14

14.1

Parametric Instability
Frequency Matching
d2 x1 2 + 1 x1 = 0 dt2

The equation of motion for a simple harmonic oscillator x1 is

where 1 is the resonant frequency. If it is driven by a time-dependent force which is proportional to the product of the amplitude E0 of the driver (pump) and the amplitude x2 of a second oscillator, the equation of motion becomes d2 x1 2 + 1 x1 = c1 x2 E0 dt2 where c1 is a constant indicating the strength of the coupling. A similar equation holds for x2 d2 x2 2 + 2 x2 = c2 x1 E0 . dt2 Writing x1 = x1 cos t, x2 = x2 cos t, E0 = E 0 cos 0 t,
2 (2 2 )x2 cos t = c2 E 0 x1 cos 0 t cos t 1 = c2 E 0 x1 {cos [(0 + )t] + cos [(0 )t]} . 2

The driving terms on the right can excite oscillators x2 with frequencies = 0 . The nonlinear driving terms can cause a frequency shift so does not need to be exactly 2 , but only approximately equal to 2 . Furthermore, can be complex because there can be damping or growth, so the oscillator x2 has nite Q and can respond to a range of frequencies. Let x1 = x1 cos t, x2 = x2 cos[(0 )t]. The equation of motion for x1 becomes
2 (1 2 )x1 cos t

1 = c1 E 0 x2 (cos {[0 + (0 )]t} + cos {[0 (0 )]t}) 2 1 = c1 E 0 x2 {cos [(20 )t] + cos t} . 2 The driving terms can excite not only the original oscillation x1 ( ), but also new frequencies = 20 . Considering the case |0 | |1 | so that x1 (20 ) can be neglected, coupled equations among x1 ( ), x2 (0 ), and x2 (0 + ) are derived
2 (1 2 )x1 ( ) c1 E0 [x2 (0 ) + x2 (0 + )] = 0 [ 2 ] 2 (0 )2 x2 (0 ) c2 E0 (0 )x1 ( ) = 0 [ 2 ] 2 (0 + )2 x2 (0 + ) c2 E0 (0 )x1 ( ) = 0.

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The dispersion relation is given by setting the determinant of the coecients to zero, 2 2 1 c1 E0 c1 E0 2 2 c2 E0 (0 ) 2 0 = 0. 2 c2 E0 0 (0 + )2 2 For small frequency shifts and small damping or growth rates, and can be set approximately equal to the undisturbed frequencies 1 and 2 , so the frequency matching condition can be written 0 2 1 . When the oscillators are waves in a plasma, t should be replaced by t k r. There is also a wavevector matching condition k0 k2 k1 describing spatial beating. These conditions can be interpreted as conservations of energy and momentum. The simultaneous satisfaction of frequency and wavevector matching conditions is possible only for certain combinations of waves. For one-dimensional problems, the required relationships can be shown on an -k diagram. The gure shows the dispersion curves of ion acoustic waves (straight lines), electron plasma waves (wide parabola), and electromagnetic waves (narrow parabola), and the incident pump wave (0 ) and the two decay waves (1 and 2 ). The parallelogram construction ensures that the frequency and wavenumber matching conditions are satised simultaneously. (A) Electron decay instability: A large amplitude electron plasma wave can decay into a backward moving electron plasma wave and an ion acoustic wave. The positions of the (0 , k0 ) and (2 , k2 ) on the electron plasma wave dispersion curve must be adjusted so that the dierence vector (1 , k1 ) lies on the ion acoustic wave dispersion curve. (B) Parametric decay instability: An incident electromagnetic wave of large phase velocity (0 /k0 c) excites an electron plasma wave and an ion acoustic wave moving in opposite directions. Since k0 is small, k1 k2 for this instability. (C) Parametric backscattering instability: A light wave excites an ion acoustic wave and another light wave moving in the opposite direction (stimulated Brillouin backscattering). A light wave can also excite an electron plasma wave and a backward moving light wave (stimulated Raman backscattering). (D) Two-plasmon decay instability: An incident light wave decays into two oppositely propagating electron plasma waves (plasmons). Frequency matching can be satised only if 0 2p (i.e., ne = nc /4 where nc is the critical density where 0 = p ).

14.2

Instability Threshold

Even a small amount of damping (either collisional or collisionless) will prevent parametric instability unless the pump wave is strong enough. To calculate the 65

Fig. 1. Parallelogram constructions showing the simultaneous matching of frequency and wavenumber for (A) electron decay instability, (B) parametric decay instability, (C) stimulated Brillouin backscattering instability, and (D) two-plasmon decay instability.

threshold, damping rates 1 and 2 of the oscillators x1 and x2 are introduced, d2 x1 dx1 2 + 1 x1 + 21 = c1 x2 E0 2 dt dt and similarly for x2 . The equations of motion become
2 2 2i 1 )x1 ( ) = (1 2 (2

c1 x2 E0 c2 x1 E0 .

( 0 ) 2i( 0 )2 )x2 ( 0 ) =
2

Take the case of two waves, i.e., when 1 and 0 2 but 0 + is far enough from 2 to be nonresonant, i.e., (0 + ) = 0. Expressing x1 , x2 and E0 in terms of their peak amplitudes, [ ] 1 2 2 2 ( 2 1 + 2i 1 ) (0 )2 2 2i(0 )2 = c1 c2 E 0 . 4 At threshold, ( ) = 0. The lowest threshold will occur at exact frequency matching, i.e., = 1 , 0 = 2 , giving ( 2) = 161 2 1 2 c1 c2 E 0
thresh

The threshold goes to zero with the damping of either wave goes to zero.

14.3

Physical Mechanism

Consider the case of an electromagnetic wave (0 , k0 ) driving an electron plasma wave (2 , k2 ) and a low-frequency ion acoustic wave (1 , k1 ). Since 1 is small, 66

0 must be close to p . The behavior is dierent for 0 < p (oscillating two-stream instability) and for 0 > p (parametric decay instability). Suppose there is a density perturbation in the plasma of the form n1 cos k1 x, which can occur spontaneously as a component of the thermal noise. Let the pump wave have an electric eld x E0 cos 0 t and assume there is no DC magnetic 2 2 0 . The pump wave satises the dispersion relation 2 = p eld B + c2 k0 , so 0 k0 0 for 0 p and E0 can be taken to be spatially uniform. If 0 < p , the electrons will move in the direction opposite to E0 (ions do not move on this time scale). The density perturbation causes a charge separation. The electrostatic charge separation creates an electric eld E1 which oscillates at frequency 0 . The ponderomotive force due to the total eld is 2 p (E0 + E1 )2 0 . FNL = 2 0 2 Since E0 is spatially uniform and is much larger than E1 , only the cross term is important 2 NL p 2E0 E1 0 . F 2 x 0 2 Since E1 changes sign with E0 , this force does not average to zero. The ponNL is zero at the peaks and troughs of n1 , but is large where deromotive force F NL to push electrons from regions n1 is large. This spatial distribution causes F of low density to regions of high density. The resulting DC electrid eld drags the ions and the density perturbation grows. The threshold FNL is the value just sucient to overcome the pressure gradient ni1 (Ti + Te ) which tends to atten the density. The density perturbation does not propagate, so 1 = 0. This is called the oscillating two-stream instability (OTSI), because the sloshing electrons have a time-averaged distribution function which is double-peaked. 1 and FNL are reversed, and the ponderoIf 0 > p , the directions of ve , E motive force moves ions from dense regions to less dense regions. The density perturbation would decay if it did not move, but could grow if it travelled at an appropriate phase velocity, so that the inertial delay between the application of FNL and the change of ion positions causes the density maxima to move into the regions into which FNL is pushing the ions. This speed is the ion acoustic speed cs , as described below. The phase of FNL is exactly the same as the phase of the electrostatic restoring force in an ion acoustic wave, where the potential is maximum at the density maximum. Consequently, FNL adds to the restoring force. The electrons oscillate with large amplitude if the pump wave eld is near 2 2 2 the natural frequency of the electron plasma wave, i.e., 2 = p + 3k 2 vte . The pump wave cannot have exactly the frequency 2 because the beat between 0 and 2 must be at the ion acoustic wave frequency 1 = kcs . If this frequency matching is satised, i.e., 1 = 0 2 , both an ion acoustic wave and an electron plasma wave are excited at the expense of the pump wave. This is the mechanism of the parametric decay instability.

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Fig. 2. Physical mechanism of the oscillating two-stream instability.

14.4

Oscillating Two-Stream Instability

For simplicity, let the temperature Ti and Te and the collision rates i and e all vanish. The ion response is described by vi1 t ni1 vi1 + n0 t x M n0 = en0 E = FNL = 0.

Since the equilibrium is assumed to be spatially homogeneous, Fourier analysis in space can be performed to yield 2 ni 1 ik + FNL = 0. 2 t M The electron response is described by ) ( ve + ve ve = e(E0 + E1 ) m t x where E1 is related to the density ne1 by Poissons equation ik0 E1 = ene1 . The quantities E1 , ve and ne1 have both a high-frequency part, in which the electrons move independently of the ions, and a low-frequency part, in which the 68

electrons move with the ions. To lowest order, the motion is a high-frequency 0 one in response to the spatially uniform eld E ve0 e e = E0 = E 0 cos 0 t. t m m Linearizing about this oscillating equilibrium, e e ve1 + ikve0 ve1 = E1 = (E1h + E1l ) t m m where the subscripts h and l denote the high- and low-frequency parts. The rst term consists mostly of the high-frequency velocity veh , given by e neh e2 veh = E1h = . t m ik0 m The low-frequency part is ikve0 veh = e Eil . m

The right-hand side is the ponderomotive force to drive the ion acoustic waves, resulting from the low-frequency beat between ve0 and veh . The left-hand side is related to the electrostatic part of the ponderomotive force. The electron continuity equation is ne1 + ikve0 ne1 + n0 ikve1 = 0 t The high-frequency part is given by neh + ikve0 ni1 + ikn0 veh = 0 t where the middle term produces a high-frequency term only by beating of the low-frequency density nel = ni1 with ve0 . Taking the time derivative, and neglecting ni1 /t gives 2 neh ike 2 + p neh = ni 1 E 0 . t2 m Taking neh to vary as exp(it),
2 (p 2 )neh =

ike ni 1 E 0 . m

Combining with Poissons equation gives E1h = The ponderomotive force is FNL
2 2 p e ikni1 2 E0 . 2 2 2 0 m p 0

e2 ni1 E0 e2 ni1 E0 . 2 2 2 2 0 m p 0 m p 0

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2 2 Both E1h and FNL change sign with p 0 . The maximum response will occur 2 2 for 0 p . The ion equation can be written

2 ni 1 2 ni 1 e2 k 2 E 0 . 2 2 t2 2M m p 0 Since the low-frequency perturbation does not propagate in this instability, ni1 = ni1 exp t, where is the growth rate, and 2 2 e2 k 2 E 0 . 2 2 2M m p 0

2 2 2 The growth rate is real if 0 < p . In the presence of nite damping, p 2 will have an imaginary part proportional to 22 p , where 2 is the damping rate of the electron oscillations. Then

0 E . 2 Far above the threshold, the imaginary part of will be dominated by the growth rate rather than 2 , so . E 0 To solve the problem exactly, the following pair of equations are solved 2 ni 1 t2 2 neh 2 + p neh t2 = = ike neh E0 M ike ni 1 E 0 . m
2/3

The frequency 1 vanishes because the ion acoustic speed is zero in the zerotemperature limit.

14.5

Example of Parametric Decay Instablity

A similar derivation for 0 > p leads to the excitation of an electron plasma wave and an ion acoustic wave. Frequency spectra of the waves measured in a plasma are shown in the gure. Below threshold power, the high-frequency spectrum shows only the pump wave, while the low-frequency spectrum shows only a small amount of noise. When the pump wave ampltude is increased above threshold, an ion acoustic wave appears in the low-frequency spectrum, and an electron plasma wave appears in the high-frequency spectrum as the lower sideband of the pump wave.

14.6

Parametric Dispersion Relation

= B0 Consider a magnetized plasma with B z and the pump wave electric eld 0 ( E x, t) = (E0x x + E0z z ) cos 0 t. The 0-th order Vlasov equation is ) f0 q ( f0 = 0 + v f0 + E0 cos 0 t + vB t x m v 70

Fig. 3. Frequency spectra showing the appearance of the electron plasma wave and the ion acoustic wave excited by the pump wave above the threshold power.

where

d x = v, dt vx vy vz

d v 0 cos 0 t + qE = v dt m

q E0x sin 0 t 0 2 = ux + vDx m 0 2 q E0x cos 0 t = uy + vDy = uy + 2 m 0 2 q E0z sin 0 t = uz + = uz + vDz m 0 = ux +

The solution for equilibrium distribution function is f0 ( v vD ). The generalized driving term is k xD = sin(0 t ) where q = m ( E0z kz E0x kx + 2 2 0 0 2 )2 + (E0x ky )2 2 2 2 ) 2 . (0 0

The 1st order Vlasov equation is ) f1 q ( f1 = q E 1 f0 . + v f1 + E0 cos 0 t + vB t x m v m v Fourier decompose f1 =

k

x) f1 k exp(ik

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and write f1k = t ( f1 x, u, t) exp(i k xD ) k = F ( ) F F u xD + ik F exp(i k xD ) t u t t

The 1st order Vlasov equation can be rewritten ( ) q q F + u F + ( u B) F = E1 f0 exp(i k xD ). t x m u m u The solution is F = q m
t

dt

( x , t ) x

f0 u

exp[i sin(0 t )].

The exponential term can be expanded in terms of Bessel functions exp[i sin(0 t )] = Using

Jn () exp[in(0 t )].

2u f0 = 2 F0 (u2 ) u vt

and

d = + u , dt t x ) [( ) ] ( t q d 2 F ( x, u, t) = f0 (u2 ) exp[i sin(0 t )] dt 2 m vt dt t

which can be Fourier transformed to xt) dF (k, u, )ei(k = Nn In

n

where Nn In = = 2q f0 (u2 ) Jn ()ein 2 m vt ( ) t d x t ) dt ein0 t d(k, )ei(k . dt t (

n

After some algebra the following expression for F (k, u, ) can be derived F (k, u, ) = 2q 2 2 f0 (u ) mvt Jn ()ein

Jl 1
l,p

) ( ) k u k u Jp ei(lp) (k, + n0 ). l k uz

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The charge density is given by 2 = du d u du qF (k, u, ) 0 0 [ ] 2q 2 n0 in b 1+ = Jn ()e Il (b)e Z (l ) (k, + n0 ) 2 mv k z vt n

l

l . kz vt This can be rewritten using the susceptibility ( ) as Jn ()ein ( )( + n0 ) ( ) = 0 k 2

2 2 b = k rL ,

where

l =

where

] [ 1 b (, k ) = 2 2 1 + 0 Il (b)e Z (l ) . k D
l

Poissons equation can be expressed as 1 vD k = q d3 uF (u)eik s 0 k 2 s The potential can be written as 1 ( ) = Jn (s )ein s ( + n0 ). 0 k 2 s n For e < 1, Bessel functions can be expanded J0 (e ) = 1 For ions, i 1 and J0 (i ) = 1; J1 (i ) = 0. Consider the case 0 pi . In this case ion contributions can be ignored for the sideband , and i ( ) = e ( ) = ( ) = 0 k 2 i ( )( ) [( ) ] 2 i i 2 + 0 k e ( ) 1 ( ) e ( ) + e ( ) 4 2 2 ( ] [ ) 2 i 1 i + e ( ) 1 + e e ( ) e e ( ) + i ( ) 0 k 2 4 2 2 2 e + ; 4 J1 (e ) = e + . 2

where = e and = 0 . Substituting ( ) into ( ) gives [( ) ] i 2 i i + i = 1 e + e e e e 1 + i 4 2 2 ( ) 2 e e = 1 i 1 + e 4 ( ) e i = e i e 2 1 + e ( + i ) e e i + = e 2 1 + + e 73

where = ( ) and = ( ), and similarly for and . Substituting into i yields [( ] )2 2 + i 2 e 2 e e + 1= 1 . 1 + i 4 1 + e 4 1 + 4 1 + + e e Assuming | | 1 (the lower sideband is resonant) where = 1 + e + i , and |e | 1 (i.e., k 2 2 D 1), the dispersion relation that describes parametric instability can be written as ( ) 2 1 1 + i e + + = 0. 4

14.7

Resonant Decay

Consider the case in which both the low frequency mode (1 ) and the lower sideband mode (2 = 0 1 ) are resonant, so that Re (1 ) = 0 and Re (2 ) = 0. The dielectric constant = Re + iIm can be expanded as ( + i ) = = where = ( Re ( ) + i i( + ) Re ( ) + iIm ( )

Re

Im ) Re

is the damping rate including both collisional damping and collisionless damping. The dielectric constants at the low frequency and at the lower sideband are (1 ) (1 0 ) = = i( + 1 ) Re 1 Re i( + 2 ) . 2

Ignoring the upper sideband, which is o resonant, the dispersion relation can be written as ( + 1 )( + 2 ) = 2 i (1 )e (1 ) = A2 . 4 Re Re 1 2

The threshold condition is given by setting = 0. For resonant decay into electron plasma wave and ion acoustic wave in the absence of magnetic eld, = and eE0 k 2 m0

( )( ) 2 2 2 / 2 1/k 2 2 e2 E 0 k E2 1 pi De ( 2 3) 0 0 1 2 1 2 = 4 2 4m 0 (2/2 ) 2pi /1 16n0 Te 74

where 0 pe has been used. For resonant decay into lower hybrid wave and a low frequency wave (ion acoustic wave or ion cyclotron wave) in the presence of magnetic eld, pi < 0 ce in which case the main driving term is the B drift E e E0x ky V ky = m ce 0 0 B velocity. The dispersion relations are given by where V = E0x /B is the E ) ) ( ( 2 2 2 2 k pe pe k + 2 1 Re ( ) = 1 2 k2 k 2 2 ce Re ( ) = 1
2 2 k2 2 pi pi k 1 + 2 2 . 2 2 2 2 2 ci k k k De

For the lower hybrid wave, the dispersion relation is derived from ( ) = 0 as ( ) 2 2 k pi mi 2 2 2 = = LH 1 + 2 ; LH 2 k me pe 1+ 2 ce
2 2 and 1 + (k /k 2 )(mi /me ) O(1), so k k 2 . For the ion acoustic wave s = kcs ci , and 2 pi 1 i ( ) = 2 2 = 2 2 . k cs k De

Therefore, 1 2 4 (k 2 2 )2 2 De ( ) (2 s ). = ( + 1 )( + 2 ) = ( ) 2 2 16 pe pe 2 2 2 2 1+ 2 k De 1 + 2 s k 2 2 2 ce ce De Taking ky = k k for the lower hybrid wave, the threshold condition becomes 1 2 1 V2 = s s 16 c2 s (
2 0 2 pi 2 pe 1+ 2 ce

which can be rewritten 0 V =4 cs LH

1 2 . s 2

For typical damping rates of 1 2 /(s 2 ) 102 , V /cs O(1) is required for instability if 0 /LH 3. Essentially the same result can be obtained for decay into lower hybrid wave and ion cyclotron wave. Consider now that there is mismatch so Re = 0, and assume that damping can be ignored (1 = 2 = 0). Dening the frequency mismatch as j = ( Re ); Re j 75 j = 1, 2

the growth rate can be expressed as = i(1 + 2 ) 4A2 (1 2 )2 2

indicating that the frequency mismatch acts like damping to introduces an effective threshold.

14.8

Decay into Quasi-Modes

Quasi-modes do not exist naturally without the nonlinear drive. The low frequency mode (quasi-mode) does not satisfy the linear dispersion relation, so Re ( ) = 0, but the lower sideband is assumed resonant Re ( ) = 0 while the upper sideband is nonresonant Re ( + ) = 0. For the quasi-mode |i ( )| 1 and |i ( )| |e ( )|, so ( ) i ( ). The parametric dispersion relation is then 2 e ( ) 1+ = 0. Re 4 Re (2 ) i( + 2 ) 2 Consider the case in which the low frequency quasi-mode is strongly Landau damped, (1 ) = Re (1 ) + iIm (1 ) Re (1 ) + ieIm (1 ). The growth rate can be obtained by balancing the imaginary parts = 2 + 2 eIm (1 ) ( ) Re 4 2

where eIm =

1 Z ( ). k 2 2 De

Resonant decay assumes that the low frequency mode is weakly damped. In the example of decay into lower hybrid wave and ion acoustic wave, as the pump wave frequency approaches LH , this assumption breaks down since s kcs k me = . k vte k vte k mi
2 For the lower hybrid wave (k /k 2 )(mi /me ) O(1), so 1 /(k vte ) O(1). In this case Im Re since [Z ( )] O(1) and the low frequency mode is heavily electron Landau damped, indicating that the low frequency mode is a quasi-mode, not a resonant mode. This is called the electron quasi-mode. The most unstable situation occurs when eIm maximizes at 0.76/(k 2 2 De ),

+ 2 =

V 2 k2 2 80

2 V2 2 0.76 = 2 0.762 LH 2 k 2 2 2 . 8cs 0 pe De 1+ 2 ce

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The threshold is given by setting = 0, so

2 V2 102 0 . 2 2 cs 2 LH 2 Note that the growth rate for quasi-mode decay increases like E0 compared to E0 for resonant decay. Although the threshold is higher than that for resonant decay, once the threshold is exceeded quasi-mode decay grows faster. When the low frequency mode is strongly ion-cyclotron damped (1 = nci ), it is called the ion-cyclotron quasi-mode. In this case the frequency spectrum typically exhibits many peaks at harmonics of the ion-cyclotron frequency. When the low frequency mode is strongly ion Landau damped (1 = k cs k vti ), it is called the ion-acoustic quasi-mode. In this case the sideband frequency is usually not separated from the pump wave, and appears like frequency broadening.

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