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R A D I AT I V E T R A N S F E R I N T H E
AT M O S P H E R E AND OCEAN
second edition
This new and completely updated edition gives a detailed description of radiative
transfer processes at a level accessible to advanced students. The volume gives the reader a
basic understanding of global warming and enhanced levels of harmful ultraviolet radiation
caused by ozone depletion. It teaches the basic physics of absorption, scattering, and
emission processes in turbid media, such as the atmosphere and ocean, using simple
semiclassical models. The radiative transfer equation, including multiple scattering, is
formulated and solved for several prototype problems, using both simple approximate and
accurate numerical methods. In addition, the reader has access to a powerful, state-of-the-
art computational code for simulating radiative transfer processes in coupled atmosphere–
water systems, including snow and ice. This computational code can be regarded as a
powerful educational aid, but also as a research tool that can be applied to solve a variety
of research problems in environmental sciences.
k n u t s ta m n e s is a Professor in the Department of Physics and Engineering Physics and

Director of the Light and Life Laboratory at Stevens Institute of Technology. His research
interests include radiative transfer, ocean optics, and remote sensing, and he has published
over 200 papers and coauthored two textbooks: this one and Radiative Transfer in Coupled
Environmental Systems (2015, Wiley). He is a fellow of the Optical Society (OSA), a
member of the International Society for Optical Engineering (SPIE), and a member of the
Norwegian Academy of Technological Sciences.
g a r y e . t h o m a s is an Emeritus Professor in the Department of Astrophysical and
Planetary Science and Senior Research Associate at the Laboratory for Atmospheric and
Space Physics at the University of Colorado, Boulder. His research interests are in the
remote sensing of Earth and planetary atmospheres. He has published over 150 papers
in various fields of planetary and atmospheric science. He taught the graduate course
Radiative Transfer at the University of Colorado over a period of 30 years.
ja ko b j. s ta m n e s is a Professor Emeritus in the Department of Physics and Technology
at the University of Bergen, Norway, and CEO of Balter Medical, Norway. His research
interests include wave propagation, radiative transfer, ocean optics, and remote sensing.
He has published over 190 research papers. He is the author of Waves in Focal Regions
(1986, CRC Press) and coauthored Radiative Transfer in Coupled Environmental Systems
(2015, Wiley). He is a fellow of the Optical Society (OSA), a member of the International
Society for Optical Engineering (SPIE), and a member of the Norwegian Academy of
Technological Sciences.
R A D I AT I V E T R A N S F E R I N T H E
AT M O S P H E R E A N D O C E A N
second edition
K N U T S TA M N E S
Stevens Institute of Technology, New Jersey
G A RY E . T H O M A S
University of Colorado, Boulder
JA KO B J . S TA M N E S
University of Bergen, Norway
University Printing House, Cambridge CB2 8BS, United Kingdom
One Liberty Plaza, 20th Floor, New York, NY 10006, USA
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Cambridge University Press is part of the University of Cambridge.

It furthers the University’s mission by disseminating knowledge in the pursuit of
education, learning, and research at the highest international levels of excellence.
www.cambridge.org
Information on this title: www.cambridge.org/9781107094734
DOI: 10.1017/9781316148549
© Knut Stamnes, Gary E. Thomas, and Jakob J. Stamnes 2017
This publication is in copyright. Subject to statutory exception
and to the provisions of relevant collective licensing agreements,
no reproduction of any part may take place without the written
permission of Cambridge University Press.
First published 2017
Printed in the United Kingdom by TJ International Ltd. Padstow Cornwall
A catalogue record for this publication is available from the British Library.
ISBN 978-1-107-09473-4 Hardback
Additional resources for this publication at www.cambridge.org/stamnes.
Cambridge University Press has no responsibility for the persistence or accuracy
of URLs for external or third-party Internet Web sites referred to in this publication
and does not guarantee that any content on such Web sites is, or will remain,
accurate or appropriate.
Contents
List of Illustrations page xiv

List of Tables xvii
1 Basic Properties of Radiation, Atmospheres, and Oceans 1
1.1 Introduction 1
1.2 Parts of the Spectrum 1
1.2.1 Extraterrestrial Solar Irradiance 2
1.2.2 Terrestrial Infrared Irradiance 6
1.3 Radiative Interaction with Planetary Media 8
1.3.1 Feedback Processes 8
1.3.2 Types of Matter Which Affect Radiation 9
1.4 Vertical Structure of Planetary Atmospheres 10
1.4.1 Hydrostatic Equilibrium and Ideal Gas Laws 10
1.4.2 Minor Species in the Atmosphere 15
1.4.3 Optical Line-of-Sight Columns 16
1.4.4 Radiative Equilibrium and the Thermal Structure of
Atmospheres 19
1.4.5 Climate Change: Radiative Forcing and Feedbacks 22
1.5 Density Structure of the Ocean 26
1.6 Vertical Structure of the Ocean 27
1.6.1 The Mixed Layer and the Deep Ocean 27
1.6.2 Seasonal Variations of Ocean Properties 29
1.6.3 Sea-Surface Temperature 30
1.6.4 Ocean Spectral Reflectance and Opacity 31
1.7 Remarks on Nomenclature, Notation, and Units 32
1.8 Summary 34
Exercises 35
v
vi Contents
2 Basic State Variables and the Radiative Transfer Equation 37

2.1 Introduction 37
2.2 Geometrical Optics 38
2.3 Radiative Flux or Irradiance 39
2.4 Spectral Radiance and Its Angular Moments 41
2.4.1 Relationship between Irradiance and Radiance 42
2.4.2 Average (Mean) Radiance and Energy Density 43
2.5 Some Theorems on Radiance 46
2.5.1 Radiance and Irradiance from an Extended Source 48
2.6 Perception of Brightness: Analogy with Radiance 49
2.7 The Extinction Law 50
2.7.1 Extinction = Scattering Plus Absorption 53
2.8 The Differential Equation of Radiative Transfer 56
2.9 Summary 58
Exercises 58
3 Basic Scattering Processes 59
3.1 Introduction 59
3.2 Lorentz Theory for Radiation–Matter Interactions 61
3.2.1 Scattering and Collective Effects in a Uniform Medium 62
3.2.2 Scattering from Density Irregularities 65
3.2.3 Scattering in Random Media 66
3.2.4 First-Order and Multiple Scattering 68
3.3 Scattering from a Damped Simple Harmonic Oscillator 69
3.3.1 Case (1): Resonance Scattering and the Lorentz Profile 70
3.3.2 Conservative and Nonconservative Scattering 72
3.3.3 Natural Broadening 73
3.3.4 Pressure Broadening 74
3.3.5 Doppler Broadening 75
3.3.6 Realistic Line-Broadening Processes 77
3.3.7 Case (2): Rayleigh Scattering 78
3.4 The Scattering Phase Function 80
3.4.1 Rayleigh Scattering Phase Function 81
3.5 Mie–Debye Scattering 84
3.6 Summary 86
Exercises 87
4 Absorption by Solid, Aqueous, and Gaseous Media 89
4.1 Introduction 89
4.2 Absorption on Surfaces, Aerosols, and within Aqueous Media 91
4.2.1 Condensed Matter 91
Contents vii
4.2.2 Aerosols 93
4.2.3 Liquids 94
4.3 Molecular Absorption in Gases 95
4.3.1 Thermal Emission and Radiation Laws 97
4.3.2 Planck’s Spectral Distribution Law 100
4.3.3 Radiative Excitation Processes in Molecules 102
4.3.4 Inelastic Collisional Processes 103
4.3.5 Maintenance of Thermal Equilibrium Distributions 107
4.4 The Two-Level Atom 108
4.4.1 Microscopic Radiative Transfer Equation 108
4.4.2 Effects of Collisions on State Populations 112
4.5 Absorption in Molecular Lines and Bands 114
4.5.1 Molecular Rotation: The Rigid Rotator 116
4.5.2 Molecular Vibration and Rotation: The Vibrating Rotator 117
4.5.3 Line Strengths 119
4.6 Absorption Processes in the UV/Visible 121
4.7 Transmission in Spectrally Complex Media 125
4.7.1 Transmission in an Isolated Line 126
4.7.2 Isolated Lorentz Line 128
4.7.3 Band Models 129
4.7.4 Random Band Model 132
4.7.5 MODTRAN: A Moderate Resolution Band Model 133
4.7.6 Spectral Mapping Transformations for Homogeneous
Media 136
4.8 Summary 141
Exercises 143
5 Principles of Radiative Transfer 147
5.1 Introduction 147
5.2 Boundary Properties of Planetary Media 147
5.2.1 Thermal Emission from a Surface 148
5.2.2 Absorption by a Surface 149
5.2.3 Kirchhoff’s Law for Surfaces 150
5.2.4 Surface Reflection: The BRDF 151
5.2.5 Albedo for Collimated Incidence 154
5.2.6 The Irradiance Reflectance, or Albedo: Diffuse Incidence 156
5.2.7 Analytic Reflectance Expressions 158
5.2.8 The Opposition Effect 160
5.2.9 Specular Reflection from the Surface of a Water Body 162
viii Contents
5.2.10 Transmission through a Slab Medium 163

5.2.11 Spherical or Bond Albedo 165
5.3 Absorption and Scattering in Planetary Media 167
5.3.1 Kirchhoff’s Law for Volume Absorption and Emission 167
5.3.2 Differential Equation of Radiative Transfer 168
5.4 Solution of the Radiative Transfer Equation for Zero Scattering 170
5.4.1 Solution with Zero Scattering in Slab Geometry 173
5.4.2 Half-Range Quantities in a Slab Geometry 174
5.4.3 Formal Solution in a Slab Geometry 175
5.5 Gray Slab Medium in Local Thermodynamic Equilibrium 176
5.6 Formal Solution Including Scattering and Emission 177
5.7 Radiative Heating Rate 179
5.7.1 Generalized Gershun’s Law 180
5.7.2 Warming Rate, or the Temperature Tendency 181
5.7.3 Actinic Radiation, Photolysis Rate, and Dose Rate 182
5.8 Summary 183
Exercises 183
6 Formulation of Radiative Transfer Problems 186
6.2 Separation into Diffuse and Direct (Solar) Components 186
6.2.1 Lower Boundary Conditions 188
6.2.2 Multiple Scattering 189
6.2.3 Azimuth Independence of Irradiance and Mean Radiance 190
6.2.4 Azimuthal Dependence of the Radiation Field 191
6.2.5 Spherical Shell Geometry 196
6.3 Nonstratified Media 196
6.4 Radiative Transfer in an Atmosphere–Water System 197
6.4.1 Two Stratified Media with Different Refractive Indices 199
6.5 Examples of Scattering Phase Functions 201
6.5.1 Rayleigh Scattering Phase Function 202
6.5.2 The Mie Scattering Phase Function 204
6.5.3 The Fournier–Forand Scattering Phase Function 205
6.5.4 The Petzold Scattering Phase Function 206
6.6 Scaling Transformations Useful for Anisotropic Scattering 206
6.6.1 The δ-Isotropic Approximation 208
6.6.2 Remarks on Low-Order Scaling Approximations 211
6.6.3 The δ-M Approximation: Arbitrary M 212
6.6.4 Mathematical and Physical Meaning of the Scaling 213
Contents ix
6.7 Prototype Problems in Radiative Transfer Theory 214

6.7.1 Prototype Problem 1: Uniform Illumination 215
6.7.2 Prototype Problem 2: Constant Imbedded Source 216
6.7.3 Prototype Problem 3: Diffuse Reflection Problem 216
6.7.4 Boundary Conditions: Reflecting and Emitting Surface 217
6.8 Reciprocity, Duality, and Inhomogeneous Media 218
6.9 Effects of Surface Reflection on the Radiation Field 219
6.10 Integral Equation Formulation of Radiative Transfer 222
6.11 Summary 223
Exercises 224
7 Approximate Solutions of Prototype Problems 227
7.2 Separation of the Radiation Field into Orders of Scattering 228
7.2.1 The Single-Scattering Approximation 229
7.2.2 Lambda Iteration: The Multiple-Scattering Series 230
7.2.3 Single-Scattering Contribution from Ground
Reflection: The Planetary Problem 232
7.2.4 Successive Orders of Scattering (SOS) 233
7.3 The Two-Stream Approximation: Isotropic Scattering 234
7.3.1 Approximate Differential Equations 234
7.3.2 The Mean Inclination: Possible Choices for μ̄ 236
7.3.3 Prototype Problem 1: Differential Equation Approach 237
7.3.4 Imbedded Source: Prototype Problem 2 243
7.3.5 Beam Incidence: Prototype Problem 3 248
7.4 Conservative Scattering in a Finite Slab 251
7.5 Anisotropic Scattering 252
7.5.1 Two-Stream versus Eddington Approximations 252
7.5.2 The Backscattering Ratios 255
7.5.3 Two-Stream Solutions for Anisotropic Scattering 260
7.5.4 Scaling Approximations for Anisotropic Scattering 262
7.5.5 Generalized Two-Stream Equations 263
7.6 Accuracy of the Two-Stream Method 265
7.7 Final Comments on the Two-Stream Method 266
7.8 Summary 269
Exercises 270
8 The Role of Radiation in Climate 278
8.2 Irradiance and Heating Rate: Clear-Sky Conditions 280
8.2.1 Monochromatic Irradiances 281
x Contents
8.2.2 Wideband Emittance Models 283

8.2.3 Narrowband Absorption Model 288
8.2.4 Band Overlap 289
8.2.5 The Diffusivity Approximation 289
8.2.6 Equations for the Heating Rate 290
8.2.7 Clear-Sky Radiative Cooling: Nonisothermal Medium 293
8.2.8 Computations of Terrestrial Cooling Rates 294
8.3 The IR Radiative Impact of Clouds and Aerosols 295
8.3.1 Heating Rate in an Idealized Cloud 296
8.3.2 Detailed Longwave Radiative Effects of Clouds 298
8.3.3 Accurate Treatment of Longwave RT Including
Scattering 300
8.4 Radiative Equilibrium with Zero Visible Opacity 302
8.5 Radiative Equilibrium with Finite Visible Optical Depth 309
8.6 Radiative-Convective Equilibrium 312
8.7 The Concept of the Emission Height 315
8.8 Effects of a Spectral Window 318
8.9 Radiative Forcing 319
8.10 Climate Impact of Clouds 322
8.10.1 Longwave Effects of Water Clouds 323
8.10.2 Shortwave Effects of Water Clouds 325
8.10.3 Combined Shortwave and Longwave Effects of Clouds 328
8.11 Climate Impact of Cloud Height 331
8.12 Cloud and Aerosol Forcing 333
8.12.1 Aerosol Forcing 335
8.13 Water-Vapor Feedback 337
8.14 Effects of Carbon Dioxide Changes 338
8.15 Greenhouse Effect from Individual Gas Species 339
8.16 Summary 340
Exercises 342
9 Accurate Numerical Solutions of Prototype Problems 347
9.2 Discrete-Ordinate Method – Isotropic Scattering 347
9.2.1 Quadrature Formulas 347
9.3 Anisotropic Scattering 350
9.3.1 General Considerations 350
9.3.2 Quadrature Rule 351
9.4 Matrix Formulation of the Discrete-Ordinate Method 352
9.4.1 Two- and Four-Stream Approximations 352
9.4.2 Multistream Approximation (N Arbitrary) 353
Contents xi
9.5 Matrix Eigensolutions 355

9.5.1 Two-Stream Solutions (N = 1) 355
9.5.2 Multistream Solutions (N Arbitrary) 356
9.5.3 Inhomogeneous Solution 357
9.5.4 General Solution 358
9.6 Source Function and Angular Distributions 359
9.7 Boundary Conditions – Removal of Ill Conditioning 360
9.8 Inhomogeneous Multilayered Media 362
9.8.1 General Solution – Boundary and Layer Interface
Conditions 362
9.8.2 Source Functions and Angular Distributions 365
9.9 Correction of the Truncated Radiance Field 366
9.9.1 The Nakajima–Tanaka Correction Procedure 367
9.9.2 Computed Radiance Distributions for the Standard
Problem 369
9.10 Coupled Atmosphere–Ocean Problem 370
9.10.1 Discrete-Ordinate Equations for the Atmosphere–
Ocean System 370
9.10.2 Quadrature and General Solution 371
9.10.3 Boundary, Continuity, and Atmosphere–Ocean
Interface Conditions 373
9.11 The Doubling-Adding and the Matrix Operator Methods 376
9.11.1 Matrix-Exponential Solution – Formal Derivation of
Doubling Rules 377
9.11.2 Connection between Doubling and Discrete Ordinate
Methods 378
9.11.3 Intuitive Derivation of the Doubling Rules – Adding
of Dissimilar Layers 379
9.12 Other Accurate Methods 381
9.12.1 The Spherical Harmonic Method 381
9.12.2 Invariant Imbedding 381
9.12.3 Iteration Methods 382
9.12.4 The Feautrier Method 382
9.12.5 Integral Equation Approach 382
9.12.6 Monte Carlo Markov Chain Methods 383
9.13 Final Comments 384
9.14 Summary 385
Exercises 387
xii Contents
10 Shortwave Radiative Transfer in the Atmosphere and Ocean 389

10.2 Solar Radiation 391
10.2.1 Modeling UV Transmission into the Ocean 392
10.2.2 Measured and Computed UV Irradiance in the Ocean 393
10.2.3 Impact of Ozone Depletion on Primary Production in
the Ocean 395
10.2.4 Interaction of Solar Radiation with Snow and Ice 395
10.3 Modeling of Shortwave Radiative Effects in the Atmosphere 397
10.3.1 Gaseous Absorption and Penetration Depth 397
10.3.2 Solar Warming Rates Due to Ozone, Aerosols, and
Clouds 402
10.3.3 Computation of Photolysis Rates 404
10.3.4 UV Transmission: Relation to Ozone Abundance 405
10.3.5 UV Transmission and Dose Rates at the Earth’s Surface 407
10.3.6 Measured and Computed UV Irradiance – Derivation
of Ozone Abundance and Cloud Effects 409
10.4 Modeling of Shortwave Radiation in the Ocean 411
10.4.1 Attenuation in the Ocean: Apparent Optical Properties
(AOPs) 411
10.4.2 Two-Stream Model Appropriate for Deep Water 411
10.5 AccuRT: An RT Model for Coupled Atmosphere–Water Systems 413
10.5.1 Introduction 413
10.5.2 Notation 415
10.5.3 User Interface – Input/Output 415
10.5.4 Inherent Optical Properties (IOPs) 417
10.5.5 Spectral Averaging of Absorption Coefficients 430
10.5.6 Solving the Radiative Transfer Problem 430
10.5.7 Summary of AccuRT 434
10.6 Ocean Color – Simultaneous Marine and Aerosol Retrieval 434
10.6.1 Introduction 434
10.6.2 Methodology 435
10.6.3 Neural Network Training 437
10.6.4 Retrieved Atmospheric and Marine Parameters 438
10.6.5 Summary of OC-SMART Algorithm 439
10.7 Bidirectional Dependence of the Water-Leaving Radiance 441
10.7.1 Importance of the Anisotropy 441
10.7.2 Configuration of BRDF Measurements 441
10.7.3 Computation of the Anisotropy Factor 443
10.7.4 Radiance Anisotropy – the Q Factor 444
Contents xiii
10.7.5 Radiative Transfer Simulations of the Q Factor 445

10.7.6 Summary of Water BRDF Issues 450
10.8 Retrieving Water IOP Profiles from Measured AOP Profiles 451
10.8.1 Background and Status of Knowledge 451
10.8.2 Inverting IOPs from AOPs 452
10.8.3 IOP Inversion Algorithm 453
10.8.4 Summary of Water AOP → IOP Inversion Algorithm 456
10.9 Modeled versus Measured BRDFs: The Sunglint Problem 456
10.9.1 Description of the Sunglint Problem 456
10.9.2 Solution of the Sunglint Problem 458
10.9.3 Retrieval of Slope Variances, Wind Direction, and
Aerosol Optical Depth 461
10.9.4 Summary of Sunglint Study 462
10.10 Overall Summary 463
Exercises 465
Appendix A Nomenclature: Glossary of Symbols 473
Appendix B Physical Constants 481
Appendix C Ocean Optics Nomenclature 482
Appendix D Reflectance and Transmittance at an Interface 485
Appendices E through U can be downloaded from www.cambridge.org/stamnes
or www.rtatmocn.com.
References 491
Index 509
Illustrations
1.1 Extraterrestrial solar irradiance. page 3

1.2 Earth’s energy budget. 5
1.3 Thermal emission spectra of Earth. 7
1.4 Standard empirical model temperature profiles. 14
1.5 Biological effects of solar radiation. 16
1.6 Geometry of the slant-column number. 17
1.7 Profiles of radiatively significant atmospheric species. 19
1.8 Radiative forcing by greenhouse gases. 25
1.9 Typical mean temperature/depth profiles for the open ocean. 28
1.10 Growth and decay of the seasonal thermocline. 29
1.11 Apparent attenuation coefficient of the ocean. 30
1.12 Ocean color dependence on biological activity. 33
2.1 Radiative energy carried by a beam. 40
2.2 Illustration for Theorem I. 47
2.3 Successive images of lady in white dress. 49
2.4 Illustration of extinction. 51
2.5 Leaf shadows. 54
3.1 Destructive interference inside a uniform medium. 64
3.2 Cartesian and spherical coordinates. 81
3.3 Rayleigh scattered light. 82
3.4 Rayleigh scattering phase function. 84
4.1 Low-resolution transmittance. 90
4.2 Spectral variation of the diffuse transmittance. 95
4.3 Synthetic spectral radiance. 96
4.4 High-resolution transmittance spectrum. 98
4.5 Ultra-high resolution measurement of absorption line. 99
4.6 The blackbody radiance versus wavelength. 101
4.7 Radiative and collisional processes. 109
xiv
Illustrations xv
4.8 Normal modes of vibration. 115

4.9 Rotational energy levels. 120
4.10 Absorption cross sections. 123
4.11 Beam transmittance of a homogeneous medium. 127
4.12 Mean beam absorptance versus absorber amounts. 130
4.13 Absorption coefficient for the 1510–1520 cm−1 portion of the 6.3 μm
water vapor band. 139
5.1 Geometry for the definition of the BRDF. 152
5.2 Law of reflection. 153
5.3 Bidirectional reflectance and transmittance. 155
5.4 BRDF for Minneart’s formula. 159
5.5 Measured bidirectional reflectance functions. 160
5.6 Upward radiance just above the ocean surface. 163
5.7 Spherical albedo. 166
5.8 Solar and terrestrial radiation. 169
5.9 Beam of radiation. 171
5.10 Half-range radiances. 175
6.1 Legendre polynomial fits to phase function. 193
6.2 Two adjacent media with a flat interface. 199
6.3 Scattering phase functions. 203
6.4 Scattering phase functions. 207
6.5 Actual and δ-M scaled scattering phase functions. 209
6.6 Prototype problems in radiative transfer. 215
6.7 Binomial series. 220
7.1 Angular backscattering ratio. 258
7.2 Approximate angular backscattering ratios. 259
8.1 Broadband irradiance absorptance. 285
8.2 Blackbody curves and absorption spectra. 287
8.3 Cooling-rate function. 292
8.4 Clear-sky cooling rates. 295
8.5 Longwave cloud forcing. 300
8.6 Longwave cloud optical properties. 301
8.7 Pure-radiative and radiative-convective equilibrium temperature profiles. 308
8.8 Greenhouse factor. 311
8.9 Net irradiances of incoming solar and outgoing IR radiation. 315
8.10 Surface temperature and tropopause height versus optical depth. 316
8.11 Greenhouse factor versus precipitable water. 317
8.12 Emission from the surface and TOA IR irradiance. 320
8.13 Zonally and annually averaged radiative forcing, and meridional energy
irradiance. 322
xvi Illustrations
8.14 Greenhouse factor versus liquid water path. 325

8.15 Plane albedo of a cloud versus liquid water path. 327
8.16 Albedo versus liquid water path of clouds. 330
8.17 Surface temperature versus cloud fraction. 332
8.18 Spectral variation of longwave cloud forcing. 335
8.19 Longwave and shortwave forcing due to aerosols. 336
9.1 Multilayered, inhomogeneous medium. 363
9.2 Quadrature for a coupled atmosphere–ocean system. 372
9.3 The doubling concept. 379
9.4 The adding concept. 380
10.1 Measured and computed ratios of UV-B to total irradiance inside and
outside the ozone hole. 394
10.2 Spectral distribution of solar irradiance in sea ice. 397
10.3 Annual variation of total ozone and temperature over Antarctica. 398
10.4 Ozone vertical distribution, and OClO-ozone anticorrelation over
Antarctica. 399
10.5 Atmospheric penetration depth versus wavelength. 400
10.6 Atmospheric warming rates due to solar illumination. 402
10.7 Molecular and ozone optical depths and corresponding transmittances. 406
10.8 Effect of solar elevation on direct/diffuse irradiances. 406
10.9 Action spectra for various biological responses. 407
10.10 Annual UV dose versus the ozone depletion. 408
10.11 Measured versus computed diffuse/direct irradiance ratios. 410
10.12 Schematic illustration of the AccuRT tool. 414
10.13 Optical properties of stratospheric aerosols. 422
10.14 Schematic illustration of cloud models. 423
10.15 Optical properties of liquid water and ice clouds. 425
10.16 Comparison between OC-SMART and SeaDAS retrievals. 439
10.17 Comparison of retrieved chlorophyll concentrations. 440
10.18 SeaPRISM measurement configuration. 442
10.19 Comparison of retrieved and measured IOPs. 455
10.20 Simulated reflectances using 1D versus 2D BRDF models. 462
10.21 Comparison between simulated and measured reflectances. 463
D.1 Vectors in the plane of incidence. 486
Tables
1.1 Subregions of the solar spectrum. page 2

8.1 Vibrational and rotational transitions for the important radiatively
significant gases in the Earth’s atmosphere. 286
10.1 Computed values of Q∞ (g), f (τ , τb , g), and Q(τ , τb , g) using Eqs. 10.79
and 10.80 for τb = 0.1 and τ = 0.05. 448
and 10.80 for τb = 0.05 and τ = 0.025. 449
and 10.80 for τb = 0.001 and τ = 0.0005. 450
A.1 Glossary of symbols. 475
B.1 Physical constants. 481
C.1 Ocean optics nomenclature. 483
xvii
1
Basic Properties of Radiation, Atmospheres,
and Oceans
1.1 Introduction
This chapter presents a brief overview of the spectra of the shortwave solar and
longwave terrestrial radiation fields and the basic structure of atmospheres and
oceans. Some general properties of the emission spectra of the Sun and the Earth are
described. Their broad features are shown to be understandable from a few basic
radiative transfer principles. We introduce the four basic types of matter which
interact with radiation: gaseous, aqueous, particles, and surfaces. The stratified
vertical structure of the bulk properties of an atmosphere or ocean are shown to
be a consequence of hydrostatic balance. The vertical temperature structure of
the Earth’s atmosphere is shown to result mainly from radiative processes. Opti-
cal paths in stratified media are described for a general line-of-sight direction.
Radiative equilibrium, the greenhouse effect, feedbacks and radiative forcing are
introduced as examples of concepts to be dealt with in greater detail in Chapter 8.
The ocean’s vertical temperature structure, and its variations with season are
discussed as resulting from solar heating, radiative cooling, latent heat exchange,
and vertical mixing of water masses of different temperature and salinity. Its optical
properties are briefly described, along with ocean color. The last section prepares
the reader for the notation and units used consistently throughout the book. Finally
in the last section, we describe the conventions used for the various symbols which
may depart from standard usage.
1.2 Parts of the Spectrum

In Table 1.1, we summarize the nomenclature attached to the various parts of the
visible and infrared spectrum. The spectral variable is the wavelength λ. Here
λ = c/ν where c is the speed of light and ν is the frequency [s−1 ] or [Hz]. In
the infrared (IR), λ is usually expressed in micrometers (where 1 μm = 10−6 m).
1
2 Basic Properties of Radiation, Atmospheres, and Oceans
Table 1.1 Subregions of the spectrum.
Solar
Subregion Range variability Comments
X-rays λ < 10 nm 10–100% Photoionizes all thermosphere species.
Extreme UV 10 < λ < 100 nm 50% Photoionizes O2 and N2 .
Photodissociates O2 .
Far UV 100 < λ < 200 nm 7–80% Dissociates O2 . Discrete electronic
excitation of atomic resonance lines.
Middle UV, 200 < λ < 280 nm 1–2% Dissociates O3 in intense Hartley
or UV-C bands. Potentially lethal to biosphere.
UV-B 280 < λ < 320 nm < 1% Some radiation reaches surface,
depending on O3 optical depth.
Damaging to biosphere. Responsible
for skin erythema.
UV-A 320 < λ < 400 nm < 1% Reaches surface. Benign to humans.
Scattered by clouds, aerosols,
and molecules.
Visible, 400 < λ < 700 nm ≤ 0.1% Absorbed by ocean, land. Scattered by
or PAR clouds, aerosols, and molecules.
Primary energy source for biosphere
and climate system.
Near IR 0.7 < λ < 3.5 μm − Absorbed by O2 , H2 O, CO2 in discrete
vibrational bands.
Thermal IR 3.5 < λ < 100 μm Emitted and absorbed by
surfaces and IR significant gases.
Note: PAR stands for photosynthetically active radiation.
In the ultraviolet (UV) and visible spectral ranges, λ is expressed in nanometers

(1 nm = 10−9 m). A wavelength unit widely used in astrophysics and laboratory
spectroscopy is the Ångström (1 Å = 10−10 m). For completeness we list both
X-rays and the shorter-wavelength UV regions, even though they are not discussed
in this book. A column lists the known solar variability, defined as the maximum
minus minimum divided by the minimum in percentages. We also provide brief
comments on how radiation in each spectral subregion interacts with the Earth’s
atmosphere. A common usage is to denote the solar part of the spectrum as short-
wave radiation and the thermal IR as longwave radiation. The latter is sometimes
referred to as terrestrial radiation.
1.2.1 Extraterrestrial Solar Irradiance

In this section, we consider some elementary aspects of solar radiation and the
origin of its deviations from blackbody behavior. We will assume that the reader
Figure 1.1 Extraterrestrial solar irradiance measured by a spectrometer on board

an Earth-orbiting satellite. The UV spectrum (119 < λ < 420 nm) was measured
by the SOLSTICE instrument on the UARS satellite (modified from a diagram
provided by G. J. Rottmann, private communication, 1995). The vertical lines
divide the various spectral subranges defined in Table 1.1. The smooth curves are
calculated blackbody spectra for a number of emission temperatures.
is familiar with the concept of absorption opacity, or optical depth, τ (ν) at

frequency ν. The basic ideas are reviewed in Appendix E and covered more
thoroughly in Chapter 2.
In Fig. 1.1, we show the measured spectral irradiance of the Sun’s radiative
energy at the mean distance between the Sun and the Earth, known as one astronom-
ical unit r⊕ (r⊕ = 1.4960 × 1011 m).1 Integrated over all frequencies, this quantity
is called the solar constant [W · m−2 ]. These data were taken by a spectrometer
onboard an Earth-orbiting satellite, beyond the influences of the atmosphere.2 The
solar constant is not actually a constant, but slightly variable. For this reason, the
modern term is the total solar irradiance, S0 , whose most current published value3
is (1360.8 ± 0.5) W · m−2 . S0 represents the total instantaneous radiant energy
1 The visible spectrum is taken from a variety of sources. See Albritton et al. (1985), Nicolet (1989), and
rredc.nrel.gov/solar/spectra/am1.5/ASTMG173/ASTMG173.html (see §10.3.3).
2 See Rottman et al. (1993), lasp.colorado.edu/home/sorce/data/tsi-data/, and Kopp and Lean (2011).
3 Kopp and Lean (2011). This value supersedes the value 1365.2 W · m−2 used by Trenberth et al. (2009).
falling normally on a unit surface located at the distance r⊕ from the Sun. It is the
basic “forcing” of the Earth’s “heat engine,” and indeed for all planetary bodies
2
that derive their energy primarily from the Sun. The quantity S0 (r⊕ /r2 ) is the
total instantaneous radiant energy falling normally on a unit surface at the solar
distance r.
Also shown in Fig. 1.1 are spectra of an ideal blackbody at several temperatures.
As the total energy emitted must be the same as that of a blackbody, one finds that
the Sun’s effective temperature is 5778 K. If the radiating layers of the Sun had
a uniform temperature at all depths, its spectrum would indeed match one of the
theoretical blackbody curves exactly. The interesting deviations seen in the solar
spectrum can be said to be a result of emission from a nonisothermal atmosphere.
Radiative transfer lies at the heart of the explanation for this behavior.
We can explain the visible solar spectrum qualitatively by considering two char-
acteristics of atmospheres and one basic rule: (1) their absorption opacity τ (ν)
depends upon frequency and (2) their temperature varies with atmospheric depth.
The basic rule is that a radiating body emits its energy to space most efficiently
at wavelengths where the opacity is approximately unity. This rule is explained
in terms of the competing effects of absorption and emission. In spectral regions
where the atmosphere is transparent (τ (ν) 1), it neither emits nor absorbs
efficiently. On the other hand, where it is opaque (τ (ν) 1), its radiative energy is
prevented from exiting the medium, that is, it is reabsorbed by surrounding regions.
At τ (ν) ≈ 1, a balance is struck between these opposing influences.
At visible wavelengths, the Sun’s opacity is unity deep within the solar atmo-
sphere in the relatively cool photosphere, where the temperature is ∼ = 5780 K.
Regions as cool as 4500 K are apparent at 140–180 nm (see Fig. 1.1). At shorter
wavelengths, the opacity increases, thereby raising the effective emission height
into the higher-temperature chromosphere. The solar spectrum can be thought of as
a “map” of the vertical temperature structure of the Sun. The “map” can be read
provided one has knowledge of the dependence of opacity of the solar atmosphere
on wavelength.
The bulk of the Earth’s atmosphere (99% by mass) consists of molecular nitrogen
and oxygen, in the form of radiatively inactive homonuclear, diatomic molecules.
Trace amounts of polyatomic molecules are responsible for atmospheric absorption
and emission of radiation in several hundred thousands of individual spectral lines
arising from rotational and vibrational transitions. Water vapor, carbon dioxide, and
ozone are the main absorbers (and emitters) contributing to warming and cooling of
the atmosphere and underlying surface. These gases warm our planet by absorbing
radiation emitted by the surface – without them, the Earth would be some 33◦ C
colder than at present and in a state of permanent glaciation. Hence, the so-called
greenhouse effect is very important for life itself. This effect also explains the
Figure 1.2 Earth’s energy budget based on a S0 value of 1368 W · m−2 (adapted
from Kiehl and Trenberth, 1997). American Meteorological Society. Used with
permission). An updated version of this illustration with revised budget numbers
based on a S0 value of 1365.2 W · m−2 is available (Trenberth et al., 2009).
high surface temperature of Venus and may have played a key role in maintaining
temperatures high enough in an early primitive atmosphere of Mars to sustain
running water and possibly even primitive life. Other trace gases make smaller
contributions to warming/cooling of the Earth’s atmosphere and surface. Some have
natural origins, while others are partially (such as methane) or wholly (such as the
chlorofluorocarbons) anthropogenic.
Figure 1.2 is a schematic diagram of the significant components of the Earth’s
energy balance. Of the incoming solar irradiance (342 W · m−2 averaged over the
entire planet), 31% is reflected to space.4 The absorbed solar energy (235 W · m−2 )
is balanced by an equal amount radiated to space in the IR. Within the atmo-
sphere, the land surface, and the ocean’s mixed layer, the transformation of radiative
energy into chemical, thermal, and kinetic energy drives the “engine” of weather
and climate. Perturbations of this complex system can arise internally. Examples
of internal forcing would be a change in atmospheric chemical composition or
distribution of land masses. External forcing of the climate can arise from a change
in the Sun’s output, and by changes in the Earth’s orbit.
The well-documented increase in CO2 abundance, above what is believed to be
the natural level existing in the preindustrial era, has been a matter of considerable
4 Albedo values derived from satellite data are uncertain and range from about 28% to 34% depending on data
source and estimation method (Trenberth et al., 2009).
concern. The reason for this concern is simply that the enhanced levels of CO2
(and other already existing greenhouse gases or the release of new ones) absorb
and trap terrestrial radiation that would otherwise escape to space. This situation
causes an imbalance between the energy received and emitted by the planet. If the
planet receives more energy from the Sun than it is able to emit to space, then
by increasing its temperature it will increase the energy emitted (by the Stefan–
Boltzmann Law) until a new radiative equilibrium between the Sun and the Earth is
established. Hence, this additional trapping of terrestrial radiation by the enhanced
levels of greenhouse gases is expected to lead to a warming so as to make the net
energy emitted by the planet equal to that received.
The amount of warming depends crucially on how the entire Earth climate
system, including the atmosphere, the land, the ocean, the cryosphere (snow and
ice), and living things (the biosphere), responds to this warming. For example,
could the Earth partly compensate for this extra heat source by increasing its
albedo? Increase in low cloudiness in response to warming (which is expected to
enhance evaporation) may lead to increased reflection of solar energy and thus
offset the warming. But more high clouds (cirrus) could on the other hand lead
to additional trapping of terrestrial radiation and therefore an amplification of the
warming.
1.2.2 Terrestrial Infrared Irradiance

An understanding of radiative transfer is also essential for understanding the energy
output of the Earth, defined to be the energy emitted in the spectral region where
λ > 3.5 μm. Figure 1.3 shows the IR emission spectrum measured by a high-
resolution interferometer from a down-looking orbiting spacecraft, taken at three
different geographic locations. Also shown are blackbody curves for typical ter-
restrial temperatures. The spectral variable in Fig. 1.3 is wavenumber ν̃ = 1/λ,
commonly expressed in units of [cm−1 ]. Again, as for the solar spectrum, the
deviations from blackbody curves are attributed to the nonisothermal character of
the Earth’s atmosphere. The spectral regions of minimum emission arise from the
upper cold regions of the Earth’s troposphere, where the opacity of the overlying
regions is ∼ 1. Those of highest emission originate from the warm surface in trans-
parent spectral regions (“windows”), with the exception of the Antarctic spectrum,
where the surface is actually colder than the overlying atmosphere (see Fig. 1.3).
In this somewhat anomalous situation, the lower-opacity region is one of higher
radiative emission because of the greater rate of emission of the warm air. Again,
the deviations from blackbody behavior can be understood qualitatively in terms of
the temperature structure of the Earth’s atmosphere and the variation with frequency
of the IR absorption opacity.
Wavenumber (cm–1)
Figure 1.3 Thermal emission spectra of Earth measured by the IRIS Michelson
interferometer instrument on the Nimbus 4 spacecraft (Hanel and Conrath, 1970).
Shown also are the radiances of blackbodies at several temperatures: (a) Sahara
region; (b) Mediterranean; (c) Antarctic.
The effect of windows is clearly seen in Fig. 1.3. In the high-transparency

regions, the Earth’s surface emission is evident. The contribution of the upwelling
atmospheric radiation occurs within the opaque bands, at an effective temperature
lower than that of the surface. The emitted radiance is reduced in the regions of high
opacity, because the radiation received by the satellite instrument is emitted from
the upper colder atmospheric regions, where the lines are optically thin. Notice that
in the case of the Antarctic, where the surface is colder than the atmosphere, more
radiation is emitted from the warmer atmosphere in the vicinity of the bands than
from the surface (in the windows).
1.3 Radiative Interaction with Planetary Media

1.3.1 Feedback Processes
The properties of planetary media (chemical and dynamical) may themselves be
affected by radiation, on all spatial scales. These changes may then further influence
the way the media interact with radiation. On the macrophysical (much greater than
molecular) scale, we will mention two examples: (1) During daytime, solar radia-
tion heats the Earth’s surface and atmosphere. Often there results a fluid instability
which causes air to be set into convective motion, some air parcels moving upward,
others downward. Upward air motion causes adiabatic cooling and, if the atmo-
sphere is sufficiently moist, will lead to condensation and cloud formation. Clouds
will alter the distribution of incoming sunlight and absorb and emit IR radiation, and
thus affect the heating. (2) A second example is that of ocean photosynthesis. The
concentrations of light-absorbing phytoplankton determine the depth dependence
of the radiation field, which itself governs the viability of such organisms.
If we had to concern ourselves with these “chicken-and-egg” problems of simul-
taneous mutual interactions of the medium and the radiation, this book would be
very different and the subject much more difficult.
On the microphysical (molecular) scale, the presence of radiation can alter the
basic optical properties of matter itself. Radiative heating leads to a redistribution
of quantized states of excitation (for example, the internal vibrational energy of
molecules), which in turn alters the light interaction properties of the gas. In other
words, the absorptive and emissive properties of a gas depend upon its temperature,
which is itself affected by radiative heating. Again, a fortunate circumstance usually
allows us to decouple these two situations, so that the gas temperature may be
considered to be an externally specified quantity, independent of the radiation field.
This circumstance is contingent on the gas density being sufficiently high, so that
Kirchhoff’s Law is obeyed (§5.2.1). This condition is met for the lower portions of
most planetary atmospheres and for the ocean.
1.3 Radiative Interaction with Planetary Media 9
1.3.2 Types of Matter Which Affect Radiation

Pretending that they are independent of the radiation, we now focus on those aspects
of oceans and atmospheres which are important in modifying the radiation field. For
our purposes, there are four forms of matter which can affect radiation:
Gaseous matter: Under local thermodynamic equilibrium conditions (§5.2.1),
the density ρ, temperature T, and chemical composition are normally all that
is required to determine the optical properties. Gas pressure p should also be
included in this list, although it is not independent of ρ and T. Gas pressure,
through its collisional effects on the quantized excited states of the molecules,
affects absorption of light by altering the line strengths, as well as the line
positions in frequency and their spectral width (§3.3.3). ρ, T, and p are related
to one another by an empirical “real-gas” formula, although it is almost always
an adequate approximation to use the ideal gas law (see §1.4).
Aqueous matter: Similar to gaseous media, density largely determines the opti-
cal properties of pure ocean water. Salinity, which is important for ocean
dynamics, is unimportant for the optical properties. However, “pure sea water”
hardly exists’ outside the laboratory. “Impurities” usually dominate the optical
properties of natural bodies of water.
Particles: The atmospheric particulate population consists of suspended parti-
cles (aerosols) and condensed water (hygrosols). The latter is the generic
term for water droplets and ice crystals, or combinations with dust. Airborne
particles may be of biological origin or originate from pulverization of solid
surfaces. Particles are frequently chemically or physically altered by the ambi-
ent medium, and these alterations can affect their optical properties. Particles
with sizes comparable to the wavelength take on optical characteristics which
can be quite different from their parent-solid bulk optical properties (§4.2).
Oceanic particles consist of a large variety of suspended organic and inor-
ganic substances, such as the variously pigmented phytoplankton and mineral
compounds.5 Particles that are small enough to pass through a standard filter
are referred to as “dissolved” and include the organic yellow substances.6
Solid and ocean surfaces: The atmospheres of the terrestrial planets are all in
contact with surfaces, which vary greatly in their visible-light reflectance
and absorptance properties (§5.2). In many applications, their strong contin-
uous absorption in the IR allows them to be treated as thermally emitting
blackbodies, an enormous theoretical simplification. Knowledge of the visible
5 For a good discussion of the exchange of energy and optically significant constituents between the ocean and
the atmosphere see, Bréviére et al. (2015).
6 Yellow substances are a large class of dissolved organic material derived mainly from the remains and metabolic
products of marine plants and animals; see Jerlov (1968).
reflectance of underlying land and ocean surfaces is necessary for calculating

the diffuse radiation field emergent from the atmosphere. In addition, the
reflectance of the ocean bottom in shallow seas has an important influence
on the diffuse radiation field in the ocean and the radiation leaving the ocean
surface.
1.4 Vertical Structure of Planetary Atmospheres

It is useful to describe those general aspects of similarity and dissimilarity of oceans
and atmospheres. First, they are similar in that they are both fluids, that is, they
readily flow under the influences of gravity and pressure differences. Also, they
both obey the basic equation of hydrostatic equilibrium. A fundamental difference
is that atmospheres are highly compressible, whereas oceans are nearly incompress-
ible. A quantitative difference arises from the fact that the average density of water
(1×103 [kg·m−3 ]) is much higher than that of most planetary atmospheres. For the
Earth’s atmosphere on a clear day at sea level, visible light can traverse unattenuated
a horizontal path many hundreds of kilometers long. In the ocean, it penetrates at
most a few hundred meters before being attenuated. Of course, at sufficient depths
in the atmospheres of Venus, and of the giant outer planets, the atmospheric density
can approach or even exceed that of water.
1.4.1 Hydrostatic Equilibrium and Ideal Gas Laws

In this section, we describe some important bulk properties of the atmosphere and
ocean, in terms of their density, pressure, temperature, and index of refraction. As
a result of gas being highly compressible, the atmospheric density, ρ [kg · m−3 ],
the mass per unit volume, varies strongly with height, z. For both atmospheres and
oceans in a state of rest, the pressure, p, must support the weight of the fluid above
it. This situation is called a state of hydrostatic equilibrium. With increasing height
in the atmosphere, the density decreases as the pressure decreases (Boyle’s Law).
With increasing depth in the ocean, hydrostatic equilibrium also holds true, but the
density change is slight.
Consider the atmospheric case. In differential form, the weight of the air (mass
times the acceleration of gravity, g) in a small volume element dV is gdM, where
dM is the mass of the air inside the volume. Now dM = ρdV = ρdAdz, and the net
force exerted by the surrounding gas on the parcel is −dpdA. The differential dp is
the change in pressure over the small height change dz. The minus sign comes from
the fact that the pressure at z + dz is smaller than at z, and the upward buoyancy
force must be positive. Equating the two forces, −dpdA = gρdAdz, we find
dp = −gρdz. (1.1)
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President in the Philippines sufficed fully, it was contended,
for every purpose of temporary or provisional government
there, except in its lack of ability to grant franchises and
to dispose of the public lands. Hence it was freely charged
that the controlling influences which pressed this measure on
the government came from capitalists and speculators who were
reaching after valuable franchises, mining rights and land
grants in the archipelago. Said Senator Daniel in the debate:
"So far as any legislation which looks forward to the opening
of the way to civil government may be involved to the
softening of the conditions which exist, to the amelioration
of the distresses which are upon the Philippine people, I
would give most cheerful acquiescence. But because we desire
to do these things in a good spirit, in a resolute and
patriotic spirit, let us not permit the provocation of
difficult conditions to lead us into enacting any kind of
provision of law that is not necessary to these ends. Let us
not undertake to give to the President of the United States
any power of disposing of the permanent assets of the
Philippine people; let us not put him in the attitude of being
a franchise giver or a franchise seller or a franchise lessor.
The franchises of those islands—their rivers, their ferries,
their streets, their roads, the thousand and one privileges
which are granted by public authority—are as important and as
valuable to that people and as permanently associated with
their happiness and their prosperity as are their fields or
their mines or their fisheries or anything else which belongs
to their country. … It is true there is the reservation of the
right to alter, amend, or repeal, but while that is legally
broad enough for any remedial legislation whatsoever to
follow, we know that practically it is of very small
consequence. If capital goes in and invests itself in
improvements which are in themselves of a permanent nature, if
railroads are constructed, telegraph lines run, telephones
established, ferries built, steamers and boats, gas
establishments, electrical establishments—if those things are
disposed of, the man who once gets in will never be gotten
out. In all such affairs possession is nine points of the law
before they get into court, where it is generally made the
tenth."
Senator Hoar called attention "to the fact that the report of
the Taft commission urges that power be given to sell the
public lands at once, as it is necessary for their
development, and a large amount of capital is there now
clamoring to be invested," and he remarked: "So I suppose that
one of the chief purposes of this is that the public lands in
the Philippine Islands may be sold before the people of the
islands have any chance whatever to have a voice in their
sale." He then quoted the following passages from the report
of the Taft commission:
"The commission has received a sufficient number of

applications for the purchase of public land to know that
large amounts of American capital are only awaiting the
opportunity to invest in the rich agricultural field which may
here be developed. In view of the decision that the military
government has no power to part with the public land belonging
to the United States, and that the power rests alone in
Congress, it becomes very essential, to assist the development
of these islands and their prosperity, that Congressional
authority be vested in the government of the islands to adopt
a proper public-land system, and to sell the land upon proper
terms. There should, of course, be restrictions preventing the
acquisition of too large quantities by any individual or
corporation, but those restrictions should only be imposed
after giving due weight to the circumstances that capital can
not be secured for the development of the islands unless the
investment may be sufficiently great to justify the
expenditure of large amounts for expensive machinery and
equipments.
{401}
Especially is this true in the cultivation of sugar land. …
Restricted powers of a military government referred to in
discussing the public lands are also painfully apparent in
respect to mining claims and the organization of railroad,
banking, and other corporations, and the granting of
franchises generally. It is necessary that there be some body
or officer vested with legislative authority to pass laws
which shall afford opportunity to capital to make investment
here. This is the true and most lasting method of
pacification." "In other words," said Senator Hoar, "the
leading, principal, bald proposal on which this amendment
rests is that before those 10,000,000 people are allowed any
share in their own government whatever their property is to be
sold by Americans to Americans in large quantities, as on the
whole the best means of pacification—that the best way to
pacify a man is to have one foreign authority to sell his
property and another to buy it." An amendment to the
amendment, offered by Senator Bacon, reserving to Congress the
right to annul any grant or concession made, or any law
enacted, by any governmental authority created under the
powers proposed to be conferred on the President; another
offered, by Senator Vest, providing that "no judgment, order,
nor act by any of said officials so appointed shall conflict
with the Constitution and laws of the United States," and
still others of somewhat kindred aims, were voted down; but
the influence of Senator Hoar prevailed with the Senate so far
as to induce its acceptance of the following important
modification of the so-called "Spooner Amendment":
"Provided, That no sale or lease or other disposition of the

public land, or the timber thereon, or the mining rights
therein, shall be made: And provided further, That no
franchise shall be granted which is not approved by the
President of the United States, and is not, in his judgment,
clearly necessary for the immediate government of the islands
and indispensable for the interests of the people thereof, and
which can not, without great public mischief, be postponed
until the establishment of a permanent civil government, and
all such franchises shall terminate one year after the
establishment of such civil government."
With this proviso added, the "Spooner amendment" was adopted

by the Senate on the 26th of February (yeas 45, nays 27, not
voting 16), and agreed to by the House on the 1st of March
(yeas 161, nays 136, not voting 56).
Congressional Record,
February 25-March 1, 1901.
PHILIPPINE ISLANDS: A. D. 1901 (March).

Organization of provincial governments.
Establishment of a department of public education.
Proposed tariff.
Date fixed for cessation of military regime.
On the 3d of March, the President of the Philippine

Commission, Judge Taft, addressed a cable despatch to the U.
S. Secretary of War in which he reported: "Commission has last
three weeks organized five provincial governments—Pampanga,
Pangasinan, Tarlac, Bulacan, Bataan—last two are Tagalog
provinces. Attended each provincial capital in a body; met by
appointment Presidentes, Councillors, and principal men of
towns; explained provisions general provincial act and special
bill for particular province and invited discussion natives
present of both bills. Conventions thus held very
satisfactory; amendments suggested, considered, special bills
enacted, appointments followed. … In three large provinces
natives appointed provisional Governors. In Bataan, on
petition, eight out of nine towns, volunteer officer
appointed. In Tarlac feeling between loyal factions required
appointment American. … In compliance with urgent native
invitations leave March 11 for south to organize provinces
Tayabas, Romblon, Iloilo, Capiz, Zamboanga, such others are
ready. Returning shall organize Zambales, Union, Cagayan,
Ilocos Norte. Military Governor has recommended organization
Batangas, Cavité, Laguna, Nueva Ecija, but shall delay action
as to these until return from northern and southern trips."
On the 18th of March it was announced from Washington that a

number of recent Acts of the Philippine Commission had been
received at the War Department, among them one which
establishes a general department of public instruction, with a
central office at Manila, under the direction of a general
superintendent, to be appointed by the commission, at a salary
of $6,000 a year. "Schools are to be established in every
pueblo in the archipelago where practicable, and those already
established shall be reorganized where necessary. There are to
be ten school divisions in the archipelago, each with a
division superintendent, and there is to be a superior
advisory board, composed of the general superintendent and
four members to be appointed by the Philippine Commission, to
consider the general subject of education in the islands and
make regulations. The English language, as soon as
practicable, shall be made the basis of all public
instruction, and soldiers may be detailed as instructors until
replaced by trained teachers. Authority is given to the general
superintendent to obtain from the United States 1,000 trained
teachers, at salaries of not less than $75 nor more than $100
a month, the exact salary to be fixed according to the
efficiency of the teacher. The act provides that no teacher or
other person "shall teach or criticise the doctrines of any
church, religious sect or denomination or shall attempt to
influence the pupils for or against any church or religious
sect in any public school." Violation of this section is made
punishable by summary dismissal from the public service. It is
provided, however, that it may be lawful for the priest or
minister of the pueblo where the school is situated to teach
religion for half an hour three times a week in the school
building to pupils whose parents desire it. But if any priest,
minister or religious teacher use this opportunity "for the
purpose of arousing disloyalty to the United States or of
discouraging the attendance of pupils or interfering with the
discipline of schools," the division superintendent may forbid
such offending priest from entering the school building
thereafter. The act also provides for a normal school at
Manila for the education of natives in the science of
teaching. It appropriates $400,000 for school buildings,
$220,000 for text books and other supplies for the current
calendar year, $25,000 for the normal school, $15,000 for the
organization and maintenance of a trade school in Manila and
the same amount for a school of agriculture.
{402}
The new tariff for the Islands, which the Commission had been
long engaged in framing, was submitted, in March, to the
government at Washington for approval. "In his letter of
transmittal Judge Taft says that the proposed bill follows
largely the classification of the Cuban tariff, 'but has been
considerably expanded by the introduction of articles
requiring special treatment here by reason of different
surroundings and greater distance from the markets.' Judge
Taft says also that the disposition of the business interests
of the islands is to accept any tariff the commission
proposes, provided only that the duties are specific and not
ad valorem. The question of revenue was kept steadily in view
in the preparation of the schedules, but it was not the only
consideration. Raw materials of Philippine industries, tools,
implements and machinery of production, materials of
transportation, the producers and transmitters of power and
food products are taxed as lightly as possible. … Export
duties are levied on only six articles—hemp, indigo, rice,
sugar, cocoanuts, fresh or as copra, and tobacco. The free
list admits natural mineral waters, trees, shoots and plants,
gold, copper and silver ores, fresh fruits, garden produce,
eggs, milk, ice and fresh meat, except poultry and game. There
is also a list of articles conditionally free of duty. The
importation of explosives is prohibited, but that of firearms
is not."
It is announced from Washington that "Judge Taft and General
MacArthur have agreed upon July 1 as the date for the
establishment of civil government in the Philippines. The
military regime in the islands will therefore cease on June
30, when General Chaffee will relieve General MacArthur of the
command, and Governor Taft will be inaugurated the next day
with considerable ceremony."
PHILIPPINE ISLANDS: A. D. 1901 (March-April).

Capture of Aguinaldo.
His oath of allegiance to the United States.
His address to his countrymen, counselling peace.
A stratagem, executed with great daring by General Funston of

the American forces, accomplished the capture of the Filipino
leader, Aguinaldo, on the 23d of March. From intercepted
correspondence, it had been learned that Aguinaldo, then
occupying his headquarters at Palanan, Isabela Province, was
expecting to be joined by some riflemen, whom his brother had
been ordered to send to him from central Luzon. On this,
General Funston conceived the plan of equipping a number of
native troops who should pass themselves off as the expected
reinforcements, several American officers going with them
ostensibly as prisoners, the hope being that Aguinaldo might
thus be reached and taken by surprise. General MacArthur
approved the scheme, and it was carried out with success. The
party was made up of 78 Macabebe scouts, four Tagalogs who had
formerly been officers in the insurgent army, and General
Funston, Captain Newton, Lieutenants Hazzard and Mitchel, who
acted the part of prisoners. They were taken by gunboat from
Cavite to a point above Baler, whence they made their way on
foot, sending a message in advance that the expected
reinforcements were on the way and had captured some prisoners
en route. The following brief narrative of what occurred
subsequently is taken from a newspaper account of the
expedition:
"For six days the expedition marched over an exceedingly
difficult country, covering 90 miles. When the men reached a
point eight miles from Aguinaldo's camp they were almost
exhausted from lack of food and the fatigue of the march. They
stopped at this place and sent a message to Aguinaldo,
requesting him to send food to them. The ruse thus far had
worked with the greatest success, and on March 22d, when
Aguinaldo sent provisions, it was seen that he did not have
the slightest suspicion. With the food he sent word that the
Americans were not wanted in his camp, but instructing their
supposed captors to treat them kindly. On March 23d the march
was resumed, the Macabebe officers starting an hour ahead of
the main body of the expedition. The 'prisoners,' under guard,
followed them. When the party arrived at Aguinaldo's camp a
bodyguard of 50 riflemen was paraded, and the officers were
received at Aguinaldo's house, which was situated on the
Palanan River. After some conversation with him, in which they
gave the alleged details of their suppositious engagement with
an American force, they made excuses and quietly left the
house. They at once gave orders in an undertone for the
Macabebes to get in position and fire on the bodyguard. The
order was obeyed with the greatest rapidity, and three volleys
were delivered. The insurgents were panic-stricken by the
sudden turn in affairs, and they broke and ran in
consternation. Two of them, however, were killed and eighteen
wounded. Simultaneously with the delivery of the volleys the
American officers rushed into Aguinaldo's house. Major
Alhambra, one of Aguinaldo's staff, had been shot in the face.
He, however, was determined not to be captured and he jumped
from a window into the river and disappeared. Two captains and
four lieutenants made their escape in a similar manner.
Aguinaldo, Colonel Villa, his chief of staff, and Santiago
Barcelona, the insurgent treasurer, did not have time to make
an attempt to get away before General Funston and the others
were upon them, demanding their surrender. Seeing that the
situation was hopeless, they gave themselves up. Aguinaldo was
furious at having been caught, but later he became
philosophical and declared that the ruse by which he had been
captured was the only one which would have proved successful
if the Americans had tried for 20 years. One of the Macabebes
was wounded. The party stayed two days at the camp and then
marched overland to the coast, where the Vicksburg, whose
arrival was excellently timed, picked them up and brought them
back to Manila."
On the 2d of April, a despatch from General MacArthur to the

War Department announced that Aguinaldo, on the advice of
Chief Justice Arellano, had taken the following oath of
allegiance to the United States: "I hereby renounce all
allegiance to any and all so-called revolutionary governments
in the Philippine Islands, and recognize and accept the
supreme authority of the United States of America therein; I
do solemnly swear that I will bear true faith and allegiance
to that government; that I will at all times conduct myself as
a faithful and law abiding citizen of the said islands, and
will not, either directly or indirectly, hold correspondence
with or give intelligence to an enemy of the United States,
nor will I abet, harbor or protect such enemy; that I impose
upon myself these voluntary obligations without any mental
reservations or purpose of evasion, so help me God."
{403}
On the 19th of April, Aguinaldo issued the following address

to his countrymen: "I believe I am not in error in presuming
that the unhappy fate to which my adverse fortune has led me
is not a surprise to those who have been familiar with the
progress of the war. The lessons taught with a full meaning,
and which have recently come to my knowledge, suggest with
irresistible force that a complete termination of hostilities
and lasting peace are not only desirable, but absolutely
essential to the welfare of the Philippine Islands. The
Filipinos have never been dismayed at their weakness, nor have
they faltered in following the path pointed out by their
fortitude and courage. The time has come, however, in which
they find their advance along this path to be impeded by an
irresistible force, which, while it restrains them, yet
enlightens their minds and opens to them another course,
presenting them the cause of peace. This cause has been
joyfully embraced by the majority of my fellow countrymen who
already have united around the glorious sovereign banner of
the United States. In this banner they repose their trust and
believe that under its protection the Filipino people will
attain all those promised liberties which they are beginning
to enjoy. The country has declared unmistakably in favor of
peace. So be it. There has been enough blood, enough tears and
enough desolation. This wish cannot be ignored by the men
still in arms, if they are animated by a desire to serve our
noble people, which has thus clearly manifested its will. So
do I respect this will, now that it is known to me. After
mature deliberation, I resolutely proclaim to the world that I
cannot refuse to heed the voice of a people longing for peace,
nor the lamentations of thousands of families yearning to see
their dear ones enjoying the liberty and the promised
generosity of the great American Nation. By acknowledging and
accepting the sovereignty of the United States throughout the
Philippine Archipelago, as I now do, and without any
reservation whatsoever, I believe that I am serving thee, my
beloved country. May happiness be thine."
PHŒNICIANS, The:
Modified estimates of their influence upon early
European civilization.
See (in this volume)

ARCHÆOLOGICAL RESEARCH: CRETE.
PILLAGER INDIAN OUTBREAK.

INDIANS, AMERICAN: A. D. 1898.
PLAGUE, The Bubonic.
For years the plague has "continued to breed in various inner

parts of Asia, and in 1894, coming from the Chinese province
of Yunnan, it invaded Canton, taking there 60,000 victims in a
few weeks. Thence it spread to Hong Kong, reached next year
the island of Haïnan and Macao, invaded Formosa in 1896, and
in the autumn of the same year appeared at Bombay. In the big
city of India it found all necessary conditions for breeding,
unchecked, for several months in succession: famine,
overcrowding, and the absence of all preventive measures; and
from Bombay it was carried by rail and road, to different
parts of India. … Happily enough, the plague is no longer the
mysterious, revengeful being which it used to be for our
ancestors. Its cause and modes of propagation are well known.
It is an infectious disease with a short period of incubation.
From four to six days after infection takes place, a sudden
loss of forces—often a full prostration, accompanied by a high
fever-sets in. A bubo appears, and soon grows to the size of
an egg. Death soon follows. If not—there is a chance of slow
and painful recovery; but that chance is very small, because
even under the best conditions of nursing, the mortality is
seldom less than four out of each five cases of illness. As to
the means of propagation of the plague, they are many. The
poison may infect a wound or a scratch; it may be ingested in
food; it may be simply inhaled. Dust from an infected house
was sufficient to infect healthy rats; and when healthy rats
were shut up in one cage with unhealthy ones, all caught the
disease and died. Already in 1881 Netten Redcliffe and Dr.
Pichon indicated that before the plague attacks men it
destroys mice and rats. This was fully confirmed in 1894 by
the Japanese and French bacteriologists Kitasato and Yersin,
at Hong Kong, and by Dr. Rennie, of the Chinese Customs, at
Canton. Masses of dead rats were seen in the streets of the
infested parts of Hong Kong, and the keeper of the west gates
of Canton collected and buried 24,000 of these animals. Dr.
Rennie also pointed out that among those inhabitants of Canton
who lived in boats on the river there were no cases of plague,
except a few imported from town, so that even rich Cantonese
took to living in boats; and he explained the immunity of the
boat-dwellers by the absence of infection through rats. The
worst is, however, that swine, and even goats and buffaloes,
snakes and jackals, are attacked by the plague. …
"As soon as the plague broke out at Hong Kong, the great
Japanese bacteriologist Kitasato and the French doctor Yersin,
who is well known for his work with Roux on the serum
treatment of diphtheria, were already on the spot. Yersin
obtained from the English authorities permission to erect a
small straw hut in the yard of the chief hospital, and there
he began his researches. Both Kitasato and Yersin had no
difficulty in ascertaining that the plague buboes teemed with
special bacteria, which had the shape of tiny microscopic
sticklets, thickened at their ends. To isolate these bacteria,
to cultivate them in artificial media, and to ascertain the
deadly effects of these cultures upon animals, was soon done
by such masters in bacteriology as Kitasato and Yersin. The
cause of the plague was thus discovered. It was evident that
infected rats and swine—especially swine with the Chinese, who
keep them in their houses—were spreading the disease, in
addition to men themselves. The same bacteria teemed in the
dead animals. As to men, the discharges from their buboes, and
even, in many cases, their expectorations, were full of plague
bacteria. Besides, Yersin soon noticed that in his
'laboratory,' where he was dissecting animals killed by the
plague, the flies died in numbers. He found that they were
infested with the same bacteria, and carried them about:
inoculations of bacteria obtained from the flies at once
provoked the plague in guinea-pigs. Ants, gnats, and other
insects may evidently spread infection in the same way, while
in and round the infested houses the soil is impregnated with
the same bacteria. As soon as the pest microbe became known,
experiments were begun, at the Paris Institut Pasteur, for
finding the means to combat it; and in July 1895 Yersin,
Calmette, and Borel could already announce that some very
promising results had been obtained."
P. Kropotkin,
Recent Science
(Nineteenth Century, July, 1897).
{404}
Of the first appearance of the plague in India, at Bombay, and

the early stages of its spread in that country, the Viceroy,
Lord Elgin, made the following report to the Secretary of
State for India, on the 27th of January, 1897: "The first
official intimation of the outbreak which reached us was in a
telegram from the Government of Bombay, dated the 29th
September 1896. The disease was then reported to be of a mild
type, and at first it showed no tendency to increase. …
Throughout the months of October and November the disease made
little or no progress, and the number of deaths reported a day
averaged nine. Early in December there was a marked increase,
and the number of deaths reported daily from the 2nd to the
23rd (inclusive) was about 32. From the 24th December onwards
there was another marked increase, and the number of deaths
reported from that date to the 14th January (inclusive)
averaged about 51. The next week shows a further increase, the
reported number of deaths averaging 74 a day. The total number
of deaths reported during October was 276; during November,
268; during December, 1,160; and from the 1st to the 25th
January, 1,444. The total number of deaths reported from the
beginning of the outbreak thus amounts to 3,148. We have
reason to fear that all deaths from the plague have not been
reported as such, and that the true mortality from the disease
is higher than is shown by the above figures. … For a
considerable time, except for a few imported cases in some
towns in Gujarat, the outbreak was confined to Bombay itself,
but on the 23rd of December we learnt from the Government of
Bombay that the plague had broken out in Karachi. … The total
number of deaths that have been reported in Karachi, from the
beginning of the outbreak up to the 24th January, is 608. It
will be observed that the disease has been very malignant in
Karachi, and that almost all the cases reported have been
fatal. As soon as the Surgeon General with the Government of
Bombay reported to that Government that he had seen cases of a
mild type of bubonic plague in the city, preventive measures
were adopted and a Committee of medical experts were appointed
to report on the disease and the situation. The Municipal
Corporation have from the outset required the infected
quarters to undergo a thorough and systematic cleaning and
disinfection; and they have also pushed on vigorously other
sanitary measures, such as the improvement of house
connections and the construction of surface drains in quarters
where the drainage was defective. A house-to-house visitation
by medical officers has also been instituted. The Corporation
have sanctioned liberal measures towards these ends, and the
executive officers have displayed great energy in carrying
them out. … We have informed the Government of Bombay that we
consider it necessary that the plan of removing all persons
from infected houses, and thoroughly cleansing and
disinfecting the buildings, should be carried out, and we have
asked His Excellency in Council, if he agrees, to report the
measures that are adopted to bring the plan into general
effect."
To the above suggestion that all persons be removed from

infected houses, the government of Bombay replied, on the 12th
of February: "His Excellency is advised that, to give full
effect to such a proposal, at the lowest computation, 30,000
persons belonging to different races, castes, and creeds would
need to be provided with temporary dwellings. There is no site
within the limits of the Bombay municipality which would
accommodate a tenth of this number. Great difficulty has
attended all attempts at the segregation of healthy inmates of
infected houses hitherto made, and very limited success bas
been achieved. From the beginning of the outbreak of this
disease it has been found that the native inhabitants of the
city are very reluctant to leave their houses or to allow any
member of their family afflicted with the disease to be taken
away. Indeed, their dread of the disease itself appears to be
hardly so powerful as their horror of being removed from their
houses. Ignorance and superstition prevent them from
discerning either that removal to a hospital is good for the
sick or removal [from] infected dwellings good for the
healthy, and they are far more easily moved by fear of the
municipal and police authorities than by any realisation of
the benefits that will accrue from a sensible course of
action. It is estimated that not less than 300,000 persons
have already fled from Bombay, moved so to do, not only by
fear of the plague, but quite as much, if not more, by an
unfounded and unreasonable fear of what might happen to them
at the hands of the police and municipal authorities were they
to remain."
Contending with such obstacles to the use of the most

effective measures for checking the spread of the disease, the
authorities at Bombay and elsewhere, who seem to have worked
with energy, saw little to encourage their efforts for some
time. In a second report to the Secretary of State for India,
made February 10, Lord Elgin was compelled to write: "We much
regret that we are unable to report that the plague shows any
signs of abating. In both Bombay and Karachi there has been an
increase in the daily number of seizures and deaths since the
beginning of the current month." But, a month later, on the
10th of March, the Viceroy reported that "the position of
affairs in Bombay is distinctly better. There has been a
decrease in the reported number of plague seizures and deaths,
and the total daily mortality from all causes shows a marked
diminution. During the week ending the 22nd February, the
average daily number of seizures and deaths was 115 and 117,
respectively; during the following week the daily average fell
to 107 and 99, whilst during the period March 2nd to March 8th
it has been 99 and 84. … Persons are now returning to the
quarters of Bombay, which are comparatively free from plague,
from the more infected outlying suburbs, and the Government of
Bombay have therefore found it necessary to watch persons
entering as well as those leaving Bombay. In the suburbs of
Kurla, Bandora, and Bhiwandi the plague continues to be
severe. Outside Bombay in the Presidency proper the number of
indigenous cases has increased, and the disease shows a
tendency to spread, especially in the Thana and Surat
districts. … Outside Karachi the plague shows no tendency to
spread in Sind, and Sukkur is the only other place from which
indigenous cases have been reported."
Great Britain, Parliamentary Publications

(Papers by Command: C.-8386, 1897; and C.-8511, 1897).
{405}
From that time there appears to have been a nearly steady

subsidence of the disease until the following September, when
it showed renewed virulence at Poona, and began to be newly
spread, invading districts in the Punjab and elsewhere outside
of the Bombay Presidency. By the middle of November Poona was
substantially empty of inhabitants, except those stricken with
the disease and those who bravely cared for the sick and dying.
In December there was a fresh outbreak in Bombay, which soon
became more deadly than that of the previous winter and
spring. By the beginning of February, 1898, and through March,
the deaths from plague alone in Bombay had risen above a
thousand a week. Then another subsidence occurred, followed by
another recrudescence of the disease in August, and another
decline in October. But the variations in other districts were
not uniform with those in Bombay. At the end of 1898, the
total of mortality from plague in all the afflicted districts
of India, reckoning from the beginning, was believed to exceed
100,000, including 70,000 in the Bombay Presidency and Sind
(28,000 in the city of Bombay), and 2,000 in the Punjab. In
Calcutta there had been but 150 deaths. Although the measures
taken for checking the spread of the pestilence were far less
stringent than they would have been among people more capable
of understanding what they meant and what their importance
was, they alarmed the religious jealousies of both the Hindus
and the Mohammedans, and were resisted and resented with
dangerous fury at a number of times. At Poona, in June, 1897,
two British officials were murdered by young Brahmins, who had
been excited to the deed by native journals, the language of
which was so violent that the government found it necessary to
prosecute several for sedition. At Bombay, in March, 1898,
when the plague was at its worst, there were very serious
riots, in which a number of Europeans were killed, and troops
were called to the help of the police before the frenzied mob
could be overcome.
Again, in 1899, there was a revival of the disease in India,

especially at Bombay, during the winter, with a decline in
April and fresh virulence in September. At the end of the year
the estimate of total mortality from plague in India since the
beginning was 250,000.
Of the wider spreading of the pestilence during 1900 the

following summary of information is given in the annual report
of the United States Secretary of the Treasury, in connection
with details of quarantine measures: "The Surgeon-General
reports that plague has been more widely distributed during
the year than was ever known in history, and for the first
time obtained lodgment in the Western Hemisphere, at Santos,
Brazil, in October, 1899. By this it is not meant that the
disease has been actually more prevalent than before, but that
its points of contact have embraced nearly every civilized
country in the world, though its prompt recognition and
application of modern methods have either entirely prevented
its spread or have caused it to disappear after a short period
of infection. The scientific knowledge of the disease renders
it far less to be dreaded than before, but increase in rapid
communication between different parts of the world facilitates
its transportation. In illustration, the fact is cited that 20
vessels have been reported, arriving at as many principal
seaports in different parts of the world, on which plague was
discovered on arrival or had manifested itself during the
voyage. As heretofore, its chief ravages have been in India,
where preventive measures have been hindered by religious
fanaticism. In India during the year there were 66,294 deaths.
Notable outbreaks of the disease occurred in Kobe and in
Formosa, Japan, at Oporto, Santos, Rio de Janeiro, Honolulu,
Sydney, Mauritius, Hongkong, and Glasgow.
"In December, 1899, on account of the apparent spread of this

disease, 12 commissioned officers were detailed by order of
the President for duty in the offices of the United States
consuls at the principal ports in England and on the
Continent. In June, the disease fortunately not having become
as widespread as anticipated, they were recalled, with the
exception of five, who are still retained for the purpose of
furnishing information and for service at any needed point.
Two of those thus retained, when the plague was announced at
Glasgow, Scotland, on August 28, 1900, were immediately sent
to that point and began inspection of vessels for the United
States and also for Canada, by request of that Government,
thus enabling vessels to be entered at ports on this side
without undue restraint. In the laboratory of the Service,
scientific investigations as to the viability of the plague
bacillus and the methods and efficiency of disinfection have
been conducted, and the results, together with excerpts from
all available literature hearing upon the prevention of
plague, have been published in the Public Health Reports,
forming, for this year, a volume containing most complete
information upon this disease. About 700,000 doses of
Haffkine's prophylactic were also prepared in the laboratory
and sent to the United States quarantine officers at home and
abroad, together with large quantities of Yersin's serum,
purchased early in the year from the Pasteur Institute in
Paris. In these two preparations, the one (Haffkine) a
prophylactic and the other (Yersin) both prophylactic and a
cure, the Surgeon-General says that science has effective
methods of combating the spread of this disease."
United States, Secretary of the Treasury,

Annual Report, December 4, 1900.
The "antitoxin, or serum, first prepared by Professor Haffkine

as a plague inoculation, called Haffkine's prophylactic, is
now being used in Bombay and western India with remarkable
results. This prophylactic is prepared by first taking the
plague bacilli, or the young germs, from a person affected
with the plague and cultivating them. These microbes are
killed by artificial means and a high degree of heat. From
these dead germs and their poisonous excrements is produced a
fluid that is believed to have acquired the power, when
injected into the human system, to render the blood immune
from the attack of plague germs and to neutralize their
effect. The injection of such a poison has the effect of an
antitoxin and prevents the system from nourishing plague. A
dead plague germ being inoculated into a person, plague will
not follow. A person after having one attack of the disease is
rarely liable to a second. The person first inoculated is
subject to symptoms of the plague.
{406}
In vaccination for smallpox
a living germ is dealt with, whereas in plague inoculation
dead seed only are injected. … Inoculation is exceedingly
unpopular among the natives. The government has had great
labor in persuading the Hindoo mind of the efficacy of
Haffkine's prophylactic against plague and at the same time of
its utter harmlessness in every other respect. The Hindoo is
suspicious that the dead germs and their toxic excreta may be
of animal rather than vegetable substance, which would make
the injection of the fluid into their body a religious
offense."
United States Consular Reports,
January, 1900, page 101.
"In the present epidemic, plague-spots are scattered over the

whole face of the globe from Sydney to Santos and Hongkong,
and recently from San Francisco suspicious cases have been
reported. The annual pilgrimage of Moslems to worship at the
shrines of Mecca and Medina is now, as in the past, of all
human agencies, the most active in spreading the pest. … Since
Egypt is nearest, plague first appears there in the seaport
towns, particularly Alexandria. Sanitary conditions have
improved vastly, like economics, under British control; and,
last year, what in other times might have been a devastating
epidemic was limited to relatively a few scattered cases.
Recognizing the danger to themselves, the European powers have
been led to take steps, under the Venice Convention, for their
own protection. An international quarantine, under the control
of the Egyptian Sanitary, Maritime, and Quarantine Council, in
which the powers have one vote each and Egypt three, has
established stations at two points on the Red Sea."
American Review of Reviews,

May, 1900.
PLATT AMENDMENT, The.

CUBA: A. D. 1901 (FEBRUARY-MARCH).
PLURAL VOTING.

BELGIUM: A. D. 1894-1895.
PLYMOUTH COLONY:
Return of the manuscript of Bradford's History to

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Radiative Transfer in the Atmosphere

and Ocean Gary E. Thomas

Spectroscopy and radiative transfer of planetary

Near Field Radiative Heat Transfer Across Nanometer

Controlled Atmosphere Transmission Electron Microscopy:

Coastal Ocean Observing Platforms Sensors and Systems

Flaps and Grafts in Dermatologic Surgery 2nd Edition

Social Psychology Thomas E Heinzen

Biodiversity and Climate Change: Transforming the

Optical Waves and Laser Beams in the Irregular

k n u t s ta m n e s is a Professor in the Department of Physics and Engineering Physics and

Cambridge University Press is part of the University of Cambridge.

List of Illustrations page xiv

2 Basic State Variables and the Radiative Transfer Equation 37

5.2.10 Transmission through a Slab Medium 163

6.7 Prototype Problems in Radiative Transfer Theory 214

8.2.2 Wideband Emittance Models 283

9.5 Matrix Eigensolutions 355

10 Shortwave Radiative Transfer in the Atmosphere and Ocean 389

10.7.5 Radiative Transfer Simulations of the Q Factor 445

1.1 Extraterrestrial solar irradiance. page 3

4.8 Normal modes of vibration. 115

8.14 Greenhouse factor versus liquid water path. 325

1.1 Subregions of the solar spectrum. page 2

1.2 Parts of the Spectrum

In the ultraviolet (UV) and visible spectral ranges, λ is expressed in nanometers

1.2.1 Extraterrestrial Solar Irradiance

Figure 1.1 Extraterrestrial solar irradiance measured by a spectrometer on board

is familiar with the concept of absorption opacity, or optical depth, τ (ν) at

1.2.2 Terrestrial Infrared Irradiance

The effect of windows is clearly seen in Fig. 1.3. In the high-transparency

1.3 Radiative Interaction with Planetary Media

1.3.2 Types of Matter Which Affect Radiation

reflectance of underlying land and ocean surfaces is necessary for calculating

1.4 Vertical Structure of Planetary Atmospheres

1.4.1 Hydrostatic Equilibrium and Ideal Gas Laws

"The commission has received a sufficient number of

"Provided, That no sale or lease or other disposition of the

With this proviso added, the "Spooner amendment" was adopted

PHILIPPINE ISLANDS: A. D. 1901 (March).

On the 3d of March, the President of the Philippine

On the 18th of March it was announced from Washington that a

PHILIPPINE ISLANDS: A. D. 1901 (March-April).

A stratagem, executed with great daring by General Funston of

On the 2d of April, a despatch from General MacArthur to the

On the 19th of April, Aguinaldo issued the following address

See (in this volume)

PILLAGER INDIAN OUTBREAK.

See (in this volume)

For years the plague has "continued to breed in various inner

Of the first appearance of the plague in India, at Bombay, and

To the above suggestion that all persons be removed from

Contending with such obstacles to the use of the most

Great Britain, Parliamentary Publications

From that time there appears to have been a nearly steady

Again, in 1899, there was a revival of the disease in India,

Of the wider spreading of the pestilence during 1900 the

"In December, 1899, on account of the apparent spread of this