Flat Spectra of Energetic Particles in Interplanetary Shock Precursors

Abstract The observed energy spectra of accelerated particles at interplanetary shocks often do not match the diffusive shock acceleration (DSA) theory predictions. In some cases, the particle flux forms a plateau over a wide range of energies, extending upstream of the shock for up to seven flux e -folds before submerging into the background spectrum. Remarkably, at and downstream of the shock we have studied in detail, the flux falls off in energy as ϵ −1 , consistent with the DSA prediction for a strong shock. The upstream plateau suggests a particle transport mechanism different from those traditionally employed in DSA models. We show that a standard (linear) DSA solution based on a widely accepted diffusive particle transport with an underlying resonant wave–particle interaction is inconsistent with the plateau in the particle flux. To resolve this contradiction, we modify the DSA theory in two ways. First, we include a dependence of the particle diffusivity κ on the particle flux F (nonlinear particle transport). Second, we invoke short-scale magnetic perturbations that are self-consistently generated by, but not resonant with, accelerated particles. They lead to the particle diffusivity increasing with the particle energy as ∝ ϵ 3/2 that simultaneously decreases with the particle flux as 1/ F . The combination of these two trends results in the flat spectrum upstream. We speculate that nonmonotonic spatial variations of the upstream spectrum, apart from being time-dependent, may also result from non-DSA acceleration mechanisms at work upstream, such as stochastic Fermi or magnetic pumping acceleration.