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# Periodicities in Solar Coronal Mass Ejections

## 1 Introduction

Mid-term quasi-periodicities (one to several months or longer) in various diagnostics of solar flare activities and sunspot numbers or areas etc. during a few years around the solar maximum phase have been extensively searched for and monitored at many electromagnetic wavelengths (Rieger et al. 1984; Kiplinger et al. 1984; Dennis 1985; Ichimoto et al. 1985; Delache et al. 1985; Bogart & Bai 1985; Bai & Sturrock 1987; Oliver et al. 1988; Ribes et al. 1987; Lean & Brueckner 1989; Özgüç & Ataç 1989; Lean 1990; Carbonell & Ballester 1990; Dröge et al. 1990; Pap et al. 1990; Kile & Cliver 1991; Verma et al. 1992; Ballester et al. 1999; Cane, Richardson, & von Rosenvinge 1998). These activities of observational research were triggered by the landmark discovery by Rieger et al. (1984) of a $`154`$-day quasi-period in solar $`\gamma `$-ray flare rates registered by the Gamma-Ray Spectrometer (GRS) onboard the Solar Maximum Mission (SMM) two decades ago. Besides this oft-quoted quasi-period of $``$150-160 days, there are other notable quasi-periods around $``$128, $`102`$, $`78`$, and $`51`$ days during the maxima of different solar cycles (Dennis 1985; Bai 1992; Bai & Sturrock 1991) from various data sets. Empirically, these quasi-periods seem to hint at quasi-subharmonics of equatorial solar rotation period (e.g., Sturrock & Bai 1992; Bai & Sturrock 1993).

As to the plausible physical origin of such quasi-subharmonics with periods longer than the solar rotation period, we proposed recently (Lou 2000a, b) that, in the statistical sense, the existence of equatorially trapped large-scale (scales comparable to $`R_{}`$) Rossby-type waves (Rossby et al. 1939; Papaloizou & Pringle 1978; Provost et al. 1981; Saio 1982; Wolff & Blizard 1986; Wolff 1998) may be ultimately responsible for quasi-periodically modulating or triggering smaller-scale magnetic catastrophes in solar active regions. In this scenario, solar magnetic active regions become, recurrently, vulnerable to catastrophes via statistical accumulations of magnetic stresses and energies through magneto-convective turbulence.

In terms of specific observational diagnostics, we suggested (Lou 2000b) that the photospheric magnetic flux emergence might be triggered via magnetohydrodynamic (MHD) buoyance instabilities (Parker 1955) modulated by equatorially trapped Rossby-type waves owing to the presence of large-scale subphotospheric magnetic flux (Gilman 1969; Lou 1987; see Ballester et al. 2002 for most recent emerging magnetic flux observations), that large-scale coherent velocity patterns or “cells” may exist over the solar surface (see Beck, Duvall, & Scherrer 1998 and Ulrich 2001), and that more precise measurements of solar surface elevation may reveal $`\stackrel{<}{}`$ 0.1” variations (see Kuhn et al. 2000 for much smaller 100-m high “hills” with an azimuthal separation of $`[8.7\pm 0.6]\times 10^4`$km ). As Rossby-type waves involve fairly slow and large-scale vortical oscillatory disturbances with periods longer than the solar rotation period, we speculated (Lou 2000a, b) that an uninterrupted time sequence of large-scale coronal mass ejection (CME) events might contain similar mid-term quasi-periodicities. The LASCO/SOHO global observations of solar CMEs in space offer an unprecedented and unique opportunity for such an investigation. Uninterrupted LASCO/SOHO CME data is now available for four years (February 5, 1999 to February 10, 2003).

Meanwhile, we examine possible mid-term quasi-periodicities for powerful X-ray solar flares of class $`>`$M5.0 and daily averages of Ap index for geomagnetic storm disturbances for several reasons. First, as a proxy of $`\gamma `$ray flares (Rieger et al. 1984), strong X-ray flares are known to contain Rieger-type periodicities during past solar maxima. We would like to reconfirm this feature and provide a test of our current data analysis at the same time. Secondly, strong X-ray flares might correlate with global CMEs in some statistical sense. Thirdly, in terms of both space weather and solar terrestrial interactions, we would like to establish possible correlations among CMEs, intense X-ray flares, and geomagnetic disturbances characterized by daily averages of Ap index. Systematic investigations on quasi-periodicities may reveal such correlations in a unique manner.

For all three data sets, we shall first use Fourier analysis to identify possible quasi-periodicities. To complement the Fourier spectra, we further carry out Morlet wavelet analyses to derive contour plots in period-time domains for the same three time series of CME, X-ray solar flares, and geomagnetic Ap index data, respectively. With a few exceptions, major peaks identified in the wavelet analyses are roughly consistent with major peaks in the Fourier power spectral analyses. Additional information of when certain quasi-periodicities occur or recur in different data sets may provide valuable clues for possible physical connections.

In broader astrophysical contexts, we note in passing that global MHD tidal waves including Alfvén-Rossby type waves (Lou 1987, 2000b, 2001) may give rise to valuable periodic or quasi-periodic signatures from magnetized compact stars such as neutron stars and white dwarfs that are covered by corotating thin yet dense “plasma oceans” involving extremely strong magnetic fields ranging from $`10^7`$ G to $`10^{15}`$ G. It is our desire to use the Sun as an astrophysical laboratory to search for, to identify, and to understand stellar Rossby-type waves.

## 2 Data Analysis and Results
on Quasi-Periodicities

The time sequence of daily CME counts was derived from a preliminary list of LASCO/SOHO compiled by the Naval Research Laboratory (NRL) at the website lasco-www.nrl.navy.mil/cmelist.html. The solar X-ray flare data were taken from the GOES at the website www.ngdc.noaa.gov/stp/SOLAR/solar.html and from the website www.sec.noaa.gov/Data/solar.html. The data of the daily averaged Ap index for geomagnetic storm disturbances were obtained from the WDC of the IAGA at the website swdcdb.kugi.kyoto-u.ac.jp/wdc/Sec3.html.

### 2.1 Fourier Power Spectral Analyses

The uninterrupted data for daily counts of CMEs from LASCO/SOHO are displayed in Fig. 1a. Prior to Feb. 5, 1999, there were several unfortunate interruptions of SOHO operations and those earlier CME data are therefore excluded. Fig. 1b is the Fourier power spectrum of the data shown in Fig. 1a. In spite of the dominance (Fig. 1a and 1b), peak A at $``$1101-day period is not reliable as this period is not much less than the total data length of 1467 days (edge effects). While being preliminary, the next three significant peaks B, C, and D at quasi-periods of $`358\pm 38`$, $`272\pm 26`$, and $`196\pm 13`$ days, respectively, are longer than the usual Rieger-type quasi-periods (Rieger et al. 1984; Dennis 1985; Sturrock & Bai 1992) in the flare-related data (see Table 1 for significant CME power peaks identified). To estimate possible errors in periods of identified power peaks, we take half of the full width at half maximum (FWHM) about a power peak in Fig. 1b as the angular frequency variation $`\mathrm{\Delta }\omega `$. Then the period variation is given by $`\mathrm{\Delta }P=P\mathrm{\Delta }\omega /\omega `$. That is, $`P\pm \mathrm{\Delta }P`$ would give an estimated period variation range for an identified power peak. In the same manner, we have obtained estimates for power spectra of X-ray flares (class $`>`$M5.0) and of daily averages of Ap index (see Table 1 for details). By Table 1, $`\mathrm{\Delta }P`$ increases with increasing $`P`$ in general.

For time series of the daily CME data shown in Fig. 1, we took the following steps to estimate the statistical significance of Fourier spectral power peaks (e.g., Delache et al. 1985). First, the daily CME data is picked at random within the time sequence and rearranged several to more than ten times to form an artificially randomized sequence (similar to the process of shuffling cards) with much reduced coherent periodic signals if any. For such a white noise sequence of independent Gaussian distributions with variance $`\sigma ^2`$, a Fourier transform would yield a power spectrum characterized by a probability distribution $`p(w)=\mathrm{exp}[w/(2\sigma ^2)]`$ for spectral powers greater than a preset value $`w`$. The approximate straight line of symbol $`+`$ in Fig. 1c represents the natural logarithm of $`p(w)`$, $`\mathrm{ln}[p(w)]`$, versus $`w`$ for an artificially randomized CME data sequence with a variance of $`\sigma ^21.46\times 10^3`$ ($`\sigma 3.8\times 10^2`$) estimated from the slope of this line. The relevant $`\sigma `$-levels of fluctuation amplitudes are then shown (viz., the two horizontal dashed lines in Fig. 1b corresponding to 3-$`\sigma `$ and 4-$`\sigma `$ levels as well as a sequence of numeral marks on top of Fig. 1c). Next, the natural logarithm of probability for spectral powers greater than a preset value $`w`$ is estimated from the power spectrum of the actual daily CME counts (symbol $``$ in Fig. 1c). A comparison of the two curves in Fig. 1c clearly indicates that for powers greater than the $`3\sigma `$-level, the CME data starts to depart from random noises. Power peaks B through K in Fig. 1c are regarded as significant. Periods of peaks J and K are $`36\pm 0.4`$ and $`33\pm 0.4`$ days, respectively. We ran the same test procedure for the other two data sets and obtained qualitatively similar properties. That is, for both Ap index and X-ray solar flares of class $`\stackrel{>}{}`$ M5.0 data sets examined below, deviations from random noises are also notable for power peaks $`\stackrel{>}{}\mathrm{\hspace{0.33em}3}\sigma `$-level (see Figs. 2c and 3c).

It should be noted that such a procedure can be executed whatever the count distribution of the original data sequence may be. In fact, we have obtained data count distributions about the respective means for all three data sequences (i.e., CMEs, X-ray flares, and Ap index). It turns out that both CME and X-ray flare data more or less follow a Poisson distribution (that is, $`P_\mu (\nu )=\mathrm{exp}(\mu )\mu ^\nu /\nu !`$ where $`\mu `$ is the mean count rate and $`\nu `$ is the actual count rate; see e.g., Taylor 1981), while the Ap data deviate significantly away from a Poisson distribution (not surprisingly).

Entirely parallel to the panel arrangement of Fig. 1, Figure 2 presents a similar analysis on daily counts of X-ray solar flares of class $`\stackrel{>}{}`$ M5.0 from the GOES. By Fig. 2c, the estimated variance is $`\sigma ^23.52\times 10^5`$ ($`\sigma 5.9\times 10^3`$). As a confirmation, the X-ray flare data in Fig. 2a does contain the familiar Rieger or Rieger-type quasi-periodicities $`\stackrel{<}{}\mathrm{\hspace{0.33em}157}\pm 11`$ days (see Fig. 2b and Table 1 for power peaks identified in the solar X-ray flare data) which do not have significant counterparts in the CME power spectrum except for periods of $`34\pm 0.5`$, $`39\pm 0.6`$, and $`98\pm 3`$ days (Fig. 1b and Table 1). As we deal with the most powerful X-ray flares, this appears to be consistent, in trend, with the fact that Rieger-type quasi-periodicities were first discovered (Rieger et al. 1984) in $`\gamma `$ray flares by the SMM/GRS followed by detections in soft X-ray flares (Kiplinger et al. 1984). Note that peak B of $`259\pm 24`$-day period appears significant enough ($`>4\sigma `$ level) and may be related to the $`272\pm 26`$-day period in the CME data. For reasons noted earlier, peak A at $`1505\pm 589`$-day period again might not be reliable even though its apparent confidence level is merely slightly $`\stackrel{<}{}\mathrm{\hspace{0.33em}95}\%`$.

Similarly, Figure 3 contains the relevant information of the daily averaged Ap index for geomagnetic storm disturbances, with an estimated variance $`\sigma ^20.08`$ ($`\sigma 0.28`$). Power peaks C and D in Fig. 3b at periods $`273\pm 26`$ and $`187\pm 12`$ days may correspond to the two peaks at periods $`272\pm 26`$ and $`196\pm 13`$ days of the CME data in Fig. 1b. There also exists a fairly prominent peak H ($`>4`$-$`\sigma `$ level) at a $`28\pm 0.2`$-day period. The $`138\pm 6`$-day period might correspond to the $`157\pm 11`$-day period in X-ray flare data; admittedly, this correspondence is somewhat weak given the ranges of error estimates. Should this correlation be real, then there might exist subclasses of geomagnetic disturbances which are proportionally correlated with major X-ray solar flares (class $`>`$M5.0). As already suspected, the $`941\pm 250`$-day period may not be reliable due to edge effects. In sharp contrast, by a visual inspection of Fig 3a and 3b, the most dominant power peak D at period of $`187\pm 12`$ days for Ap index should be physically real. In Fig 3, the prominent peak H around $`28\pm 0.2`$-day period in the daily averaged Ap index is physically identified with the solar rotation that recurrently brings high-speed solar wind streams from low-latitude coronal holes towards the Earth’s magnetosphere. Note that this $`28\pm 0.2`$-day period is almost absent in the CME data.

### 2.2 Considerations of Statistical Significance

Figs. 1c, 2c, and 3c provide a sense of statistical significance for power peaks identified in the periodograms of CME, X-ray flare, and daily averaged Ap index data, respectively. Basically, when a spectral amplitude (square root of a power peak) becomes higher than the $`3\sigma `$-level, the statisitics of corresponding power peaks in the periodograms (asterisks $``$) starts to deviate from power peaks derived from randomized data series (crosses $`+`$). The higher the spectral amplitude, the larger the deviation in statistics.

Any one of the time series analyzed here contains random fluctuations that may not necessarily obey Gaussian distribution. The corresponding power spectrum naturally contains random variations. For independent daily counts of sufficiently large number in a data sequence, the corresponding Fourier amplitudes obey Gaussian distribution by the central limit theorem (e.g., Fan & Bardeen 1995). Therefore, the power probability distribution of $`ZP(\omega )`$ being in the interval $`z<Z<z+dz`$ is $`Pr\{z<Z<z+dz\}=\mathrm{exp}(z)dz`$ where $`P(\omega )`$ is normalized by $`\sigma ^2`$. The cumulative distribution function is $`Pr\{Z<z\}=_0^z\mathrm{exp}(z^{})𝑑z^{}=1\mathrm{exp}(z)`$. Consequently, the probability for $`Z>z`$ is $`Pr\{Z>z\}=\mathrm{exp}(z)`$. To search for the maximum value of power peaks among $`N`$ independent frequencies such that $`Z`$ are independent random variables, the corresponding probability is

$$Pr\{Z_{max}>z\}=1[1\mathrm{exp}(z)]^N.$$

By this expression, it follows that a preset threshold $`z=z_0`$ for power peaks among $`N`$ independent variables is related to the probability (false alarm probability $`p_0`$) that a peak, being produced randomly by chance, is greater than $`z_0`$ (Lomb 1976; Scargle 1982; Ballester et al. 2002).

To further assess the statistical significance of power peaks in Figs. 1 to 3 in this approach, we estimate the detection threshold $`z_0=ln[1(1p_0)^{1/N}]`$ in spectral power with a false alarm probability $`p_0`$, where $`N`$ is the number of independent frequencies over which a power peak is searched for (Scargle 1982). In our case, $`N=734`$ (a half of the total number of days of observations); for a false alarm probability $`p_0=0.01`$ ($`99\%`$ confidence), we have a detection threshold of $`z_011.2\sigma ^2`$ and for $`p_0=0.05`$ ($`95\%`$ confidence), we have a detection threshold of $`z_09.6\sigma ^2`$. In Fig. 1, peaks $`BD`$, $`F`$, $`G`$, $`J`$, $`K`$ are above the $`99\%`$ confidence level; and peaks $`E`$, $`H`$, and $`I`$ are above the $`95\%`$ confidence level. In Fig. 2, peaks $`BE`$ and $`HJ`$ are above the $`99\%`$ confidence level. In Fig. 3, peaks $`C`$, $`D`$, $`H`$, $`I`$, and $`J`$ are above the $`99\%`$; and peaks $`B`$, $`F`$, $`G`$, and $`K`$ are above the $`95\%`$ confidence level.

The tentative correlation found between mid-term quasi-periodicities of the CME and Ap data (Figs. 1 and 3) can be of physical significance. Besides the cause of recurrent high-speed solar winds with southward interplanetary magnetic fields for geomagnetic disturbances, a geomagnetic storm may set in when a CME or a part of a CME impinges upon the Earth’s magnetosphere (Cane et al. 2000; Wang et al. 2002). 111For example, Jupiter’s hectometric radio emissions and extreme ultraviolet aurorae were found to be triggered by arrivals of interplanetary shocks according to simultaneous observations of the Cassini and Galileo spacecraft (Gurnett et al. 2002). Among all solar CMEs, there is certainly a significant fraction that miss the Earth’s magnetosphere owing to their various initial onset orientations over the solar surface. Statistically, the probability, roughly proportional to the solid angle subtended by the Earth’s magnetosphere towards the Sun, that CMEs hit the Earth’s magnetosphere is higher for more frequent occurrence of CMEs. It is in this proportional sense that periodicities in CME and Ap data should correlate with each other. This is an important perspective for probing solar-terrestrial interactions and space weather conditions. This empirical correlation also strengthens our confidence that the two low-frequency power peaks C and D in the CME data are likely to be physically real.

The solar X-ray flare $`259\pm 24`$-day period is close to the CME $`272\pm 26`$-day period and the Ap $`273\pm 26`$-day period. If not coincidental by chance, this might indicate a certain causal relation among energetic X-ray solar flares ( $`\stackrel{>}{}`$ M5.0) and CMEs. Meanwhile, we caution that it would be premature to claim the existence of different types of solar flares associated with global CMEs.

### 2.3 Morlet Wavelet Analyses

As already noted earlier, mid-term quasi-periodicities of various solar flare related diagnostics may change for maxima of different solar cycles. It is thus of considerable interest to see whether such periodicities change within a few years around the maximum phase of a solar cycle. It is also important to check whether power peaks of Fourier spectral periods and of wavelet contour timescales have reasonable correspondence. For correlation studies of different time series data, it is crucial to know at what times certain periodicities occur or recur.

For these purposes, we perform wavelet analysis on the three time series for the CMEs, solar X-ray flares, and Ap index using the Morlet wavelet function

$$\psi _0(\eta )=\pi ^{1/4}e^{i\omega _0\eta }e^{\eta ^2/2}$$
(1)
where $`\omega _0=6`$ is chosen. The Fourier time period $`\tau `$ and the Morlet wavelet timescale $`s`$ are related by

$$\tau =4\pi s/[\omega _0+(2+\omega _0^2)^{1/2}]$$
(2)
(see Table 1 of Torrence & Compo 1998). For our choice of $`\omega _0=6`$, it follows from equation (2) that $`\tau =1.033s`$, namely, Fourier periods and Morlet wavelet timescales are nearly equal to each other. The wavelet transform suffers from edge effects at both ends of the time series. This gives rise to a cone of influence (COI) as indicated by regions below the dashed lines in Figures 4, 5, and 6. Caused by padding zeroes at the beginning and at the end of data series, these edge effects usually lead to a power reduction within the COI. For further detailed technical information of Morlet wavelet analysis, one may visit the website at http://paos.colorado.edu/research/wavelets/wavelet2.html.

At the 99 percent confidence level (1 percent significance) and using the Morlet wavelet function defined by equation (1), contour plots in period-time (or equivalently, scale-time) domains with color coding are shown for the CME, X-ray solar flares, and Ap index data in Figures 4, 5, and 6, respectively, and corresponding contour peaks are summarized in Table 2.

Comparing Table 1 and Table 2, we find that CME Fourier periods $`B`$, $`D`$, $`F`$, and $`J`$ at $`358\pm 38`$, $`196\pm 13`$, $`100\pm 3`$, and $`36\pm 0.4`$ days roughly correspond to CME Morlet periods $`A`$, $`B`$, $`C`$, and $`E`$ at $`343`$, $`187`$, $`102`$, and $`36`$ days, respectively; X-ray flare Fourier periods $`B`$, $`C`$, $`F`$, and $`I`$ at $`259\pm 24`$, $`157\pm 11`$, $`68\pm 2`$, and $`39\pm 0.6`$ days roughly correspond to X-ray flare Morlet periods $`A`$, $`B`$, $`C`$, and $`E`$ at $`243`$, $`144`$, $`66`$, and $`39`$ days, respectively; and Ap index Fourier periods $`C`$, $`D`$, and $`G`$ at $`273\pm 26`$, $`187\pm 12`$, and $`61\pm 2`$ days roughly correspond to Ap index Morlet periods $`A`$, $`B`$, and $`C`$ at $`288`$, $`187`$, and $`66`$ days, respectively.

The most prominent match is the $`187`$-day period in both CME and Ap index data (this quasi-periodicity is also present in corresponding Fourier power spectra). As already noted earlier, we suspected that this Ap index periodicity was driven by periodic CMEs. These comparisons suggest that CMEs and Ap index for geomagnetic disturbances may proportionally correlate with each other in both periods and time. We categorically emphasize that power peaks in Ap index data around $`181187`$ days are so prominent in Figs. 3a, 3b, and 6, and that they should be physically real for whatever origin. Here, the evidence lends support for the CME-driven scenario in the statistical sense.

Wavelet power peak in C$``$D range of Fig. 6 (Ap index) and wavelet power peak in C$``$D of Fig. 5 (X-ray flares) have comparable timescales of $`66`$ days. They occur around the same time and may be interpreted as flare-driven periodicities in Ap index data. There is also a match around periodicity of $`39`$ days in both X-ray flare and Ap index data. However, there is a time difference for the two relevant power peaks in CME and X-ray flare data. From such information alone, correlations between solar X-ray flares and CMEs at these timescales are not immediately clear.

### 2.4 A Test of Incomplete X-Ray Flare Data

Such CME mid-term quasi-periodicities (present in both Fourier spectrum and Morlet wavelet analyses), if confirmed by further independent observations, offer novel diagnostics for probing and understanding the physical origin of CMEs (e.g., Hundhausen 1999; Low 2001). Up to this point, one major question arising from our comparative data analysis is that there are mid-term quasi-periodicities in the LASCO/SOHO data for CMEs but these periodicities, except for a few, are largely independent of the Rieger-type quasi-periodicities detected in various phenomena associated with energetic X-ray solar flares.

While the SOHO/LASCO data of CMEs including all halo events is the most complete one, the X-ray solar flare data of the GOES suffer incompleteness because one cannot see the other half of the Sun at any given moment. Might this be the cause of differences in some quasi-periodicities seen in CMEs and solar X-ray flares? We designed a simple test to address this issue with the assumption that a strong X-ray solar flare occurs at one footpoint of a CME. In this scenario, a CME may be related to one flare at most. For example, we may observe a CME without seeing an intense X-ray flare perhaps because one footpoint of the CME is located on the frontside but another is located on the backside of the Sun and the corresponding flare happens at the footpoint on the backside. By all combinations, $`M`$ CMEs per day may correspond to $`M+1`$ (0,1,…,M) possible X-ray flare counts on the frontside of the Sun. Based on the CME data, we then rely on a random number generator to select one of the possibilities as observable flare events per day. The key features of the resulting power spectrum thus obtained do not change significantly for arbitrary trials. This test seems to indicate that should a more complete data set of solar flares be available, the major quasi-periodic features in the power spectrum would remain.

## 3 Mid-Term Quasi-Periodicities

On the basis of our data analyses reported here, it appears that, with high probability, mid-term quasi-periodicities do exist in association with diagnostics of various solar activities (CMEs and X-ray solar flares) as well as geomagnetic disturbances (Ap index). Some of the overlapping quasi-periodicities might reveal underlying physical causes. We shall discuss qualitatively plausible physical connections.

### 3.1 Quasi-Periodicities in Flux Emergence

Regarding the theoretical suggestion of equatorially trapped Rossby waves (Lou 2000a, b) for Rieger-type periodicities in flare-related diagnostics, we note that intuitively, solar flare rate and emergence of complex magnetic regions of sunspots or sunspot groups should relate to each other in a statistically correlated manner (Oliver et al. 1998; Ballester et al. 1999, 2002). Empirically, nearly all solar flares are found close to sunspots or sunspot groups and often seen as brightenings of the pre-existing plages; the observed quasi-periodicities (Bai 1992; Oliver et al. 1998) in sunspot areas or number of sunspot groups do indeed correlate with those of flare occurrence rates. Is this merely a coincidence? Or, does this actually hint at an underlying global mechanism? We here discuss two seemingly independent aspects, namely, the emergence of magnetic fluxes and the occurrence of solar flares, even though the two aspects should in some sense be related to each other empirically.

Whether magnetic fields are generated deep in the Sun’s radiative interior (e.g., Gough & McIntyre 1998) or at the bottom of the solar convection zone (e.g., Rosner & Weiss 1985), some of these magnetic fluxes must somehow float upward through the convection zone and eventually break through the thin photosphere by magnetic buoyancy (Parker 1955, 1979) to buckle upwards above the solar surface, forming sunspot pairs or groups. In the absence of a global quasi-periodic modulation mechanism, such process of magnetic flux emergence should be completely random. The observed quasi-periodicities in magnetic flux emergence would be consistent with (though by no means necessary) the presence of large-scale Rossby-type waves of comparable periodic timescales. Generally speaking, equatorially trapped Rossby-type waves (Lou 2000a, b) can dynamically affect subsurface as well as emerged large-scale magnetic fields (e.g., magnetic active regions) through squeezing, twisting, stretching and vortical motions, even though spatial scales of (emerged) individual sunspots or sunspot groups are relatively small.222The process leading to the formation of such intense magnetic structures is nonlinear and complicated (Parker 1955). More specifically, such equatorially trapped Rossby-type waves may tip off vulnerable regions for the onset of magnetic buoyancy instabilities via dynamic couplings. This plausibly links quasi-periodicities detected in sunspot areas or number of sunspot groups (Lean 1990; Oliver et al. 1998; Ballester et al. 1999, 2002) with equatorially trapped Rossby-type waves.

### 3.2 Quasi-Periodicities in Flare Diagnostics

The occurrence of solar flares involves sudden releases or bursts of considerable magnetic energies accumulated over a certain period of time (e.g., Parker 1979). It is almost impossible to predict the location and time of a solar flare.333This situation is analogous to hurricanes, earthquakes, and tornadoes in that vulnerable environments for their occurrences can be identified with relative ease while their specific occurrence location and time are very difficult to pinpoint or predict. As magnetic fields associated with sunspots or sunspot groups are strong in strengths and complicated in structures, it is quite natural to somehow have a significant amount of magnetic energy stored in special ways as magnetic fields gradually evolve in time (Low & Lou 1990; Lou 1992). In contrast to nanoflares (Parker 1994) which frequently release magnetic energies on smaller scales (e.g., X-ray bright points) for heating the lower corona, this accumulation (or storage) stage of magnetic energies is necessary for flare phenomena in general otherwise solar flares would not be so violent and explosive (e.g., Zirin 1988). At critical moments, small disturbances of whatever origin may trigger magnetic avalanches, leading to productions of energetic particles and wide-spectrum electromagnetic radiations. Only in this sense, a sustained passage of Rossby-type waves can increase statistically the chance of flare occurrence in preexisting vulnerable magnetic complexes and thus impose quasi-periodicities to various diagnostics associated with X-ray solar flares.

### 3.3 Dynamic Feedback Cycle

Having argued heuristically about possible roles of equatorially trapped Rossby-type waves in triggering the emergence of magnetic fluxes and the onset of solar flares in a statistically correlated manner, we need to address the pressing question of Rossby-type wave excitation (Lou 2000a, b). Whether such waves (with much weaker magnitudes) exist or not during the solar minimum phase is not presently known. Nevertheless, preceding discussions require their presence as a large-scale coordinating mechanism during the solar maximum phase.

As a solar flare or a CME goes off, a fraction of their energies will back react on the solar photosphere and appear in the form of traveling disturbances. Collectively, a fraction of total flare or CME energies may provide a necessary energy source for generating and sustaining equatorially trapped Rossby-type waves during a few years around solar maxima. In this scenario, a dynamic feedback cycle may be established to sustain quasi-periodicities in magnetic flux emergence and flare activities. Failure of sustaining such a feedback cycle leads only to occasional periodicities in flare activities (see Fig. 5). This may explain why during maxima of some solar cycles, the 150-day quasi-periodicity becomes so prominent (Oliver et al. 1998) while in others it could be almost absent with yet different periodicities more overwhelming (cf. Bai 1992; Bai & Sturrock 1991, 1993; Sturrock & Bai 1992) — the dominant periodicity can be different during solar maxima of different solar cycles (e.g., Bai & Sturrock 1991; Bai 1992) and for different diagnostics (Oliver et al. 1998; Ballester et al. 1999, 2002). Fig. 5 clearly shows time variations of periodicities even within a few years of the recent solar maximum phase (cycle 23). This proposed feedback scenario leaves considerable rooms for possible correlations among intensities/rates of solar flares, selection of periodicities, and distribution of sunspot groups on both northern and southern sides of the solar equator during solar maxima and therefore also requires further explorations.

### 3.4 Quasi-Periodicities in CME Diagnostics

CMEs from the solar limb have been routinely monitored by various coronagraph observations (cf. Hundhausen 1999 for SMM results). With the ongoing Solar and Heliospheric Observatory (SOHO) mission in space, even relatively weak CME halo events444The strengths of these halo CMEs are not necessarily weak. They are not as easy to detect merely because they originate somewhere within the solar disk. can now be readily detected as well. By combining SOHO and ground-based observations, it is possible to construct a fairly complete time sequence for CMEs occurrence.

CMEs represent a major class of large-scale solar activities involving magnetic field and perhaps sub-photospheric magnetic flux emergence. Physically, CMEs are characterized by large-scale eruptive mass losses from the Sun into the solar wind (Hundhausen 1999) and are thought to be caused by a sudden loss of magnetic equilibria (Low 1990) as photospheric magnetic field structures evolve gradually in time. The primary energetics of CMEs is believed to be magnetic in nature. At a critical stage of large-scale magnetic structure evolution, a CME may be triggered by disturbances. As a systematic and quasi-periodic source of large-scale disturbances at the photospheric level, equatorially trapped Rossby-type waves may modulate CMEs in a periodic yet statistical manner.

## 4 Application of Rossby-Type Waves

Our comparative observational research is motivated by the known mid-term quasi-periodicities, namely, Rieger-type periodicities, in various solar flare related diagnostics and our analysis here on X-ray flares (class $`>M5.0`$) during the recent solar maximum of cycle 23 confirms once again the existence of such Rieger-type periodicities. What is then the underlying physics for such “discrete quasi-periods” arranged roughly like subharmonics and significantly longer than the solar rotation period if they are indeed real? Solely from the perspective of period matchings, it appears that solar Rossby-type waves are the best bet for such discrete subharmonic quasi-periodicities, although many questions remain to be addressed for this proposal (Lou 2000a, b).

Now given the global nature as well as randomness of CME events, how does one infer the underlying physics for mid-term quasi-periodicities (see Fig. 1 and Table 1) longer than those of the Rieger type? The reality of such mid-term quasi-periodicities for CMEs appears to be indirectly supported by the presence of similar quasi-periodicities in the daily average of Ap index (see Fig. 3 and Table 1). The basic rationale for such a remote connection is that quasi-periodic CMEs should lead to quasi-periodic geomagnetic disturbances when a fraction of CMEs encounter the Earth’s magnetosphere. It is certainly possible to match the identified quasi-periods of CMEs with periods of Rossby-type waves (Lou 2000a, b) as we did for Rieger-type periodicities. However, as shown in Table 1, longer periods have larger error ranges comparable to the equatorial solar rotation period, that is, the accuracy is insufficient to warrant a one-to-one correspondence without ambiguities.

With these qualifications and limitations in mind, we shall nevertheless discuss several empirical, intuitive and conceptual aspects of mid-term quasi-periodicities in reference to equatorially trapped Rossby-type waves.

For Rieger-type periodicities, we may estimate the quasi-periods of equatorially trapped Rossby-type waves by taking $`m=12,10,8,6`$ and 4 with $`n=1`$ or $`2`$ in expressions (13) and (15) of Lou (2000b). We suspect that the spatial distribution of sunspot groups or active regions along the equatorial zone might be one important factor in the selection of the two integers $`m`$ ($`k_xm/R_{}`$ is the azimuthal wavenumber) and $`n`$ (number of nodes for a Rossby wave function along a longitude) during the solar maximum phase. By definition, a solar minimum is characterized by a fewer number of sunspots and thus less activities. During a solar maximum in contrast, radio images of the Very Large Array (VLA) as well as X-ray images from Yohkoh reveal two quasi parallel chains of 5 or 6 emission-intense “blobs” from sunspot groups or magnetic complexes on both northern and southern hemispheres.555In some cases, the separation of different “blobs” may involve certain ambiguities. Sometimes, one might hesitate as whether to count a “blob” at the limb or not. For the present purpose, we mainly focus on the basic concept of such mode selection. As these “blobs” are sites of frequent flare occurrence, excited equatorially trapped Rossby-type waves are likely to concentrate their powers in the relevant $`m`$ which roughly corresponds to the number of “blobs” around the Sun. For $``$5 or 6 active centers in the solar disk facing us, $`m`$ would then be $``$10 or 12 around the circumference. In turn, Rossby-type wave disturbances will statistically trigger more flares in active regions. In essence, this is part of the dynamic feedback cycle outlined earlier.

Likewise, the gross symmetry for the numbers of active regions across the equator would correspond to $`n=2`$. Thus, equatorially trapped Rossby-type waves with $`n=2`$ might be favorably excited given the presence of two belts of sunspot groups across the equator. It should be noted that for wave modes with even $`n`$, the north and south are symmetric with respect to the equator; and for wave modes with odd $`n`$, the north and south are antisymmetric with respect to the equator. Of course, for a mixture of Rossby-type wave modes with both odd and even $`n`$, it is not possible to identify a symmetry with respect to the equator in the strict sense.

Observationally, the distribution of active regions is sometimes not grossly symmetric with respect to the equator during a certain epoch of a solar maximum phase and this situation may correspond to odd values of $`n`$. This might be the cause of north/south asymmetries sometimes observed in periodicities of flare rates (e.g., Bai 1987). One should keep in mind that for $`n=1`$ or $`2`$ and $`m4`$, the angular wave pattern speeds $`\omega _p\omega /m`$ of equatorially trapped Rossby-type waves are approximately proportional to $`2\mathrm{\Omega }_{}/m^2`$. The larger the value of $`m`$, the slower the angular wave pattern speed $`\omega _p`$. By including effects of surface elevation (see equations 1-3 of Lou 2000), periods of Rossby-type wave crest bumping into the next adjacent active region are $`2\pi /|m\omega _p|`$ as specifically given by expressions (13) and (15) of Lou (2000b), namely,

$$P_rP_{}\{|m|/2+(2n+1)\mathrm{\Omega }_{}R_{}/[|m|(gD)^{1/2}]\}$$
(3)
for Rossby-wave periods, and

$$P_{rp}\{|m|+[m^2+8\mathrm{\Omega }_{}R_{}/(gD)^{1/2}]^{1/2}\}P_{}/4$$
(4)
for Rossby-Poincaré-wave periods, respectively, where $`P_{}2\pi /\mathrm{\Omega }_{}`$ is the Sun’s sidereal rotation period, $`\mathrm{\Omega }_{}R_{}2\text{ km s}^1`$ is the equatorial solar rotation speed and $`(gD)^{1/2}`$ is the solar surface gravity wave speed with $`g2.7\times 10^4\text{ cm s}^2`$ being the solar surface gravity and $`D`$ (of a few hundred kilometers) being an effective thickness of the photospheric layer.

The solar photosphere is magnetized with well-known inhomogeneities on smaller scales such as concentrations of intense magnetic fibrils ($`10^3`$ G) along boundaries of supergranules whose typical diameters are on the order of $`3\times 10^9`$ cm and appearances of sunspots or sunspot groups (of sizes comparable to that of a typical supergranule) with magnetic field strengths up to $`34\times 10^3`$ G. Subsurface horizontal magnetic fields $`B_h`$ (e.g., Babcock & Babcock 1955) may well be patchy on large scales of the order of $`LR_{}`$ and might be fairly strong deep in the solar interior (e.g., Gough & McIntyre 1998). However, as the gas density $`\rho `$ increases rapidly with depth by gravitational stratification, the value of the Alfvén wave speed $`C_AB_h/(4\pi \rho )^{1/2}`$ may not be very large (say, $`C_A\stackrel{<}{}`$ a few km s-1 in the overshoot layer suspected to be strongly magnetized).

In terms of large-scale magnetohydrodynamic (MHD) wave propagations in a thin layer with a relatively small $`C_A`$ and a relatively large azimuthal perturbation scale, the role of subsurface magnetic field $`B_h`$ may be crudely assessed (Lou 1987). The presence of $`B_h`$ introduces a large-scale horizontal magnetic pressure force in addition to the quasi-hydrostatic pressure force $`\rho g\eta `$ caused by the surface elevation $`\eta `$ and thus effectively increases the surface wave speed in the form of $`c_L(gD+C_A^2)^{1/2}`$ where $`D\stackrel{<}{}\mathrm{\hspace{0.33em}500}`$km is an estimated photospheric layer thickness and $`g=2.7\times 10^4\text{ cm s}^2`$ is the solar surface gravity. Replacing the surface wave speed $`c(gD)^{1/2}`$ by $`c_L`$ here, expressions (7) and (11) of Lou (2000b) then give increased frequencies of equatorially trapped Kelvin- and Poincaré-waves (thus shorter periods than a couple of days), whereas expressions (13) and (15) of Lou (2000b) (or equations (3) and (4) here) show that the frequencies of equatorially trapped Rossby-type waves remain more or less unchanged because they are primarily determined by the solar rotation rate $`\mathrm{\Omega }_{}`$ and the minor correction term involves the speed ratio $`\mathrm{\Omega }_{}R_{}/(gD+C_A^2)^{1/2}`$ which is reduced further by the presence of $`B_h`$. For Rossby-type waves, this allows more nearby frequencies to be packed into the frequency groups labeled by $`m`$ with different values of $`n`$.

## 5 Other Circumstantial Evidence for Rossby-Type Waves

While solar Rossby-type waves or $`r`$-modes have been proposed along several lines of research (Papaloizou & Pringle 1978; Wolff 1998; Lou 1987, 2000a, b), there is no direct solid evidence so far for their detection at the solar photosphere except for a few tantalizing cases discussed below. We intend to stimulate further investigations of this problem both observationally and theoretically .

The velocity correlation analysis on the data from the Solar Oscillation Investigation/Michelson Doppler Imager (SOI/MDI) revealed stationary “long-lived velocity cells” (Beck et al. 1998) located along the solar equatorial zone. In terms of horizontal surface velocities (a few meters per second) and spatial scales ($`50^{}`$ in longitude), it is inevitable on theoretical ground that such large-scale “velocity cells” should travel in the form of Rossby-type waves relative to the Sun at speeds slower than the solar rotation (Lou 1987, 2000a, b). An azimuthal scale of $`50^{}`$ may correspond to an azimuthal wave integer $`m=6`$ or 7 which would give an equatorially trapped Rossby wave period $`\stackrel{>}{}\mathrm{\hspace{0.33em}77}`$ but $`\stackrel{<}{}\mathrm{\hspace{0.33em}102}`$ days (Lou 2000b). The diagnostic approach of Beck et al. (1998) is promising, although more sophisticated velocity correlation analyses of the SOI/MDI data are required in order to extract signals of large-scale, slowly drifting Rossby-types wave patterns over the solar photosphere.

Using the solar limb data from the SOI/MDI, Kuhn et al. (2000) reported periodic signals of 100 m high “hills” that are separated by an azimuthal scale of $`(8.7\pm 0.6)\times 10^4`$km. Note that this surface elevation of $`100`$ m is some $`700`$ times smaller than the upper limit of 0.1” estimated by Lou (2000b). Uncertainties in such an estimate involves the effective thickness $`D`$ of the solar photosphere and the extent of partial cancellations in the horizontal velocity divergence $`_{}\stackrel{}{v}_{}`$. The more precise result of Kuhn et al. (2000) casts serious doubts on earlier attempted measurements of variations in the solar diameter (e.g., Delache et al. 1985; Ribes et al. 1987; Yoshizawa 1999). If such solar limb elevations are indeed induced by Rossby waves with an azimuthal wave integer $`m=50`$, then the corresponding equatorially trapped Rossby wave drifts at an extremely slow speed relative to the Sun with a period of $`625`$ days. It is somewhat surprising that limb elevations caused by Rossby-type waves with smaller values of $`m`$ were not detected by the same technique of Kuhn et al (2000).

Combining the data from the SOI/MDI and the Global Oscillation Network Group (GONG), Ulrich (2001) obtained persistent patterns of torsional oscillations with azimuthal structures characterized by $`1<m\stackrel{<}{}\mathrm{\hspace{0.33em}8}`$ yet without detecting signals of quasi-periodicities. For this range of $`m`$ values, periods of equatorially trapped Rossby waves should lie in the range of $`27102`$ days (Lou 2000b). It is a challenge through a helioseismological data analysis to identify unambiguously signatures of solar Rossby waves that involve large-scale and long-lived structures of flow velocity and surface elevation over the slowly rotating solar photosphere.

Ballester et al. (2002) recently examined several historical records of solar photospheric magnetic fluxes. These records include (1) the Mount Wilson total magnetic flux (MWTF) from 1966 to 2000 for total daily magnetic flux measured in units of $`10^{22}`$Mx, (2) the Kitt Peak magnetic flux (KPMF) from 1975 to 2000 in units of $`10^{22}`$Mx in regions with magnetic field strength greater than 25 G within the latitude band S$`70^{}`$-N$`70^{}`$, and (3) the daily magnetic plage strength index (MPSI) and the Mount Wilson sunspot index (MWSI) from 1970 to 2000. They derived both periodogram and wavelet contours. The results of their data analysis show a near 160-day periodicity in the photospheric magnetic flux during solar cycle 21 (but not in solar cycle 22) and suggest a probable causal relation to the well-known Rieger-type quasi-periodicities. Given our data analyses on mid-term quasi-periodicities in CMEs and solar X-ray flares, it is very likely that during the recent solar maximum (cycle 23), the daily total solar magnetic flux of the MWTF, for example, should reveal Rieger-type periodicities. The results of Ballester et al. (2002) are consistent with the notion that the emergence of subphotospheric magnetic flux may be triggered or modulated quasi-periodically by large-scale Rossby waves trapped in the solar equatorial zone (Lou 2000b).

## 6 Discussion and Summary

In terms of the interrelation between mid-term quasi-periodicities of equatorially trapped Rossby waves and Rieger-type periodicities in solar flare related activities, we would offer several physical ideas here to address the interesting questions raised by Ballester et al. (2002) regarding the mechanism proposed by Lou (2000b). Due to the solar differential rotation, subsurface mean magnetic fields are wrapped around the solar equator with growing intensities. By turbulent convections and MHD instabilities, subsurface magnetic fluxes will emerge in general and sunspots or sunspot groups will form in particular. Magnetic activites above the photosphere are capable of disturbing the photosphere and sub-photospheric layers through MHD processes.

We thus have in mind a “dynamic feedback scenario” advanced earlier. Specifically, powerful solar flares frequently occurring in magnetic active regions along the two usual belts across the solar equator keep stirring the photosphere and exciting Rossby waves that in turn either trigger or modulate the emergence of subphotospheric magnetic flux. To sustain such a “dynamic feedback cycle”, initiations and positive feedbacks above a certain energetic “threshold” are necessary. This may explain why Rieger-type periodicities in the emergence of magnetic flux, sunspot areas, and high-energy flares etc. are detected within a few years around the solar maxima when solar activity levels are high. This also implies possible changes in the most dominant periodicities with different physical conditions for different solar maxima.

Practically, however, it is not easy to estimate this “threshold”, because several unknown parameters and processes are involved. Regarding possible values of $`m`$ and $`n`$ in the solar Rossby wave theory of Lou (2000b), we already noted that for $``$5 or 6 active regions in the solar disk facing us, $`m`$ would be $``$10 or 12 around the circumference. Similarly, equatorially trapped Rossby-type waves with $`n=2`$ may be more favorably excited given the presence of two belts of sunspot groups north and south of the equator. In the sense of triggering magnetic avalanches, a sustained passage of Rossby-type waves can increase statistically the chance of flare occurrence in preexisting vulnerable magnetic complexes and thus impose grossly quasi-periodicities to various diagnostics associated with solar flares.

In summary, by Fourier spectrum and Morlet wavelet analyses, we identified quasi-periods in data series of CMEs, X-ray solar flares (class$`>`$M5.0), and daily averages of Ap index during the time span from February 5, 1999 to February 10, 2003 for the solar maximum of cycle 23. CME periods at $`358\pm 38`$, $`272\pm 26`$, and $`196\pm 13`$ days appear to correspond well to Ap index periods at $`364\pm 39`$, $`273\pm 26`$, and $`187\pm 12`$ days, although the Ap index period of $`364\pm 39`$ days is somewhat less significant; we interpret these quasi-periodic correlations in terms of CME interactions with the Earth’s magnetosphere. In addition to a significant period at $`259\pm 24`$ days, X-ray flare data contains the familiar Rieger-type periodicities shorter than $`157\pm 11`$ days and so forth. Within error ranges, this $`259\pm 24`$-day period in X-ray flare data may relate to CME $`272\pm 26`$-day and Ap $`273\pm 26`$-day periods. We provide estimates for periodic timescales of equatorially trapped Rossby-type waves based on the work of Lou (2000a, b) and discuss a few qualitative aspects of a “dynamic feedback cycle” to sustain such waves. A coherent picture for solar Rossby waves is yet to come given several preliminary results of their circumstantial detections in recent years (Beck et al. 1998; Kuhn et al. 2000; Ulrich 2002). More observations and theoretical investigations are needed to further understand these mid-term quasi-periodicities in solar as well as solar-terrestrial activities.

Finally, we emphasize the strong obvious periodicity of $`187\pm 12`$-days in daily averaged Ap index that can be visually picked out in Fig. 3a. We tentatively identified a CME counterpart of period $`196\pm 13`$ days as the cause. A further understanding of this phenomenon is of great interest especially in contexts of solar terrestrial interaction.

## Acknowledgments

This research (Y.Q.L.) was supported in part by grants from US NSF (AST-9731623) to the University of Chicago, by the ASCI Center for Astrophysical Thermonuclear Flashes at the University of Chicago under Department of Energy contract B341495, by the Special Funds for Major State Basic Science Research Projects of China, by the Collaborative Research Fund from the NSF of China for Outstanding Young Overseas Chinese Scholars (NSFC 10028306) at the National Astronomical Observatories, Chinese Academy of Sciences, and by the Yangtze Endowment from the Ministry of Education through the Tsinghua University. Affliated institutions of Y.Q.L share this contribution. Z.H.F. was supported in part by the NSFC grant 10243006 and the Ministry of Science and Technology of China under grant TG1999075401.


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# Light Neutralinos and WIMP direct searches

thanks: Preprint number: DFTT 16/2003

## Abstract

The predictions of our previous analysis about possible low–mass ($`m_\chi <`$ 50 GeV) relic neutralinos are discussed in the light of some recent results from WIMP direct detection experiments. It is proved that these light neutralinos are quite compatible with the new annual-modulation data of the DAMA Collaboration; our theoretical predictions are also compared with the upper bounds of the CDMS and EDELWEISS Collaborations.

Searches for neutralinos at colliders have not yet reached the sensitivity required to place a direct lower bound on the neutralino mass $`m_\chi `$. The commonly quoted and employed bound $`m_\chi >50`$ GeV is derived from the lower bound on the chargino mass determined at LEP2 ($`m_\chi ^\pm >`$ 100 GeV) under the assumption that the $`U(1)`$ and $`SU(2)`$ gaugino masses $`M_1`$ and $`M_2`$ satisfy the standard relationship $`M_1\frac{1}{2}M_2`$ at the electroweak scale. This hypothesis is a consequence of the assumption that these mass parameters have a common value at the grand unification (GUT) scale.

In supersymmetric models with R-parity conservation and no gaugino–unification assumption at the GUT scale, an absolute lower limit on $`m_\chi `$ cannot be derived from the lower bound on the chargino mass. Instead, it may be established by applying the upper bound on the Cold Dark Matter (CDM) content in the Universe, $`\mathrm{\Omega }_{CDM}\rho _{CDM}/\rho _c`$, in combination with constraints imposed on the Higgs and supersymmetric parameters by measurements at colliders and other precision experiments (muon $`g2`$, $`BR(bs+\gamma )`$). This point was discussed in Refs. 1 ; 2 , where a lower bound on the neutralino mass of about 6 GeV was established as a consequence of the recent 2$`\sigma `$ C.L. upper–limit $`\mathrm{\Omega }_{CDM}h^20.131`$ obtained by the analysis of the WMAP data spergel .

In Refs. 1 ; 2  we also analyzed the properties of light ($`m_\chi <`$ 50 GeV) relic neutralinos from the point of view of their detection rates in WIMP direct search experiments. Two main properties were pointed out: 1) direct detection rates for neutralinos of mass lighter than 50 GeV reach levels within sensitivities of current WIMP direct–detection experiments; 2) in the mass range 6 GeV $`<m_\chi <`$ 25 GeV the detection rates are predicted to fall in a very restricted range (this is at variance with what happens at higher $`m_\chi `$, where the detection rates in an effective supersymmetric MSSM scheme (effMSSM) vary over decades 35 ). As shown in Refs. 1 ; 2  the property (2) is a consequence the fact that the detection rate has a lower bound induced by the upper limit on $`\mathrm{\Omega }_{CDM}h^2`$.

Recalling that, for neutralino-matter interactions, coherent effects systematically dominate over spin-dependent ones, the aforementioned properties (1)–(2) are conveniently displayed in terms of the quantity $`\xi \sigma _{\mathrm{scalar}}^{(\mathrm{nucleon})}`$, where $`\sigma _{\mathrm{scalar}}^{(\mathrm{nucleon})}`$ is the neutralino–nucleon scalar cross–section and $`\xi `$ is a rescaling factor between the neutralino local matter density $`\rho _\chi `$ and the total local dark matter density $`\rho _0`$: $`\xi \rho _\chi /\rho _0`$. Following a standard assumption, $`\xi `$ may be taken as $`\xi =\mathrm{min}(1,\mathrm{\Omega }_\chi h^2/(\mathrm{\Omega }_{CDM}h^2)_{\mathrm{min}})`$.

The supersymmetric model considered in the present paper is an effMSSM scheme at the electroweak scale, with the following independent parameters: $`M_2,\mu ,\mathrm{tan}\beta ,m_A,m_{\stackrel{~}{q}},m_{\stackrel{~}{l}},A`$ and $`RM_1/M_2`$. Notations are as follows: $`\mathrm{tan}\beta `$ the ratio of the two Higgs v.e.v.’s: $`\mathrm{tan}\beta `$$`<H_2^0>`$/$`<H_1^0>`$, $`\mu `$ is the Higgs mixing mass parameter, $`m_A`$ the mass of the CP-odd neutral Higgs boson, $`m_{\stackrel{~}{q}}`$ is a soft–mass common to all squarks, $`m_{\stackrel{~}{l}}`$ is a soft–mass common to all sleptons, $`A`$ is a common dimensionless trilinear parameter for the third family, $`A_{\stackrel{~}{b}}=A_{\stackrel{~}{t}}Am_{\stackrel{~}{q}}`$ and $`A_{\stackrel{~}{\tau }}Am_{\stackrel{~}{l}}`$ (the trilinear parameters for the other families being set equal to zero). Since we are here interested in light neutralinos, we consider values of $`R`$ lower than its standard value: $`R_{\mathrm{GUT}}0.5`$; for definiteness, we take $`R`$ in the range: 0.01 - 0.5. In the scanning of the supersymmetric parameter space, we use the following ranges of the MSSM parameters: $`1\mathrm{tan}\beta 50`$, $`100\mathrm{GeV}|\mu |,M_2,m_{\stackrel{~}{q}},m_{\stackrel{~}{l}}1000\mathrm{GeV}`$, $`\mathrm{sign}(\mu )=1,1`$, $`90\mathrm{GeV}m_A1000\mathrm{GeV}`$, $`3A3`$. We impose the experimental constraints: accelerators data on supersymmetric and Higgs boson searches, measurements of the $`bs+\gamma `$ decay and of the muon anomalous magnetic moment $`a_\mu (g_\mu 2)/2`$ (the range $`160\mathrm{\Delta }a_\mu 10^{11}680`$ is used here for the deviation of the current experimental world average from the theoretical evaluation within the Standard Model). We notice that to satisfy the $`bs+\gamma `$ constraint is not trivial at small $`m_A`$ values, since it requires some cancellation between the contributions due to the Higgs–quark and the chargino-squark loops. However, it turns out that the extent of compensation between the two terms is limited to an effect of 30-60 $`\%`$. The range used here for the branching ratio is $`2.18\times 10^4BR(bs+\gamma )4.28\times 10^4`$. For $`(\mathrm{\Omega }_{CDM}h^2)_{\mathrm{min}}`$ we use here the value $`(\mathrm{\Omega }_{CDM}h^2)_{\mathrm{min}}=0.095`$ 2 , derived at the 2$`\sigma `$ C.L. from the analysis of Ref. spergel .

As discussed in Refs. \[1-2\], neutralino configurations at small $`m_\chi `$ have a dominant bino component with a small mixture with $`\stackrel{~}{H}_1^0`$, i.e. writing the neutralino as $`\chi a_1\stackrel{~}{B}+a_2\stackrel{~}{W}^{(3)}+a_3\stackrel{~}{H}_1^{}+a_4\stackrel{~}{H}_2^{}`$, one has $`|a_1|>>|a_3|>>|a_2|,|a_4|`$. In this regime the ratio $`|a_3|/|a_1|`$ is given by the analytic expression

$$\frac{|a_3|}{|a_1|}\mathrm{sin}\theta _W\mathrm{sin}\beta \frac{m_Z}{|\mu |}<0.42\mathrm{sin}\beta ,$$
(1)
where in the last step we have taken into account the experimental lower bound $`\mu >`$ 100 GeV. The allowed range of the ratio $`|a_3|/|a_1|`$ for increasing values of $`m_\chi `$ is displayed in Fig. 1. The upper boundary line is given by intrinsic properties in the diagonalization of the neutralino mass matrix and is obtained by maximizing the parameters $`M_2`$ and $`\mathrm{tan}\beta `$ and by minimizing $`\mu `$ (for very small $`m_\chi `$, Eq. (1) applies). The lower boundary line is derived from the condition $`\mathrm{\Omega }_\chi (\mathrm{\Omega }_{CDM})_{max}`$ (using Eq. (5) of Ref. ). These two boundary lines fit well with the scatter plot obtained by a numerical scanning of the supersymmetric parameter space, also displayed in Fig. 1. For $`m_\chi >20`$ GeV the cosmological bound is satisfied by the $`\stackrel{~}{\tau }`$–exchange in the annihilation cross–section, and $`|a_3|`$ is no longer constrained from below. The lower bound on $`|a_3|/|a_1|`$ in the scatter plot of Fig. 1 is due to the upper value (1 TeV) in the range of $`\mu `$ employed in our calculation.

In Fig. 2 we show a scatter plot of the quantity $`\xi \sigma _{\mathrm{scalar}}^{(\mathrm{nucleon})}`$ as a function of $`m_\chi `$. This scatter plot shows that, in the mass range 6 GeV $`<m_\chi <`$ 25 GeV, the quantity $`\xi \sigma _{\mathrm{scalar}}^{(\mathrm{nucleon})}`$ falls in a narrow funnel (see property (2) above); this funnel is delimited from below by configurations with $`\mathrm{\Omega }_\chi h^2(\mathrm{\Omega }_{CDM}h^2)_{\mathrm{max}}=0.131`$, and delimited from above by supersymmetric configurations with a very light Higgs boson (close to its lower experimental bound of 90 GeV) and with an $`\mathrm{\Omega }_\chi h^2`$ below $`(\mathrm{\Omega }_{CDM}h^2)_{\mathrm{min}}`$. For $`m_\chi <`$ 10 GeV only values of $`30<\mathrm{tan}\beta 50`$ and 100 GeV $`|\mu |<`$ 300 GeV contribute, while in the interval 10 GeV $`<m_\chi <`$ 25 GeV $`\mathrm{tan}\beta `$ extends also to lower values around 8 and $`|\mu |`$ is not significantly constrained. Moreover, for $`m_\chi <`$ 20 GeV, $`m_A`$ is strongly bounded from above by $`(\mathrm{\Omega }_{CDM}h^2)_{\mathrm{max}}`$, as shown in Fig. 3 of Ref. 2 . Notice that the dip at $``$ 45 GeV is due to the Z–pole in the annihilation cross–section.

It is also remarkable that, within the funnel, the size of $`\xi \sigma _{\mathrm{scalar}}^{(\mathrm{nucleon})}`$ is large enough to make light relic neutralinos explorable by WIMP direct experiments with the current sensitivities. To illustrate this point, let us turn now to a comparison of our predictions with experimental data dama2 ; cdms2  which became available after our analysis of Refs. 1 ; 2  and with those of Ref. edelweiss .

In Refs. 1 ; 2  we anticipated that a detector with a high exposure and a low threshold such as DAMA dama1  might provide significant information, not only for neutralinos with $`m_\chi >`$ 50 GeV, but also for neutralinos in the mass range 6 GeV $`<m_\chi <`$ 50 GeV. In Ref. 2  we could only give an estimate of the expected effects in the measurement of the annual–modulation variation performed by the DAMA Collaboration, since no analysis of the experimental data at low WIMP masses was available at that time.

Now, the recent presentation of new results by the DAMA Collaboration dama2  allows us to compare directly our theoretical predictions to actual experimental data. In fact, one has now the results of a much larger exposure than in the past, about 108,000 kg $``$ day and, most important, an analysis of the full set of experimental data in terms of a spin–independent effect over an unconstrained range for the mass of a generic WIMP. The results of this analysis are reported in Fig. 2(a), where the contour line (after Fig.28 of Ref. dama2 ) delimits a region of the $`m_\chi \xi \sigma _{\mathrm{scalar}}^{(\mathrm{nucleon})}`$ plane, where the likelihood-function values are distant more than $`4\sigma `$ from the null (absence of modulation) hypothesis. In deriving this contour line, the DAMA Collaboration has taken into account a rather large class of possible phase–space distribution functions (DF) for WIMPs in the galactic halo. The categories of DFs considered in Ref. dama2  are those analyzed in Ref. bcfs ; the annual–modulation region displayed in Fig. 2(a) is the union of the regions obtained by varying over the set of the DFs considered in Ref. bcfs . From Fig. 2(a) we derive that the entire population of relic neutralinos with $`m_\chi <`$ 25 GeV as well as a significant portion of those with a mass up to about 50 GeV are within the annual–modulation region of the DAMA Collaboration. Thus, this yearly effect could be due to relic neutralinos of light masses, in alternative to the other possibility which we already discussed in Refs. 35  on neutralinos with masses above 50 GeV, and which is reconfirmed by the present analysis.

Another experiment of WIMP direct detection, run by the CDMS Collaboration, has recently published new data cdms2 . Their results are given in terms of an upper bound 111We consider here only the upper bound derived by the CDMS Collaboration without neutron subtraction. The upper limit obtained by subtracting an estimated neutron background appears too model–dependent; this point will be overcome, when the CDMS experiment is run in an underground location, as foreseen by the Collaboration. on $`\sigma _{\mathrm{scalar}}^{(\mathrm{nucleon})}`$ for a given DF (an isothermal distribution) and for a single set of the astrophysical parameters: $`\rho _0=`$ 0.3 GeV $``$ cm-3, $`v_0`$ = 220 km $``$ s-1 ($`v_0`$ is the local rotational velocity). This upper bound is displayed in Fig. 2(b) together with our theoretical scatter plot. Thus, we see that in case of an isothermal DF with the representative values of parameters given above, a sizeable subset of supersymmetric configurations in the mass range 10 GeV $`<m_\chi <`$ 20 GeV would be incompatible with the experimental upper bound (together with some configurations with $`m_\chi >`$ 80 GeV). However, this conclusion cannot be drawn in general. In fact, to set a solid constraint on the theoretical predictions, it is necessary to derive from the experimental data the upper bounds on $`\xi \sigma _{\mathrm{scalar}}^{(\mathrm{nucleon})}`$ for a large variety of DFs and of the corresponding astrophysical parameters (with their own uncertainties); the intersection of these bounds would provide an absolute limit to be used to possibly exclude a subset of supersymmetric population. An investigation by the CDMS Collaboration along these lines would be very interesting.

Among other experiments of WIMP direct detection, the EDELWEISS experiment has published an upper bound which somewhat approaches the region of the low–mass neutralino population. This upper limit, again provided for a single DF (the isothermal sphere with a standard set of astrophysical parameters) is also displayed in Fig. 2(b); it turns out to be marginal for the low–mass population, since it is tangent to our supersymmetric scatter plot (at $`m_\chi `$ 30 GeV). The argument given before applies again in this case; one should vary the analytical forms of the DF, in order to derive a model–independent bound on $`\xi \sigma _{\mathrm{scalar}}^{(\mathrm{nucleon})}`$. As for the low–mass configurations ($`m_\chi <`$ 50 GeV), since the current upper limit is already marginal for the isothermal DF, one does not expect any model–independent constraint. However, useful constraints could be derived for higher masses.

In conclusion, we have shown that the experimental exploration of the low–mass neutralino population, theoretically analyzed in our papers of Refs. 1 ; 2 , is already under way in case of some experiments of WIMP direct detection and within the reach of further investigation in the near future.

We have compared our predictions with available results of various experiments separately, since the experimental results of different Collaborations are not all derived under the same assumptions on the WIMP phase–space distribution function. A more effective comparison of theoretical results with experimental data will be feasible, only when the analysis of different experimental results in terms of $`m_\chi \xi \sigma _{\mathrm{scalar}}^{(\mathrm{nucleon})}`$ is presented for each analytic form of the DF, separately. This is also the unique way of comparing results of different experiments among themselves.

We finally notice that, in direct detection experiments, lighter WIMPs have to be faster, as compared to the heavier ones, in order to deposit a recoil energy above the energy threshold. As a consequence, for light WIMPS the calculation of expected rates and the determination of upper limits on the cross–section are very sensitive to the value assigned to the escape velocity and, more generally, to the details of the high–velocity tail of the DF. This introduces an important uncertainty, since for high–velocity WIMPS the assumption of thermalization, which for instance is assumed in all the models considered in the analysis of Ref. bcfs , is less robust than for the bulk of the distribution: non–thermal components, such as streams, could have a sizeable or even dominant weight, affecting the usual estimates for expected rates.

Note Added.

After submission of the present paper, updated evaluations of the $`e^+e^{}`$–based and $`\tau `$–based lowest-order (LO) hadronic polarization contribution to the muon magnetic moment have been presented by M. Davier et al. (hep-ph/0308213). In order to obtain a conservative range for the deviation of the standard model value of $`a_\mu `$ from its experimental determination, we consider the $`e^+e^{}`$–based LO hadronic contribution by K. Hagiwara et al. (hep-ph/0209187) together with the $`\tau `$–based LO hadronic contribution by M. Davier et al. Combining the evaluation by K. Hagiwara et al. with the other standard model contributions, we find for the deviation from the world average experimental result the 2$`\sigma `$ range: $`133\mathrm{\Delta }a_\mu 569`$. Instead, using the $`\tau `$–based Davier et al. result, one obtains the 2$`\sigma `$ interval: $`142\mathrm{\Delta }a_\mu 286`$. If we combine conservatively these two determinations we finally have $`142\mathrm{\Delta }a_\mu 569`$. Employing this range instead of the one used in the derivation of the scatter plot in Fig. 2 does not modify the features of the plot in any significant way.


text:
# Atomically precise placement of single dopants in Si

## Abstract

We demonstrate the controlled incorporation of P dopant atoms in Si (001) presenting a new path toward the creation of atomic-scale electronic devices. We present a detailed study of the interaction of PH3 with Si (001) and show that it is possible to thermally incorporate P atoms into Si (001) below the H desorption temperature. Control over the precise spatial location at which P atoms are incorporated was achieved using STM H-lithography. We demonstrate the positioning of single P atoms in Si with $``$ 1 nm accuracy and the creation of nanometer wide lines of incorporated P atoms.

The ability to control the location of individual dopant atoms within a semiconductor has enormous potential for the creation of atomic-scale electronic devices, including recent proposals for quantum cellular automata Snider et al. (1999), single electron transistors Tucker and Shen (2000) and solid-state quantum computers Kane (1998). Current techniques for controlling the spatial extent of dopant atoms in Si rely on either ion implantation techniques, or dopant diffusion through optical or electron-beam patterned mask layers. While the resolution of these techniques continues to improve they have inherent resolution limits as we approach the atomic-scale itr (2001). The work presented here looks beyond conventional techniques to position P dopant atoms with atomic-precision by using scanning tunneling microscopy (STM) based lithography on H passivated Si (001) surfaces Lyding et al. (1994); Shen et al. (1995) to control the adsorption and subsequent incorporation of single P dopant atoms into the Si (001) surface.

First, we show the controlled adsorption of PH3 molecules to STM-patterned areas of H-terminated Si (001) surfaces. In these studies, we have used the H-terminated surface as a reference where the intrinsic surface periodicity can be observed to identify both adsorbed PH3 molecules Wang et al. (1994a) and the previously unobserved room temperature dissociation product, PH2. We then show, using low PH3 dosed clean Si (001) surfaces, that both of these room temperature adsorbates can be completely dissociated using a critical anneal, and more importantly, that this results in the substitutional incorporation of individual P atoms into the top layer of the substrate. Finally, we combine these two results to demonstrate the spatially controlled incorporation of individual P dopant atoms into the Si (001) surface with atomic-scale precision. Of crucial importance to this final result is that the anneal temperature for P atom incorporation lies below the H-desorption temperature, so that the H-resist layer effectively blocks any surface diffusion of P atoms before their incorporation into the substrate surface.

Figures 1(a) - 1(c) demonstrate the flexibility of STM H-lithography to create different sized regions of bare Si (001) surface. As we will show, these regions can be used not only as a template for dopant incorporation but also to aid in fundamental studies of surface reactions. Figures 1(a) and 1(b) show the creation of both large areas (200 $`\times `$ 30 nm2) and parallel, nanometer-wide lines of exposed Si, respectively. The ultimate resolution limit is demonstrated in Fig. 1(c) where we have desorbed single H atoms by pulsing the STM tip at $``$ 0.75 nm intervals.

In Figs. 1(d) - 1(i) we confine the adsorption of phosphine to such lithographically defined areas of bare Si in order to identify the dissociation products PH3 and PH2. Figure 1(d) shows a $``$ 2 nm wide line of exposed Si created using STM lithography on a H-terminated Si (001) surface that was subsequently dosed with 0.3 Langmuir (L $`=0.75\times 10^6`$ mbar s) of PH3 gas at room temperature (Fig. 1(e)). Within the lithographic line in Fig. 1(e) we can identify adsorbed PH3 molecules by their appearance as circular protrusions centered on the dimer rows and ordered into a c(4$`\times `$2) periodicity (Fig. 1(f)) Wang et al. (1994a). However, PH3 adsorption is known to be partially dissociative at room temperature Shan et al. (1996); Hamers and Wang (1996), producing adsorbed PH2 and H as well as PH3. Repeating this experiment at higher resolution using a smaller, $``$ 2 nm diameter patch (Figs. 1(g) and 1(h)), we have been able to identify these PH2 molecules as adsorbate protrusions positioned asymmetrically about the dimer rows and ordered with a p(2$`\times `$2) periodicity, shown schematically in Fig. 1(i). In this situation we have actively used the intrinsic periodicity of the H-terminated surface to aid identification of the adsorbate species. This identification is consistent with recent first principles calculations that predicted the dissociation fragments PH2 and H should adsorb to the opposite side of the same dimer Miotto et al. (2001). The above results demonstrate our ability to place and identify P precursor molecules at predefined locations on a Si surface. However, to create devices with full electrical activation we need to incorporate the P atoms from these molecules into the Si surface in substitutional lattice sites.

In previous studies, Hamers and coworkers Hamers et al. (1996) have suggested that individual P atoms are unstable on the Si (001) surface and substitute for surface Si atoms to form P-Si heterodimers. For this process to occur, however, the adsorbed precursor PH3 and PH2 molecules must first completely dissociate into P and H. For atomically precise placement of P in Si we require this incorporation process to take place without surface diffusion of the P atoms, or desorption of the adsorbed phosphine molecules or the surrounding H-resist layer. To achieve this, we have first performed an extensive study of annealing lightly PH3 dosed clean (H-free) Si (001) surfaces. Figure 2(a) shows a STM image of a Si (001) surface that has been flash-annealed to 1200C, cooled to room temperature and dosed with 0.01 L PH3. From the results shown in Figs. 1(d) - 1(i), we are able to identify molecularly adsorbed PH3 with an apparent height of $``$ 0.07 nm above the substrate dimer rows (our data and Ref. Wang et al., 1994b), as well as PH2 molecules by their distinctive asymmetric bonding arrangement. Previous studies Hamers et al. (1996); Oberbeck et al. (2002a) have observed the formation of P-Si heterodimers upon annealing PH3 dosed surfaces to $``$ 550C. However, at this temperature all H is desorbed from the surface making this anneal temperature incompatible with H-resist lithography. Here, we use an anneal temperature of $``$ 350C, which we find is sufficient to incorporate P atoms, while being below the H-desorption temperature.

The most obvious feature of the 350C annealed surface, Fig. 2(b), is the appearance of bright, short, one-dimensional (1D) lines above the substrate. These 1D lines run perpendicular to the underlying dimer rows as would be expected for the next Si atomic layer (visible in the top right of Fig. 2(b)). The apparent height ($``$ 0.14 nm) and orientation of these 1D lines confirm that they are single dimer rows of epitaxial Si formed by the anisotropic agglomeration Mo et al. (1989) of Si atoms ejected from the substrate. This is further evidenced by the characteristic splitting of the ejected dimer chains between filled- and empty-state tunneling conditions Qin and Lagally (1999), as shown in Figs. 2(c) and 2(d). These ejected Si chains are not observable at higher anneal temperatures (above 400C) since the Si atoms have enough thermal energy to migrate to step edges.

We now focus on the P-Si heterodimers that are formed when P is incorporated into the Si. In Fig. 2(b) these P-Si heterodimers are difficult to resolve since they are overshadowed by the very bright 1D Si chains on the upper atomic layer. By examining a smaller area of the surface that is free from ejected Si, Fig. 2(e), we are able to resolve the characteristic asymmetry of the P-Si heterodimer. We measure a $``$ 0.03 nm height increase of the P-Si heterodimer compared to the neighbouring Si dimers, which arises from the additional tunnel current due to the dangling bond of the Si atom of the P-Si heterodimer (Fig. 1(f)). Additionally, the incorporated P atom induces static buckling of the neighbouring Si dimers, such that the heterodimer appears to extend further along the dimer row than a single dimer width. The characteristic asymmetric appearance of this feature provides a clear signature of a single P atom incorporated into the Si (001) surface forming a single P-Si heterodimer.

In addition, we also observe dark, single dimer vacancy-like features on the 350C annealed surface (Fig. 2(e)). These depressions are H-terminated Si dimers (monohydride, H-Si-Si-H), formed by the adsorption of H to the surface subsequent to the dissociation of the PH3 and PH2 molecules Hamers and Wang (1996); Boland (1991). Their dark appearance in STM images is characteristic of H passivating the surface and removing the Si $`\pi `$-states from the band gap Hamers and Wang (1996).

Identification of each of the various features on the surface in Fig. 2(b) is further confirmed by STM studies of the surface at higher temperatures. Raising the anneal temperature (to $``$ 450C) causes the disappearance of the short 1D Si dimer chains from the surface as a result of the diffusion of the Si atoms from the ejected Si dimer chains to step edges, as observed in Si growth experiments Voigtländer (2001); Da̧browski and Müssig (2000). Further annealing to $``$ 550C results in the disappearance of the monohydride dimers, as the monohydride is desorbed from the Si (001) surface Suemitsu et al. (1994). Finally, annealing to $``$ 750C causes the removal of the P-Si heterodimers in agreement with the established desorption temperature of P from the Si (001) surface Colaianni et al. (1994). These studies demonstrate that P atoms can be incorporated into the Si (001) surface from adsorbed PH3 molecules by annealing to 350C and that this process is accompanied by the displacement of Si atoms onto the substrate and the adsorption of H. We have also confirmed the characteristic asymmetric appearance of isolated P atoms in this surface.

We now wish to control the spatial location of the P atom incorporation using the H-resist lithography technique described earlier for the creation of atomic-scale devices. Figure 3(a) shows an STM image of a H-terminated Si (001) surface where the STM tip has been used to selectively remove H atoms from Si along two perpendicular $``$ 4 nm wide lines. The patterned surface was then exposed to $``$ 0.3 L PH3 and annealed to $``$ 350C as shown in Figs. 3(b) and 3(c) (which correspond to the areas of the surface marked by boxes in Fig. 3(a)). Along the length of both lithographic lines, many asymmetric features are observed, corresponding to the formation of P-Si heterodimers (indicated by white arrows in Figs. 3(b) and 3(c)). In contrast to the clean surface results, these P-Si heterodimers are H-terminated (P-Si-H) resulting from the almost complete re-termination of the lithographic line with H during the 350C anneal. Fig. 3(d) shows a line profile taken over a single P-Si-H heterodimer, showing a $``$ 0.04 nm increase due to tunneling from the lone pair state of the P atom. Importantly, we find that these P-Si-H heterodimers are solely located within the $``$ 4 nm wide region of the original lithographic line, confirming that the H-resist layer, which survives the 350C anneal intact, acts as an effective mask for the controlled incorporation of P into the surface. We also observe clear evidence of ejected Si dimer chains along (and confined to) the lithographic line, as indicated by the black arrows in Figs. 3(b) and 3(c). As was the case in the clean surface experiments, filled- and empty-state images of the ejected Si chains (Fig. 3(e), 3(f)) reveal the characteristic splitting of these ejected Si dimer chains under empty-state imaging. These results demonstrate that it is possible, using an appropriate anneal, to controllably incorporate P atoms from adsorbed phosphine molecules into Si (001) at precise locations using STM-based H-lithography.

We note that the PH3 dose rate and fluence is critical in obtaining the successful incorporation of P within our lithographic H-desorption sites and not at random single dimer H desorption sites (which are sometimes present due to incomplete H passivation during the H-dosing stage). Using both higher PH3 dose rates (10-8 mbar chamber pressure) and total doses ($``$ 3 L), we have noted the adsorption of PH3 at single H desorption sites O’Brien et al. (2001). However, with the low dose rate and fluence used here (10-9 mbar and 0.3 L) we have observed an almost complete absence of adsorption at single H desorption sites, with coverages approaching saturation in the larger lithographically defined desorption regions.

Finally, we have been able to achieve the ultimate limit of P atom placement in Si (001) by incorporating single P atoms into the Si (001) surface with atomic-scale precision. Figure 4(a) shows a H-terminated Si surface with a controlled desorption site of diameter $``$ 1 nm, exposing just two or three of the substrate Si dimers. Figure 4(b) shows the same surface area after dosing with $``$ 0.3 L PH3 and annealing to $``$ 350C. Here we see a very clear signature of the asymmetric P-Si-H heterodimer within the $``$ 1 nm lithographic area, and complete re-termination of this area with H. This is the first demonstration of the spatially controlled incorporation of a single dopant atom in Si and can be produced repeatably in our laboratory. In Figs. 4(c) and 4(d) we have incorporated two P atoms in Si $``$ 12 nm apart for the qubit array of a Si-based quantum computer Kane (1998). Figure 4(c) shows two desorption sites of diameter $``$1 nm and separated by $``$12 nm. After PH3 dosing and annealing we observe the incorporation of a single P atom at each of these lithographic sites, as seen in Fig. 4(d). We note the presence of two single H atom desorption sites in addition to the two lithographically defined desorption regions in Fig. 4(c). However, as seen in Fig. 4(d), these sites do not produce incorporated P atoms at the low PH3 dose rate and fluence used. Additionally, in Fig. 4(d), several single H atom desorption sites are seen as white protrusions surrounding the left P-Si-H heterodimer. These are the result of single H atom desorption events during the 350C anneal and do not affect the P atom placement. While the accuracy required for qubit placement in a solid-state quantum computer depends on the final separation required for electron wavefunction overlap, the $``$ 1 nm placement accuracy that we demonstrate here is more than adequate for the Kane qubit architecture Kane (1998).

In summary, we have demonstrated the first controlled incorporation of single P dopant atoms in Si with atomic-scale precision. To elucidate this, we have first studied the interaction of PH3 with the Si (001) surface and in particular observed the substitutional incorporation of P atoms into the substrate after annealing to 350C. We then employed STM-based H-lithography to control the spatial locations of P atoms incorporated into the substrate. Critical to this result is that the 350C anneal lies well below the H-desorption temperature such that the H-resist layer acts as an atomic scale mask for controlled P atom incorporation. Preliminary studies to encapsulate these dopants in Si—and observe the resulting change in surface electrostatic potential Modesti et al. (2003) to confirm minimal segregation of array—are underway with promising results Oberbeck et al. (2002b). These results open the door to the exciting possibility of creating electronic devices in Si with atomically controlled dopant profiles, such as atomically ordered transistors, quantum cellular automata, single atom memory devices and the fabrication of a solid-state quantum computer.


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# An accretion disk and radio spectra of pulsars

## 1 Introduction

The mechanism of radio emission from pulsars has remained so far an unsolved problem (Edwards & Stappers, 2003; Vivekanand, 2001). The difficulties which have been encountered by plasma mechanisms of radio emission from pulsars clearly show that the radiation is produced by a low-energy medium (Gedalin et al., 2002). Such a medium is the gaseous disk surrounding the central star.

The accretion disk surrounding a radio pulsar is fed by the fallback material left over after the original supernova explosion (Chakrabarty et al., 2001). Note that ordinary, not recycled pulsars normally are not binaries (Edwards & Stappers, 2003). Pulsar wind (Gaensler, 2003) may be responsible both for a stationary convection in the accretion disk surrounding a pulsar and for outflows of gas in the gaseous disk.

This approach allows us to consider radio pulsars as representatives of a wide class of compact radio sources which includes also active galactic nuclei and maser complexes (Prigara, 2003). The unified model of compact radio sources, as it is shown below, gives such characteristics of the smoothed radio spectra of pulsars as the spectral indices, a short-wavelengths cut-off and turnover frequencies.

In the unified model of compact radio sources, radio emission from pulsars is treated as thermal radiation from an accretion disk amplified by the maser mechanism (Prigara, 2003). A maser amplification of thermal radio emission in continuum produces the high brightness temperatures of compact radio sources and a rapid variability of total and polarised flux density, that is characteristic for non-saturated maser sources. In particular, pulsars signals show a variability on every observable timescale up to nanoseconds (Edwards & Stappers, 2003; Vivekanand, 2001).

## 2 Gaseous disk model

It was shown recently (Prigara, 2003) that thermal radio emission has a stimulated character. According to this conception thermal radio emission from non-uniform gas is produced by an ensemble of individual emitters. Each of these emitters is a molecular resonator the size of which has an order of magnitude of mean free path l of photons

$$l=\frac{1}{n\sigma }$$
(1)
where n is the number density of particles and $`\sigma `$ is the absorption cross-section.

The emission of each molecular resonator is coherent, with the wavelength

$$\lambda =l,$$
(2)
and thermal radio emission of gaseous layer is incoherent sum of radiation produced by individual emitters.

The condition (2) implies that the radiation with the wavelength $`\lambda `$ is produced by the gaseous layer with the definite number density of particles n .

The condition (2) is consistent with the experimental results by Looney and Brown on the excitation of plasma waves by electron beam (Alexeev, 2003; Chen, 1984). The wavelength of standing wave with the Langmuir frequency of oscillations depends on the density as predicted by equation (1). The discrete spectrum of oscillations is produced by the non-uniformity of plasma and the readjustment of the wavelength to the length of resonator. From the results of experiment by Looney and Brown the absorption cross-section for plasma can be evaluated.

The product of the wavelength by density is weakly increasing with the increase of density. This may imply the weak dependence of the size of elementary resonator in terms of the wavelength upon the density or, equivalently, wavelength.

In the gaseous disk model, describing radio emitting gas nebulae (Prigara, 2003), the number density of particles decreases reciprocally with respect to the distance r from the energy centre

$$nr^1.$$
(3)
Together with the condition for emission (2) the last equation leads to the wavelength dependence of radio source size:

$$r_\lambda \lambda .$$
(4)
The relation (4) is indeed observed for sufficiently extended radio sources. For example, the size of radio core of galaxy M31 is 3.5 arcmin at the frequency 408 MHz and 1 arcmin at the frequency 1407 MHz (Sharov, 1982).

## 3 Density profile of compact radio sources

In the case of compact radio sources instead of the relationship (4) the relationship

$$r_\lambda \lambda ^2$$
(5)
is observed (Lo, 1982; Lo et al., 1993). This relationship may be explained by the effect of a gravitational field on the motion of gas which changes the equation (3) for the equation

$$nr^{1/2}$$
(6)
The mass conservation in an outflow or inflow of gas gives nvr=const, where v is the velocity of flow. In the gravitational field of a central energy source the energy conservation gives

$$v=\left(v_0^2+c^2r_s/r\right)^{1/2}$$
(7)
where $`r_s`$ is the Schwarzschild radius. Therefore, at small values of the radius the equation (6) is valid, whereas at the larger radii we obtain the equation (3).

It is well known (Shklovsky, 1984) that the delay of radio pulses from pulsars at low frequencies is proportional to $`\lambda ^2`$. This fact is a mere consequence of Eq.(5), if we only assume the existence of the radial density wave travelling across the radius with a constant velocity and triggering the pulse radio emission. In this treatment the pulsars also obey the $`\lambda ^2`$ dependence of compact source size. Note that the wavelength dependence of a pulse duration is a similar effect.

The spatial distribution of SiO, water, and OH masers (each of which emits in its own wavelength) in the maser complexes also is consistent with the $`\lambda ^2`$ dependence of compact source size (Bochkarev, 1992; Eisner et al., 2002).

To summarise, extended radio sources are characterised by the relation (4), and compact radio sources obey the relation (5).

## 4 Radio emission from the gaseous disk

The spectral density of flux from an extended radio source is given by the formula

$$F_\nu =\frac{1}{a^2}\underset{0}{\overset{r_\lambda }{}}B_\nu \left(T\right)\times 2\pi r𝑑r,$$
(8)
where a is a distance from radio source to the detector of radiation, and the function $`B_\nu \left(T\right)`$ is given by the Rayleigh-Jeans formula

$$B_\nu =2kT\nu ^2/c^2,$$
(9)
where $`\nu `$ is the frequency of radiation, k is the Boltzmann’s constant, and T is the temperature.

. The extended radio sources may be divided in two classes. Type 1 radio sources are characterised by a stationary convection in the gaseous disk with an approximately uniform distribution of the temperature T$``$const giving the spectrum

$$F_\nu const.$$
(10)
Type 2 radio sources are characterised by outflows of gas with an approximately uniform distribution of gas pressure P=nkT$``$const. In this case the equation (3) gives

$$Tr,$$
(11)
so the radio spectrum, according to the equation (7), has the form

$$F_\nu \nu ^1.$$
(12)
Both classes include numerous galactic and extragalactic objects. In particular, edge-brightened supernova remnants (Kulkarni & Frail, 1993) belong to the type 2 radio sources in accordance with the relation (10), whereas centre-brightened supernova remnants belong to the type 1 radio sources.

The relationship between linear size and turnover frequency in type 2 radio sources (gigahertz-peaked spectrum sources and steep-spectrum sources) (Nagar et al., 2002) is a consequence of the wavelength dependence of radio source size. The turnover frequency is determined by the equation $`r_\nu =R`$, where R is the radius of a gaseous disk. The same equation determines a turnover frequency for planetary nebulae (Pottasch, 1984; Prigara, 2003; Si dmiak & Tylenda, 2001).

## 5 The spectral index of radio emission

The flux density is determined by Eq.(8). In the case of pulsars the relation (5) is valid. Thus, a stationary convection in the accretion disk with the temperature profile T$``$const now produces the spectrum

$$F_\nu \nu ^2.$$
(13)
An outflow or inflow of gas with the pressure profile P=nkT$``$const gives rise to the temperature profile $`Tr^{1/2}`$, according to Eq.(6). The flux density in this case is given by the formula

$$F_\nu \nu ^3.$$
(14)
A combination of a stationary convection and outflows or inflows gives the intermediate values of the spectral index $`2\alpha 3`$, where $`F_\nu \nu ^\alpha `$. The spectrum (14) seems to be the case for the Crab pulsar and many other pulsars (Shklovsky, 1984). The spectrum (13) has also been detected in many pulsars (Lipunov, 1987).

The range of frequencies in which the spectra (13) or (14) are valid is confined by a short-wavelengths cut-off, $`\nu _0`$, and a turnover frequency, $`\nu _t`$. In the range $`\nu <\nu _t`$ the radio spectrum is flat or slightly inverted (Lipunov, 1987). This effect is similar to those in active galactic nuclei (gigahertz-peaked spectrum sources and steep-spectrum sources) (Nagar et al., 2002).

## 6 A turnover frequency

Consider now in more detail the delay of radio pulses from pulsars at low frequencies discussed in Sec.3. Making use of Eq. (5), the time of the delay of pulses may be written in the form

$$\tau =r_\lambda /u=\left(r_0/u\right)\left(\lambda ^2/\lambda _0^2\right)=\mu P\lambda ^2/\left(2\lambda _0^2\right),$$
(15)
where u is the velocity of the radial density wave in the accretion disk, P is the period of a pulsar, $`P=2r_0/v`$, $`r_0`$ is the radius of the neutron star, v is the velocity of the radial density wave inside the neutron star, and $`\mu =v/u`$.

On the other hand, the delay of pulses is normally expressed in terms of the dispersion measure, D, as follows

$$\tau =e^2D\lambda ^2/\left(2\pi mc^3\right),$$
(16)
where e is the charge and m is the mass of electron, respectively (Bochkarev, 1992).

Comparing these relations, we obtain the expression for the frequency $`\nu _0=c/\lambda _0`$ in the form

$$\nu _0=\sqrt{\left(e^2/\pi \mu mc\right)\left(D/P\right)}.$$
(17)
The frequency $`\nu _0`$ may be interpreted as a short-wavelengths cut-off in the smoothed radio spectrum of a pulsar. To evaluate a cut-off frequency, we assume $`\mu =1`$, though this assumption is not likely to be valid in actual cases. Then Eq. (17) gives

$$\nu _0=0.1\sqrt{D/P},$$
(18)
where the dispersion measure, D, is in units of $`cm^3pc`$, the period of a pulsar, P, is in s, and the turnover frequency, $`\nu _0`$, is in GHz.

The Crab pulsar has the dispersion measure of 56.8 $`cm^3pc`$ and the period of 33.1 ms (Lang 1974). The equation (18) gives $`\nu _0`$=4.2 GHz and $`\lambda _0`$=7 cm, that seems to be a good estimation of the short-wavelengths cut-off.

To obtain a turnover frequency, $`\nu _t`$, we should replace the radius of the neutron star, $`r_0`$, by the radius of the accretion disk, R, in Eq. (15). Then we find

$$\nu _t=\nu _0\sqrt{r_0/R}.$$
(19)
If we assume $`R10^3r_0`$, then for the Crab pulsar the turnover frequency will be $`\nu _t140MHz`$, and, respectively, $`\lambda _t2m`$. This result is in good agreement with the observed radio spectrum of the pulsar.

## 7 Conclusions

The unified model of compact radio sources, applied to radio pulsars, reproduces the observed spectral indices of radio emission from pulsars. The unified model gives also the dependence of a turnover frequency and short-wavelengths cut-off in smoothed radio spectra of pulsars upon the ratio of the dispersion measure to the period of a pulsar. This relation is produced by the radial density wave in the gaseous accretion disk surrounding a pulsar. Along with the radial density wave in the accretion disk, the transverse density wave in the magnetosphere of a pulsar can exist. The last produces the temporal profile of polarisation in optical.

## Acknowledgements

The author is grateful to D.A.Kompaneets, Y.Y.Kovalev, V.N.Lukash, V.S.Semenov, B.E.Stern and N.A.Tsvyk for useful discussions.