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# Supernova Interaction with a Circumstellar Medium

## 1 Introduction

The collision of supernova ejecta with dense surrounding gas can generate high pressure regions comparable to those found in the emission regions of active galactic nuclei. The shock wave interactions are analogous to those occurring in $`\gamma `$-ray burst afterglows, although the supernova case involves nonrelativistic velocities. Multiwavelength observations, when combined with models for the emission, give detailed information on the outer supernova structure and the structure of the surrounding mass loss region. The stellar mass loss history leading up to the supernova explosion can be deduced from the surrounding structure.

The study of circumstellar interaction around supernovae has benefitted from several developments in the observational investigations of supernovae. One is the ability to observe supernovae in wavelength regions other than optical. Radio, X-ray, infrared, and ultraviolet observations have all been crucial for revealing various aspects of circumstellar interaction. Another is the ability to follow the optical emission from supernovae to late times with the new generation of large telescopes. The emission from circumstellar interaction typically has a lower decay rate than does the inner emission from gas heated by the initial explosion and by radioactivity, so that it eventually comes to dominate the emission. Finally, the interest in supernovae generated by SN 1987A and other events has increased the rate of supernova discovery, including events which show signs of circumstellar interaction from a young age.

Many of the observational manifestations of circumstellar interaction are treated in other chapters of this volume. The emphasis here is on providing the theoretical basis to model the observed phenomena. The structure of the freely expanding supernova ejecta and of the surrounding medium provide the initial conditions for the interaction and are discussed in the first two sections. Section 4 deals with the hydrodynamics of the interaction and section 5 treats the emission from hot gas. The effects of supernova radiation on the circumstellar gas are discussed in section 6 and relativistic particles in section 7. The discussion and conclusions are in section 8.

## 2 Ejecta Structure

The density structure of a supernova is set up during the first days after the explosion. Over this timescale, the pressure forces resulting from the initial explosion, and some later power input from radioactivity, become too small to change the supernova density structure. The velocity profile tends toward that expected for free expansion, $`v=r/t`$, and the density of a gas element drops as $`t^3`$. The pressure drops to a sufficiently low value that it is not a factor in considering shock waves propagating in the ejecta as a result of later interaction.

The density structure of the ejecta is a more complex problem. For core collapse supernovae, where all the explosion energy is generated at the center of the star, the explosion physics lead to an outer, steep power law density profile along with an inner region with a relatively flat profile CS89 ; MM99 . The outer profile is produced by the acceleration of the supernova shock front through the outer stellar layers with a rapidly decreasing density. This part of the shock propagation does not depend on the behavior in the lower layers and the limiting structure is described by a self-similar solution. The structure depends on the initial structure of the star and thus depends on whether the progenitor star has a radiative or a convective envelope MM99 . In the radiative case, which applies to Wolf-Rayet stars and to progenitors like that of SN 1987A, the limiting profile is $`\rho r^{10.2}`$. In the convective case, which applies to red supergiant progenitors, the limiting profile is $`\rho r^{11.7}`$. These are the limiting profiles and the density profile over a considerable part of the supernova might be described by a somewhat flatter profile. Numerical calculations of the explosion of SN 1987A have indicated $`\rho r^{(89)}`$ in the outer parts of the supernova A88 .

The calculations of the density profile assume an adiabatic flow. As the shock wave approaches the surface of the star, radiative diffusion becomes a factor and the shock acceleration stops. In the case of SN 1987A, theory as well as observations suggest that diffusion is not important until a velocity of $`30,000`$ km s-1 is reached EB92 . A comparable limit applies to the relatively compact progenitors of the Wolf-Rayet star explosions MM99 . In the case of red supergiant progenitors, which is the case applicable to most Type II supernovae, a lower velocity limit is expected. At the point in the shock evolution where radiative diffusion becomes important, the loss of the radiative energy can lead to a large compression of the gas, to the point where the thermal pressure becomes important C76 . There is the possibility of a dense shell at the maximum velocity generated by the supernova. The shell may be broken up by Rayleigh-Taylor instabilities FA73  and the final outcome of these processes is not known.

The overall result of these considerations is that the outer part of a core collapse supernova can be approximated by a steep power law density profile, or $`\rho _{\mathrm{ej}}r^n`$ where $`n`$ is a constant. After the first few days the outer parts of the ejecta expand with constant velocity, $`V(m)r`$ for each mass element, $`m`$, so that $`r(m)=V(m)t`$ and $`\rho (m)=\rho _o(m)(t_o/t)^3`$. Therefore

$$\rho _{\mathrm{ej}}=\rho _o(t/t_o)^3(V_ot/r)^n.$$
(1)
This expression takes into account the free expansion of the gas.

Type Ia supernovae, which are believed to be the thermonuclear explosions of white dwarfs, are different because the supernova energy is not all centrally generated. A burning front spreads through the star and the energy released in this way gives rise to an explosion. The results of a number of explosion simulations show that the post-explosion density profile can be approximated by an exponential in velocity DC98 .

## 3 Stellar Mass Loss

Type II supernovae, with H lines in their spectra, are thought to be the explosions of massive stars that have reached the ends of their lives with their H envelopes. In most cases, the stars explode as red supergiants, which are known to have slow, dense winds. Typical parameters are a mass loss rate of $`\dot{M}=10^610^4M_{}\mathrm{yr}^1`$ and a wind velocity $`u_\mathrm{w}=525\mathrm{km}\mathrm{s}^1`$. If the mass loss parameters stay approximately constant leading up to the explosion, the circumstellar density is given by

$$\rho _{\mathrm{cs}}=\dot{M}/(4\pi u_\mathrm{w}r^2).$$
(2)
In the late stellar evolutionary phases, the evolution of the stellar core occurs on a rapid timescale, but the stellar envelope has a relatively long dynamical time, which can stabilize the mass loss properties.

The mechanisms by which mass is lost in the red supergiant phase are poorly understood, but some insight into the wind properties can be gained by considering observations of the winds. VY CMa, thought to have a zero-age main sequence mass of $`3040M_{}`$ WLW98 , a mass loss rate $`3\times 10^4M_{}\mathrm{yr}^1`$, and $`u_\mathrm{w}39\mathrm{km}\mathrm{s}^1`$ De94 ; Se01 , is an especially well-observed case. HST imaging shows that the density profile is approximately $`r^2`$ over the radius range $`3\times 10^{16}1.4\times 10^{17}`$ cm but that there is considerable structure superposed on this profile, including knots and filaments Se01 . Observations of masers imply the presence of clumps with densities up to $`5\times 10^9`$ cm-3 and suggest the presence of an expanding disk seen at an oblique angle RYC98 . VY CMa is an extreme mass loss object, but there is evidence for irregular mass loss in $`\alpha `$ Orionis and other red supergiants THB97 ; UDG98 . Among lower mass stars, the bipolar structure of planetary nebulae has been widely attributed to a high equatorial density in the red giant wind. In one case where we can observe the circumstellar surroundings of a supernova, SN 1987A, an axisymmetric structure similar to that found in planetary nebulae has been observed Be95 .

Some massive stars, either through individual mass loss or through binary interaction, lose their H envelopes entirely and become Wolf-Rayet stars. Their ultimate explosions are thought to be observed as Type Ib and Ic supernovae. The progenitor stars are more compact in this case and have faster winds, with $`u_w=1,0002,500\mathrm{km}\mathrm{s}^1`$ and $`\dot{M}=10^610^4M_{}\mathrm{yr}^1`$ Wi91 . The fast wind can create a bubble in the surrounding medium, which is typically the slow wind from a previous evolutionary phase, and the resulting shells have been observed around a number of Wolf-Rayet stars GS96 . Their typical radii are a few pc.

The progenitors of Type Ia supernovae are not known, so that observations of circumstellar interaction as well as other signatures of the companion star potentially contain important clues on the progenitor question Br95 ; CL96 ; MBF00 . In models where a white dwarf accretes mass from a companion star, the wind from the companion can provide a relatively dense circumstellar medium. In the case of a double degenerate progenitor, there may be a disk around the coalesced object, but the interaction is with the interstellar medium on larger scales. There have been no detections of circumstellar interaction around Type Ia supernovae, so we do not discuss them further in this review, although the physical processes described here should apply if any surrounding wind is present.

## 4 Hydrodynamics

When the radiation dominated shock front in a supernova nears the stellar surface, a radiative precursor to the shock forms when the radiative diffusion time is comparable to the propagation time. There is radiative acceleration of the gas and the shock disappears when optical depth $``$unity is reached EB92 . The fact that the velocity decreases with radius implies that the shock will re-form as a viscous shock in the circumstellar wind. This occurs when the supernova has approximately doubled in radius.

The interaction of the ejecta, expanding with velocity $`\stackrel{}{\stackrel{>}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}10}^4\mathrm{km}\mathrm{s}^1`$, and the nearly stationary circumstellar medium results in a reverse shock wave propagating inwards (in mass), and an outgoing circumstellar shock. The density in the circumstellar gas is given by equation (2). As discussed above, hydrodynamical calculations show that to a good approximation the ejecta density can be described by equation (1). A useful similarity solution for the interaction can then be found C82a ; C82b ; N85 . Here we sketch a simple derivation. More details can be found in these papers, as well as in the review C90 .

Assume that the shocked gas can be treated as a thin shell with mass $`M_\mathrm{s}`$, velocity $`V_\mathrm{s}`$, and radius $`R_\mathrm{s}`$. Balancing the ram pressure from the circumstellar gas and the impacting ejecta, the momentum equation for the shocked shell of circumstellar gas and ejecta is

$$M_\mathrm{s}\frac{dV_\mathrm{s}}{dt}=4\pi R_\mathrm{s}^2[\rho _{\mathrm{ej}}(VV_\mathrm{s})^2\rho _{\mathrm{cs}}V_\mathrm{s}^2].$$
(3)
Here, $`M_\mathrm{s}`$ is the sum of the mass of the shocked ejecta and circumstellar gas. The swept up mass behind the circumstellar shock is $`M_{\mathrm{cs}}=\dot{M}R_\mathrm{s}/u_\mathrm{w}`$, and that behind the reverse shock $`M_{\mathrm{rev}}=4\pi t_o^3V_o^n(t/R_\mathrm{s})^{n3}/(n3)`$, assuming that $`R_\mathrm{s}>>R_p`$, the radius of the progenitor. With $`V=R_\mathrm{s}/t`$ we obtain

$`\left[{\displaystyle \frac{\dot{M}}{u_\mathrm{w}}}R_\mathrm{s}+{\displaystyle \frac{4\pi \rho _ot_o^3V_o^nt^{n3}}{(n3)R_\mathrm{s}^{n3}}}\right]{\displaystyle \frac{d^2R_\mathrm{s}}{dt^2}}=`$ (4)
$`4\pi R_\mathrm{s}^2\left[{\displaystyle \frac{\rho _ot_o^3V_o^nt^{n3}}{R_\mathrm{s}^n}}\left({\displaystyle \frac{R_\mathrm{s}}{t}}{\displaystyle \frac{dR_\mathrm{s}}{dt}}\right)^2{\displaystyle \frac{\dot{M}}{4\pi u_\mathrm{w}R_\mathrm{s}^2}}\left({\displaystyle \frac{dR_\mathrm{s}}{dt}}\right)^2\right].`$ (5)
This equation has the power law solution

$$R_\mathrm{s}(t)=\left[\frac{8\pi \rho _ot_o^3V_o^nu_\mathrm{w}}{(n4)(n3)\dot{M}}\right]^{1/(n2)}t^{(n3)/(n2)}.$$
(6)
The form of this similarity solution can be written down directly by dimensional analysis from the only two independent quantities available, $`\rho _ot_o^3V_o^n`$ and $`\dot{M}/u_\mathrm{w}`$. The solution applies after a few expansion times, when the initial radius has been ‘forgotten.’ The requirement of a finite energy in the flow implies $`n>5`$. More accurate similarity solutions, taking the structure within the shell into account, are given in C82a ; N85 . In general, these solutions differ by less than $`30\%`$ from the thin shell approximation.

The maximum ejecta velocity close to the reverse shock depends on time as $`V=R_\mathrm{s}/tt^{1/(n2)}`$. The velocity of the circumstellar shock, $`dR_\mathrm{s}/dt`$, in terms of $`V`$ is $`V_\mathrm{s}=V(n3)/(n2)`$ and the reverse shock velocity, $`V_{\mathrm{rev}}=VV_\mathrm{s}=V/(n2)`$. Assuming cosmic abundances and equipartition between ions and electrons, the temperature of the shocked circumstellar gas is

$$T_{\mathrm{cs}}=1.36\times 10^9\left(\frac{n3}{n2}\right)^2\left(\frac{V}{10^4\mathrm{km}\mathrm{s}^1}\right)^2\mathrm{K}$$
(7)
and at the reverse shock

$$T_{\mathrm{rev}}=\frac{T_{\mathrm{cs}}}{(n3)^2}.$$
(8)
The time scale for equipartition between electrons and ions is

$$t_{\mathrm{eq}}2.5\times 10^7\left(\frac{T_\mathrm{e}}{10^9\mathrm{K}}\right)^{1.5}\left(\frac{n_\mathrm{e}}{10^7\mathrm{cm}^3}\right)^1\mathrm{s}.$$
(9)
One finds that the reverse shock is marginally in equipartition, unless the temperature is $`\stackrel{}{\stackrel{>}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}5}\times 10^8`$ K. The ion temperature behind the circumstellar shock is $`\stackrel{}{\stackrel{>}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}6}\times 10^9`$ K for $`V_4\stackrel{}{\stackrel{>}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}1.5}`$, and the density a factor $`\stackrel{}{\stackrel{>}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}4}`$ lower than behind the reverse shock. Ion-electron collisions are therefore ineffective, and $`T_\mathrm{e}<<T_{\mathrm{ion}}`$, unless efficient plasma instabilities heat the electrons collisionlessly (fig. 1).

For typical parameters, the electron temperatures of the two shocks are very different, $`(13)\times 10^9\mathrm{K}`$ for the circumstellar shock and $`10^75\times 10^8\mathrm{K}`$ for the reverse shock, depending on $`n`$. The radiation from the reverse shock is mainly below $`20`$ keV, while that from the circumstellar shock is above $`50\mathrm{keV}`$.

The density behind the reverse shock is

$$\rho _{\mathrm{rev}}=\frac{(n4)(n3)}{2}\rho _{\mathrm{cs}}$$
(10)
and is much higher than behind the circumstellar shock for $`n\stackrel{}{\stackrel{>}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}7}`$. There is a drop in density across the contact discontinuity, moving from the shocked ejecta to the circumstellar medium (see fig. 1). The fact that low density gas is decelerating higher density gas leads to a Rayleigh-Taylor instability. Chevalier, Blondin & Emmering CBE92  have calculated the structure using a two-dimensional PPM (piecewise parabolic method) hydrodynamic code. They indeed find that instabilities develop, with dense, shocked ejecta gas penetrating into the hotter, low density shocked circumstellar gas (fig. 2). The instability mainly distorts the contact surface, and does not seriously affect the general dynamics. The calculation assumed that cooling is not important. If the gas at the reverse shock cools efficiently, the extent of the instability is similar, although the Rayleigh-Taylor fingers are narrower CB95 .

In view of the evidence for dense equatorial winds from red supergiant stars, Blondin, Lundqvist, & Chevalier BLC96  simulated the interaction of a supernova with such a wind. They found that for relatively small values of the angular density gradient, the asymmetry in the interaction shell is greater than, but close to, that expected from purely radial motion. If there is an especially low density close to the pole, the flow qualitatively changes and a protrusion emerges along the axis, extending to $`24`$ times the radius of the main shell. Protrusions have been observed in the probable supernova remnant 41.9+58 in M82, although the nature of the explosion is not clear in this case Mc01 .

In addition to asymmetric winds, there is evidence for supernova shock waves interacting with clumps of gas in the wind, as have been observed in some red supergiant winds (section 3). In some cases the clumps can be observed by their very narrow lines in supernova spectra, as in Type IIn supernovae. The velocity of a shock wave driven into a clump, $`v_c`$, can be estimated by approximate pressure balance $`v_cv_s(\rho _s/\rho _c)^{1/2}`$, where $`v_s`$ is the shock velocity in the smooth wind with density $`\rho _s`$ and $`\rho _c`$ is the clump density. The lower shock velocity and higher density can lead to radiative cooling of the clump shock although the main shock is non-radiative. Optical line emission of intermediate velocity observed in Type IIn (narrow line) supernovae like SN 1978K, SN 1988Z, and SN 1995N can be explained in this way CD94 ; CDD95 ; Fe01 .

The presence of many clumps can affect the hydrodynamics of the interaction. Jun, Jones, & Norman JJN96  found that propagation in a region with clumps gives rise to widespread turbulence in the shocked region between the forward shock and the reverse shock, whereas the turbulence is confined to a region near the reverse shock for the non-clump case (fig. 2). Their simulations are for interaction with a constant density medium, but the same probably holds true for interaction with a circumstellar wind.

## 5 Emission from the hot gas

During the first month, radiation from the supernova photosphere is strong enough for Compton scattering to be the main cooling process for the circumstellar shock. The photospheric photons have energies $`3kT_{eff}110`$ eV. The optical depth to electron scattering behind the circumstellar shock is

$$\tau _\mathrm{e}=0.18\dot{M}_5u_{\mathrm{w1}}^1V_4^1t_{\mathrm{days}}^1.$$
(11)
A fraction $`\tau _\mathrm{e}^N`$ of the photospheric photons will scatter $`N`$ times in the hot gas. In each scattering the photon increases its energy by a factor $`\mathrm{\Delta }\nu /\nu 4kT_\mathrm{e}/m_\mathrm{e}c^2\stackrel{}{\stackrel{>}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}1}`$. The multiple scattering creates a power law continuum that may reach as far up in energy as the X-ray regime. If relativistic effects can be ignored ($`T_\mathrm{e}\stackrel{}{\stackrel{<}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}10}^9\mathrm{K}`$), the spectral index is F82

$$\alpha =\left\{\frac{9}{4}\frac{m_\mathrm{e}c^2}{kT_\mathrm{e}}\mathrm{ln}[\frac{\tau _\mathrm{e}}{2}(0.9228\mathrm{ln}\tau _\mathrm{e})]\right\}^{1/2}\frac{3}{2}.$$
(12)
Typically, $`1\stackrel{}{\stackrel{<}{}}\alpha \stackrel{}{\stackrel{<}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}3}`$. This type of emission may have been observed in the ultraviolet emission from SN 1979C Pe80 ; F82 . For $`T_\mathrm{e}\stackrel{}{\stackrel{>}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}10}^9\mathrm{K}`$ relativistic effects become important and considerably increase the cooling LF88 .

One can estimate the free-free luminosity from the circumstellar and reverse shocks from

$$L_\mathrm{i}=4\pi \mathrm{\Lambda }_{\mathrm{ff}}(T_\mathrm{e})n_\mathrm{e}^2r^2𝑑r\mathrm{\Lambda }_{\mathrm{ff}}(T_\mathrm{i})\frac{M_\mathrm{i}\rho _\mathrm{i}}{(\mu _\mathrm{e}m_H)^2}.$$
(13)
where the index $`i`$ refers to quantities connected either with the reverse shock or circumstellar shock. The density behind the circumstellar shock is $`\rho _{\mathrm{cs}}=4\rho _0=\dot{M}/(\pi u_\mathrm{w}R_\mathrm{s}^2)`$. The swept up mass behind the circumstellar shock is $`M_{\mathrm{cs}}=\dot{M}R_\mathrm{s}/u_\mathrm{w}`$ and that behind the reverse shock $`M_{\mathrm{rev}}=(n4)M_{\mathrm{cs}}/2`$. With $`\mathrm{\Lambda }_{\mathrm{ff}}=2.4\times 10^{27}\overline{g}_{\mathrm{ff}}T_\mathrm{e}^{0.5}`$, we get

$$L_\mathrm{i}3.0\times 10^{39}\overline{g}_{\mathrm{ff}}C_\mathrm{n}\left(\frac{\dot{M}_5}{u_{\mathrm{w1}}}\right)^2\left(\frac{t}{10\mathrm{days}}\right)^1\mathrm{erg}\mathrm{s}^1,$$
(14)
where $`\overline{g}_{\mathrm{ff}}`$ is the free-free Gaunt factor, including relativistic effects. For the reverse shock $`C_\mathrm{n}=(n3)(n4)^2/4(n2)`$, and for the circumstellar shock $`C_\mathrm{n}=1`$. This assumes electron-ion equipartition, which is highly questionable for the circumstellar shock (see fig. 1). Because of occultation by the ejecta only half of the above luminosity escapes outward.

At $`T_\mathrm{e}\stackrel{}{\stackrel{<}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}2}\times 10^7\mathrm{K}`$, line emission increases the cooling rate and $`\mathrm{\Lambda }3.4\times 10^{23}T_{e7}^{0.67}\mathrm{erg}\mathrm{s}^1\mathrm{cm}^3`$. If the temperature of the reverse shock falls below $`2\times 10^7`$ K, a thermal instability may occur and the gas cools to $`\stackrel{}{\stackrel{<}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}10}^4\mathrm{K}`$, where photoelectric heating from the shocks balances the cooling. Using $`t_{\mathrm{cool}}=3kT_\mathrm{e}/\mathrm{\Lambda }`$, one obtains for the cooling time

$$t_{\mathrm{cool}}=\frac{605}{(n3)(n4)(n2)^{3.34}}\left(\frac{V_{\mathrm{ej}}}{10^4\mathrm{km}\mathrm{s}^1}\right)^{5.34}\left(\frac{\dot{M}_5}{u_{w1}}\right)^1\left(\frac{t}{\mathrm{days}}\right)^2\mathrm{days},$$
(15)
assuming solar abundances FLC96 . From this expression it is clear that the cooling time is very sensitive to the density gradient, as well as the shock velocity and mass loss rate. SNe with high mass loss rates, like SN 1993J, generally have radiative reverse shocks for $`\stackrel{}{\stackrel{>}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}100}`$ days, while SNe with lower mass loss rates, like the Type IIP SN 1999em, have adiabatic shocks from early times.

The most important effect of the cooling is that the cool gas may absorb most of the emission from the reverse shock. Therefore, in spite of the higher intrinsic luminosity of the reverse shock, little of this will be directly observable. The column density of the cool gas is given by $`N_{\mathrm{cool}}=M_{\mathrm{rev}}/(4\pi R_\mathrm{s}^2m_p)`$, or

$$N_{\mathrm{cool}}1.0\times 10^{21}(n4)\left(\frac{\dot{M}_5}{u_{\mathrm{w1}}}\right)\left(\frac{V}{10^4\mathrm{km}\mathrm{s}^1}\right)^1\left(\frac{t}{100\mathrm{days}}\right)^1\mathrm{cm}^2.$$
(16)
Because the threshold energy due to photoelectric absorption is related to $`N_{\mathrm{cool}}`$ by $`E(\tau =1)=1.2(N_{\mathrm{cool}}/10^{22}\mathrm{cm}^2)^{3/8}`$ keV, it is clear that the emission from the reverse shock is strongly affected by the cool shell, and a transition from optically thick to optically thin is expected during the first months, or year. As an illustration, we show in figure 3 the calculated X-ray spectrum at 10 days and at 200 days for SN 1993J FLC96 . At early epochs the spectrum is dominated by the very hard spectrum from the circumstellar shock, which reaches out to $`\stackrel{}{\stackrel{>}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}100}`$ keV. At later epochs the soft spectrum from the reverse shock penetrates the cool shell, and the line dominated emission from the cooling gas dominates.

If cooling, the total energy emitted from the reverse shock is

$`L_{\mathrm{rev}}`$ $`=`$ $`4\pi R_\mathrm{s}^2{\displaystyle \frac{1}{2}}\rho _{\mathrm{ej}}V_{\mathrm{rev}}^3={\displaystyle \frac{(n3)(n4)}{4(n2)^3}}{\displaystyle \frac{\dot{M}V^3}{u_\mathrm{w}}}`$ (17)
$`=`$ $`1.6\times 10^{41}{\displaystyle \frac{(n3)(n4)}{(n2)^3}}\dot{M}_5u_{\mathrm{w1}}^1V_4^3\mathrm{erg}\mathrm{s}^1.`$ (18)
For high $`\dot{M}/u_\mathrm{w}`$ the luminosity from the reverse shock may contribute appreciably, or even dominate, the bolometric luminosity.

Because $`Vt^{1/(n2)}`$, $`L_{\mathrm{rev}}t^{3/(n2)}`$ in the cooling case. Although the total luminosity is likely to decrease in the cooling case, the increasing transparency of the cool shell, $`\tau _{\mathrm{cool}}t^1`$, can cause the observed flux in energy bands close to the low energy cutoff, $`E(\tau =1)`$, to increase with time, as was seen, e.g., in SN 1993J (figure 3).

Because of the low temperature the spectrum of the reverse shock is dominated by line emission from metals (fig. 3). An important point is that the observed spectrum is formed in gas with widely different temperatures, varying from the reverse shock temperature to $`10^4`$ K. A spectral analysis based on a one temperature model can be misleading.

Chugai C93  has proposed that the X-ray emission from the Type IIn SN 1986J is the result of the forward shock front moving into clumps, as opposed to the reverse shock emission. One way to distinguish these cases is by the width of line emission; emission from the reverse shock wave is expected to be broad. It has not yet been possible to carry through with this test He98 .

Another way of observing the hot gas is through the emission from collisionally heated dust grains in the gas D87 . Dust formation in the rapidly expanding ejecta is unlikely, so the forward shock front must be considered. Evaporation by the supernova radiation creates a dust-free zone around the supernova (see section 6.3). The time for the supernova shock wave to reach the dust depends on the supernova luminosity and the shock velocity; it is probably at least several years. The infrared luminosity from dust can be up to $`100`$ times the X-ray luminosity of the hot gas for typical parameters, and the dust temperature is a measure of the density of the gas D87 . If the X-ray emission from a supernova like SN 1986J is from circumstellar clumps that are out in the region where dust is present, there is the possibility of a large infrared luminosity.

## 6 Radiative heating and re-emission

### 6.1 Soft X-ray burst and circumstellar gas

The earliest form of circumstellar interaction occurs at shock break-out. As the shock approaches the surface, radiation leaks out on a time scale of less than an hour. The color temperature of the radiation is $`(15)\times 10^5\mathrm{K}`$ and the energy $`(110)\times 10^{48}\mathrm{ergs}`$ KI78 ; F78 ; EB92 ; MM99 . This burst of EUV (extreme ultraviolet) and soft X-rays ionizes and heats the circumstellar medium on a time scale of a few hours. In addition, the momentum of the radiation may accelerate the circumstellar gas to a high velocity. Most of the emission at energies $`\stackrel{}{\stackrel{>}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}100}`$ eV is emitted during the first few hours, and after 24 hours little ionizing energy remains.

The radiative effects of the soft X-ray burst were most clearly seen from the ring of SN 1987A, where a number of narrow emission lines from highly ionized species, like N III-N V, were first seen in the UV F89 ; S9 . Later, a forest of lines came to dominate also the optical spectrum W91 . Imaging with HST (e.g., Je91 ; Be95 ) showed that the lines originated in the now famous circumstellar ring of SN 1987A at a distance of $`200`$ light days from the SN. The presence of highly ionized gas implied that the gas must have been ionized and heated by the radiation at shock break-out. Because of the finite light travel time across the ring, the observed total emission from the ring is a convolution of the emission at different epochs from the various part of the ring. Detailed modeling LF91 ; LF96  shows that while the ionization of the ring occurs on the time scale of the soft X-ray burst, the gas recombines and cools on a time scale of years, explaining the persistence of the emission decades after the explosion. The observed line emission provides sensitive diagnostics of both the properties of the soft X-ray burst, and the density, temperature and abundances of the gas in the ring. In particular, the radiation temperature must have reached $`10^6`$ K, in good agreement with the most detailed recent modeling of the shock break-out B99 . Narrow emission lines are not unique to SN 1987A, but have also been observed for several other SNe, in particular several Type IIn SNe, such as SN 1995N Fe01  and SN 1998S Fe00 .

The soft X-ray burst may also pre-accelerate the gas in front of the shock. In the conservative case that Thompson scattering dominates, the gas immediately in front of the shock will be accelerated to

$$V=1.4\times 10^3\left(\frac{E}{10^{48}\mathrm{ergs}}\right)\left(\frac{V_\mathrm{s}}{1\times 10^4\mathrm{km}\mathrm{s}^1}\right)^2\left(\frac{t}{\mathrm{days}}\right)^2\mathrm{km}\mathrm{s}^1,$$
(19)
where $`E`$ is the total radiative energy in the burst. Line absorption may further boost this F86 . If the gas is pre-accelerated, the line widths are expected to decrease with time. After about one expansion time ($`R_p/V`$) the reverse and circumstellar shocks are fully developed, and the radiation from these will dominate the properties of the circumstellar gas. The fraction of this emission going inward is absorbed by the ejecta and there re-emitted as optical and UV radiation F82 ; F84 .

The X-ray emission from the shocks ionizes and heats both the circumstellar medium and the SN ejecta. Observationally, these components are distinguished easily by the different velocities. The circumstellar component is expected to have velocities typical of the progenitor winds, i.e., $`\stackrel{}{\stackrel{<}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}1000}\mathrm{km}\mathrm{s}^1`$, while the ejecta have considerably higher velocities. The density is likely to be of the order of the wind density $`10^510^7\mathrm{cm}^3`$, or higher if clumping is important. The ionizing X-ray flux depends strongly on how much of the flux from the reverse shock can penetrate the cool shell. The state of ionization in the circumstellar gas is characterized by the value of the ionization parameter, $`\zeta =L_{\mathrm{cs}}/(r^2n)=10^2(L_{\mathrm{cs}}/10^{40}\mathrm{erg}\mathrm{s}^1)(\mathrm{r}/10^{16}\mathrm{cm})^2(\mathrm{n}/10^6\mathrm{cm}^3)^1`$ KMC82 . The comparatively high value of $`\zeta 1010^3`$ explains the presence of narrow coronal lines of \[Fe V-XI\] seen in objects like SN 1995N Fe01 .

### 6.2 SN ejecta

The ingoing X-ray flux from the reverse shock ionizes the outer parts of the ejecta. The state of highest ionization therefore is close to the shock, with a gradually lower degree of ionization inwards. Unless clumping in the ejecta is important, the ejecta density is $`10^610^8\mathrm{cm}^3`$. In the left panel of figure 4 we show temperature and ionization structure of the ejecta, as well as the emissivity of the most important lines. The temperature close to the shock is $`3\times 10^4`$ K. Calculations show that most of the emission here is emitted as UV lines of highly ionized ions, like $`\mathrm{Ly}\alpha `$, C III-IV, N III-V, and O III-VI. Inside the ionized shell there is an extended partially ionized zone, similar to that present in the broad emission line regions of AGN’s. Most of the emission here comes from Balmer lines.

As we have already discussed, the outgoing flux from the reverse shock is to a large extent absorbed by the cool shell between reverse shock and the contact discontinuity if radiative cooling has been important. The whole region behind the reverse shock is in approximate pressure balance, and the density of this gas is therefore be a factor $`4T_{\mathrm{rev}}/T_{\mathrm{cool}}10^310^4`$ higher than that of the ejecta. Because of the high density, the gas is only be partially ionized and the temperature only $`(58)\times 10^3`$ K. Most of the emission comes out as Balmer lines, Mg II and Fe II lines (figure 4, right panel). The thickness of the emitting region is also very small, $`3\times 10^{12}`$ cm. In one dimensional models, the velocity is marginally smaller than the highest ejecta velocities. Instabilities in the shock are, however, likely to erase this difference.

An important diagnostic of the emission from the cool shell and the ejecta is the $`\mathrm{H}\alpha `$ line. This line arises as a result of recombination and collisional excitation. In CF94 , it is shown that $`1\%`$ of the reverse shock luminosity is emitted as $`\mathrm{H}\alpha `$, fairly independent of density and other parameters. Observations of this line permit us to follow the total luminosity from the reverse shock, complementary to the X-ray observations. In SN 1993J, the $`\mathrm{H}\alpha `$ line had the box-like shape that is expected for shocked, cooled ejecta M00a ; M00b . The top of the line showed structure that varied with time; this could be related to hydrodynamic instabilities of the reverse shocked gas.

### 6.3 Interaction with dust

The winds from red supergiant stars are known to contain dust, so that infrared emission from radiatively heated dust and dust scattering of supernova light might be expected. The dust temperature is determined by a balance between radiative heating and emission from the grain surface. If the supernova radiates like a blackbody of temperature $`T_{\mathrm{sn}}`$ and if the dust absorption efficiency varies as $`\lambda ^q`$, the grain temperature is $`T_\mathrm{g}=T_{\mathrm{sn}}W^{1/(4+q)}`$, where $`W`$ is the dilution factor for the supernova radiation D83 . For $`q=1`$, we have

$$T_\mathrm{g}=280\left(\frac{T_{\mathrm{sn}}}{5000\mathrm{K}}\right)^{0.2}\left(\frac{L_{\mathrm{sn}}}{10^{42}\mathrm{ergs}\mathrm{s}^1}\right)^{0.2}\left(\frac{r}{10^{18}\mathrm{cm}}\right)^{0.4}\mathrm{K},$$
(20)
where $`L_{\mathrm{sn}}`$ is the supernova luminosity.

Because typical evaporation temperatures for grain materials are in the range $`10001500`$ K, the dust near the supernova is evaporated. The radius out to which dust is evaporated, $`r_v`$, is probably determined by the luminosity at the time of shock breakout, when $`L_{\mathrm{sn}}`$ can be $`\stackrel{}{\stackrel{>}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}10}^{44}`$ ergs s-1. SN 1979C and SN 1980K were detected as infrared sources, and Dwek D83  estimates $`r_v3\times 10^{17}`$ cm in these cases. The infrared light curve can be calculated from $`T_\mathrm{g}`$, taking into account light travel time effects. If the characteristic time that the supernova is bright is short compared to $`2r_v/c`$, there is a plateau phase until a time $`2r_v/c`$. The infrared flux then drops as $`t^2`$ for a highly extended wind and drops more rapidly if the cutoff in the wind, $`r_w`$, is close to $`r_v`$. For SN 1979C and SN 1980K, Dwek D83  found $`r_w\stackrel{}{\stackrel{<}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}10}^{18}`$ cm. The ratio of the infrared emitted energy to the total emitted energy gives an estimate of the optical depth through the dusty wind. The optical depths for SN 1979C and SN 1980K are $`0.3`$ and 0.03, respectively, leading to minimum shell masses of $`15M_{}`$ and $`0.10.4M_{}`$ for the two supernovae D83 . The corresponding mass loss rates are consistent with those derived from radio observations LF88 . Infrared emission that can be attributed to radiatively heated dust has recently been observed from SN 1998S Fe00 . Infrared dust echoes have the potential to give information on dust composition and distribution D85 ; EC88 , but the observations do not yet exist to address these issues.

The dust grains that give an infrared echo can also give a scattered light echo C86 . The ratio between the total scattered light and the infrared light depends on the albedo of the dust. The light curve decreases with time before $`2r_v/c`$ in this case because of the strong forward scattering of typical grains. Chevalier C86  failed to find good evidence for scattered light echoes from SN 1979C and SN 1980K, although such echoes might have been observable. The implication may be that the dust grains have small albedos. The problem with detecting scattered light echoes is that any echo light may be dominated by light coming directly from the circumstellar interaction. Roscherr & Schaefer RS00  examined the late emission from two Type IIn supernovae and determined that it was due to shock interaction. Because of the ability to spatially resolve the emission in SN 1987A, it has been possible to observe scattered light from the wind interaction nebula CKH95  and possibly a shell at the outer extent of the red supergiant wind CE89 .

## 7 Relativistic Particles

Unambiguous evidence for the presence of relativistic electrons comes from radio observations of SNe. A characteristic is the wavelength-dependent turn-on of the radio emission (SW90 ; chapter by Sramek), first seen at short wavelengths, and later at longer wavelengths. This behavior is interpreted as a result of decreasing absorption due to the expanding emitting region C82b .

Depending on the magnetic field and the density of the circumstellar medium, the absorption may be produced either by free-free absorption in the surrounding thermal gas, or by synchrotron self-absorption by the same electrons that are responsible for the emission. The relativistic electrons are believed to be produced close to the interaction region, which provides an ideal environment for the acceleration of relativistic particles. The details of the acceleration and injection efficiency are still not well understood (see, e.g., DM93  and references therein). Here we just parameterize the injection spectrum with the power law index $`p_\mathrm{i}`$ and an efficiency, $`\eta `$, in terms of the postshock energy density. Without radiation or collisional losses the spectral index of the synchrotron emission will then be $`\alpha =(p1)/2`$, where flux $`\nu ^\alpha `$. Diffusive acceleration predicts that $`p_\mathrm{i}=2`$ in the test particle limit. If the particle acceleration is very efficient and nonlinear effects are important, the electron spectrum can be steeper (e.g., ER91 ).

For free-free absorption, the optical depth $`\tau _{\mathrm{ff}}=_{R_\mathrm{s}}^{\mathrm{}}\kappa _{\mathrm{ff}}n_\mathrm{e}n_\mathrm{i}𝑑r`$ from the radio emitting region close to the shock through the circumstellar medium decreases as the shock wave expands, explaining the radio turn-on. Assuming a fully ionized wind with constant mass loss rate and velocity, so that equation (2) applies, the free-free optical depth at wavelength $`\lambda `$ is

$$\tau _{\mathrm{ff}}(\lambda )7.1\times 10^2\lambda ^2\left(\frac{\dot{M}_5}{u_{w1}}\right)^2T_5^{3/2}V_4^3t_{\mathrm{days}}^3$$
(21)
where $`\dot{M}_5`$ is the mass loss rate in units of $`10^5M_{}\mathrm{yr}^1`$, $`u_{w1}`$ the wind velocity in units of $`10\mathrm{km}\mathrm{s}^1`$, and $`T_5`$ the temperature of the circumstellar gas in $`10^5\mathrm{K}`$. From the radio light curve, or spectrum, the epoch of $`\tau _{\mathrm{ff}}=1`$ can be estimated for a given wavelength, and from the line widths in the optical spectrum the maximum expansion velocity, $`V`$, can be obtained. Because the effects of the radiation from the supernova have to be estimated from models of the circumstellar medium, the temperature in the gas is uncertain. Calculations show that initially the radiation heats the gas to $`T_\mathrm{e}10^5\mathrm{K}`$ LF88 . $`T_\mathrm{e}`$ then decreases with time, and after a year $`T_\mathrm{e}(1.53)\times 10^4\mathrm{K}`$. In addition, the medium may recombine, which further decreases the free-free absorption. From $`t[\tau (\lambda )_{\mathrm{ff}}=1]`$ the ratio $`\dot{M}/u_\mathrm{w}`$ can be calculated. Because $`\dot{M}/u_\mathrm{w}T_\mathrm{e}^{3/4}x_\mathrm{e}^1`$, errors in $`T_\mathrm{e}`$ and $`x_\mathrm{e}`$ may lead to large errors in $`\dot{M}`$. If the medium is clumpy, equation (21) may lead to an overestimate of $`\dot{M}/u_\mathrm{w}`$.

Under special circumstances (see below), synchrotron self-absorption (SSA) by the same relativistic electrons emitting the synchrotron radiation may be important S90 ; C98 ; FB98 . The emissivity of the synchrotron plasma is given by $`j(\lambda )=\mathrm{const}.\lambda ^\alpha B^{1+\alpha }N_{\mathrm{rel}}`$ L92 , while the optical depth to self-absorption is given by

$$\tau _\mathrm{s}=\mathrm{const}.\lambda ^{(5/2)+\alpha }B^{(3/2)+\alpha }N_{\mathrm{rel}}.$$
(22)
Here $`N_{\mathrm{rel}}`$ is the column density of relativistic electrons and $`B`$ the magnetic field. The flux from a disk with radius $`R_\mathrm{s}`$ of relativistic electrons is, including the effect of SSA, given by

$$F_\nu (\lambda )R_\mathrm{s}^2S(\lambda )[1e^{\tau _\mathrm{s}(\lambda )}],$$
(23)
where $`S(\lambda )=j(\lambda )/\kappa (\lambda )=\mathrm{const}.\lambda ^{5/2}B^{1/2}`$ is the source function. In the optically thick limit we therefore have $`F_\nu (\lambda )\mathrm{const}.R_\mathrm{s}^2\lambda ^{5/2}B^{1/2}`$, independent of $`N_{\mathrm{rel}}`$. A fit of this part of the spectrum therefore gives the quantity $`R_\mathrm{s}^2B^{1/2}`$. The break of the spectrum determines the wavelength of optical depth unity, $`\lambda (\tau _\mathrm{s}=1)`$. Equation (22) therefore gives a second condition on $`B^{3/2+\alpha }N_{\mathrm{rel}}`$. If $`R_\mathrm{s}(t)`$ is known in some independent way, one can determine both the magnetic field and the column density of relativistic electrons, independent of assumptions about equipartition, etc. In some cases, most notably for SN 1993J, the shock radius, $`R_\mathrm{s}`$, can be determined directly from VLBI observations. If this is not possible, an alternative is from observations of the maximum ejecta velocity seen in, e.g., the $`\mathrm{H}\alpha `$ line, which should reflect the velocity of the gas close to the shock. Because the SN expands homologously, $`R_\mathrm{s}=V_{\mathrm{max}}t`$. A fit of the spectrum at a given epoch can therefore yield both $`B`$ and $`N_{\mathrm{rel}}`$ independently. From observations at several epochs the evolution of these quantities can then be determined.

Although the injected electron spectrum from the shock is likely to be a power law with $`p_\mathrm{i}2`$ ($`\alpha 0.5`$), the integrated electron spectrum is affected by various loss processes. Most important, the synchrotron cooling time scale of an electron with Lorentz factor $`\gamma `$ is $`t_{\mathrm{syn}}9\times 10^3\gamma ^1B^2`$ days. This especially affects the high energy electrons, steepening the index of the electron spectrum by one unit, $`p=p_\mathrm{i}+13`$ ($`\alpha 1`$). Inverse Compton losses have a similar effect. At low energy, Coulomb losses may be important, causing the electron spectrum to flatten.

The best radio observations of any SN were obtained for SN 1993J. This SN was observed from the very beginning until late epochs with the VLA at wavelengths between 1.3 – 90 cm vD94 , producing a set of beautiful light curves (see also Chapter by Sramek). In addition, the SN was observed with VLBI M95 ; M97 ; B00 , resulting in an impressive sequence of images in which the radio emitting plasma could be directly observed. These images showed a remarkable degree of symmetry and clearly resolved the shell of emitting electrons. The evolution of the radius of the radio emitting shell could be well fitted by $`R_\mathrm{s}t^{0.86}`$, implying a deceleration of the shock front.

From a fit of the observed spectra for the different epochs the magnetic field and number of relativistic electrons could be determined for each epoch, as described above FB98 . In figure 5 we show the evolution of $`B`$ and particle density $`n_{\mathrm{rel}}`$, plotted as a function of the shock radius. The most remarkable thing is the smooth evolution of these quantities, showing that $`B6.4(R_\mathrm{s}/10^{16}\mathrm{cm})^1`$ G, and $`n_{\mathrm{rel}}\rho V^2t^2`$, the thermal energy density behind the shock. The magnetic field is close to equipartition, $`B^2/8\pi 0.14\rho V_\mathrm{s}^2`$, much higher than expected if the circumstellar magnetic field, of the order of a few mG, was just compressed, and strongly argues for field amplification, similar to what has been seen in simulations JN96 . Contrary to earlier, simplified models for SN 1993J based on free-free absorption only FLC96 ; vD94 , the circumstellar density was consistent with $`\rho r^2`$.

In figure 6, we show the excellent fit of the resulting light curves. The high values of $`B`$ implied that synchrotron cooling was important throughout most of the evolution for the electrons responsible for the cm emission, and also for the 21 cm emission before $`100`$ days. At early epochs, Coulomb losses were important for the low energy electrons. The injected electron spectrum was best fitted with $`p_\mathrm{i}=2.1`$.

The form of the light curves can be understood if, for simplicity, we assume equipartition, so that $`B^2/8\pi =\eta \rho V_\mathrm{s}^2`$. With $`\rho (\dot{M}/u)R_\mathrm{s}^2`$ and $`V_\mathrm{s}R_\mathrm{s}/t`$, we find that $`B(\dot{M}/u)^{1/2}t^1`$. The optically thick part is therefore given by

$$F_\nu (\lambda )R_\mathrm{s}^2\lambda ^{5/2}B^{1/2}(\dot{M}/u)^{1/4}\lambda ^{5/2}t^{(5n14)/2(n2)},$$
(24)
since $`R_\mathrm{s}t^{(n3)/(n2)}`$. For large $`n`$, we get $`F_\nu (\lambda )t^{5/2}`$. An additional curvature of the spectrum is produced by free-free absorption in the wind, although this only affects the spectrum at early epochs.

In the optically thin limit, $`F_\nu (\lambda )R_\mathrm{s}^2j(\lambda )R_\mathrm{s}^2\lambda ^\alpha B^{1+\alpha }N_{\mathrm{rel}}`$. If losses are unimportant, $`N_{\mathrm{rel},\mathrm{tot}}=4\pi R_\mathrm{s}^2N_{\mathrm{rel}}`$, the total number of relativistic electron, may either be assumed to be proportional to the total mass, if a fixed fraction of the shocked electrons are accelerated, or be proportional to the swept up thermal energy. In the first case, $`N_{\mathrm{rel},\mathrm{tot}}\dot{M}R_\mathrm{s}/u_w`$, while in the second $`N_{\mathrm{rel},\mathrm{tot}}\dot{M}R_\mathrm{s}V_\mathrm{s}^2/u_w`$, so that in general $`N_{\mathrm{rel},\mathrm{tot}}\dot{M}R_\mathrm{s}V_\mathrm{s}^{2ϵ}/u_w`$, where $`ϵ=0`$ or $`1`$ in these two cases. Therefore, $`F_\nu (\lambda )\dot{M}/uR_\mathrm{s}V_\mathrm{s}^{2ϵ}\lambda ^\alpha B^{1+\alpha }`$. If the B-field is in equipartition, as above, and using $`V=(n3)/(n2)R_\mathrm{s}/tt^{1/(n2)}`$ we find

$$F_\nu (\lambda )(\dot{M}/u_w)^{(3+\alpha )/2}\lambda ^\alpha t^{\alpha (1+2ϵ)/(n2)}.$$
(25)
If synchrotron cooling is important, a similar type of expression can be derived FB98 . The main thing to note is, however, that the optically thin emission is expected to be proportional to the mass loss rate, $`\dot{M}/u_w`$, and that the decline rate depends on whether the number of relativistic particles scale with the number density or the thermal energy of the shocked gas, as well as spectral index. Observations of the decline rate can therefore test these possibilities.

Although a self-consistent model can be developed for SN 1993J and other radio supernovae, the modeling of SN 1986J and related objects has been unclear. Weiler, Panagia, & Sramek WPS90  proposed a model for SN 1986J in which thermal absorbing material is mixed in with the nonthermal emission; one possibility for this is a very irregular shocked emission region. The absorption is described in a parameterized way and is not related to a quantitative supernova model. Chugai & Belous CB99  propose a model in which the absorption is by clumps. The narrow line optical emission implies the presence of clumps, but they are different from those required for the radio absorption. The possible presence of clumps and irregularities introduces uncertainties into models for the radio emission, although rough estimates of the circumstellar density can still be obtained.

The relative importance of SSA and free-free absorption depends on a number of parameters and we refer to C98 ; FB98  for a more detailed discussion. The most important of these are the mass loss rate, $`\dot{M}/u_w`$, the shock velocity, $`V_\mathrm{s}`$, and the circumstellar temperature, $`T_\mathrm{e}`$. In general, a high shock velocity and a high circumstellar temperature favor SSA, while a high mass loss rate favors free-free absorption.

Assuming SSA, an interesting expression for the velocity of the shock can be derived which can be tested against the observations. If we assume equipartition, $`N_{\mathrm{rel}}\rho V_\mathrm{s}^2R_\mathrm{s}`$ and $`B^2/8\pi \rho V_\mathrm{s}^2`$ we have $`N_{\mathrm{rel}}B^2R_\mathrm{s}`$. Using this in equation (22) we get $`\tau _\mathrm{s}=\mathrm{const}\lambda ^{5/2+\alpha }B^{7/2+\alpha }R_\mathrm{s}`$. The peak in the light curve is given by $`\tau _\mathrm{s}1`$. If we approximate the flux at this point by the optically thick expression equation (24) and solve for $`B`$ we get $`BF_\nu (\lambda )^2R_\mathrm{s}^4\lambda ^5`$. Inserting this expression in the condition $`\tau _\mathrm{s}1`$, we find $`R_\mathrm{s}^{15+4\alpha }F_\nu (\lambda )^{72\alpha }\lambda ^{154\alpha }\mathrm{const}`$. With $`V_\mathrm{s}=(n3)/(n2)R_\mathrm{s}/t`$ we finally have

$$V_\mathrm{s}\mathrm{const}F_\nu (\lambda )^{(7+2\alpha )/(15+4\alpha )}\lambda t^1$$
(26)
where all parameters refer to their values at the peak of the light curve. Using this expression, we can plot lines of constant shock velocity into a diagram with peak radio luminosity versus time of peak flux, assuming that SSA dominates (figure 7). The positions of the lines depend only weakly on the equipartition assumption. Each SN can now be placed in this diagram to give a predicted shock velocity. If this is lower than the observed value (as measured by VLBI or from line profiles) SSA gives a too low flux and should therefore be relatively unimportant and free-free absorption instead dominate. In figure 7 we show an updated version of the figure in C98 . The most interesting point is that most Type Ib/Ic SNe, SN 1983N, SN 1994I and SN 1998bw, fall into the high velocity category, while Type IIL SNe, like SN 1979C and SN 1980K, as well as the Type IIn’s SN 1978K, SN 1988Z, SN 1998S fall in the free-free group. SN 1987A is clearly special with its low mass loss rate, but is most likely dominated by SSA SM87 ; S90 ; CD95 . Mrk 297A is an apparent radio supernova in the clumpy, irregular galaxy Mrk 297 Y94 ; its supernova type is not known.

## 8 Discussion and conclusions

Circumstellar interaction of supernovae gives an important window on the nature of stars that explode and their evolution leading up to the explosion. Mass loss rates for the red supergiant progenitors of Type II supernovae range from $`2\times 10^6M_{}\mathrm{yr}^1`$ for SN 1999em Pe01  to $`\stackrel{}{\stackrel{>}{}}\mathrm{\hspace{0.17em}\hspace{0.17em}2}\times 10^4M_{}\mathrm{yr}^1`$ for SN 1979C and SN 1986J LF88 . Evidence for CNO processing has been found in a number of supernovae, including SN 1979C Fe84 , SN 1987A F89  and SN 1995N Fe01 . In some cases, the reverse shock appears to be moving into gas that is H poor and O rich, e.g., SN 1995N Fe01 ; this relates to the total amount of mass loss before the supernova. The complex circumstellar environment of SN 1987A has become clear because of it proximity (see Chapter by McCray). For more distant supernovae, studies of polarization and spectral line profiles can reveal asymmetries, as in SN 1998S Le00 .

The evidence on circumstellar interaction is especially useful when it can be combined with information from other aspects of the supernovae, such as their light curves and stellar environments. For example, from the pre-supernova stellar environment of SN 1999em, Smartt et al. Sme01  deduced an initial mass of $`12\pm 1M_{}`$. The supernova was of the plateau type, implying that hydrogen envelope was largely intact at the time of the supernova. This is consistent with the relatively low rate of mass loss deduced for the supernova progenitor Pe01 .

In addition to information on the evolution of massive stars and their explosions, circumstellar interaction provides an excellent laboratory for the study of shock wave physics. Compared to older supernova remnants, the shock velocities are higher and the time evolution gives an additional dimension for study, although there is little spatial information in most cases. VLBI observations can, however, in this respect be extremely valuable, as demonstrated by SN 1993J. An object where both the spatial and time dimensions are accessible is SN 1987A, which has turned out to be an excellent source for the study of shock waves (see Chapter by McCray).

We are grateful to John Blondin for providing Figure 2 and to Peter Lundqvist for comments on the manuscript. This work was supported in part by NASA grant NAG5-8232 and by the Swedish Research Council.


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# Absorbing phase transition in a conserved lattice gas with random neighbor particle hopping

## References


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# Mixed-Initiative Interaction = Mixed Computation11footnote 1This work is supported in part by US National Science Foundation grants DGE-9553458 and IIS-9876167.

## 1 Introduction

Mixed-initiative interaction \[HM97\] has been studied for the past 30 years in the areas of artificial intelligence planning \[VCP+95\], human-computer interaction \[BWFH92\], and discourse analysis \[Cou77\]. As Novick and Sutton point out \[NS97\], it is ‘one of those things that people think that they can recognize when they see it even if they can’t define it.’ It can be broadly viewed as a flexible interaction strategy between participants where the parties can take turns at any time to change and steer the flow of interaction. Human conversations are typically mixed-initiative and, interestingly, so are interactions with some modern computer systems. Consider the following two dialogs with a telephone pizza delivery service that has voice-recognition capability (the line numbers are provided for ease of reference):

> Dialog 1
>
> | 0 | Caller: | $``$calls Joe’s Pizza on the phone$``$ |
> | --- | --- | --- |
> | 1 | System: | Thank you for calling Joe’s pizza ordering system. |
> | 2 | System: | What size pizza would you like? |
> | 3 | Caller: | I’d like a medium, please. |
> | 4 | System: | What topping would you like on your pizza? |
> | 5 | Caller: | Pepperoni. |
> | 6 | System: | What type of crust do you want? |
> | 7 | Caller: | Uh, deep-dish. |
> | 8 | System: | So that is a medium pepperoni pizza with deep-dish crust. Is this correct? |
> | 9 | Caller: | Yes. |
> | (conversation continues to get delivery and payment information) |

> Dialog 2
>
> | 0 | Caller: | $``$calls Joe’s Pizza on the phone$``$ |
> | --- | --- | --- |
> | 1 | System: | Thank you for calling Joe’s pizza ordering system. |
> | 2 | System: | What size pizza would you like? |
> | 3 | Caller: | I’d like a sausage pizza, please. |
> | 4 | System: | Okay, sausage. |
> | 5 | System: | What size pizza would you like? |
> | 6 | Caller: | Medium. |
> | 7 | System: | What type of crust do you want? |
> | 8 | Caller: | Deep-dish. |
> | 9 | System: | So that is a medium sausage pizza with deep-dish crust. Is this correct? |
> | 10 | Caller: | Yes. |
> | (conversation continues to get delivery and payment information) |

Both these conversations involve the specification of a (size,topping,crust) tuple to complete the pizza ordering procedure but differ in important ways. In the first dialog, the caller responds to the questions in the order they are posed by the system. The system has the initiative at all times (other than, perhaps, on line 0) and such an interaction is thus referred to as system-initiated. In the second dialog, when the system prompts the caller about pizza size, he responds with information about his choice of topping instead (sausage; see line 3 of Dialog 2). Nevertheless, the conversation is not stalled and the system continues with the other aspects of the information gathering activity. In particular, the system registers that the caller has specified a topping, skips its default question on this topic, and repeats its question about the size (see line 5 of Dialog 2). The caller thus gained the initiative for a brief period during the conversation, before returning it to the system. A conversation that ‘mixes’ these modes of interaction in such arbitrary ways is said to be mixed-initiative.

### 1.1 Tiers of Mixed-Initiative Interaction

It is well accepted that mixed-initiative provides a more natural and personalized mode of interaction. A matter of debate, however, are the qualities that an interaction must possess to merit its classification as mixed-initiative \[NS97\]. In fact, determining who has the initiative at a given point in an interaction can itself be a contentious issue! The role of intention in an interaction and the underlying task goals also affect the characterization of initiative. We will not attempt to settle this debate here but a few preliminary observations will be useful.

One of the basic levels of mixed-initiative is referred to as unsolicited reporting in \[AGH99\] and is illustrated in Dialog 2 above. In this facet, a participant provides information out-of-turn (in our case the caller, about his choice of topping). Furthermore, the out-of-turn interaction is not agreed upon in advance by the two participants. Novick and Sutton \[NS97\] stress that the unanticipated nature of out-of-turn interactions is important and that mere turn-taking (perhaps in a hardwired order) does not constitute mixed-initiative. Finally, notice that in Dialog 2 there is a resumption of the original questioning task once processing of the unsolicited response is completed. In other applications, an unsolicited response might shift the control to a new interaction sequence and/or abort the current interaction.

Another level of mixed-initiative involves subdialog invocation; for instance, the computer system might not have understood the user’s response and ask for clarifications (which amounts to it having the initiative). A final, sophisticated, form of mixed-initiative is one where participants negotiate with each other to determine initiative (as opposed to merely ‘taking the initiative’) \[AGH99\]:

> Dialog 3
>
> | (with apologies to O. Henry) |
> | --- |
> | Husband: | Della, Something interesting happened today that I want to tell you. |
> | Wife: | I too have something exciting to tell you, Jim. |
> | Husband: | Do you want to go first or shall I tell you my story? |

In addition to models that characterize initiative, there are models for designing dialog-based interaction systems. Allen et al. \[ABD+01\] provide a taxonomy of such software models — finite-state machines, slot-and-filler structures, frame-based methods, and more sophisticated models involving planning, agent-based programming, and exploiting contextual information. While mixed-initiative interaction can be studied in any of these models, it is beyond the scope of this paper to address all or even a majority of them.

Instead, we concentrate on the view of (i) a dialog as a task-oriented information assessment activity requiring the filling of a set of slots, (ii) where one of the participants in the dialog is a computer system and the other is a human, and (iii) where mixed-initiative arises from unsolicited reporting (by the human), involving out-of-turn interactions. This characterization includes many voice-based interfaces to information (our pizza ordering dialog is an example) and web sites modeling interaction by hyperlinks \[RP01\]. In Section 2, we show that partial evaluation can be usefully viewed as a programming model for such applications. Section 3 presents three different voice-based interaction technologies and analyzes them in terms of their native support for mixing initiative. Finally, Section 4 discusses other facets of mixed-initiative and mentions other software models to which our approach can be extended.

## 2 Programming a Mixed-Initiative Application

Before we outline the design of a system such as Joe’s Pizza, we introduce a notation \[Lev83, Gof76\] that captures basic elements of initiative and response in an interaction sequence. The notation expresses the local organization of a dialog \[PQn96, PQnS96\] as adjacency pairs; for instance, Dialog 1 is represented as:

| (Ic | Rs) | (Is | Rc) | (Is | Rc) | (Is | Rc) | (Is | Rc) |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 0 | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 |

The line numbers given below the interaction sequence refer to the utterance numbers in the dialog presented in Section 1. The letter I denotes who has the initiative — caller (c) or the system (s) — and the letter R denotes who provides the response. It is easy to see from this notation that Dialog 1 consists of five turns and that the system has the initiative for the last four turns. The initial turn is modeled as the caller having the initiative because he or she chose to place the phone call in the first place. The system quickly takes the initiative after playing a greeting to the caller (which is modeled here as the response to the caller’s call). The subsequent four interactions then address three questions and a confirmation, all involving the system retaining the initiative (Is) and the caller in the responding mode (Rc). Likewise, the mixed-initiative interaction in Dialog 2 is represented as:

| (Ic | Rs) | (Is | (Ic | Rs) | Rc) | (Is | Rc) | (Is | Rc) |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 0 | 1 | 2,5 | 3 | 4 | 6 | 7 | 8 | 9 10 |

In this case, the system takes the initiative in utterance 2 but instead of responding to the question of size in utterance 3, the caller takes the initiative, causing an ‘insertion’ to occur in the interaction sequence (dialog) \[Lev83\]. The system responds with an acknowledgement (‘Okay, sausage.’) in utterance 4. This is represented as the nested pair (Ic Rs) above. The system then re-focuses the dialog on the question of pizza size in utterance 5 (thus retaking the initiative). In utterance 6 the caller responds with the desired size (medium) and the interaction proceeds as before, from this point.

The notation is useful to describe the space of possible interactions that are to be supported. For instance, utterances 0 and 1 have to proceed in order. Utterances dealing with selection of (size,topping,crust) can then be nested in any order and provide interesting opportunities for mixing initiative. For instance, if a user is a frequent customer of Joe’s Pizza, he might take the initiative and specify all three pizza attributes on the first available prompt:

> Dialog 4
>
> | 0 | Caller: | $``$calls Joe’s Pizza on the phone$``$ |
> | --- | --- | --- |
> | 1 | System: | Thank you for calling Joe’s pizza ordering system. |
> | 2 | System: | What size pizza would you like? |
> | 3 | Caller: | I’d like a sausage pizza, medium, and deep-dish. |
> | (conversation continues with confirmation of order) |

Finally, the utterances dealing with confirmation of the user’s request can proceed only after choices of all three pizza attributes have been made. There are 13 possible interaction sequences (discounting permutations of attributes specified in a given utterance) — 1 possibility of specifying everything in one utterance, 6 possibilities of specification in two utterances, and 6 possibilities of specification in three utterances. If we include permutations, there are 24 possibilities (our calculations do not consider situations where, for instance, the system doesn’t recognize the user’s input and reprompts for information).

Many programming models view mixed-initiative sequences as requiring some special attention to be accommodated. In particular, they rely on recognizing when a user has provided unsolicited input222We use the term ‘unsolicited input’ here to refer to expected but out-of-turn inputs as opposed to completely unexpected (or out-of-vocabulary) inputs. and qualify a shift-in-initiative as a ‘transfer of control.’ This implies that the mechanisms that handle out-of-turn interactions are often different from those that realize purely system-directed interactions. Fig. 1 (left) describes a typical software design. A dialog manager is in charge of prompting the user for input, queueing messages onto an output medium, event processing, and managing the overall flow of interaction. One of its inputs is a dialog script that contains a specification of interaction and a set of slots that are to be filled. In our pizza example, slots correspond to placeholders for values of size, topping, and crust. An interpreter determines the first unfilled slot to be visited and presents any prompts for soliciting user input. A responsive input requires mere slot filling whereas unsolicited inputs would require out-of-turn processing (involving a combination of slot filling and simplification). In turn, this causes a revision of the dialog script. The interpreter terminates when there is nothing left to process in the script. While typical dialog managers perform miscellaneous functions such as error control, transferring to other scripts, and accessing scripts from a database, the architecture in Fig. 1 (left) focuses on the aspects most relevant to our presentation.

Our approach, on the other hand, is to think of a mixed-initiative dialog as a program, all of whose arguments are passed by reference and which correspond to the slots comprising information assessment. As usual, an interpreter in the dialog manager queues up any applicable prompts to an output medium. Both responsive and unsolicited inputs by a user now correspond (uniformly) to values for arguments; they are processed by partially evaluating the program with respect to these inputs. The result of partial evaluation is another dialog (simplified as a result of user input) which is handed back to the interpreter. This novel design is depicted in Fig. 1 (right) and a dialog script represented in a programmatic notation is given in Fig. 2. Partial evaluation of Fig. 2 with respect to user input will remove the conditionals for all slots that are filled by the utterance (global variables are assumed to be under the purview of the interpreter). The reader can verify that a sequence of such partial evaluations will indeed mimic the interaction sequence depicted in Dialog 2 (and any of the other mixed-initiative sequences).

Partial evaluation serves two critical uses in our design. The first is obvious, namely the processing of out-of-turn interactions (and any appropriate simplifications to the dialog script). The more subtle advantage of partial evaluation is its support for staging mixed-initiative interactions. The mix-equation \[Jon96, JGS93\] holds for every possible way of splitting inputs into two categories, without enumerating and ‘trapping’ the ways in which the computations can be staged. For instance, the nested pair in Dialog 2 is supported as a natural consequence of our design, not by anticipating and reacting to an out-of-turn input.

Another way to characterize the system designs in Fig. 1 is to say that Fig. 1 (left) makes a distinction of responsive versus unsolicited inputs, whereas Fig. 1 (right) makes a more fundamental distinction of fixed-initiative (interpretation) versus mixed-initiative (partial evaluation). In other words, Fig. 1 (right) carves up an interaction sequence into (i) turns that are to be handled in the order they are modeled (by an interpreter), and (ii) turns that can involve mixing of initiative (handled by a partial evaluator). In the latter case, the computations are actually used as a representation of interactions. Since only mixed-initiative interactions involve multiple staging options and since these are handled by the partial evaluator, our design requires the least amount of specification (to support all interaction sequences). For instance, the script in Fig. 2 models the parts that involve mixing of initiative and helps realize all of the 13 possible interaction sequences. At the same time it does not model the confirmation sequence of Dialog 2 because the caller cannot confirm his order before selecting the three pizza attributes! This turn should be handled by straightforward interpretation.

To the best of our knowledge, such a model of partial evaluation for mixed-initiative interaction has not been proposed before. An extensive literature search has revealed no related prior work. While computational models for mixed-initiative interaction remain an active area of research \[HM97\], such work is characterized by keywords such as ‘controlling mixed-initiative interaction,’ ‘knowledge representation and reasoning strategies,’ and ‘multi-agent co-ordination.’ There are even projects that talk about ‘integrating’ mixed-initiative interaction and partial evaluation to realize an architecture for planning and learning \[VCP+95\]. We are optimistic that our work has the same historical significance as the relation between explanation-based generalization (a learning technique in AI) and partial evaluation established by van Haremelen and Bundy in 1988 \[vHB88\].

## 3 Software Technologies for Voice-Based Mixed-Initiative Applications

One of the main contributions of our model is that it characterizes the minimum amount of information needed to program a mixed-initiative interaction sequence. Once a programmer supplies a script such as Fig. 2 mixed-initiative interaction is obtained, quite literally, ‘for free.’ This means that we can use the design in Fig. 1 (right) as a benchmark to compare and contrast the amount of specification required in other approaches.

As indicated in Section 1.1, our model is applicable to voice-based interaction technologies as well as web access via hyperlinks. We concentrate on voice-based applications since interaction with web sites is addressed in a related paper \[RP01\] and because the design constraints in voice-based applications pose interesting considerations for our model. In addition, a variety of commercial technologies are available for voice-based applications (in contrast to web sites) that will aid in comparative assessment.

### 3.1 Basic Principles of Voice-Based Interaction

Before we can study the programming of mixed-initiative in a voice-based application, it will be helpful to understand the basic architecture (see Fig. 3) of a spoken language processing system. As a user speaks into the system, the sounds produced are captured by a microphone and converted into a digital signal by an analog-to-digital converter. In telephone-based systems (the VoiceXML architecture covered later in the paper is geared toward this mode), the microphone is part of the telephone handset and the analog-to-digital conversion is typically done by equipment in the telephone network (in some cellular telephony models, the conversion would be performed in the handset itself).

The next stage (feature extraction) prepares the digital speech signal to be processed by the speech recognizer. Features of the signal important for speech recognition are extracted from the original signal, organized as an attribute vector, and passed to the recognizer.

Most modern speech recognizers use Hidden Markov Models (HMMs) and associated algorithms to represent, train, and recognize speech. HMMs are probabilistic models that must be trained on an input set of data. A common technique is to create sets of acoustic HMMs that model phonetic units of speech in context. These models are created from a training set of speech data that is (hopefully) representative of the population of users who will use the system. A language model is also created prior to performing recognition. The language model is typically used to specify valid combinations of the HMMs at a word- or sentence-level. In this way, the language model specifies the words, phrases, and sentences that the recognizer can attempt to recognize. The process of recognizing a new input speech signal is then accomplished using efficient search algorithms (such as Viterbi decoding) to find the best matching HMMs, given the constraints of the language model. The output of the speech recognizer can take several different forms, but the basic result is a text string that is the recognizer’s best guess of what the user said. Many recognizers can provide additional information such as a lattice of results, or an N-best ranked list of results (in case the later stages of processing wish to reject the recognizer’s top choice). A good introduction to speech recognition is available in \[JM00\].

The stages after speech recognition vary depending on the application and the types of processing required. Fig. 3 presents two additional phases that are commonly included in spoken language processing systems in one form or another. We will broadly refer to the first post-recognition stage as natural language processing (NLP). NLP is a large field in its own right and includes many sub-areas such as parsing, semantic interpretation, knowledge representation, and speech acts; an excellent introduction is available in Allen’s classic \[All95\]. Our presentation in this paper has assumed NLP support for slot-filling (i.e., determining values for slot variables from user input).

This is commonly achieved by defining parts of a language model and associating them with slots. The language model could take two major forms — context-free grammars and statistical-based (such as n-grams). Here we focus on the former: in this approach, slots can be specified within the productions of a context-free grammar (akin to a attribute grammar) or they can be associated with the non-terminals in the grammar.

We will refer to the next phase of processing as simply ‘dialog management’ (see Fig. 3). In this phase, augmented results from the NLP stage are incorporated into the dialog and any associated logic of the application is executed. The job of the dialog manager is to track the proceedings of the dialog and to generate appropriate responses. This is often done within some logical processing framework and a dialog model (in our case, a dialog script) is supplied as input that is specific to the particular application being designed. The execution of the logic on the dialog model (script) results in a response that can be presented back to the user. Sometimes response generation is separated out into a subsequent stage.

### 3.2 The VoiceXML Dialog Management Architecture

There are many technologies and delivery mechanisms available for implementing Fig. 3’s basic components. A popular implementation can be seen in the VoiceXML dialog management architecture. VoiceXML is a markup language designed to simplify the construction of voice-response applications \[voi00\]. Initiated by a committee comprising AT&T, IBM, Lucent Technologies, and Motorola, it has emerged as a standard in telephone-based voice user interfaces and in delivering web content via voice. We will hence cover this architecture in detail.

The basic idea is to describe interaction sequences using a markup notation in a VoiceXML document. As the VoiceXML specification \[voi00\] indicates, a VoiceXML document constitutes a conversational finite state machine and describes a sequence of interactions (both fixed- and mixed-initiative are supported). A web server can serve VoiceXML documents using the HTTP protocol (Fig. 4 (right)), just as easily as HTML documents are currently served over the Internet (Fig. 4 (left)). In addition, voice-based applications require a suitable delivery platform, illustrated by a telephone in Fig. 4 (right). The voice-browser platform in Fig. 4 (right) includes the VoiceXML interpreter which processes the documents, monitors user inputs, streams messages, and performs other functions expected of a dialog management system. Besides the VoiceXML interpreter, the voice-browser platform includes speech recognizers, speech synthesizers, and telephony interfaces to help realize important aspects of voice-based interaction.

Dialog specification in a VoiceXML document involves organizing a sequence of forms and menus. Forms specify a set of slots (called field item variables) that are to be filled by user input. Menus are syntactic shorthands (much like a case construct); since they involve only one field item variable (argument), there are no opportunities for mixing initiative. We do not discuss menus further in this paper. An example VoiceXML document for our pizza application is given in Fig. 5.

As shown in Fig. 5, the pizza dialog consists of two forms. The first form (welcome) merely welcomes the user and transitions to the second. The place\_order form involves four fields (slot variables) — the first three cover the pizza attributes and the fourth models the confirmation variable (recall the dialogs in Section 1). In particular, prompts for soliciting user input in each of the fields are specified in Fig. 5.

Interactions in a VoiceXML application proceed just like a web application except instead of clicking on a hyperlink (to goto a new state), the user talks into a microphone. The VoiceXML interpreter then determines the next state to transition to. Any appropriate responses (to user input) and prompts are delivered over a speaker. The core of the interpreter is a so-called form interpretation algorithm (FIA) that drives the interaction. In Fig. 5, the fields provide for a fixed-initiative, system-directed interaction. The FIA simply visits all fields in the order they are presented in the document. Once all fields are filled, a check is made to ensure that the confirmation was successful; if not, the fields are cleared (notice the clear namelist tag) and the FIA will proceed to prompt for the inputs again, starting from the first unfilled field — size.

The form in Fig. 5 is referred to as a directed one since the computer has the initiative at all times and the fields are filled in a strictly sequential order. To make the interaction mixed-initiative (with respect to size, crust, and topping), the programmer merely has to specify a so-called form-level grammar that describes possibilities for slot-filling from a user utterance. An example form-level grammar file (sizetoppingcrust.gram) that covers all possibilities is given in Fig. 6. The grammar is associated with the dialog script by including the line:

```
    <grammar src="sizetoppingcrust.gram" type="application/x-jsgf"/>

```

just before the definition of the first field (size) in Fig. 5.

The form-level grammar contains productions for the various choices available for size, topping, and crust and also qualifies all possible parses for a given utterance (modeled by the non-terminal sizetoppingcrust). Any valid combination of the three pizza aspects uttered by the user (in any order) is recognized and the appropriate slot variables are instantiated. To see why this also achieves mixed-initiative, let us consider the FIA in more detail.

Fig. 7 only reproduces the salient aspects of the FIA relevant for our discussion. Compare the basic elements of the FIA to the stages in Fig. 1 (right). The Select phase corresponds to the interpreter, the Collect phase gathers the user input, and actions taken in the Process phase mimic the partial evaluator. Recall that ‘programs’ (scripts) in VoiceXML can be modeled by finite-state machines, hence the mechanics of partial evaluation are considerably simplified and just amount to filling the slot and removing it from further consideration. Since the FIA repeatedly executes till there are no remaining form items, the processing phase (Process) is effectively parameterized by the form-level grammar file in Fig. 6. In other words, the form-level grammar file not only enables slot filling, it also implicitly directs the staging of interactions for mixed-initiative. When the user specifies ‘peperroni medium’ in an utterace, not only does the grammar file enable the recognition of the slots they correspond to (topping and size), it also directs the FIA to simplify these slots (and remove them in any subsequent interaction).

The form-level grammar file shown in Fig. 6 (which is also a specification of interaction staging) may make VoiceXML’s design appear overly complex. In reality, however, we could have used the vanilla form-level grammar file in Fig. 8. While helping to realize mixed-initiative with Fig. 5, the new form-level file (as does our model) also allows the possibility of utterances such as ‘pepperoni pepperoni,’ or even, ‘pepperoni sausage!’ Suitable semantics for such situations (including the role of side-effects) can be defined and accommodated in both the VoiceXML model and ours. It should thus be obvious to the reader that VoiceXML’s dialog management architecture is actually implementing a mixed evaluation model (for conversational finite state machines), comprising interpretation and partial evaluation.

The VoiceXML specification \[voi00\] refers to the form-level file as merely a ‘grammar file,’ when it is actually also a specification of staging. Even though the grammar file serves the role of a language model in a voice application, we believe that separating its two functionalities is important in understanding mixed-initiative system design. A case in point is our study of personalizing interaction with web sites \[RP01\]. There is no requirement for a ‘grammar file,’ as there is usually no ambiguity about user clicks and typed-in keywords. In this context, the functionality provided by our model is actually unmatched by any existing web-based interaction system (as web interfaces are not typically designed for mixing initiative). A way to incorporate mixed-initiative interaction into an existing interaction at a web site is described in \[RP01\].

### 3.3 Other Implementation Technologies

VoiceXML’s FIA thus includes native support for slot filling, slot simplification, and interaction staging. All of these are functions enabled by partial evaluation in our model. Table 1 contrasts two other implementation approaches in terms of these aspects. In a purely slot-filling system, native support is provided for simplifying slots from user utterances but extra code needs to be written to model the control logic (for instance, ‘the user still didn’t specify his choice of size, so the question for size should be repeated.’). Several commercial speech recognition vendors provide APIs that operate at this level. In addition, many vendors support low-level APIs that provide basic access to recognition results (i.e., text strings) but do not perform any additional processing. We refer to these as recognizer-only APIs. They serve more as raw speech recognition engines and require significant programming to first implement a slot-filling engine and, later, control logic to mimic all possible opportunities for staging. Examples of the two latter technologies can be seen in the commercial spoken dialog systems market (from companies such as Nuance, IBM, and AT&T). The study presented in this paper suggests a systematic way by which their capabilities for mixed-initiative interaction can be assessed.

## 4 Discussion

Our work makes contributions to both partial evaluation and mixed-initiative interaction. For the partial evaluation community, we have identified a novel application where the motivation is the staging of interaction (rather than speedup). Since programs (dialogs) are used as specifications of interaction, they are written to be partially evaluated; partial evaluation is hence not an ‘afterthought’ or an optimization. A program can thus be thought of as a compaction of all possible interaction sequences that involve mixing initiative. An interesting research issue is: Given (i) a set of interaction sequences, and (ii) addressable information (such as arguments and slot variables), determine (iii) the smallest program so that every interaction sequence can be staged in the model of Fig. 1 (right). This requires algorithms to automatically decompose parts of interaction sequences into those that are best addressed in the interpreter and those that can benefit from representation and specialization by the partial evaluator.

For mixed-initiative interaction, we have presented a programming model that accommodates all possibilities of staging, without explicit enumeration. The model makes a distinction between fixed-initiative (and which has to be explicitly programmed) and mixed-initiative (specifications of which can be elegantly compressed for subsequent partial evaluation). We have identified instantiations of this model in VoiceXML and slot-filling APIs. We hope this observation will help system designers gain additional insight into voice application design strategies.

It should be recalled that there are various facets of mixed-initiative that are not addressed in this paper. Extending our programming model to cover these facets is an immediate direction of future research. For example, VoiceXML’s design currently supports dialogs such as the following:

> Dialog 5
>
> | 1 | System: | Thank you for calling Joe’s pizza ordering system. |
> | --- | --- | --- |
> | 2 | System: | What size pizza would you like? |
> | 3 | Caller 1: | What sizes do you have? |
> | 3 | Caller 2: | Err.. Why don’t you ask me the questions in topping-crust-size order? |

Caller 1’s request, while demonstrating initiative, implies a dialog with an optional stage (which cannot be modeled by partial evaluation). Such a situation has to be trapped by the interpreter, not by partial evaluation. Caller 2 does specify a staging, but his staging poses constraints on the computer’s initiative, not his own. Such a ‘meta-dialog’ facet \[BWFH92\] requires the ability to jump out of the current dialog; VoiceXML provides many elements for describing such transitions.

VoiceXML also provides certain ‘impure’ features and side-effects in its programming model. For instance, after selecting a size (say, medium), the caller could retake the initiative in a different part of the dialog and select a size again (this time, large). This will cause the new value to over-ride any existing value in the size slot (see Fig. 7). In our model, this implies the dynamic substitution of an earlier, ‘evaluated out,’ stage with a functional equivalent. Obviously, the dialog manager has to maintain some state (across partial evaluations) to accomplish this feature. We plan to investigate programming models suitable for these aspects. In addition, we plan to extend our software model beyond slot-and-filler structures, to include reasoning and exploiting context.

Our long-term goal is to characterize mixed-initiative facets, not in terms of initiative, interaction, or task models but in terms of the opportunities for staging and the program transformation techniques that can support such staging. This means that we can establish a taxonomy of mixed-initiative facets based on the transformation techniques (e.g., partial evaluation, slicing) needed to realize them. Such a taxonomy would also help connect the facets to design models for interactive software systems.