2.2.1. Frequently Applied Photon and Electron Distributions
The simulation of plasmas always requires knowledge of, or at least reasonable assumptions about, the underlying distribution of photons and electrons [
26,
27]. These distributions control the impact of individual atomic processes upon the plasma and determine its temporal evolution. In an LTE plasma, or close to such an equilibrium, the spectral energy-density of photons at temperature
T follows Planck’s black-body law, expressed in terms of the photon angular frequency
as [
28]
where
is the photon energy,
c the speed of light and
the Boltzmann’s constant. This energy density (distribution) describes the radiation that is emitted by an ideal black body in thermodynamic equilibrium. From this energy distribution, the spectral flux density
and the (spectral) radiance or, in short, intensity
is easily obtained and is known in LTE to grow
at low frequencies (Rayleigh–Jeans limit).
Several modified photon distributions have been applied as well in astrophysics and plasma modeling. They describe, for instance, diluted black-body fields in stellar atmospheres or the (free–free) bremsstrahlung emission from a hot, optically thin plasma featuring a rapid exponential cutoff and dominated by electron–ion collisions [
29]. In nonequilibrium conditions, moreover, a power-law distribution is often adopted to approximate synchrotron or inverse-Compton emission from high-energy sources [
30,
31]. These alternative photon distributions enable one to account for deviations from Planckian fields and are widely applied in astrophysical and laboratory plasma models. All these photon distributions can be expressed in terms of the photon frequency
, and they depend parametrically on the temperature
T of the photon field.
Table 1 lists several photon (and electron) distributions that can be utilized to compute photoexcitation and photoionization plasma rates and rate coefficients. In many cases, the spectral photon number density
, rather than the spectral energy-density
, is the physically relevant quantity, especially when stimulated processes are significant.
For photorecombination processes, in contrast, the free-electron energy (or velocity) distribution must be known at the electron temperature
of the plasma. The well-known Maxwell–Boltzmann distribution describes electrons with velocities near the thermal average. For fermions, this classical distribution should often be replaced by the Fermi–Dirac distribution to account for quantum statistics or, in simpler terms, Pauli’s exclusion principle. The Fermi–Dirac distribution is especially relevant in dense plasmas or degenerate matter, where available energy states are partially occupied and where classical approximations fail [
32].
By providing consistent and easily accessible functions for these distributions, the Jac toolbox ensures that photon-mediated plasma rates and rate coefficients can be computed on equal terms. Apart from specifying these distributions, the user can directly set the temperatures (either T or ) in the plasma. Indeed, this capability is essential for reliable non-LTE plasma simulations.
2.2.2. Photoionization Rates and Rate Coefficients
The photoionization (PI) cross section is a fundamental property that depends entirely on the electronic structure of the atom or ion, i.e., upon the energy levels, the associated wavefunctions, the polarization of the incoming photons, and on the selection rules to be considered. It is independent of plasma parameters, such as the temperature or density. For the PI of a
q-fold charged ion
in the initial level
i to the photoion
in level
f, the PI cross section at the frequency
can be expressed approximately as
in terms of the (electric-dipole) transition amplitude
and the fine-structure constant
, and by taking into account a summation over the polarization (states) of the photons. Here, the indices
i and
f may optionally refer to specific fine-structure levels, LS terms, or even to whole electron configurations, depending on the averaging involved into the simulations. These cross sections can readily be calculated in the
Jac toolbox for most ions across the periodic table of elements [
33], though often at the cost of substantial computational efforts and with limited use for plasma simulations.
A semi-empirical estimate for the PI cross section of a bound electron has been given by Bethe and Salpeter [
34], based on Kramer’s formula [
35]
where
refers to the principal quantum number of the photoionized shell or subshell in the final configuration
f,
to the effective charge as seen by this electron, and
to the bound-free Gaunt factor, often omitted in plasma simulations. This expression was originally derived for hydrogenic ions but was adapted to other ions
in their ground configuration. The cross section is naturally zero for photon energies below the ionization threshold,
, e.g., the binding energy of the photoionized shell. This simple approximation captures the main scaling behavior of the PI cross section with frequency
and the effective charge of the ion, and has often served as a first reference for many quantum mechanical calculations. In the
Jac toolbox, we can readily estimate the binding energy (threshold energy) of electrons for the ionization of—valence and innershell—electrons. A similar form
has often been used in astrophysical modeling to expresses the frequency behavior or to fit the cross sections to experimental data.
The PI plasma rate coefficient
quantifies the number of photoionization events per time unit for a single ion in level
i within a (unit) volume. It provides the quantitative link between microscopic atomic processes and the macroscopic evolution of the plasma, and it describes how fast a given transition proceeds at a specified photon distribution. The PI rate coefficient is obtained from the convolution of the PI cross section with the photon number density
This rate coefficient depends directly on the spectral shape of the radiation field as characterized by the plasma temperature
T and a few additional parameters [cf.
Table 1], and it is closely related also to the PI plasma rate
, if multiplied with the number density of ions being in the initial level
i.
The PI plasma rate coefficient is particularly useful in non-LTE models when the radiation field is known. It allows computing the ionization rates for an ensemble of atoms or ions with different level populations [
36,
37]. Unlike the raw PI plasma rate, which depends on the local intensity and ion number density, the rate coefficient cleanly separates atomic properties (via the corresponding cross section) from the explicit radiation environment by just accounting for the general photon number distribution. This separation allows its precomputation or tabulation as a function of the photon-field temperature and the ion level of interest. For a first estimate of the PI plasma rate coefficient
, we can use again Bethe and Salpeter’s photoionization cross section
and the black-body photon distribution
but can utilize also any other photon distributions. In these computations, it is generally enough to provide the generic photon distribution and to perform the numerical integration over
in Equation (
2) internally.
For a black-body photon field, in particular, the approximate PI plasma rate coefficient becomes [
38]
This integral must be evaluated numerically for the specified plasma temperature and threshold energy .
2.2.3. Photorecombination Rates and Rate Coefficients
Photorecombination (PR) is the time-reversed process of PI, in which a free electron recombines with an ion under photon emission: . Since the electron can be captured into different final levels f of the recombined ion, photons with a (discrete) wide range of energies are typically produced.
In LTE, PI and PR cross sections are connected to each other by microscopic balance, which means that each transition from an initial bound to a free-electron state is balanced by its reverse. For the photon-mediated processes, this principle of detailed balance is formally described by the Einstein–Milne relation [
39,
40] and based on the three well-known (classical) LTE distributions: (i) an ambient black-body radiation field, (ii) a Maxwellian electron distribution, and (iii) a Boltzmann distributed level population. Following the Einstein–Milne relation, the PR and PI cross sections are linked by
where the kinetic energy of the free electron
and the photon energy
are fixed to each other by
. Obviously, the PI cross sections
always refer to a stimulated process. For the PR, however, we need to distinguish between the spontaneous and stimulated recombination due to the ambient radiation field. Apart from the cross sections, of course, the same distinction needs to be made also for the associated plasma rates and rate coefficients
[
41].
In expression (
3) for the PR cross sections above, we can readily sum again over the final states
f, although this should include only the recombination into valence-shell excitations since the inner shells are already occupied. This difference in the admittable initial and final levels causes a subtle yet important distinction to connect PI and PR cross sections. In PI, the initial state is typically a ground or low-lying metastable level, and the ionization may involve also inner-shell electrons. In contrast, PR involves the capture of a free electron into an available bound state, in which all inner shells are already occupied. When using the Einstein–Milne relation to derive PR cross sections from PI data, one must carefully restrict the summation to physically allowed recombination channels. Failing to account for this subtlety can lead to the overestimation of PR rates, especially in multielectron ions with a complex inner-shell structure, a concern that has hardly been discussed in the literature.
In fact, the PR process usually requires further care, as the recombination can occur not only as spontaneous or stimulated but may proceed also either directly (via radiative recombination: RR) or dielectronic recombination (DR). All these four combinations (direct-spontaneous, direct-stimulated, ...) above will generally occur in a plasma. In RR, a free electron is captured directly into a bound state of the ion under the emission of a photon. In DR, on the other hand, the electron is first captured into an intermediate (Rydberg) state, while a bound electron is simultaneously excited; the system then stabilizes through radiative decay. In practice, these two processes can usually be treated as additive: RR dominates at low electron temperatures and for light elements, whereas DR becomes important at higher temperatures or for ions with closely spaced excited states.
To briefly recall, spontaneous PR occurs when a free electron is captured by an ion and directly emits a photon without an external radiation field. This emission is an intrinsic radiative process that arises from the interaction of the free electron with the ion and the quantized electromagnetic field. In contrast, the stimulated PR occurs in the presence of a photon field, which increases the emission probability and produces photons that are coherent with the ambient field. For low photon densities , the spontaneous PR dominates, while stimulated PR may increase significantly the total rates at high photon densities.
From the spontaneous PR cross sections (
3), the associated plasma rate coefficient is obtained by averaging over the electron energy distribution
at the given (electron) temperature of the plasma:
where
is the electron velocity. These coefficients can be comprised into rate coefficients
by a summation over the final levels
f but by including the arguments from above. From these spontaneous PR rate coefficients, the total coefficient can be obtained by
with analogue constraints with regard to the desired summation over final levels
f.
To finally derive the PR rates [1/s], either spontaneous, stimulated, or total rates, a free electron and an ion must meet and, hence, the rate will depend on both densities. In practice, the physically meaningful quantity is then the (so-called) event rate per unit volume:
. Together with Equation (
4), the spontaneous PR cross sections and rate coefficients are therefore central, and must be combined consistently with the local electron density and photon flux to yield physically meaningful total rates in the associated rate equations. The total PR rate therefore depends on (i) the electron density and temperature, (ii) the photon radiation temperature, and (iii) the detailed atomic level structure of the recombining ion through the energy-dependent cross sections. They are all usually computed ad hoc in plasma codes. For isotropic black-body radiation, the stimulated contribution scales approximately with
and becomes significant at infrared and microwave frequencies.
Explicit (expressions and) numerical routines are provided in the
Jac toolbox for
and
for any of the supported electron distributions but, to date, based on
scaled-hydrogenic PI cross sections as well as the Einstein–Milne relation (
3), special care has to be taken if any of these assumptions are not appropriate for the considered non-LTE conditions. In general non-LTE plasmas, the underlying distributions are no longer valid.
2.2.4. Photoexcitation and Photo-de-Excitation Rates
Photoexcitation (PX) and photo-de-excitation (PD) are radiative bound–bound processes that strongly affect the population balance among atomic or ionic levels, especially under non-LTE conditions. In (stimulated) PD, an external photon induces the transition back from—a previously excited—level under the coherent emission of a photon with the ambient field. In a plasma, of course, we need to distinguish again between the spontaneous and stimulated PD in order to account for the intrinsic coupling of the atom to the vacuum field. In thermal equilibrium, as before, the rates of these—spontaneous and stimulated—processes must balance in such a way that Planck’s black body distribution is obtained. This requirement has led to the well-known Einstein coefficients for (stimulated) absorption, stimulated emission, and spontaneous emission, which form a cornerstone of modern radiation–matter interaction theory.
Similar to those in PR, the (spontaneous) PD and PX cross sections and rates are related through the Einstein–Milne relation or, more explicitly, the ratio of the corresponding Einstein
A and
B coefficients. These coefficients satisfy the detailed-balance relations
if
and
denote the degeneracies of the associated levels (configurations). Again, these Einstein coefficients depend entirely on the electronic structure of the atoms and ions, especially the transition dipole moments and selection rules, but are independent of the surrounding plasma.
In a plasma, the rate per atom or ion provides again the link between elementary processes and the (macroscopic) evolution of the plasma; it describes how fast a given transition proceeds for a single ion and a specified photon distribution. These rates are
The factor
appears because the probability for induced emission is proportional to the number of photons in the corresponding radiation mode. The relations above assume isotropic radiation as well as a constant photon field over the line profile
of the given transition. All these relations are analogue to the bound-free (PI) transitions but with the appropriate density of bound states and slightly different pre-factors. In non-LTE plasmas, as before, their relative rates depend on the actual photon distribution and level populations.
The discrete level structure of atoms complicates (and makes it less relevant) to formulate PX cross sections and plasma rate coefficients as the cross sections typically appears in convolution with the photon number density
. This convolution simplifies for a monochromatic photon field at
to
and
if
the total photon number density. The PX cross-section and rate coefficients can be related also to the Einstein
coefficient for bound–bound transitions with a Lorentzian profile and the widths
[eV]
For a broad-band field, the convolution must be evaluated again numerically.
Empirical Einstein
coefficients provide a practical way to estimate radiative rates when full quantum calculations are unavailable. Scaling relations along isoelectronic sequences have been widely used for rapid estimates of Einstein
A coefficients along isoelectronic sequences [
42,
43], although these expressions become usually inaccurate in dense or strongly radiating environments, under extreme temperatures, or when manybody contributions modify the level populations. We can apply again scaled-hydrogenic dipole expressions or fast estimations from the
Jac code, in which the initial and final level indices
capture the main dependence on the energy and effective charge of these
A coefficients. They are valid for single-electron or weakly perturbed systems but often lose relevance for ions with open shells or strong configuration mixing, i.e., when strong electron correlations, relativistic effects, or highly excited levels dominate. In these cases, detailed quantum calculations or tabulated data are required. Explicit dependencies of the plasma rates and rate coefficients on initial and final levels, transition energy, and the photon distribution must always be specified in order to avoid misapplication in non-LTE simulations.
2.2.5. Other Photo-Induced Ionization and Recombination Processses in a Plasma
In addition to the standard PX and PI processes, and their time-reversed PD as well as PR mechanisms from above, a variety of more complex photon-induced processes can occur in plasma owing to the coupling with intense electron beams or specifically structured radiation fields [
44]. Among these is the photo-double ionization, where a single photon simultaneously ejects two electrons, a process that depends on sufficiently high photon energies and electron correlations. Another important but often omitted channel is photoexcitation with subsequent autoionization, also called resonant photoionization [
45,
46], which proceeds through intermediate resonant states and contributes significantly to the ionization balance in highly excited ions [
47]; it is the time-reversed process to the DR mentioned above. Moreover, various shake-up and shake-off processes can occur in a plasma, if the atomic potentials change rapidly so that other electrons are excited or ejected. Such many-body contributions to the plasma rates become relevant in high-energy-density or highly ionized plasmas, where correlation and relaxation phenomena can no longer be neglected. Although these mechanisms are usually (much) weaker than standard PI under moderate conditions, they can become dominant in strongly irradiated plasmas, such as those exposed to short-wavelength, high-intensity radiation. In addition, these higher-order processes influence not only the charge state of ions but also the re-emitted photon distribution in a plasma.
Finally, various collisional processes provide further competition to photon-driven mechanisms. Electron-impact excitation and ionization occur when energetic free electrons transfer kinetic energy to bound electrons, inducing level excitation or ejection. At high electron densities and temperatures, these collisional processes often dominate, whereas photoexcitation and photoionization prevail in low-density, radiation-rich environments. Three-body recombination becomes important when two electrons interact with an ion in such a way that one of them is captured, while the other carries away the excess energy. A good understanding of the balance between radiative and collisional mechanisms is essential for the realistic modeling of non-LTE plasmas and for interpreting spectral diagnostics that depend sensitively on the dominant excitation and ionization channels.