AEROSOL OPTICS Short Course Module, March 2012 Rudolf B. Husar, rhusar@wustl.edu Energy, Environmental and Chemical Engineering Washington University, St Louis ================== Administrative ================== The Aerosol Optics Module will consist of 4 sessions, 1.5 hours each. Two homeworks. Quiz at the end of module. Session 1: Radiation and scattering fundamentals Session 2: Scattering calculations for aerosol systems Session 3: Application to measurements, in situ, remote sensing Session 4: Applications for atmospheric aerosols, visibility, climate Goals of the module: To explain the physical principles of aerosol interaction with light Show the relevant computational procedures and tools Demonstrate their application to aerosol measurements and characterization ======================Table of Contents======================== AEROSOL OPTICS ................................................................................................................... 1 Short Course Module, March 2012 ........................................................................................ 1 Introduction ............................................................................................................................ 2 Radiation ................................................................................................................................ 2 The Physics of Radiation .................................................................................................... 2 The Electromagnetic Spectrum (EM)................................................................................. 3 Gaseous Absorption ........................................................................................................... 5 Reflectance ......................................................................................................................... 6 Aerosol Scattering and Absorption ........................................................................................ 7 Scattering and Absorption by Single Spherical Particles: Mie Scattering ......................... 8 Role of Particle Size ........................................................................................................... 8 Cross Section and Efficiency ............................................................................................. 9 Efficiency per Unit Mass .................................................................................................. 10 Albedo for Single Scatter ................................................................................................. 10 Scattering Diagram and Phase Function, Asymmetry Factor .......................................... 11 Diffraction, Refraction, and Reflection ............................................................................ 14 Role of Diffraction ........................................................................................................... 14 Refraction ......................................................................................................................... 15 Refractive Index ................................................................................................................... 18 Refractive Index for Shortwave Radiation ....................................................................... 18 Refractive Index for IR Radiation .................................................................................... 21 1 Introduction Aerosol optics is concerned with the interaction of visible or near visible electromagnetic radiation aerosol clouds and with the processes associated with radiative transfer. From the point of view of radiation, the aerosol system consists of randomly suspended discrete mass centers, which interacts with the radiation by absorption and scattering. Radiation The Physics of Radiation Radiant energy may be alternatively envisioned as being transported either by electromagnetic waves or by photons. Neither point of view completely describes the nature of observed phenomena. Nevertheless, these separate concepts have considerable utility. For example, the scattering from a single particle within a radiation wave front may be predicted through use of electromagnetic theory, whereas quantum theory and discrete approach is utilized to determine the properties of gaseous absorption or multiple scattering in turbid media. Figure 1. Simplified visualization of scattering of an incident electromagnetic wave by a particle. Radiation travels at the speed of light. Thus, from the viewpoint of electromagnetic theory, the waves travel at this speed. Alternatively, from a quantum point of view, energy is transported by photons, all of which travel at the speed of light. (This differs from molecular transport in that all the photons have the same speed.) There 2 is, however, a distribution of energy among the photons. The energy associated with each photon is hν, where h is Planck’s constant and ν is the frequency of the radiation. Each photon also possesses a momentum hν/c, where c is the velocity of light within the medium through which the radiation travels. Three parameters may be employed in characterizing radiation: The frequency ν, the wavelength λ, and the wave or photon speed c. Of these, only two are independent, since they are related by c = λν. The choice as to whether to employ ν or λ as a characteristic parameter is somewhat arbitrary, although ν has the advantage in that it does not change when radiation travels from one medium to another. The speed of light c within a given medium is related to that in a vacuum, co, by c = co/m where m is the index of refraction. In vacuum, the index of refraction is unity while in gases it is also approximately one. For common liquids and solids it is between 1.3 and 3. The Electromagnetic Spectrum (EM) The EM spectrum spans over 14 orders of magnitudes, from radio waves with wavelengths of hundreds of meters, to gamma rays of which wavelength is a small fraction of a nanometer. The wavelength range of interest to aerosol optics is the visible and the near-visible part of the spectrum, ranging between 0.3 < λ < 1.0 um. The various radiation sub ranges are illustrated in Fig. 2. 3 The The Electromagnetic Electromagnetic Spectrum Spectrum Remote sensing uses the radiant energy that is reflected and emitted from Earth at various “wavelengths” of the electromagnetic spectrum Our eyes are only sensitive to the “visible light” portion of the EM spectrum Why do we use nonvisible wavelengths? Michael D. King, EOS Senior Project Scientist 1 August 25, 2002 Figure 2. The electro magnetic spectrum 4 Figure 3. Spectral characteristics of sensors Gaseous Absorption Atmospheric Atmospheric Absorption Absorption in in the the Wavelength Wavelength Range Range from from 0-15 0-15 µm µm Michael D. King, EOS Senior Project Scientist 4 August 25, 2002 Figure 4. Atmospheric absorption by gases 5 Reflectance Typical Typical Spectral Spectral Reflectance Reflectance Curves Curves for for Vegetation, Vegetation, Soil, Soil, and and Water Water Michael D. King, EOS Senior Project Scientist 3 August 25, 2002 Figure 5. Angular and spectral reflectance of surfaces 6 Aerosol Scattering and Absorption When a particle is irradiated with light of a given wavelength, two different physical processes will occur. The incoming radiation can be transformed into other forms of energy, such as heat, energy of chemical reactions, or radiation at a different wavelength. In such a case the energy transformation is called absorption. The absorption of radiation is associated with transitions of the energy levels of the atoms or molecules that constitute the aerosol. Absorption terminates the path of a photon. In visible range very few gases, such as NO 2, have spectral absorption bands. The most important gaseous absorption bands are in the ultraviolet (e.g. ozone) and in infrared regions (water vapor, CO2). Particles may also scatter photons. Scattering is defined as any change in the direction of propagation of the photons. This process is physically due to local inhomogeneities within the medium, e.g. suspended solid particles or liquid droplets within the gas. Light scattering is produced by the gas molecules. When radiant energy is scattered with no change in frequency, the scattering is referred to as coherent scattering. If the scattering of radiation within a gas is strictly molecular scattering (i.e., there are no foreign particle present), it is designated as Rayleigh scattering. The Rayleigh theory predicts that the spectral intensity of the scattered radiation will vary as the fourth power of the frequency; that is, the scattering is predominantly at the shorter wavelengths. This accounts for the fact that the sky appears blue, for the preferential scattering in the atmosphere involves the short wavelength blue light. This is also the reason why sunsets are red, for the long wavelength red light suffers less attenuation in traversing the large atmospheric path length. Although Rayleigh scattering is an important mechanism in global atmospheric phenomena, it is usually unimportant for microclimatological applications due to the short path lengths involved in the latter. Scattering can, however, play an important role in radiation energy transfer when foreign particles are present. Typical examples include clouds, fogs, and air pollution particulates. In these cases scattering may encompass the combined and interactive effects of reflection, refraction, and diffraction. A theory that is pertinent to such situations is Mie scattering, which is concerned with electromagnetic scattering from spherical particles with sizes on the order of the wavelength of the incoming radiation. The foregoing was a discussion of the physics of absorption and scattering. Attention will now be turned to the formulation of the processes of absorption and scattering in terms of defined radiation properties. 7 Scattering and Absorption by Single Spherical Particles: Mie Scattering In this section we shall consider the scattering characteristics of single particles and provide the information required for the calculation of radiative transfer and visibility in the hazy atmosphere. The objective is to relate the properties of the scattering particles, shape, size and refractive index, to the intensity and angular distribution of the redirected light. It is of interest to note that scattering is not restricted to the visible part of the electromagnetic radiation spectrum. The scattering of radio waves by satellites, the scattering of microwaves by raindrops, scattering of thermal radiation by cloud droplets, scattering of light by small particles, and electron scattering by molecules are all similar phenomena, since in each case the wavelength is of the same magnitude as that of the scattering object. Thus, as a natural scaling fact or for scattering is the wavelength of the incoming radiation and it is used in the dimensionless parameter, called the optical size parameter, α. α= 2 r/ λ = D/ λ where r or D is characteristic particle size; in the case of a sphere it is the radius. In the following discussion, the incident radiation will be assumed to be monochromatic. Role of Particle Size The primary role of particle size is that it determines the regime of interaction with radiation. For particles much smaller than the wavelength α<< 1, the presence of the particle does not perturb the wavefront of the electromagnetic radiation. The physical process of scattering in such a regime is described by dipole interaction with electromagnetic radiation and it is also referred to as Rayleigh scattering. 8 Figure 6. Rayleigh scattering by air (bRg) is proportional to (wavelength)4 Reduced air density at higher altitudes causes a reduction of bRg. The NO2 absorption band peaks at 0.4 m but vanishes in the red portion of the spectrum When the particle size becomes comparable to the wavelength, then the wavefront suffers a substantial distraction in the vicinity of the particle. Waves scattered by a particle will tend to interfere positively and negatively with the surrounding radiation wavefront, which leads to a peculiar interference pattern in the vicinity range and this particle - radiation is called Mie scattering. For particles with diameter at least ten times the wavelength, the interaction with the wavefront again becomes relatively simple. Such a particle will reflect, refract (the lens effect), and diffract certain amounts of radiation. These particles fall in the regime of geometrical optics scattering. Cross Section and Efficiency When the electromagnetic wavefront passes a particle, the radiation in the vicinity of the particle will be abstracted from its original path, by scattering and absorption. This fraction of incoming radiation is extinct from the original beam. Hence, the extinction cross section of a particle, Cext, is the area in the particle where all the incoming radiation changes directions or gets absorbed. The scattering cross section Cscat and the absorption cross section, Cabs, are defined analogously and follow the relation: 9 Cext = Cscat + Cabs Intuitively, the extinction cross section is the cross sectional area of the particle, A = r2 i.e. the ‘efficiency’ of extinction is unity. In other words, the amount of energy impinging upon the particle cross sectional area is extinct with unit efficiency factor. However, in reality this efficiency factor Q ext, can be significantly higher than or in cases less than unity depending on wavelengthand the refractive index m. Cext = Qext r2 The efficiency factors for scattering, Qscat, and absorption, Qabs, are defined in a similar manner. In analogy of the cross sections, it also holds that Qext = Qscat + Qabs One would expect that for very large spheres, certainly for large absorbing spheres, the extinction cross section would approach the physical cross section i.e. Q ext ~ 1. Paradoxically, this is not so. A large scattering sphere extincts twice its geometrical cross section. The cause for this discrepancy is explained by the "diffraction paradox." Efficiency per Unit Mass It is often desirable to define and compute the efficiency of extinction per unit mass of aerosol. The mass extinction efficiency Mext is defined for spherical particles as The mass scattering and absorption efficiency factors are defined analogously and satisfy the relationship Mext = Mscat + Mabs The utility of the mass efficiency factors lies in that they are identically potency functions . Albedo for Single Scatter In the general case, the photons may be scattered and absorbed by the particles, thus only a fraction of the incident photons will be leaving the particle. The albedo for 10 single scatter, ω, is defined as the fraction of light lost from the incident light due to scattering, while ( 1 – ω ) represents the absorbed fraction of the energy. Thus, the albedo ω is defined as ω = Cscat / Cext = Qscat / Qext = Mscat/ Mext The single scatter albedo is particularly useful in multiple scattering calculations. Scattering Diagram and Phase Function, Asymmetry Factor The scattered wave of any point in the distant field has the character of a spherical wave in which energy flows outward from the particle. The direction of scattering is characterized by the scattering angle θ and azimuth angle . The most important property of the incident and scattered wave is the intensity, I. The intensity of electromagnetic radiation is the rate of energy flow across a unit area (erg/cm2sec) perpendicular to the direction of propagation. In optics this is also called irradiance. The intensity is occasionally also referred to as illuminance, i.e. luminous flux per unit area (lumens/m2 = lux). Both the incident and scattered waves are unidirectional, i.e. each confined to a narrow solid angle. The term I is the total energy flux in this narrow solid angle dω. The waves are also assumed to be monochromatics, i.e. confined to a narrow frequency interval. Here we should recall that it is advantageous to use frequency rather than wavelength, since ν is independent of the refractive index of the medium. However, for practical reasons, the intensity is commonly defined in terms of wavelength increment dλ. If Io and I are the intensities of incident and scattered light respectively, and R is the distance from the particle, then I must be proportional to I o and R –2, and we may write 11 Figure 7. Schematics of the angular distribution of the scattered light The total amount of incident energy that changes direction of propagation is the amount confined to the scattering cross-section, Cscat. The same energy is now distributed in all directions as given by the dimensionless angular function called the scattering diagram, F (θ, ). From conservation of energy, we get Wave number k = 2 / λ where dω = sin θ d θ d is the infinitesimal solid angle and the integral is taken over all directions, 0 < θ < ; 0 < < 2 . The scattering diagram, when divided by Cscat k2 yields the phase function P (θ, ): P (θ, ) = F (θ, ) / Cscat k2 which is the fraction of the total amount of light scattered into direction θ and . The integral of P (θ, ) over all directions is unity. Hence the phase function represents the probability of scattering in any given direction. The probabilistic interpretation of P (θ, ) is useful for the photon tracing in multiple scattering problems. Clearly, shape value of the phase function P 12 (θ, ) depends on the size parameter, and the refractive index m. For spherical particles in natural nonpolarized light, the light scattering phase function has circular symmetry coinciding with the axis of incident beam propagation such that P(θ, ) = P(θ) Generally, the forward scattering dominates the backscattering and this asymmetry is quantified by the asymmetry parameter cos θ, defined as The asymmetry factor increases with increasing particle size. Scalar waves, like sound, are fully described by the intensity. However, neither the incident light nor the scattered light is completely characterized by intensity. The transverse nature of light waves allows the phenomenon of polarization to occur. The additional parameters required for the full description are polarization and phase. Light consists of many simple waves with frequency 1014 sec –1 and with the duration of coherent wave trains 10 –8 sec. The simple waves are all monochromatic and completely (elliptically) polarized. Light that is commonly measured is the net effect of many simple waves and in general it is partially polarized. Natural light, such as direct sunlight, is a mixture of uncorraleted simple waves. Over a time period of usual measurements ( t > 10 –8 sec) the electric vector exhibits no preferential vibration i.e. it is unpolarized. An arbitrary beam of light, of intensity I, consists of an unpolarized part and a totally polarized part. I = Iunpol + I pol The degree of polarization is defined as Ipol / I. The polarized part of the beam is in general elliptically polarized, and it can be further separated into a linearly polarized part, Ilp, and a circularly polarized part, Icp, where Ipol = ( Ilp2 + Icp2 ) (1/2). The scattered radiation is in general polarized. For the present discussion it will suffice to say that the scattered intensity will have components vibrating perpendicularly (i1) and parallel (i2) to the plane through the directions of propagation of the incident and scattered beams. 13 Degree of polarization is = (i1 – i2)/(i1 + i2). The wave phenomena involved in light scattering are illustrated schematically in Fig. 8. Figure 8. Schematics of the spherical wave of linearly polarized light leaving the particle. Much of the light scattering theory is concerned with the understanding of the intricate interference relationship between the scattered (diffracted, refracted, and reflected) and the incident light. In the next section, consideration is given to the basic physical processes, which cause light scattering to occur. Diffraction, Refraction, and Reflection The combined and mutually interfering effects of diffraction, refraction, and reflection can describe the physics of light scattering by small particles. Reflection is a well known phenomenon and generally contributes < 5% of the scattering. Therefore, no further consideration will be given to its role at this point. Role of Diffraction Diffraction is an edge effect. It arises from the incompleteness of the wavefront passing the sphere. 14 Figure 9. Diffraction A fraction of the radiation near the edge of the particle is bent towards the particle to "fill its shadow." On rigorous physical grounds it can be shown that the amount of radiation diffracted is precisely the cross sectional area of the particle. This holds for any shape particle. Hence, the extinction cross section of a large sphere consists of the refracted (or absorbed) cross section, r2, and of the diffracted cross section, which is also r2. This explains the "diffraction paradox" that Qext = 2 (Van de Hulst, 1957) for large particles, and the polarization of diffracted light is the same as that of the incident light. Refraction The refractive index plays three major roles in extinction: 1) phase shift, due to difference of speed of wave propagation inside and outside the particle, 2) bending of the wavefront direction (the lens effect), 3) dissipation (absorption). The speed of a wavefront entering the particle with n > 1 is reduced by the amount c = co /m, where co is the speed of light in a vacuum. Since the frequency remains constant, this leads to reduction of the wavelength within the particle. Consequently a phase shift develops between the wave within and outside the particle. Hence, the wave leaving the particle (i.e. center of the particle) may be in or out of the phase with its surroundings. This then may lead to positive or negative interference. We shall note later that it should also be stressed that phase shift is a necessary condition for scattering to occur, i.e. the refractive index difference at the particle interface needs to be large. 15 Figure 10. Phase shift. The refraction index is also responsible for bending the arriving wavefront in a similar manner as observed in the well known convex lens effect. For small refractive index, the bending is weak, while at high n, the dispersion is strong as illustrated schematically in Fig. 11. The refracted light from a particle contributes most of the polarization. Figure 11. The "lens effect" of refractive index For absorbing media such as metal oxides and elemental carbon, the refractive index, m, is complex. The refracted wave now becomes inhomogeneous, with decaying intensity (amplitude) as it penetrates the particle, Fig. 12. 16 Figure 12. Absorption The refractive index, m, is now expressed as a complex number m = n – in’ where n and n’ are the real and imaginary parts of m. The radiation intensity in the particle decreases by exp (-2α n’), and the amplitude by exp (-2α n’). In summary, the basic interactions between light and atmospheric particles are illustrated in Figure 13. For spherical particles of sizes similar to the wavelength of visible light (0.1 to 1 μm), the scattering and absorption of individual particles can be calculated through use of the “Mie” equations (Mie, 1908). Figure 13. Light scattering by ‘Mie Particles’ is the combined effect of diffraction and refraction. A) Diffraction is an edge effect whereby the radiation is bent to "fill the shadow" behind the particle. B) The speed of a wavefront entering a particle with refractive index n >1 (for water n = 1.33) is reduced. This leads to a reduction of the wavelength within the particle. Consequently a phase shift develops between the wave within and outside the particle leading to positive and negative interferences. C) Refraction also produces the "lens effect." The angular dispersion by bending of incoming rays increases with n. D) For absorbing media, the refracted wave intensity decays within the particle. When the particle size is comparable to the wavelength of 17 light (0.1 - 1 m), these interactions (a-d) are complex and enhanced. For particles of this size and larger, most of the light is scattered in the forward hemisphere, or away form the light source. Figure 14. Single Particle Scattering and Absorption. For a single particle of typical composition the scattering per volume has a strong peak at particle diameter of 0.5 m (m = 1.5 - 0.05i; wavelength: 0.55m). The absorption per aerosol volume however is onlly weakly dependent on particle size. Thus the light extinction by particles with diameter less than 0.1 m is primrily due to absorption (Charlson et al. 1978). Scattering for such particles is very low. A black plume of soot from an oil burner is a practical example. Refractive Index Refractive Index for Shortwave Radiation The value of the refractive index for dry atmospheric aerosol particles ranges from 1.4 < n < 1.6. For water, the value is 1.33. For a hygroscopic or deliquescent particle, the refractive index will approach that of water as the particle grows at high humidities. Since the growths of particles with humidity is only known for a few pure substances, the RH dependence of refractive index of atmospheric aerosols is not predictable on theoretical grounds. Barnhardt & Strate (1970) quote an empirical formula N = 1.54 + 0.03 ln (1-RH/100). Hanel (1971) proposed a linear interpolation between the dry particle refractive index and water, based on the volume fraction of the dissolved matter. The refractive indices of crystalline aerosol materials have been compiled by Bullrich (1964) and are shown in Table 1. These crystalline compounds have 1.48 < 18 n < 1.64 in dry state and all f them are transparent in the visible window (i.e. the imaginary part of their refractive index is negligible). The imaginary part of the refractive index is responsible for the absorption (heating) of particles, but its value for atmospheric aerosols is not well established. For urban aerosols it is considered to range between 0.005 to 0.03. Absorption in the visible region may be due to organic aerosols or metal (ferrous) oxide, but is believed to be dominated by carbon (soot) particles emitted from combustion sources. Twetty & Weinman (1971) have reviewed the real and imaginary refractive indices of graphites, soot, coals, etc., and gave an average value of m=1.8-0.5 i. Bergstrom (1972) proposed 0.63 < n' < 0.69 in the visible window, but he also stressed the wavelength dependence of both n and n'. Bergstrom's n, n' values for the 0.3-3 m range are given in Table 2. Figure 15. Real (nr) and imaginary (ni) parts of the refractive index of quartz (silica). (After Conel, 1969). 19 Figure 16. Refractive index for propane soot, chimney soot, soot from precipitation dust, coarse dust, and fine dust ( Volz,1972) Particle Refractive Index Particle Refractive Index NH4Cl 1.64 CaSO4 1.57 NH4NO3 1.60 KCl 1.49 (NH4)2SO4 1.52 Na2SO4 1.48 MgCl2 1.54 SiO2 1.49 NaNO4 1.59 K2SO4 1.49 Table 1. The refractive index of atmospheric aerosol materials which have a crystalline structure (Bullrich, 1964). 20 The calculation of the effective refractive index of a mixture of particles such as the atmospheric aerosol, is possible if the size, chemical composition distribution function is known. In that case, the average real and imaginary refractive indices may be extracted from properly calculated scattering and extinction coefficients. The real and imaginary parts of the refractive index of atmospheric aerosols have been examined by a variety of experimental techniques, some requiring aerosol deposition on filter. In other methods, n and n’ were inferred from in situ optical measurements. Table 3 summarizes n and n’ data for soot, fly ash, atmospheric aerosol, and dry dust. Prudent users of such tables will carefully compare their own application with the conditions that the above data were taken. Refractive Index for IR Radiation In the wavelength range 0.7 < λ< 14 m, the real and imaginary refractive indices of materials cannot be taken as constant. Most materials exhibit absorption bands particularly in the 1-10 m region, in which n’ will vary drastically. If this variation of n’ occurs in the "transparency window" of the atmosphere (8-14 m) the analysis needs to be with care (in spectral bonds). The extinction is generally dominated by particle sizes comparable to the wavelength of radiation. Hence, for the transparency window, the particle sizes 814 m are of particular importance, which is dominated by earth’s crust materials: silicates and metal oxides. Conel (1969) reviewed the optical properties of silicates and gave n and n’ (Fig. 15) from measurements of Spitzer & Kleinman (1961). The imaginary part of refractive index for propane soot, chimney soot, soot from precipitation dust, coarse dust, and fine dust, has been measured (Fig. 16) by Volz (1972) over a 2-30 m wavelength range. While soot is an efficient absorber, dust has been shown to be quite absorbing (n’ ~ 0.1) in the 8-14 m band. Further discussion on the subject is given by Paltridge and Platt (1976, pp 287). 21 Table 2. Indices of refraction ( m = n2 - ik2) for carbon and nickel at various wavelengths. The actual index of refraction of quartz in the solar spectrum is about = 1.52--0.0 I (Peterson and Weinman, 1969); however, the value of 1.50 was used to be consistent with that comomnly employed for the natural aerosol (Quenzel, 1970; Yamamoto and Tanaka, 1969; and others). ( m) n2 k2 0.3 1.84 0.70 0.4 1.88 0.69 0.5 1.94 0.66 0.6 1.99 0.64 0.7 2.03 0.63 0.8 2.07 0.61 0.9 2.09 0.60 1.0 2.12 0.59 1.5 2.14 0.65 2.0 2.17 0.75 2.5 2.21 0.86 3.0 2.26 0.98 0.42 1.41 2.53 0.589 1.79 3.33 0.75 2.19 4.36 1.0 2.63 5.26 2.25 3.95 9.20 (a) Carbon (b) Nickel 22 Table 3. Values of the real (nr) and imaginary (ni) parts of the refractive index of atmospheric particles for the short-wave region observed from various experimental measurements. (Paltridge and Pratt, 1976). ni nr Type Twitty and Weinman (1971) 1.8 0.5 soot and coal dust Grams et al. (1972) 1.55 0.044 fly ash 0.01 atmospheric aerosol 0.005 atmospheric aerosol 0.01 atmospheric aerosol Fischer (1970) Ivley and Popova (1973) Lin et al. (1973) 1.65 23