Origin of the Fast Solar Wind: From an Electron - Driven Wind to Cyclotron Resonances Joseph V. Hollweg Space Science Center, University of New Hampshire, Durham, NH 03824 USA Abstract. Even before the discovery of the fast solar wind in the mid - 1970s, it was known that even the average solar wind could not be well explained by models in which electron heat conduction was the energy source and the electron pressure gradient was the principal accelerating force. The outward - propagating Alfvén waves discovered around 1970 were thought for a while to provide the sought - after additional energy and momentum, but their wave pressure ultimately failed to explain the rapid acceleration of the fast wind close to the Sun in coronal holes. By the late 1970s, various in situ data were suggesting that protons and heavy ions were being heated and accelerated by the ion - cyclotron resonance far from the Sun. This notion was soon applied to the acceleration region in coronal holes close to the Sun. The models which resulted suggested that the fast wind could be driven mainly by the proton pressure gradient (which is mainly the mirror force if the anisotropy is large), and that the high temperatures and flow speeds of heavy ions could originate within a few solar radii of the coronal base; these models also emphasized the importance of treating the extended coronal heating and solar wind acceleration on an equal footing. By the mid 1990s, SOHO, especially the UVCS (Ultraviolet Coronagraph Spectrometer), provided remarkable data which have given great impetus to studies of the ion cyclotron resonance as the principal mechanism for heating the plasma in coronal holes, and ultimately driving the fast wind. We will discuss the basic ideas behind current research, emphasizing the particle kinetics. We will discuss remaining problems such as the source of the ion - cyclotron resonant waves (direct launching, turbulence, microinstabilities), problems concerning OVI and MgX, the roles of inward - propagating waves and instabilities, the importance of oblique propagation, and the electron heating. Some alternatives, such as shock heating and turbulence - driven magnetic reconnection, will also be reviewed. ELECTRON - DRIVEN WINDS coronal holes, and in the distant solar wind as well. Parker's point was driven home in 1966 and 1968 by Hartle and Sturrock [4, 5], who produced the first two fluid models of the wind, with separate energy equations for the electrons and protons. As in Parker's models, all coronal heating was assumed to take place in a thin layer near the base. This produced a high base temperature, > 106 K, which served as an inner boundary condition. Because protons are poor conductors of heat, their temperature dropped very rapidly to only a few x 10 3 K at 1 AU, in contrast to the observed proton temperatures, Tp , of about 2 x 105 K in high - speed streams (see Feldman's 1976 article [6] describing the properties of the high - speed wind). The flow speeds predicted by Hartle and Sturrock were much too slow: some 250 km s-1 compared to observed values of 700 - 800 km s-1 in the fast wind. The authors concluded "Departures [are] attributed to heating by a flux of non - thermal energy". Parker's [1] original model of the solar wind was motivated by the observation that electrons conduct heat so effectively that a static corona would have a pressure far from the Sun greatly in excess of the interstellar pressure. Such a corona could not be contained, and thus could not be static. In effect, these early solar wind models were driven mainly by the electron pressure gradient, which was maintained at a high level by the slow decline of the electron temperature, which was itself a consequence of the efficient electron heat conduction out of the hot corona at the base. However, in his 1965 review [2], Parker recognized that such models were not fully successful in accounting for the observed properties of the wind. He stated "The model for the hypothetical conduction corona leads to a temperature falling too rapidly with radial distance from the Sun, indicating that the actual solar corona is probably actively heated for some considerable distance by the dissipation of waves." It now appears he may well have been right. Not only is the electron temperature in coronal holes low, < 106 K [3], but available evidence points to the action of waves in WAVE - DRIVEN WINDS In 1969 and 1971, Belcher and co - workers [7, 8] CP679, Solar Wind Ten: Proceedings of the Tenth International Solar Wind Conference, edited by M. Velli, R. Bruno, and F. Malara © 2003 American Institute of Physics 0-7354-0148-9/03/$20.00 14 provided strikingly clear evidence that Alfvén waves are ubiquitous in the solar wind, especially in the high speed streams (see also [9, 10] for earlier indications). The waves were found to propagate predominantly outward from the Sun, suggesting a solar source. Were these the waves mentioned by Parker? Were they Hartle and Sturrock's "flux of non - thermal energy"? In 1971 Alazraki and Couturier [11] and Belcher [12] realized that the Alfvén waves could contribute to the acceleration of the wind via the wave pressure gradient (also called the ponderomotive force), ∇<δB2 >/8π (in cgs units which we use throughout), where δB is the magnetic fluctuation, and the angle brackets denote a time (or ensemble) average. In 1973 Hollweg [13] showed how the waves could be incorporated into the energy balance, allowing for wave damping, and he produced some detailed two - fluid models which looked promising when compared with the observed solar wind near 1 AU. Such "wave driven" solar wind models were soon explored further by many others (see [14] for a review). These models were incomplete in one major respect: They had to guess how the Alfvén waves might be damped, since they do not readily undergo Landau or transit - time damping [15, 16]. At first it was simply postulated that the waves damp by saturating at some maximum level of <δB2 >/Bo 2 (B o is the ambient magnetic field); much later Roberts [17] provided evidence that this does not occur. Wave damping via a turbulent cascade was proposed in the early 1980s [18, 19], and that idea has been predominant ever since; more on this later. Wave - driven models were generally very successful in reproducing observed properties of the wind far from the Sun. But by the early 1990's it was realized that they had difficulties close to the Sun, where observations were indicating that the wind accelerates faster than the wave - driven models could explain. Radio observations (e.g. [20]) suggested rapid acceleration, but they might have been measuring propagating disturbances rather than the solar wind flow (that is now the prevailing view). At about the same time, improved observations of densities in polar coronal holes became available (e.g. [21]). With knowledge of the mass flux (obtained from Ulysses), the coronal velocities could be deduced. They were indeed found to be very fast close to the Sun, implying a sonic critical point inside 3rs (rs is the solar radius). Wave - driven models could not explain such rapid acceleration, because the ponderomotive force only became significant at greater distances, beyond 3r s [14]. The heavy ions, especially He++, presented further difficulties. They tend to flow faster than the protons by about the Alfvén speed, v A, and they tend to be roughly mass - proportionally hotter than the protons. The most likely explanation seemed to be heating and acceleration by the cyclotron resonance; see [22 - 27] for some early discussions. There were already available other hints that cyclotron resonances were at work. Here we refer to the excellent review by Marsch [28]. His Figure 8.31 shows that the proton magnetic moment increases with heliocentric distance r between 0.3 and 1 AU, implying heating perpendicular to Bo ; figure 8.25 shows the same for He++. Moreover, Marsch's Figure 8.1 shows proton distribution functions whose "cores" are anisotropic in the sense T⊥ > T || (T is temperature, and the subscripts indicate directions relative to Bo ). Perpendicular heating is again implied, with the cyclotron resonance being the most apparent candidate. Three - fluid (electrons, protons, He++) models which incorporated the cyclotron resonance succeeded qualitatively but failed in detail [25, 29]. An essential difficulty was the fact that once the ions flow significantly faster than the protons, they tend to drop out of resonance with no further acceleration and heating. In retrospect, these models may also have failed because the cyclotron resonances were assumed to act only far from the Sun. PROTON - DRIVEN WINDS By the mid - 80's, some of these ideas were applied to the acceleration region of the solar wind by Hollweg [30] and Hollweg and Johnson [31]. The basic idea was that the Sun launches a flux of low - frequency Alfvén waves which damp via a turbulent cascade to high frequencies where the energy is absorbed by the protons (He++ was omitted). The volumetric heating Q was essentially Kolmogorov: Q = ρ<δV2 >/L c, where ρ is density, δV is the wave velocity fluctuation, and Lc is the correlation length transverse to Bo . The wave propagation was handled in the WKB limit. This means that there was an internal inconsistency, since the nonlinear terms cancel for WKB Alfvén waves, and no turbulence can occur (for correct treatments see Dmitruk and Matthaeus, this volume, and [32, 33]. Nonetheless, the model could give the required rapid acceleration close to the Sun. A noteworthy feature of the model was that the protons were substantially hotter than the electrons, with Tp ≈ 4 x 10 6 K at (3 - 4)rs . It was mainly the proton pressure gradient which led to the rapid acceleration; we therefore call this model "proton - driven". The then available data argued against such high proton temperatures and the model 15 1.2 was rejected. Isenberg [34] extended the model to include He++. Quasilinear theory was used to apportion the cascaded energy between the protons and He++, but it was necessary to assume the form of the power spectrum in the resonant range. The model produced many features of the acceleration region which we now know to be at least qualitatively in accord with the UVCS/SOHO observations of coronal holes (e.g. [35, 36]): protons hotter than electrons, He++ (and other ions) more than mass - proportionally hotter than the protons, rapid acceleration driven mainly by the proton pressure gradient, He++ already flowing faster than the protons close to the Sun. Again, this model was rejected because of the high Tp , but it anticipated the UVCS/SOHO discoveries of hot and fast coronal protons and ions. UVCS/SOHO also indicated that 0 +5 is heated primarily perpendicular to B o [37], again implicating cyclotron heating. Moreover, the UVCS/SOHO results [35, 36] show that the ion heating extends far into the corona, even beyond the sonic critical point, in strong contrast to the early models in which all the heating was in a thin shell at the base: coronal heating and solar wind acceleration must be treated together. Before closing this section, we note that solar wind models with hot protons and ions were investigated years ago by Ryan and Axford [38]. Esser, Habbal, and co - workers [39 - 41] also explored the consequences of hot coronal protons, and showed explicitly that high speed streams could be produced by the coronal proton pressure gradient, with no additional momentum input from the wave pressure gradient. All of these papers used ad hoc heating functions, however, rather than attempting to model the effects of a specific physical heating (and acceleration) mechanism. 1.0 Protons v || = – 0.1 vA ω/Ωp 0.8 0.6 Ion - cyclotron mode; cold e - p plasma O+5 0.4 5/16 0.2 In the proton frame 0 0 0.5 1.0 1.5 k || v A/Ωp 2.0 FIGURE 1. The heavy curve is the dispersion relation. The thin lines represent the resonance condition (1). The solid thin lines show that only backward moving protons can resonate. The dashed lines show that both forward and backward moving oxygen can resonate, but that no resonance is possible if the oxygen moves too fast. energy secularly, depending on the phase relative to the electric field. In a random field, phase will be random, and the particle will random walk in velocity space. Random walks imply diffusion so a collection of particles will diffuse in velocity space. The heavy curve in Figure 1 is the dispersion relation for parallel - propagating ion - cyclotron waves in a cold electron - proton plasma, as viewed in the bulk proton frame. The thin solid lines are equation (1) for the protons, for two values of v|| . The intersection of (1) with the dispersion relation gives ω and k || of the resonant wave. If v || > 0, there is no intersection; a proton moving with the wave cannot be in resonance. For v || < 0 there can be resonance. Roughly speaking, only half of the proton distribution can resonate with ion - cyclotron waves. If the waves are propagating away from the Sun, only sunward moving protons (as seen in the bulk proton frame) can resonate. The situation is more favorable for heavy ions, in several respects. The dashed lines show equation (1) for 0+5 (Ω = 5Ωp /16). The lower two dashed lines show that both forward and backward moving 0 +5 can be in resonance. However, the upper dashed line shows that 0 +5 can drop out of resonance if it moves too fast (v|| > ~ 0.3 vA). Note too that heavy ions can resonate with waves having lower k|| than found for the protons. This too gives ions an advantage, since we expect more wave power at lower k|| , and because lower - k|| waves have higher phase speeds. (He++ is abundant enough to THE CYCLOTRON RESONANCE Consider a wave with angular frequency ω and wavenumber k|| propagating parallel to B o . A particle with gyrofrequency Ω will see a constant electric field when ω – k || v || = ± Ω ; v || = 0.1 vA (1) v|| is the particle's velocity along Bo , the (+) refers to waves which are circularly polarized in the sense of the particle's gyration, while the (–) refers to the opposite sense of polarization. Space limits us to consideration only of ion - cyclotron waves, i.e. the (+). When (1) is satisfied, the particle gains or loses 16 0+5 behavior is difficult to understand. Once oxygen's v⊥ exceeds that of the protons, it experiences a greater mirror acceleration and a greater adiabatic cooling. Moreover, as the oxygen accelerates, it resonates with higher k|| waves, which have less power and slower phase speeds. The oxygen can even drop out of resonance when its speed becomes fast enough (Figure 1). These factors work against the fairly steady increase of the oxygen temperature with r. In fact, models such as in [42, 48] behave in the way described above: the temperature at first increases rapidly, mirroring then gives rapid acceleration, and the temperature then drops as adiabatic cooling overwhelms resonant heating. Isenberg ([49] and this volume) suggests a possible solution involving both outward and sunward propagating waves. By redrawing Figure 2 with circles corresponding to both propagation directions, it can readily be seen that a proton can resonate with either propagation direction, but not both simultaneously. An oxygen ion can simultaneously resonate with both types of waves. Thus oxygen can undergo second - order Fermi acceleration, while protons cannot. This may be the extra ingredient needed to explain the 0+5 data. Mg+9 also presents a problem. Even though 0 +5 and Mg+9 have very nearly the same charge - to - mass ratios, q/m, the former is definitely more than mass proportionally hotter than the protons, while the latter is only mass - proportionally hotter [50]. Why species with nearly the same q/m behave so differently is a challenge to the cyclotron heating scenario. Cranmer [43] notes that the second most abundant coronal ion (after He++) is 0+6, which has the same q/m, and thus the same Ω, as Mg+9 . He suggests that 0+6 depletes wave power in the vicinity of the 0 +6 and Mg+9 resonance, leaving little power for Mg+9 , without affecting the power available to 0+5 . This idea needs detailed evaluation. We note, however, that it will fail if 0 +6 and Mg+9 have different v|| 's; see equation (1). v ⊥/vA 1.0 +5 O fusio n 0.5 pitch -ang le dif protons –0.2 0 0.3 0.4 v /v 0.7 0.8 || A FIGURE 2. Particle motion in v||-v⊥ space due to resonance. affect the dispersion relation significantly, but there is insufficient room for a discussion. See recent reviews [42, 43] as well as [44 - 47]). Figure 2 shows the ion advantage in a different way. If there is a single wave (or if we ignore dispersion), a particle will conserve energy in the wave frame. In that frame it will move on a circle such that v⊥2 + v|| 2 = constant. The figure shows two such circles. The 0+5 circle has a greater radius than the proton circle, qualitatively reflecting the fact that 0+5 resonates with faster - moving waves than the protons. The dark arcs show the portions of the circles within which the particles can be in resonance. If we imagine a group of particles starting with small values of v⊥, they will diffuse upwards, tending to uniformly fill the dark arcs. This will give perpendicular heating. Note that the ions can attain larger v⊥ than the protons, implying more than mass proportional perpendicular temperatures, in qualitative agreement with the UVCS/SOHO results for 0+5 . Note too that as the particles diffuse upwards, they also move to the right, increasing v|| . Resonant heating implies resonant acceleration; simple models [42, 48] suggest that the resonant acceleration cannot be overlooked, even though the magnetic mirror acceleration is usually substantially larger. Finally, note that the mirror acceleration is v⊥2 dlogBo /dr; if the ions attain larger values of v ⊥, they will experience a greater acceleration from mirroring. (See Isenberg, this volume, for further variations of Figure 2.) We point out two difficulties with this picture. The first concerns 0+5 , which is observed to have T ⊥ increasing with r out to 3.5rs (the outer limit of the data in [35], while the protons have T⊥ nearly constant. This WHENCE THE CYCLOTRON WAVES? Although many workers agree that ion - cyclotron waves can explain a variety of observations, there is substantial disagreement on where these high - ω, high - k|| waves come from. There are two principal theories. The models in references [19, 30, 31, 34, 42, 48, 51 54], among others, assume that the Sun launches low frequency waves, and that the high - frequency cyclotron waves are produced by a turbulent cascade. This is motivated by in situ observations (e.g. [55]) showing most power at low frequencies, with power law power spectra at higher frequencies, suggestive of 17 turbulent cascades. Radio science data (e.g. [56]) show that density fluctuations in the corona, as close as r ≈ 5rs , have similar power spectra. One question that arises in this context is whether there is sufficient low - frequency power to drive the high - speed wind. Hollweg et al. [57] studied Faraday rotation fluctuations on the signal from Helios. These were caused by coronal magnetic fluctuations, which were associated with Alfvén waves. They concluded that there was enough power to drive the wind. Andreev et al. [58] obtained similar results. However, other observers disagree. For example, Mancuso and Spangler [59] look at Faraday rotation fluctuations on natural radio sources. They conclude that the power in the corona is insufficient to drive the wind. The differences seem to arise because the observed fluctuations depend on the sizes of the scattering elements, and how many there are along the line of sight. This requires knowledge of the correlation scale, which has to be guessed; different authors have made different guesses. It is also fair to say that no studies have properly accounted for dissipation, in extrapolating from the observation region back to the Sun. Turbulence faces another problem. MHD turbulence tends to produce high k ⊥, not high k || (see papers by Dmitruk and Matthaeus, and by Milano et al., this volume). The cascaded energy then dissipates via reconnection, not via cyclotron resonance. If this is what is happening, we have to start from scratch and ask whether reconnection can explain the ion heating seen by UVCS/SOHO. But before we change the paradigm, be aware that in situ data do show wave power at high k|| , even though there is a preference for high k ⊥ (e.g. [60]). In this context we inform the reader of a neglected paper by Ulrich [61]. He found evidence for upward propagating Alfvén waves in the chromosphere, with periods in a broad range around five minutes. The upward Poynting flux was about 3 x 107 erg cm-2 s -1. This is far in excess of the energy requirements of the fast wind (few times 105 erg cm -2 s-1 at the coronal base), but it is comparable to the energy requirements of active regions, which is where the observations were made. Perhaps the fast wind is supplied by five minute waves, but that would still require a turbulent cascade. An entirely different approach postulates that small reconnection events on the Sun launch the required energy in the kilohertz range [62 - 65]. The waves would be below the cyclotron resonance where they are launched, but would be resonant at greater heights where Ω is less. This is often called the "sweeping mechanism", since the resonant frequency sweeps from high values to lower values as the waves get further from the Sun. Tu and Marsch [64, 65] presented some detailed calculations based on this idea. They postulated a wave power spectrum which was adjusted to deposit the required energies at various heliocentric distances. They assumed parallel - propagating waves, which is of course not realistic in a structured solar atmosphere. Hollweg [66] asked what would be different if that assumption were relaxed. He noted that obliquely propagating waves would be compressive, and used the model's magnetic power spectrum to estimate the spectrum of density fluctuations in the corona. The estimated spectrum was found to be much larger than density spectra inferred from radio scattering (IPS). This probably means that magnetic spectra such as those used in the sweeping models are not there. However, the oblique waves damp, via Landau and transit - time damping on the electrons, and this might explain why the large density fluctuations are not observed. This needs to be worked out in detail, but our guess is that if the Sun launches high - frequency waves propagating at many angles to B o , and if the oblique waves damp, then too much electron heating would result, and the electrons would carry more heat flux than observed. Are there alternatives? Recently there has been a flurry of activity looking at whether instabilities can drive the high - frequency waves. These instabilities are generally highly oblique to B o , some may be electrostatic, and some may propagate sunward. The driving mechanisms looked at include cross - field currents [67, 68], large but intermittent electron heat flux ([69], and Markovskii and Hollweg, this volume), and proton beams launched by reconnection events [70]. This review would not be complete without mentioning a totally different view. Lee and Wu [71] showed how obliquely - propagating fast shocks can preferentially heat heavy ions such as 0 +5 . The trouble here is that the shocks need to be strong, with velocity jumps greater than about 0.3 vA. These velocity jumps should show up as line broadening in the UVCS/SOHO data. In coronal holes vA can be very large, and the shock - related line broadening could be comparable to or even larger than the observed broadening. Much more detailed modeling needs to be done to assess whether this mechanism can explain the line widths observed by UVCS/SOHO. CONCLUSIONS In the years since the discovery of the solar wind, we have progressed from an electron - driven wind, through 18 a wave - driven wind, to a proton - driven wind which is accelerated mainly by the proton pressure gradient (which is equivalent to the mirror force if Tp⊥ >> T p||). We now know that the coronal heating is not confined to a thin layer at the coronal base; the heating extends throughout the acceleration region, implying that coronal heating and wind acceleration need to be treated on an equal footing. And we now realize that, in coronal holes at least, the heating works mainly on the protons and ions. That the heating is mainly transverse to Bo has been verified for one ion, 0+5 ; it seems likely that this will turn out to be a general result. The heating is not Ohmic dissipation, in contrast to what many workers believe to be the case elsewhere in the solar atmosphere. Will it turn out that other regions are heated in the same way as coronal holes? Even if one accepts the cyclotron heating paradigm, there is still much to be done. What is the source of the waves: turbulent cascade, direct launching, or local instabilities? How important is oblique propagation, which has received very little attention [72]? What is the mix of outward and sunward - propagating waves? Are sunward - propagating waves produced mainly by instabilities, or by reflections? How important is second - order Fermi acceleration? Perhaps the most important area for future development, and probably the most difficult, is full kinetic solutions. This aspect is still in its infancy ([49, 73 - 76] and Isenberg, this volume). Perhaps one of the most difficult features to incorporate will be the self - consistent evolutions of the particle distribution functions and the waves, including instabilities; intuition based on bi - Maxwellians is misleading (Isenberg, this volume). We again warn the reader that some models based on MHD turbulent cascades ultimately dissipate their energy via reconnection. If true, this would necessitate a complete rethinking of the coronal heating and solar wind acceleration problem. Finally, we have to say something about the electrons. Their pressure gradient may contribute less to accelerating the wind than that of the protons, but it is not negligible either. They determine the charge states which emerge out of the corona, they are responsible for the electromagnetic radiation emerging from the corona and transition region, and their downward heat conduction has much to do with how the corona joins with the lower layers. For these reasons it is obviously important to get a grasp on the electron energy equation, which still proves elusive: we still do not have a good prescription for the electron heat conduction. The electron energy equation is important for another reason as well. 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