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<article xmlns:xlink="http://www.w3.org/1999/xlink" xmlns:mml="http://www.w3.org/1998/Math/MathML" xmlns:oasis="http://docs.oasis-open.org/ns/oasis-exchange/table" dtd-version="3.0"><?xmltex \makeatother\@nolinetrue\makeatletter?>
  <front>
    <journal-meta>
<journal-id journal-id-type="publisher">ACP</journal-id>
<journal-title-group>
<journal-title>Atmospheric Chemistry and Physics</journal-title>
<abbrev-journal-title abbrev-type="publisher">ACP</abbrev-journal-title>
<abbrev-journal-title abbrev-type="nlm-ta">Atmos. Chem. Phys.</abbrev-journal-title>
</journal-title-group>
<issn pub-type="epub">1680-7324</issn>
<publisher><publisher-name>Copernicus Publications</publisher-name>
<publisher-loc>Göttingen, Germany</publisher-loc>
</publisher>
</journal-meta>

    <article-meta>
      <article-id pub-id-type="doi">10.5194/acp-16-5075-2016</article-id><title-group><article-title>Resolving ice cloud optical thickness biases between CALIOP and MODIS using
infrared retrievals</article-title>
      </title-group><?xmltex \runningtitle{Resolving MODIS and CALIOP ice cloud biases}?><?xmltex \runningauthor{R. E.~Holz et al.}?>
      <contrib-group>
        <contrib contrib-type="author" corresp="yes" rid="aff1">
          <name><surname>Holz</surname><given-names>Robert E.</given-names></name>
          <email>reholz@ssec.wisc.edu</email>
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff2">
          <name><surname>Platnick</surname><given-names>Steven</given-names></name>
          
        <ext-link>https://orcid.org/0000-0003-3964-3567</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff3">
          <name><surname>Meyer</surname><given-names>Kerry</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff4">
          <name><surname>Vaughan</surname><given-names>Mark</given-names></name>
          
        <ext-link>https://orcid.org/0000-0002-0862-7284</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff5">
          <name><surname>Heidinger</surname><given-names>Andrew</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff6">
          <name><surname>Yang</surname><given-names>Ping</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff7">
          <name><surname>Wind</surname><given-names>Gala</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff1">
          <name><surname>Dutcher</surname><given-names>Steven</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff1">
          <name><surname>Ackerman</surname><given-names>Steven</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff7">
          <name><surname>Amarasinghe</surname><given-names>Nandana</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff1">
          <name><surname>Nagle</surname><given-names>Fredrick</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff8">
          <name><surname>Wang</surname><given-names>Chenxi</given-names></name>
          
        </contrib>
        <aff id="aff1"><label>1</label><institution>University of Wisconsin-Madison Space Science and Engineering Cent, Madison, WI, USA</institution>
        </aff>
        <aff id="aff2"><label>2</label><institution>NASA Goddard, Greenbelt, MD, USA</institution>
        </aff>
        <aff id="aff3"><label>3</label><institution>GESTAR/USRA, Greenbelt, MD, USA</institution>
        </aff>
        <aff id="aff4"><label>4</label><institution>NASA Langley, Langley, VA, USA</institution>
        </aff>
        <aff id="aff5"><label>5</label><institution>NOAA, Madison, WI, USA</institution>
        </aff>
        <aff id="aff6"><label>6</label><institution>Texas A&amp;M University, College Station, TX, USA</institution>
        </aff>
        <aff id="aff7"><label>7</label><institution>SSAI, Greenbelt, MD, USA</institution>
        </aff>
        <aff id="aff8"><label>8</label><institution>University of Maryland, College Park, MD, USA</institution>
        </aff>
      </contrib-group>
      <author-notes><corresp id="corr1">Robert E. Holz (reholz@ssec.wisc.edu)</corresp></author-notes><pub-date><day>25</day><month>April</month><year>2016</year></pub-date>
      
      <volume>16</volume>
      <issue>8</issue>
      <fpage>5075</fpage><lpage>5090</lpage>
      <history>
        <date date-type="received"><day>1</day><month>September</month><year>2015</year></date>
           <date date-type="rev-request"><day>29</day><month>October</month><year>2015</year></date>
           <date date-type="rev-recd"><day>9</day><month>February</month><year>2016</year></date>
           <date date-type="accepted"><day>29</day><month>March</month><year>2016</year></date>
      </history>
      <permissions>
<license license-type="open-access">
<license-p>This work is licensed under a Creative Commons Attribution 3.0 Unported License. To view a copy of this license, visit <ext-link ext-link-type="uri" xlink:href="http://creativecommons.org/licenses/by/3.0/">http://creativecommons.org/licenses/by/3.0/</ext-link></license-p>
</license>
</permissions><self-uri xlink:href="https://acp.copernicus.org/articles/.html">This article is available from https://acp.copernicus.org/articles/.html</self-uri>
<self-uri xlink:href="https://acp.copernicus.org/articles/.pdf">The full text article is available as a PDF file from https://acp.copernicus.org/articles/.pdf</self-uri>


      <abstract>
    <p>Despite its importance as one of the key radiative properties that determines
the impact of upper tropospheric clouds on the radiation balance, ice cloud
optical thickness (IOT) has proven to be one of the more challenging
properties to retrieve from space-based remote sensing measurements. In
particular, optically thin upper tropospheric ice clouds (cirrus) have been
especially challenging due to their tenuous nature, extensive spatial scales,
and complex particle shapes and light-scattering characteristics. The lack of
independent validation motivates the investigation presented in this paper,
wherein systematic biases between MODIS Collection 5 (C5) and CALIOP
Version 3 (V3) unconstrained retrievals of tenuous IOT (<inline-formula><mml:math display="inline"><mml:mo>&lt;</mml:mo></mml:math></inline-formula> 3) are examined
using a month of collocated A-Train observations. An initial comparison
revealed a factor of 2 bias between the MODIS and CALIOP IOT retrievals.
This bias is investigated using an infrared (IR) radiative closure approach
that compares both products with MODIS IR cirrus retrievals developed for
this assessment. The analysis finds that both the MODIS C5 and the
unconstrained CALIOP V3 retrievals are biased (high and low, respectively)
relative to the IR IOT retrievals. Based on this finding, the MODIS and
CALIOP algorithms are investigated with the goal of explaining and minimizing
the biases relative to the IR. For MODIS we find that the assumed ice single-scattering properties used for the C5 retrievals are not consistent with the
mean IR COT distribution. The C5 ice scattering database results in the
asymmetry parameter (<inline-formula><mml:math display="inline"><mml:mrow><mml:mi>g</mml:mi><mml:mo>)</mml:mo></mml:mrow></mml:math></inline-formula> varying as a function of effective radius with mean
values that are too large. The MODIS retrievals have been brought into
agreement with the IR by adopting a new ice scattering model for Collection 6
(C6) consisting of a modified gamma distribution comprised of a single habit
(severely roughened aggregated columns); the C6 ice cloud optical property
models have a constant <inline-formula><mml:math display="inline"><mml:mrow><mml:mi>g</mml:mi><mml:mo>≈</mml:mo><mml:mn>0.75</mml:mn></mml:mrow></mml:math></inline-formula> in the mid-visible spectrum,
5–15 % smaller than C5. For CALIOP, the assumed lidar ratio for
unconstrained retrievals is fixed at 25 sr for the V3 data products. This
value is found to be inconsistent with the constrained (predominantly
nighttime) CALIOP retrievals. An experimental data set was produced using a
modified lidar ratio of 32 sr for the unconstrained retrievals (an increase
of 28 %), selected to provide consistency with the constrained V3
results. These modifications greatly improve the agreement with the IR and
provide consistency between the MODIS and CALIOP products. Based on these
results the recently released MODIS C6 optical products use the single-habit
distribution given above, while the upcoming CALIOP V4 unconstrained
algorithm will use higher lidar ratios for unconstrained retrievals.</p>
  </abstract>
    </article-meta>
  </front>
<body>
      

      <?xmltex \hack{\newpage}?>
<sec id="Ch1.S1" sec-type="intro">
  <title>Introduction</title>
      <p>While clouds represent one of the largest modulators of Earth's radiation,
with their impact dependent on a variety of cloud physical and radiative
properties, they remain one of the more difficult components to represent in
global climate models (Jiang et al., 2012). Passive satellite observational
data sets such as those from MODIS (Moderate Resolution Imaging
Spectroradiometer), AVHRR (Advanced Very High Resolution Radiometer), HIRS
(High-spectral Infrared Sounder), and ISCCP (International Satellite Cloud
Climatology Project) provide long-term, global cloud observations (Wylie et
al., 2005; Heidinger et al., 2013; King et al., 2013, 2003; Rossow, 1991;
Rossow and Schiffer, 1999). However, assessing the uncertainties in the cloud
radiative properties retrieved by these sensors has proved to be a complex
and difficult task. Until recently, validation of these retrievals was
limited to ground and aircraft intercomparisons. But with the successful
launch of CALIPSO (Cloud-Aerosol Lidar and Infrared Pathfinder Satellite
Observations) and CloudSat in April 2006 as part of the NASA-led Afternoon
Constellation (A-Train) (Stephens et al., 2002; Winker et al., 2010),
researchers now have access to a near-continuous global record of vertically
resolved observations of cloud and aerosol properties with nearly coincident
observations from MODIS Aqua.</p>
      <p>Since launch, the CALIPSO lidar (the Cloud Aerosol Lidar with Orthogonal
Polarization, or CALIOP) has proven to be a valuable tool for developing and
evaluating passive cloud retrievals (Ackerman et al., 2008; Delanoë and
Hogan, 2010; Holz et al., 2008; Jin and Nasiri, 2013; Kahn et al., 2014).
CALIOP can directly measure cloud-top height with sensitivities that are
significantly greater than the passive retrievals, while the CALIOP
depolarization and attenuated backscatter measurements provide vertically
resolved cloud phase discrimination (Hu et al., 2009) for cloud layers up to
a cumulative optical depth of about 3.</p>
      <p>Ice optical thickness (IOT) has also proved to be one of the more difficult
properties to retrieve from space-based passive sensor measurements and
challenging to validate. In particular, it is difficult to infer the
microphysical and radiative properties of optically thin upper tropospheric
ice clouds (cirrus) from observations made by passive spaceborne instruments
due to their tenuous nature, extensive spatial scales, complex particle
shapes, and a wide range of particle sizes. Active sensors such as CALIOP
have the advantage that they directly measure the vertical structure of
clouds and aerosols however similar to the passive retrievals, assumptions
regarding the ice scattering properties (i.e., lidar ratio and multiple
scattering) are necessary to invert the lidar signal and retrieve the ice
cloud extinction. This lack of constraints in both the MODIS and CALIOP ice
cloud retrievals results in considerable uncertainty and potential bias in the
IOT, which is the focus of the paper. The paper begins by presenting
an intercomparison between the MODIS C5 and CALIOP V3 IOT retrievals for
optical tenuous cirrus (IOT <inline-formula><mml:math display="inline"><mml:mo>&lt;</mml:mo></mml:math></inline-formula> 3.0). A factor of 2 bias is found between
MODIS and CALIOP unconstrained retrievals (presented in Fig. 1) and described
in Sect. 4, raising a major question regarding the utility of these data
records to study ice cloud radiative processes. We next investigate the bias
using an infrared (IR) radiative closure experiment using collocated the
MODIS 11 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m observations. Based on these results, modifications to
the MODIS optical property retrievals with a focus on the ice scattering
models are investigated. For CALIOP, experimentation with the value of the
assumed lidar ratio used in the unconstrained retrieval is evaluated. The
result from this study provides the basis for the change in the ice
scattering models used by the recently released MODIS C6 ice cloud products
and for CALIOP the results provide one of the key studies motivating the
changes to the CALIOP ice cloud extinction retrievals in the upcoming V4
product.</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F1"><caption><p>A two-dimensional histogram comparing MODIS C5 and CALIOP V3 single-layer ice cloud daytime optical thickness retrievals for January 2010 (ocean
surfaces, <inline-formula><mml:math display="inline"><mml:mo>±</mml:mo></mml:math></inline-formula>60<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mo>∘</mml:mo></mml:msup></mml:math></inline-formula> latitude). Note that the color scale is
logarithmic.</p></caption>
        <?xmltex \igopts{width=184.942913pt}?><graphic xlink:href="https://acp.copernicus.org/articles/16/5075/2016/acp-16-5075-2016-f01.pdf"/>

      </fig>

<sec id="Ch1.S1.SSx1" specific-use="unnumbered">
  <title>MODIS and CALIOP retrieval background</title>
      <p>Both MODIS and CALIOP IOT retrievals require a priori information concerning
the ice particle scattering properties that relate the measured reflectance
(MODIS) or attenuated backscatter (CALIOP) to the cloud's IOT and
potentially the effective particle size. MODIS ice cloud forward radiative
calculations in the visible–near-infrared (VNIR) depend directly on the ice
particle phase function assumption, and to a first order on the associated
asymmetry parameter (<inline-formula><mml:math display="inline"><mml:mrow><mml:mi>g</mml:mi><mml:mo>)</mml:mo></mml:mrow></mml:math></inline-formula>. For CALIOP, an assumed extinction-to-backscatter
ratio is required for the unconstrained retrievals where the algorithm is
unable to make reliable estimates of cirrus IOT by measuring the attenuated
backscatter coefficients in some clear-air region immediately above and
below cloud base (Young and Vaughan, 2009). Because solar background signals
greatly reduce the signal-to-noise ratio (SNR) of the CALIOP daytime
measurements, the vast majority of CALIOP daytime IOT estimates are derived
from unconstrained retrievals.</p>
      <p>Uncertainties in the ice scattering property assumptions of MODIS
and/or CALIOP could account for the biases found in Fig. 1. As will be
discussed, an infrared (IR) cirrus IOT retrieval is relatively insensitive to
ice particle size and scattering details compared to MODIS and CALIOP VNIR
measurements and thus provides an independent means to assess thin to
moderately optically thick ice cloud retrievals (IOT <inline-formula><mml:math display="inline"><mml:mo>∼</mml:mo></mml:math></inline-formula> 0–3). In
addition, an IR retrieval provides radiative closure with solar reflectance
based on MODIS IOT retrievals in the sense that consistency in the two
retrieved IOTs also implies forward model consistency with the respective
top-of-atmosphere (TOA) VNIR and IR observations.</p>
      <p>Using the NASA-funded SSEC Atmosphere Product Evaluation and Test Element
(PEATE), now re-named the Suomi-NPP Atmosphere Science Investigator
Processing System (SIPS), the sensitivity of MODIS retrievals to ice single-scattering properties are investigated by repeated analyses of collocated
January 2010 CALIOP and MODIS observations using a variety of ice crystal
habits (Yang et al., 2012) and size distributions. Based on comparisons
against IR retrievals, the MODIS MYD06 Collection 6 (C6) ice cloud optical
property algorithm uses a single habit – severely roughened aggregated
columns (Yang et al., 2012) – instead of the size-dependent multi-habit
model (Baum et al., 2005) used for C5. The MYD06 C6 results compare well with
a new CALIOP version that uses a modified (larger)
extinction-to-backscattering ratio for unconstrained IOT retrievals.</p>
      <p>The manuscript is organized as follows. Section 2 presents a detailed
description of the algorithms and data sets used in the analysis of the ice
cloud optical depths with a focus on the IR retrievals. Section 3 introduces
the global intercomparison between the MODIS Collection 5 and CALIPSO V3 ice
cloud optical depths, with Sect. 4 presenting the comparison with the
collocated IR retrievals (ocean only). Section 5 discusses the impact of the
ice model selection (MODIS) and the assumed lidar ratio and multiple-scattering correction (CALIOP) on the ice cloud optical depth and then
presents an intercomparison of the MODIS and CALIOP retrievals processed
using a modified single-scatter lookup table (severely roughened aggregated
columns) and a modified of unconstrained lidar ratio of 31 (instead of 25 for
V3). Section 6 summarizes the results and with a focus on the rational for
the selection of a single habit for the new single-scattering properties for
the MODIS C6 ice cloud retrievals.</p>
</sec>
</sec>
<sec id="Ch1.S2">
  <title>Ice cloud optical thickness retrieval data sets</title>
      <p>An overview of the relevant retrieval methodologies is presented here with a
focus on the forward cloudy radiative transfer modeling assumptions and IR
IOT retrievals developed specifically for this study.</p><?xmltex \hack{\newpage}?>
<sec id="Ch1.S2.SS1">
  <title>IR retrievals and radiative closure</title>
      <p>The MODIS channel suite includes a range of IR channels extending well into
the CO<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:math></inline-formula> absorption region (13–15 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m). The calibration of the
IR channels has been extensively validated and proven to have high accuracy,
with uncertainties less than 0.5 K across a broad temperature range (Tobin
et al., 2006). For ice clouds, the IR radiative transfer is dominated by
absorption, and thus is less complex than for the VNIR retrieval. In this
section we discuss the IR radiative transfer methodology that is used both to
retrieve the IR IOT as well as evaluate the MODIS and CALIOP retrievals.</p>
      <p>The goal of radiative closure study is to relate the differences in the
CALIOP and MODIS retrieved IOT to the measured TOA channel radiance or
brightness temperature (BT) in the MODIS 11 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m channel. To
calculate the TOA cloudy radiances requires an accurate radiative transfer
model, knowledge of the cloud boundaries, and well-characterized surface
temperature/emissivity and atmospheric thermodynamic profiles. LBLDIS (Turner
et al., 2003), a cloudy radiative transfer model, is used for this analysis.
The model elegantly combines the clear-sky Line-By-Line Radiative Transfer
Model (LBLRTM) (Clough and Moncet, 1992) with the Discrete Ordinates
Radiative Transfer (DISORT) (Stamnes et al., 1988), a proven and accurate
cloudy radiative transfer model. The inputs required for LBLRTM are surface
temperature and emissivity, vertically resolved temperature and water vapor
profiles, and information regarding trace gas concentrations such as CO<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:math></inline-formula>
and O<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">3</mml:mn></mml:msub></mml:math></inline-formula>. For this analysis the surface temperature and thermodynamic
profiles are extracted from the NOAA Global Data Assimilation System (GDAS)
files that provide profiles at 1<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mo>∘</mml:mo></mml:msup></mml:math></inline-formula> spatial resolution every 6 h. For
each MODIS and CALIOP field of view (FOV), the closest (in both time and space) GDAS profile
is selected. A fixed CO<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:math></inline-formula> concentration of 380 ppm and a climatological
O<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">3</mml:mn></mml:msub></mml:math></inline-formula> profile is used. Given these inputs, LBLRTM is run on the selected FOV
filtered using the collocated CALIOP V3 5 km cloud layer products (described
in Sect. 3). The results of the clear-sky validation are discussed in
Sect. 4.</p>
      <p>The cloud microphysics and thermodynamics are defined with a vertical
resolution of 500 m within the cloud boundaries defined by the CALIOP layer
product. Only FOV where the CALIOP is not attenuated at the surface are used
greatly reducing uncertainties in the cloud base determination. For example a
cloud with a geometrical thickness of 1.5 km is divided into three layers, with
each layer defined by an optical thickness, effective radius, and ice
scattering model. For example, for a cloud with a total optical thickness of
1.5, each layer will have an optical thickness of 0.5. Using this methodology
the vertical temperature profile is accounted for in the radiative transfer.
For daytime IR forward model calculations, the effective radius from the
MODIS optical property retrieval is used for all cloud layers. For nighttime
CALIOP comparisons, a fixed effective radius of 40 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m is used in
the IR calculations. It is important to note that at 11 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m the
IOT retrieval is relatively insensitive to the assumed effective radius.</p>
      <p>The last remaining variable needed to calculate the TOA IR radiance is IOT.
LBLDIS is run independently using either the MODIS or CALIOP retrieved IOT,
resulting in high-spectral-resolution TOA radiances with the only differences
being the assumed IOT (i.e., MODIS or CALIOP). The spectrally resolved
radiances are then integrated over the MODIS Aqua 11 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m channel
(band 31) spectral response function, resulting in a simulated TOA radiance
that can be directly compared to the measured MODIS 11 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m
observations.</p>
      <p>In addition to LBLDIS spectral calculations, TOA longwave fluxes are
calculated using the Rapid Radiative Transfer Model (RRTM) (Mlawer et al.,
1997), which is also based on DISORT and LBLRTM and utilizes a correlated-<inline-formula><mml:math display="inline"><mml:mi>k</mml:mi></mml:math></inline-formula>
method for gas absorption along with broadband ice cloud parameterizations
from (Fu et al., 2000). Identical inputs are used for RRTM and the LBLDIS TOA
calculations with the only variable being IOT. The TOA fluxes are
subsequently used to quantify the impact of the IOT biases on the global
characterization of ice cloud radiative forcing.</p>
      <p>IR observations provide the independent reference to understand differences
between MODIS and CALIOP IOT retrievals. While radiance closure provides
valuable information regarding TOA radiances and fluxes, it does not provide a
direct assessment of the individual CALIOP and MODIS IOT biases. To convert
observed IR TOA radiance to IOT, two different retrieval approaches were
used. First, we developed an IR window IOT retrieval that uses the collocated
MODIS and CALIOP observations. This “reference” retrieval uses cloud
boundary information from CALIOP coupled with the LBLDIS forward model and
then retrieves the IR IOT using the MODIS 11 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m window channel
observations that are coincident and collocated with CALIOP. A second method
uses the spectral emissivity retrieved from the MODIS CO<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:math></inline-formula> emissive
cloud-top pressure retrieval that is then related to the IOT and effective
radius using a pre-computed lookup table (Heidinger et al., 2015). This
method has the advantage of being computationally very efficient, not
requiring the CALIOP cloud boundaries, and providing IOT for the entire MODIS
swath. Both IR retrieval methods are discussed in more detail in the
following subsections.</p>
<sec id="Ch1.S2.SS1.SSS1">
  <title>Combined MODIS IR window and CALIOP retrievals</title>
      <p>A single channel IR window IOT retrieval was developed for this study using
combined CALIOP and MODIS observations and the LBLDIS forward radiative
transfer modeling discussed in the previous section. The method constrains
the cloud boundaries using the collocated CALIOP 5 km layer products and
uses surface and atmospheric temperatures information from GDAS. TOA
radiances are simulated using LBLDIS with IOT retrieved by minimizing the
measured MODIS channel 31 (11 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m) and calculated BT differences.
The retrieval assumes the cloud extinction is evenly distributed in the
vertical throughout the cloud. This simplification has the potential to bias
the retrieval for FOV where the IOT is distributed non-uniformly in the
vertical (Maestri and Holz, 2009). The cloud geometric thickness is thus
limited to no greater than 4 km to reduce IOT biases that can be introduced
by non-homogeneous layers.</p>
</sec>
<sec id="Ch1.S2.SS1.SSS2">
  <title>MODIS IR spectral emissivity retrievals</title>
      <p>The MODIS C6 CO<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:math></inline-formula> slicing algorithm provides retrieved spectral
emissivity for the 8.5, 11, and 12 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m channels (channels 29, 31,
32) that have sensitivity to both the IOT and effective radius. As described
in (Parol et al., 1991), <inline-formula><mml:math display="inline"><mml:mi mathvariant="italic">β</mml:mi></mml:math></inline-formula> ratios can be approximated based on these
emissivities and are related to the asymmetry parameter (<inline-formula><mml:math display="inline"><mml:mrow><mml:mi>g</mml:mi><mml:mo>)</mml:mo></mml:mrow></mml:math></inline-formula>,
single-scattering albedo (<inline-formula><mml:math display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="italic">ω</mml:mi><mml:mtext>o</mml:mtext></mml:msub><mml:mo>)</mml:mo></mml:mrow></mml:math></inline-formula>, and extinction efficiency
(<inline-formula><mml:math display="inline"><mml:mrow><mml:msub><mml:mi>Q</mml:mi><mml:mtext>e</mml:mtext></mml:msub><mml:mo>)</mml:mo></mml:mrow></mml:math></inline-formula> as follows:</p>
      <p><disp-formula id="Ch1.E1" content-type="numbered"><mml:math display="block"><mml:mrow><mml:msub><mml:mi mathvariant="italic">β</mml:mi><mml:mrow><mml:msub><mml:mi mathvariant="italic">λ</mml:mi><mml:mn mathvariant="normal">1</mml:mn></mml:msub><mml:msub><mml:mi mathvariant="italic">λ</mml:mi><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:mrow></mml:msub><mml:mo>=</mml:mo><mml:mo>|</mml:mo><mml:msub><mml:mi>Q</mml:mi><mml:mrow><mml:mtext>e</mml:mtext><mml:mo>,</mml:mo><mml:msub><mml:mi mathvariant="italic">λ</mml:mi><mml:mn mathvariant="normal">1</mml:mn></mml:msub></mml:mrow></mml:msub><mml:mfenced close=")" open="("><mml:mn mathvariant="normal">1</mml:mn><mml:mo>-</mml:mo><mml:msub><mml:mi mathvariant="italic">ω</mml:mi><mml:mrow><mml:mtext>o</mml:mtext><mml:mo>,</mml:mo><mml:msub><mml:mi mathvariant="italic">λ</mml:mi><mml:mn mathvariant="normal">1</mml:mn></mml:msub></mml:mrow></mml:msub><mml:msub><mml:mi>g</mml:mi><mml:mrow><mml:msub><mml:mi mathvariant="italic">λ</mml:mi><mml:mn mathvariant="normal">1</mml:mn></mml:msub></mml:mrow></mml:msub></mml:mfenced><mml:mo mathsize="1.5em">/</mml:mo><mml:msub><mml:mi>Q</mml:mi><mml:mrow><mml:mtext>e</mml:mtext><mml:mo>,</mml:mo><mml:msub><mml:mi mathvariant="italic">λ</mml:mi><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:mrow></mml:msub><mml:mfenced close=")" open="("><mml:mn mathvariant="normal">1</mml:mn><mml:mo>-</mml:mo><mml:msub><mml:mi mathvariant="italic">ω</mml:mi><mml:mrow><mml:mtext>o</mml:mtext><mml:mo>,</mml:mo><mml:msub><mml:mi mathvariant="italic">λ</mml:mi><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:mrow></mml:msub><mml:msub><mml:mi>g</mml:mi><mml:mrow><mml:msub><mml:mi mathvariant="italic">λ</mml:mi><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:mrow></mml:msub></mml:mfenced><mml:mo>.</mml:mo></mml:mrow></mml:math></disp-formula>

            Thus, <inline-formula><mml:math display="inline"><mml:mi mathvariant="italic">β</mml:mi></mml:math></inline-formula> is the ratio of the scaled absorption extinction in two
spectral channels (<inline-formula><mml:math display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="italic">λ</mml:mi><mml:mn mathvariant="normal">1</mml:mn></mml:msub></mml:mrow></mml:math></inline-formula> and <inline-formula><mml:math display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="italic">λ</mml:mi><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:mrow></mml:math></inline-formula>). The effective radius is
first retrieved by matching simulated ice single-scattering calculations of
<inline-formula><mml:math display="inline"><mml:mrow><mml:mi>g</mml:mi><mml:mo>(</mml:mo><mml:mi>r</mml:mi><mml:mo>)</mml:mo></mml:mrow></mml:math></inline-formula>, <inline-formula><mml:math display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="italic">ω</mml:mi><mml:mtext>o</mml:mtext></mml:msub><mml:mo>(</mml:mo><mml:mi>r</mml:mi><mml:mo>)</mml:mo></mml:mrow></mml:math></inline-formula>, and <inline-formula><mml:math display="inline"><mml:mrow><mml:msub><mml:mi>Q</mml:mi><mml:mtext>e</mml:mtext></mml:msub><mml:mo>(</mml:mo><mml:mi>r</mml:mi><mml:mo>)</mml:mo></mml:mrow></mml:math></inline-formula>, each integrated over the
appropriate MODIS spectral response functions, to the retrieved MODIS <inline-formula><mml:math display="inline"><mml:mi mathvariant="italic">β</mml:mi></mml:math></inline-formula> ratios which are calculated for both the 8.5–11 and 11–12 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m
pairs. For this analysis the scattering properties of severely roughened
aggregated columns (Yang et al., 2012) are used to be consistent with the
MODIS C6 cloud optical property retrievals.</p>
      <p>Using the effective radius to define <inline-formula><mml:math display="inline"><mml:mrow><mml:mi>g</mml:mi><mml:mo>(</mml:mo><mml:mi>r</mml:mi><mml:mo>)</mml:mo></mml:mrow></mml:math></inline-formula>, <inline-formula><mml:math display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="italic">ω</mml:mi><mml:mtext>o</mml:mtext></mml:msub><mml:mo>(</mml:mo><mml:mi>r</mml:mi><mml:mo>)</mml:mo></mml:mrow></mml:math></inline-formula>, and
<inline-formula><mml:math display="inline"><mml:mrow><mml:msub><mml:mi>Q</mml:mi><mml:mtext>e</mml:mtext></mml:msub><mml:mo>(</mml:mo><mml:mi>r</mml:mi><mml:mo>)</mml:mo></mml:mrow></mml:math></inline-formula>, the extinction optical thickness is then retrieved by
relating the 11 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m emissivity to the extinction optical thickness
in the form (Van de Hulst 1974):

                  <disp-formula id="Ch1.E2" content-type="numbered"><mml:math display="block"><mml:mrow><mml:msub><mml:mi mathvariant="italic">τ</mml:mi><mml:mi mathvariant="normal">vis</mml:mi></mml:msub><mml:mo>=</mml:mo><mml:mstyle displaystyle="true"><mml:mfrac style="display"><mml:mn mathvariant="normal">2</mml:mn><mml:mrow><mml:msub><mml:mi>Q</mml:mi><mml:mi mathvariant="normal">e</mml:mi></mml:msub></mml:mrow></mml:mfrac></mml:mstyle><mml:mfenced close=")" open="("><mml:mstyle displaystyle="true"><mml:mfrac style="display"><mml:mrow><mml:msub><mml:mi mathvariant="italic">τ</mml:mi><mml:mi mathvariant="normal">abs</mml:mi></mml:msub></mml:mrow><mml:mrow><mml:mfenced close=")" open="("><mml:mn mathvariant="normal">1</mml:mn><mml:mo>-</mml:mo><mml:msub><mml:mi mathvariant="italic">ω</mml:mi><mml:mtext>o</mml:mtext></mml:msub><mml:mi>g</mml:mi></mml:mfenced></mml:mrow></mml:mfrac></mml:mstyle></mml:mfenced><mml:mo>,</mml:mo></mml:mrow></mml:math></disp-formula>

            where <inline-formula><mml:math display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="italic">τ</mml:mi><mml:mtext>abs</mml:mtext></mml:msub></mml:mrow></mml:math></inline-formula> is the IR absorption optical thickness and
<inline-formula><mml:math display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="italic">τ</mml:mi><mml:mtext>vis</mml:mtext></mml:msub></mml:mrow></mml:math></inline-formula> is the extinction optical thickness at 532 nm. This
derivation assumes that the ratio between the absorption and extinction
optical thickness is a factor of 2 in the IR. Based on ice cloud
single-scattering calculations (Yang et al., 2012) and assuming that the
majority of ice clouds have an effective radius greater than 10 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m,
this assumption is expected to have introduced no more than 10 %
uncertainty. Heidinger et al. (2015) provides a more detailed discussion of
the retrieval methodology. This approach can be applied without the need for
the CALIOP cloud boundaries, and provides full-swath IR IOT retrievals. We
leverage this capability to investigate the MODIS IOT retrieval biases as a
function of view angle.</p>
</sec>
</sec>
<sec id="Ch1.S2.SS2">
  <title>CALIOP ice cloud optical thickness retrievals</title>
      <p>CALIOP is a two-wavelength elastic backscatter lidar that measures attenuated
backscatter components polarized parallel and perpendicular to the
transmitted laser light at 532 nm and total attenuated backscatter at
1064 nm (Hunt et al., 2009). Once the received signals have been
background-subtracted and calibrated (Powell et al., 2009), a tightly
integrated suite of retrieval algorithms is used to detect layer boundaries
(Vaughan et al., 2009) and classify layers as either clouds or aerosols (Liu
et al., 2009). Layers classified as clouds are further classified according
to thermodynamic phase as either ice clouds or water clouds (Hu et al.,
2009). Layer optical thickness (including IOT) is then retrieved using one of
two techniques: constrained or unconstrained retrievals (Young and Vaughan,
2009). Constrained retrievals are applied whenever the effective two-way
transmittance of a layer,

                <disp-formula id="Ch1.E3" content-type="numbered"><mml:math display="block"><mml:mrow><mml:msubsup><mml:mi>T</mml:mi><mml:mi mathvariant="normal">eff</mml:mi><mml:mn mathvariant="normal">2</mml:mn></mml:msubsup><mml:mo>=</mml:mo><mml:mi>exp⁡</mml:mi><mml:mfenced open="(" close=")"><mml:mo>-</mml:mo><mml:mn mathvariant="normal">2</mml:mn><mml:mi mathvariant="italic">η</mml:mi><mml:mi mathvariant="italic">τ</mml:mi></mml:mfenced><mml:mo>=</mml:mo><mml:mi>exp⁡</mml:mi><mml:mfenced open="(" close=")"><mml:mo>-</mml:mo><mml:mn mathvariant="normal">2</mml:mn><mml:mi mathvariant="italic">η</mml:mi><mml:munderover><mml:mo movablelimits="false">∫</mml:mo><mml:mtext>layer top</mml:mtext><mml:mtext>layer base</mml:mtext></mml:munderover><mml:msub><mml:mi mathvariant="italic">σ</mml:mi><mml:mtext>c</mml:mtext></mml:msub><mml:mfenced open="(" close=")"><mml:mi>r</mml:mi></mml:mfenced><mml:mtext>d</mml:mtext><mml:mi>r</mml:mi></mml:mfenced><mml:mo>,</mml:mo></mml:mrow></mml:math></disp-formula>

          can be directly and reliably measured. In this expression <inline-formula><mml:math display="inline"><mml:mi mathvariant="italic">τ</mml:mi></mml:math></inline-formula> is the
layer optical depth (IOT for ice clouds), <inline-formula><mml:math display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="italic">σ</mml:mi><mml:mtext>c</mml:mtext></mml:msub><mml:mo>(</mml:mo><mml:mi>r</mml:mi><mml:mo>)</mml:mo></mml:mrow></mml:math></inline-formula> is the
range-resolved cloud extinction coefficient, and <inline-formula><mml:math display="inline"><mml:mi mathvariant="italic">η</mml:mi></mml:math></inline-formula> is a multiple-scattering correction factor whose value depends on the lidar sensing
geometry and the scattering characteristics of the particulates being
measured. While <inline-formula><mml:math display="inline"><mml:mrow><mml:msubsup><mml:mi>T</mml:mi><mml:mtext>eff</mml:mtext><mml:mn mathvariant="normal">2</mml:mn></mml:msubsup></mml:mrow></mml:math></inline-formula> estimates can be obtained from measurements
of clear air, opaque water clouds, and ocean surfaces (see Josset et al.,
2012; Yongxiang et al., 2007; and Young, 1995, respectively), the CALIOP V3
algorithm only implements the clear-air technique, in which <inline-formula><mml:math display="inline"><mml:mrow><mml:msubsup><mml:mi>T</mml:mi><mml:mtext>eff</mml:mtext><mml:mn mathvariant="normal">2</mml:mn></mml:msubsup></mml:mrow></mml:math></inline-formula>
can be obtained directly from the ratio of the mean attenuated scattering
ratios calculated in regions of clear air located immediately above cloud top
and below cloud base (Vaughan et al., 2005). Retrieving IOT from measurements
of <inline-formula><mml:math display="inline"><mml:mrow><mml:msubsup><mml:mi>T</mml:mi><mml:mtext>eff</mml:mtext><mml:mn mathvariant="normal">2</mml:mn></mml:msubsup></mml:mrow></mml:math></inline-formula> requires knowledge of the appropriate multiple-scattering
factor (Winker, 2003). For CALIOP measurements of cirrus clouds, Josset et
al. (2012) determined the mean multiple-scattering factor to be
0.61 <inline-formula><mml:math display="inline"><mml:mo>±</mml:mo></mml:math></inline-formula> 0.15. In the CALIOP V3 algorithm, <inline-formula><mml:math display="inline"><mml:mi mathvariant="italic">η</mml:mi></mml:math></inline-formula> is fixed at 0.6 for
all cirrus clouds. More recent results suggest that the multiple-scattering
factor is dependent on cloud temperature (Garnier et al., 2015b), which is
being considering for the upcoming version 4 products.</p>
      <p>Constrained retrievals are the preferred method for retrieving IOT from
CALIOP measurements. However, because solar background light significantly
degrades the CALIOP SNR during daylight operations, V3 constrained retrievals
occur almost exclusively during nighttime observations, thus severely
limiting direct comparisons with MODIS IOT retrievals derived from VNIR solar
reflectance. For the vast majority of daytime observations, CALIOP IOT
retrievals use an unconstrained technique that requires a priori knowledge of
the cirrus extinction-to-backscatter ratio (i.e., lidar ratio),

                <disp-formula id="Ch1.E4" content-type="numbered"><mml:math display="block"><mml:mrow><mml:msub><mml:mi>S</mml:mi><mml:mtext>c</mml:mtext></mml:msub><mml:mo>=</mml:mo><mml:mstyle displaystyle="true"><mml:mfrac style="display"><mml:mrow><mml:msub><mml:mi mathvariant="italic">σ</mml:mi><mml:mtext>c</mml:mtext></mml:msub><mml:mo>(</mml:mo><mml:mi>r</mml:mi><mml:mo>)</mml:mo></mml:mrow><mml:mrow><mml:msub><mml:mi mathvariant="italic">β</mml:mi><mml:mtext>c</mml:mtext></mml:msub><mml:mo>(</mml:mo><mml:mi>r</mml:mi><mml:mo>)</mml:mo></mml:mrow></mml:mfrac></mml:mstyle><mml:mo>,</mml:mo></mml:mrow></mml:math></disp-formula>

          where <inline-formula><mml:math display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="italic">σ</mml:mi><mml:mtext>c</mml:mtext></mml:msub><mml:mo>(</mml:mo><mml:mi>r</mml:mi><mml:mo>)</mml:mo></mml:mrow></mml:math></inline-formula> and <inline-formula><mml:math display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="italic">β</mml:mi><mml:mtext>c</mml:mtext></mml:msub><mml:mo>(</mml:mo><mml:mi>r</mml:mi><mml:mo>)</mml:mo></mml:mrow></mml:math></inline-formula> are, respectively, the
cloud extinction and backscatter coefficients. IOT is then obtained by
solving the lidar equation using specified values of <inline-formula><mml:math display="inline"><mml:mi mathvariant="italic">η</mml:mi></mml:math></inline-formula> and <inline-formula><mml:math display="inline"><mml:mrow><mml:msub><mml:mi>S</mml:mi><mml:mtext>c</mml:mtext></mml:msub></mml:mrow></mml:math></inline-formula>
(Young and Vaughan, 2009). Note that while the cloud extinction and
backscatter coefficients are explicitly range-dependent, their ratio is
assumed to be range-invariant. Although <inline-formula><mml:math display="inline"><mml:mrow><mml:msub><mml:mi>S</mml:mi><mml:mtext>c</mml:mtext></mml:msub></mml:mrow></mml:math></inline-formula> for ice clouds most
likely varies depending on crystal habit and size distribution, the CALIOP V3
unconstrained retrievals use a globally constant default value of <inline-formula><mml:math display="inline"><mml:mrow><mml:msub><mml:mi>S</mml:mi><mml:mtext>c</mml:mtext></mml:msub><mml:mo>=</mml:mo><mml:mn>25</mml:mn></mml:mrow></mml:math></inline-formula> sr. Based on ground-based lidar observations there can be significant
variability in the lidar ratio. The constant value is considered one of the
primary sources of uncertainty in the V3 ice cloud extinction retrievals.
This value was determined prior to launch from the best information available
from numerous ground-based and airborne data sets (e.g., Holz, 2002; Sassen
and Comstock, 2001; Yorks et al., 2011).</p>
      <p>Errors in lidar ratio selection for unconstrained retrievals generate
corresponding errors in the resultant estimates of IOT. In particular, an
underestimate of <inline-formula><mml:math display="inline"><mml:mrow><mml:msub><mml:mi>S</mml:mi><mml:mtext>c</mml:mtext></mml:msub></mml:mrow></mml:math></inline-formula> will result in CALIOP underestimating IOT. The
selection of the default CALIOP lidar ratio is thus one of the potential
major sources of bias in the CALIOP unconstrained retrievals that can be
investigated using IR observations from either MODIS or the CALIPSO IIR
(Imaging Infrared Radiometer) instrument (Garnier et al., 2015a).</p>
</sec>
<sec id="Ch1.S2.SS3">
  <title>MODIS ice cloud optical thickness retrievals</title>
      <p>The MODIS imager provides measurements in 36 spectral channels, covering the
visible–near-infrared (VNIR), shortwave infrared (SWIR), midwave infrared
(MWIR), and thermal IR portions of the spectrum. Spatial resolution is 250 m
in two VNIR channels, 500 m in the five VIS/SWIR channels, and 1 km in the
remaining channels.</p>
      <p>The MODIS cloud optical/microphysical property algorithm is used to generate
a single cloud product designated by the NASA Earth Science Data Type (ESDT)
names MOD06 and MYD06 for Terra and Aqua MODIS, respectively (hereafter
referred to as MYD06 since the algorithms are essentially identical and this
study is focused on MODIS Aqua observations). For daytime measurements, the
1 km cloud retrieval algorithm uses multiple spectral channels (primarily six
VNIR, SWIR, and MWIR channels, as well as several thermal channels) to
simultaneously retrieve cloud optical thickness, effective radius (and
derived water path) and thermodynamic phase for liquid- and ice-phase clouds.
In addition to the 1 km MODIS Level-1B calibrated radiance product, the
algorithm requires the following input: MODIS cloud mask (MYD35) including
250 m mask information (Ackerman et al., 1998), the cloud-top pressure portion of MYD06 (Ackerman et al.,
2008; Holz et al., 2008), and a variety of ancillary data sets. Heritage
algorithm work is discussed in King et al. (2003), Nakajima and King (1990),
Platnick and Twomey (1994), and Platnick et al. (2001).</p>
      <p>C5 algorithm-related publications include ice radiative models (Ackerman et
al., 2008; Baum et al., 2005; Yang et al., 2007), multilayer detection (Wind
et al., 2010), clear-sky restoral filtering (Pincus et al., 2012; Zhang and
Platnick, 2011), pixel-level uncertainties, and L3 global gridded statistics
(King et al., 2013). An online list of the recent C6 algorithm updates is
available from the MODIS Atmosphere Team website (Platnick, 2014). The most
relevant update for the current discussion is the adoption of new ice cloud
radiative models having an overall smaller asymmetry parameter, as will be
discussed in Sect. 5.1. Note that, for consistency with the spherical droplet
definition, as well as for use in deriving ice water path, the effective
radius of a non-spherical ice particle is defined as 3/4 times the ratio of
the average volume of the size distribution to the average cross-sectional
area (Yang et al., 2007).</p>
</sec>
<sec id="Ch1.S2.SS4">
  <title>Collocation and the merged data set</title>
      <p>In this section we present the methods used to collocate and merge the CALIOP
and MODIS observations providing the foundation for the intercomparisons and
analysis presented in the results of Sect. 4.</p>
      <p>The analysis is based on 1 month (January 2010) of physically collocated
CALIOP and MODIS observations. MODIS is an imaging radiometer, while CALIOP is
a near-nadir viewing lidar. Because each instrument has a unique viewing
geometry with different spatial resolutions, accurate intercomparisons
require collocating the observation FOVs. This analysis uses tools that
provide computationally efficient and accurate collocation (Nagle and Holz,
2009). The methodology defines master and follower instruments, with the
master typically being the larger FOV and the follower FOV collocated within
the master footprint. In this investigation MODIS is defined as the master
with CALIOP the follower. The MODIS spatial resolution can be approximated as
a rectangular box with a 1 km <inline-formula><mml:math display="inline"><mml:mo>×</mml:mo></mml:math></inline-formula> 2 km resolution at nadir. The CALIOP
IOT retrieval can be performed over horizontal averaging distances ranging
from 5 to 80 km, depending on the magnitude of the cloud signal relative to
the background noise (Yongxiang et al., 2007). The CALIOP surface footprint
is therefore approximated as an 80 m wide swath with the along-track length
depending on the amount of spatial averaging. The majority of observations
used in this analysis are the 5 km averaged IOT. A more detailed description
of the CALIOP and MODIS collocation is presented in Holz et al. (2008).</p>
      <p>Leveraging the UW Atmospheric Science Investigator-led Processing System
processing capabilities, a month of collocated MODIS and CALIOP
collocated observations were processed using the CALIOP and MODIS IOT
retrievals with the only difference being incremental changes to the ice
cloud parameterizations used in the retrieval algorithms. This approach
isolates the impact of the parameterization changes and/or algorithm
modifications and provides a direct assessment of the changes in IOT.</p>
</sec>
</sec>
<sec id="Ch1.S3">
  <title>CALIOP V3 and MODIS C5 cirrus optical thickness intercomparisons</title>
      <p>Figure 1 presents the MODIS C5 IOT retrievals compared with CALIOP V3 IOT for
1 month (January 2010) of non-polar (<inline-formula><mml:math display="inline"><mml:mo>±</mml:mo></mml:math></inline-formula>60<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mo>∘</mml:mo></mml:msup></mml:math></inline-formula> latitude) daytime
ocean observations. The CALIOP 5 km layer products are used to select only
single-layer ice clouds where both the CALIOP phase retrieval (Hu et al.,
2009) and the MODIS optical property phase retrieval identify ice clouds. The
CALIOP phase detection is sensitive to scattering from oriented ice (specular
reflection), and such cases are excluded from the data set. Because the
CALIOP layer detection algorithm employs a nested, multi-resolution spatial
averaging scheme (Vaughan et al., 2009), the CALIOP 5 km layer products can
report distinct layers in cases where the base of the upper layer is
separated from the top of the lower layer by as little as a single range bin
(60 m). For a passive retrieval such as from MODIS, a 60 m vertical
separation will have little impact on the retrieval results assuming both
layers are ice. To improve the comparison yield and provide a more
representative distribution of single-layer ice clouds for intercomparing
the passive observations, CALIOP 5 km ice cloud layers with a vertical
separation of 3 km or less are merged to form single, vertically contiguous
layers. The CALIOP extinction profile is then integrated for each profile
using the redefined layer boundaries, thus providing an aggregated IOT. Ice
clouds with total geometrical thickness greater than 4 km using this single-layer definition are excluded from the comparison.</p>
      <p>The MODIS IOT retrievals are filtered using the C5 MODIS Quality Assurance
(QA) parameters and a horizontal heterogeneity threshold. MODIS IOT
retrievals (i.e., with the QA usefulness flag set to 1 and the QA confidence
flag set to 3) are used in the comparison. This filtering provides all ice
cloud retrieval where both the IOT and effective radius successfully
converged within the lookup table. Unlike liquid water clouds, QA values of 2
and 1 are not used for C5 retrievals. Using this filtering provides the
highest quality MODIS retrievals and removes all cloud edges from the
comparison. To reduce uncertainties resulting from spatial sampling
differences between MODIS and CALIOP, the standard deviation of a <inline-formula><mml:math display="inline"><mml:mrow><mml:mn mathvariant="normal">5</mml:mn><mml:mo>×</mml:mo><mml:mn mathvariant="normal">5</mml:mn></mml:mrow></mml:math></inline-formula> pixel box centered over the collocated pixel is computed. Only collocated
pixels where the MODIS IOT standard deviation is less than 0.5 are used; we
find, however, that the comparison results are relatively insensitive to this
threshold.</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F2" specific-use="star"><caption><p>This figure presents the radiative closure results <bold>(a)</bold> for
1 month (January 2010) of collocated single-layer ice cloud observations
using LBLRTM and DISORT to calculate the TOA 11 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m radiance that
are compared to MODIS channel 31 observations. The only difference in the
calculations is the IOT retrieval method. The differences in TOA fluxes
resulting from using the MODIS or CALIOP daytime IOT retrievals in the
calculation are presented in the right histogram <bold>(b)</bold>.</p></caption>
        <?xmltex \igopts{width=369.885827pt}?><graphic xlink:href="https://acp.copernicus.org/articles/16/5075/2016/acp-16-5075-2016-f02.pdf"/>

      </fig>

      <p>Figure 1 reveals a systematic bias between the MODIS C5 and CALIOP IOTs,
with MODIS approximately a factor of 2 larger than the CALIOP unconstrained
retrievals. An independent methodology is needed to assess this difference
since both retrievals depend on ice scattering property assumptions. As
discussed in Sect. 2, the IR observations provide sensitivity
to the IOT given well-constrained cloud boundaries with uncertainties that
are independent of the CALIOP and MODIS VNIR retrievals. Spectrally resolved
TOA radiances are calculated for the three different retrieval methods –
MODIS, CALIOP unconstrained (daytime measurements), and CALIOP constrained
(nighttime measurements) – using LBLRTM and LBLDIS. All three calculations
use identical cloud boundaries defined by the merged CALIOP 5 km layer
heights and the same thermodynamic profiles and ocean surface temperatures
(GDAS), with the only difference being the IOT used in the calculation. The
spectrally resolved TOA radiances are then integrated over the MODIS channel
31 (11 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m) spectral response function. To investigate the accuracy
of the combined GDAS and TOA clear-sky LBLRTM calculations, simulated TOA
11 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m BT for clear-sky FOVs identified using both the MODIS and
CALIOP cloud masks were compared to the measured MODIS 11 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m
channel BTs. The mean bias between the simulated and observed BT is less than
0.2 K, which is within the expected calibration uncertainty of MODIS (Tobin
et al., 2006).</p>
      <p>Figure 2a presents the MODIS C5 and CALIOP V3 BT closure results. The figure
reveals a sobering finding, which is that neither the MODIS C5 nor the CALIOP
V3 unconstrained IOT retrievals provide radiative closure in the window IR.
Furthermore, the respective retrievals are biased in opposite directions. For
MODIS C5, the calculated TOA BT is colder than the measured BT with a mean
bias of <inline-formula><mml:math display="inline"><mml:mo>-</mml:mo></mml:math></inline-formula>8.3 K, implying the MODIS IOT is on average biased high. In
contrast, the TOA BT calculated using the CALIOP V3 unconstrained IOT has a
mean bias of <inline-formula><mml:math display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula>10.2 K, suggesting the CALIOP retrieval is biased low. The
CALIOP V3 constrained retrievals, which do not require an assumed lidar ratio
but only an estimate of the multiple-scattering correction, demonstrate much
better agreement with a mean bias of <inline-formula><mml:math display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula>1.4 K.</p>
      <p>To put the biases into a radiative context, the cloudy IR TOA fluxes are
computed for each collocation using RRTM. The calculations use the CALIOP
cloud boundaries, the surface and atmospheric profiles from GDAS, and the
MODIS retrieved effective radius. For each collocation, RRTM calculations are
computed, with the only difference being the IOT used (MODIS or CALIOP) with
the results presented in Fig. 2b. The mean TOA flux difference between MODIS
and CALIOP unconstrained retrievals is <inline-formula><mml:math display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula>20 W m<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mrow><mml:mo>-</mml:mo><mml:mn mathvariant="normal">2</mml:mn></mml:mrow></mml:msup></mml:math></inline-formula> with a standard
deviation of 15 W m<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mrow><mml:mo>-</mml:mo><mml:mn mathvariant="normal">2</mml:mn></mml:mrow></mml:msup></mml:math></inline-formula>. For the tenuous ice clouds being investigated,
the sensitivity of the TOA flux to IOT is primarily driven by the thermal
contrast between the surface and the mean emitting temperature of the cloud
(Corti and Peter, 2009). The very large differences in the wings of the
distribution in Fig. 1b occur primarily near the tropics, where the thermal
contrast is greatest between the cloud and the surface. For this region TOA
differences as large as 40 W m<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mrow><mml:mo>-</mml:mo><mml:mn mathvariant="normal">2</mml:mn></mml:mrow></mml:msup></mml:math></inline-formula> are found in Fig. 2b.</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F3" specific-use="star"><caption><p>Two-dimensional histogram comparing the MODIS C5 <bold>(a)</bold> and CALIOP
V3 <bold>(b)</bold> retrievals to the reference IR IOT retrieval.</p></caption>
        <?xmltex \igopts{width=369.885827pt}?><graphic xlink:href="https://acp.copernicus.org/articles/16/5075/2016/acp-16-5075-2016-f03.pdf"/>

      </fig>

</sec>
<sec id="Ch1.S4">
  <title>IR retrievals as a reference optical thickness</title>
      <p>Because the sensitivity of IR IOT retrievals to ice crystal habit selection
is minimal, these retrievals provide an independent means to evaluate the
CALIOP and MODIS solar reflectance retrievals. As discussed in Sect. 2, the
main sources of uncertainty in the IR IOT originate from characterizing the
surface temperature and having an accurate determination of the cloud
emitting temperature. To reduce the surface temperature uncertainty, the
results of this section are restricted to non-polar (<inline-formula><mml:math display="inline"><mml:mo>±</mml:mo></mml:math></inline-formula>60<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mo>∘</mml:mo></mml:msup></mml:math></inline-formula>)
ocean-only cases.</p>
      <p>The comparisons with IR window IOT retrievals shown in Fig. 3 reveal biases
in both the MODIS (a) and daytime CALIOP unconstrained (b) retrievals (high
and low, respectively) that are consistent with the radiative closure results
presented in Fig. 2. The magnitude of the bias relative to the IR is
approximately <inline-formula><mml:math display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula>40 % for MODIS. For CALIOP there is a nonlinear
dependence between the IOT and the negative bias relative to the IR, with the
bias increasing substantially for IR IOTs greater than unity; the CALIOP
results are discussed further in Sect. 5.2.</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F4" specific-use="star"><caption><p>The MODIS IOT retrievals dependence on scan angle is investigated in
the above panels. The image presents the MODIS C5 IOT retrievals on
11 January 2010 at 06:25 UTC. The right panel presents a histogram of the
ratio between the MODIS IOT for both C5 (solid line) and C6 (dashed line) and
full-swath IR retrieval for only those FOVs which were identified as ice by
MODIS. The histograms are separated by view angle the approximate regions for
each color marked by the associated color lines on the left image. Note the
significant scan-dependent bias relative to the IR IOT for the MODIS C5
retrievals.</p></caption>
        <?xmltex \igopts{width=369.885827pt}?><graphic xlink:href="https://acp.copernicus.org/articles/16/5075/2016/acp-16-5075-2016-f04.png"/>

      </fig>

      <p>A limitation of the IR window IOT data set is that only a small subset of the
MODIS across-track swath can be assessed due to the very close coordination
between the MODIS and CALIOP orbits. To investigate MODIS IOT scan angle
dependencies we use the MODIS spectral IR IOT retrieval described in
Sect. 2.1.2. Figure 4a shows the MODIS C5 liquid- (warm colors) and ice-phase (cool
colors) cloud optical thickness for an example MODIS data granule
(11 January 2010, 06:25 UTC). Figure 4b presents the histogram of the ratio
between the MODIS IOT and the full-swath IR IOT (described in Sect. 2.1.2)
separated by viewing angle ranges as indicated by the colored lines overlaid
on the IOT image. A ratio of unity would suggest good agreement between the
spectral IR and VNIR IOT retrievals. However, as illustrated in the following
section, for the MODIS C5 retrievals (solid lines) the modes of the
distributions vary with scan angle, and the bias is seen to be increasing
as a function of scan angle. The dependence on the scan angle (i.e.
scattering angle) for the C5 retrievals results from the strong angular
variation in the C5 phase functions. This is an important result, as it
demonstrates necessity that this scattering angle dependence can provide an
additional constraint on ice radiative model selection. In addition, because
CALIPSO and Aqua have similar orbits, only a small range of MODIS viewing
angles are included in the collocated intercomparison; thus, the possible
strong dependence on viewing angle implies the collocated analysis is
representative only of the view angle ranges sampled. Finally, given the lack
of significant scattering in the IR, the scan-dependent bias further suggests
the issue is with the MODIS C5 VNIR retrievals. This is investigated in the
next section.</p>
</sec>
<sec id="Ch1.S5">
  <title>Investigating the sensitivity of ice scattering model selections for
MODIS and CALIOP ice cloud retrievals</title>
<sec id="Ch1.S5.SS1">
  <title>Ice radiative model sensitivities in MODIS</title>
      <p>Though a primary focus of this investigation is on optimizing C6 ice models
to improve IOT intercomparisons, it is understood that ice model crystal
habits also affect the particle single-scattering albedo retrieved using the
SWIR and MWIR channels that provide effective particle size information.
Figure 5a and b show the 2.13 and 3.7 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m channel co-albedo,
respectively, as a function of cloud effective radius (CER) for four habit
realizations, namely the C5 habit mixture (black line) and the three severely
roughened habits, i.e., solid aggregate plates (green line), solid bullet rosettes
(red line), and aggregate columns (blue line) (Yang et al., 2012). To the
extent that CER retrievals of an asymptotically thick cloud in the SWIR/MWIR
are essentially a retrieval of co-albedo, the difference between the
aggregated column and C5 model co-albedo implies an effective radius
difference of <inline-formula><mml:math display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula>2 and <inline-formula><mml:math display="inline"><mml:mo>-</mml:mo></mml:math></inline-formula>8 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m at the 2.1 and 3.7 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m
wavelengths, respectively, for a C5 effective radius of about
35 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m; smaller C5 retrieved sizes would result in larger
differences.</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F5"><caption><p>The relationship between effective radius and single-scattering
co-albedo in the MODIS <bold>(a)</bold> 2.13 and <bold>(b)</bold> 3.7 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m
channels for different ice particle radiative models. See Fig. 6 for model
details. Since effective radius retrievals for an optically thick cloud are a
retrieval of co-albedo, the difference between the C5 and aggregated column
model co-albedo implies a retrieved effective radius difference of <inline-formula><mml:math display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula>2 and
<inline-formula><mml:math display="inline"><mml:mo>-</mml:mo></mml:math></inline-formula>8 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m, respectively, for a C5 effective radius retrieval of about
35 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m.</p></caption>
          <?xmltex \igopts{width=236.157874pt}?><graphic xlink:href="https://acp.copernicus.org/articles/16/5075/2016/acp-16-5075-2016-f05.png"/>

        </fig>

      <p>Figure 6 shows the asymmetry parameter sensitivity to habit for the same four
habits shown in Fig. 5. Evidently the habit sensitivity of the asymmetry
parameter is also strong in both the 2.1 and 3.7 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m MODIS channels.
While the asymmetry parameters of three severely roughened habits are not
constant with effective size (though at 2.1 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m the aggregate plates
and aggregate columns are nearly constant), the C5 model has much larger size
sensitivity at both wavelengths (Cole et al., 2014; van Diedenhoven et al.,
2014; Yang et al., 2008). Aggregated columns, with smaller asymmetry
parameters relative to C5, will result in a larger retrieved CER estimates.
This is because the resulting increase in modeled SWIR reflectance for a
given effective size causes the measured reflectance to be associated with a
more absorbing (i.e., larger) particle. Therefore, the effect of both
co-albedo and asymmetry parameter differences between the severely aggregated
column habit and the C5 model act to increase retrieved effective radii at
2.1 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m, while at 3.7 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m some cancellation of effects can
be expected.</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F6"><caption><p>The relationship between effective radius and single-scatter
asymmetry parameter in the MODIS <bold>(a)</bold> 0.67 and
<bold>(b)</bold> 2.13 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m channels for different ice particle radiative
models. Note the strong dependence of the MODIS C5 model asymmetry
parameter on effective size. The other models consist of a single habit with
severely roughened surfaces. The single-habit calculations are made for a
modified gamma size distribution and an effective variance of 0.10.</p></caption>
          <?xmltex \igopts{width=236.157874pt}?><graphic xlink:href="https://acp.copernicus.org/articles/16/5075/2016/acp-16-5075-2016-f06.png"/>

        </fig>

      <?xmltex \floatpos{t}?><fig id="Ch1.F7" specific-use="star"><caption><p>The joint histogram comparing the MODIS C6 IOT with the reference
IOT retrieval <bold>(a)</bold>. Note the significant improvement in the agreement
resulting from the change to severely roughened aggregated columns. The
CALIOP non-constrained IOT using a modified lidar ratio of 32 is compared to
collocated IR MODIS retrieved IOT in panel <bold>(b)</bold>. Note the significant
improvement in the non-linear bias compared to Fig. 3b.</p></caption>
          <?xmltex \igopts{width=369.885827pt}?><graphic xlink:href="https://acp.copernicus.org/articles/16/5075/2016/acp-16-5075-2016-f07.pdf"/>

        </fig>

      <p>The single-habit radiative models shown in Figs. 5 and 6 are used to build
lookup tables that were integrated into the MODIS C6 cloud retrieval
development code. A month of data was processed for each habit. It was found
that the habit that provided the best consistency with the IR window
retrievals (Sect. 2.1.1) is the severely roughened aggregated column model.
The IOT retrieval comparison with the IR window retrievals using this model
is shown in Fig. 7a, where the MODIS reflectance-based retrievals using the
severely roughened aggregated column model are now clustered around the
1-to-1 line. In addition, this aggregated column model was used to assess the
MODIS retrieval swath dependence previously shown in Fig. 4b. The improvement
of the aggregated column model (dashed lines) relative to the C5 model (solid
lines) is significant. Both results led to the decision to use the severely
roughened aggregated column radiative model for the MODIS C6 cloud
optical/microphysical property retrievals.</p>
      <p>Figure 8 shows an example of ice cloud retrievals for C5 and C6 for typhoon
Fung-Wong. The typhoon was located south of Taiwan at the time of the MODIS
Aqua data granule acquisition on 20 September 2014 (05:30 UTC). The C5 and
C6 ice (cool colors) and liquid (warm colors) cloud optical thickness
retrievals are shown in the middle and right panels, respectively. In
addition to ice radiative model differences, MYD06 C5 and C6 have different
schemes for the cloud thermodynamic phase yielding different ice and liquid
phase pixel populations, though the optical thickness spatial patterns are
similar for regions having the same phase. Because of the different phase
assignments made by these two scheme, quantifying ice model retrieval
sensitivities requires that the comparisons be restricted to only those pixels for
which both algorithms generate successful retrievals that identify identical
cloud phases. With this pixel filtering, the left panel of Fig. 8b shows the
normalized IOT distribution for the optical thickness range of the plot. The
C6 IOT mode is roughly 27 % smaller than the C5 mode, while the mean is
decreased by about 15 %, from 4.16 for C5 to 3.55 for C6. The
2.1 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m ice cloud effective particle radius retrievals are shown in
the right panel, with the C6 mode and mean both increasing by about
4 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m (<inline-formula><mml:math display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula>15 %) for C6 relative to C5.</p>
</sec>
<sec id="Ch1.S5.SS2">
  <title>MODIS C6 model selection methodology</title>
      <p>The MODIS IOT retrieval depends strongly on assumed ice scattering properties
that are needed to relate the measured reflectance to the retrieved IOT. The
MODIS C5 retrieval used empirically derived habit and size distributions with
asymmetry parameters ranging between 0.79 and 0.88 depending on the ice cloud
effective radius (Baum et al., 2005). By conducting an infrared closure
analysis, we have shown that the C5 parameterization is not representative of
the globally averaged ice scattering properties. More recent investigations
of the ice cloud asymmetry parameter suggest that most ice clouds have values
around 0.75 in the visible spectrum (Cole et al., 2012; van Diedenhoven et
al., 2013). Additionally, use of the C5 ice cloud radiative model results in
MODIS retrieval biases that are strongly dependent on the viewing angle, as
demonstrated in Fig. 4. These findings motivated the investigation of new ice
scattering models that have lower asymmetry parameters and weaker dependence
on ice effective radius.</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F8" specific-use="star"><caption><p><bold>(a)</bold> Example retrieval results for an Aqua MODIS data
granule (MYD06 2014, 20 September, 05:30 UTC). The RGB composite is shown in
the left panel, while IOT retrievals for collections 5 and 6 are shown in the
center and right panels, respectively. Note the difference in the phase
determination between the two collections. <bold>(b)</bold> Collection 5 and 6
distributions of ice cloud optical thickness and effective radius derived
from a combination of the MODIS 0.86 and 2.1 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m channels for the
data granule of <bold>(a)</bold>. The distributions are limited to common pixels
for which both collections agree that the pixel has an ice phase and the
retrievals were successful. The IOT modes are at about 1.5 and 1.1 for C5 and
C6, respectively, representing about a 27 % reduction in the most recent
collection; the effective radius modes increase by about 15 %. The mean
for the range shown in the plots is given in the legends.</p></caption>
          <?xmltex \igopts{width=341.433071pt}?><graphic xlink:href="https://acp.copernicus.org/articles/16/5075/2016/acp-16-5075-2016-f08.png"/>

        </fig>

      <p>Since the MODIS C5 algorithms were finalized, new ice scattering models that
incorporate roughened ice crystal parameterizations have been developed (Yang
et al., 2012). Experimentation with these new models demonstrates that a
modified gamma distribution of severely roughened aggregated columns provides
a significantly lower visible asymmetry parameter (<inline-formula><mml:math display="inline"><mml:mo>∼</mml:mo></mml:math></inline-formula> 0.75) that shows
very little dependence on ice effective radius. For testing purposes, the
MODIS cloud retrieval algorithm team implemented these new scattering
properties in the MYD06 retrieval algorithm. The updated algorithm was then
run on the Atmospheric PEATE and the resulting data were collocated with
CALIOP measurements. Simulated TOA cloudy MODIS 11 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m BTs were then computed using the reprocessed MODIS IOT
retrievals and are compared to the MODIS measured BT. These new results are
presented in Fig. 10b. The updated ice scattering models generate greatly
improved IOT estimates that show very close to a one-to-one correspondence
with the independently derived IR IOT values (Fig. 7a) and is consistent with
the findings of Baum et al. (2014). Additionally the view-angle-dependent
bias is largely removed, as presented in Fig. 4b. Based on these results, the
recently reprocessed MODIS C6 cloud optical/microphysical property product
(now in forward production) uses a modified gamma distribution consisting of
a single habit of severely roughened aggregated columns for ice cloud
retrievals. An additional benefit of the single habit is that it simplifies
the retrieval and increases the reproducibility of the scattering properties
by the research community. It is important to note that the selection of the
single-habit modified gamma distribution was to provide a radiative
consistency with the IR, not a microphysical model.</p>
      <p>Figure 10a presents the same filtered 2-D histogram comparing CALIOP and
MODIS as Fig. 1 but using the ice radiative model modifications made for
MODIS and the updated lidar ratio (32 sr) for CALIOP. Figure 10b presents
the IR radiative closure for the updated IOT retrievals for January 2010.
Note that the large bias between the MODIS and CALIOP un-constrained IOT is
significantly reduced and the IR radiative closure shows very good agreement
for all three IOT retrievals. There is still a tendency for the MODIS IOT to
be larger than CALIOP in Fig. 10a. The MODIS C6 IR closure in Fig. 10b also
demonstrates this bias, with the tail of the distribution weighted to
negative BT differences, suggesting the remaining bias is specific to MODIS.</p>
</sec>
<sec id="Ch1.S5.SS3">
  <title>Ice lidar ratio sensitivities in CALIOP</title>
      <p>As previously discussed, CALIOP uses one of two methods (i.e., constrained
and unconstrained) to retrieve IOT. The constrained method requires high SNR
in clear-air regions immediately above and below the cloud. This SNR
requirement limits the constrained retrieval primarily to nighttime FOVs,
because solar background light severely degrades the clear-air SNR during
the daytime. This precludes direct comparison of the constrained retrievals
with the MODIS daytime optical property retrievals. The IR retrieval, being
day/night independent, allows for direct intercomparisons between the MODIS
IR IOT retrievals and both the constrained and un-constrained CALIOP IOT
retrievals, providing a means to evaluate the two retrieval methods against a
consistent reference.</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F9"><caption><p>The CALIOP V3 constrained IOT retrieval for single-layer clouds is
compared to the LBLDIS reference IOT retrieval. Due to signal-to-noise
limitations the comparison is limited to nighttime-only FOV.</p></caption>
          <?xmltex \igopts{width=184.942913pt}?><graphic xlink:href="https://acp.copernicus.org/articles/16/5075/2016/acp-16-5075-2016-f09.pdf"/>

        </fig>

      <p>Figure 3b presents the joint histogram between the unconstrained CALIOP and
the MODIS window IR IOT for January 2010 for single-layer cirrus. The
filtering criteria are the same as in Fig. 1, except both day and night
observations are included. The CALIOP layer optical thickness is filtered
using the extinction quality control (QC) flags provided as part of the L2
products. Only QC values of 0 (unconstrained solution, no lidar ratio
adjustment), 2 (unconstrained solution, lidar ratio decreased), and 4
(unconstrained solution, lidar ratio increased) were selected. Consistent
with the findings of Garnier et al. (2015a), Fig. 3b shows CALIOP
unconstrained IOT is significantly low-biased with respect to the IR IOT,
with a nonlinear dependence as a function of IOT. Figure 9 compares the
CALIOP constrained retrievals (QC <inline-formula><mml:math display="inline"><mml:mo>=</mml:mo></mml:math></inline-formula> 1) to the MODIS IR COT for the same
filtering criteria. This comparison reveals a distinct difference between the
CALIOP constrained and unconstrained retrievals (Fig. 3b), as the constrained
retrievals demonstrate a significantly smaller bias relative to the IR IOT.
While the CALIOP IOT retrieval requires estimates of the multiple-scattering
contributions for both the constrained and unconstrained retrievals, the
un-constrained method also requires an assumed lidar ratio, whereas the
constrained retrieval does not. Because both retrievals use identical
fixed multiple-scattering factors, the difference between the constrained and
unconstrained retrievals relative to the IR can be attributed to the use of
an assumed lidar ratio in the unconstrained retrieval.</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F10" specific-use="star"><caption><p>The CALIOP unconstrained IOT but processed using a modified lidar
ratio of 32 is compared to the new single-habit ice scattering lookup table used in
the updated MODIS C6 IOT retrievals in <bold>(a)</bold>. Note the improved bias
relative to the MODIS C5 and V3 CALIOP retrievals presented in Fig. 1. The
radiative closure analysis using the updated retrievals is presented in
<bold>(b)</bold>. The modifications have greatly improved agreement with the
measured MODIS 11 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m channel compared to MODIS C5 and the current
V3 CALIOP retrievals presented in Fig. 2.</p></caption>
          <?xmltex \igopts{width=341.433071pt}?><graphic xlink:href="https://acp.copernicus.org/articles/16/5075/2016/acp-16-5075-2016-f10.pdf"/>

        </fig>

      <p>To investigate the sensitivity of the CALIOP IOT retrievals to the lidar
ratio, a month of CALIOP L2 products was processed (January 2010) with the
default lidar ratio increased to 32 sr. This revised value is the mean of
all V3 constrained solutions of ice clouds with randomly oriented ice
crystals (3 091 952 cases) measured between 28 November 2007 (when CALIPSO
permanently changed its pointing angle to 3<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mo>∘</mml:mo></mml:msup></mml:math></inline-formula> off nadir) and
30 June 2012. It is important to note that the selection of this new default
lidar ratio was based on on-going quality assurance analyses conducted by the
CALIOP algorithm team that were wholly independent of the IR
intercomparisons with the final value dependent on change to the multiple-scattering correction and calibration. In addition, the CALIOP team is
currently investigating a more complex multiple-scattering parameterization
that depends on the cloud temperature (Garnier et al., 2015b). The modified
CALIOP product was ingested by the Atmospheric PEATE and collocated with both
the MODIS C5 and C6 products and the MODIS IR retrievals. The modified CALIOP
unconstrained retrievals compared to the reference IR IOT is presented in
Fig. 7b. Compared to the standard V3 products (Fig. 3b) the change in the
lidar ratio significantly reduced the bias compared to IR IOT, and the
nonlinear behavior at large IOT is almost completely removed. This is
because optical depth is a nonlinear function of lidar ratio; thus, weakly
scattering layers show minimal changes in IOT, while the changes in strongly
scattering layers are much more substantial. This result strongly suggests
that the current V3 unconstrained lidar ratio of 25 sr should be increased
in future versions of the CALIOP data products.</p>
</sec>
</sec>
<sec id="Ch1.S6" sec-type="conclusions">
  <title>Conclusions</title>
      <p>MODIS Collection 5 (C5) ice optical thickness (IOT) retrievals are compared
to the CALIOP Version 3 (V3) IOT for 1 month (January 2010) of collocated
single-layer ice clouds. The comparison reveals a factor of 2 differences
between the retrievals as presented in Fig. 1. Using IR observations from
MODIS as an independent means of assessing the CALIOP and MODIS IOT clearly
demonstrates that both retrievals have significant biases, but in opposite
directions: MODIS C5 systematically overestimates IOT, while CALIOP V3
systematically underestimates IOT.</p>
      <p>The decision to use the single severely roughened aggregate column habit as
the MODIS C6 ice cloud radiative model was made solely to achieve closure
with IR retrievals in a global sense. Our use of this model for this purpose
does not imply that it is a suitable microphysical model for use in
understanding ice particle physical processes (e.g., size distribution
evolution, fall speed distribution). Furthermore, the IR comparisons
were done in conjunction with collocated CALIOP observations that allow
for the filtering of multi-layer ice-phase clouds from the statistical study;
the data set used here is clearly a subset of actual scenes and so may not be
reflective of the full distribution of ice clouds observed by the sensors. It
is important to note that this investigation focuses on ice clouds with
optical depths less then 3.0 as this is the limit for CALIOP. Finally, it is
recognized that using a fixed ice radiative model for global retrievals is
only meaningful in a climatological sense and may be expected to breakdown in
instantaneous and/or regional studies with variations in inferred ice models
with region, cloud type, dynamics, and cloud-top height shown by Cole et
al. (2014) and van Diedenhoven et al. (2014).</p>
      <p>The severely roughened aggregated column model adopted for the MODIS C6 ice
cloud algorithm has a fixed aspect ratio with an asymmetry parameter of about
0.75 in the visible for all effective sizes. This produces results that are
quite consistent with those generated using the Inhomogeneous Hexagonal
Monocrystal (IHM) model derived by C.-Labonnote et al. (2001) (asymmetry
parameter of about 0.77) that provided a good match with observed POLDER
view-angle-dependent VNIR reflectance. Other studies have also suggested that
featureless (i.e., smooth) phase functions indicative of roughened or highly
asymmetric aggregated habits with relatively small asymmetry parameters are
needed to match aircraft and satellite observations (e.g., Baran et
al., 2001; C.-Labonnote et al., 2000; van Diedenhoven et al., 2013).</p>
      <p>The Generalized Habit Model (GHM) (Baum et al., 2010) was also tested but did
not result in the same level of radiative closure with the IR IOT retrievals
compared to the severely roughened aggregated columns (comparison shown in
Fig. 7a). While there was an improvement with respect to the C5 ice model
(comparison shown in Fig. 3a), the GHM model resulted in IOT retrievals that
were still significantly larger than the IR because of larger asymmetry
parameters in the visible relative to the severely roughened aggregated
column model (about 0.77 at an effective radius of 5 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m up to 0.82
at 60 <inline-formula><mml:math display="inline"><mml:mi mathvariant="normal">µ</mml:mi></mml:math></inline-formula>m). Cole et al. (2012) also tested the GHM as well as
single-habit models from Yang et al. (2012, 2003) against POLDER polarized and total
reflectance observations across a range of scattering angles.</p>
      <p>Polarized angular observations agreed well with a severely roughened version
of the GHM. However, it was concluded that there was no single habit/model
that is best in all respects for the reflectance (derived spherical albedo)
consistency tests, though the severely roughened aggregated column model was
not included in the analysis. Similarly, Baran and Labonnote (2007) also
noted that though the IHM model provided good consistency with POLDER
directional reflectance distributions, it was less successful in matching the
angular distribution of polarized reflectances. Due to vertical size
stratification in ice clouds it is possible that different models are needed
to match polarized observations (weighted towards the uppermost portion of
the cloud top) with total reflectance observations (weighted deeper into the
cloud) (e.g., Platnick, 2000; Zhang et al., 2010).</p>
      <p>Given that MODIS retrievals are based on total reflectance, it is expected
that directional reflectance consistency with POLDER is the more relevant
metric. Further, the study of Zhang et al. (2010, 2009) shows there is little
difference between IOT retrieved from reflectance and IR observations for the
model case study considered. Fauchez et al. (2014) demonstrated that, for 1 km
IR observations, sensitivities to 3-D effects are limited to horizontal
heterogeneity (plane-parallel approximation (PPA) bias) and the effect of
vertical heterogeneity is small. Though more extensive heterogeneity studies
are needed, these studies do suggest the utility of using IR IOT retrievals
to assess MODIS reflectance-based ice radiative models. Finally, we note that
recent comparisons have demonstrated consistency between Aqua MODIS C6 IOT
retrievals and those from AIRS Version 6 (Kahn, 2015).</p>
      <p>For CALIOP it is found that the bias relative to the IR for the V3 IOT
retrievals depends on the retrieval method used. While CALIOP can make direct
measurements of the effective two-way transmittance of the layer, the
retrieved optical thickness depends only on an estimate of the multiple-scattering factor and the accuracy of the molecular attenuated backscatter
profile (calculated from a temperature and pressure profile using Rayleigh
scattering theory). However, daytime solar background noise limits the
applicability of this constrained retrieval technique to mostly nighttime
observations, thus prohibiting direct comparisons to the MODIS daytime
optical retrievals. For the constrained retrieval we find good agreement with
the IR radiative closure (Fig. 2) and the IR IOT in Fig. 9. However, the
majority of the daytime CALIOP retrievals use the unconstrained method that
requires an a priori specification of the cloud extinction-to-backscatter
ratio. It is these unconstrained retrievals that are directly compared to the
MODIS C5 IOT in Fig. 1 and to the IR in Figs. 2 and 3. The CALIOP V3
unconstrained IOT retrievals show a significant low bias relative to both the
IR and the constrained CALIOP retrievals. Since both CALIOP methods assume an
identical multiple-scattering correction, this suggests that the default
lidar ratio (25 sr) used in the V3 CALIOP unconstrained retrievals is too
low. As part of this investigation the CALIOP algorithm team processed a
month of retrievals using a lidar ratio of 32 sr for the unconstrained
retrievals with results presented in Fig. 7b. It is important to note that
the selection of a lidar ratio of 32 sr was not based on the IR
intercomparison studies but was instead derived from independent analyses
of the nighttime constrained retrievals conducted by the CALIOP algorithm
team in order to improve the accuracy of the CALIOP unconstrained retrievals
and increase the consistency of IOTs reported by the constrained and
unconstrained retrievals.</p>
<sec id="Ch1.S6.SSx1" specific-use="unnumbered">
  <title>Data availability</title>
      <p>All relevant data can be accessed from the NASA data centers using these DOIs: <ext-link xlink:href="http://dx.doi.org/10.5067/MODIS/MOD06_L2.006" ext-link-type="DOI">10.5067/MODIS/MOD06_L2.006</ext-link>, <ext-link xlink:href="http://dx.doi.org/10.5067/CALIOP/CALIPSO/CAL_LID_L2_05kmCPro-Prov-V3-01_L2-003.01" ext-link-type="DOI">10.5067/CALIOP/CALIPSO/CAL_LID_L2_05kmCPro-Prov-V3-01_L2-003.01</ext-link>,
and <ext-link xlink:href="http://dx.doi.org/10.5067/CALIOP/CALIPSO/CAL_LID_L2_05kmCLay-Prov-V3-01_L2-003.01" ext-link-type="DOI">10.5067/CALIOP/CALIPSO/CAL_LID_L2_05kmCLay-Prov-V3-01_L2-003.01</ext-link>.</p>
</sec>
</sec>

      
      </body>
    <back><ack><title>Acknowledgements</title><p>We would like to acknowledge the NASA University of Wisconsin Atmospheric
PEATE/SIPS, which provided the processing and data accessed needed to conduct
this research. We would also like to thank the CALIOP and MODIS algorithm
teams for their support. This research was funded by NASA grant NNX15AG12G
and NASA Langley Contract SSAI Task A-014 E-001D.<?xmltex \hack{\newline}?><?xmltex \hack{\newline}?> Edited by: B. Mayer</p></ack><ref-list>
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    <!--<article-title-html>Resolving ice cloud optical thickness biases between CALIOP and MODIS using
infrared retrievals</article-title-html>
<abstract-html><p class="p">Despite its importance as one of the key radiative properties that determines
the impact of upper tropospheric clouds on the radiation balance, ice cloud
optical thickness (IOT) has proven to be one of the more challenging
properties to retrieve from space-based remote sensing measurements. In
particular, optically thin upper tropospheric ice clouds (cirrus) have been
especially challenging due to their tenuous nature, extensive spatial scales,
and complex particle shapes and light-scattering characteristics. The lack of
independent validation motivates the investigation presented in this paper,
wherein systematic biases between MODIS Collection 5 (C5) and CALIOP
Version 3 (V3) unconstrained retrievals of tenuous IOT ( &lt;  3) are examined
using a month of collocated A-Train observations. An initial comparison
revealed a factor of 2 bias between the MODIS and CALIOP IOT retrievals.
This bias is investigated using an infrared (IR) radiative closure approach
that compares both products with MODIS IR cirrus retrievals developed for
this assessment. The analysis finds that both the MODIS C5 and the
unconstrained CALIOP V3 retrievals are biased (high and low, respectively)
relative to the IR IOT retrievals. Based on this finding, the MODIS and
CALIOP algorithms are investigated with the goal of explaining and minimizing
the biases relative to the IR. For MODIS we find that the assumed ice single-scattering properties used for the C5 retrievals are not consistent with the
mean IR COT distribution. The C5 ice scattering database results in the
asymmetry parameter (<i>g</i>) varying as a function of effective radius with mean
values that are too large. The MODIS retrievals have been brought into
agreement with the IR by adopting a new ice scattering model for Collection 6
(C6) consisting of a modified gamma distribution comprised of a single habit
(severely roughened aggregated columns); the C6 ice cloud optical property
models have a constant <i>g</i> ≈ 0.75 in the mid-visible spectrum,
5–15 % smaller than C5. For CALIOP, the assumed lidar ratio for
unconstrained retrievals is fixed at 25 sr for the V3 data products. This
value is found to be inconsistent with the constrained (predominantly
nighttime) CALIOP retrievals. An experimental data set was produced using a
modified lidar ratio of 32 sr for the unconstrained retrievals (an increase
of 28 %), selected to provide consistency with the constrained V3
results. These modifications greatly improve the agreement with the IR and
provide consistency between the MODIS and CALIOP products. Based on these
results the recently released MODIS C6 optical products use the single-habit
distribution given above, while the upcoming CALIOP V4 unconstrained
algorithm will use higher lidar ratios for unconstrained retrievals.</p></abstract-html>
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