Week 8: October 15-19

Lorenz-Mie Scattering
Topics:
1. Lorenz-Mie theory
2. Scattering amplitudes/phase matrix
3. Mie scattering results: extinction, absorption, phase function vs. x
4. Anomalous Diffraction Theory
5. Index of refraction for water/ice/aerosols
6. Mie scattering results for size distributions

Reading: Liou 3.3.2& ; Thomas 9.3

Lorenz-Mie Theory
Mie scattering is a solution method for light scattering from spheres.
Applicable for any size parameter, but Mie regime 0.1 < x < 100.
Overview of Mie scattering solution for spheres:
1) Express electric field inside and outside sphere in a vector spherical harmonic
expansion, which satisfies Maxwells equations.
2) Apply boundary conditions - match transverse fields at sphere surface to obtain
outgoing spherical wave coefficients an and bn .
3) Use series involving an and bn to obtain extinction and scattering efficiencies
(Qext and Qsca ).
4) Use series in Mie angular functions to obtain scattering amplitude functions
S1 () and S2 (), from which phase function is derived.
Scattering Amplitudes
Complex functions that describe pattern and polarization of scattered electric field
in terms of the incident field.
The electric field in the far field (R  kr 2, k = 2/) is

Ek
E

sca

exp(ikR + ikz) S2 S3
=
S4 S1
ikR

Ek0
E0

S2 S3
is the amplitude scattering matrix (unitless).
S4 S1
For spheres S3 = S4 = 0.
is the outgoing scattered wave.
The exp(ikz) is the incident plane wave. exp(ikR)
ikR

The matrix

Fundamental extinction formula (optical theorem):

4
Re[S1,2(0)]
2
k

ext = Cext =

Extinction cross section is related to scattering in forward direction.

Phase Matrix
The phase matrix is the phase function with polarization.
For randomly oriented particles it is

Isca
Qsca
Usca
Vsca

sca

4R2

P11 P12
0
0
P12 P22
0
0
0
0
P33 P34
0
0 P34 P44

I0
Q0
U0
V0

Each element depends on scattering angle (1/R2 is from solid angle).

For spheres P22 = P11 and P44 = P33.
The off diagonal terms are usually small for Mie scattering, so polarization does
not affect intensity (then need only P11 for I).
Intensity component of phase matrix
4 |S1 |2 + |S2 |2
P11 () = 2
k sca
2
Mie Scattering Amplitudes
Mie theory scattering amplitudes
S1 () =

2n + 1
[an n (cos ) + bn n (cos )]
n=1 n(n + 1)

2n + 1
[bnn (cos ) + an n (cos )]
n=1 n(n + 1)
The complex Mie coefficients an and bn are obtained from matching the boundary
conditions at the surface of the sphere. They are expressed in terms of spherical
Bessel functions evaluated at x and mx.
The Mie angular functions are
S2 () =

n (cos ) =

1
Pn1 (cos )
sin
2

n (cos ) =

d 1
P (cos )
d n

Pn1 are associate Legendre functions.

The number of terms needed and amount of angular structure is proportional to
size parameter x.

Spherical Bessel functiuons of the first (a) and second (b) kind. [Bohren and Huffman, 1993; Fig.
4.2]
3

Polar plots of the first five Mie angular functions n and n . Both functions are plotted to the same
scale. [Bohren and Huffman, 1993; Fig. 4.3]

Mie Efficiency Factors

The Mie efficiency factors are derived from the scattering amplitudes.
Extinction efficiency:
Qext =

2 X
(2n + 1)Re(an + bn )
x2 n=1

Scattering efficiency:
Qsca

2 X
(2n + 1)(|an|2 + |bn|2 )
= 2
x n=1

Asymmetry parameter:

4 X n(n + 2)
2n + 1
Qsca g = 2
Re(an an+1 + bn bn+1) +
Re(an bn )
x n n+1
n(n + 1)

Mie Code Algorithm

How a Mie code works:
1. Compute an and bn for n = 1 . . . N from size parameter x and index of
refraction m (uses recursion relations for the spherical Bessel functions).
N x + 4x1/3 + 2.
2. Compute Qext , Qsca, and g from an and bn .
3. (optional) Compute S1() and S2 () at desired scattering angles from an
and bn and n () and n () (n and n from recursion). Compute phase
matrix elements P11, P12, P33 , P34 from S1, S2 .
4. Integrate numerically over a size distribution n(r) to get volume extinction
, single scattering albedo , and phase function P ().

Mie Scattering Results

Lorenz-Mie theory applies to spheres of all size parameters x.
Extinction efficiency vs size parameter (no absorption):
1) Small in Rayleigh limit Qext x4
2) Largest Qext when particle and wavelength have similar size.
3) Qext 2 in geometric limit (x ).
4) Oscillations from interference of transmitted and diffracted waves.
5) Ripple structure from surface waves - resonance effects
Period in x of interference oscillation depends on m.
Absorption reduces interference oscillations and kills resonance ripples.
Scattering and absorption efficiency vs size parameter with absorbing m:
as x , Qsca 1, Qabs 1; entering rays are absorbed inside particle.
Smaller imaginary part of m requires larger particle to fully absorb internal rays.
Phase functions: Forward peak height increases dramatically with x.
For single particles - number of oscillations in P () increases with x.

Mie results: Extinction Efficiency

4.5
m=1.33
m=1.55

4.0
3.5

Qext

3.0
2.5
2.0
1.5
1.0
0.5
0.0

10

15
20
25
Size parameter x

30

35

40

4.0
m=1.33-0.00i
m=1.33-0.01i
m=1.33-0.03i
m=1.33-0.10i

3.5
3.0
Qext

2.5
2.0
1.5
1.0
0.5
0.0

10

20

30
40
50
Size parameter x

60

70

80

Extinction efficiency vs. size parameter. Top panel shows effect of real part of index of refraction,
while bottom panel shows effect of imaginary part.

Mie results: Scattering Efficiency

4.0
m=1.33-0.003i
m=1.33-0.01i
m=1.33-0.03i
m=1.33-0.1i

3.5
3.0
Qsca

2.5
2.0
1.5
1.0
0.5
0.0

10

20

30
40
50
Size parameter x

60

70

80

Mie results: Absorption Efficiency

4.0
m=1.33-0.003i
m=1.33-0.01i
m=1.33-0.03i
m=1.33-0.1i

3.5
3.0
Qabs

2.5
2.0
1.5
1.0
0.5
0.0

10

20

30
40
50
Size parameter x

60

70

80

Scattering and absorption efficiencies vs. size parameter for varying amounts of absorption.

Mie results: Phase function (m=1.33)

x=0.1
x=1
x=3

10

Phase function

8
6
4
2
0

20

40

60

80 100 120
Scattering angle

140

160

180

Single particle results

3

10

x=0.1
x=3
x=10
x=30

Phase function

10

10

10

-1

10

-2

10

20

40

60

80 100 120
Scattering angle

140

160

180

Phase functions for single nonabsorbing spheres of increasing size parameter x: linear scale (top),
log scale (bottom).

Extinction Paradox and Geometric Optics Limit

Geometric optics limit is x .
As x extinction efficiency is Qext = 2.
Extinction cross section is twice particle area!
One r2 from blockage by particle, second r 2 from diffraction.
Light diffracted by particle edge is scattered by small angles.
Solution to paradox: need to be in far field (xr  1) to see diffraction.
If optical path in particle 4r/  1, all light entering is absorbed:
Cabs = r2 Csca = r2 = 0.5
If 4r/  1, all light entering particle is transmitted:
Cabs = 0 Csca = 2r2 = 1
Optical depth is proportional to second moment of size distribution:
=

Z Z
0

2r2 n(r)dr dz =

3 LWP
2 l re

for x

where LWP is liquid water path and re is effective radius.

Anomalous Diffraction Theory (ADT)
Simple scattering theory - explains main Mie Qext (x) oscillations.
ADT applies to limits:
x  1 so treat waves as rays,
m 1  1 so no refraction or reflection.
But phase lag in particle is significant = 2x(m 1).
ADT integrates sum of incident and transmitted E field (in = 0 direction) for
all rays through particle. Then uses optical theorem (Cext = (4/k 2)Re[S(0)])
to obtain extinction cross section, and bulk absorption coefficient (4Im[m]/) to
obtain absorption cross section.
Oscillations in Qext due to constructive and destructive interference of diffracted
and transmitted waves.
For non-absorbing spheres ADT gives
Qext = 2

4
4
sin + 2 (1 cos )

First maximum at 4.1. Asymptotically, maxes at = 2(n + 3/4).

10

ADT provides extinction and absorption, but not phase function.

ADT can be used on any convex shaped particle. But not that accurate for realistic
index of refraction.

Extinction curves computed from Lorenz-Mie theory for m=1.5,1.33,0.93,0.8. The abscissa is
= 2x(m 1) and is common to the upper two Lorenz-Mie curves as well as to the bottom
anomalous diffraction theory (ADT) curves [van del Hulst, 1957; Stephens, 1994]

11

Single Particle Mie Scattering Summary

x0
Cext
r3 or r6
( > 0) 0
g
0
Mie results:

0.2 < x < 50

Qext oscillations
reaches maximum
increases

x
2r 2
1/2
constant (.71)

=3.9 m m=1.357-.0038i (water)

Results

4.0
3.5

Qext

3.0

2.5
2.0
1.5
1.0
0.5
0.0

10

20

30

40 50 60 70
Size parameter x

80

90

100

4
5
6
Size parameter x

10

4.0
3.5

Qext

3.0

2.5
2.0
1.5
1.0
0.5
0.0

Extinction efficiency (Qext ), single scattering albedo (), and asymmetry parameter (g) as a function of size parameter for a slightly absorbing index of refraction.

12

Index of Refraction of Water and Ice

See graphs for complex index of refraction m = n i
Debye and Lorentz models used to understand index (see Stephens).
Microwave: water - very high n and , ice - n = 1.78, low
Index is temperature dependent for water but not much for ice.
Thermal IR: high (highest at 3 m); wiggle in n with each peak in .
Visible/near IR: mostly constant n,
= 0 in visible and increases with wavelength in near IR.

Index of Refraction for Water and Ice

10
9
8
7
6
5
4
3
2
1
1
10

Real Part

Water T=20 C
Water T=0 C
Ice
T=-20 C

Imaginary Part

10

-1

10

-2

10

10

10

-3

-4

20

40

60

80
100 120
Frequency (GHz)

140

160

180

200

Real and imaginary part of the index of refraction of water and ice in the microwave.
13

Index of Refraction for Water and Ice

2.0
Water
Ice

1.8
Real Part

1.6

1.4

1.2
1.0
0
10

-1

Imaginary Part

10

10

-2

10

-3

500

1000

1500
2000
2500
-1
Wavenumber (cm )

3000

3500

Real and imaginary part of the index of refraction of water and ice in the infrared.

14

4000

Index of Refraction for Water and Ice

1.7
Water
Ice

1.6
Real Part

1.5
1.4

1.3
1.2
1.1
1.0
0

10
10

Imaginary Part

10

-1

-2

10
10

-3

-4

10

-5

-6

10

10

-7

10

-8

0.5

1.0

1.5

2.0
2.5
Wavelength ( m)

3.0

3.5

4.0

Real and imaginary part of the index of refraction of water and ice in the visible and near infrared.

15

Index of refraction of aerosol materials: mostly nonabsorbing in shortwave,

except for soot (carbon) and dust (e.g. hematite) aerosols. Sulfates and quartz
absorb in 8-12 m region.

Imaginary part of index of refraction as a function of wavelength for some common aerosol materials. [Bohren and Huffman; Fig. 5.16]

16

Mie Scattering Results for Distributions

Real distributions of particles smooth out oscillations in extinction efficiency Qext (x)
and phase function P ().

The extinction efficiency as a function of the effective size parameter x e = 2re / for gamma size
distributions of various effective variances b. Mie theory with index m = 1.33 was used. [after
Hansen and Travis, 1974; Stephens, Fig. 5.16]

17

For cloud droplets at solar wavelengths: still have forward diffraction peak (width
1/x), rainbow near = 140, and glory at = 180.

Mie Phase Function for Distributions

4

10

Water droplets

=1.65 m

10

Phase function

10

10

10

-1

10

reff=5 m
reff=10 m
reff=20 m

-2

10

20

40

60

80 100 120
Scattering angle

140

160

180

The phase function for gamma distributions ( = 7) of water droplets for three different effective
radii.

18

Mie scattering results vs. wavelength for cloud droplets:

Extinction: constant in visible and near IR; decreases in far IR.
Single scattering albedo: 1 for < 1.6 m; low in mid IR.
Asymmetry parameter: 0.8 to 0.9 from visible to mid IR.

Normalized extinction coefficient, single scattering albedo, and asymmetry parameter for a cloud
droplet size distribution with ref f = 6 m. [Liou, 1992; Fig. 5.3]
19