Optical properties and mass concentration of carbonaceous smokes Petr Chylek, V. Ramaswamy, R. Cheng, and R. G. Pinnick Absorption or extinction measurements at wavelengths of 0.5145and 10.6Atmlead to determination of the mass concentration of carbonaceous smokes with an accuracy of -20%. The results do not depend on the details of the particle size distribution or on particulate to void ratio. I. Introduction of their formation. For example, particles produced in Carbonaceous smokes are produced by a variety of combustion sources such as chimney stack furnaces, industrial flames, aircraft and rocket engines, all motor vehicles, and especially diesel engines. The soot for- mation results from incomplete combustion of fuels containing carbon. The carbonaceous particles contribute to local air pollution of densely populated urban and industrial areas as well as to global pollution. Even though their mass concentration is small compared with other atmospheric particles, carbon particles are highly absorbing at visible and IR wavelengths, and consequently they may affect the earth's climate. For these reasons there is a need to measure and eventually routinely monitor the mass concentration of these pollutants released into the atmosphere. In this paper we propose a method based on the extinction or absorption measurement at two wavelengths to determine the mass concentration of carbonaceous smokes. II. Index of Refraction The extinction caused by soot particles depends on their number concentration, size, shape, and refractive index. Although the number concentration varies widely from a few particles/cm3 to perhaps 106 particles/cm3 , sizes are predominantly within the 0.0050.15-,m range.1-4 Soot particles can have markedly different shapes depending on the way and the source combustion of oil have a corallike structure with an overall spherical shape (Fig. 1), whereas particles of coal origin consist of spheres within spheres (Fig. 2). Consequently, if we model a soot particle by an effective homogeneous particle we cannot expect its effective refractive index to be equal to that of graphitic or amorphous carbon. But what refractive index should be used for particles that contain a significant volume fraction of void? The principal method used to measure the refractive index of soot is based on reflectivity of soot compressed into pellets. The results reported by different investigators are not in good agreement. In general the refractive index depends upon the molecular structure, the hydrogen-to-carbon (H/C) ratio, and the ratio of a particulate phase in agglomerated soot particles. It has been recognized5 that the effect of molecular structure is almost negligible. Dalzell and Sarafim 6 measured indices of refraction of acetylene soot with an H/C ratio equal to 0.068 and of propane soot with an H/C ratio of 0.217. Although the H/C ratio between the two measured kinds of soot varied by more than a factor of 3, they found no detectable difference between refractive indices at visible wavelengths. Differences were less than 7% from a common mean in IR around the wavelength of 4 um,and within about 20% from the mean value at 10 Azm. Consequently, we suspect that the strongest influence on the value of the refractive index of carbonaceous smokes is exercised by the vol- ume fraction of a particulate phase of agglomerated soot particles. To investigate the dependence of the refractive index of soot particles on the particulate fraction a prescription R. G. Pinnick is with U.S. Army Atmospheric Sciences Laboratory, White Sands Missile Range, New Mexico 88002; the other authors are with State University of New York, Atmospheric Sciences Research Center, Albany, New York 12222. Received 3 April 1981. 2980 APPLIED OPTICS/ Vol. 20, No. 17 / 1 September 1981 we need for a refractive index n of a soot as a function of an index of refraction n of a carbon and of the particulate volume fraction . The simplest and commonly used prescription for a refractive index7 - 9 n of a two-phase composite particle is work we adapt the approximation given by the set of Eqs. (1). Later we discuss the effect of using a different rule. In the case of soot particles composed of carbon and voids, we obtain nS = 1 + O(n. k = where mc = nc - - 1), (4) kc, (5) ikc is the refractive index of pure carbon, and m =ns - ik8 is the refractive index of a soot particle with particulate fraction s. For numerical calculations we adopt for the refractive index of carbon in the visible part of the spectrum the value 5 mc = 2.0 - i. In the IR we use the values of mp = 5.0 - 4.Oi at X = 10.6 Aim. The IR values 6 were ob- tained by reflectivity measurement of soot particles compressed into a pellet, and it has been suggested 5 that Fig. 1. compressed pellets were not all carbon by volume and that they still contained about 33%of air by volume (0 Soot particle from an oil-fired power plant. = 0.67). Denoting the refractive index of a pellet by mp = np - ikp, the refractive index of a soot particle with the particulate fraction P at 10.6 ,gm can be obtained from the equations (6) 0.67 k = O0 kp. 0.67 III. Fig. 2. Soot particle from a coal-fired power plant. n = n + (1 - O)nZ, k = k + (1 - )k2, (1) where m1 = n - ik, and m 2 = n2- ik2 are refractive indices of the individual components and k is a volume fraction of the component having refractive index ml. It seems that the relation (1) is a purely empirical relationship with no derivation given in the published literature. A slightly modified version of the same empirical rule combines the real parts and the ratio of imaginary to real part of refractive indices1 0 according to n = On, + (1- k/n = kk/n2 + (1 - k)k2/n2. (2) k)n2, A similar empirical rule has been proposed for the dielectric constant = (7) Extinction and Absorption in the Visible Region Using the above specified optical constants we have calculated the specific extinction and absorption (extinction and absorption per unit mass) of carbonaceous smokes assuming a surface log-normal distribution of soot particles, with standard deviation ag equal to 1.5, 2.0, and 2.5, and the mean geometric radius rg in the 10-3 -10-pm region. The results for ag = 2.0 and various values of 0 at the argon laser wavelength X = 0.5145 ,um are shown in Fig. 3. l0 r' E I- bw bi 100 2 m instead of the refractive index n. Thus, e = kes+ (1 - )e2. (3) Other frequently used refractive-index mixing rules are the Maxwell-Garnettl approximation, the effective medium approximation,12 and the Lorentz-Lorenz rule,13 to name a few. The accuracy and regions of applicability of listed approximations and empirical rules are not well established. Only the first two of the approximations consider complex values of refractive indices. For our 0 '- [ 10-3 10-2 lo-, 100 l0 rg(m) Fig. 3. Specific extinction UEXT/M and absorption OTABS/M at the wavelength X = 0.5145 Am is relatively insensitive to changes of the particulate fraction of a soot particle. Especially in the region of 0, between 0.25 and 0.50 (where most carbonaceous smokes seem to be), the specific extinction changes only by ±10% for the mean geometric radius rg 0.1 ,um. 1 September 1981 / Vol. 20, No. 17 / APPLIED OPTICS 2981 I As stated before,1 4 most soot particles have radii smaller than 0.15 gim. If we require that not more than 5% of the total volume of particle size distribution may be attributed to particles with radii larger than 0.15, gim I I 12.0 I I X =0.5145 Im 10.0 ABs/M-12.48-0.0690-_ 7 for g = 2.0 the geometric mean radius rg ' 0.045 gim. 8.0 Thus, for almost all practical cases of carbonaceous I smokes we take rg < 0.05 gim. 6.0 We notice (Fig. 3) that the specific extinction and In by~ specific absorption in the range of rg • 0.05 gimis not a very sensitive function of X,the fraction of particulate phase in soot particles. With 0 varying between 25 and x rg=Q00pm o r =0.05pm 2.0 100%the specific extinction and absorption vary only by a factor of 2. Although numerical results are shown only for the standard deviation ag = 2.0, the same is true for ag = 1.5 and 2.5, which covers the whole range of size distribution of interest. From the above it followsthat from the extinction or absorption measurement at some visible or near IR wavelength (index of refraction of carbon remains essentially the same within the 0.40 gim< X < 1.10-gim 4.0 - A 0 Fig. 4. I I I I 20 40 60 80 I 100 4 (%) Specific absorption at X = 0.5145 Am can be approximated by a linear function of 4 for all rg < 0.05 jim. region) the mass concentration of carbonaceous smokes can be determined within a factor of 2. We show later that the accuracy can be substantially improved by combining extinction and/or absorption measurement in visible with extinction and/or absorption measurement in the IR region around X= 10 gim. We notice (Fig. 4) that the specific absorption for a OC E range of rg < 0.05 gum can be accurately approximated by a linear function of particulate volume fraction 0. _q We write b 2M = A -Bo, (8) where A = 12.5 and B = 6.9 for 0.1 < 0 < 1.0. Similarly, the specific extinction can be approximated (although with not so good accuracy) by aE!T = A' - Blot, l21 l0o 10-3, (9) M where A' = 13.0 and B' = 5.9. The values of constants A, B and A', B' are valid only for the considered wavelength X = 0.5145 gim. If different X is used, new values 100 10 rg (pm) Fig. 5. Specific extinction GExT/M and absorption GrABs/M at the wavelength X = 10.6 ,jm is a sensitive function of a particulate fraction 0 of a soot particle. With the change of 0 between 0.25 and 0.50 the specific extinction changes by a factor of 4. of these constants have to be determined by numerical calculations or experimentally. (At X = 1.06 gim we obtained A' = 6.2 and B' = 3.0.) Jennings and Pinnick'4 using a method suggested by Chylek' 5 obtained an expression for specific absorption (7.2 M2 g'l) and extinction (10.2 m2 g'l) of carbon We notice that the specific extinction and/or absorption changes by a factor of 30 (compared with a particles (4 = 1.0) valid for particles with radius S0.11 gim. Although they were able to explain the measured absorption and extinction in the visible part of the spectrum, the same approach fails completely when applied to IR measurements. On the other hand, the method suggested in the present paper is consistent with measurements in the visible and IR regions. factor of 2 at visible wavelengths) with the change of the IV. IR Extinction Specific extinction and absorption at the wavelength X = 10.6 gimare shown in Figs. 5 and 6. Results shown 0 are again for the standard deviation ag = 2.0. However, all curves remain essentially unchanged for all 1.5 • 0g < 2.5 as long as rg < 0.05 gim. 2982 APPLIED OPTICS/ Vol. 20, No. 17 / 1 September 1981 particulate volume function between 4 = 25 and 100%. Consequently, the absorption or extinction measurement in the IR region is not a convenient way to determine the mass concentration, since the fraction is generally unknown. Specific extinction or absorption at the wavelength X = 10.6 gimcan be well approximated M = C(1004,)-D, by (10) where C = 491,D = 1.98, and 0.2 < 0 < 1.0. Since at X = 10.6 gimthe extinction is dominated by absorption, the same relation is valid for specific absorption. Table I. Relation Between the ParticulateVolume Fraction 4 and the AVSS/ TRatio Calculated From Eq. (11) with A =12.5, B = 6.9, C = 491, andD = 1.98.a 1.4 0 1.0 0' NE> 0.8 b 0.6 0.4 0 20 40 60 80 100 Table II. 4, (%) Relation Between the ParticulateVolume Fraction and the = 5.9, C Calculated from Eq. (13) with A 491, and D = 1.98a. EXT/ EXT Ratio Fig. 6. Specific extinction at the 10.6 Aimwavelength can be approximated by an exponential function for all rg ' 0.05 jm. vis 4, Mass Concentration V. EXT 2.29 8.53 17.86 29.48 42.61 56.48 70.30 83.35 94.83 104.02 a Values of these constants are determined by the wavelengths (0.5145 and 10.6 m) and the refractive-index mixing rule (1) used. 0.2 0 CABS 0.10 0.20 0.30 0.40 0.50 0.60 0.70 0.80 0.90 1.0 .2 and Particulate 0.10 0.20 0.30 0.40 0.50 0.60 0.70 0.80 0.90 1.0 Volume Fraction The absorption and/or extinction measurements of carbonaceous smokes in the visible and IR regions can be combined to determine more accurately the mass concentration M and the volume fraction 0. The most accurate results can be obtained by combining the absorption measurement at visible and extinction (or absorption) in IR. From Eqs. (8) and (10) UEXT/EXT IR 2.41 9.07 19.23 32.21 47.32 63.91 81.31 98.87 115.94 131.88 aValues of these constants depend on the wavelengths and refractive-index mixing rule used. we obtain A- -B C BS IR (100)D (11) The left-hand side of this equation is known from the measurements. Thus, this relation can be used to determine the particulate volume fraction 0. For the values of constants A, B, C, and D appropriate for the wavelengths X = 0.5145 and 10.6 gim, Table I gives the volume fraction 0 for given OaXVS/0-11T ratios. Once is determined the mass concentration M follows from Eq. (8) in the form M kBss , 12.5 - 6.90 (12) where M is in g/m 3 , NIS in m-1, and 0.2 < < 1.0. If instead of absorption only extinction at visible wavelength is known, Eq. (11) has to be replaced by UVXT EXT A' - B, cTEXT (100p)D. (13) C Values of 0 for a given vETkEsxTare given in Table II. The mass concentration is then vis M= TEXT 13.0 - 5.90 (14) In principle either of the OAVBs or oEXT can be used for is more accurate than the one for TEisT/M [Eq. (9)], the absorption measurement leads to more accurate results. Also, one could use Eqs. (8) and (9) to determine 4 from the oABSS/ExTratio. However, since both AXBLs and vis sol ayn ) e fTEXT are only a slowly varying function of , such determination of 0 would be very inaccurate and useless for practical purposes. VI. Effect of Nonsphericity Although the photograph of a soot particle (Fig. 1) shows basically spherical character, it is necessary to assume that in many cases of interest the carbonaceous smoke particles will be nonspherical. In this case the Mie scattering formulation cannot be used, and the question arises whether the proposed method of determination of the mass concentration still remains valid. To determine at least the direction of an error caused by nonsphericity on the mass determination, we have. calculated extinction in the visible and IR regions of nonspherical particles described by the equation r = ro[l + eT2(0)], (15) the determination of the 4 and the mass concentration where T2 is the second-order Chebyshev polynomial. M. The value of e was taken to be 0.2. Numerical results However, since the parameter Eq. (8) for o'b~s/M 1 September 1981 / Vol. 20, No. 17 / APPLIED OPTICS 2983 I 3.0 I I I I X=0.5145Am I I 8 of 4ErXT anda&T byRoesslerandFaxvog1are TableIll. Measurements from Eq. (13) and the Particulate VolumeFraction usedto Determine M fromEq. (14).a the MassConcentration I - IEXT m=2.0-1.Oi 0.525 1.16 1.59 2.0 Sphere t ~ ~ /-- ~ ~~~ n 0 0.2 0.051 0.126 0.148 0.21 0.20 0.22 0.045 0.098 0.136 M(g- 3) 0.052 0.120 0.165 Accuracy 15% 18% 18% P. The error of measurement of ai and M is -10%. T2 } T-I2IIel 0.2 extinction will be a general feature of all nonspherical / I~~1. M(g-3) a Results are compared with the measured18 mass concentration W CY 4 cIR 1 ~~~ 1 1 0.4 0.6 0.8 1 1.0 1.2 1.4 1.6 1.8 20 XEV Fig. 7. There is almost no difference between the extinction efficiency UEXT of nonspherical T2 particles and extinction efficiency of equal volume spheres at X = 0.5145 jim. Size parameter XEV= 1 (6ir 2 V)' 3 X,where V is a volume of the considered particle. particles regardless of their shape. If this is so, the nonsphericity of smoke particles will lead to a systematic underestimate of the mass concentration as given by Eqs. (12) and (14). VII. Comparison with Measurements To verify the validity of the proposed method for the determination of the mass concentration of carbonaceous smokes we used the extinction and mass measurements of Roessler and Faxvog' 0 on acetylene smoke. Unfortunately, their measurements of visible and IR extinction were not made simultaneously on the same 0.03 aerosol. We therefore picked from their data the visible and IR measurements that correspond to nearly the same measured mass content and used our relation (14) to determine the mass concentration M. The particwas determined from the ulate volume fraction cTE/0JRXT using Table II. The results summarized in Table III show agreement of calculated and measured mass concentration to within 18%. Since both extinction and the experimentally measured mass concen- 0.02 a 0.01 tration are determined with 110% accuracy, we con- clude that the mass concentration calculated using Eq. (14) is in agreement with the measured mass concentration. Roessler and Faxvogl8 did not measure par0 ticulate volume fraction 4 so no comparison of predicted 0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 010 XEV Fig. 8. Extinction efficiency of nonspherical T' particles are up to 20% higher than the extinction efficiency of an equal volume sphere 2 at X = 10.6 jim. Size parameter XEV= (67r V)/3 X,where V is a volume of the considered particle. values with measurements is possible. The fact that the mass concentration values obtained from Eq. (14) are consistently below the measured value by 15-18% might suggest that a systematic error may be caused by the use of a specific refractive-index mixing rule or by the nonsphericity of smoke particles. The use of a different mixing rule leads to the same expressions for the mass concentration M [Eqs. (12) and (14)] and for the particulate fraction 0 [Eqs. (11) and (13)]. Only the values (Figs. 7 and 8) were obtained using the extended boundary condition method.' 6 In the visible region there is a very little difference between the extinction of a sphere and the extinction of considered randomly oriented nonspherical particles of the same volume. On the other hand, at the 10.6-gm wavelength we observe differences up to 20%between a sphere and randomly oriented nonspherical particles of the same volume. We notice that both the Tj and T- particles show a systematically higher extinction than an equal volume sphere. Since the particles are strongly absorbing, and since their projected area is always larger than that of spheres of equal volume,'7 we suggest that the higher 2984 APPLIED OPTICS / Vol. 20, No. 17 / 1 September 1981 of the constants A, B, A', B', C, and D would be slightly different. We conclude that the measurement of extinction or absorption at two different wavelengths leads to a reasonably accurate (we estimate the accuracy to be better than ±20%) determination of the mass concentration of carbonaceous smokes, regardless of the particle size distribution (as long as rg • 0.05 gm and 1.5 ' ag < 2.5) and regardless of the particulate fraction 0 of soot particles. Since such measurements are relatively simple, we believe that the proposed method may serve as a basis for routine measurements and monitoring of mass concentration of carbonaceous smokes. The first author named is also associated with the Atmospheric Science Section of the Physics Department at Tufts U. The reported research was supported in part by the National Science Foundation grant 1. J. E. McDonald, J. Appl. Meteorol. 1, 391 (1962). 2. H. G. Wolfhard and W. G. Parker, Proc. Phys. Soc. London Sect. B 62, 523 (1949). 3. R. C. Millikan, J. Opt. Soc. Am. 51, 535 (1961). 4. J. Cartwright, G. Nagelschmidt, and J. W. Skidmore, Q. J. R. Meteorol. Soc. 82, 82 (1959). 5. J. Janzen, J. Colloid Interface Sci. 69, 436 (1979). 6. W. H. Dalzell and A. F. Sarafim, J. Heat Transfer 91, 100 (1969). 7. S. C. Graham, Combust. Sci. Technol. 9,159 (1974). 8. W. G. Egan and T. Hilgeman, Appl. Opt. 19, 3724 (1980). 9. S. G. Jennings, submitted to J. Opt. Soc. Am. xx, 000 (1981). 10. A. I. Medalia and L. W. Richards, J. Colloid Interface Sci. 40,233 (1972). 11. J. C. M. Garnett, Philos. Trans. R. Soc. London 203, 385 (1904). 12. J. B. Smith, J. Phys. D: 10, L39 (1977); G. B. Smith, Appl. Phys. Lett. 35,668 (1979); W. Lamb, D. M. Wood, and N. W. Ashcroft, Phys. Rev. B: 21, 2248 (1980). 13. H. A. Lorentz, The Theory of Electrons (Leipzig, 1909; Dover, New York, 1952). 14. S. G. Jennings and R. G. Pinnick, Atmos. Environ. 14, 1123 (1980). 15. P. Chylek, J. Atmos. Sci. 35, 296 (1978). 16. P. Barber and C. Yeh, Appl. Opt. 14, 2864 (1975). 17. P. Chylek, J. Opt. Soc. Am. 67, 1348 (1977). 18. D. M. Roessler and F. R. Faxvog, J. Opt. Soc. Am. 69, 1699 (1979); 70, 230 (1980). Books continuedfrompage2968 certwining a certain amount of the philosophy of inverse scattering ATM-8007443 and by the U.S. Army Research Office grant DAAG29-80-C-0108. Part of this work was done while the first author named was a Visiting Professor in the Department of Civil Engineering at the Massachusetts Institute of Technology. References nations." The structural determination referred to in the title is the problem of determining the inhomogeneity of a medium from into the text. Chapter 3, "Photon-Counting Statistics of Optical Scintillation," knowledge of the spatial distribution of radiation scattered by the by E. Jakeman and P. N. Pusey, concentrates on strong scattering medium, usually under the assumption that the source of the radiation is known. Both random and what are referred to as deterministic (or by random media. The problem addressed in this chapter is not stationary nonrandom) media are treated. of treating the statistical properties of the optical field from photon This contribution is somewhat deceiving in its importance. The solutions presented to the problems posed in this chapter in most instances are incomplete, at best. However, the properties of the scattered fields, shown to be present in all inverse scattering problems as a direct result of the re- quirement that the scattered field satisfy the wave equation, are of fundamental importance. They represent information typically ignored in dealing with inverse scattering problems. Among other results, the authors show that all solutions to the vector Helmholtz equation governing the propagation of the fields are entire functions of the exponential type. They also show that, for problems of finite extent, these functions are always of the first order on a complex surface with a curvature that depends on the distance from the scatterer. They demonstrate the link between this mathematical result and information theory. An extensive investigation is made into the relationship between the zeros of the field and the properties of the source term in the wave equation (either the medium properties or the properties of the source). The effects of noise on the location and properties of these zeros are also considered. By itself, this chapter would be an interesting contribution; it represents a potentially exciting area for research. However, apparently since the publication of this book, the authors have carried this highly mathematical de- velopment to an extremely practical and important conclusion.' They recently demonstrated how to obtain the amplitude and phase of a scattered optical field from a simple measurement that can be made with extreme accuracy. Oversimplifying, they accomplish this by putting the scattered field through a simple optical processor which permits a true map of the complex plane representation of the field to be obtained. Determination of the field is as simple as measuring positions of the minima (the zeros) of this map on a Cartesian grid with a ruler. This makes it possible to obtain for optical inverse scattering measurements the same data that are readily available in lower frequency electromagnetic and acoustic measurements. It also permits the techniques developed for these lower frequency regimes to be applied to solving the inverse scattering problem in optics. Reading Chap. 2 gives an excellent insight into how the authors were led to this most important result. It also provides a new and original way of thinking about inverse scattering problems which quite probably will lead to other discoveries of importance in this field. The authors have added to the pleasure of reading this chapter by in- usually considered in discussions of inverse scattering. The problem counting experiments is considered, including the effects of statistics, instrumental effects, and their relation to photon correlation spectroscopy. The determination of the properties of the scatterer in terms of a statistical moment description is then looked at. Discussion of the theory is limited to the strong scattering case, and this distinguishes it from a large body of literature treating weak scattering and its relation to scintillation. K distributions and distributions derived from the random walk problem are discussed. Experimental results derived from scattering by nematic liquid crystals, hot air phase screens, and measurements in the presence of extended atmospheric turbulence, are reviewed. This chapter is an interesting if somewhat narrow review. Its appeal to workers in the inverse scattering field is likely to be less broad than other chapters in the book. "Microscopic Models of Photodetection" by A. Selloni is Chap. 4. Again this chapter deals with a subject that many would not think of as inverse scattering. The problem considered is that of deter- mining the statistical properties of stochastic radiation fields by means of photoelectric counting detectors. The chapter begins with the definition of the detection problem and a comparison between ideal and real photodetection processes. A brief review of several models for ideal detection is given. "Open system" detection schemes are discussed, including some recent results employing a zero-temperature heat bath. An open system detector employs some mechanism to withdraw the electrons excited by the photons being detected from the detecting system and then repopulating the lower states. This is done in such a manner that the upper states of the detector do not become appreciably populated, avoiding emission back into the field. Disturbing effects to photodetection are reviewed, including dark current and noise, dead-time effects, and effects of coherence in sampling. The effects of temperature are discussed, including a treatment of the connection between atomic and field dynamics. This chapter, which ends with a summary of statistical methods for pho- todetection and a statistical description of the open photodetection system, is probably of most value to those concerned with the design and construction of optimum photodetectors. It is probably of little value to those engaged in developing and applying inverse scattering theories per se, for such theories usually begin with an implicit ascontinuedonpage3026 1 September 1981 / Vol. 20, No. 17 / APPLIED OPTICS 2985
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