Above 80 km there is an inversion of the temperature that is caused by the absorp-
tion of solar radiation below 200 nm. Let us briefly discuss the most important
processes:
absorption of solar radiation leads to a dissociation

of
shorter wavelengths: ionization of O,
The electrons that are emitted by these reactions loose energy by collision,
elastic and inelastic. This can cause further ionization and contribute to the
production of excited states and the associated emission of airglow.
Electrons can be removed by dissociative recombination:
There is of course a balance between dissociation of and recombination.

Reformation of molecular oxygen:
In the first of these reactions the recombination of oxygen is catalyzed by the

presence of hydrogen. Such catalytic reactions play an important role in the
chemistry of the atmosphere below 80 km. The density in the thermosphere
is low, therefore O diffuses downward. The recombination requires higher
densities and is confined to regions below 100 km. The dissociation of
can occur at any level.
Hydrogen loss
Any particle in the atmosphere is bound to the Earth by the force of gravity. If
we move such a particle a vertical distance then the work is done, m
denotes the mass of the particle, the gravitational acceleration The
work that must be done to escape the gravitational field is where is the
radius of the Earth ~ 6 400 km. All atoms or molecules have a range of speeds that
is described by the Maxwell–Boltzmann distribution. The average kinetic energy
is given by:
where is the Boltzmann constant Thus an atom can

escape the gravitational field if its thermal kinetic energy ~ is much larger
7.2. EARTH’S HISTORY AND ORIGIN OF THE ATMOSPHERE 125
than Of course we must also consider collisions (except at the highest level
in the atmosphere). At the high temperatures in the thermosphere (700...2000K),
significant numbers of hydrogen atoms have velocities above the escape velocity
Therefore, hydrogen is lost at a rate of atoms per per
second. These escaping hydrogen atoms are derived mainly from the oceans and
over the past years of the Earth’s history, the sea level has declined by two
meters globally. Of course during this reaction also is set into the atmosphere
which was crucial for the evolution of life.
There is also a significant of loss of helium.
7.2 Earth’s History and Origin of the Atmosphere

In this section we discuss the main features in the evolution of the Earth and life
on the Earth.
7.2.1 History of the Earth

The history of the Earth can be mainly divided into four parts:
Precambrian: Earth’s history up to 570 million years ago.
Paleozoic: 570-240 million years ago,
Mesozoic: 240-65 million years ago,
Cenozoic: 65 million years ago to present.
Precambrian Time
Between 4 and 2.5 billion years ago the continents, atmosphere and oceans formed,
as well as one celled organisms known as prokaryotes. These are the ancestors of
present day bacteria and cyanobacteria. The atmospheric oxygen increases and
later multicellular organisms appear.
Paleozoic Era
This era is subdivided into:
Cambrian Period: 570-500 million years ago; multicellular life.
Ordovician Period: 500-435 million years ago; primitive life on land; verte-
brates in the ocean.
Silurian Period: 435-410 million years ago; first plants and insects appear on
land.
Devonian Period: 410-360 million years ago; spiders, mites and amphibians.
Carboniferous Period: 360-290 million years ago; first true reptiles appear;
coal begins to form.
Permian Period: 290-250 million years ago; mysterious mass extinction of

life; 90 % of all organisms die out; reptiles inherit the Earth.
Mesozoic Era
This era is divided into:
Triassic Period: 240-205 million years ago; small dinosaurs, ichthyosaurs,

plesiosaurs, first true mammals
Jurassic Period: 205-138 million years ago; huge dinosaurs, flying pterosaurs,
oldest known birds.
Cretaceous Period: 138 -65 million years ago: global warming, spread of
dinosaurs. Sudden mass extinction (probably due to asteroid impact), 70 %
of all organisms die out at the end of this period.
Cenozoic Era
This is divided into a Tertiary and a Quaternary Period. The Tertiary Period is
further divided into:
Paleocene Epoch: 65-55 million years ago; mammals inherit Earth.
Eocene Period: 55-38 million years ago; ancestral forms of the horse, rhinoceros,
camel and other modern groups such as bats, primates etc. Mammals adapt
to marine life.
Oligocene Epoch: 38–24 million years ago; elephants, cats and dogs, mon-
keys.
Miocene Epoch: 24-5 million years ago; global climate cools; establishment
of the Antarctic ice sheet; large apes in Africa and southern Europe.
Pliocene Epoch: 5 -1.6 million years ago; climate becomes cooler and drier.
Mammals are well established as the dominant terrestrial life form; ancestors
of modern humans.
The Quaternaray Period is divided into:
Pleistocene Epoch: 1.6 million to 10 000 years ago; most recent global ice
age; glacier ice spreads out over more than one-fourth of Earth’s land surface;
modern humans arise and begin their migrations.
Holocene Epoch 10 000 years ago to present; global climate moderates; ice
sheets retreat from Europe and North America; sea levels rise.
7.2. EARTH’S HISTORY AND ORIGIN OF THE ATMOSPHERE 127
7.2.2 Origin of the Atmosphere

Let us start with the remark that the origin of our earth’s atmosphere is still
subject to much speculation. However the most probable history of its evolution
was as follows.
Our Earth was formed some 4.5 billion years ago. At that time it was probably
too hot to retain any primordial atmosphere. This first atmosphere most probably
consisted of helium, hydrogen, ammonia and methane. At that time the Earth was
a very active planet from the geologic point of view. Volcanism was widespread
and if we assume that volcanoes five billion years ago emitted the same gasses as
they do today, the earth’s second atmosphere probably consisted of water vapor,
carbon dioxide, and nitrogen. These gasses were expelled from the earth’s interior
by a process known as outgassing.
It is also possible that the impact of comets brought significant amounts of
water and other volatile gasses to the Earth. The vast amounts of water vapor
expelled by the volcanic earth resulted in the formation of clouds which, in turn,
produced rain. Over a period of thousands of years, the rain accumulated as
rivers and lake and ocean basins. This process was extremely important for the
carbon dioxide The water reservoirs acted as sinks for that gas and through
chemical and later biological processes it became locked up in sedimentary rocks
as limestone.
On the other hand nitrogen, which is not very chemically active, continued to
accumulate in the atmosphere.
What about the most important gas oxygen we need to live? The first oxidized
rocks found in geological strata date back only 1.2 billion years (which is quite
recently compared to the 4.6 billion year age of the Earth). 600 million years ago
oxygen constituted only 1% of the atmosphere (currently 21%). However, oxygen
was only a trace gas in the air when life first appeared on the planet. That was
one of the reasons that life first evolved in the oceans. Single-celled bacterium
dwelling in the oceans did not need oxygen to live. Oxygen first appeared in the
environment when early bacteria developed the ability to split water molecules
apart using the energy of sunlight - a key part of photosynthesis. Photosynthesizing
organisms produced the oxygen that accumulated over geologic time.
These processes acting sequentially and simultaneously appear to have pro-
duced the delicate balance of 78% nitrogen and 21% oxygen we observe
today. By the way, oxygen is the third most abundant element in the universe and
makes up nearly half of the mass of the Earth’s crust, two thirds of the mass of
the human body and nine tenths of the mass of water.
The Earth cannot sustain more than ~ in the atmosphere. Otherwise
spontaneous fires would occur that would deplete the oxygen.
The enrichment of oxygen in the atmosphere might be seen in context with the
methane content. Microbes who utilize photosynthesis existed on Earth half a bil-
lion years or more before oxygen became prevalent, without substantially affecting
the composition of the atmosphere. The transition to an atmosphere with notice-
able oxygen content occurred about 2.4 billion years ago. What really happened
2.4 billion years ago which transformed the Earth’s atmosphere? According to
Catling et al (2001) after photosynthesis separated the oxygen from the hydrogen,
the authors argue, the two components followed separate paths. The free oxygen
remained in the Earth’s crust, while the hydrogen went on to combine with car-
bon in a process known as ”methanogenesis,” producing methane. When methane
travelled to the upper atmosphere, ultraviolet radiation from the Sun dissolved
it into its components. The light hydrogen drifted away into space and was lost
forever to the Earth’s atmosphere.
Because the hydrogen was lost while the oxygen stayed on Earth, an excess
of oxygen gradually accumulated. When the Earth’s crust was saturated, the
oxygen spilled out and flooded the ancient atmosphere, creating the oxygen rich
environment we know today. This can also solve the faint young Sun problem (see
next chapter).
Of course these facts are extremely important to answer questions like:
How did life begin and first evolve on Earth?
How have conditions on Earth over the past four billion years changed and
affected life?
What are the most extreme conditions under which life can be found on
Earth?
Where else in our own and other planetary systems have conditions possibly
been suitable for life?
How should one search for evidence of fossil or living microbes at extrater-
restrial sites such as Mars or Jupiter’s moon Europa?
The field of Astrobiology tries to find answers to these questions.
7.3 The Faint Young Sun

7.3.1 Introduction
According to theories of stellar evolution, the solar constant is not a constant but
has been increasing continuously throughout the main sequence lifetime of the
Sun. The increase in luminosity can be explained by the conversion of hydrogen
into helium; by this energy generation the mean atomic weight and density of the
Sun is increased. This produces higher core temperatures and therefore the rate
of fusion reactions increases and hence the luminosity. A very rough formula for
the luminosity change of the Sun during its main sequence evolution was given by
Gough (1981):
In this formula is the present solar luminosity and the present age of the
Sun (4.6 Gyr). Other explanations of a possible different solar luminosity at the
early evolution of the Sun are:
Revisions in the standard solar model in order to solve the neutrino problem.
7.3. THE FAINT YOUNG SUN 129
Strong mass loss during the early phase (Willson et al. 1987).
For our investigations it is clear that a change in solar luminosity over time
would have affected the Earth’s radiation balance and, thus, its climate. If the
Earth is considered to radiate like a blackbody, S is the solar constant (at present
the Stefan-Boltzmann constant , A the planetary Albedo (~ 0.3),
the effective radiating temperature can be obtained by:
The relevant albedo to use here is the Bond Albedo, which is the percentage of
the total incident solar radiation/reflected back into space. The present effective
radiating temperature of the Earth is ~ 255 K. If we combine 7.8 and 7.9 then
the increase of was about 20 deg over geologic time if the albedo of the Earth
is assumed to remain constant. We must also take into account the Earth’s mean
surface temperature and
Because of the greenhouse effect the difference between and is about 33

K. The greenhouse effect is caused by the difference in opacity in the visible and
infrared regions of the electromagnetic spectrum. The Earth’s atmosphere is rela-
tively transparent to incoming solar radiation, but absorbs a large fraction of the
outgoing IR. Most of the absorption is caused by the vibration-rotation bands of
and and to the pure rotation band of
In Figure 7.8 the effective radiating temperature of the earth as a function

of planetary albedo is given for three different values of the solar constant, a) at
present b) reduced by 20 % and c) reduced by 30 %.
We clearly see that strongly depends on the solar constant and on the
Albedo. A larger value of the albedo leads to a lower value of the effective radiating
temperature, the Earth becomes cooler. The albedo can increase because of:
increased glaciation of the Earth,
increased fraction of clouds.
Some typical values for A are given in Table 7.4. Sagan and Mullen (1972)
first pointed out the implications of this change of solar luminosity for the Earth’s
climate. Using a very simple model of the greenhouse effect they showed that lower
solar luminosity would have resulted in below the freezing point of water for
roughly the first 2 Gyr of the Earth’s evolution. However this cannot be correct.
Already Sagan and Mullen pointed out the presence of pillow lavas, mud cracks
and ripple marks in 3.2 Gyr old rocks suggesting strongly the presence of liquid
water on the Earth’s surface at that time. We also know that sedimentary rocks
have been deposited about 3.8 Gyrs ago and these must have formed in liquid
water.
This discrepancy between the prediction of simple climate models and the
actual climate record has been known as the faint Sun paradox.
One possible explanation might be that the Earth’s albedo was significantly
lower in the past or that the greenhouse effect of its atmosphere was larger. How-
ever, as Sagan and Mullen pointed out a large change in the Earth’s albedo was
unlikely; any decrease in cloudiness that might result from lower surface tempera-
tures would likely be compensated by an increase in snow and ice cover. However
if the Earth’s surface was mostly water covered this argument does not work.
From climate research we know that there was no glaciation on Earth prior
to about 2.7 Gyr ago (e.g. oxygen isotopes imply warm surface temperatures
throughout the Precambrian (Kasting, 1989)).
7.3. THE FAINT YOUNG SUN 131
7.3.2 The Geochemical Cycle

Let us start with some numbers: the total surface reservoir of carbon is about
This is enough to produce a partial pressure of about 60 bar were
all of it present as gaseous (Holland, 1978). Most of the carbon is contained
in carbonate rocks on the continents. A much smaller amount is present in the
oceans as carbonate and bicarbonate ions Presently about
are present in the atmosphere (this number is growing). There is an equilibrium
between the ocean and the atmosphere at timescales of about 1000 y:
is removed from the atmosphere/ocean by weathering of silicate rocks
on the continents and 20 % of atmospheric is removed by photosynthesis
followed by burial of organic carbon. If one represents silicate rocks by
(wollastonite) then the loss process can be described by the following three
reactions:
Thus:
When old sea floor is subducted and carbonate sediments are subjected to higher
temperatures and pressures is returned to the atmosphere/ocean. Then re-
action 7.14 goes in the opposite direction, calcium silicate is reformed and gaseous
is released. Much of this escapes through volcanoes. That process is
termed carbonate metamorphism and on the young Earth the rate of carbonate
metamorphism could have been augmented by faster rates of tectonic cycling and
by impact processing of carbonate rich sediments.
It is important to note that the rates of the weathering reactions are strongly
dependent on temperature. The reaction rates increase with temperature and
weathering requires liquid water. The temperature dependence of the silicate
weathering process rate leads to a negative feedback between atmospheric
and surface temperature: if the surface temperature were to decrease (because of
a faint young Sun), the weathering rate would also decrease and carbon dioxide
would begin to accumulate in the atmosphere. This increase of causes an
increase in the greenhouse effect and thus the temperature increases. The reverse
would happen if the climate became warmer: the weathering rate would increase,
would decrease and the greenhouse effect would become smaller (Walker et
al. 1981). This mechanism can explain why the temperature on Earth was high
enough for liquid water even when the solar luminosity was smaller.
The modern rate of release from volcanoes would create a 1-bar
atmosphere in only 20 Myr if carbonates were not forming. This shows that the
response time of the system is quite fast in geologic terms.
7.3.3 Effects of the Biota

Presently the geochemical cycle is modulated by the biota. Calcium carbon-
ate formation can be largely attributed to the secretion of shells by plankton and
other marine organisms. Land plants enhance silicate weathering rates by pump-
ing up the carbon dioxide partial pressure in soils by a factor of 10 to 40 over the
atmospheric value; photosynthesis on land and in the oceans creates organic car-
bon which is then buried in sediments. Thus the atmospheric level is reduced.
Therefore, the Earth today is probably cooler than it would be in the absence of
life. Lovelock (1979, 1988) created therefore the Gaia Hypothesis, which means
that the Earth’s climate is controlled by biota and would have become unstable
where it not for the homeostatic modulation of climate by organisms. Let us as-
sume biological control of the Earth’s climate in more detail. According to Berner
et al (henceforth BLAG), the dependence of the silicate weathering rate on
surface temperature T can be written as:
Here, is the present mean surface temperature (288 K) and The

greenhouse effect is parameterized in the BLAG model as:
where P indicates atmospheric and the present partial pressure.

From laboratory studies we know that the weathering rate of silicate minerals
varies approximately as
for partial pressures of 2 to 20 bar and temperatures of 100 to 200° C. These

data were derived by Lagache (1976) and Walker et al. (1981). Let us assume
that we can apply this relation to the Earth’s surface conditions. To study the
maximum effect let us further assume that removing land plants from the system
would reduce surface soil by a factor of 40. Then the equation for the silicate
weathering process can be written as:
Here is the partial pressure in the soil and today we have and
obtain On a vegetation free Earth and would be reduced by a
factor of The carbon cycle is only balanced when Therefore,
without vegetation, the atmospheric and surface temperature would have
to increase to bring back the silicate weathering rate to its present value. We
substitute equation 7.16 into equation 7.18 and solve for and obtain:
This shows that under the assumption that land plants pump up soil by
a factor of 40, the effect of eliminating them would be to increase the Earth’s
7.4. THE ATMOSPHERE’S RESPONSE TO SOLAR IRRADIATION 133
temperature by only 6 deg. The net cooling effect of the biota should be somewhat
larger because of the influence of the organic carbon cycle; today 20% of the carbon
is organic carbon rather than carbonate. One can estimate that if life suddenly
were eliminated in total the temperature would increase by 8 deg. Thus even a
lifeless Earth would apparently be no warmer than the real Earth was during the
Cretaceous, when the dinosaurs flourished.
The studies of Schwartzmann and Volk (1989) showed that biota may acceler-
ate chemical weathering by stabilizing soil (silicate minerals stay in contact with
carbonated water), generating organic acids. This could lead to enhanced weath-
ering rates of up to 1000 instead of 3. Therefore, the partial pressure on a
lifeless Earth might be as high as a few tenths of a bar and the surface temperature
may be up to 60 K warmer!
7.4 The Atmosphere’s Response to Solar Irradia-

tion
7.4.1 Introduction
The principal effects of solar radiation on the middle and upper atmosphere are
summarized in table 7.5. From that table it follows that the size of variation
depends on the wavelength of the solar radiation: it becomes smaller at longer
wavelengths. Above 300 nm it is very difficult to detect and can be measured
only with satellite radiometric detectors. In addition to radiation the Sun also
emits the solar wind which consists of particles that interact with the geomagnetic
field to form the Earth’s magnetosphere. We observe a large input of electrons
and protons (causing the aurora) and ionospheric currents are produced causing
joule heating. In principle these phenomena are concentrated at high geomagnetic
latitudes; heating effects can spread equatorward by convection and conduction.
The typical structure of the Earth’s atmosphere was already shortly described.
The boundaries of the various layers (Troposphere, Stratosphere, Mesosphere,
Ionosphere) are called pauses (e.g. the Tropopause) and are defined by minima
or maxima of the temperature profile. At 100 km the density is of its sur-
face value. The temperature in the thermosphere is strongly dependent on solar

activity. The major sources for heating at this layer are:
solar ionizing photons,
magnetospheric processes.
The principal part of the ionosphere is produced by XUV which is strongly ab-
sorbed there. Ionization and recombination occurs and this contributes to the
heating of the thermosphere. By comparing with table 7.5 we see that the energy
involved is small; dissociation of is strong, above 120 km oxygen occurs as
atoms. Through vertical mixing the ratio is constant near 0.1 throughout
the lower thermosphere. Oxygen atoms are produced down to 30 km and most
of them combine with to form ozone. This attains a peak ratio of near
30 km. Through this recombination the middle atmosphere is heated (peak at 50
km). Photons around 300 nm can reach the surface. They produce electronically
excited oxygen which drives a large fraction of urban pollution chemistry.
7.4.2 Solar Variability

Solar variability can be divided into three components according to their influence
on the structure and composition of the atmosphere:
variation of the solar constant
XUV and UV variation
energetic particle variation
Let us consider these components in detail.
Radiative component
So far we have only the discussed the long term solar variability- summarized as
the faint young Sun problem and the influence of the changing parameters of the
Earth’s orbit on climate (Berger, 1980).
We now address to the question whether there exists also a variability of the
solar input on shorter timescales. The total solar irradiance describes the radiant
energy emitted by the sun over all wavelengths that falls vertically each second on
1 square meter outside the earth’s atmosphere. This is the definition of the solar
constant. Because of the influences of the Earth’s atmosphere this constant is
extremely difficult to measure on the surface and the most reliable measurements
can only be done from space. In Table 7.6 the satellite measurements and the
respective time spans of the measurements are summarized.
The VIRGO Experiment on the ESA/NASA SOHO Mission has two types
of radiometers to measure total solar irradiance (TSI): DIARAD and PMO6V. A
description of the instrument can be found in Fröhlich et al. (1995). Let us shortly
describe the DIARAD measurement facility which is a part of SOHO/VIRGO:
DIARAD is a Differential Absolute Radiometer. It is composed of two cylindrical
cavities coated inside with diffuse black and mounted next to each other on the
same heat sink. The flat bottom of the cavities are in fact heat flux transducers on
which heating elements have been mounted. Both cavities see the same thermal
environment through accurately know circular apertures. A comparison of the
power generated inside the cavities (very similarly as an househould weight can
be used) is done. For instance a constant electrical power is generated in one of
the channels and the difference between the two heatflux sensors is automatically
brought back to zero by an ad hoc accurate servosystem that provides electrical
power to the other channel called ”active channel”. This one is regularly irradiated
by the Sun or closed. The difference of the electrical power fed to the active channel
when its shutter is open (exposed to the Sun) and when it is closed is proportional
to the incident solar irradiance. From time to time, the roles of the left channel
and the right channel are reversed for half an hour with the purpose of monitoring
the aging of the continuously exposed left channel. The sampling rate of the
PMO6 instrument is 1 solar total irradiance / 2 minutes, for DIARAD 1 solar
total irradiance / 3 minutes.
The ACRIM contains four cylindrical bays. Three of the bays house inde-
pendent heat detectors, called pyrheliometers, which are independently shuttered,
self calibrating, automatically controlled, and which are uniformly sensitive from
the extreme UV to the far infrared. Each pyrheliometer consists of two cavities,
and temperature differences between the two are used to determine the total so-
lar flux. One cavity is maintained at a constant reference temperature, while the
other is heated 0.5 K higher than the reference cavity and is exposed to the Sun
periodically. When the shutter covering the second cavity is open, sunlight enters,
creating an even greater difference in cavity temperatures. The power supplied to
the second cavity by the ACRIM electronics decreases automatically to maintain
the 0.5 K temperature difference between the two cavities. This decrease in the
amount of electricity is proportional to the solar irradiance entering the cavity.
Exposing the sensors to the space environment and the Solar UV radiation causes
some small changes on the surface of the cavities which may affect the measure-
ments. The ACRIM instrument monitors this type of problem by carrying three
similar sensors, two of which are normally covered. At times these are opened for
comparison purposes. Further details can be found in Wilson (1981, 1984).
Measuring the solar constant one finds:
Part of the energy is blocked by dark sunspots and subsequently released in
faculae. The screening effect by sunspots is overcompensated by the energy
storage and release. This is demonstrated in Fig. 7.10.
There are variations of the solar constant with the solar cycle.
First measurements with the ACRIM 1 (Active Cavity Radiometer Irradiance
Monitor) experiment on board the Solar Maximum Mission and the ERB exper-
iment on the Nimbus-7 satellite showed a positive correlation between the solar
cycle activity, measured by the sunspot index, and the total solar irradiance. The
peak to peak variation of about (out of about 1367) between solar maxi-
mum and minimum was reported by Fröhlich (1987), Willson and Hudson (1988)
and Foukal and Lean (1988). Somewhat larger fluctuation up to 0.2% occur over
timescales of days and weeks.
Given that the total variation between the peaks of solar cycles 21 and 22 was
about 0.1%, how much is the effect to be expected for a change of the correspond-
ing global temperature on Earth? It is expected that this change of the solar
irradiation produces a corresponding variation of about 0.2° C in globally aver-
aged equilibrium surface temperature (Hansen and Lacis, 1990). But there is some
considerable delay in the response. Because of the thermal inertia of the oceans,
the time needed to approach equilibrium is much longer than 11 years (e.g., Reid,
1991), so that the actual temperature response to the observed variation during a
solar cycle is likely to be considerably smaller, and probably insignificant from a
climatic point of view.
In order to study a long term variation of the solar output, there is no direct
observational support. It is therefore necessary to use proxy data or solar activity
indicators. Sunspot index measurements exist over a time span of roughly 350
years and they suggest the presence of a 76-80 yr cycle, the Gleissberg cycle,
modulating the 11 yr cycle (Sonett, 1982, Berry, 1987). Foukal and Lean (1990)
gave an empirical model of total solar irradiance variation between 1874 and 1988.
The presence of the solar cycle has been claimed in various sets of proxies:
auroral activity,
isotopic composition of ice cores (Johnsen et al. 1970),
tree growth, dendroclimatic investigations (Svenonius and Olausson, 1979).

For annual rings to form, trees must ”shut down” growth at some point to
form a distinct ring boundary. This occurs in the dormant season, usually
in the fall and winter. In the tropics, the seasons are not as distinct, so that
trees can grow year-round. One fundamental principle of dendrochronology
is ”the present is the key to the past,” originally stated by James Hutton in
1785. However, dendrochronology adds a new ”twist” to this principle: ”the
past is the key to the future.” In other words, by knowing environmental
conditions that operated in the past (by analyzing such conditions in tree
rings), we can better predict and/or manage such environmental conditions
in the future. Hence, by knowing what the climate-tree growth relationship
is in the 20th century, we can reconstruct climate from tree rings well before
weather records were ever kept! Let us give one example from Grissino-
Mayer: Fig 7.11 shows a long-term precipitation reconstruction for northern
New Mexico based on tree rings. How this reconstruction was made? The
reconstruction was developed by calibrating the widths of tree rings from
the 1900s with rainfall records from the 1900s. Because we assume that
conditions must have been similar in the past, we can then use the widths
of tree rings as a proxy (or substitute) for actual rainfall amounts prior to
the historical record.
Individual tree-growth series can be ”decomposed” into an aggregate of en-
vironmental factors:
is the tree ring growth as a function of age related growth trend

due to normal physiological aging processes, the climate (C) that occurred
during that year the occurrence of disturbance factors within the forest stand
(for example, a blow down of trees), indicated by D1, the occurrence of
disturbance factors from outside the forest stand (for example, an insect
outbreak that defoliates the trees, causing growth reduction), indicated by
D2, and random (error) processes E not accounted for.
A study of tree rings and application to reconstruct climate was given by
Cook et al. (1997). Sampling 300-to-500-year-old Siberian pine trees in the
Tarvagatay Mountains of western central Mongolia, D’Arrigo et al.(1993) an-
alyzed annual growth rings, which generally grow wider during warm periods
and narrower in colder times in trees at the timber line. They developed a
tree-ring record reflecting annual temperatures in the region dating back to
1550. The Mongolian tree rings show temperature changes that are strik-
ingly similar to records from tree rings in North America, Europe and western
Russia. The general trends reflected in the tree-ring record include cooler
conditions in the early 1700s, followed by warming that started mid-century.
An abrupt cooling occurred in the late 1700s and continued for much of
the 1800s. The coldest period was between 1830s and 1870s, after which
a steadily increasing warming trend began. An example of this analysis is
given in Fig 7.12.
Solar radius variations (Gilliland, 1981),
sedimentary rocks (Sonett and Williams, 1985)
sea surface temperatures (Gerard, 1990). The mechanism how this could be
related to solar irradiance variations works as follows:
1. absorption of solar energy by the tropical oceans in a deep surface layer,
2. transport of that energy by ocean currents,
3. transfer of that energy by evaporation into atmospheric moisture and
pressure systems leading to more precipitation (Perry, 1994).
Lewis et al. (1990) showed that solar radiation in visible frequencies, usually
assumed to be absorbed at the sea surface, penetrates to a significant depth below
the upper mixed layer of the ocean that interacts directly with the atmosphere. In
clear water, the blue wavelengths, where the greatest amount of energy is available,
penetrate the deepest, to nearly 100 m. Energy injected into the ocean at this
depth can be stored for a substantial period of time.
As it has been stated above the transparency of the tropical oceans is dependent
upon the amount of biogenic material, phytoplankton pigments, and degradation
products that are present. In the Pacific Ocean, transparency increases from east
to west, with the greatest penetration of solar energy occurring in the western
tropical Pacific. Due to ocean currents, the North Pacific Ocean takes approxi-
mately 4 years to move temperature anomalies from the western tropical Pacific
to near North America (Favorite and McLain, 1973).
During the prolonged period between 1500 and 1850, average temperatures in
Northern Europe were much colder than they are today, this is known as the little
Ice Age. The coldest part of this period coincides with a conspicuous absence of
sunspots and other signs of solar activity, called the Maunder Minimum.
For example Gilliland reported a 76 year cycle in the solar radius, inferred
from a 258 year record of transits of the planet Mercury, solar eclipse records and
meridian transit measurements. Ribes et al. (1987) also reported as Gilliland
that the solar radius is slightly increased in times of low solar activity during the
Maunder minimum.
A review book on the role of the Sun in climate change was written by Hoyt
and Schatten (1997) where other references can be found.
UV Radiation
Solar radiation shortward 320 nm represents only 2% of the total solar irradiance;
0.01% of the incident flux is absorbed in the thermosphere at about 80 km and
0.2% in the stratosphere above 50 km. This radiation is extremely important
since the thermal structure and photochemical processes above the troposphere
are controlled by it. The stratosphere is controlled by absorption and dissociation
of in the 175 to 240 nm range. The 205 to 295 nm range is predominantly
absorbed by ozone If there is a stratosphere- troposphere coupling, this could
affect also the climate. The short term variation of UV radiation is ascribed to
the evolution and rotation of plage regions on the solar disk. The XUV induced
thermospheric temperature changes is shown for low and high solar activity in Fig.
7.13. Solar activity is measured in terms of the 10.7 cm radio flux and of the plage
area
Energetic particles
There are three main contributions:
electrons: they reach the high latitude thermosphere after interaction with
the geomagnetic field and acceleration;
high energy solar protons: their flux is enhanced during periods of large
flares;
galactic cosmic rays: they originate from outside the heliosphere but their
input on Earth is partly controlled by solar activity.
During large flares, intense fluxes of energetic protons penetrate

the Earth’s polar cap regions. They produce ionization between 100 and 20 km.
Such an event can last for a few hours to a few days. Large numbers of
molecules are produced leading to a subsequent ozone depletion.
Relativistic electron precipitation are possible sources for ionization and odd
nitrogen production at altitudes above 80 km, thus well above the ozone layer.
Pre Main Sequence Sun

All calculations show that during the early life of the Sun, the UV flux was much
higher than today. The Sun had a behavior similar to a T Tauri star. Zahnle and
Walker (1982) calculated that the flux decreases as
The exponent in this formula depends on the wavelength considered. Similar

results were obtained by Canute et al. (1982).
7.4.3 Response of the Earth’s Atmosphere

In order to study the influence of varying solar irradiation to the Earth’s atmo-
sphere we must make a distinction between the different layers of the atmosphere
and the wavelength of the solar radiation. As we have mentioned above, the
penetration of solar radiation strongly depends on its wavelength, the larger the
wavelength the deeper the penetration (see Fig. 7.14).
Thermosphere and Exosphere

The thermosphere starts at a height of about 90 km and ends at about 250 km at
the so called exobase. In the thermosphere the temperature gradient is positive, in
the exosphere collisions become negligible, particles execute ballistic orbits. The
most important heat source is solar XUV radiation creating the ionosphere. The
resulting heating is conducted down to the mesopause where it can be radiated.
The exosphere is approximately isothermal because it lies above the level where
most of the energy is deposited. Also the thermal time constant is very short
because of the low density there.
The variations can be divided into diurnal variations and longer term varia-
tions.
The diurnal variations show a day/night ratio of 1.28 over the equator with
the peak occurring about 2 p.m. During the night, heat is conducted down
from the top of the thermosphere to its base, the mesopause, where it is
radiated.
The effect of the sun can be expressed and measured by the 10.7 cm radio flux
which is given in the units If this quantity is multiplied
by a factor of 1.8 deg per unit of flux, we obtain the temperature.
The other variation comes from the solar activity cycle (see Table 7.7).
The thermospheric temperature changes are illustrated in Fig. 7.13. Similarly

the peak electron density varies by a factor of 2 which is very important for short-
wave radio communication. The temperature changes are obtained from the 10.7
index with a multiplier of 3.6. This value is twice than that for the 27 day variation
which is due to solar rotation. The difference may result from the fact that in
the case of activity cycle variations not only the variation of XUV but also a
contribution from auroral heating- which is triggered by the solar wind- must be
taken into account.
Finally we have to stress that both UV and particle precipitation have chemical
effects and the most important is the production of N, NO and (which is
collectively called The following reactions define the production in
the thermosphere:
Mesosphere and Stratosphere

This region extends from the tropopause to the mesopause, at approximately 90
km. It is in local radiative equilibrium except from heat flowing in from the ther-
mosphere. The radiative heating is by absorption of planetary radiation mainly
by:
at 15
at
absorption of solar UV by
The band is the principal radiator. The ratio decreases upwards;
thus the heating to cooling also decreases and the temperature gradient is negative.
In the stratosphere ozone begins to be more and more attenuated, a temperature
maximum at 50 km occurs, the stratopause.
Which term in the heat balance of these atmospheric layers depends on the
solar activity? It is the UV flux which is not variable at large scales thus the
temperature changes to be expected from a variation of that flux should also be
small. Most effects therefore come from ionization and a changing chemistry. The
changes of the UV flux from the sun have only a modest effect on ozone amounts
because both production (by a photolysis of and destruction are affected in
the same way. Another effect is the penetration of solar protons or relativistic
electrons into the middle atmosphere. By that penetration considerable amounts
of are produced; these enhancements of increase the destruction of ozone
at high altitudes. This could explain the inverse correlation of ozone amounts with
solar activity found by Ruderman and Chamberlain (1975).
To test these predictions it is important to have data at the time scale of the
solar cycle; however we must also take into account the instrumental drifts as well
as the typical lifetime of the instruments which normally are below 5 yr. In the
stratosphere, the ozone response is caused primarily by changes in production from
and has a maximum value of 0.5 % for a 1 % change in the UV at 205 nm. The
study of the response of the temperature has been made by Hood (1986, 1987b)
and Keating et al. (1987) between 30 and 0.2 mbar (24 to 60 km) and later by
Clancy and Rusch (1989) up to 90 km. They establish the already mentioned 0.5
% response. The very small temperature response lags the UV by 4 to 14 days.
A study by Angell and Korshover (1975, 1976) established a correlation of the
ozone column with solar activity with a peak to peak variation up to 10 % at 70°
latitude and only 4 % at 47°.
There seems to be no correlation of polar stratospheric temperatures and solar
activity (Labitzke (1987), Labitzke, Van Loon (1988), Kerr (1988). There exists
a stratospheric biennial oscillation which is more or less periodic and reversal of
winds in the lower equatorial stratosphere with an average period of 27 months.
7.4.4 Troposphere
As we have seen above, only wavelengths below 300 nm penetrate to the tropo-
sphere and surface. We have already stressed that this part of the solar spectrum
is only slightly variable with a peak to peak variation of about 1 part in 1400. Thus
the troposphere which contains 90 % of the total mass of the Earth’s atmosphere
is subject to a nearly constant driving solar energy.
However, there have been innumerable attempts to find correlations between
solar activity and various meteorological phenomena and other variables. If the
troposphere is to be significantly influenced by the tiny changes of solar irradiation,
there should exist a very strong mechanism of amplification (trigger mechanism).
Such mechanisms were discussed:
magnetospheric effects by electric field - including also effects of thunder-
storms (Mc Cormac and Seliga, 1979)
Hines (1974) suggested a change of the transmissivity of the stratosphere to
upwardly propagating atmospheric waves (Callis et al. 1985 showed from
models that this is possibly not the case)
The effect found by Labitzke (1987): temperatures in the polar winter are
jointly influenced by the solar cycle and the quasi biennial oscillation and
the effect on the troposphere is discussed in Van Loon and Labitzke (1988).
Eddy (1976, 1988) discussed the absence of sunspot activity during the 17
th century which is known as the Maunder minimum and an earlier event,
called the Spörer minimum. Both periods seem to coincide with periods of
reduced global temperatures the more recent is called the Little Ice Age.
Eddy (1988) showed that the required solar input reduction would have to
be much greater than the tiny amplitudes detected on the time scale of a
solar cycle. Maybe also amplifying factors have to be considered.
7.4.5 Long Term Changes in Solar Irradiance

Indicators of solar activity such as concentration measurements and of climate
(e.g. glaciers) show a clear correlation over the last 7 000 years. This was shown
by Eddy in 1977. Considering a time series since 1860 the solar cycle length
shows an excellent correlation with northern hemisphere land temperatures (Friis-
Christensen and Lassen, 1991). For recent data however, these two parameters
diverge. If there exists a global climate contribution of solar irradiance variations
then there are three possible interactions or couplings between these variations
and the Earth’s climate:
Variations of the total solar irradiance.
Variations of the Sun’s spectral irradiance; this denotes changes in the lumi-
nosity of the Sun in a given wavelength range. As we have discussed above,
UV radiation influences atmospheric chemistry (production or destruction
of ozone, see also Haigh 1994, 1996).
Variations in the heliospheric magnetic field which are coupled to changes in
the solar wind and influences the number and energy spectrum of cosmic ray
particles. This was investigated by Potgieter, 1998 and Simpson, 1998. The
variation of cosmic ray particles seems to be related to global cloud cover
(see Svensmark and Friis-Christensen (1997) or Svensmark (1998) or Marsch
and Svensmark (2000).
As we have mentioned above, the total solar irradiance varies by 0.1% and
these measurements have been made very accurately since 1978 (a review about
that was given by Fröhlich, 2000) The cycles covered by these measurements are
21, 22 and 23 (only 22 full). Of course from these time series it is impossible to
extrapolate to earlier time series when the Sun was more active (e.g. cycle 19)
or less active. One further problem of the time series available is that with the
exception of SOHO/VIRGO they are restricted to the UV.
Irradiance variations of the past solar cycles can be determined from the surface
distribution of the magnetic field if records of the field distribution or of proxies
are available. The following proxies can be used:
relative sunspot number (since 1700),
group sunspot number (since 1610),
sunspot and facular areas since 1874,)
Ca II plage areas since 1915).
Using these data, one can reconstruct the cyclic component of the irradiance back
to the Maunder minimum.
As a large sunspot group passes across the solar surface, there is a dip in the
total solar irradiance. The variation is in the range of 0.2 promille.
Lockwood et al. (1999) reconstructed the aa-index of geomagnetic activity and
found that the interplanetary magnetic flux at minimum of solar activity (that can
be be reconstructed using the aa-index) has roughly doubled since 1900. This is
in good agreement with concentration in Greenland ice (Beer, 2000).
is produced by the interaction of cosmic rays with constituents of the Earth’s
atmosphere. The cosmic ray flux is modulated by the heliospheric magnetic field.
Lean et al. (1995) assumed that the background irradiance is proportional
to the amplitude of the solar cycle; Hoyt and Schatten (1993) propose a trend
corresponding to cycle length and Baliunas and Soon (1995) demonstrated that
the amplitudes of stellar cycles (observed in Ca II H and K) scale with the length
of the stellar cycle.
A short overview of long term chances in solar irradiance was given by Solanki
and Fligge (2000).
The question whether the Earth’s climate is influenced by solar activity has
a central position in the present debate about the global warming. Greenhouse
gas concentrations have a continuous increase and do not follow the observed
decrease in the 1900’s and in 1940-1970 example. These variations might be better
explained when solar activity is taken into account. During a normal sunspot cycle
the irradiance changes by 0.1% but could be greater (e.g. during the Maunder
Minimum 0.3%, Lean (1997)).
7.4.6 Solar Protons

Solar protons when hitting the atmosphere, break up molecules of and
vapor. When nitrogen gas molecules split apart, they can create molecules, called
nitrogen oxides NO, which can last several weeks to months depending on where
they end up in the atmosphere. Once formed, the nitrogen oxides react quickly
with ozone and reduce its amounts. When atmospheric winds blow them down
into the middle stratosphere, they can stay there for months, and continue to keep
ozone at a reduced level.
Similarly water vapor molecules are affected by solar protons, breaking them
up into radicals where they react with ozone. However, these molecules, called
hydrogen oxides, only last during the time period of the solar proton event. These
short-term effects of hydrogen oxides can destroy up to 70 percent of the ozone
in the middle mesosphere. At the same time, longer-term ozone loss caused by
nitrogen oxides destroys a maximum of about nine percent of the ozone in the
upper stratosphere. Only a few percent of total ozone is in the mesosphere and
upper stratosphere with over 80 percent in the middle and lower stratosphere.
The impacts on humans are minimal. NASA’s HALOE was launched on the
UARS spacecraft September 15, 1991 as part of the Earth Science Enterprise
Program. Its mission includes improvement of understanding stratospheric ozone
depletion by measuring vertical profiles of ozone, hydrogen chloride, hydrogen
fluoride, methane, water vapor, nitric oxide, nitrogen dioxide, aerosols, and tem-
perature. The SBUV/2 instrument was launched aboard the NOAA-14 satellite
on December 30, 1994 and its mission is to observe the ozone layer.
7.5. COSMIC RAYS 147
7.5 Cosmic Rays

Galactic cosmic rays (CGRs) are high energy particles. They flow into our solar
system from far away consisting mainly of electrons, protons and fully ionized
atomic nuclei. These particles have speeds near the speed of light.
Since the particles are charged, they are deflected by the magnetic field of our
Galaxy and the heliosphere as well as the Earth’s magnetic field. Thus we can no
longer point back to their sources in the Galaxy. A map of the sky with cosmic
ray intensities would be completely uniform.
One of the direct observations we can make is to analyze the composition of the
GCR’s which tells us something about the origin. One finds all natural elements in
roughly the same proportion as they occur in the solar system. However a detailed
analysis of the differences in the abundances can give hints to the origin of the
particles. Two properties of the particles can be measured:
Determine which element; this is very easy since the different charges of each
nucleus give different signatures.
Isotopic composition; to determine the isotopic composition which in some
cases gives better insights in the origin of the particles, the atomic nuclei
have to be weighted which is much more difficult.
90% of the cosmic ray nuclei are protons, 9% alpha particles (ionized He) and the
rest of the elements makes up only 1%. In this small percentage some elements
are very rare and therefore large detectors are required.
Most cosmic rays are accelerated in the blast waves of supernova remnants.
Remnants of supernova explosions are very active, we observe expanding clouds
of gas, magnetic field activities etc. which can accelerate particles. Such processes
in supernova remnants can last for several yrs. The particles are accelerated
in the magnetic field until they have enough energy to escape and become cosmic
rays. Thus they can only be accelerated up to certain maximum energy which
depends upon the size of the acceleration region and the magnetic field strength.
The problem we face is that cosmic rays have been observed at much higher
energies than those supernova remnants can generate. Possible explanations for
such extreme high energetic particles are:
their nature is extragalactic: from galaxies with very active galactic nuclei,
they are related to the gamma ray bursts,
they are related to exotic particles which are predicted by several physi-
cal theories concerning with the origin of the universe; superstrings, exotic
matter, strongly interacting neutrinos,
they are topological defects in the very structure of the universe.
As we have stated above, cosmic rays include a number of radioactive nuclei whose
numbers decrease through the radioactive decay. Measurements of these nuclei can
be used therefore (as in the method) to determine how long it has been since
cosmic ray material was synthesized in the galactic magnetic field.
Let us now describe the interaction of cosmic ray particles with the heliosphere.
The heliosphere is defined by the interplanetary magnetic field. This shields the
interstellar plasma (charged particles). Interstellar neutral gas flows through the
solar system however, since uncharged particles are not influenced by magnetic
fields. The speed is approximately 25 km/s. When approaching the Sun, these
neutral atoms become ionized by two processes:
photo-ionization: an electron of the neutral atom is knocked off by a solar
high energy photon (e.g. a UV photon);
charge exchange: an electron is exchanged to an ionized atom of solar wind
particle.
As soon as these particles are charged the Sun’s magnetic field carries them out-
ward to the solar wind termination shock region. The ions repeatedly collide with
the termination shock, gaining energy during each collision. This continues until
they escape from the shock region and diffuse back toward the inner heliosphere.
Such particles are called anomalous cosmic rays (ACRs). ACRs are thought to
originate from the very local interstellar medium and are not related to the above
mentioned violent processes as the GCRs. They can easily be discerned from
GCRs because they have lower speed and energy. They include large quantities of
He, O, Ne and other elements which have in common high ionization potentials.
The third component of cosmic ray particles are Solar energetic particles (SEP).
They move away from the Sun due to plasma heating, acceleration and other
processes. Flares e.g. inject large amounts of energetic nuclei into space, the
composition varies from flare to flare. On the scale of cosmic radiation, SEPs have
relatively low energies.
7.5.1 The Heliosphere

The heliosphere as already stated, is the magnetic shield caused by the Sun which
protects us against energetic cosmic ray particles. The solar wind which is a
continuous stream of plasma expands out through the solar system until it changes
from supersonic to subsonic speed what is called a termination shock. The distance
of that region is assumed to be about 200 AU and the space within is called the
Heliosphere which encloses the whole solar system (e.g. Pluto’s mean distance
is only 39 AU). Because of the magnetic fields, only some of the GCR particles
penetrate to the inner part of the solar system. Thus the magnetic field of the
heliosphere works as a shield. The magnetic activity of the Sun changes however
with the solar cycle (every 11 year the Sun’s magnetic field reverses, the true cycle
is thus 22 years). This causes a variation of the GCR flux. When the Sun is more
active, the magnetic field is stronger, and as a result, fewer GCR arrive in the
vicinity of the Earth. We can also say that the higher the energy the particles
have, the less they are modulated by the solar cycle.
Instrumental recordings of cosmic rays started around 1935. The first mea-
surements where done with ionization chambers, which measure mainly the muon
flux. These muons are responsible for most of the ionization in the lower part of
the troposphere. With a neutron monitor one can measure the low energy part in
the GCR spectrum.
For our study here, it is important to note that by measuring cosmic rays one
can derive a proxy for solar activity very long back in time. This is possible since
isotopes in the atmosphere are produced by cosmic rays. From such recordings a
good qualitative agreement between cold and warm climatic periods and low and
high solar activity during the last 10 000 years was found. When we consider
variations during the last millennium, one can deduce, that from 1000-1300 AC
solar activity was very high which coincided with the warm medieval period. We
know from history that e.g. during that period the Vikings settled in Greenland.
The solar activity - if it is well represented by the variation- decreased and a
long period followed which is now called the little ice age (in this period falls also
the so called Maunder Minimum, 1645-1715, where practically no sunspots were
observed). This period lasted until the middle of the 19th century. From then on,
solar activity has increased and is the highest in the last 600 years.
Thus we may assume the following connections:
If that assumption is true, there is a mechanism, how the Earth’s climate can
be influenced by the Sun.
7.5.2 Cloud, and Cloud Formation Processes

Clouds are created by condensation or deposition of water above the Earth’s sur-
face when the air mass becomes saturated (relative humidity 100 %). Saturation
can occur when the temperature of an air mass goes to its dew point or frost point.
There are different mechanisms to achieve this:
Orographic precipitation: this occurs when air is forced to rise because of the
physical presence of elevation (land). As such a parcel of air rises it cools due to
the adiabatic expansion at a rate of approximately 10 degrees per 1000 m. The
rise of the parcel is stopped if saturation is reached. An example of this mechanism
is the west coast of Canada with large precipitation.
Convectional precipitation: this is associated with heating of the air at the
Earth’s surface. When there is enough heating, the air becomes lighter than the
surrounding masses, begins to rise (cf. a hot air balloon begins to rise), expands
and cools as above. When sufficient cooling takes place, saturation is reached
again forming precipitation. This mechanism is active in the interior of continents
and near the equator forming cumulus clouds and thunderstorms.
Convergence or frontal precipitation: this mechanism takes place when two
masses of air come together. One is usually moist and warm and the other is
cold and dry. The leading edge of the cold front acts as an inclined wall or front
causing the moist warm air to be lifted. Then the above described processes start
again: rise, cooling and saturation. This type of precipitation is common in the
mid latitudes.
Finally we have to mention the radiative cooling: this occurs when the Sun is
no longer supplying the ground and overlying air with energy due to insolation
during nighttime. The surface of the Earth begins to lose energy in the form of
longwave radiation. This causes the ground and the air above it to cool. The
precipitation that results from this kind of mechanism takes the form of dew, frost
or fog.
Of course these mechanisms may act as a combination: convection and oro-
graphic uplift can cause summer afternoon showers in the mountains.
Let us compare the levels of cloud cover for summer and winter (northern
hemisphere). For summer in the northern hemisphere, highest levels of cloud
cover occur over the mid-latitude cyclone storm tracks of both hemispheres, In-
tertropical Convergence Zone over land surfaces, and the Indian Monsoon region
(orographic lifting). Lowest values occur over the subtropical deserts, the sub-
sidence regions of the subtropical oceans, and the polar regions. For winter in
the northern hemisphere highest levels of cloud cover occur over the mid-latitude
cyclone storm tracks of both hemispheres and the Intertropical Convergence Zone
over land surfaces. Lowest values occur over the subtropical deserts, the subsidence
regions of the subtropical oceans, and over the South Pole.
Clouds influence vertically integrated radiative properties of the atmosphere.
They cause a cooling through reflection of incoming shortwave radiation (sun -
light) and heating by absorption and trapping of outgoing long wave radiation
(thermal radiation). Let us consider the net radiative impact of a cloud: this
mainly depends on two parameters, on its height above the surface and its optical
thickness. High optically thin clouds tend to heat while low optically thick clouds
tend to cool. The net forcing of the global cloud cover is in the range between
as it is derived from climate models. Thus a significant influence
on the global cloud cover can be potentially very important for Earth’s climate
(see also Table 7.8).
It has been found that the Earth’s cloud cover follows the variation in GCR.
It seems to be that the ionization in the atmosphere produced by GCR is the
essential link. One can estimate that a variation in cloud cover of 3 % during an
average 11-year solar cycle could have an effect of This is a very
significant amount.
The idea that cosmic rays can influence cloud formation was first pointed out
by Svensmark (1997). He showed that there was a significant correlation between
total cloud cover over the Earth and the influx of cosmic rays. The rays ionize
particles in the low troposphere which then seed the growth of cloud water droplets.
During the past century the shielding from cosmic rays has increased since solar
activity has increased. This decreases the formation and cooling influence of low
clouds and may thus provide a possible contribution to the global warming of the
past 100 years (Marsh, Svensmark, 2000; Svensmark, 1999).
Let us consider and summarize the changes in the magnetic field in the solar
atmosphere. Shorter solar cycles facilitate a rise in the coronal source flux, longer
cycles allow it to decay. The accumulation of the coronal source flux strongly
depends on the rate of flux emergence in active regions. In general the peak and
cycle averaged sunspot numbers are larger when cycles are shorter. Therefore,
shorter cycles are associated with larger flux emergence rates, there is less time
for the open flux to decay. We can state:
shorter activity cycle increased coronal flux
The coronal source surface is where the magnetic field becomes approximately
radial. This occurs at This surface can also be regarded as the
boundary that separates the solar corona from the heliosphere. The magnetic flux
threading the corona source surface is called or open solar flux. If there is a
rise of the flux than the cosmic ray flux incident on the Earth will decrease.
Lockwood and Foster (2000) estimated that the cosmic ray flux > 3 GeV was 15%
larger around 1900 than it is now. As it was shown above, cosmic rays generate air
ions in the sub ionospheric gap which allows current to flow in the global electric
current. This connects thunderclouds with the ground via lightening.
An analysis of ISCCP D2 cloud data showed a correspondence between low

cloud cover and cosmic ray flux (Palle and Butler, 2000). The authors also men-
tioned that the effect of increased global sea temperatures, increased aerosols and
aircraft traffic on cloud formation processes should be taken into account.
7.6 What Causes the Global Warming?

This is a very strong debate. In the extreme case the warming is not caused by
a substantial greenhouse effect since as is shown in Table 7.9 other factors can
contribute to the observed increase in temperature. However, all these estimates
are estimates and should be taken with caution.
A summary of the effects is illustrated in Fig. 7.15. The data shown in that
Fig are i) Reconstructed NH temperature series from 1610-1980, updated with
raw data from 1981-1995 ii) Greenhouse gases (GHG) represented by atmospheric
CO2 measurements (iii) Reconstructed solar irradiance (see Lean et al, 1995) (iv)
Weighted volcanic dust veil index (DVI) (v) Evolving multivariate correlation of
NH series with the 3 forcings (i) (ii) and (iii). The data are from Mann et al.
(1999, and further references therein). These authors conclude that while the
natural (solar and volcanic) forcings appear to be important factors governing the
natural variations of temperatures in past centuries, only human greenhouse gas
forcing alone, can statistically explain the unusual warmth of the past few decades.
7.6. WHAT CAUSES THE GLOBAL WARMING? 153
Chapter 8
Space Weather and

Radiation Damage
In this chapter we discuss the influences of radiation damage both to humans in

space as well as to electronics and solar panels of satellites.
8.1 The Early Sun

8.1.1 T Tauri stars
T Tauri stars are a group of stars which are solar like and often associated with
molecular clouds. They are very early stars that means that they have not yet
reached the main sequence and they are still contracting (see the introduction
about stellar evolution). Their masses and temperatures are quite similar to the
Sun but they are brighter. Their rotation rate is in the range of a few days (for
the Sun it is about 1 month). They are active variable stars. The first ones were
found about 1945 by their optical variability and chromospheric lines. Later on
some evidence for large starspots on their surfaces were found. The X ray emission
which is about 1 000 times that of the present Sun and radio flux is not constant.
Some of them also show molecular outflow and strong stellar winds. By their IR
and sub mm excess radiation it was found that about half of them are surrounded
by circumstellar disks.
Contrary to normal main sequence stars like the Sun their energy is not pro-
duced by nuclear fusion near the core but by a slow gravitational contraction. T
Tauri stars belong to the group of so called YSO (young stellar objects) of type II.
Type I YSO are very young protostellar objects at the age of just a few 100 000
years. An example is HR 4796. At a wavelength of the object appears as a
point source, at a wavelength of it is much larger and diffuse indicating a
circumstellar disk of dust. They are bright in the mid and far IR but invisible in
the optical.
155
156 CHAPTER 8. SPACE WEATHER AND RADIATION DAMAGE
8.1.2 The Early Sun

At an age of about 40 Million years our Sun became a zero age main sequence
star. That means that it reached the main sequence and nuclear fusion of H to
He started. At that time the Sun had about 70% of the total flux that is emitted
presently. But in the UV and X-rays the flux was higher by a factor of about
100 than now. This of course has important consequences for the formation of the
planets, their atmospheres etc. In its T Tauri and post T Tauri evolution the Sun’s
short wavelength emission was considerably higher than it is now. At that time
the terrestrial planets were formed already, the protoplanetary disk evaporated,
comets ejected out into the Oort cloud and the big bombardment period from
the remaining rocky planetesimals and comets began; this caused probably several
evaporations of the Earth’s oceans.
How can we find indications for this T Tauri and Post T Tauri Phase of the
Sun? Measurements of the ratio in the atmosphere of the satellite
Titan (which is Saturn’s largest satellite) have shown that the bulk N is enhanced
in the heavier isotope by about 4.5 times relative to the Earth’s value. A
anomaly on Mars of about 1.6 times the terrestrial value has also been
found. These measurements can only be explained by the above mentioned T
Tauri and post T Tauri phase of the early Sun (Lammer et al. 2000).
8.2 Radiation Damage on Living Organisms

8.2.1 Definitions
Radiation is energy in the form of waves or particles. X rays and gamma rays
are electromagnetic waves of radiation, as is visible light. Particulate radiation
includes alpha and beta radiation. The energy associated with any radiation can
be transferred to matter. This transfer of energy can remove electrons from the
atoms leading to the formation of ions. The types of radiation capable of producing
ions in matter are collectively referred to as ionizing radiation.
Alpha particles are composed of two protons and two neutrons. Alpha particles
do not travel very far from their radioactive source. They cannot pass through a
piece of paper, clothes, or even the layer of dead cells which normally protects the
skin. Because alpha particles cannot penetrate human skin they are not considered
an external exposure hazard (this means that if the alpha particles stay outside the
human body they cannot harm it). However, alpha particle sources located within
the body may pose an ”internal” health hazard if they are present in great enough
quantities. The risk from indoor radon is due to inhaled alpha particle sources
which irradiate lung tissue.
Beta particles are similar to electrons, except they come from the atomic nu-
cleus and are not bound to any atom. Beta particles cannot travel very far from
their radioactive source. For example, they can travel only about one half an inch
in human tissue, and they may travel a few yards in air. They are not capable of
penetrating something as thin as a book or a pad of paper.
Gamma rays are an example of electromagnetic radiation, as is visible light.
8.2. RADIATION DAMAGE ON LIVING ORGANISMS 157
Gamma rays originate from the nucleus of an atom. They are capable of travelling
long distances through air and most other materials. Gamma rays require more
”shielding” material, such as lead or steel, to reduce their numbers than is required
for alpha and beta particles.
In Table 8.1 we give some definitions used in radiation physics.
The effect of radiation on any material is determined by the dose of radiation
that material receives. Radiation dose is simply the quantity of radiation energy
deposited in a material. There are several terms used in radiation protection to
precisely describe the various aspects associated with the concept of dose and how
radiation energy deposited in tissue affects humans.
Some terms related to radiation dose:
Chronic dose: A chronic dose means a person received a radiation dose over
a long period of time.
Acute dose: An acute dose means a person received a radiation dose over a
short period of time.
Somatic effects are effects from some agent, like radiation that are seen in
the individual who receives the agent.
Genetic effects: Genetic effects are effects from some agent, that are seen in
the offspring of the individual who received the agent. The agent must be
encountered pre-conception.
Teratogenic effects: Teratogenic effects are effects from some agent, that are
seen in the offspring of the individual who received the agent. The agent
must be encountered during the gestation period.
8.2.2 Radiation Damage on DNA

The basic unit of any living organism is a cell. It is a small, watery compart-
ment filled with chemicals and a complete copy of the organism’s genome. The
term genome denotes all the DNA in the cell (chromosomes and other). Different
organisms have different numbers of chromosomes (e.g. humans have 23 pairs of
chromosomes, 44 autosomes and 2 pairs of sex chromosomes). Each parent con-
tributes one chromosome to each pair and so children get half of their chromosomes
form their mother and half from their father.
The structural arrangement of DNA looks like a long ladder twisted into a
helix. The sides of the ladder are formed by a backbone of sugar and phosphate
molecules. The rungs consist of nucleotide bases joined weakly in the middle by
hydrogen bounds. There are two major ways that radiation injures the DNA inside
the cells of an organism:
water in the body tends to absorb a large fraction of radiation and becomes
ionized. When water is ionized it forms highly reactive molecules which are
called free radicals. Those react with and damage the DNA molecules.
radiation can also collide directly with the DNA molecules ionizing and dam-
aging it directly.
The typical symptoms of radiation sickness are: severe burns that are slow to heal,
sterilization, cancer. High doses are rapidly fatal (within days or weeks).
Yang et al. (1996) discussed DNA damage and repair in oncogenic transfor-
mation by heavy ion radiation. The most important late effect of energetic heavy
8.2. RADIATION DAMAGE ON LIVING ORGANISMS 159
ions in cosmic rays and solar particle events is risk assessment in carcinogenesis.
8.2.3 DNA Repair

Wether or not a cell can repair depends on the damage to the DNA.
single strand break in the DNA: this can be usually repaired and normal cell
function is restored.
breaks in both DNA strands: usually the damage is too severe to repair and
the cell dies.
chemical change or mutation: cannot be repaired; cancer or a mutation

offspring results if this occurs in a sperm or egg cell.
8.2.4 Radiation Dose Limits for Astronauts

These limits were set by the US National Council on Radiation Protection and
Measurements for all space missions in order to protect the astronauts. But there
is an exception for exploratory missions and circumstances in space (e.g. mission
to Mars). In Table 8.2 the relevant data are given.
The radiation dose limits for ordinary citizens are much lower. The annual
dose is about 50 mSv, the lifetime dose is age [years] x 10 mSv. In the US the
total average annual dose is about 3.6 mSv.
The single dose effects can be described as follows:
Riklis et al. (1996) discussed biochemical radioprotection using antioxidants

and DNA repair enhancement and found that the right combination proves effec-
tive in providing protection from a wide range of radiation exposures over a long
period of time.
8.2.5 Genetic vs. Somatic Effects

Somatic effects of radiation damage appear on the exposed person. Prompt so-
matic effects appear after an acute dose. One example of a prompt effect is tem-
porary hair loss. Delayed somatic effects may occur years after radiation doses
are received. Typical effects are the development of cancer and cataracts. Let us
briefly mention the most important syndromes.
Blood forming organ (bone marrow) syndrome: damage to the cells which
divide at the most rapid pace; bone marrow, spleen and limphathic tissue.
Symptoms include internal bleeding, fatigue, bacterial infections and fever.
Gastrointestinal tract syndrome (>1000 rad): damage to cells which divide
less rapidly; lining to the stomach and intestines. Symptoms are nausea,
vomitting, diarrhoea, dehydration, loss of digestion ability, bleeding ulcers.
Central nervous system syndrome (> 5000 rad): damage to cells which do
not reproduce such as nerve cells. Symptoms include loss of coordination,
confusion, coma, shock.
It seems now that death is not caused by radiation damage on the nervous system
but by internal bleeding and fluid and pressure build-up on the brain.
The genetic or heritable effect appears in the future generation of the exposed
person as a result of radiation damage to the reproductive cells.
We have seen that satellite systems are vulnerable to Space Weather through
its influence on energetic charged particle and plasma populations and that air-
craft electronics and air crew are subjected to atmospheric secondary radiation
produced by cosmic rays and solar particle events. This is discussed by Dyer
(2001). The Advanced Composition Explorer (ACE) continuously monitors the
solar wind and produces warnings by monitoring the high-energy particles that
can produce radiation damage in satellite systems (Zwickl et al., 1998).
8.3. SOLAR UV RADIATION DAMAGE 161
3.9-2.5 Billion years ago the Earth was dominated by an oceanic lithosphere.
Cockell (2000) calculated that the DNA damage rates might have been approxi-
mately three orders of magnitude higher in the surface layer of the Archean oceans
than on present-day oceans. However, at 30 m depth, damage might have been
similar to the surface of present-day oceans. On the other hand, risk of being
transported to the surface water in the mixed layer was quite high. Thus the
mixed layer may have been inhabitated by a low diversity UV-resistant biota. Re-
pair capabilities similar to Deinococcus radiodurans would have been sufficient
to survive in the mixed layer. During the early Proterozoic ozone concentrations
increased and the UV stress would have been reduced and a greater diversity of
organisms could have inhabitated the mixed layer.
Lean (2000) discusses societal impacts of solar electromagnetic radiation.
The Yohkoh satellite was launched in 1991. Song and Cao (1999) discuss CCD
radiation damage. Evans et al. (1999) discuss charged-particle induced radiation
damage of a HPGe gamma-ray detector during spaceflight.
8.2.6 The Solar Proton Event in August 1972

Between the manned Apollo 16 and 17 missions one of the largest solar proton
events ever recorded occurred. As a matter of luck no astronauts were in space
during that time. Computer simulations were done later to reconstruct the influ-
ence on astronauts during that time. The main result of these simulations was
that even inside of a spacecraft the astronauts would have absorbed a lethal dose
of radiation within 10 hrs after the start of the event. At 6:20 UT an optical flare
was observed on the Sun. At 13:00 UT the astronauts’ allowable 30- day radia-
tion exposure to skin and eyes was exceeded. At 14:00 the astronauts’ allowable
30-day radiation exposure for blood forming organs and yearly limit for eyes was
exceeded. The yearly limit for skin was exceeded at 15:00 UT. At 16:00 UT the
yearly limit for blood forming organs and the career limit for eyes was exceeded.
At 17:00 UT the career limit for skin was exceeded.
This event dramatically shows the need for space weather forecasting. The
correlation of solar proton events with activity cycle is evident (Fig. 8.2.6).
Heckman (1988) discussed proton event predictions.
8.3 Solar UV Radiation Damage

8.3.1 General Remarks
Most UV radiation from the Sun is absorbed by the ozone layer or reflected back
into space so only a small amount reaches the surface of the Earth. Sunlight is
received as direct rays and as diffuse light, i.e. skylight which has been scattered
by the atmosphere. The sky is blue because air molecules scatter the shorter
wavelength (blue light) more than the red light, the index of scattering depends
on the wavelength. UV light is scattered even more than blue light.
One has also to not forget the diffuse UV light and thus being shaded from
direct Sunlight provides only a partial protection. Typical window glasses transmit
less than 10% of ultraviolet light, and sunblock creams work by absorbing or
reflecting UV rays. The SPF rating of sunscreens gives an indication of their
effectiveness as UV blockers. For example, an SPF of 15 means that it should take
15 times as long to before skin damage occurs (i.e., the cream should block about
93% of the radiation that causes skin damage).
UV radiation is subdivided into three wavelength bands:
UVA (315-400 nm), produces photochemical smog; damages plastic, paints

and fabrics. UVA rays are not as energetic as UVB and, as a consequence,
cause little sunburn or skin reddening. On the other hand, UVA rays pen-
etrate deeper into the skin. The damage they cause is on a cellular level,
occurring slowly and accumulating over a period of time. UVA radiation
induces the formation of free radicals that, in turn, attack the lipids in the
skin. The resulting damage gives rise to the visible signs of aging such as
wrinkles and thickened skin. The skin’s natural defenses against these free
radicals are ascorbic acid (vitamin C) and alpha-tocopherol (vitamin E).
These two vitamins are potent anti-oxidants that intercept the free radicals
before they can do much damage. Vitamin C protects significantly better
against UVA phototoxicity than vitamin E. Vitamin E, on the other hand,
is more efficient against UVB.
UVB (290-315 nm); 1% of solar radiation energy is in this band, most of it

absorbed by ozone. Can damage DNA; smaller changes in ozone can lead to
large changes in UVB radiation at the surface. Other effects are: Production
of vitamin D in humans, skin cancer and damage to eye tissue. Plants and
aquatic organisms suffer reduced growth, and many materials such as plastics
degrade more rapidly in response to increased UVB radiation.
UVC (220-290 nm); totally blocked by ozone and other gases, does not reach
the Earth’s surface.
A person’s potential to develop skin cancer is related to their exposure UVB
radiation (sunburn). In New Zealand, about one person in three will develop a skin
cancer during their lifetime. About half the number killed on the roads die of skin
cancer in New Zealand. New Zealand and Australia have a very high melanoma
incidence compared with other countries.
How can this be explained?
New Zealanders have an outdoor lifestyle,
wear fewer clothes now than in the past,
the ancestors of most white-skinned New Zealanders migrated from the UK,
which is at much higher latitude, and has much lower levels of UV radiation.
These people are therefore poorly adapted to the relatively high levels of UV
naturally present in New Zealand;
calculations suggest that locations in the Southern Hemisphere should receive
approximately 15% more UV than locations at a similar latitude north of the
Equator (Basher, 1981; McKenzie, 1991). This is caused by differences in
ozone between the Northern and Southern Hemispheres, and also because the
Earth is slightly closer to the Sun during the Southern Hemisphere summer
(McKenzie and Elwood, 1990);
measurements show much larger differences, with biologically-damaging UV
being 50-80% more in the Southern Hemisphere than at comparable North-
ern latitudes in Europe. The differences are caused by the buildup of tropo-
spheric pollution (tropospheric ozone and aerosols) in the North (Seckmeyer
and McKenzie, 1992);
the largest levels of UV. Much higher levels of UV are experienced in coun-
tries, such as Australia, which are closer to the equator.
The amount of UVB light at ground level is determined by three factors: a) solar
elevation, b) the amount of ozone in the atmosphere and c) the cloudiness of the
sky. Please note that during local noon the amount of background radiation is
the same as direct radiation three hours before and afterwards. At NZ’s latitude,
approximately 40% of the daily sunburn radiation occurs during the two hour
period centered on solar noon.
Since the late 1970s an ozone hole has formed over Antarctica during early
spring. The amount of ozone over New Zealand varies seasonally with a maxi-
mum in spring and a minimum in early autumn. Evidence of ozone destruction
has also been observed over the Arctic. The ozone hole is caused by the special
meteorological conditions of the cold atmosphere above polar regions which am-
plify the destructive ability of CFCs. The Antarctic ozone hole cannot shift over
New Zealand. However, ozone losses over Antarctica may contribute to changes
in ozone over the whole globe.
In Fig. 8.3 clear sky UV indices for different stations in NZ are given. Seasonal
variations are higher at low latitudes as well as the absolute values.
8.3.2 Effects on the Skin

Generally, excessive UV exposure results in a number of chronic skin changes.
These include:
various skin cancers of which melanoma is the most life-threatening;
an increased number of moles (benign abnormalities of melanocytes),
a range of other alterations arising from UV damage to keratinocytes and
blood vessels;
UV damage to fibrous tissue is often described as ”photoageing”. Photoage-
ing makes people look older because their skin loses its tightness and so sags
or wrinkles.
United Nations Environment Programme (UNEP) has estimated that more
than 2 million nonmelanoma skin cancers and 200 000 malignant melanomas occur
globally each year. Let us assume that there is a 10% decrease of stratospheric
ozone; then it is estimated that an additional 300 000 nonmelanoma and 4 500
melanoma skin cancers would result worldwide.
Caucasians have a higher risk of skin cancer because of the relative lack of
skin pigmentation. The worldwide incidence of malignant melanoma continues
to increase, and is strongly related to frequency of recreational exposure to the
sun and to history of sunburn. There is evidence that risk of melanoma is also
related to intermittent exposure to UV, especially in childhood, and to exposure

to sunlamps. However, the latter results are still preliminary.
8.3.3 Effects on the Eye

The acute effects of UV on the eye include the development of photokeratitis and
photoconjunctivitis, which are like sunburn of the delicate skin-like tissue on the
surface of the eyeball (cornea) and eyelids. While painful, they are reversible,
easily prevented by protective eyewear and have not been associated with any
long-term damage.
Chronic effects however include the possible development of pterygium (a white
or cream colored opaque growth attached to the cornea), squamous cell cancer of
the conjunctiva (scaly or plate-like malignancy) and cataracts. Some 20 million
people worldwide are currently blind as a result of cataracts. Of these, WHO
estimates that as many as 20% may be due to UV exposure. Experts believe that
each 1% sustained decrease in stratospheric ozone would result in an increase of
0.5% in the number of cataracts caused by solar UV. Direct viewing of the sun
and other extremely bright objects can also seriously damage the very sensitive
part of the retina called the yellow spot, fovea or macula leutea. When cells of
the fovea are destroyed, people can no longer view fine detail. For those people it
becomes impossible to read, sew, watch TV, recognize faces, drive a vehicle etc.
8.3.4 Immune System

UV also appears to alter immune response by changing the activity and distribu-
tion of the cells responsible for triggering these responses. A number of studies
indicate that UV exposures at environmental levels suppress immune responses
in both rodents and humans. In rodents, this immune suppression results in en-
hanced susceptibility to certain infectious diseases with skin involvement, and some
systemic infections. Mechanisms associated with UV-induced immunosuppression
and host defence that protect against infectious agents are similar in rodents and
humans. It is therefore reasonable to assume that UV exposure may enhance the
risk of infection and decrease the effectiveness of vaccines in humans. Additional
research is necessary to substantiate this.
8.3.5 UV Index
The Global Solar UV Index was developed through the WHO. It provides an
estimate of the maximum solar UV exposure at the Earth’s surface. The intensity
of UV reaches a maximum around mid-day (when there is no cloud cover) at solar
noon.
It is generally presented as a forecast of the maximum amount of skin-damaging
UV expected to reach the Earth’s surface at solar noon. The values of the Index
range from zero upward; the higher the Index number, the greater the likelihood
of skin and eye damaging exposure to UV, and the less time it takes for damage
to occur.
Close to the equator, summer-time values reach 20. During a European summer
a value of 8 can be reached. We speak of:
low UV exposure: Index 1...2
moderate UV exposure: Index 3...4
high UV exposure: Index 5...6
very high UV exposure: Index 7...8
extreme UV exposure: Index > 9
8.4 Spacesuits
Outer space is extremely hostile and without a spacesuit the following things would
happen:
you would become unconscious within 15 s because there is no O,
blood and other body fluids start to boil and then freeze because there is no
air pressure,
tissues (skin, heart...) expand because of the boiling fluids,
extreme temperature changes: sunlight 120°C, shade -100° C.
exposure to radiation and micrometeoroids.
8.4.1 The Extravehicular Mobility Unit

Some facts: Weight = 127 kg on Earth, Thickness = 0.48 cm, 13 layers, atmo-
sphere = 0.29 atm of pure oxygen, Volume = 0.125 to 0.153 m3, without astronaut
cost = 12 million USD.
While early spacesuits were made entirely of soft fabrics, the EMU has a combi-
nation of soft and hard components to provide support, mobility and comfort. The
suit itself has 13 layers of material, including an inner cooling garment (two lay-
ers), pressure garment (two layers), thermal micrometeroid garment (eight layers)
and outer cover (one layer). The materials used include: Nylon tricot Spandex,
Urethane-coated Nylon, Dacron, Neoprene-coated Nylon, Mylar, Gortex, Kevlar
(material in bullet-proof vests), Nomex. All of the layers are sewn and cemented
together to form the suit. In contrast to early spacesuits, which were individually
tailored for each astronaut, the EMU has component pieces of varying sizes that
can be put together to fit any given astronaut. The EMU consists of the following
parts:
Maximum Absorption Garment (MAG) - collects urine produced by the as-
tronaut. Liquid Cooling and Ventilation Garment (LCVG) - removes excess
body heat produced by the astronaut during spacewalks EMU.
8.5. RADIATION SHIELDING 167
Electrical Harness (EEH) - provides connections for communications and

bio-instruments.
Communications Carrier Assembly (CCA) - contains microphones and ear-
phones for communications.
Lower Torso Assembly (LTA) - lower half of the EMU including pants, knee
and ankle joints, boots and lower waist Hard Upper Torso (HUT) - hard
fiberglass shell that supports several structures including the arms, torso,
helmet, life-support backpack and control module Arms Gloves - outer and
inner gloves Helmet.
Extravehicular Visor Assembly (EVA) - protects the astronaut from bright
sunlight
In-suit Drink Bag (IDB) - provides drinking water for the astronaut during
the spacewalk.
Primary Life Support Subsystem (PLSS) - provides oxygen, power, carbon
dioxide removal, cooling water, radio equipment and warning system.
Secondary Oxygen Pack (SOP) - provides emergency oxygen supply.
Display and Control Module (DCM) - displays and controls to run the PLSS
8.5 Radiation Shielding

Since the 1950s it is known that radiation in space poses a problem to human
space travel. In 1952 Wernher von Braun and other space visionaries suggested
using lunar soil to protect manned expedition from space radiation and meteors.
Low energy radiation can be stopped by a spacecraft wall. At higher energies
the wall itself produces showers of secondary radiation and even more shielding
is needed to absorb that. Using light weight materials like hydrogen, boron and
lithium, nuclei of heavy elements in cosmic rays can be shattered by lightweight
atoms without producing additional hazardous recoil products like neutrons. Thus,
composites and other materials using low mass atoms might provide good shield-
ing. At NASA’s Langley Research Center simulated Mars soil will be tested for
shielding.
The International Space Station (ISS) at 51.60 inclination and 220 mile of al-
titude is being constructed during a period of high solar activity with about 1000
hours of required extra vehicular activity (EVA). The Astronauts are exposed to
trapped protons and electrons and galactic cosmic rays. Especially during transits
through the South Atlantic Anomaly (SAA) during EVA astronauts may expe-
rience enhanced doses. Dose enhancements are also expected from solar particle
events (SPE). There are two different types of suits for astronauts: EMU and
Orlan.
The skin responses to radiation include erythema, epilation, desquamation.
Different anatomical skin sites vary in sensitivity with decreased order of respon-
siveness as follows:
anterior aspect of neck,

anterior surfaces of extremities, chest, abdomen,
face
back, posterior surfaces,
nape of neck,
scalp, palms, soles.
Literature: For more details on the problem see e.g. Kiefer (2001) or the Space
Studies Board of the National Reserach Council (2000) or Thomson (1999), Bad-
hwar (1997). Radiation measurements on Russian spacecraft Mir are presented by
MacKay et al. (1993).
The effectiveness of any shielding depends on the energy distribution of the
incident radiation. Some examples for common shielding materials are listed in
Table 8.5.
Radiation with energy less than 1 MeV/nm can not penetrate a space suit
of 1 mm thickness. Al shielding reduces the low boundary to 40 MeV. When
a high-energy ion strikes an atom in metal shielding it can produce secondary
radiation and there are cases where a small amount of shielding is worse than
none at all. Bremsstrahlung can be created (X-rays) by electrons as they interact
with spacecraft shielding.
Chapter 9
The Ionosphere and Space

Weather
9.1 General Properties

The ionosphere contains only a small fraction of the Earth’s atmosphere (above 100
km less than 1 % of the mass of the atmosphere). However, this layer is extremely
important for modern telecommunication systems since it influences the passage
of radio waves.
Because of its name we can expect that the atoms are ionized there. Most of
the ionosphere is electrically neutral. On the sunlit side of the Earth the shorter
wavelengths of solar radiation (extreme UV and X rays) are energetic enough
to produce ionization of the atoms. Therefore, this layer becomes an electrical
conductor supporting electric currents and radio wave propagation.
Historically, it has been divided into regions with specific ionizations.
lowest D region: between 50 and 90 km.
E region: between 90 and 150 km,
F region: contains the F1 and F2 layers.
The top of the ionosphere is at about 1000 km, however there exists no definite
boundary between plasma in the ionosphere and the outer reaches of the Earth’s
magnetic field. In the E region the most important ions are , in the F
region it is . In the F2 layer (at about 400 km) the electron concentration
reaches its highest values which is important for the telecommunication systems.
At high latitudes there is another source of ionization of the ionosphere– the aurora.
The light of the aurora is caused by high speed electrons and protons, coming from
the magnetosphere spiralling down the Earth’s magnetic field lines.
At low latitudes the largest electron densities are found in peaks on either side
of the magnetic equator, which is called the equatorial anomaly. Normally one
would expect that the peak concentration will occur at the equator because of the
169
170 CHAPTER 9. THE IONOSPHERE AND SPACE WEATHER
maximum in solar ionizing radiation. This peculiarity can be explained by the

special geometry of the magnetic field and the presence of electric fields. The elec-
tric fields transport plasma and are caused by a polarizing effect of thermospheric
winds.
The ionosphere varies because of two reasons:
two varying sources of ionization (aurora, Sun)
changes in the neutral part of the thermosphere, which responds to solar
EUV radiation.
Thus the ionospheric variation mainly occurs at a 24 h period (daytime-nighttime)
and over the 11 year cycle of solar activity. We observe considerable changes in the
F-region maximum density of the electrons which influences the plasma
frequency that is proportional to it. On shorter time scales solar X-ray radiation
changes dramatically during a solar flare eruption. This effect increases the D
and E ionization. During a geomagnetic storm the auroral source of ionization
becomes more intense. In extreme cases aurorae can be seen at moderate latitudes
(Italy, Mexico). Another source of variability in the ionosphere comes from the
interaction of charged particles with the neutral atmosphere in the thermosphere.
Thermospheric winds can push the ionosphere along the inclined magnetic field
line to a different altitude. Moreover the composition of the thermosphere affects
the rate that ions and electrons recombine. During a geomagnetic storm energy
input at high latitudes produces waves and changes in the thermospheric winds
and composition. The electron concentration can increase (positive phases) and
decrease (negative phases). The ionospheric variability is given in Table 9.1.
HF communication depends on radio waves that are reflected in the ionosphere.
This is characterized by the maximum usable frequency (MUF) and the lowest
usable frequency (LUF). The MUF depends on the peak electron density in the F
region and the angle of incidence of the emitted radio wave. As we have seen, this
changes during the day, over the solar cycle and during geomagnetic disturbances.
The LUF is controlled by the amount of absorption of the radiowave in the lower
D and E layers. This is severely affected by solar flares. All single frequency GPS
9.1. GENERAL PROPERTIES 171
receivers must correct the delay of the GPS signal as it propagates through the
ionosphere to the GPS satellite (at 22 000km altitude).
The ionosphere may become highly turbulent, mainly in the high latitude and
low latitude F region and at special times (often after sunset). In this context
turbulence is defined as small scaled structures (scale length cm to m) which are
irregular and embedded in the large scale ambient ionosphere (tens of kilometers).
In the equatorial region plasma irregularities are generated just after sunset and
may last for several hours. At high latitudes these irregularities may be generated
during day and night. Both effects occur most frequently during the solar cycle
maximum. Radio signals become disrupted by these perturbations and the effect
is known as ionospheric scintillation. The bigger the amplitude of the scintillated
signal the greater the impact on communication and navigation systems.
9.1.1 Aurora
Energetic particles from the Sun are carried out into space along with the ever
present hot solar wind. This wind sweeps toward Earth at super sonic speeds
ranging from 300 to 1000 km/s. It distorts the Earth’s magnetic field which forms
out a comet shaped magnetosphere.
The magnetosphere protects us from energetic particles and most of them are
deflected around the Earth. The Earth’s Van Allen Belts consist of highly energetic
ionized particles trapped in the Earth’s geomagnetic field. On the sunward side of
the Earth, the geomagnetic field is compressed by the solar wind, on the opposite
side of the Earth, the geomagnetic field extends. Thus the field forms an elongated
cavity which is also known as the Chapman-Ferraro Cavity around the Earth.
Within this cavity are the Van Allen Radiation Belts. The radiation belts are
composed of electrons (keV) and protons (MeV).
As it is seen in Figure 9.2 there are two belts of particle concentration: a)
small inner belt between 1 and 2 Earth radii where protons of energy 50 MeV and
electrons with energies > 30 MeV reside and b) outer larger belt from 3 to 4 Earth
radii where less energetic protons and electrons are concentrated. The inner belt
is relatively stable, the outer belt varies in its number of particles by as much as
a factor of 100.
Charged particles trapped in the belts spiral along the field lines while bouncing
between the northern and southern mirror points. Particles in the inner belt may
interact with the upper atmosphere causing the auroral oval which is an annulus
centered over the magnetic poles and around 3000 km in diameter during quiet
times. The location of the auroral oval is usually found between 60 and 70 degrees
of magnetic latitude (north and south).
There are many shapes and features of aurorae. They generally start at 100
km above the surface and extend upward along the magnetic field for hundreds
of km. Auroral arcs can nearly stand still and then suddenly move (dancing,
turning). After midnight one often sees a patchy appearance of aurorae, and the
patches blink on and off every 10 s or so. Most of aurorae are greenish yellow and
sometimes the tall rays turn red at their top and along their lower edge. On rare
occasions sunlight hits on the top creating a faint blue color.
The different colors depend on the specific atmospheric gas, its electrical state
and on the energy of the particle that hits the atmospheric gas. Atomic oxygen is
responsible for the two main colors of green (557.7 nm, at a height below 400 km)
and red (630.0 nm, about 400 km or higher). Excited nitrogen also emits light
(600-700 nm; below 200 km). Auroral displays are intensified if the interplanetary
magnetic field is in the opposite direction to the Earth’s magnetic field. The geo-
magnetic storms produce brightness changes and motion in the aurorae and these
are called auroral substorms. Recent models of aurorae explain the phenomenon
by a process of release of energy from the magnetotail, called magnetic reconnec-
tion. Regions of opposite magnetic fields come together and the magnetic field
lines can break and reconnect in new combinations. The point of reconnection in
the magnetotail lies usually at 100 Earth radii. When the solar wind adds suffi-
cient magnetic energy to the magnetosphere, the field lines there overstretch and
a new reconnection takes place at 15 Earth radii, the field collapses and electrons
are injected into the atmosphere.
Reconnection stores large amounts of energy in the Earth’s magnetic field until
it is released explosively. The cycle of energy storage and release is called substrom.
Multiple substorms lead to magnetic storms and acceleration of particles to very
high energies. These particles damage satellites.
The geomagnetic field is measured by magnetometers and the data are often
given as 3-hourly indices that yield a quantitative measure of the level of geomag-
netic activity. The K-index is given from 0 to 9 and depends on the observing
station. The globally averaged index is a measure for the global auroral activ-
ity.
When geomagnetic activity is low, the aurora typically is located at about 67
degrees magnetic latitude, in the hours around midnight. As activity increases,
the region of aurora expands towards the equator. When geomagnetic activity is
very high, the aurora may be seen at mid and low latitude locations (see Table
9.2) around the earth that would otherwise rarely experience the polar lights.
In Table 9.3 auroral boundaries are given as a function of the Kp index.
The magnetic activity produced by enhanced ionospheric currents flowing be-
low and within the auroral oval is measured by the Auroral Electrojet Index AE.
The definition of this index is as follows: at a certain time the total range of devi-
ation from quiet day values of the horizontal magnetic field (h) around the auroral
oval. Defined and developed by Davis and Sugiura, AE has been usefully employed
both qualitatively and quantitatively as a correlative index in studies of substorm
morphology, the behavior of communication satellites, radio propagation, radio
scintillation, and the coupling between the interplanetary magnetic field and the
Earth’s magnetosphere. For these varied topics, AE possesses advantages over
other geomagnetic indices or at least shares their advantageous properties.
9.1.2 Geomagnetic indices

Daily regular magnetic field variation arise from current systems caused by regular
solar radiation changes. Other irregular current systems produce magnetic field
changes caused by
1. the interaction of the solar wind with the magnetosphere,
2. by the magnetosphere itself,
3. by the interactions between the magnetosphere and ionosphere,
4. and by the ionosphere itself.
Therefore, magnetic activity indices were designed to describe variation in the
geomagnetic field caused by these irregular current systems.
Let us give a brief description of other geomagnetic indices which are interesting
for the solar-terrestrial relations.
DST Index
DST stands for Disturbance Storm Time. The DST is an index of magnetic activity
derived from a network of near-equatorial geomagnetic observatories that measures
the intensity of the globally symmetrical equatorial electrojet (the ”ring current”).
Thus DST monitors the variations of the globally symmetrical ring current, which
encircles the Earth close to the magnetic equator in the Van Allen (or radiation)
belt of the magnetosphere. During large magnetic storms the signature of the ring
current can be seen in ground magnetic field recordings worldwide as so-called
main phase depression. The ring current energization which results in typical
depression of 100 nT is related to magnetic reconnection processes at the neutral
sheet.
Kp and Ap Index
The K-Index was first introduced by J. Bartels in 1938. It is a quasi-logarithmic
local index of the 3-hourly range in magnetic activity relative to an assumed quiet-
day curve for a single geomagnetic observatory site. The values consist of a single-
digit 0...9 for each 3-hour interval of the universal time day (UT).
The planetary 3-hour-range index Kp is the mean standardized K-index from 13
geomagnetic observatories between 44 degrees and 60 degrees northern or southern
geomagnetic latitude. The scale is 0...9 expressed in thirds of a unit, e.g. 5- is
4 2/3, 5 is 5 and 5+ is 5 1/3. This planetary index is designed to measure solar
particle radiation by its magnetic effects. The 3-hourly Ap (equivalent range)
index is derived from the Kp index (see Table 9.4). This table is made in such a
way that at a station at about magnetic latitude 50 degrees, Ap may be regarded
as the range of the most disturbed of the three field components, expressed in the
unit of 2 g. A daily index Ap is obtained by averaging the eight values of Ap for
each day. The Cp index, the daily planetary character figure, is defined on the
basis of Ap according to Table 9.5
Another index devised to express geomagnetic activity on the basis of the Cp
index is the C9 index which has the range between 0 and 9. The conversion table
from the Cp index to the C9 index is given by 9.6
AE and other indices

These indices describe the disturbance level recorded by auroral zone magnetome-
ters.
In order to determine these indices, horizontal magnetic component recordings
from a set of globe-encircling stations are plotted to the same time and amplitude
scales relative to their quiet-time levels. They are then graphically superposed.
The upper and lower envelopes of this superposition define the AU (amplitude
upper), the AL (amplitude lower) indices and the difference between the two en-
velopes determine the AE (Auroral Electrojet) index, i.e., AE = AU - AL. AO is
defined as the average value of AU and AL.
Summary of geomagnetic indices

A summary of the indices as well as a few other indices can be found in Table 9.7
9.1.3 Solar Indices

10.7 cm Radio Flux
The sun emits radio energy with slowly varying intensity. This radio flux, which
originates from atmospheric layers high in the sun’s chromosphere and low in its
corona, changes gradually from day to day in response to the number of spot
groups on the disk. Solar flux from the entire solar disk at a frequency of 2800
MHz has been recorded routinely by a radio telescope near Ottawa since February
1947. The observed values have to be adjusted for the changing Sun-Earth distance
and for uncertainties in antenna gain (absolute values). Fluxes are given in units
of
Sunspot Numbers
The sunspot number index is also often called Wolf number in reference to the
Swiss astronomer J. R. Wolf who introduced this index in 1848; details about how
to obtain that number can be found in the chapter about sunspots and the solar
cycle.
9.1.4 Navigation Systems

Modern travel requires exact latitude, longitude and altitude information in real
time. Therefore terrestrial based radio wave systems such as the Loran-C and
the Omega-system were developed. They use large transmitter antennas to send
low-frequency (LF) and very-low-frequency (VLF) radio signals along the ground
and off the reflective layer provided by the ionosphere. Thus, vast distances over
land and sea can be reached. More recently, space-based systems have become the
tools for navigation, among others the GPS system (Global Positioning System).
The advantage of space-based systems is that the satellites can easily cover the
globe. A user can obtain an accurate three dimensional position (his location and
altitude) as soon as at least four satellites are in view.
However both navigational systems, space-systems as well as systems on the
surface suffer from the transmission through the ionosphere. The Omega system
requires it, the Loran system tries to avoid it and the GPS system depends on
radio signals that pass through it. Flares produce X rays and we have already
discussed the influence of this shortwave radiation on the D and E region in the
ionosphere. Navigation with Loran-C and Omega systems thus is influenced by

these events and during the maximum phase of the solar cycle daylight users of
Loran-C and Omega systems have more difficulties. The GPS system is not influ-
enced by this perturbation. The GPS operations are affected by the total electron
content of the ionosphere along the path to the satellite and are thus influenced by
geomagnetic storms. Whereas solar X-rays impact only the sunlit hemisphere of
Earth, geomagnetic storms are ubiquitous. The ionospheric response to the storms
also depends on the latitude. The conditions nearer to the equator or nearer to the
poles vary for the user. It must also be stressed that a quiet undisturbed geomag-
netic field does not necessarily dictate an undisturbed equatorial ionosphere. The
influence of TEC variation (Total Electron Content) on GPS receivers is smaller
for dual band receivers which actually measure the effect of the ionosphere on the
GPS signals and correct the resulting positions for these. Unpredictable density
enhancements can occur in the evening hours and cause scintillations which affect
both dual- and single-frequency GPS receivers.
We summarize the effect of the space environment on the navigation systems:
Loran-C: Phase and amplitude shifts due to skywave interference at the
limits of coverage area.
GPS: Carrier loss-of-lock due to ionospheric density fluctuations with solar
or geomagnetic activity.
Omega: Phase anomalies due to varying ionospheric reflection height; caused

by solar or geomagnetic activity.
9.1.5 Radio Communication

The ionosphere affects the propagation of radio signals in different ways depending
on their frequencies. Frequencies below 30 MHz are reflected in the ionosphere; this
allows radio communication to distances of many thousands of kilometers. Radio
signals at frequencies above 30 MHz penetrate the ionosphere and are useful for
ground-to-space communications. Frequencies between 2 and 30 MHz are affected
by increased absorption, higher frequencies by different reflection properties in
the ionosphere. TV and FM radio stations (on VHF) are affected little by solar
activity. HF ground to air, ship to shore, amateur radio etc. are affected strongly.
Also the Faraday rotation of the plane of polarization has to be taken into account
(for satellite which employ linear polarization up to 1 GHz).
During a solar flare event a sudden increase of X-ray emission causes a large
increase in ionization in the lower regions of the ionosphere on the sunlit side of
the Earth. Very often one observes a sudden ionospheric disturbance (SID). This
affects very low frequencies (OMEGA) as a sudden phase anomaly (SPA) or a
sudden enhancement of the signal (SES). At HF and sometimes also at VHF an
SID may appear as a short wave fade (SWF). Depending on the magnitude of the
solar flare such a disturbance may last from minutes to hours. At VHF the radio
noise created by solar flares interferes with the signal. The occurrence of solar
flare is modulated by the solar activity.
Flares may also emit energetic particles. The PCA (polar cap absorption) is
caused by high energetic particles that ionize the polar ionosphere. A PCA may
last from days to weeks depending on the size of the flare and the interaction of
the high energetic particles emitted by the flare and the Earth’s magnetosphere.
During these events polar HF communication becomes impossible. A coronal mass
ejection may be a consequence of a large solar flare or a disappearing filament and
is an ejection of a large plasma cloud into the interplanetary space. Such a coronal
mass ejection (CME) travels through the solar wind and may also reach the Earth.
This results in a global disturbance of the Earth’s magnetic field and is known as
a geomagnetic storm. High speed solar wind streams originating in coronal holes
on the Sun’s corona hits the Earth’s magnetosphere and also causes ionospheric
disturbances.
9.1.6 Geomagnetically Induced Currents

Ground effects of space weather are generally known as GIC (geomagnetically in-
duced currents). These currents are driven by the geoelectric field associated with
a magnetic disturbance in electric power transmission grids, pipelines, communica-
tion cables and railway equipment. GIC are dc currents. They may cause several
effects because they increase existing current and this may cause saturation:
Increase of harmonics,
unnecessary relay trippings,
increase in reactive power loss,
voltage drops,
permanent damage to transformers,
black out of the whole system.
When flowing from the pipeline into the soil, GIC may increase corrosion of
the pipeline, and the voltages associated with GIC disturb the cathodic protection
system and standard control surveys of the pipeline.
On March 13, 1989, the most famous GIC failure occurred in the Canadian
Hydro-Quebec system during a great magnetic storm on March 13, 1989. The
system suffered from a nine-hour black-out.
A theoretical calculation of GIC in a given network (power grid, pipeline etc.)
can be divided into two steps:
Calculate the geoelectric field created primarily by ionospheric-magnetospheric

currents and affected secondarily by the earth’s conductivity distribution.
This is also called the geophysical step.
Calculate the currents produced by the geoelectric field in the circuit system
constituted by the network and its earthings.
The first step is generally more difficult, partly because the space and geophysical
input parameters are not well known.
The effects of geomagnetic disturbances on electrical systems at the earth’s
surface were studied e.g. by Boteler et al. (1998) or Lehtinen and Pirjola (1985).
A prediction of Geomagnetically Induced Currents in Power Transmission Systems
was given by Pirjola et al. (2000).
9.1.7 Systems Affected by Solar or Geomagnetic Activity

In this paragraph we give a summary of the influence of solar and geomagnetic
activity (driven by solar events) on various systems.
HF Communications
Increased absorption
Depressed MUF
Increases LUF
Increases fading and flutter
Surveillance Systems
Radar energy scatter (auroral interference)

Range errors
Elevation angle errors
Azimuth angle errors
Satellite Systems
Faraday rotation
Scintillation
Loss of phase lock
Radio Frequency Interferences (RFI)
Navigation Systems
Position errors
9.2. SATELLITES 181
9.2 Satellites
9.2.1 Solar Panels
Solar panels are devices that convert light into electricity. Some scientists call
them photovoltaics which means, basically, ”light-electricity” since the solar light
is converted into electric energy by them.
A solar panel is a collection of solar cells. Lots of small solar cells spread over
a large area can work together to provide enough power for satellites or space
stations. The more light that hits a cell, the more electricity it produces, so
spacecrafts are usually equipped with solar panels that can always be pointed at
the Sun even as the rest of the body of the spacecraft moves around.
The most efficient solar panels are the DS1 solar panels which convert about
22 % of the available energy into electrical power whereas most solar panels on
people’s houses convert only about 14 %. It is also important to note that solar
panels lose about 1-2 % of their effectiveness per year. This means after a five year
mission, the solar panels will still be making more than 90 % of what they made
at the beginning of the mission. Of course this also depends on their distance to
the Sun.
There are two major dangers to solar panels in space besides regular wear-and-
tear:
Solar flares that can damage the electronics inside the panels.
Micrometeorites, which are tiny, gravel-sized bits of rock and other space
junk floating in space can scratch or crack solar panels.
Some protection can be made by the use of a thick layer of glass. Of course,
if a satellite’s mission path takes it away from the Sun (further out into the solar
system) solar panels will become less and less efficient.
Another kind of protection to the above mentioned damaging effects can be
made by the use of a solar concentrator. This uses Fresnel lenses which collect a
large area of sunlight and direct it towards a specific spot by bending the rays of
light and focussing them- the same principle when people use a magnifying lens
to focus the Sunlight on a piece of paper which starts a small fire.
Fresnel lenses have been invented in 1822 by Jean Fresnel. Theaters use them
for spotlights. They are shaped like a dart board with concentric rings around a
lens that is a magnifying glass. Solar concentrators put one of these lenses on top
of every solar cell. The solar cells can then be spaced farther apart since the light
is focused on each cell. Fewer cells need to be placed and the panels cost less to
construct. Thick glass or plastic cover over the solar panel are used to protect
them from micrometeorites.
DS1’s photovoltaics are made out of gallium arsenide (GaAs). GaAs is made
into a cylinder that is then sliced into cells. These solar cells are then connected
to the rest of the power network. Solar concentrators, made of clear plastic, are
placed above them to focus the Sun’s rays.
As a summary we give some literature, further references can be found therein.
Markvart et al. (1982) studied the photon and electron degradation of boron-
doped FZ silicon solar cells. Radiation-resistant silicon solar cell were investigated
by Markvart et al. (1987). Defect interactions in silicon solar cells were analyzed
by Markvart et al. (1989). A study of radiation-induced defects in silicon solar
cells showing improved radiation resistance was made by Peters et al. (1992).
General information about solar cells can be found in Tada et al. (1982).
A review on radiation damage in solar cells was given by Markvart (1990).
9.2.2 Power Sources for Spacecraft

Every power source available for a satellite or other spacecrafts has different
strengths and weaknesses. By combining different power sources one can reach
an optimum in power generation.
Batteries: a reliable, well understood technology. However, power demands
for satellites tend to be very high and a battery that would be strong enough
to power a satellite for the length of a mission would be larger than the
satellite itself. Thus, batteries are used as a temporary storage for power
from another source.
A battery can convert chemical energy to electricity by putting certain chem-
icals in contact with each other in a specific way. Electrons will travel from
one kind of chemical to another creating an electric current.
Batteries come in several styles; everyone is probably most familiar with
single-use alkaline batteries. NASA spacecraft usually use rechargeable nickel-
cadmium or nickel-hydride batteries like those found in laptop computers or
cellular phones (DS1 uses nickel-hydrogen batteries). Engineers think of
batteries as a place to store electricity in a chemical form.
Batteries tend to expend their charge fairly quickly. DS1 can last from half
an hour to three hours running purely on battery power before the batteries
need to be recharged from the solar panels. These batteries are recharged
thousands of times during the life of the spacecraft.
9.2. SATELLITES 183
Solar panels: they provide abundant power for nearly all a satellite’s needs
and are safe and clean to launch. However:
solar panels are large and fragile constructions that are vulnerable to
damage from external forces or even mechanical failures;
they are rather expensive to build and put into space;
they always need to be pointed at the Sun (think about what happens
if they are blocked by planets or other objects);
the farther the satellite gets from the Sun, the less effective solar panels
work. As a rule of thumb we can state that solar powered missions
cannot travel further than the orbit of Mars.
Radioisotope thermoelectric generators: They are also reliable but tend to

be expensive to build and of course there is a risk that radioactive material
is set into the environment during a launch failure.
A radioisotope thermoelectric generator, or RTG, uses the fact that radioac-
tive materials (such as plutonium) generate heat as they decay. The heat
is converted into electricity by an array of thermocouples which then power
the spacecraft.
A thermocouple is a device which converts thermal energy directly into elec-
trical energy. Basically, it is made of two kinds of metal that can both
conduct electricity. They are connected to each other in a closed loop. If
the two metals are at different temperatures, an electric potential will exist
between them. When an electric potential occurs, electrons will start to flow,
making electric current.
Another process which belongs to this group of energy generation is nuclear
fission where unstable radioactive materials are split into smaller parts. Very
large amounts of heat are generated but the whole process is more complex
and not as reliable as using the heat produced by radioactive decay. An
RTG is steadier.
Plutonium is a very toxic heavy metal. If it is powdered and inhaled, it is a
cancer causing agent. It is sealed inside a hard, radiation proof shell. The
shell is designed to survive all conceivable accidents, so even in the unlikely

event of a launch failure, none of the radioactive particles should escape.
Fuel cells: they are similar like batteries but they have a longer lifespan and
can be refuelled. They are already in use in the Space Shuttle. However
they run hot (400-800° C) and the waste heat is often hard to manage.
When atoms of the two gases oxygen and hydrogen are put next to another,
they spontaneously combine to form water. This results in the release of a
lot of energy. In a fuel cell the H and O are separated by a membrane. The
refuelling means just to provide more H and O and the waste is pure water.
With an external source such as a solar panel, one can split the waste water
back into its component parts and use it again as fuel. Fuel cells were first
used by the Apollo missions since they last longer than traditional batteries
and didn’t have expensive radioactive parts.
It is extremely important to control the heat on and around a space ship. The
operating temperature is usually given between two numbers like –10°C to 60°C.
The parts of the spacecraft have been tested and will work if the temperature in the
spacecraft is between these two numbers. Why does a spacecraft have an operating
temperature? For example the rocket thruster can use hydrazine as rocket fuel.
Therefore the tanks, plumbing and pumps must be kept at a certain temperature:
Hydrazine freezes at 2°C and boils at 113°C. Most electronic components will
work only within a narrow range of temperatures, usually –50°C to +150°C,
components will stop working and make the spacecraft useless if the spacecraft
temperatures become too extreme.
Heat tends to expand material parts and the opposite happens when a part
is cooled. This problem occurs when one part of the spacecraft is pointed at the
Sun and the other one is pointed at empty space. The Sun then heats up only one
part and this uneven heating causes the spacecraft to be warped or even break or
instruments can be distorted. Another source of heating is caused by electronic
components. Heat also makes the electrical system less efficient. Electricity is
caused by the flow of electrons. One electron will enter the electron cloud of
an atom and another will leave and the continuing flow of electrons through the
conductor is the electrical current. When the material is heated up the electron
clouds will be not at the same place and sometimes an atom’s nucleus will get in the
way of the electrons; moreover, if an atom is heated up, it can hold more electrons
for a longer period of time before sending extra electrons away and continuing
the electrical flow. Heat sources can be external (from outside the spacecraft) or
internal (from inside the spacecraft). External heat sources include:
the Sun,
reflected sunlight from planets and moons,
heating by friction when travelling through an atmosphere or gas clouds,
released heat from planets.
Internal heat is generated by the craft’s propulsion or electrical system.
9.2. SATELLITES 185
9.2.3 Satellite Crashes

Here we give some example of satellite crashes. The Compton Gamma Ray Ob-
servatory which had the size of a bus (15 t) has crashed safely back to Earth in
June, 2000. It was brought down in a remote part of the Pacific Ocean after being
sent orders to destroy itself by the US space agency NASA.
The satellite was taken out of commission because of fears it could crash to
Earth in an uncontrolled re-entry over a populated area. It had problems with the
gyroscopes which started half a year earlier.
One of the 70 Iridium telecommunication satellites, that were launched on Sep.
8, 1998 never worked properly and reentered Earth’s atmosphere in Nov. 2000.
Currently about 8000 artificial objects orbiting the Earth are tracked at the United
States Space command. These objects comprise satellites, space debris and rocket
bodies.
In 1978 a Soviet nuclear-powered satellite crashed into a lake in northeast
Canada. There radioactive contamination occurred.
The Russian Mars-96 probe was the most ambitious Russian interplanetary
expedition ever made. The launch was in November 1996. The spacecraft was so
big that to get it into a parking orbit 160 km above the Earth required a huge
three- stage Proton rocket as well as a kick from a fourth stage thruster that
would remain attached to the vehicle. The fourth stage was then supposed to fire
again an hour later to push the probe on its way to Mars. Even that would be
insufficient to achieve the necessary escape velocity from the Earth’s gravity. The
probe would then separate from the expended fourth stage and fire its own small
engine to complete the escape manoeuvre.
After the first burn of the fourth stage, Mars-96 reached its parking orbit 20
minutes after blastoff and as it crossed China, within direct radio contact of a
Russian tracking site at Ussuriysk, near Vladivostok. It then crossed the Pacific
from northeast to southwest, passing within 600 kilometers of the watching eyes of
the American military space tracking site on Kwajalein Island in the mid-Pacific.
The second fourth-stage burn was supposed to occur as the spacecraft flew
northeast over the coast of Uruguay on the eastern side of south America. The
fourth stage failed and the rocket and the Mars-96 probe remained in the parking
orbit.
At the time, nobody knew it had failed. The probe’s autopilot never noticed the
absence of the burn because a minute after the scheduled completion time, crossing
the West African coast over the Côte d’Ivoire, it separated from the fourth stage
and turned on its own small engine, as originally planned. This sent it into an
elliptical orbit and towards its fiery demise.
None of this was yet known to the Russian trackers who had no contact with
the spacecraft. Mars-96 finished its burn, and unfolded its solar arrays. At the
main Russian space tracking facility at Yevpatoriya in the Crimea, the signal was
received and for a few joyful moments the engineers thought that nothing was
wrong.
But as the probe passed Yevpatoriya overhead, it became evident that the
probe was trapped in an elliptical Earth orbit, with no possibility of an escape
towards Mars. The mission was over. Only then began the desperate attempt to
crash the spacecraft safely. But within minutes it had passed beyond the range of
the Crimean station, and no other Russian site ever heard from it again.
The probe contained 200 grams of plutonium 238 and crashed into the pacific
west of Easter island. People reported on an object that was brighter than Sirius
with a luminous trail five degrees in length and fragmented.
9.2.4 Electron Damage to Satellites

During an explosive Solar Particle Event (SPE) satellites could suffer damage.
These events are usually associated with solar flares and coronal mass ejections.
Protons and electrons are emitted at high velocities which can cause problems in
orbiting satellites. In January 1994 three geostationary satellites suffered failures
of their momentum wheel control circuity. One of these satellites never fully re-
covered. During that period however, no SPE was observed. One explanation for
this failure is done by assuming a long duration of high energy electron fluxes that
occur during times of high speed solar wind streams. It is important to note that
these occur during times of sunspot minimum. Thus not only the electron intensity
but the total integrated electron flux is important. The USAF uses empirically
defined values to issue warnings for satellite operators. Damaging conditions are
assumed when the daily electron flux (which is given by the number of high en-
ergy electrons per sterad per day meets either of the following
conditions:
greater than per day for 3 consecutive days; or
greater than for a single day.
Such conditions often occur about 2 days after the onset of a large geomagnetic
storm.
How does damage to satellites occur? The important phenomenon here is
Deep Dielectric Charging. High energy electrons penetrate the spacecraft’s outer
surface; they penetrate the dielectric materials such as circuit boards and the
insulation in coaxial cables. This gives rise to intense electric fields; as soon as they
exceed the breakdown potential of the material they produce sudden discharges
(similar to a stroke). This discharge damages the system: components may start to
burn, semiconductors may be destroyed. These dielectric charging can be avoided
by a special construction of the relevant parts however this leads to additional
weight and complexity of the system.
9.2.5 Single Event Upsets

Single-event upsets (SEUs) are random errors in semiconductor memory that occur
at a much higher rate in space than on the ground. They are non-destructive, but
can cause a loss of data if left uncorrected. SEUs are often associated with heavy
ions from the galactic cosmic radiation.
What is the cause of SEUs? Energetic charged particles pass through sensitive
regions of a chip. Depending on their energy and angle of impact, individual
9.2. SATELLITES 187
particles can cause a large current impulse sufficient to change the state of a
bistable circuit element.
Heavy Ion SEUs occur directly when a heavy ion passes through a semicon-
ductor memory element. The standard models take into account the size, shape,
and charge sensitivity of the memory element and the energy, angle, and impact
parameter of the incident particle.
For satellites around the Earth, the offset and tilt of the geomagnetic axis with
respect to the Earth’s rotation axis produces a corresponding miss-alignment of the
radiation belts. The result is the South Atlantic Anomaly. The spatial distribution
of errors show a maximum in the Atlantic ocean east of the southern part of South
America. There occurs also a significant number of errors at high latitudes due
to cosmic rays (see Fig. 9.4). These data are from UoSAT-2 which measured
from September 1988 to May 1992; UoSAT-2 monitored almost 9000 Single Event
Upsets (SEU), and the majority of these (75%) occurred in the South Atlantic
Anomaly (SAA) region.
Single event upsets pose also problems to space missions: As a result of vol-
canic action on Io, the innermost of the large Galilean moons of Jupiter, particles
(actually heavy ions) of sulphur and oxygen are present in the space surrounding
the planet. These particles form a part of the Jovian magnetosphere. Although
the origin of these particles is the moon Io, the volcanoes provide enough velocity
for them to escape from the gravitational field of the moon and to become elements
of the magnetosphere around Jupiter.
The heavy ions diffuse both inward and outward from the planet. Many of the
particles diffuse outward to 20 to 50 times the radius of Jupiter (R J , measured
from the planet’s center), where they are accelerated by an interaction with the
massive Jovian magnetic field.
The most critical phase of mission operations for to study the Galilean satellites
of Jupiter occurs at the time of the spacecraft’s closest approach to Jupiter (4 RJ).
Heavy ions are capable of penetrating the delicate electronics in the spacecraft and
causing a stored computer bit to change its value from a ”0” to a ”1” or vice-versa,
a Single Event Upset results (SEU). A single bit flip in one of Galileo’s computer
memories could trigger a chain reaction of erroneous commands with disastrous
results.
Modern microelectronic devices can suffer from single event effects caused by
cosmic radiation neutrons in the atmosphere. The phenomenon has been observed
both on ground and at aircraft altitudes. The neutron flux at aircraft altitudes
(<15 km) is large enough to make the neutron single event effects a problem to
aircraft electronics. The most studied device type is static random access memo-
ries (SRAM) since those devices have a very high density of transistors, making
them sensitive to particle radiation. The cosmic ray neutrons are produced by
the charged primary cosmic radiation in the earth’s atmosphere. Thereby the at-
mospheric neutron flux is certainly influenced by solar activity and space weather
(see e.g. Dyer, 2001)
Normand (1996) studied the effect of SEU in avionics. Ziegler and Lanford
(1979) studied the effect of cosmic rays on computer memories. SEU in implantable
cardioverter defibrillators were studied by Bradley and Normand (1998). They
found some correlation with the expected geographical variation of the secondary
cosmic ray flux.
Prediction of times with increased risk of internal charging on spacecraft are
given by Andersson et al. (1999) and Wu et al. (1999).
9.2.6 Solar Activity and Satellite Lifetimes

Satellites in low Earth orbit, with perigee altitudes below 2000 km, are subject to
atmospheric drag. This force very slowly circularizes the orbits and the altitude is
reduced too. The rate of decay of these orbits becomes extremely rapid at altitudes
less than 200 km. As soon as the satellite is down to 180 km it will only have a few
hours to live and after several revolutions around the Earth it will re-entry down
to Earth. At that phase the temperature is very high and most of the satellite will
vaporize. Only large satellites become not fully vaporized and component pieces
of them may reach the ground.
The essential parameter for this deceleration is the air density. This varies
along the satellite’s orbit and is a function of latitude, longitude, time of day,
season etc. At a fixed point in space the density can be expressed in terms of the
two space environmental parameters:
10 cm solar radio flux (F10),
geomagnetic index
It is extremely difficult to predict exactly when a satellite will re-enter the atmo-
sphere. The reason for that is that the space environment is not exactly predictable
9.2. SATELLITES 189
and there are also unresolved variations in atmospheric density. The accuracy of
the prediction is in the order of 10 %. That means that one day before re-entry
the uncertainty is at least 2 hours. Within that time however, the satellite will
have circled the globe and thus it is difficult to predict the location of re-entry
with a reasonable warning.
The decay of a satellite’s orbit also depends on the cross section of the object
itself. In Fig. 9.5 a rough estimate of the lifetime of a satellite with effective mass
to cross section ratio in a circular orbit below 300 km is given for two
cases: a) for solar minimum conditions, b) for solar maximum conditions. The
geomagnetic field is assumed to be quiet during this period. The lifetime values
may be varied for satellites of differing mass to area ratios.
The uncertainty in the predictions is shown by a NORAD prediction in April
1979 for the expected re-entry of the SKYLAB space station between 11 June and
1 July of that year. The actual re-entry occurred on July 11, outside the stated
interval, a prediction error from mid-interval of around 15%.
9.2.7 The Atmospheric Model

Let us briefly discuss an atmospheric model that is confined to satellites with
orbits totally below 500 km altitude. The reason for that is a simplification: the
orbit must then be essentially circular and in place of the orbital radius we can use
just the semimajor axis. The atmospheric density is defined by an exponential
with variable scale height H. For a fixed exospheric temperature T, H varies
with altitude trough the use of an effective molecular mass . includes the
actual variation in molecular mass with height and a compensation term for the
variation in temperature over the considered range from 180 to 500 km. The
variation in density due to the space environment is introduced through T, where
. Generally, the solar X-ray output incident upon the Earth
is absorbed at the base of the thermosphere (120 km) and gives rise to a heating
which propagates upward from this level. We use the solar F10.7cm flux which
can vary from 65 to 300 SFU (Solar Flux Units, 1 as a
proxy for X-rays. The other quantity to take into account is the precipitation of
particles- most of them coming from the Sun (CMEs). These are well correlated
with the large variations in the geomagnetic field measured at the ground level
and quantified by the geomagnetic indices (we use the index here). The is
computed every 24 hours and during quiet periods just above zero but may rise
up to 400.
Then we can write the following set of equations:
The output of this simple model is the density. The intermediate values are only
used to derive this density and may not correspond to true atmospheric values at
any height within the considered range. The temperature e.g. may be regarded
as the mean asymptotic value for the exosphere at large altitudes. The mean
molecular weight might be regarded as an integrated mean value from the base of
the thermosphere up to the specified height.
The solar 10.7 cm radio flux is used in averaged form (average over the last 90
days). A small correction may be made to weight the current flux more strongly.
Now let us consider the satellite drag. When a spacecraft travels through an
atmosphere it experiences a drag force opposite to the direction of its motion. This
is given by:
D... drag force, atmospheric density, speed of the satellite, A... cross
sectional area perpendicular to the direction of motion, drag coefficients.
The latter can vary; at altitudes at which satellites orbit We introduce
the effective cross sectional area
For a circular orbit we have the following relation:
G... gravitational constant, mass of the Earth. The reduction in the period
due to atmospheric drag is given by:
9.2. SATELLITES 191
Re-entry is assumed when the satellite has descended to an altitude of 180 km.
The space environmental parameters are given by the solar 10.7 cm radio flux and
the geomagnetic activity index. Furthermore one has to provide an estimate for
the satellite mass to area ratio. In the absence of any further information this
value can be taken as . This is an average value for many satellites.
If the program underestimates the actual decay of the orbit, you must de-
crease the mass to area ration, in the case of an overestimation the ratio must be
increased.
Also the situation becomes more complicated when considering satellites with
very elliptical orbits. Here, a part of the orbit is outside the current atmospheric
model. They are also subject to other perturbations (Sun, Moon). If the eccen-
tricity is not too large, one can introduce an effective height in that model:
q... is the perigee (lowest height) of the orbit and e the eccentricity. For example,
the lifetime of a satellite in an elliptical orbit with e = 0.01 and q = 400km is the
same as the lifetime of a satellite in a circular orbit of height:
Since that formula is only a rough approximation it should only be used for orbits
with e < 0.1. The solar activity should be constant during the orbit decay. Most
satellites reaching the end of their lives will have orbits with very low eccentric-
ities (i.e. nearly circular). The reason for this is that atmospheric drag acts to
circularize orbits. The apogee height is decreased whilst the perigee height is little
affected until the orbit becomes close to circular.
9.2.8 Further Reading

Air Force Geophysics Laboratory, ”Handbook of Geophysics and the Space Envi-
ronment”, (1985)
Gatland K, ”Space Technology”, Salamander Books (London, 1981)

Hargreaves JK, ”The Upper Atmosphere and Solar-Terrestrial Relations”, Van
Nostrand Reinhold (New York, 1979)
King-Hele D, ”Observing Earth Satellites”, Van-Nostrand Reinhold (New York,
1983)
King-Hele D, ”Satellite Orbits in an Atmosphere - Theory and Applications”,
Blackie, Glasgow (1987)
Tascione T F, ”Introduction to the Space Environment”, Krieger (Florida,
1994)
Tobiska W K, R D Culp and C A Barth, ”Predicted Solar Cycle Twenty-Two
10.7 cm Flux and Satellite Orbit Decay”, Journal of the Astronautical Sciences,
1987, pp419-433, vol 35
Reedy (1997) discusses the natural sources of energetic particles in space. The
main radiation threats are the galactic cosmic rays (GCRs), solar energetic parti-
cles (SEPs) and trapped radiation around planets. Especially outside the Earth’s
strong magnetosphere, the SEPs are very serious sources of radiation. Over a
short period of time (few days) the effects of a huge solar particle event (SPE) ca
be greater than any other source of radiation. This causes high doses to humans,
microelectronics and solar panels.
An analytical study has been carried out on an impact feature within a solar
cell from the Hubble Space telescope Solar array. The feature was investigated
optically, and the damage was seen as the result of a partially penetrating impact
and therefore some impact particles must have been responsible for that. The
residue in the impact was found to contain elements such as Fe, Ti, K, Ca, Si,
Mg and Na. The elements Mg, Fe and Ti are usually foreign to a solar cell and
this suggests that the impact residue may be of natural or man made origin.
Subsequent detailed analysis showed Fe and Mg in concentrations of about 10%
and Ti in only limited amounts. That implies that the residue is of natural origin.
A more detailed description can be found in Graham et al. (1997)
Chapter 10
The NOAA Space Weather

Scales
As we have seen the fast and effective communication of space weather effects to
the public is very important. For that reason the US NOAA (National Oceanic
and Atmospheric Administration) has introduced the space weather scales. A
summary of the different influences triggered by the Sun is shown in Fig. 10.1.
The NOAA space weather scales can be grouped into three different parts:
Geomagnetic storms
Solar radiation storms
Radio blackouts
In the following we will briefly review these scales.
10.1 Geomagnetic Storms

The geomagnetic storms are divided into 5 categories, G1...G5 where the last have
the most severe effects.
10.1.1 G1
classified as minor; the influence on power systems is weak, some grid fluctuations
can occur. Also the influence on spacecraft is negligible. It seems however that
migratory animals are affected even at this low level; the aurora is commonly
visible at high latitudes.
As an average about 1700 events per cycle ( corresponding to about 900 days
per cycle) are to be expected. The value is about 5.
193
194 CHAPTER 10. THE NOAA SPACE WEATHER SCALES
10.1.2 G2
moderate; at this activity some damage may occur in power systems: high-latitude
power systems may experience voltage alarms, long-duration storms may cause
transformer damage.
Concerning spacecraft operations, corrective actions to orientation may be re-
quired by ground control; possible changes in drag affect orbit predictions. This
imposes problems to fully automated satellites.
Concerning terrestrial telecommunication the HF radio propagation can fade
at higher latitudes, and aurora has been seen as low as New York and Idaho (
down to 55 geomagnetic latitude). The value is about 6 and on the average
one can expect 600 events per cycle (corresponding to about 360 days per cycle).
10.1.3 G3
strong; on power systems voltage corrections may be required; furthermore false
alarms can be triggered on some protection devices.
On satellite components surface charging may occur. Due to the extension of
the terrestrial atmosphere during these events drag may increase on low-Earth-
orbit satellites, and corrections may be needed for orientation problems.
It is also very important to note that intermittent satellite navigation and low-
frequency radio navigation problems may occur, HF radio may be intermittent,
and aurora has been seen as low as down to 50 geomagnetic lat. The value is
about 7 and on the average one can expect 200 events per cycle (corresponding to
130 days per cycle).
10.2. SOLAR RADIATION STORMS 195
10.1.4 G4
severe; widespread voltage control problems may occur in power systems and some
protective systems will mistakenly trip out key assets from the grid.
The problems of surface charging and tracking of satellites increase consider-
ably.
On surface pipelines, induced currents affect preventive measures; the satellite
navigation can degrade for hours and the low frequency navigation can be dis-
rupted. Aurora has been seen down to 45° geomagnetic latitude. The index is
at 8 and on the average one has to count with 100 events per cycle (corresponding
to 60 days per cycle).
10.1.5 G5
extreme; widespread voltage control problems and protective system problems can
occur; transformers may experience damages and some grid systems may experi-
ence complete collapse or blackouts.
The spacecraft operations are affected by extensive surface charging, problems
with orientation, uplink/downlink and tracking satellites.
At this activity pipeline currents can reach hundreds of amps, HF radio prop-
agation may be impossible in many areas for one to two days, satellite naviga-
tion may be degraded for days, low-frequency radio navigation can be blocked for
hours. The aurora has been seen down to 40° geomagnetic latitude (Italy, south-
ern Texas). At this level and on the average one has to expect 4 events
per cycle (corresponding to about 4 days per cycle).
10.2 Solar Radiation Storms

Again this is a classification from 1 to 5 (S1...S5). This activity can be quantita-
tively measured by the flux of ions as five minute averages in the units
10.2.1 S1
minor; there are no effects on biological systems and satellite operations; no danger
for astronauts (especially for EVAs (extravehicular activities)). There may be some
minor impacts on HF radio in the polar regions. The ion flux is about 10 (see above
units). There are about 50 events per solar cycle.
10.2.2 S2
moderate; there are no biological influences; for satellite operations it is important
to know that infrequent single-event upsets are possible.
Small effects occur on HF propagation through the polar regions and navigation
at polar cap locations is possibly affected.
The ion flux is about 100 and we have about 25 events per cycle.
10.2.3 S3
strong; at this level radiation hazard avoidance is recommended for astronauts
on EVA; passengers and crew in commercial jets at high latitudes may receive
low-level radiation exposure (equivalent to approximately 1 chest x-ray).
The effects on satellite operations become important: lots of single-event up-
sets, noise in imaging systems, and slight reduction of efficiency in solar panels are
likely.
On Earth, degraded HF radio propagation through the polar regions and nav-
igation position errors are likely. The ion flux is about and we have about 10
such events per cycle.
10.2.4 S4
severe; unavoidable radiation hazard to astronauts on EVA thus it is necessary to
alarm astronauts; moreover, elevated radiation exposure to passengers and crew
in commercial jets at high latitudes (equivalent to approximately 10 chest x-rays)
is possible.
Satellites may experience memory device problems and noise on imaging sys-
tems; star-tracker problems may cause orientation problems, and solar panel effi-
ciency can be degraded.
On the surface blackout of HF radio communications through the polar regions
and increased navigation errors over several days are likely.
The ion flux is about There are about 3 such events per cycle.
10.2.5 S5
extreme; unavoidable high radiation hazard to astronauts on EVA; high radiation
exposure to passengers and crew in commercial jets at high latitudes (equivalent
to approximately 100 chest x-rays) is possible.
Satellites may be put out of operation, memory impacts can cause loss of
control, may cause serious noise in image data, star-trackers may be unable to
locate sources; permanent damage to solar panels is possible.
At the surface complete blackout of HF communications is possible through the
polar regions, and position errors make navigation operations extremely difficult.
The ion flux is at fortunately, these events occur on a rate fewer than 1
per cycle.
10.3 Scale for Radio Blackouts

Classified as R1...R5; measured as GOES X-ray peak brightness by class, measured
in the 0.1-0.8 nm range, in
10.3. SCALE FOR RADIO BLACKOUTS 197
10.3.1 R1
minor; we have to take into account a weak or minor degradation of HF radio
communication on the sunlit side, as well as occasional loss of radio contact.
Concerning navigation we have to consider that low-frequency navigation sig-
nals may be degraded for brief intervals. The physical measurement is M1 and
On the average 2000 such perturbances per cycle occur (on 950 days per
cycle).
10.3.2 R2
moderate; limited blackout of HF radio communication on sunlit side occur, loss
of radio contact for tens of minutes.
Navigation: a degradation of low-frequency navigation signals for tens of min-
utes is likely. The physical classification of the relevant solar event goes M5 and
the flux to
On the average one has 350 events per cycle (300 days per cycle).
10.3.3 R3
strong; a wide area blackout of HF radio communication, as well as a loss of radio
contact for about an hour on the sunlit side of Earth is likely.
Since low-frequency navigation signals are being degraded for about an hour
this also has serious consequences for navigation.
The physical classification is X1, the flux and one has 175 events per cycle
(140 days per cycle).
10.3.4 R4
severe; HF radio communication blackout occurs mostly on the sunlit side of Earth
for one to two hours and a HF radio contact loss during this time has to be
expected.
Outages of low-frequency navigation signals cause increased error in position-
ing of navigational systems for one to two hours. Minor disruptions of satellite
navigation are likely on the sunlit side of Earth.
The physical classification is X10, the flux and one has 8 events per cycle
(8 days per cycle).
10.3.5 R5
extreme; a Complete HF (high frequency) radio blackout on the entire sunlit side
of the Earth lasting for a number of hours may occur . This results in no HF radio
contact with mariners and en route aviators in this sector.
Navigation: Low-frequency navigation signals used by maritime and general
aviation systems experience outages on the sunlit side of the Earth for many hours,
causing loss in positioning. Satellite navigation errors in positioning increase for
several hours on the sunlit side of Earth, which may spread into the night side.
The physical classification is X20, the flux and one has less than 1
events per cycle.
10.4 Summary
The classification scheme given above enables very easily to estimate the effect of
geomagnetic storms and solar radiation storms on satellites and telecommunication
systems. This is also extremely important for manned space mission (ISS, inter-
national space station). On the other hand, the solar activity is declining again
after heaving reached its maximum in 2000. One can estimate that there will be
about 25 EVA/year necessary for the construction of the space station. For that
reason, it is extremely important to alert astronauts for S4 and S5 storms. The
predicted sales figures for GPS systems rise from 5000 Million USD for 1998 and
more than 9000 Million USD for 2000. This means that more and more systems
are equipped with these navigation systems but on the other hand we must take
into account that small degradations may even occur at R1 levels. The frequency
of such events is however more than 2000 per cycle.
Also the number of satellites will increase.
Skylab is an example of a spacecraft re-entering Earth’s atmosphere prema-
turely as a result of higher-than-expected solar activity because of the increased
drag.
Systems such as LORAN and OMEGA are adversely affected when solar ac-
tivity disrupts their radio wavelengths. The OMEGA system consists of eight
transmitters located through out the world. Airplanes and ships use the very low
frequency signals from these transmitters to determine their positions. During
solar events and geomagnetic storms, the system can give navigators information
that is inaccurate by as much as several miles. If navigators are alerted that a
proton event or geomagnetic storm is in progress, they can switch to a backup
system. GPS signals are affected when solar activity causes sudden variations in
the density of the ionosphere.
We have seen before that some military detection or early-warning systems are
also affected by solar activity. The Over-the-Horizon Radar bounces signals off
the ionosphere in order to monitor the launch of aircraft and missiles from long
distances. During geomagnetic storms, this system can be severely hampered by
radio clutter. That can occur at even low activity (R1 perturbances).
10.5 Space Weather on Mars

Because Mars will be a target of future manned space missions we briefly discuss
space weather influences there.
Mars is a completely different world. It is dry like a desert, cold as the Earth’s
Antarctic and possibly lifeless. Future human colonists will have a different set
of weather conditions. The Earth is protected by the magnetosphere. Mars does
not possess a global magnetic field to shield it from solar flares and cosmic rays.
Scientists aren’t sure why, but Mars’ internal magnetic dynamo turned off about
10.5. SPACE WEATHER ON MARS 199
4 billion years ago. After that, the solar wind gradually eroded the martian atmo-
sphere until, today, it has less than 1% of the thickness of the Earth’s.
No global magnetic field and a very thin atmosphere – those are the two factors
that render Mars vulnerable to space radiation. Does that mean that because of
this unprotected exposure Mars is lifeless? It is assumed that certain life forms
could be radiation resistant like the terrestrial microbe Deinococcus radiodurans.
D. radiodurans has a feature that is considered all-important in aerospace: redun-
dancy. Its genetic code repeats itself many times so that damage in one area can
be recognized and repaired quickly. It withstands attacks from acid baths, high
and low temperatures, and even radiation doses, e.g. the microbe can withstand
without loss of viability a dosage that is 3 000 times greater than what would kill
a human.
Tiny Martians might also live in rocks or soil, substances that provide natural
protection against radiation. In addition to that, magnetic fields provide some
protection, ancient global, regional and sub surface fields.
NASA sent a radiation monitor, MARIE (Mars Radiation Environment Ex-
periment) to the Red Planet on April 7th with the 2001 Mars Odyssey spacecraft.
MARIE is one of three scientific instruments on board – the other two will search
for signs of water and interesting minerals on Mars. MARIE can detect charged
particles (electrons, protons, ions) with energies between 15 MeV and 500 MeV.
As we have seen in the previous chapter, particulate radiation poses the greater
threat to humans. Particles from solar flares (protons) are of greater concern -
here particles with relatively low energies (around 70 MeV) are produced. Such
protons lose energy in tissue. Cosmic ray nuclei have energies between 300 and
500 MeV and they penetrate the human body in a short time so that there is
not enough time to transfer their energy to the surrounding tissue. Solar protons
when passing through humans ionize molecules along their track- the ionization
creates free radicals causing modification or even break of the DNA strands and
if the cell survives it can become cancerous.
Therefore, human settlers on Mars must be protected from these energetic
protons. The air density at the surface of Mars is equivalent to that of the Earth’s
atmosphere at 20 km altitude. Astronauts must be protected by shelter walls.
Since Mars has no global magnetic field the surface is eroded by the solar wind
as well as by the planet’s atmosphere. Currently Mars looses approximately 2
kg/s of its atmosphere. In 1998 magnetometers discovered a network of magnetic
loops arrayed across Mars’s southern hemisphere. Locally, the magnetic fields arch
over the surface like umbrellas, hundreds of km high. In such an area you would
measure a field about as strong as the Earth’s (a few tenths of a gauss). Elsewhere
the field is extremely weak.
The martian ionosphere traces the distribution of the surface magnetic field,
and there seems to be a 1-to-1 correspondence: places where magnetic umbrellas
deflect the solar wind are also spots where the ionosphere is retained high above
the surface of the planet.
The Earth’s global magnetic field is caused and maintained from an active
dynamo – that is, circulating currents at the planet’s liquid metallic core. A
similar dynamo once churned inside Mars, but for reasons unknown it stopped
working four billion years ago. The patchwork fields mentioned above, we see now
are remnants of that original magnetic field. Hellas and Argyre, two large impact
basins on Mars are about four billion years old and are demagnetized. If the
dynamo was still operating when those impact features formed, the crust would
have re-magnetized as they cooled. Hence, the dynamo must have stopped before
then.
Chapter 11
Asteroids, Comets,
Meteroites
11.1 Asteroids
11.1.1 General Properties
On the first day of January 1801, Giuseppe Piazzi discovered an object which he
first thought was a new comet. But after its orbit was better determined it was
clear that it was not a comet but more like a small planet and it was therefore
named asteroid. The proper name of the first asteroid detected is Ceres. Three
other small bodies were discovered in the next few years (Pallas, Vesta, and Juno).
By the end of the 19th century several hundred asteroids were known.
Several thousand asteroids have been discovered and given provisional desig-
nations so far. Thousands more are discovered each year. There are undoubtedly
hundreds of thousands more that are too small to be seen from the Earth. There
are 26 known asteroids larger than 200 km in diameter. About 99 % of all objects
> 100 km are known however of the total number of asteroids with diameters
between 10 and 100 km we know only 50%. It is difficult to estimate the total
number of asteroids, perhaps as many as a million 1 km sized asteroids may exist.
Since most of the asteroids have orbits between Jupiter and Mars, it was first
assumed that they are remnants of a larger planet that broke up. However, the
total mass of all the asteroids is less than that of the Moon.
Ceres has a diameter of 933 km, the next largest are Pallas, Vesta and Hygiea
which are between 400 and 525 km in diameter. All other known asteroids are less
than 340 km.
Asteroids are classified into:
C-type: extremely dark (albedo 0.03), similar to carbonaceous chondrite
meteorites; 75% of known asteroids.
S-type: 17% of asteroids; bright (albedo 0.1-0.2); metallic Ni, Fe and Mg
silicates.
201
202 CHAPTER 11. ASTEROIDS, COMETS, METEROITES
M-type: bright (albedo 0.1-0.2), pure NiFe.

rare types
One should however take into account biases in the observations- e.g. dark C-
types are more difficult to detect. According to their position in the solar system,
asteroids can also be categorized into:
Main belt: located between Mars and Jupiter, 2-4 AU from the Sun.
Near Earth Asteroids (NEAs): they closely approach the Earth and will be
treated separately.
Trojans: located near Jupiter’s Lagrange points (60 degrees ahead and be-
hind Jupiter in its orbit); several 100 are known.
Between the main concentration in the Main Belt are relatively empty regions
known as Kirkwood gaps. These are regions were an object’s orbital period
would be a simple fraction of that of Jupiter (resonance).
Centaurs: asteroids in the outer solar system; e.g. Chiron (his orbit lies
between Saturn and Uranus).
Oort proposed in 1950, that comets reside in a vast cloud at the outer reaches of
the solar system. This has come to be known as the Oort Cloud. This hypothesis
is based on several observational facts: a) no comet has been observed with an
hyperbolic orbit (which would indicate interstellar origin), b) aphelia of long period
comets lie at a distance of about 50 000 AU, c) there is no preferential direction
from which comets come. The Oort cloud may contain up to comets (in total
about the mass of Jupiter). The Kuiper Belt is a disk-shaped region past the orbit
of Neptune roughly 30 to 100 AU from the Sun containing many small icy bodies.
It is now considered to be the source of the short-period comets.
11.2 Potentially Hazardous Asteroids

Potentially Hazardous Asteroids (PHAs) are currently defined based on parameters
that measure the asteroid’s potential to make threatening close approaches to the
Earth.
To be classified as PHA, the following parameters must be fulfilled:
an Earth Minimum Orbit Intersection Distance (MOID) of 0.05 AU or less,
absolute magnitudes (H) of 22.0 or less are considered.
An asteroid’s absolute magnitude H is the visual magnitude an observer would
record if the asteroid were placed 1 Astronomical Unit (AU) away, and 1 AU from
the Sun and at a zero phase angle. The diameter of an asteroid can estimated
from its absolute magnitude (H). The lower the H value, the larger the size of the
object. However, this also requires that the asteroid’s albedo be known as well.
11.3. TORINO IMPACT SCALE 203
Since the albedo for most asteroids is not known, an albedo range between 0.25 to
0.05 is usually assumed. This results in a range for the diameter of the asteroid.
The table 11.4 shows the diameter ranges for an asteroid based on its absolute
magnitude, assuming an albedo ranging from 0.25 to 0.05.
In other words, asteroids that can’t get any closer to the Earth (i.e. MOID)
than 0.05 AU (roughly 7,480,000 km) or are smaller than about 150 m in diameter
(i.e. H = 22.0 with assumed albedo of 13%) are not considered PHAs. The current
list of PHAs is obtained from the Minor Planet Center on a daily basis. Asteroids
with a small MOID to Earth should be carefully followed because they can become
Earth colliders.
Because of long-range planetary gravitational perturbations and, particularly,
close planetary approaches, asteroid orbits change with time. Consequently, MOID
also changes. As a rule of thumb, MOID can change by up to 0.02 AU per century,
except for approaches within 1 AU of massive Jupiter, where the change can be
larger. Thus, an asteroid that has a small MOID with any planet should be
monitored. Currently there are about 350 known PHA’s.
11.3 Torino Impact Scale

This was established (analogous to the space weather scale) to characterize differ-
ent objects.
Events Having No Likely Consequences (White Zone)

0 The likelihood of a collision is zero, or well below the chance that a random
object of the same size will strike the Earth within the next few decades. This
designation also applies to any small object that, in the event of a collision, is
unlikely to reach the Earth’s surface intact.
Events Meriting Careful Monitoring (Green Zone)

1 The chance of collision is extremely unlikely, about the same as a random object
of the same size striking the Earth within the next few decades.
Events Meriting Concern (Yellow Zone)

2 A somewhat close, but not unusual encounter. Collision is very unlikely. 3 A
close encounter, with 1% or greater chance of a collision capable of causing localized
destruction. 4 A close encounter, with 1% or greater chance of a collision capable
of causing regional devastation.
Threatening Events (Orange Zone)

5 A close encounter, with a significant threat of a collision capable of causing
regional devastation. 6 A close encounter, with a significant threat of a collision
capable of causing a global catastrophe. 7 A close encounter, with an extremely
significant threat of a collision capable of causing a global catastrophe.
Certain Collisions (Red Zone)

8 A collision capable of causing localized destruction. Such events occur some-
where on Earth between once per 50 years and once per 1000 years. 9 A collision
capable of causing regional devastation. Such events occur between once per 1000
years and once per 100 000 years. 10 A collision capable of causing a global cli-
matic catastrophe. Such events occur once per 100 000 years, or less often.
11.4 NEOs
Near-Earth Objects (NEOs) are comets and asteroids that have been nudged by
the gravitational attraction of nearby planets into orbits that allow them to enter
the Earth’s neighborhood. Composed mostly of water ice with embedded dust
particles, comets originally formed in the cold outer planetary system while most
of the rocky asteroids formed in the warmer inner solar system between the orbits
of Mars and Jupiter. The scientific interest in comets and asteroids is due largely
to their status as the relatively unchanged remnant debris from the solar system
formation process some 4.6 billion years ago. The giant outer planets (Jupiter,
Saturn, Uranus, and Neptune) formed from an agglomeration of billions of comets
and the left over bits and pieces from this formation process are the comets we see
today. Likewise, today’s asteroids are the bits and pieces left over from the initial
agglomeration of the inner planets that include Mercury, Venus, Earth, and Mars.
As the primitive, leftover building blocks of the solar system formation process,
comets and asteroids offer clues to the chemical mixture from which the planets
formed some 4.6 billion years ago. If we wish to know the composition of the
primordial mixture from which the planets formed, then we must determine the
chemical constituents of the leftover debris from this formation process - the comets
and asteroids.
In terms of orbital elements, NEOs are asteroids and comets with perihelion
distance q less than 1.3 AU. Near-Earth Comets (NECs) are further restricted to
include only short-period comets (i.e orbital period P less than 200 years). The
vast majority of NEOs are asteroids, referred to as Near-Earth Asteroids (NEAs).
NEAs are divided into groups (Aten, Apollo, Amor) according to their perihelion
distance (q), aphelion distance and their semi-major axes (a).
Possible NEO missions that require spacecraft with the capability to ren-
11.5.. THE CRETACEOUS-TERTIARY IMPACT 205
dezvous at great distances (1 AU) from the Earth within a releatively short amount
of time (on the order of a year) are discussed by Sforza and Remo (1997) and Pow-
ell et al. (1997). NEOs as near Earth resources for mining are discussed by Gertsch
et al. (1997).
11.5 The Cretaceous-Tertiary Impact

65 million years ago at the Cretaceous-Tertiary boundary (K/T) an impact oc-
curred. Mass extinctions of a broad spectrum of lifeforms (Raup, 1989), a world-
wide clay layer containing geochemical (Alvarez et al., 1980), mineralogical (Bohor
, 1990) and isotopic anomalies (McDougall, 1988) and tsunami deposits (Bourgeois
et al., 1988) point to a major event at that time.
The buried Chicxulub basin is the source crater about 300 km in diameter.
It is believed that the Chicxulub crater would most likely be formed by a long-
period comet composed primarily of nonsilicate materials (ice, hydrocarbons etc.)
and subordinate amounts primitive chondritic material. The collision would have
raised the energy equivalent to between and megatons of TNT.

Studies of terrestrial impact rates suggest that such an event would have a mean
production rate of This rate is considerably lower that that
of the major mass extinctions over the last 250 million years
However, there is substantial evidence establishing the cause-link between the
Chicxulub basin forming event and the K/T biological extinctions. The crater
showed several rings (similar to the rings of the Mare Orientale on the Moon).
Let us consider the impact of a small asteroid. It fragments in the atmosphere
thus the cross section for aerodynamic braking is greatly enhanced. Ground impact
damage such as
craters,
earthquakes,
tsunami
from a stone asteroid is negligible if it is less than 200 m in diameter. Small and
relatively frequent impactors such as Tunguska produce only air blast damage and
leave no long term scars. Objects 2.5 times larger which hit every few thousand
years cause coherent destruction over many thousand km of coast. Let us assume
an asteroid > 200 m hits an ocean. A water wave generated by such an impactor
has a long range because it is two-dimensional; its height falls off inversely with
distance from the impact. When the wave strikes a continental shelf, its speed
decreases and its height increases to produce tsunamis. Tsunamis produce most
of the damage from asteroids between 200 m and 1 km. An impact anywhere in
the Atlantic by an asteroid 400 m in diameter would devastate the coasts on both
sides of the ocean by tsunamis over 100 m high. An asteroid 5 km in diameter
hitting the mid Atlantic would produce tsunami that would inundate the entire
East coast of the US to the Appalachian mountains (see the paper of Hill and
Mader, 1997).
In Fig.11.1 the estimated frequency of impacts as a function of asteroid diam-
eter is shown.
An asteroid or comet in diameter (which releases or Mt
TNT) would cause a global catastrophe:
production of dense clouds of ejecta,
smoke clouds,
large amounts of nitric oxides are rain;
the in the stratosphere destroys the ozone layer.
in an ocean impact: enhanced greenhouse effect from water vapor injected

into the atmosphere,
released by impact into carbonate rocks...

11.5. THE CRETACEOUS-TERTIARY IMPACT 207
Some more details about such scenarios can be found e.g. in Chapman and Mor-
rison (1994) or Melosh et al. (1990).
During the last 500 Million years there occurred several extinctions of marine
species: in Table 11.1 we give the formal end of stage in Myr.
From the data we can deduce that the Earth should be hit by several asteroids
and comets larger than a few km ( energy release) and perhaps one
in a period of ~ 100 Myr. Thus for the last 500 Myr years 5 events of extinctions
are to be expected and 20 minor events which is in agreement with astronomical
predictions.
From normal meteoroid ablation an iridium anomaly is observed and is one
of the most significant signatures for impact. The search for iridium has resulted
in reports of elevated iridium levels ( times background values) at or near a
number of extinction boundaries. The Ir levels are generally significantly weaker
than the K/T anomaly.
The conversion from projectile mass to crater size was given by Shoemaker et
al. (1990):
D...crater diameter, collapse factor (1.3 for craters larger than 4 km on

Earth), acceleration at the surface of the Earth, acceleration
at the surface of the body on which the crater is formed (in this case Earth),
W... the kinetic energy of the impacting body in kilotons TNT, of the
impactor for a for an iron body) and of
the target rock (e.g. From this equation we see, that a carbonaceous
chondrite would produce a crater ~ 94 km in diameter whereas an impactor of
cometary composition ~ 150 km.
11.6 Meteorites
The term meteor comes from the Greek meteoron, meaning phenomenon in the
sky. Meteors are small solid particles that enter the Earth’s atmosphere from
interplanetary space. They move at high speeds and the friction they encounter
in the air vaporizes them (typically at heights between 80 and 110 km above the
surface). The light caused by the luminous vapors formed in such an encounter
appears like a star moving rapidly across the sky, fading within a few seconds. To
be visible, a meteor must be within 200 km of the observer. The total number of
meteors bright enough to be visible is estimated to be about 25 million per day.
A meteoroid is matter revolving around the sun or any object in interplanetary
space that is too small to be called an asteroid or a comet. Even smaller particles
are called micrometeoroids or cosmic dust grains, which includes any interstellar
material that should happen to enter our solar system. A meteorite is a meteoroid
that reaches the surface of the Earth without being completely vaporized.
One of the primary goals of studying meteorites is to determine the history
and origin of their parent bodies. Several achondrites sampled from Antarctica
since 1981 have conclusively been shown to have originated from the moon based
on compositional matches of lunar rocks obtained by the Apollo missions of 1969-
1972. Sources of other specific metorites remain unproven, although another set of
eight achondrites are suspected to have come from Mars. These meteorites contain
atmospheric gases trapped in shock melted minerals which match the composition
of the Martian atmosphere as measured by the Viking landers in 1976. All other
groups are presumed to have originated on asteroids or comets; the majority of
meteorites are believed to be fragments of asteroids.
A typical bright meteor is produced by a particle with a mass less than 1 g.
A particle the size of a golf ball produces a bright fireball. The total mass of
meteoritic material entering the Earth’s atmosphere is estimated to be about 100
11.6. METEORITES 209
tons per day.

Meteorites can be classified into stony, stony iron and iron. The most common
meteorites are chondrites which are stony. Radiometric dating indicate an age of
about years. Achondrites are also stony but they are considered differen-
tiated or reprocessed matter. They are formed by melting and recristallization on
or within meteorite parent bodies. Pallasites are stony iron meteorites composed
of olivine enclosed in metal.
The motion of meteoroids can be severely perturbed by the gravitational fields
of major planets. Jupiter’s gravitational influence is capable of reshaping an as-
teroid’s orbit from the main belt so that it dives into the inner solar system and
crosses the orbit of Earth. This is apparently the case of the Apollo and Vesta
asteroid fragments.
Particles found in highly correlated orbits are called a stream components and
those found in random orbits are called sporadic components. It is thought that
most meteor streams are formed by the decay of a comet nucleus and consequently
are spread around the original orbit of the comet. When Earth’s orbit intersects
a meteor stream, the meteor rate is increased and a meteor shower results. Typi-
cally, a meteor shower will be active for several days. A particularly intense meteor
shower is called a meteor storm. Sporadic meteors are believed to have had a grad-
ual loss of orbital coherence with a meteor shower due to collisions and radiative
effects, further enhanced by gravitational influences. There is still some debate
concerning sporadic meteors and their relationship with showers. A well known
meteor shower are the Perseids (named after the radiant that is the name of the
constellation where the meteorites are coming from) which has its maximum on
August 11.
11.6.1 The Leonid Threat

On Nov. 18th the Earth glides into a dust cloud shed by the comet Tempel-Tuttle
in 1766. Around this date lots of meteors can be seen. The Leonid meteor shower is
seen to emanate from a point in the western part of Leo which is called the radiant.
When Leonids rain down on the airless moon, they will not cause the shooting
stars because there is no atmosphere; they just hit the ground. In 1999 while the
Moon passed through the Leonid debris, impact flashes were recorded. When such
a meteoroid hits the Moon it vaporizes some dust and rock. Some of those vapors
contain sodium (constituent of lunar rocks) which scatters sunlight. The Moon is
also surrounded by a gaseous halo called the lunar exosphere (~ 100 atoms per
The solar wind blows it into a long tail (much like a comet tail). This
tail points away from the Sun and extends several km and the Earth passes
through it once a month around the time of New Moon. Using extraordinary
sensitive cameras, sunlight scattered can be detected. After the Leonid fireball
shower of 1998 the density of the Moon’s sodium trail tripled.
There is also a risk to satellites. The damage can be:
mechanical: direct impact through spalling or chipping as larger particles
hit the spacecraft and break up;
electrical: electrostatic discharges (ESDs), electromagnetic pulse (EMP).
Mechanical damage consists predominantly of sandblasting which all space-
craft experience during the Leonids. This causes surface degradations. This is
in general not a serious problem. Impacts and spall result from larger particles
hitting a satellite. These can punch holes in a solar panel or wall. Spall produced
by secondary particles can affect the internal mechanisms of the spacecraft more
seriously than the original impact.
EMPs are created from the direct vaporization of impacting particles into
plasma and ESDs by a buildup of charging over the satellite surface. Both can
cause electrical and communications problems, erroneous signals in telemetry and
short circuits.
How can such problems be minimized? One simple manoeuvre is to minimize
the cross-sectional area of the satellite that is exposed to the meteor shower; e.g.
the solar panels point edge on into the meteor stream by reorienting the spacecraft.
Another technique is to turn off equipment that is particularly sensitive to ESDs.
USAF perspectives on Leonid threat are discussed by Treu et al. (1998). Me-
teoroid impacts on spacecrafts and penetration damage are studied by McBride
and McDonnell (1999). Meteoroid morphology and density (e.g. using NASA’s
LDEF satellite results) were investigated by McDonnel and Gardner (1998).
Chapter 12
Space Debris
Orbital debris is defined as any man-made object in orbit around the Earth which
no longer serves as a useful purpose.
In 1957 Sputnik 1 was launched as the first man made spacecraft. In the years
of space activities some 3 750 launches led to more than 23 000 observable space
objects (larger than 10 cm) of which currently 7 500 are still in orbit. Only 6% of
the catalogued orbit population comprise operational spacecraft, while 50% can be
attributed to decommissioned satellites, spent upper stages, and mission related
objects (launch adapters, lens covers, etc.). The remainder of 44% is originating
from 129 on-orbit fragmentations which have been recorded since 1961. These
events, all but 1 or 2 of them explosions of spacecraft and upper stages, are assumed
to have generated a population of objects larger than 1 cm on the order of 70 000 to
120 000. Only at sizes of in the range of 0.1 mm the sporadic flux from meteoroids
prevails over man-made debris. From a statistical point of view we have to note
that most orbital debris reside within 2 000 km of the Earth’s surface. Within
this volume, the amount of debris varies significantly with altitude and regions of
debris concentration are found near 800 km, 1 000 km and 1 500 km.
211
212 CHAPTER 12. SPACE DEBRIS
Space debris is an inherently international problem and its solution requires

international co-operation. The Inter-Agency Space Debris Coordination Commit-
tee (IADC) whose members are ESA, NASDA (Japan), NASA, and the Russian
Space Agency RKA and the Canadian Space Agency (CSA) provides a forum for
discussion and coordination of technical space debris issues.
To assess the risk potential of collisions of man-made or natural particulates

with operational spacecraft, one must refer to statistical models of the particle
population for all size regimes except for man-made debris above 10 cm. In the
latter case, collision events or near-miss events can be predicted on the basis of or-
bital data from operational surveillance networks of the USA or of the CIS. In the
former case, collision fluxes can only be estimated statistically. Currently, space
debris between 1 cm and 10 cm are neither observable, nor are they shieldable
with available on-orbit technology. Hyper-Velocity Impact (HVI) tests are used to
experimentally verify and improve shields for on-orbit use (e.g. for Space Station
Alpha), with the aim to increase the shieldable impactor size beyond 1 cm. The
Mission Analysis Section of ESOC is coordinating all Space Debris Research Ac-
tivities within ESA. SOC’s Meteoroid and Space Debris Terrestrial Environment
Reference (MASTER) model can be used to assess the debris or meteoroid flux
imparted on a spacecraft on an arbitrary earth orbit.
On Dec 3, 2001 BBC reports, that space debris lit up the sky. The spectacular
nighttime light show was seen over parts of southern England is now believed to
have been caused by burning Russian space debris. Observers said the fragments,
which could be seen over parts of Essex and Sussex, were very bright and traced
across the sky for up to four minutes.
At NASA, a new modelling technique called Smooth Particle Hydrodynamics

(SPH) is under development. Their approach models the distribution of debris
fragments from a collision without using the normal computational mesh that is
often subject to tangling. SPH eliminates many difficulties of previous calculation
techniques.
From the above considerations it is clear that spacecrafts have to be protected

from collisions with space debris. Let us mention two examples: the US space com-
mand examines the trajectories of the Space Shuttle in order to identify possible
close encounters with space debris. If a dangerous object is believed to approach
a few tens of kilometers to the Space Shuttle, it will be maneuvered away from
the object (although in such a case the chances of a collision are only approxi-
mately 1:100 000). Such an operation is necessary about once every year or two
(at present).
Of course the International Space Station (ISS) will be the most heavily shielded
spacecraft ever flown. Critical components (e.g., habitable compartments and high
press tanks) will normally be able to withstand the impact of debris as large as
1 cm in diameter. ISS will also have manoeuvering capability to avoid hazardous
objects.
12.1. REENTRY OF ORBITAL DEBRIS 213
12.1 Reentry of Orbital Debris

How long will orbital debris remain in Earth orbit? As a rule of thumb one can
say that the higher the altitude, the longer the orbital debris will typically remain
in Earth orbit.
Debris left in orbits below 600 km: normally falls back to Earth within a few
years.
Debris left in orbits at altitudes of 800 km: the time for orbital decay is
several decades.
Debris left in orbits at altitudes above 1 000 km: will normally continue
circling the Earth for a century or more.
Up to now no serious injury or property damage has been confirmed caused by
reentering debris. Most of the space debris does not survive the severe heating
which occurs during reentry. Components fall most likely into the oceans or onto
sparsely populated regions like the Canadian Tundra (in that case a contamination
with Plutonium occurred) or Siberia. During the past 40 years, on the average
one cataloged piece of debris fell back to earth each day.
On 12 June 1979 Skylab came crashing to Earth, scattering chunks of metal
over the West Australian desert. US officials were unable to control it’s final
descent. Pieces of the Russian space station Mir race across the sky above Fiji as
it makes its descent into the earth’s atmosphere on March 23, 2001. Mir plunged
to earth after Russian Mission Control fired engines to nudge it out of the orbit it
has kept for 15 years. The entrance velocity was 6 400 km/h and the final burst of
rockets was made at a height of only 170 km over Africa. The weight of the space
station was about 135 tons.
12.2 Orbital Debris Protection

Many efforts are made to develop protection:
hypervelocity impact measurements: in such experiments projectiles are pro-
duced at speeds more than seven times faster than the fastest bullet; this
is done with so called two stage light gas guns. The impact event last only
a few microseconds. The velocity of the bullet is measured by using two
laser curtains positioned a short distance uprange of the target. The dis-
tance between the curtains is known and the time elapsed between the two
disruptions is measured, thus the projectile velocity can be measured.
Shield development.
Simulations: sophisticated computer programs simulating hypervelocity events
are run on supercomputers. This approach to developing spacecraft shield
solutions is becoming more and more prevalent.
Developing new materials
Impacts on spacecraft: all spacecraft collide with very small orbital debris
particles and meteoroids. The Long Duration Exposure Facility (LDEF) was
a bus sized spacecraft. It was returned after 5.7 years in low Earth orbit.
The LDEF was placed in low Earth orbit (LEO) by the space shuttle Chal-
lenger in April 1984 and retrieved by the space shuttle Columbia in January
1990. On the LDEF over 30 000 impacts were found (these craters were
visible to the naked eye and larger than 0.5 mm). Form that sample about
1000 were chemically analyzed in order to investigate the origin of the pro-
jectiles. The largest crater found on LDEF had a diameter of 5 mm and
was probably caused by a particle of 1 mm. Some impacts were clustered in
time. On the European Retrievable Carrier (EURECA), the largest impact
crater diameter was 6.4 mm. The returned solar array of the HST (Hubble
Space Telescope, NASA/ESA) had been the one with the highest orbit al-
titude. It was found that the impact flux for HST was considerably higher
(factor 2-8) than for EURECA. The infra-red astronomical satellite (IRAS),
launched in 1983 to perform a sky survey at wavelengths ranging from 8 to
120 was operational during 10 months near altitude of 900 km. 200 000
potential debris sightings are stored in a database. About 10 000 sightings
are attributed to real objects. A plot of debris flux in low Earth orbit as a
function of object size (cm) is given in Fig. 12.2 where the coordinates are
logarithmic.
analysis of returned spacecraft surface; Critical surfaces, such as the win-

dows, on the Space Shuttle are examined after every flight.
Donald H. Humes and William H. Kinard from NASA Langley Research
Center examined the WF/PC-I radiator with a microscope to measure the
damage done by meteoroids and man-made orbital debris during its 3.6 years
12.3. ESA SPACE DEBRIS AND METEOROID MODEL 215
in orbit. They measured about 100 possible impact sites and rated them by
size on an arbitrary scale of 1 to 10 (10 being the largest). They found 14
impact craters with a diameter greater than 450 microns.
At NASA a hypervelocity impact technology facility is under operation (HITF).
12.3 ESA Space Debris and Meteoroid Model

The four main activities of ESA-ESOC space debris task group are:
development of a meteoroid and debris reference model;
radar measurements of mid-size debris; these are necessary since current
models in low earth orbit suffer from significant uncertainties about objects
smaller than about 50 cm. This is essential for spacecraft which require
protection; it is currently technically not feasible to shield against objects

larger than 1 cm. The feasibility of detecting and tracking medium-size
debris (1 to 50 cm)with a high power radar at the Forschungsgesellschaft für
Angewandte Naturwissenschaften (FGAN)in Germany was investigated.
Optical measurements; these are suited for objects in high altitude orbits.
The detectors use CCD and 1 m telescope will be operated by ESA at the
Teide observatory in Tenerife.
Analysis of spacecraft surfaces returned from space
The main aim of the mathematical model is a description of the debris and mete-
oroid environment at altitudes between low Earth orbit (LEO) and the geostation-
ary orbit (GEO). The minimum size of an object is 0.1 mm. The model is based
on the catalogued population and on known break-ups of spacecraft and rocket
upper-stages in orbit. The initial distribution of fragments is described in terms
of their position, velocity, mass. The objects are then propagated forward in time
taking into account the relevant perturbations.
12.4 Detection of Space Debris

Remote sensing of space debris from ground-based measurements falls into two
categories:
Radar measurements: these have been used for space debris in low Earth
orbit (LEO).
Optical measurements: these have been used for high Earth orbit (HEO). For
passive optical measurements the intensity of the signal from space debris is
inversely proportional to the square of its distance or altitude:
The incident illumination from the Sun is essentially independent of altitude.

For radar measurements:
since radars must provide their own illumination. Therefore, optical tele-
scopes of modest size are more suitable than most radars for detection of
debris at high altitudes. On the other hand, radars are better suited to
detect objects in LEO.
12.4.1 Radar Measurements

Ground-based radars are well suited to observe space objects because
all weather,
all day-and-night
12.4. DETECTION OF SPACE DEBRIS 217
performance. There are two types for space object measurements:

1. Radars with mechanically controlled beam direction using parabolic reflector
antennas; here, only objects in the field of view (which is given by the me-
chanical direction of the parabolic reflector antenna) can be observed; used
for tracking or imaging satellites.
2. Radars with electronically controlled beam direction using phased array an-
tennas. In that case multiple objects at different directions can be detected
and measured simultaneously; used for tracking and search tasks.
In the tracking mode the radar follows an object for a few minutes gaining data
on angular direction, range, range rate, amplitude and phase of the radar echoes.
From these parameters the orbital elements can be derived In the beam-park mode,
the antenna is kept fixed in a given direction and echoes are received from objects
passing within its field of view. This yields statistical information on the number
and size of detected objects; the determination of the orbit is less precise. There
is also a mixed mode. From the radar measurements the following parameters can
be derived:
1. rbital elements; thus the motion of the object’s center of mass around Earth
is defined.
2. Attitude; describes the motion of the object around its center of mass.
3. Size and Shape of the object.
4. Ballistic coefficient; this describes the rate at which the orbital semi-major
axis decays.
5. Object mass,
6. material properties.
The main source of data for space debris in the size range of 1-30 cm is the
NASA Haystake radar facility operated by MIT Lincoln Laboratory. Under an
agreement with the US Air Force since 1990 data are collected. From the data
information about the size, altitude and inclination of the space debris can be
obtained. The data indicate that there are about 100 000 fragments in orbits with
sizes down to 1 cm.
Another possibility to estimate the reentry of space debris (man made or mete-
oroids) is to use ionization radar measurements (operates at 50 MHz). Ionization
radars detect the ionization trail behind reentering bodies. With such facilities
one can detect meteors as small as 100 microns.
Radar measurements of space debris have been done at Haystack (US) and
Goldstone radars (US), Russia and by Germany using the Research Establishment
for Applied Science (FGAN) radar and the Effelsberg radio telescope. Haystack
and Goldstone radars have provided a statistical picture of LEO debris at sizes
down to 0.5 cm which was confirmed by FGAN. These measurements have proven
that the debris population exceeds the natural meteoroid population for all sizes
(except between 30 m and 500 m.
12.4.2 Telescopes
Space debris can be categorized into objects that reflect radar well but sunlight
poorly. The other group reflects sunlight well but radar poorly. Thus, radar
and optical telescopes see somewhat different debris populations. With the use
of optical telescopes, debris at very high altitudes (e.g. in geosynchronous orbits,
GEO) can be detected.
The US Space Command employs aperture telescopes of 1 m to track HEO
objects. With these telescopes objects of 1 m at geosynchronous altitudes, corre-
sponding to a limiting stellar magnitude of 16 can be detected. A limiting stellar
magnitude of 17 or greater is needed to detect debris smaller than 1 m near GEO.
Most objects in GEO are intact; in 1978 a Russian Ekran satellite in GEO was
observed to explode.
NASA is using two optical telescopes for measuring orbital debris: a 3 m
diameter liquid mirror telescope which is referred to as the LMT, and a charged
coupled device-equipped 0.3 m Schmidt camera, which is commonly referred to as
the CCD Debris Telescope or CDT. The LMT consists of a 3 m diameter parabolic
dish that holds four gallons of liquid mercury. The dish is spun up to a rate of 10
revolutions per minute. Centrifugal force and gravity cause the mercury to spread
out in a thin layer over the dish creating a reflective parabolic surface that is as
good as many polished glass mirrors.
12.4.3 Catalogues
There are two catalogues of space objects that are frequently updated:
United States Space Command catalogue,
Space Object catalogue of the Russian Federation.
Based on those two catalogues data are also archived in the Database and Infor-
mation System Characterizing Objects in Space (DISCOS) of ESA. The National
Space Development Agency (NASDA) of Japan is studying a debris database.
Current catalogues contain information on satellites and debris as small as 10-30
cm in diameter. Some recent activities are aimed to provide detection of 5 cm
objects at altitudes below 600 km. For smaller sizes modelers must use statistical
measurements.
12.4.4 Risk Assessments

Risk assessments are utilized in the design of manned and unmanned spacecraft.
They aid in the placement and protective shielding design. This is of course only
feasible for critical subsystems and components. It becomes extremely important
in the system design of large communication satellite constellations. In Table 12.2
a summary of the studies made so far is given.
For GEO the situation is more complicated. The number of space debris of less
than 1 m in diameter is not well known. Moreover, there is no natural removal
12.4. DETECTION OF SPACE DEBRIS 219
mechanism for satellites in GEO. One can estimate an annual collision probability
for an average operational satellite with other catalogued objects at
Another problem concerns the re-entry. Since the last 40 years 16 000 known
re-entries of catalogued space objects are known. No significant damage or injury
occurred which can be attributed to the large expanse of ocean surface and sparse
population density in many land regions. During the past years, approximately
once each week an object with a cross section of or more entered the Earth’s
atmosphere. The risk of re-entry comes from:
Mechanical impact,
chemical contamination,
radiological contamination.
Since about 12% of the present catalogued space debris population consists
of objects discarded during normal satellite deployment (fasteners, yaw, weights,
nozzle covers, lens caps, tethers,...) one should take mitigation measures against
these objects. 85% of all space debris larger than 5 cm result from fragmentation
of upper stages. In 1996 the French CERISE spacecraft was struck and partially
disabled by an impact fragment which most probably came from an exploded
Ariane upper stage.
12.4.5 Shielding
Protection against particles 0.1-1 cm size can be achieved by shielding spacecraft
structures. Objects 1-10 cm in size cannot be shielded nor can they be rou-
tinely tracked by surveillance networks. Protection against these particles can be
achieved through special features in the design (e.g. redundant systems, frangible
structures...). Physical protection against particles larger 10 cm is not technically
feasible. In front of the spacecraft wall single sheet Whipple bumbers or complex
layers of metal and ceramic/polymer fabrics can be used for shieldings. They break
up the impacting particle and absorb the energy of the resulting ejecta. Bumper
shields should be positioned at a sufficient distance from the shielded object.
The penetration depth (damage potential) of an impacting object depends on:
mass,
velocity,
shape of the object; and of course
material properties of the shield.
There are several models (NASA: BUMPER, ESA: ESABASE, Russia: BUFFER
and COLLO).
For manned spacecraft shield designs offer protection against objects smaller
than 1 cm. The PNP (probability of penetration) is an important criterion for
shield design. One can also install automatic detection systems to locate damage.
For EVA (extravehicular activities) current spacesuits have many features with
inherent shielding qualities to offer protection from objects of sizes up to 0.1 mm.
By properly orientating their spacecraft, astronauts may also be able to use their
vehicles against the majority of space debris or direct meteoroid streams. The
United States Space Surveillance Network (SSN) and the Russian Space Surveil-
lance System(SSS) monitor the LEO environment to warn crewed spacecraft if an
object is projected to approach within a few km. If an object is predicted to pass
through a box of 5 × 225 × 5 km oriented along the flight path of the United States
Space Shuttle, the SSN sensor intensifies its tracking of the potential risk object. If
the improved fly-by prediction indicates a conjunction within a box of 2 × 5 × 2 km
an avoidance manoeuvre is performed. During 1986-1997 4 such evasive manoeu-
vres were executed. Collision avoidance manoeuvres were performed by the ESA
satellite ERS-1 in June 1997 and March 1998 and by the CNES satellite SPOT-2
in July 1997.
Calculations made prior to the launch of spacecrafts permit the establishment
of safe launch windows.
For unmanned spacecraft, lower PNPs are tolerable.
12.5. LITERATURE 221
12.5 Literature
An overview of fragmentations of LEO Upper Stages was given by Chernyavskiy
et al. (1994).
A technical report on space debris was given from the Scientific and Technical
Subcommittee of the United Nations Committee on the Peaceful uses of Outer
Space (1999).
Chapter 13
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13.2 Internet
Today’s space weather can be found under:
http://www.sel.noaa.gov/today.html
The web site of the National Oceanic and Atmospheric Administration:
http://www.sel.noaa.gov/
ESA Space Weather Site:
13.2. INTERNET 237
http://www.estec.esa.nl/wmwww/spweather/
NASA Space weather resources:
http://spdf.gsfc.nasa.gov/space_weather/Space_Weather_at_SSDOO.html
Space Science Institute/ NASA and NSF site:
http://www.spacescience.org/SWOP/
Lund Space Weather Center
http://www.irfl.lu.se/
further references can be found in these sites.

List of Tables
2.1 Central wavelengths and bandwidth of the UBVRI filter set 7

2.2 B-V colors and effective temperatures of some stars 8
2.3 Spectral classification of stars 9
2.4 Effective Temperature as a function of spectral type 9
2.5 The principal reaction of the pp chain 13
2.6 Solar model: variation of temperature, luminosity and fusion rate through-
out the Sun 15
4.1 Prominent chromospheric emission lines 43

4.2 Optical classification scheme of solar flares 52
4.3 Soft x-ray classification scheme of solar flares 52
4.4 Radio classification scheme of solar flares 53
4.5 Solar Diameter Measurements 68
7.1 Composition of the Earth’s atmosphere 112

7.2 Current Greenhouse Gas Concentrations and Other Components 114
7.3 Historical record from the Siple Station Ice Core 115
7.4 Typical values for the albedo. 130
7.5 Effects of Solar Radiation at different wavelengths on the Middle and
Upper Atmosphere 133
7.6 Satellite measurements of the solar constant 135
7.7 Exospheric temperature at solar maximum and minimum 143
7.8 Various influences on the climate 150
7.9 Causes of Global Warming of about 0.5 C, 1880-1997 151
8.1 Radiation related units 157
8.2 Radiation dose limits in mSv for astronauts 159
8.3 Total average annual radiation does in the US 159
8.4 Single dose effects 160
8.5 Common shielding materials 168
9.1 Variation of the ionosphere 170

9.2 Corrected magnetic latitudes of some cities 174
9.3 Extension of the auroral zone. The first values given is the magnetic
latitude (Lat), the second the Kp index. 174
9.4 Transformation between the Kp and the Ap index 175
239
240 LIST OF TABLES
9.5 Transformation between the Ap and the Cp index 175

9.6 Transformation between the Cp and the C9 index 176
9.7 Summary of geomagnetic indices 177
9.8 Navigation systems 178
9.9 Fuels for RTG’s 183
11.1 Extinction of marine species. The end of the stage is given in Myr. 208
12.1 Some examples of retrieved spacecraft and surfaces 215
12.2 Mean time between impacts on a satellite with a cross-section area of 219
List of Figures
2.1 A typical spiral galaxy. From a distant galaxy our own system would
appear similar, the Sun would be located in one of the spiral arms 4
2.2 Sketch of the Hertzsprung-Russell-diagram with evolutionary path of the
Sun. 6
3.1 Big Bear Solar Observatory 18

3.2 Optical path scheme of a vacuum telescope (e.g. Kitt Peak or VTT,
Tenerife). Below the ground level, a vertical spectrograph is located.
The solar image can be observed at the top of the optical bank that is
shown as a black box in the sketch 19
3.3 Drawing of the SOHO solar observatory (ESA & NASA) 21
3.4 Propagation of a wave throughout the outer solar atmosphere. On the
abscissa is the time, on the ordinate the frequency. Within 5 min the
frequency drifts from 80 MHz to 40 MHz indicating the propagation to
the higher corona. Courtesy: H. Aurass, Th. Mann, AIP 23
4.1 Variation of electron temperature and electron density in the solar atmo-
sphere 26
4.2 Spectroscopic observation of solar granulation. The entrance of a spec-
trograph slit covers different granular/intergranular areas. Line profiles
emanating from granules are blueshifted because matter moves upwards
and profiles from intergranular areas are redshifted because matter moves
away from the observer. This is valid for solar granulation observed near
the disk center 29
4.3 Solar granulation and small network bright points 32
4.4 Large sunspot showing the dark central umbra and the filamentary penum-
bra. Outside the penumbra the granulation pattern is clearly seen 35
4.5 Relative Sunspot number 40
4.6 Butterflydiagram illustrating the equatorward motion of spots during the
activity cycle 41
4.7 Profile of the CaII line 48
4.8 Coronal hole seen by the solar satellite YOHKOH 58
4.9 Comet Hale Bopp (1997); the fainter ion tail is clearly seen 59
241
242 LIST OF FIGURES
5.1 Left: waves with low and high l; the low l modes are reflected deeper than
the high l modes. Right: Explanation how the waves are reflected in the
solar interior. The wavefront (normal to the propagation) is deflected
since the sound velocity is higher in deeper layers 77
5.2 Examples of several modes 78
5.3 l-v diagram from MDI high-cadence full disk data shows mode frequencies
up to 10 mHz and l=1000 80
5.4 This diagram shows the solar rotation rate inferred from two months
of MDI Medium-l data as a function of radius at three latitudes, 0
degrees, 30 degrees, and 60 degrees 83
5.5 MDI Dopplerimage; left: the rotation of the Sun is clearly seen; right:
the rotation of the Sun was eliminated and therefore only velocities due
to granulation and supergranulation are seen 84
6.1 Looped magnetic field lines in the solar chromosphere and corona. Photo:
NASA 88
6.2 Principle of magnetic reconnection 92
6.3 Illustration of the effect. The field lines are wraped around because of
the differential rotation of the Sun 101
6.4 The MHD relation between flows and magnetic fields 102
6.5 a) Cutaway images of solar rotation showing a peak and a trough of the
0.72R variation, with black indicating slow rotation, grey intermediate,
and white fast, b) Variations with time of the difference of the rotation
rate from the temporal mean at two radii deep within the Sun, with the
site at 0.72 located above the tachocline and that at 0.63 below
it, both sampling speeding up and slowing down in the equatorial region.
Results obtained from GONG data for two different inversions are shown
with black symbols, those from MDI with red symbols. (Image courtesy
NSF's National Solar Observatory) 107
7.1 Major elements of the climate system 113

7.2 Temperature anomaly clearly showing the Little Ice Age 118
7.3 Cretaceous climate and land/sea distribution; Image credit: Crowley and
North, 1991 118
7.4 Upper curve: average insolation of 65 degrees northern latitude (Watts
per one square meter of a horizontal atmosphere) in mid-July. As seen,
it varies from some 390 to Middle curve: Global temperature
(Vostok ice core). Lower Curve: Greenland, GRIP core. Image courtesy:
Jan Hollan 119
7.5 Vostok Ice core. Different depth can be attributed to different ages 120
7.6 Variation of global temperature over the last 150 000 years 121
7.7 World Carbon Dioxide Emissions (US Dept. of Energy) 122
7.8 Effective radiating temperature of the Earth as a function of planetary
Albedo A for three different values of the solar constant, a) 982, b) 1088
(dotted), c) present value 1360 (dashed) 129
7.9 Solar irradiance measurements from satellites 135
LIST OF FIGURES 243
7.10 Three-dimensional rendering of the angular distribution of the excess

irradiance emitted at 500 nm by the active region studied at two stages
of its development, together with the magnetogram. A more uniform
brightening of the facular region at the later stage is apparent (after
Vicente Domingo) 137
7.11 Reconstructed precipitation in northern New Mexico. Courtesy: Henri
D Grissino-Mayer 138
7.12 Temperatures derived from tree rings. Here the Maunder minimum is
not seen whereas a cold period between 1830 to 1870) 139
7.13 Thermospheric temperature changes, a) low solar activity,
0, b) high solar activity, 141
7.14 Penetration of different solar light waves resp. their induced particles in
the atmosphere 142
7.15 Relationship of Northern hemisphere mean (NH) temperature reconstruc-
tion to estimates of three candidate forcings between 1610 and 1995 153
8.1 DNA damage caused by radiation 158

8.2 Correlation of the occurrence of solar proton events with solar activity
cycle (indicated by the sunspot number) 162
8.3 Typical clear-sky UV indices over New Zealand and its surrounding re-
gion. Seasonal variations are larger at low latitudes (denoted by numbers).164
9.1 The Earth’s ionosphere 171

9.2 Van Allen Belts 172
9.3 Radio signal propagation in the ionosphere 181
9.4 Single event upsets; spatial distribution of errors from the UoSAT-3
spacecraft in polar orbit: please note the South Atlantic Anomaly 187
9.5 Satellite lifetimes 189
9.6 Forces acting on a satellite in a low circular orbit. 191
10.1 After a flare or coronal mass ejection erupts from the Sun's surface, major
disturbances arrive with a range of time delays and a storm begins to
build in the space surrounding the Earth. 194
10.2 Summary of space weather effect in the Earth's environment 199
11.1 Estimated frequency of impacts on the Earth from the present population
of comets and asteroids and impact craters. 207
11.2 Height in the atmosphere at which half the kinetic energy of a stony
meteoroid is dissipated. Note that asteroids with > 100 m hit the ground
with most of their original kinetic energy 209
12.1 GEO and LEO objects as a source of space debris 211

12.2 Approximate measured debris flux in low Earth orbit by object size (sketch) 214
12.3 LDEF Retrieval off the coast of Baja California, Courtesy NASA 215
12.4 Segments of the cataloged in-orbit Earth satellite population 220
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Volume 189: Solar Magnetic Fields
Polarized Radiation Diagnostics
Author: Jan Olof Stenflo
Volume 188: The Environment and Evolution of Galaxies
Authors: J. Michael Shull, Harley A. Thronson Jr.
Paperback, ISBN 0-7923-2542-7, October 1993
Volume 187: Frontiers of Space and Ground–Based Astronomy
The Astrophysics of the 21st Century
Editors: Willem Wamsteker, Malcolm S. Longair, Yoji Kondo
Volume 186: Stellar Jets and Bipolar Outflows
Editors: L. Errico, Alberto A. Vittone
Volume 185: Stability of Collisionless Stellar Systems
Mechanisms for the Dynamical Structure of Galaxies
Author: P.L. Palmer
Volume 184: Plasma Astrophysics
Kinetic Processes in Solar and Stellar Coronae
Author: Arnold O. Benz
Volume 183: Physics of Solar and Stellar Coronae:
G.S. Vaiana Memorial Symposium
Editors: Jeffrey L. Linsky, Salvatore Serio
Volume 182: Intelligent Information Retrieval: The Case of Astronomy and
Related Space Science
Editors: André Heck, Fionn Murtagh
Volume 181: Extraterrestrial Dust
Laboratory Studies of Interplanetary Dust
Author: Kazuo Yamakoshi
Volume 180: The Center, Bulge, and Disk of the Milky Way
Editor: Leo Blitz
Volume 179: Structure and Evolution of Single and Binary Stars
Authors: C.W.H. de Loore, C. Doom
Paperback, ISBN 0-7923-1844-7, May 1992
Volume 178: Morphological and Physical Classification of Galaxies
Editors: G. Longo, M. Capaccioli, G. Busarello
Volume 177: The Realm of Interacting Binary Stars
Editors: J. Sahade, G.E. McCluskey, Yoji Kondo
Volume 176: The Andromeda Galaxy
Author: Paul Hodge
Volume 175: Astronomical Photometry, A Guide
Authors: Christiaan Sterken, J. Manfroid
Paperback, ISBN 0-7923-1776-9, April 1992
Volume 174: Digitised Optical Sky Surveys
Editors: Harvey T. MacGillivray, Eve B. Thomson
Volume 173: Origin and Evolution of Interplanetary Dust
Editors: A.C. Levasseur-Regourd, H. Hasegawa
Volume 172: Physical Processes in Solar Flares
Volume 171: Databases and On-line Data in Astronomy
Editors: Miguel A. Albrecht, Daniel Egret
Volume 170: Astronomical Masers
Author: Moshe Elitzur
Paperback, ISBN 0-7923-1217-1, February 1992
Volume 169: Primordial Nucleosynthesis and Evolution of the Early Universe
Editors: Katsuhiko Sato, J. Audouze
Missing volume numbers have not yet been published.

For further information about this book series we refer you to the following web
site: http://www.wkap.nl/prod/s/ASSL
To contact the Publishing Editor for new book proposals:

Dr. Harry (J.J.) Blom: harry.blom@wkap.nl

2002 - The Sun and Space Weather - HANSLMEIER

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THE SUN AND SPACE WEATHER

KLUWER ACADEMIC PUBLISHERS

©2004 Kluwer Academic Publishers

Print ©2002 Kluwer Academic Publishers

All rights reserved

Created in the United States of America

Visit Kluwer Online at: http://kluweronline.com

With sincere apologies for the unfortunate mistake.

Dr. Harry (J. J.) Blom

1 Introduction, What is Space Weather? 1

2 The Sun as a Star 3

3 Observing the Sun 17

4.3.6 Where do Flares Occur? 54

5 Testing the Solar Interior 69

6 MHD and the Solar Dynamo 87

7 The Sun and Climate 111

8 Space Weather and Radiation Damage 155

8.4.1 The Extravehicular Mobility Unit 166

9 The Ionosphere and Space Weather 169

10 The NOAA Space Weather Scales 193

11 Asteroids, Comets, Meteroites 201

12 Space Debris 211

Introduction, What is Space

I want to thank my students who attended a course on space weather I held

The Sun as a Star

2.1 The Sun and the Galaxy

2.1.1 Properties of Stars

2.1.2 Stellar Spectra, the Hertzsprung-Russell-Diagram

and for the luminosity of a star:

For the Sun This formula defines the effective temperature of a

This is also called Wien’s law.

Answer: Let us assume the temperature of the Earth = 300 K. Then

In terms of space weather these evolutionary effects are negligible. But it is

2.1.3 Basic Properties of the Sun

In our case denotes the distance Earth-Sun P the revolution

The gravitational acceleration is given by:

And the effective temperature:

2.2 Solar Structure

gravity: acts inward

and From the above equation:

By dividing the net force by we find the equation of

At the center from we find the central pressure

which leads to:

For the Sun: and This gives

Compare the central pressure of a main sequence star of and

2.2.2 Basic Equations

2.2.3 Energy Generation in the Sun

The mass of the resulting He atom is

Thus the difference is:

Let us consider the conversion of H into He in more detail. The so called pp

The CN cycle also produces He from H where C is used as a catalyst.

2.2.4 Convection Zone

The total luminosity L is:

Basically, convection can be treated as an instability; if an element of material is

where is the pressure scale height. It is supposed that α is order of unity. As we

2.3 Model: Internal Structure of the Sun

Observing the Sun

3.1 General Remarks

3.2 Examples of Telescopes

3.4 Solar Polarimetry