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# Neutrino Factory Designs and R&D

## 1 Introduction

The development of a very intense muon source capable of producing a millimole of muons per year would enable a Neutrino Factory , and perhaps eventually a Muon Collider , to be built. In the last two years Neutrino Factory physics studies  have mapped out an exciting Neutrino Factory physics program. In addition, Neutrino Factory feasibility studies  have yielded designs that appear to be “realistic” provided the performance parameters for the critical components can be achieved. Some of the key components will need a vigorous R&D program to meet the requirements. Neutrino Factory R&D activities in Europe , Japan , and the US  have resulted in three promising variants of the basic Neutrino Factory design. In the following the various Neutrino Factory schemes are briefly described. The main R&D issues and the ongoing R&D programs are summarized.

## 2 Neutrino Factory Schemes

In all of the present Neutrino Factory schemes an intense multi-GeV proton source is used to make low energy charged pions which are confined within a large acceptance decay channel. The daughter muons produced from $`\pi ^\pm `$ decays are also confined within the channel. However, the muons occupy a large phase-space volume which presents the main challenge in designing a Neutrino Factory. In the US and European designs the strategy is to first reduce the energy spread of the muons by manipulating the longitudinal phase-space they occupy using a technique called “phase rotation”. The transverse phase-space occupied by the muons is then reduced using “ionization cooling ”. After phase rotation and ionization cooling the resulting muon phase space fits within the acceptance of a normal type of accelerator. In the Japanese scheme an alternative strategy is pursued in which the large muon phase-space is accommodated using so called FFAG’s, which are very large acceptance accelerators. Finally, in all three schemes the muons are accelerated to the desired final energy (typically in the range from 20 - 50 GeV), and injected into a storage ring with either two or three long straight sections. Muons decaying within the straight sections produce intense neutrino beams. If the straight section points downwards, the resulting beam is sufficiently intense to produce thousands of neutrino interactions per year in a reasonably sized detector on the other side of the Earth  !

### 2.1 US Scheme

In the last 2 years there have been two Neutrino Factory “Feasibility” Studies  in the US. Within these studies engineering designs have been developed and detailed simulations performed for each piece of the Neutrino Factory complex. Study I was initiated by the Fermilab Director, and conducted between October 1999 and April 2000.

The Study I design (Fig. 1) was for a 50 GeV Neutrino Factory with the neutrino beams pointing 13 below the horizon ($`L=2900`$ km). The proton source  consisted of a 16 GeV synchrotron producing 3 ns long bunches at 15 Hz, and providing a 1.2 MW beam ($`4.5\times 10^{14}`$ protons per sec) on an 80 cm long carbon target located within a 20 T solenoid. The solenoid radially confines nearly all of the produced $`\pi ^\pm `$. Downstream of the target the pions propagate down a 50 m long decay channel consisting of a 1.25 T super-conducting solenoid which confines the $`\pi ^\pm `$ and their daughter muons within a warm bore of 60 cm. At the end of the channel 95% of the initial $`\pi ^\pm `$ have decayed and, per incident proton, there are $`0.2`$ muons with energies $`<500`$ MeV captured within the beam transport system. The muon system downstream of the decay channel is designed to produce cold muon bunches with a central momentum of 200 MeV/c. Beyond the decay channel, the muon energy spread is reduced using a 100 m long induction linac to accelerate the late low energy particles and deaccelerate the early high energy particles (phase rotation). A 2.45 m long liquid hydrogen absorber is then used to lower the central energy of the muons. Muons with energies close to the central value are then captured within bunches using a 201 MHz RF system within a 60 m long channel. Throughout the induction linac, liquid hydrogen absorber, and bunching system the muons are confined radially using a solenoid field of a few Tesla. The buncher produces a string of bunches, captured longitudinally, but still occupying a very large transverse phase-space. Downstream of the buncher the muons are cooled transversely within a 120 m long ionization cooling channel. The phase-space occupied by the muon bunches will then fit with the acceptance of an acceleration system consisting of a linac that accelerates the muons to 3 GeV, and two recirculating linear accelerators (RLA’s) that raise the muon energies to 50 GeV. The muons are then injected into a storage ring which has a circumference of 1800 m, and has two 600 m long straight sections. One third of the injected muons will decay in the downward pointing straight section. A detailed simulation of the Study I design shows that this scheme will produce about $`6\times 10^{19}`$ muon decays per operational year (defined as $`2\times 10^7`$ seconds) in the downward pointing straight-section, which is a factor of 3 less than the initial design goal for the study. The resulting beam intensity would be sufficient for a so-called “entry-level” Neutrino Factory, but insufficient for a “high-performance” machine.

Study II, initiated by the BNL Directorate, built upon the work done during Study I and focussed on improving the Neutrino Factory design to achieve higher beam intensities. The main improvements came from using (i) a 4 MW proton source, (ii) a liquid Hg target, (iii) an improved induction linac design, and (iv) an improved cooling channel design. Detailed simulations of the Study II design predicted $`2\times 10^{20}`$ muon decays per operational year (redefined as $`1\times 10^7`$ seconds) in the downward pointing straight-section, thus achieving the initial goal.

### 2.2 European Scheme

European and US Neutrino Factory designs have many similarities. However, European studies  (Fig. 2) have explored alternative technologies for several subsystems: (i) The proton driver consists of a 4 MW 2.2 GeV SC linac with an accumulator ring to produce short pulses . (ii) In addition to a liquid Hg jet, a water cooled Ta sphere target is being considered. (iii) The charged pions are focussed using a magnetic horn (rather than a high-field solenoid) with a 4 cm waist radius, and a peak current of 300 kA. (iv) After a 30 m drift, the muon energy spread is reduced using 44 MHz RF cavities (rather than an induction linac). (v) The ionization cooling channel uses 44 MHz and 88 MHz RF cavities, a lower frequency cavities than employed in the US scheme. (vi) A bowtie-shaped storage ring (rather than a race-track design) has been considered for the final muon ring. Simulations of the European design predict that the resulting neutrino beams will have intensities comparable to the corresponding beams from the US design. A comprehensive design study is not yet complete.

### 2.3 Japanese Scheme

The front end of the Japanese design (Fig. 3) consists of a 4 MW 50 GeV proton synchrotron (corresponding to an upgraded JHF complex) producing a beam incident on a target within a 12 T solenoid, followed by a large acceptance pion decay channel. Instead of manipulating and cooling the phase space occupied by the muons exiting the decay channel, very large acceptance FFAG (Fixed Field Alternating Gradient) accelerators are used to raise the beam energy before injecting into a storage ring with long straight sections. The predicted neutrino yield from this scheme seems to be comparable to the corresponding predicted yields from the US/European designs. Although the Japanese Neutrino Factory scheme might benefit from the addition of some muon cooling, in principle the use of FFAGs evades the need to cool the muons before injecting them into an accelerator. This simplification comes at the price of a more challenging accelerator, requiring complicated large aperture magnets and broad-band low frequency high gradient RF cavities. Modern design tools have made practical the task of designing the FFAG magnets, and a small proof-of-principle (POP) FFAG accelerator  has been built and successfully operated. A second test FFAG, designed to accelerate protons to 150 MeV, is under construction. Furthermore, with some US participation, an R&D program is underway in Japan to develop the required cavities. It is too early to conclude whether the promising Japanese Neutrino Factory scheme will lead to a more cost effective solution than the European/US-type designs. It may even be that the optimum solution consists of a combination of the two concepts, with some phase space manipulation and cooling, but using large acceptance FFAGs for the acceleration.

## 3 Pion production & Target R&D

To produce a sufficient number of $`\pi ^\pm `$, all Neutrino Factory schemes begin with a MW-scale proton driver.

Figure 4 shows predicted yields for $`\pi ^\pm `$ captured within a decay channel downstream of a Neutrino Factory target system. Over a broad interval of beam energies, at fixed beam power the yields are approximately independent of beam energy. The E910 experiment at BNL  has recently measured $`\pi ^\pm `$ yields for several targets and different incident proton beam energies. Some of the results are shown in Fig. 5. The measurements are in fair agreement with MARS calculations . The pion yields peak in the region 300 - 500 MeV/c. Hence, Neutrino Factory designs tend to have $`\pi ^\pm `$ collection systems optimized to capture particles with momenta in this range. In the next few years we can anticipate further particle production measurements from the HARP experiment  at CERN, and the Fermilab E907 experiment .

Entry-Level Neutrino Factories providing a few $`\times 10^{19}`$ useful muon decays per year require proton beams with beam powers of $`1`$ MW, and short proton bunches, typically a few ns long. It is believed that carbon targets can operate with these beam parameters. This has been tested at BNL by the E951 Collaboration . Two different types of carbon rod were exposed to the AGS beam and strain gauge data taken. The beam induced longitudinal pressure waves and transverse reflections were both measured. The strains in the two types of rod differed by an order of magnitude, the most promising rod being made from an anisotropic carbon-carbon composite.

High performance Neutrino Factories providing O($`10^{20}`$) useful muon decays per year require $`4`$ MW proton beams. Solid targets will melt unless very efficient cooling strategies can be developed. Rotating metal bands  and water cooled Ta spheres  are being considered, but the presently favored solution is to avoid problems with target melting and integrity by using a liquid Hg jet. In the US and Japanese schemes the target is in a high-field solenoid. Hence, the main R&D issues are (i) can a Hg jet be injected within a high-field solenoid without magneto-hydrodynamic effects disrupting the jet, (ii) after the jet has been destroyed by one proton pulse will it re-establish itself before the next pulse, and (iii) can the disrupted jet be safely contained within the target system.

To address these questions, R&D has begun at CERN and BNL. Photographs of a liquid Hg jet injected into a 13 T solenoid at Grenoble are shown in Fig. 6. The solenoid field seems to damp surface tension waves, improving the jet characteristics. The BNL E951 liquid Hg jet setup  in the 24 GeV AGS beam is shown in Fig. 7. Figure 8 shows a sequence of pictures of the 1 cm diameter Hg jet taken by a high speed camera from the time of impact of $`4\times 10^{12}`$ protons in a 150 ns long pulse from the AGS. Jet dispersal is delayed for about $`40\mu `$s. It takes several ms before the jet, which has an initial velocity of 2.5 m/sec, is disrupted. The velocity of the out-flying Hg filaments appears to scale with beam intensity, and is $`10`$ m/sec for a deposited energy of 25 J/g. These velocities are modest, implying that the disrupted jet can be easily contained within the target system. Furthermore, the Hg jet dispersal is mostly in the transverse direction, and after disruption it has been found that the jet quickly re-establishes itself. However, high performance Neutrino Factories will require Hg jets with higher velocities ($`20`$ m/sec). The next steps in the E951 R&D require beam tests with a factor of a few higher beam intensities, and finally beam tests in which the Hg jet is injected into a 20 T solenoid.

## 4 Muon Cooling R&D

Before the muons can be accelerated the transverse phase-space they occupy must be reduced so that the muon beam fits within the acceptance of an accelerator. This means the muons must be “cooled” by at least a factor of a few in each transverse plane, and this must be done fast, before the muons decay. Stochastic– and electron–cooling are too slow. It is proposed to use a new cooling technique, namely “ionization cooling” . In an ionization cooling channel the muons pass through an absorber in which they lose transverse– and longitudinal–momentum by dE/dx losses. The longitudinal momentum is then replaced using an RF cavity, and the process is repeated many times, reducing the transverse momenta. This cooling process will compete with transverse heating due to Coulomb scattering. To minimize the effects of scattering we chose low–Z absorbers placed in the cooling channel lattice at positions of low–$`\beta _{}`$ so that the typical radial focusing angle is large. If the focusing angle is much larger than the average scattering angle then scattering will not have much impact on the cooling process. In the US, detailed simulation studies have identified two promising linear cooling channel designs: “SFOFO” and “DFLIP”.

In the SFOFO lattice the absorbers are placed at low–$`\beta _{}`$ locations within high-field solenoids. The field rapidly decreases from a maximum to zero at the absorber center, and then increases to a maximum again with the axial field direction reversed. Figure 9 shows the design for a 5.5 m long section of the $`100`$ m long cooling channel. The section shown has 30 cm long absorbers with a radius of 15 cm, within a system of solenoids with a peak axial field of 3.5 T. Towards the end of the cooling channel the maximum field is higher (5 T) and the lattice period shorter (3.3 m). The RF cavities operate at 201 MHz and provide a peak gradient of 17 MV/m. Detailed simulations predict that the SFOFO channel increases the number of muons within the accelerator acceptance by a factor of 3-5 (depending on whether a large- or very-large acceptance accelerator is used).

In the DFLIP lattice the solenoid field remains constant over large sections of the channel, reversing direction only twice. In the early part of the channel the muons lose mechanical angular momentum until they are propagating parallel to the axis. After the first field flip the muons have, once again, mechanical angular momentum, and hence move along helical trajectories with Lamour centers along the solenoid axis. Further cooling removes the mechanical angular momentum, shrinking the beam size in the transverse directions. The field in the early part of the channel is 3 T, increasing to 7 T for the last part. Detailed simulations show the performances of the DFLIP and SFOFO channels are comparable.

Recently there has been considerable progress in the design of cooling channels configured in a ring, and incorporating wedge-shaped absorbers at locations where higher energy muons pass through the thick end of the wedge. This cools both longitudinal and transverse phase space. The simulations, which predict ring coolers have wonderfull performance, do not yet incorporate realistic absorbers or detailed injection and extraction schemes. It remains to be seen if realistic ring coolers will result in greatly improved performance and significant cost savings compared to the present baseline cooling channels.

### 4.1 MUCOOL R&D

Muon cooling channel design and development is being pursued within the US by the MUCOOL collaboration . The MUCOOL mission includes bench–testing all cooling channel components and beam–testing a cooling channel section. The main component issues that must be addressed are (i) can sufficiently high gradient RF cavities be built and operated in the appropriate magnetic field and radiation environment, and (ii) can liquid hydrogen absorbers with thin enough windows be built so that the $`dE/dx`$ heating can be safely removed. The MUCOOL collaboration has embarked on a design–, prototyping–, and testing–program that addresses these questions.

### RF Cavity Development

Cooling channel studies initially began with Muon Collider cooling channel designs using 805 MHz cavities operating in a 5T solenoid, and providing a peak gradient on axis of $`30`$ MV/m. This deep potential well is needed to keep the muons bunched as they propagate down the channel. This requirement led to two cavity concepts: (a) an open cell design, and (b) a design in which the penetrating nature of the muons is exploited by closing the RF aperture with a thin conducting Be window (at fixed peak power this doubles the gradient on axis). The MUCOOL collaboration has pursued an aggressive 805 MHz cavity development program. A 12 MW high power test facility has been built and operated at Fermilab (Lab G), enabling 805 MHz cavities to be tested within a 5T solenoid. The main results to date are: (i) An open cell cavity suitable for a muon cooling channel has been designed, an aluminum model built and measured, and a prototype copper cavity built, tuned, and tested at full power (Fig. 10). Dark current produced by the cavity has been identified as an important R&D issue . (ii) A Be foil cavity has been designed at LBNL, a low power test cavity built and measured, and foil deflection studies made  to ensure the cavity does not detune when the foil is subject to RF heating. The foil deflection is reasonably well understood for small displacements. A high power copper cavity with thick Be windows has been built at LBNL and the University of Mississippi, and tested at full power at Lab G. Magnetic field studies will start soon.

The cooling channel designs developed in the US Neutrino Factory studies require 201 MHz RF cavities providing $`17`$ MV/m on axis. Preliminary cavity designs have been made. There are two concepts, both of which close the cavity aperture. The options are to use (a) a thin Be foil, exploiting the work done for the 805 MHz cavity, or (b) use a grid of hollow conducting tubes. Preliminary mechanical tests for both the grid and foil concepts are planned. The 805 MHz R&D program will be extended so that windows and grids can be tested at high power. The 805 MHz program will also enable us to obtain a better understanding of how to build low dark-current NCRF cavities, providing critical guidance for the 201 MHz cavity prototype that we hope to build and test in the next couple of years.

### Absorber Development

The cooling channel liquid hydrogen absorbers must have very thin windows to minimize multiple scattering, and must tolerate heating of O(100 W) from the ionization energy deposited by the traversing muons. Typical absorber parameters are: 35 cm long, 18 cm radius, with 360 $`\mu `$m thick Al windows, operated at 1.2 atm. To adequately remove the heat from the LH2 requires good transverse mixing. There are two absorber designs that are being pursued : (i) Forced flow design. The LH2 is injected into the absorber volume through nozzles, and cooled using an external loop and heat exchanger. (ii) Convection design. Convection is driven by a heater at the bottom of the absorber volume, and heat removed by a heat exchanger on the outer surface of the absorber. A forced flow absorber prototype is being designed at the Illinois Institute of Technology (IIT) and will be constructed in the coming year. A convection prototype, designed by IIT, KEK, and the University of Osaka, is being constructed in Japan (Fig. 11). Both absorbers will be tested at Fermilab.

Prototype 15 cm radius aluminum absorber windows have been made at the University of Mississippi, and pressure tested at Northern Illinois University . The window thickness and profile were measured at FNAL and found to be within 5% of the nominal envelope. Strain gauge and photogrammetric measurements were made as a function of pressure, and the results compared with FEA predictions. The last window was tested at LN2 temperature. The FEA predictions give an excellent description of the deformation with pressure and the rupture pressure.

### 4.2 European Cooling R&D Program

The European cooling channel design  is similar to the US design, but is based on 44 MHz and 88 MHz cavities  rather than 201 MHz cavities. To minimize the radii of the solenoids used to confine the muons the cavities have been designed to wrap around the solenoids. The initial transverse cooling is performed using 44 MHz cavities with four 1 m long RF cells between each 24 cm long LH2 absorber. The beam is then accelerated from 200 MeV to 300 MeV, and the cooling is continued using 88 MHz cavities with eight 0.5 m long cells between each 40 cm long LH2 absorber. Simulations of the channel performance with detailed field-maps have not yet been made. However, simulations using simpler field maps yield promising results: the effect of the channel is to increase the number of muons within the acceptance of the subsequent accelerating system by a factor of about 20. Whether or not the predicted increased yield is significantly degraded when full simulations are performed remains to be seen. In the meantime, a prototype 88 MHz cavity is being prepared at CERN for high power tests within the coming year.

### 4.3 Cooling Experiments

A sequence of muon cooling-related experiments is being planned. The first, the MUSCAT experiment, is already under way at TRIUMF. The second, the MUCOOL Component Test Experiment, is under construction at the Fermilab Linac. The third, an International Cooling Experiment , is in the planning stage.

The goal of the MUSCAT experiment is the precise measurement of low energy (130, 150, and 180 MeV/c) muon scattering in a variety of materials that might be used in a cooling channel. In a second phase MUSCAT will measure straggling. Scattering measurements for Li, Be, C, Al, CH2, and Fe have already been made.

A MUCOOL test area located at the end of the Fermilab 400 MeV Linac is under construction. The project is being pursued in two phases. In Phase 1 a LH2 absorber test facility is being built, which will enable the first prototype absorbers to be filled. In Phase 2 a linac beam will be brought to the absorber area, and the 5T solenoid will be moved from Lab G so that the absorber can be tested in a magnet whilst exposed to a proton beam. The beam intensity and spot size will be designed to mimic the total ionization energy deposition and profile corresponding to the passage of $`10^{12}10^{13}`$ muons propagating within a cooling channel. In addition, 201 MHz RF power will be piped to the test area from a nearby test-stand, enabling high-power tests to be made of a prototype 201 MHz cooling channel cavity.

A Europe-Japan-US International Cooling Experiment (MICE) is currently being planned . The goals are to (i) place a cooling channel section in a muon beam, and (ii) demonstrate our ability to precisely simulate the passage of muons confined within a periodic lattice as they pass through LH2 absorbers and high-gradient RF cavities. In the envisioned experiment muons are measured one at a time at the input and output of the cooling section, and the precise response of the muons to the cooling section is determined. The main challenge to the design of this type of experiment arises from the prolific X-ray and dark current environment created by the RF cavities. This is currently under study at Lab G and elsewhere. The MICE Collaboration has been invited to submit a full proposal to the Rutherford Lab at the end of 2002.

## 5 Muon Acceleration

The acceleration system has been identified as one of the cost drivers for a Neutrino Factory. In the US and European schemes the main acceleration systems use SC cavities. The US scheme uses 201 MHz SCRF delivering gradients of 15 MV/m with Q $`5\times 10^9`$. Note that 201 MHz is a relatively low frequency and the cavities are therefore large. The associated R&D issues are related to microphonics, fabrication and cleaning techniques and, because of the large stored energy, quench protection. Furthermore, the cavities must tolerate whatever stray magnetic fields they see within the accelerating lattice. To address these issues a 201 MHz SC cavity has been constructed at CERN and sent to Cornell for high-power testing.

## 6 Summary and Prospects

Muon sources capable of delivering O($`10^{20}`$) muons per year seem feasible, and would enable Neutrino Factories, and perhaps eventually Muon Colliders, to be built. Neutrino Factory designs have been developed in Europe, Japan, and the US, and a healthy R&D program is underway. The most challenging R&D questions are associated with targets for MW-scale proton beams, and the development of an ionization cooling channel. With the present level of support, we can expect much progress in Neutrino Factory R&D over the next few years. However, the news is not all good. The future level of support is uncertain. I believe a significant increase (factor of two ?) will be needed, sustained over a handful of years, if we are ever to arrive at a “Technical Design Report”. In addition, there must be good international collaboration to enable the most promising design to be eventually chosen. There is already a healthy dialogue between the European, Japanese, and US R&D teams, and some cross-participation in the various R&D programs. Finally, it should be noted that Neutrino Factory R&D is being pursued by engineers, accelerator physicists, and particle physicists from Laboratories and Universities in Europe, Japan and the US. There are a broad range of interesting sub-projects to be pursued. With adequate support, the prospects seem bright.


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# Tunneling Characteristics of an Electron-Hole Trilayer under an In-plane Magnetic Field

## Abstract

We have studied the tunneling properties of GaSb/AlSb/InAs/AlSb/GaSb heterostructures, in which electrons and holes accumulate in the InAs and GaSb regions respectively, under a magnetic field parallel to the interfaces. The low-temperature (T = 4.2K), zero-bias magnetoconductance has shown a behavior with field that evidences the two-dimensional character of both electrons and holes and that has allowed us to determine the hole density and the electron-hole separation. The observed field dependence of the current-voltage characteristics is explained by the relative change in parallel momentum of electrons and holes induced by the field.

Many interesting transport phenomena have been reported on bi-layer systems formed by two-dimensional (2D) electron gases separated by a potential barrier Mendez and Chang (1989); Smoliner et al. (1989), among others, Coulomb drag Lilly et al. (1998); Rojo (1999); Lok et al. (2001) and fractional Hall states. Eisenstein (1997) Lately, the interest has been on electron tunneling between the two 2D gases at high magnetic fields, at which a dramatic dc-Josephson-like behavior has been observed at very low temperatures. Spielman et al. (2001) These bi-layer systems have been implemented mostly using GaAs/AlGaAs double quantum wells, in which it is possible to make separate contact to the 2D gases and to control the carrier density of each of them. Eisenstein et al. (1990)

The experimental results have in turn stimulated theoretical studies Girvin and MacDonald (1997); MacDonald (2001); Demler et al. (2001); Mitra and Girvin (2001), which have even been extended to a system formed by separate 2D electron and 2D hole gases (2DEG and 2DHG, respectively) interacting with each other. Vignale and MacDonald (1996); Conti et al. (1998); Hu (2000) Such a system is appealing, among other reasons, because it offers the possibility of forming a gas of excitons aligned along the two parallel planes, a configuration which, according to theoretical predictions, may lead to Bose-Einstein condensation-like phenomena. Lozovik and Yudson (1976); Shevchenko (1976)

Unfortunately, in the type of heterostructures exemplified by GaAs-GaAlAs it is not easy to realize a 2DEG-2DHG coupled system under equilibrium conditions. Because of the relative band alignment of these two materials, the separation between high-mobility 2DEG and 2DHG is in practice too large for exciton formation. In addition, it is difficult to make separate ohmic contacts to the two gases. Sivan et al. (1992); Kane et al. (1994); Shapira et al. (1999)

An alternative materials system for the observation of 2DEG-2DHG phenomena is that formed by InAs/AlSb/GaSb. Since the GaSb valence band (top) is higher in energy than the InAs conduction band (bottom) when these two materials are brought together, negative charge is transferred from GaSb into InAs, creating holes and electrons, respectively, at the interfaces of those layers. AlSb is used as a barrier, whose thickness controls the strength of the electron-hole interaction and the amount of charge transferred between GaSb and InAs.

For vertical transport, a typical configuration is GaSb-AlSb-InAs-AlSb-GaSb, whose tunnel current-voltage (I-V) characteristic exhibits a sharp negative differential negative conductance, even at room temperature. This behavior results from the tunneling of electrons accumulated in the InAs well to hole states in the collecting GaSb electrode, followed by tunneling of valence-band electrons from the emitter into the InAs well. (Alternatively, the process can be understood in terms of holes tunneling from one electrode to the other via conduction-band states in InAs.)

The 2D character of electrons in InAs has been demonstrated by Shubnikov – de Haas (SdH) oscillations that appear in the zero-bias magnetotunneling conductance with a field perpendicular to the heterostructure’s interfaces. Mendez et al. (1991, 1992) The holes, although essential to explain the tunnel I-V characteristics and their dependence on hydrostatic pressure. Mendez (1992), are much more elusive. No direct signature of holes or their number, let alone their 2D character, has been found so far in magnetotunneling measurements.

In this work we show that the presence of 2D holes is apparent when a magnetic field is applied parallel to the interfaces (in-plane field). We have found that the zero-bias tunneling magnetoconductance exhibits two sharp maxima at fields that are unambiguously related to the presence of 2D electrons and 2D holes with different densities. The behavior of the dependence of the I-V characteristics on magnetic field is consistent with the carrier densities determined from the zero-bias measurements.

The GaSb-AlSb-InAs-AlSb-GaSb heterostructure used in this study consisted of a 150 Å InAs well and 40 Å AlSb barriers, with p-type GaSb electrodes. (Details of the band structure and materials preparation are found elsewhere. Mendez et al. (1991)) Previous tunneling measurements on this structure under a perpendicular field had yielded a 2D electron density of $`1.2\times 10^{12}`$ cm-2Mendez et al. (1991) a number significantly larger than that expected from the intrinsic transfer of carriers from GaSb. not

For the work described here, the tunneling current between the two p-type electrodes was measured under an in-plane magnetic field, $`H`$, of up to 26T and at a temperature of 4.2 K. The dependence of the zero-bias conductance on increasing field, shown in Fig. 1, can be summarized as a very rapid increase at around 5 T peaking at 5.8 T, followed by a gradual decline except for a secondary peak at 16.3 T.

Similar “double-peak” behavior has been observed before in the tunneling magnetoconductance ofGaAs/AlGaAs double quantum wells, Eisenstein et al. (1991); Simmons et al. (1993) and has been explained in terms of field-induced singularities in the tunneling conductance of two 2D electron gases. In the GaSb-AlSb-InAs-AlSb-GaSb case considered here, the situation is more complex. Thus, not only are there three tunneling regions, two of them with holes instead of electrons, but also the dimensionality of the holes is in principle unclear.

Before analyzing the result plotted in Fig. 1, the question to be addressed is then, should the magnetoconductance show any singularity when tunneling happens between a 2D and a 3D system? To answer it, it is useful to trace the origin of the conductance peaks in 2D-2D tunneling in GaAs/GaAlAs bilayers. In this case, when an in-plane magnetic field, $`H_{}`$, is applied the two (initially concentric) Fermi circles are shifted relative to each other by an amount $`k_H=edH_{}/\mathrm{}`$, where $`d`$ is the center-to-center distance between the two gases. The magnetoconductance can be expressed mathematically as Lyo (1998)

$$G_{}=\frac{4\pi e^2}{\mathrm{}^2}J_0^2\underset{\text{k}}{}_{\mathrm{}}^{\mathrm{}}[f^{}(\zeta )]\rho _{1𝐤}(\zeta )\rho _{2\text{k}}(\zeta ),$$
(1)
where $`J_0`$ is the zero-field tunneling integral, $`f(\eta )`$ is the Fermi function, and $`\rho _{ik}(\eta )`$ is the density of states in the $`i_{th}`$ layer. If the case of two 2DEGs with the same density, in he limit of zero temperature and zero broadening at the Fermi level, the conductance can be simplified to

$$G_{}\underset{k_x,k_y}{}\delta (k_F^2(k_x^2+k_y^2))\delta (k_F^2((k_xk_H)^2+k_y^2)),$$
(2)
where $`k_F`$ is the Fermi wave vector. At zero field, i.e., $`k_H=0`$, the two delta functions are identical and the allowed values of $`k_x`$ and $`k_y`$ are innumerable; in the absence of localization, the conductance diverges. When $`k_H0`$, the allowed $`k`$ values are limited to those corresponding to the two intersections of the Fermi circles, and the conductance decreases. When $`k_H=2k_F`$ the two intersections coincide and a new divergence appears. The conductance diverges as $`H_{}^1`$ for $`k_H=0`$ and as $`H_{}^{1/2}`$ for $`k_H=2k_F`$. When broadening is included, these two singularities become peaks, more or less sharp depending on the broadening parameter.

If the 2DEG have different densities, and therefore different Fermi wave vectors ($`\mathrm{\Delta }k_F`$ being the difference between them), one Fermi circle lies initially inside the other. Then the first divergence appears when $`k_H=\mathrm{\Delta }k_F`$, and it is of order $`H_{}^{1/2}`$ instead of $`H_{}^1`$. Physically, the first peak observed in the magnetoconductance occurs when the smaller circle first touches the larger one; the second peak corresponds to the field at which they touch for the last time.

For 3D-2D tunneling, the summation in Eq. 1 ranges over the whole k space and one of the delta functions in Eq. 2 includes the variable $`k_z`$. Because of the additional integration, if the Fermi wave vectors for the 2D and 3D gases are the same then the order of the divergence is reduced to $`H_{}^{1/2}`$ when $`k_H0`$ while at $`k_H=2k_F`$ the divergence disappears. If the two Fermi wave vectors are not the same, both divergences disappear altogether. In short, for 3D-2D tunneling the magnetoconductance should exhibit at best only one peak.

To test this prediction, we have measured the zero-bias magnetoconductance of a GaAs/GaAlAs double-barrier resonant- tunneling diode with a 2DEG in the GaAs central well. Each of the two sequential tunneling steps between the well and an electrode can be regarded as 3D-2D tunneling. As anticipated, we observed a gradual decrease of the conductance with increasing magnetic field but no peaks whatsoever.

Once we have established what to expect in the case of 2D-3D tunneling we can go back to the analysis of the magnetoconductance for GaSb-AlSb-InAs-AlSb-GaSb. The presence of two clear peaks in Fig. 1 is then an unequivocal indication that there are 2D holes in the GaSb electrodes. At the same time, the values of the magnetic field at which the two peaks are observed allow us to determine the ratio of 2DEG to 2DHG densities, $`N_h/N_e`$, as well as the effective separation, $`d`$, between these gases.

We start by considering three Fermi circles, two identical ones for the holes and one for the 2D electrons in the InAs well, with the radii of the former smaller than that of the latter. (In the ideal case, in which all the electrons are exclusively a result of charge transfer from GaSb, $`N_e=2N_h`$, but, in general, this may not be the case.) Using as a reference the electron Fermi circle, with increasing in-plane magnetic field the hole Fermi circles are shifted away in opposite directions, each by an amount, $`k_H=edH_{}/\mathrm{}`$, where $`d`$ is now the center-to-center distance between the 2D electron and hole gases (see Fig. 2).

In a structure like the one discussed here, in which its symmetry makes it reasonable to assume that both hole gases have the same density, the situation becomes similar to that of two 2D gases. The first conduction peak appears at $`H_1`$, the field for which the first contact between the electron and hole Fermi circles occurs (Fig. 2a), and the second peak at $`H_2`$, when those circles touch each other for the last time (Fig. 2b). From elementary geometry it is straightforward to get expressions for the $`N_h/N_e`$ ratio, as well as $`d`$, in terms of $`H_1`$ and $`H_2`$,

$$\frac{N_h}{N_e}=\left(\frac{H_2H_1}{H_2+H_1}\right)^2$$
(3)
and

$$d=\frac{4\pi \mathrm{}N_e^{1/2}}{e(H_1+H_2)}.$$
(4)
Using the values of $`H_1=5.8T`$ and $`H_2=16.3T`$ from Fig. 1 and $`N_e=1.2\times 10^{12}`$ cm-2 determined previously, Mendez et al. (1991) we obtain $`N_h=2.7\times 10^{11}`$ cm-2 and $`d=164`$ Å. This value for $`N_h`$ is considerably less than the ideal $`N_e/2`$, which confirms the existence of extrinsic sources of electrons in InAs/AlSb/GaSb heterostructures. Since the determination of $`N_h`$ relies on two quantities, $`H_1`$ and $`H_2`$, measured directly, the value for $`N_h`$ should have only a small uncertainty. This is in contrast with a previous, more indirect determination that yielded a value of $`4.5\times 10^{11}`$ cm-2 for $`N_h`$Mendez (1992) This earlier number should be seen just as an estimate, as it was based on a linear extrapolation of the dependence of the peak current on the electron density, derived from hydrostatic-pressure measurements.

As for the effective separation between the 2D electrons in InAs and the 2D holes at the GaSb interfaces, the 164 Å value obtained here is quite reasonable, considering that the barrier thickness is 40 Å and that half of the InAs well width is 75 Å. The 49 Å difference up to 164 Å represents the average distance of the one-dimensional hole wavefunctions to the GaSb interface.

The physical picture that has emerged from the zero-bias measurements – 2D electrons and holes of different densities tunneling into each other – is also consistent with the field dependence of the full I-V characteristics, shown in Fig. 3. With increasing field, the peak voltage varies little up to 6T, and then decreases monotonically, as summarized in the inset of Fig. 3.

This behavior can be understood with the help of the dispersion curves for electrons and holes, discussed previously Mendez et al. (1992) and shown in Fig. 4 along with their respective Fermi circles. As the in-plane magnetic field increases, the hole dispersion curve ”moves away” from the electron dispersion curve. Because of the much smaller hole Fermi energy, the voltage at which the current peaks, $`V_p`$, changes very little until the field reaches $`H^{}`$, at which point the edge of the hole Fermi circle coincides with the center of the electron Fermi circle (see Fig. 4b). Above that critical field, the peak voltage (which is almost identical to the voltage at which the tunnel current vanishes) decreases rapidly, following the contour of the electron dispersion curve (Fig. 4c), and it can be expressed as

$$V_H\frac{ed^2}{2m^{}}H^2,$$
(5)
where $`m^{}`$ is the electron’s effective mass.

With the values obtained above for $`N_h`$ and $`d`$, we can easily estimate the critical field $`H^{}`$. The calculated value of 6.2T is very close to the field at which experimentally the peak voltage starts to shift (see inset of Fig. 3). Finally, by fitting the observed dependence of $`V_H`$ on $`H`$ (for $`H>H^{}`$) to Eq. 5, one can obtain $`d`$. Using $`m^{}=0.027m_0`$ (which includes nonparabolicity effects) for the InAs effective mass, the fit yields $`d=137`$Å, which, although smaller, is in reasonable agreement with the 164 Å value obtained above.

To summarize, from the study of the tunneling current in GaSb-AlSb-InAs-AlSb-GaSb heterostructures in a magnetic field parallel to the interfaces, we have shown that the holes that participate in the tunneling process behave as a two-dimensional gas. We have also determined, quite directly, both their density and average distance to the GaSb interfaces. The evidence of hole bi-dimensionality and the effective electron-hole separation are promising results regarding the possibility of forming equilibrium excitons with opposite charges in different planes. On the other hand, the charge imbalance we have found hinders electron-hole binding and it must be drastically reduced before one can make that promise a reality.

We are grateful to W. I. Wang, who provided the samples used in this study. The work has been supported by the US Army Research Office.


text:
# Constraining the shape of the CMB: a Peak-by-Peak analysis.

## I Introduction.

The recent observations of the cosmic microwave background (CMB) anisotropies power spectrum (toco ,b97 , Netterfield ,halverson ,lee , cbi , vsa , archeops , acbar , ruhl ,vsae ) have presented cosmologists with the possibility of studying the large scale properties of our universe with unprecedented precision. As is well known (see e.g. review ), the structure of the theoretical CMB spectrum, given mainly by the relative positions and amplitude of the so-called acoustic peaks, is sensitive to several cosmological parameters. The existing CMB data sets are therefore being analyzed with increasing sophistication (see koso  and sko  for important advancements) in an attempt to measure the undetermined cosmological quantities. The most recent analyses of this kind (debe2001 , pryke , stompor , wang , cbit , vsat ,bean ,saralewis ,mesilk , archeops2 , slosar ,wang2 ) have revealed an outstanding agreement between the data and the inflationary predictions of a flat universe and of a primordial scale invariant spectrum of adiabatic density perturbations. Furthermore, the CMB constraint on the amount of matter density in baryons $`\omega _b`$ is now in very good agreement with the independent constraints from standard big bang nucleosynthesis (BBN) obtained from primordial deuterium (see e.g. burles , hansen ) and consistent within $`2`$-$`\sigma `$ with those derived from the combined analysis of $`{}_{}{}^{4}He`$ and $`{}_{}{}^{7}Li`$ (cyburt ). Finally, the detection of power around the expected third peak, on arc-minutes scales, provides a new and independent evidence for the presence of non-baryonic dark matter (mesilk ).

The data therefore suggests that our present cosmological model represents a beautiful and elegant theory able to explain most of the observations.

However, the CMB result relies on the assumption of a particular class of models, based on adiabatic, passive and coherent (see andy ) primordial fluctuations, and cold dark matter. In the following we refer to this class of models as $`\mathrm{\Lambda }`$-Cold Dark Matter ($`\mathrm{\Lambda }`$-CDM).

This weak point, shared by most of the current studies, should not be overlooked: it has been recently shown, for example, that the very legitimate inclusion of gravity waves (see e.g. efstathiou , gw ) or isocurvature modes (kxm , trotta , amendola ) into the analysis can completely erase most of the constraints derived from CMB alone.

Furthermore, since even more exotic modifications like quintessence (caldwell ), topological defects (bouchet ,dkm ), broken primordial scale invariances (alexandra , bend , covi ), extra dimensions (bisilk ) or unknown systematics (just to name a few) can be in principle considered, one should be extremely cautious in making any definitive conclusion from the present CMB observations.

It is therefore timely to investigate if the present CMB data are in complete agreement with the $`\mathrm{\Lambda }`$-CDM scenario or if we are losing relevant scientific informations by restricting the current analysis to a subset of models (see e.g. tegza ).

In the present paper we check to what extent modifications to the standard $`\mathrm{\Lambda }`$-CDM scenario are needed by current CMB observations with two complementary approaches: First, we provide a model-independent analysis by fitting the data with a phenomenological function and characterizing the observed multiple peaks. Phenomenological fits have been extensively used in the past and recent CMB analyses (rocha , page , miller2k2 , podariu , boghdan , douspis ). Our analysis differs in two ways: we include the latest CMB data from the Boomerang (ruhl ), VSAE (vsae ), ACBAR (acbar ), and Archeops (archeops ) experiments and we make use of a Monte Carlo Markov Chain (MCMC) algorithm, which allows us to investigate a large number of parameter simultaneously ($`15`$ in our case).

We then compare the position, relative amplitude and width of the peaks with the same features expected in a $`4`$-parameters model template of $`\mathrm{\Lambda }`$-CDM spectra. By doing a peak-by-peak comparison between the theory and the phenomenological fit which is based on a much wider set of parameters, we then verify in a systematic way the agreement with the standard theoretical expectations.

As a by-product of the analysis, we present a set of cosmological diagrams that directly translate, under the assumption of $`\mathrm{\Lambda }`$-CDM, the constraints on the features in the spectrum into bounds on several cosmological parameters. These diagrams offer the opportunity of quick, by-eye, data to model comparison.

Our paper is organized as follows: In section II we discuss the phenomenological representation of the power spectrum, the analysis method we used and the MCMC algorithm. In section III we present our results. Finally, in section IV, we discuss our conclusions.

## II Phenomenological representation.

We model the multiple peaks in the CMB angular spectrum by the following function:

$$\mathrm{}(\mathrm{}+1)C_{\mathrm{}}/2\pi =\underset{i=1}{\overset{N}{}}\mathrm{\Delta }T_i^2\mathrm{exp}((\mathrm{}\mathrm{}_i)^2/2\sigma _i^2)$$
(1)
where, in our case, $`N=5`$. In order to avoid degeneracy of overlapping gaussians, we parametrise the centers of the secondary gaussians as functions of the positions of the previous gaussians:

$`l_2`$ $`=`$ $`l_1(1+\alpha )`$ (2)
$`l_3`$ $`=`$ $`l_1(1+\alpha +\beta )`$
$`l_4`$ $`=`$ $`l_1(1+\alpha +\beta +\gamma )`$
$`l_5`$ $`=`$ $`l_1(1+\alpha +\beta +\gamma +\delta )`$
We use this formula to make a phenomenological fit to the current CMB data, constraining the values of the $`15`$ parameters $`\mathrm{\Delta }T_i`$, $`\mathrm{}_i`$ and $`\sigma _i`$.

The use of gaussian-shaped function to describe the CMB spectrum is now becoming a standard method in the literature (see e.g. page , boghdan , debe2001 , cbit ). A major difference with respect to previous works is that we are using only one fitting function, varying all its parameters simultaneously, while in general peaks are characterized with one single function in different selected regions of the spectrum, in correspondence with the expected peaks.

The advantage of a single fitting function is a better control of the correlations between the phenomenological parameters as we show in the next section where we report the values of the correlation matrix.

Recently, Douspis and Ferreira (douspis ) used a Gaussian plus an oscillating function as a phenomenological model. The method used here is more general, in the sense that we allow independent amplitudes and widths of the secondary peaks as well as impose no periodicity.

We use the CMB data as listed in table 1, spanning the range $`50\mathrm{}2500`$.

For all the experiments we use the publicly available window functions and correlations in order to compute the expected theoretical signal $`C_B`$ inside the bin. The likelihood for a given phenomenological model is defined by $`2\mathrm{l}\mathrm{n}=(C_B^{ph}C_B^{ex})M_{BB^{}}(C_B^{}^{ph}C_B^{}^{ex})`$ where $`M_{BB^{}}`$ is the Gaussian curvature of the likelihood matrix at the peak. When available, we use the lognormal approximation to the band-powers.

We marginalize over the reported Gaussian distributed calibration error for each experiment and we include the beam uncertainties by the analytical marginalization method presented in (sara ).

We perform our analysis on $`3`$ different data sets: the full data set, the low-frequency (LF) data (experiments that covered frequencies in the electromagnetic spectrum of $`90`$ GHz and below) and a high-frequency (HF) data (frequencies higher than $`90`$ GHz). The reasons of this choice are twofold: First, any discrepancy between the 2 analyses would hint towards the presence of undetermined foreground. Secondly, this facilitates the comparison with future and soon to be released observed power spectra at “low” frequencies, like those expected from the MAP satellite. We test the stability of our result by including a set of older CMB experiments as reported in table 1 and we also check that our model contains no bias towards the presence of peaks by fitting a set of mock data from a spectrum (see fig. 2).

The phenomenological fit is operated through an MCMC algorithm. The MCMC approach is to generate a random walk through parameter space that converges towards the most likely value of the parameters and samples the parameter space following the posterior probability distribution. In the general case, the number of parameters and their priors have to be defined. There is no limit in resolution (except numerical precision of the computer). The priors define the volume in parameter space in which the random walk takes place.
At each iteration, a point $`𝐱_{n+1}`$ is randomly selected in the $`m`$-dimensional parameter space. Its likelihood is evaluated by comparing to the data. A sample is said to be accepted into the Markov chain or not, depending on the following acceptance criterion:

$$u\mathrm{min}\{1,\frac{p(𝐱_{n+1})(𝐱_{n+1})}{p(𝐱_n)(𝐱_n)}\},$$

where $`u`$ is a random number sampled from a uniform distribution on the interval $`[0,1]`$, $`p(𝐱)`$ is the prior and $`(𝐱)`$ is the likelihood, containing the information from the data. At the end of the MCMC routine, the samples are counted and their number density projected onto one or more dimensions is proportional to the marginalised posterior distribution of the parameters. If the posterior follows a gaussian distribution, the best fit value is obtained by averaging over the samples. The MCMC procedure is described in more detail in saralewis  and christensen .

We use wide uniform priors for each parameter, in which our resulting likelihoods are fully encompassed, except for the widths of the secondary gaussians which are not well constrained by the data. We run the MCMC routine in order to get $`7000`$ samples for each subset of data. Also, in order to check that out parametrisation is not biased towards the presence of peaks, we test it to fit a flat spectrum. We generate a set of mock data by convolving a power spectrum consisting of a peak and a flat line with the experimental window functions. The results show that a flat power spectrum is easily recovered within our priors, as shown in figure 2.

We then consider a flat, adiabatic, $`\mathrm{\Lambda }`$-CDM model template of CMB angular power spectra, computed with CMBFAST (sz ), sampling the various parameters as follows: $`\mathrm{\Omega }_{cdm}h^2\omega _{cdm}=0.01,\mathrm{}0.40`$, in steps of $`0.01`$; $`\mathrm{\Omega }_bh^2\omega _b=0.001,\mathrm{},0.040`$, in steps of $`0.001`$ and $`\mathrm{\Omega }_\mathrm{\Lambda }=0.0,\mathrm{},0.95`$, in steps of $`0.05`$. The value of the Hubble constant is not an independent parameter, since:

$$h=\sqrt{\frac{\omega _{cdm}+\omega _b}{1\mathrm{\Omega }_\mathrm{\Lambda }}}.$$
(3)
We vary the spectral index of the primordial density perturbations within the range $`n_s=0.60,\mathrm{},1.40`$ (in steps of $`0.02`$).

For each model in the template we then consider the corresponding values $`\mathrm{\Delta }T_i`$, $`\mathrm{}_i`$, $`\sigma _i`$ such that the formula in Eq. (1) represents the best fit to its shape. Indeed, the $`\mathrm{\Delta }T_i`$ do not exactly correspond to the amplitudes of the peaks, as our spectrum is a sum of gaussians and the power from each gaussian contribute over the whole spectrum. We find that, restricting the range in $`\mathrm{}`$ to $`50,\mathrm{},1500`$, equation (1) approximates the shape of the spectra in our template well (better than $`10\%`$ in $`C_{\mathrm{}}`$).

We also check that the use of different phenomenological functions such as lorentzians or log-normals has no relevant effect on our results.

It is important to note that we restrict the parametrisation of our template of theoretical models to a set of only $`4`$ parameters. However, because of the ’cosmic degeneracy’ in the CMB observables, this is enough to describe the possible shapes of the CMB spectra in the $`\mathrm{\Lambda }`$-CDM scenario. Increasing the optical depth $`\tau _c`$ or adding a background of gravity waves, for example, is nearly equivalent to changing some of the parameters already considered like $`n_S`$ and $`\omega _b`$. On the other hand we characterize the peaks in the spectrum with a phenomenological fit based on $`15`$ parameters, which allows independent positions, amplitudes and widths of the observed features.

The comparison between the model-independent values $`\mathrm{\Delta }T_i`$, $`\mathrm{}_i`$ and $`\sigma _i`$ obtained by fitting the data with Eq. (1) and the corresponding values expected in the template of theoretical models represents therefore a strong check of the theory and can give hints for the presence of systematics and/or new physics.

## III Results

In Table 2 we report the $`68\%`$ limits on $`\mathrm{\Delta }T_i`$, $`\mathrm{}_i`$ and $`\sigma _i`$ of Eq. 1 obtained by analyzing the present CMB data with an MCMC procedure for each subset of CMB data. We also report the constraints on combinations of those parameters that are more directly connected to the cosmological parameters (see the discussion below).

In Table 3 we report the correlation matrix between the parameters of our phenomenological fit. As we can see, important correlations exist between the parameters: for example, the amplitude of the peaks is highly anti-correlated with the widht of the adiacent gaussians. This further illustrate the utility of analyzing the data with a single fitting function in order to properly evaluate the statistical significance of the oscillations.

Figure 3 shows the marginalised likelihood functions of the important CMB observables, and the agreement between the three data subsets. Figure 4 shows the best-fit cosmological and phenomenological models. Although our sums of gaussians comprises any cosmological power spectrum to within $`10\%`$, their preferred shape differs from the cosmological model owing to the large parameter space allowing to fit the data very well.

Figure 5 shows $`68\%`$ and $`95\%`$ confidence levels in power in the $`\mathrm{}`$-$`\mathrm{\Delta }T^2`$ plane. This shows the most likely path of the power spectrum. These figures are generated as follows: First, we remind the reader that the number density of MCMC samples is proportional to the marginalised posterior. We divide the $`\mathrm{}`$-$`\mathrm{\Delta }T^2`$ plane into pixels of size $`10\times 10`$. For each pixel, we count the phenomenological spectra that go through it. Hence, this is a density plot of our MCMC samples. The absence of a $`68\%`$ region at certain $`\mathrm{}`$ ranges indicates that more data are needed to constrain the power.

From figure 5, it appears that LF experiments provide constraints at high multipoles better than HF experiments which constrain the power at intermediate scales strongly. HF experiments also provide tight constraints at low $`\mathrm{}`$, mainly due to Archeops.

We also show the same result obtained by using the old data only. We find that the analysis provides no constraints above $`\mathrm{}400`$, as expected from the data. It is also consistent with the Archeops observations. Hence, when combining the old data with the LF data, HF data or both, our results remain essentially the same.

The values are in reasonable agreement with the results obtained by similar analyses (see e.g. debe2001 , boghdan , douspis , cbit ) and point towards the presence of multiple peaks in the spectrum.

The low frequency and high frequency experiments yield consistent results, showing that possible systematics due to galactic foregrounds are under control. However it is worth noticing that the LF data are more consistent with higher amplitude of secondary peaks. These experiments also use different techniques. The HF experiments are bolometers whereas the LF experiments are interferometers. The different nature of experimental uncertainties as well as their evaluation might suffer from different weaknesses contributing to enhance this contrast.

The CBI and ACBAR data at high $`\mathrm{}`$ are in agreement with the expected damping tail (see e.g. tail ). However, the poor spectral resolution ($`\mathrm{\Delta }\mathrm{}200`$) does not allow us to constrain subsequent peaks.

Still, it is interesting to compare the values obtained with those expected in the $`\mathrm{\Lambda }`$-CDM scenario with different priors, as we do in the last three columns of Table 2 (see caption).

Generally speaking, considering that the reported errors are at $`1`$-$`\sigma `$ and that the theoretical models are COBE normalized, which allows a further $`10\%`$ shift in amplitude, the model-independent values are in very good agreement with those predicted by the $`\mathrm{\Lambda }`$-CDM models. It is interesting to notice that for the full data set, the subsequent peaks appear to be slightly lower in amplitude than those expected in the concordance model with $`n_S=1`$. This favors a spectral index $`n_S`$ slightly lower than one. However, there is a strong degeneracy between $`n_S`$ and the optical depth $`\tau _c`$ (see e.g. stompor ) and models with $`n_s=1`$ can be put in better agreement with the observations when increasing $`\tau _c`$.

We further investigate the consistency with $`\mathrm{\Lambda }`$-CDM by considering phenomenological diagrams relating the relative amplitudes and positions of the peaks with variations in a specific physical parameter.

In the $`\mathrm{\Lambda }`$-CDM adiabatic scenario, two key parameters control the relative power between the first and second peaks: the physical baryon density $`\omega _b`$ and the primordial spectral index $`n_S`$ (see e.g. bibbia ). Increasing $`\omega _b`$ enhances the odd-numbered peaks relative to the even-numbered ones, while increasing $`n_S`$ enhances the small-scale peaks relative to the ones at larger scales.

In figure 6 we plot the values allowed in our model template (restricted by a set of rather conservative cosmological constraints, see the caption) for the relative amplitude $`\mathrm{\Delta }T_1/\mathrm{\Delta }T_2`$ as functions of the parameters $`\omega _b`$ and $`n_S`$. As expected, increasing (decreasing) $`\omega _b`$ ($`n_S`$) increases $`\mathrm{\Delta }T_1/\mathrm{\Delta }T_2`$. The region is very broad, mainly owing to the degeneracy between these two parameters. Nevertheless, super-imposing the 1-$`\sigma `$ phenomenological constraint on $`\mathrm{\Delta }T_1/\mathrm{\Delta }T_2`$ in the diagram provides interesting constraints. Models with a value of the spectral index $`n_s>1.15`$, which are not easily accommodated in most inflationary models (see e.g. kinney  and references therein) or in disagreement with the BBN constraint $`\omega _b=0.020\pm 0.002`$ are in fact not favored by our model-independent fit. In that figure, we also plot the constraints obtained by fitting the CMB data with the models in the template. This reduces in a severe way the number of allowed $`\mathrm{\Lambda }`$-CDM models. Nevertheless, the result on relative amplitude of the peaks is completely consistent with the one derived by the phenomenological fit. This method provides better constraints on the amount of cold dark matter $`\omega _{cdm}`$ if we consider the relative amplitudes $`\mathrm{\Delta }T_1/\mathrm{\Delta }T_3`$ and $`\mathrm{\Delta }T_2/\mathrm{\Delta }T_3`$ as we do in the top and bottom panels of figure 7. A decrease in $`\omega _{cdm}`$ has the effect of decreasing the amplitude of the third peak (see e.g. gms ). As we can see, the two observational values of $`\mathrm{\Delta }T_1/\mathrm{\Delta }T_3`$ and $`\mathrm{\Delta }T_2/\mathrm{\Delta }T_3`$ provide similar constraints on $`\omega _{cdm}`$ in a non trivial way with $`\omega _{cdm}0.12`$ and with $`\omega _{cdm}=0`$ or $`\omega _{cdm}>0.3`$ in disagreement with the data.

In a flat $`\mathrm{\Lambda }`$-CDM model a variation in $`\mathrm{\Omega }_\mathrm{\Lambda }`$ shifts the spectrum as $`\mathrm{}\mathrm{}`$ with the shift parameter $``$ given by (see efsbond , melou ):

$$=\sqrt{|\mathrm{\Omega }_m|}_0^{z_{dec}}[(1\mathrm{\Omega }_\mathrm{\Lambda })(1+z)^3+\mathrm{\Omega }_\mathrm{\Lambda }]^{1/2}𝑑z.$$
(4)
Varying the Hubble constant, parametrized as $`H_0=100h`$ Km/sec/Mpc, changes the scale of equality and produces a similar shift. These two parameters are related to the age of the universe by:

$$t_0=9.8Gy_{inf}^0[h^2((1\mathrm{\Omega }_\mathrm{\Lambda })(1+z)^3+\mathrm{\Omega }_\mathrm{\Lambda })]^{1/2}𝑑z$$
(5)
We can therefore expect that a determination of the peak positions provides constraints on these three quantities.

In figure 8 and figure 9 we plot similar diagrams as above for $`\mathrm{}_2\mathrm{}_1`$ and $`\mathrm{}_3\mathrm{}_1`$ as functions of $`\mathrm{\Omega }_\mathrm{\Lambda }`$, $`h`$ and age, $`t_0`$. Even if the region of the allowed models is quite broad because of the intrinsic degeneracies, the observed peak positions strongly favor a model with cosmological constant $`\mathrm{\Omega }_\mathrm{\Lambda }>0`$, a Hubble parameter $`h<0.8`$, compatible with the Hubble Space Telescope (HST) result of $`h=0.72\pm 0.08`$ (freedman ), and an age $`t_0>14`$ Gy, compatible with the age of the oldest globular clusters (see e.g. age ). Again, the values obtained by the phenomenological fit are in agreement with those derived by the standard CMB+$`\mathrm{\Lambda }`$-CDM analysis.

Another parameter that affects the position of the peaks is the spectral index $`n_S`$. However, the effect is different, the shift being scale dependent. Therefore, it is better to consider the quantities $`\mathrm{}_1/\mathrm{}_2`$ and $`\mathrm{}_1/\mathrm{}_3`$ which are unaffected by the overall shift $``$. The corresponding diagrams are plotted in figure 10. As mentioned earlier, the observed values point towards a low value of the spectral index $`n_S1`$.

## IV Conclusions

In this paper we investigated the consistency of the most recent CMB data with a class of $`\mathrm{\Lambda }`$-CDM adiabatic inflationary models. First we characterized the positions, amplitudes and widths of the peaks by fitting the data with simple phenomenological functions composed by several gaussians. The detection of the peak amplitudes and positions is quite robust and stable between different data sets. We found that all the features are consistent with those expected by the standard theory. We also examined where the data contains the most information in the power-angular scale plane. We found that the low frequency experiments provide good constraints at small angular scales, consistent with the expected damping tail, whereas high frequency experiments provide strong limits on the power at large and intermediate scales. We observe that HF experiments and LF experiments yield very consistent results, although LF data seems to provide evidence for higher secondary oscillations. Overall, the power spectrum is now well determined until $`\mathrm{}1500`$. The inclusion of older data does not affect our conclusions as they do not measure the power beyond $`\mathrm{}400`$.

Furthermore, we related the features in the spectrum with several cosmological parameters by introducing cosmological diagrams that can be used for quick, by-eye, parameter estimations.

The relative amplitude of the first and second peak, in particular, of about $`1.56`$ is consistent with the baryon density expected from BBN and suggests a value of $`n_S`$ lower than one in the case of negligible reionization. The amplitudes of the third peak relative to the first and to the second, $`\mathrm{\Delta }T_1/\mathrm{\Delta }T_31.6`$ and $`\mathrm{\Delta }T_2/\mathrm{\Delta }T_31`$ strongly suggest the presence of cold dark matter but also limits time its contribution to values $`\omega _{cdm}<0.2`$. The relative positions of the peaks, $`\mathrm{}_2\mathrm{}_1330`$ and $`\mathrm{}_3\mathrm{}_1610`$ is pointing towards the presence of a cosmological constant, a Hubble parameter on the low side of the value allowed by the recent HST measurements ($`h0.65`$) and to an age of the universe $`t_014.5`$ Gyrs consistent with the measurements of the oldest globular clusters.

It is reassuring that all those conclusions, obtained by just drawing few lines in the diagrams presented in Figs. $`59`$, are in agreement with the results obtained by a more careful standard analysis. Within the models considered in our database we found (at $`68\%`$ c.l.): $`n_s=0.96\pm 0.03`$, $`\omega _b=0.022\pm 0.003`$, $`\omega _{cdm}=0.12\pm 0.03`$, $`\mathrm{\Omega }_\mathrm{\Lambda }=0.63\pm 0.16`$, and $`t_0=14.2\pm 0.7`$ Gyrs.

The results obtained here show no need for modifications to the standard model, like gravity waves, quintessence, isocurvature modes, or extra-backgrounds of relativistic particles. Furthermore, possible systematic effects due to unknown foregrounds or calibration and beam uncertainties are not immediately suggested, since the different data sets are consistent with the theory.

Even if the width of the gaussians is poorly constrained, we found supporting evidence for multiple oscillations in the data between $`430<\mathrm{}<910`$. Beyond that, the newest experimental results show a damping of the power.

It is the duty of future satellite CMB experiments to point out discrepancies that might place the possibility of new physics in a more favorable light.

Acknowledgements It is a pleasure to thank Ruth Durrer, Anthony Lewis, Ruediger Kneissl, Roya Mohayaee, Lyman Page, Joseph Silk and Anze Slosar for useful comments. We acknowledge the use of CMBFAST sz . CJO is supported by the Leenaards Foundation, the Acube Fund, an Isaac Newton Studentship and a Girton College Scholarship. AM is supported by PPARC.


text:
# THE EFFECTS OF ALFVÉN WAVES AND RADIATION PRESSURE IN DUST WINDS OF LATE-TYPE STARS

## 1 Introduction

Mass loss from late-type stars is evidenced by the blueshifted circumstellar absorption lines present in their spectra. Giant and supergiant stars eject mass at a rate of $`10^{10}10^5M_{}yr^1`$ with terminal velocities $`u_{\mathrm{}}1050kms^1`$, which is lower than the surface escape velocity ($`v_{e0}`$) (Deutsch (1956); Weymann (1962); Habing (1996); Lamers & Cassinelli (1999); Carpenter et al. (1999)). An outward-directed flux of Alfvén waves has been proposed for driving these winds (Belcher & Olbert (1975); Haisch, Linsky & Basri (1980); Hartmann & MacGregor (1980); Jatenco-Pereira & Opher 1989a ; MacGregor & Charbonneau (1994); Charbonneau & Macgregor (1995)). For late-type giant and supergiant stars, this nonthermal energy flux must be deposited in the region of subsonic flow to explain the observed $`u_{\mathrm{}}<v_{e0}`$ (Hartmann & MacGregor (1980); Leer & Holzer (1980)).

We have direct evidence for Alfvén waves in the solar wind. Waves are observed with large perturbations in the magnetic field, with negligible density perturbations, indicating the presence of Alfvén waves. Since the early observation of MHD waves in the solar wind (Belcher & Davis (1971)), various authors have suggested that Alfvén waves could be important in transfer momentum to the wind. We know from the solar coronal holes observations that the density is likely to fall off faster than $`r^2`$ (e.g. Hollweg (1981); Doschek et al. (1997)), while the magnetic field strengths is proportional to $`r^2`$ (Linsky (1987)). In our simulations we show that this behavior exists up to $`r<3r_0`$. The energy flux per unit area transported by the wave, $`\varphi _A`$, is $`\varphi _Aϵv_A(1/2)\rho _0\delta v^2v_A`$, where $`ϵ`$ is the energy density of the waves. This energy flux is constant, when there is no damping, or decreases due to damping, such that $`ϵ`$ decreases with $`r`$. Since the pressure associated with the wave is proportional to $`ϵ`$, then this pressure also decreases with $`r`$. The result of this is a pressure gradient that accelerates the gas (Castor (1981)).

Alfvén waves have been used to explain the heating of stellar corona and the production of stellar winds in many regions of the Hertzsprung-Russell (HR) diagram. They are used to explain the solar wind acceleration (Jatenco-Pereira & Opher 1989b ; Jatenco-Pereira, Opher & Yamamoto (1994)), cool supergiant stars (Charbonneau & Macgregor (1995); Airapetian et al. (2000)) and winds in hot stars (Cassinelli (1979); Underhill (1983); dos Santos, Jatenco-Pereira, & Opher (1993)). These waves can also be important in T Tauri variables (Hartmann, Edwards & Avrett (1982); Jatenco-Pereira & Opher 1989c ; Vasconcelos, Jatenco-Pereira & Opher (2000)). The origin of Alfvén waves was suggested by Opher & Pereira (1986) to be the annihilation of twisted magnetic fields near the surface. These annihilation sites that could also explain the variable hot-spots observed in late-type stars (Gray 2000, 2001; Young, Baldwin, Boysen et al. (2000)). The waves can also be generated by convective motions inner in the envelope, that create perturbations in the magnetic fields.

On the other hand, in cool supergiant stars, the presence of grains are well know determined by infrared excesses (Woolf & Ney (1969)). However, the region of nucleation is not precisely determined. These grains are supposed to be the main responsible for radiation absorption, and also are supposed to contribute in the acceleration of the wind (e.g. Jura (1986); Elitzur & Ivezic (2001)). The temperature profile of the wind for these stars is also not very well known, but by nucleation theories (Gail & Sedlmayr (1987)) the temperature range for grain formation is $`400K<T<2500K`$.

Besides, the high luminosity of these stars have lead many authors to include the radiation pressure as a mechanism to explain the mass loss. MacGregor and Stencel (1992) studied the interaction between gas and dust in the curcumstellar envelope of late-type stars. In their analysis the grains and gas are well coupled if the grain radius is $`10^5cm`$ while for small grains $`<5\times 10^6cm`$, the collision momentum transfer is insufficient to induce expansion of the atmosphere as a whole.

Jatenco-Pereira and Opher (1989a) (hereafter JPO), presented a model for mass loss in a cool supergiant K5 star with $`M=16M_{}`$, where a flux of Alfvén waves flux ($`\varphi _A`$) is the main mechanism for accelerating the wind. The model solves the equations along the magnetic field axis, and assumes (i) a divergent geometry for magnetic field lines, (ii) a pure plasma (without dust) and (iii) isothermal wind. Holzer, Fla and Leer (1983) argued that wind driven by Alfvén waves from late-type stars only would be possible in an average ion-friction damping length $`L_f0.851.0r_0`$. Since $`L_f`$ is proportional to $`P^2`$ (where $`P`$ is the average Alfvén period), this requires that nature fine-tune $`P1.77\times 10^4s`$. For long wave period ($`P>10^4s`$), the wave damping length is large and the ion-neutral friction damping is not important (De Pontieu, Martens & Hudson (2001)). On the other hand, Davila (1985) emphasized that on the surface of the Sun one might expect that boundary effects may be important, and a WKB approximation may not be valid whenever the MHD wavelength ($`\lambda `$) becomes greater than $`d10^{10}cm0.14r_0`$, the characteristic transverse dimension of a solar coronal hole, in despite of Usmanov et al. (2000) that used a WKB approximation for the solar wind, in comparison with Ulysses data. We assume an Alfvén wave flux with an averaged wavelength $`\lambda <0.5r_0`$ such that the WKB approximation is valid. JPO used a wave period $`P>10^4s`$ and discussed other possible damping mechanism for Alfvén waves such as nonlinear damping, resonant surface damping and turbulent damping. They show that these damping processes can produce acceptable winds in late-type giant stars. We extend the JPO model including a simulation of a strong damping of Alfvén waves, possibly due to a grain interaction, and the effect of radiation pressure in the wind acceleration. The changes in the velocity profile of the wind are compared with the pure plasma and isothermal model.

In section 2, we briefly describe the JPO model. In section 3, we present the inclusion of grain interaction with Alfvén waves in a non-isothermal temperature profile and the radiation pressure on grains. In section 4, we apply this magnetic-radiation model in a K5 supergiant star and $`\alpha Ori`$ and discuss the results. In section 5 we summarize our conclusions.

## 2 The Model

The model suggested by JPO for mass loss in late-type stars takes into account our knowledge of coronal holes in the Sun. From surface, the magnetic field configuration is divergent, and after a transition radius, $`r_T`$, it becomes radial. The net non-radial expansion at this region is given by the factor of $`F\frac{\mathrm{\Omega }}{\mathrm{\Omega }_0}=7.26(r<3R_{})`$ (Munro & Jackson (1977)). JPO used $`F=10`$ for supergiant stars. They used the diverging geometry for the magnetic field suggested by Kuin & Hearn (1982) and Parker (1963) given by

$$A(r)=A(r_0)\left(\frac{r}{r_0}\right)^S,$$
(1)
where $`A(r)`$ is the cross section of the geometry at a radial distance $`r`$, $`r_0`$ is the initial radius and $`S`$ is a parameter that determines the divergence of the geometry up to the transition radius $`r_T`$. The geometry is radial for $`r>r_T`$. JPO analyzed the effect of the change in the opening angle of the magnetic field on mass loss and terminal velocity of a “typical” K5 supergiant star. They used a flux of Alfvén waves as the acceleration mechanism of the wind, with non-linear, surface Alfvén wave absorption and turbulent damping. In the model, for a given initial damping length at $`r_0`$ an upper limit of $`S`$ exist when mass loss stops, $`S_{max}`$. They found acceptable solutions for $`3<S<7`$. They showed for a range of initial damping lengths, $`L_00.10.2r_0`$, and an isothermal atmosphere, $`T10^4K`$, that a divergent geometry can produce the observed large mass loss rates and the small ratios $`u_{\mathrm{}}/v_{e0}1/2`$ of the supergiants.

The momentum equation of the wind may be deduced from continuity equation, conservation of momentum and action. The equation of motion (e.g., eq.  of Holzer, Fla & Leer (1983); eq.  of JPO) is

$$\frac{1}{u}\frac{du}{dr}=\frac{Z}{r}\frac{N}{D},$$
(2)
where $`u`$ is the ejected velocity at the radius $`r`$, $`Z=S`$ for $`r_0rr_T`$ and $`Z=2`$ for $`r>r_T`$. $`N`$ and $`D`$ are given by

$$Nv_{th}^2\left(1\frac{r}{v_{th}}\frac{dv_{th}}{dr}\right)+\frac{1}{4}\left(\frac{1+3M_A}{1+M_A}\right)\delta v^2+\frac{1}{4}\frac{r}{L}\delta v^2\frac{1}{2Z}v_e^2,$$
(3)
$$Du^2v_{th}^2\frac{1}{4}\left(\frac{1+3M_A}{1+M_A}\right)\delta v^2,$$
(4)
where $`v_A=B/\sqrt{4\pi \rho }`$, is the Alfvén velocity, $`v_{th}=\sqrt{kT/(\mu m_H)}`$, is the thermal velocity, $`M_A=u/v_A`$, is the Mach number, $`u`$ is the wind velocity, $`L`$ is the damping length of wave and $`\delta v^2`$ the velocity associated to the magnetic field variation.

The equations were solved in 1-D, along the magnetic field lines, in a cylindrically symmetric geometry, assuming the wave flux consistent with $`\delta B/B<<1`$ and $`P>10^4s`$, which is implicit in the initial damping length. In the present study the fluctuations in velocity, magnetic field and density are small allowing a linear treatment of Alfvén waves (Boynton & Torkelsson (1996)), in despite of e.g. Ofman & Davila (1998) model for solar coronal holes, where the fluctuations of density and velocity were large and a nonlinear treatment of the Alfvén waves were necessary.

## 3 Grains simulation, temperature profile and radiation pressure

### 3.1 Simulation of strong damping of Alfvén waves

In JPO model the Alfvén waves were supposed to be damped by nonlinear process with damping length, $`L_1`$, resonant surface damping, $`L_2`$, and turbulent damping, $`L_3`$, separately although they may contribute jointly. The damping length for each case is given by:

$$L_1=L_{10}\left[\frac{\delta v^2_0}{\delta v^2}\left(\frac{v_A}{v_{A0}}\right)^4\left(1+M_A\right)\right],$$
(5)
$$L_2=L_{20}\left(\frac{r_0}{r}\right)^{\frac{S}{2}}\left(\frac{v_A}{v_{A0}}\right)^2\left(1+M_A\right),$$
(6)
$$L_3=L_{30}\left(\frac{u+v_A}{u_0+v_{A0}}\right)\left(\frac{r}{r_0}\right)^{\frac{S}{2}}\left(\frac{\delta v^2_0}{\delta v^2}\right)^{1/2},$$
(7)
where $`L_{10}`$, $`L_{20}`$, $`L_{30}`$ are the initial damping length for each mechanism and $`u_0`$ is the initial plasma velocity.

The above damping lengths were used in pure hydrogen plasma, $`i.e.`$ there is no grain formation. Experimental (Elfimov et al. (1997)), and theoretical (Havnes, Hartquist & Phillip (1989)), researches show that Alfvén waves are suddenly damped in “dust plasma” environments. Impurities in the wind may increase the dissipation of the Alfvén waves. In the case of a stellar wind, inhomogeneous turbulent regions can occur immediately after the sonic point and they may manifest themselves as a sudden decrease in the damping length. We suppose that a sudden decrease in the damping length is correlated to the presence of grains although we do not treat them physically. This local dissipation may be simulated as an exponential decay of the damping length of the wave with distance given by:

$$L_{grain}L_r=L_{r_1}\mathrm{exp}\frac{r_1r}{A},$$
(8)
where $`r_1`$ is the initial location in the wind where the grains can form which corresponds to the damping length $`L_{r_1}`$ and $`A`$ is a constant that shows how suddenly is the damping decay.

The determination of the grains formation region is highly uncertain, since this region can not be determined by the observations. Gail, Keller and Sedlmayr (1984), Gail and Sedlmayr (1986, 1987) and Clayton et al. (1992, 1995) presented a theoretical nucleation model. Their results determines the region $`1r_0<r<2r_0`$ for SiO grains formation at cool supergiant envelopes, that is named here by “grain formation point” (GFP, hereafter).

Analyzing the dependence of the three previous damping mechanisms in the JPO model vs. $`r`$ (eqs. 5, 6 and 7) we note that all of them have the same behavior in the inner regions of the wind. They initially rise and peak for $`r<2r_0`$ as we can see in Figure THE EFFECTS OF ALFVÉN WAVES AND RADIATION PRESSURE IN DUST WINDS OF LATE-TYPE STARS. It means that considering the region of nucleation given by Gail, $`et`$ $`al.`$ (1984), the model is independent of which initial damping mechanism we use, since differences only occur at large distances. For comparison we plot in Figure 1 these three damping lengths as a function of $`r`$ and the simulation of strong damping of Alfvén waves given by eq. 8. In our simulations we used the nonlinear mechanism ($`L_1`$) from the stellar surface until the region of grain formation and thereafter the wave damping assumes the form given in eq. 8.

\[EDITOR PLACE FIGURE 1 HERE\]

### 3.2 The temperature profile

Observations of the solar atmosphere show that the temperature ($`6000K`$) decreases reaching a minimum temperature at about $`500km`$ above surface and increases slightly after, to $`10^4K`$, into the chromosphere, and then suddenly jumps through a narrow transition layer to $`2\times 10^6K`$ in the corona. The solar wind is an extension and a super-sonic expansion of the solar corona into interplanetary space (Priest (1985)).

As in the Sun, we assume that the same behavior of temperature profile takes place in the giant and supergiant stars. This profile must be consistent with grain formation, since the grains can be formed only at low temperatures regions.

In this work we introduce a temperature profile from a minimum $`2000K`$, above the photosphere, similar to the profile obtained by Hartmann & Avrett (1984) and a rapidly increase to $`10^4K`$ at $`r=2r_0`$. This profile is in agreement with the Gail and Sedlmayr (1986, 1987) theory. Rodgers and Glasshold (1991) modelled the thermal equilibrium of the alpha Ori atmosphere, assuming that heating occurs by grain-gas collisions and by radiation absorption and the cooling occurs by adiabatic expansion and radiative de-excitation. They found a decreasing profile for $`r>2r_0`$, from $`10^4`$ to $`2000K`$ at $`r=10r_0`$. By this way, we combined the solar observations, for sudden increase of temperature in chromosphere, to the Rodgers & Glasshold (1991) model.

### 3.3 Radiation pressure

Many authors have tried to explain the mass loss processes of luminous stars like Wolf-Rayet using only radiation pressure as the accelaration mechanism. The great problem that arises in this star is called “the momentum problem”, that consists of a radiation field momentum lower than the momentum of the wind (Abbott (1978)): $`\eta =\dot{M}u_{\mathrm{}}/(L_{}/c)`$ is in the range $`330`$ (Barlow, Smith & Willis (1981)). dos Santos, Jatenco-Pereira & Opher (1993) presented a model for mass loss in Wolf-Rayet stars where a flux of Alfvén waves acting together with radiation pressure has enough momentum flux and energy flux to drive the wind. They assumed a plasma without dust and isothermal wind.

In order to verify if radiation pressure can be important in driving late-type star wind we include the radiation pressure into the wind equation using an effective escape velocity. Taking a pure radiative driven wind, the force exerted on a grain of radius $`a`$ situated at a distance $`r`$ from a star of luminosity $`L_{}`$ and mass $`M_{}`$ is:

$$F=\frac{\pi a^2QL}{4\pi r^2c},$$
(9)
where $`Q`$ is the mean extinction efficiency factor of the grain, and $`a10^5cm`$ is the grain radius value.

Using the Newton’s Law, the wind equation becomes:

$$u\frac{du}{dr}+\frac{1}{\rho }\frac{dP}{dr}=\frac{GM_{}}{r^2}+\frac{n_d}{\rho }F,$$
(10)
or

$$u\frac{du}{dr}+\frac{1}{\rho }\frac{dP}{dr}+\frac{GM_{}}{r^2}(1\mathrm{\Gamma })=0,$$
(11)
where the factor $`\mathrm{\Gamma }`$ is given by: $`\mathrm{\Gamma }=\frac{n_d}{\rho }\frac{\pi a^2QL_{}}{4\pi cGM_{}}`$, with $`\frac{n_d}{\rho }`$ the ratio of the grain number density to the gas mass density.

If we call:

$$\frac{1}{2}(v_{esc})^2=\frac{GM_{}}{r}(1\mathrm{\Gamma }),$$
(12)
we define the effective escape velocity..

The escape velocity (12) is introduced in equation (3) in the region where the grains may affect the wind dynamics i.e. for $`r>GFP`$ (with $`1.1r_0<GFP<2r_0`$). We assume that most of the radiation is absorbed by the grains in this region. This radiation absorption is partially responsible for grain destruction and acceleration. These accelerated grains are dynamically connected to gas (Lafon & Berruyer (1991); Liberatore, Lafon & Berruyer (2001)), so that the grains transfer momentum to the gas inducing the mass loss.

## 4 Results

This magnetic-radiation driven winds model consider a steady, cylindrically symmetric and 1-D wind emanating from a divergent magnetic field geometry with a temperature gradient similar to the Sun atmosphere. We assume that a flux of Alfvén waves, which properties were defined in earlier sections, are generated near the stellar surface and propagate outward. Since in the inner region of the wind the damping mechanisms already studied in JPO have the same behavior we so use the non-linear one untill the GFP, after that we use the damping length given by eq. 8. In the region of grain simulation ($`r>GFP`$) the radiation pressure in grains, as well as the grain damping, are taken into account from GFP to $`300r_0`$. We applied the model to the K5 supergiant, (model 6 of Hartmann & MacGregor (1980)) and $`\alpha Ori`$.

### 4.1 K5 supergiant star

We used $`M_{}=16M_{}`$, $`B=10G`$, $`r_0=400R_{}`$, $`L_{}=3\times 10^4L_{}`$, $`\varphi _{A0}=3.36\times 10^6ergcm^2s^1`$, $`\mathrm{\Gamma }=0.3`$, $`S=5`$, $`A=0.1`$, the initial damping length $`L_0=0.2r_0`$ and the density on wind basis $`\rho =10^{13}gcm^3`$. The typical velocity and mass loss rate observed for these stars are of order $`u_{\mathrm{}}\frac{1}{2}v_{e0}`$ and $`\dot{M}=5\times 10^7M_{}yr^1`$ (see e.g. Charbonneau & Macgregor (1995); Whitelock et al. (1995); Lamers & Cassinelli (1999); Lindqvist et al. (2000)).

First we performed some simulations in an isothermal wind in order to evaluate the influence of the grains on the terminal velocities, found by previous pure plasma model. The introduction of damping by grains has an important effect in decreasing the flux of Alfvén waves much more effectively than the others damping mechanisms. As a consequence the terminal velocity of the wind reaches lower values as compared with JPO model. Since the grain formation region is not well known, we introduced the damping by grains at different distances from the stellar surface. The models show that as closer to the surface the grain if formed, lower is the asymptotic velocity. This effect is caused by the lose of wave energy by the strong damping, which leaves the wind unsupported against gravity. Decreasing the non-radial expansion factor $`S`$ we can collimate the wave flux into a smaller area accelerating the gas more efficiently. On the other hand, we found that for $`r>2r_0`$ the presence of grains is not important for the wind dynamics. The properties of the model can be seen in Table 1.

\[EDITOR PLACE TABLE 1 HERE\]

The velocity curve obtained by solving the equation of the wind (2) is plotted in Figure THE EFFECTS OF ALFVÉN WAVES AND RADIATION PRESSURE IN DUST WINDS OF LATE-TYPE STARS. For comparison we plot the velocity profile for a pure plasma and isothermal wind (dotted line), and for the magnetic-radiation model (solid line). We may note that the terminal velocity for the magnetic-radiation model is higher than the JPO concluding then that the introduction of grain and temperature profile affect the wind dynamics. The grain presence diminishes the asymptotic velocity, while the introduction of a temperature gradient increases the velocity. For a given density, temperature, magnetic field and GFP (which are all observable) we may adjust the model to the expected values of $`u/v_{eo}`$ and $`\dot{M}`$, by varying the Alfvén wave flux. The best fit occurs for an initial Alfvén wave flux of $`5\times 10^6ergcm^2s^1`$. On the figure 2, for a fixed GFP, we note that the terminal velocity is higher for lower S values due to the consideration of a radiative and non-isothermal atmosphere. In this sense increasing the S value we should have a decrease in the terminal velocity. However, for higher S values there was no sonic point. The observations can be reproduced if we increase the initial Alfvén flux to $`5\times 10^6ergcm^2s^1`$. In the figure we mark the region where we assume the formation of grains.

\[EDITOR PLACE FIGURE 2 HERE\]

Although for supergiant stars the momentum problem is not present, it is interesting to estimate the value of $`\eta `$. For example, for K5 supergiant star using the above values we have $`\eta 0.4`$, lower than 1, but still high considering normal absorption coefficients. Using the above values for the K5 supergiant star, we can estimate the ratio ($`\xi `$) of the initial energy flux of Alfvén waves to the radiation energy flux: $`\xi =\varphi _{A0}/(L_{}/(4\pi r_0^2))10^3`$. This value indicates that the energy flux of Alfvén waves is only a few percent of the stellar luminosity. This relation may be used to estimate the Alfvén wave flux on other stars like Betelgeuse, for example.

### 4.2 Betelgeuse ($`\alpha Ori`$)

Betelgeuse observations give the terminal velocity, $`u_{\mathrm{}}15kms^1`$ and a mass loss rate $`\dot{M}25\times 10^6M_{}yr^1`$ (Loup et al. (1993); Knapp & Woodhams (1991)). We applied the magnetic-radiation model to this star with a temperature profile given by Rodgers and Glasshold (1991). We used the following initial conditions: $`M_{}=8M_{}`$, $`B=10G`$, $`r_0=300R_{}`$, $`L_{}=10^4L_{}`$ and $`\mathrm{\Gamma }=0.7`$, $`S=5`$, $`L_0=0.2r_0`$ and the GFP located at $`r=1.24r_0`$. The Alfvén wave flux can be determined by $`\xi =10^3`$. We found $`\varphi _{A0}=6.9\times 10^6ergcm^2s^1`$. As in the previous section, we performed the calculations until $`r=300r_o`$. However, we show in Figure 3 the resultant velocity profile until $`r=10r_0`$ since for $`r>10r_0`$ the curve becomes flattened showing the same terminal velocity.

\[EDITOR PLACE FIGURE 3 HERE\]

We obtained $`u_{\mathrm{}}16kms^1`$ and $`\dot{M}=4\times 10^6M_{}yr^1`$, very similar to the observations. Betelgeuse also has high UV emission at $`r2r_0`$ region. This emission may be connected to the MHD waves damping (Gilliand & Dupree (1996)) and with a sudden heating of this region, which is in agreement with our model.

## 5 Conclusions

In this work we present a model to study mass loss processes in late-type stars, using an Alfvén waves flux added to radiation pressure as accelerating mechanisms. We simulate the presence of grains in the sense of a strong damping of Alfvén waves in the region $`r>GFP`$ (which is about $`1.1r_0<GFP<2r_0`$). In this region we added the radiation pressure as an acceleration mechanism of the wind. In accordance with grain formation theories and in agreement with observations, we took into account a temperature profile for the wind going from $`2000K`$ above the photosphere, with a rapidly grown to $`10^4K`$ at $`r=2r_0`$ and a decreasing profile for $`r>2r_0`$. The models show that as closer as to the surface the grain is formed, lower is the asymptotic velocity and that the wind velocity is not changed if the region of grain formation is located above $`2r_0`$. Although a number of hypotheses have been made this hybrid model can lead to a more realistic wind and gives more constraint in the physical parameters of the wind. The model was applied to a K5 supergiant star and Betelgeuse, resulting in values that agrees with observations. Further studies will include the physical parameters of the grains as well as their distribution in the wind.

D.F.G and V.J.P. would like to thank the Brazilian agency CNPq for financial and partial support, respectively. D.F.G. would like to thank the Brazilian agency FAPESP for providing computational equipment under grant (No. 96/00677-3). The authors would like also to thank the project PRONEX/FINEP (No. 41.96.0908.00) for partial support.

Figure captions