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 FOURTH EDITION

UNDERWATER
ACOUSTIC MODELING
and SIMULATION

Paul C. Etter
 F O U RTH E D ITI O N

UNDERWATER
ACOUSTIC MODELING
and SIMULATION
 F O U RTH E D ITI O N

UNDERWATER
ACOUSTIC MODELING
and SIMULATION
Paul C. Etter

Boca Raton London New York

CRC Press is an imprint of the

Taylor & Francis Group, an informa business
CRC Press
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Boca Raton, FL 33487-2742

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Version Date: 20130126

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 To my wife, Alice
and to my two sons and their families:
Gregory, Sophia, Elaina, and Renae
and
Andrew and Michelle
Contents
Preface...................................................................................................................... xv
Preface to the Third Edition...................................................................................xvii
Preface to the Second Edition..................................................................................xix
Preface to the First Edition......................................................................................xxi
Acknowledgments................................................................................................. xxiii
Author.....................................................................................................................xxv

Chapter 1 Introduction........................................................................................... 1
1.1 Background.................................................................................1
1.1.1 Setting........................................................................... 1
1.1.2 Framework.....................................................................2
1.2 Measurements and Prediction.................................................... 4
1.3 Developments in Modeling......................................................... 8
1.4 Advances in Simulation............................................................ 10
1.5 Operational Challenges............................................................ 11
1.5.1 Naval Operations......................................................... 12
1.5.2 Offshore Industries...................................................... 14
1.5.3 Operational Oceanography......................................... 16
1.6 Inverse Acoustic Sensing of the Oceans.................................. 16
1.7 Standard Definitions................................................................. 19

Chapter 2 Acoustical Oceanography................................................................... 21

2.1 Background............................................................................... 21
2.2 Physical and Chemical Properties............................................ 21
2.2.1 Temperature Distribution............................................ 23
2.2.2 Salinity Distribution.................................................... 23
2.2.3 Water Masses...............................................................25
2.3 Sound Speed............................................................................. 27
2.3.1 Calculation and Measurements................................... 27
2.3.2 Sound-Speed Distribution........................................... 30
2.4 Boundaries................................................................................ 35
2.4.1 Sea Surface.................................................................. 35
2.4.2 Ice Cover..................................................................... 41
2.4.3 Sea Floor..................................................................... 42
2.5 Dynamic Features.................................................................... 45
2.5.1 Large-Scale Features................................................... 45
2.5.2 Mesoscale Features.....................................................46
2.5.2.1 Fronts and Eddies........................................ 47
2.5.2.2 Internal Waves............................................. 54

vii
viii Contents

2.5.3 Fine-Scale Features..................................................... 56

2.5.3.1 Thermohaline Staircases............................. 56
2.5.3.2 Langmuir Circulation.................................. 58
2.6 Biologics...................................................................................60

Chapter 3 Propagation I: Observations and Physical Models.............................. 61

3.1 Background............................................................................... 61
3.2 Nature of Measurements.......................................................... 62
3.3 Basic Concepts......................................................................... 63
3.4 Sea-Surface Boundary.............................................................. 69
3.4.1 Forward Scattering and Reflection Loss..................... 69
3.4.2 Image Interference and Frequency Effects................. 70
3.4.3 Turbidity and Bubbles................................................. 72
3.4.3.1 Open Ocean................................................. 72
3.4.3.2 Coastal Ocean.............................................. 73
3.4.4 Ice Interaction.............................................................. 74
3.4.5 Measurements.............................................................. 75
3.5 Sea-Floor Boundary................................................................. 76
3.5.1 Forward Scattering and Reflection Loss..................... 77
3.5.1.1 Acoustic Interaction with the Sea Floor...... 77
3.5.1.2 Boundary Conditions and Modeling........... 77
3.5.1.3 Geoacoustic Models..................................... 79
3.5.2 Interference and Frequency Effects............................ 81
3.5.3 Attenuation by Sediments........................................... 81
3.5.4 Measurements.............................................................. 82
3.6 Attenuation and Absorption in Sea Water................................ 83
3.7 Surface Ducts........................................................................... 86
3.7.1 Mixed-Layer Distribution........................................... 86
3.7.2 General Propagation Features.....................................90
3.7.3 Low-Frequency Cutoff................................................ 95
3.8 Deep Sound Channel................................................................96
3.9 Convergence Zones..................................................................97
3.10 Reliable Acoustic Path.............................................................. 98
3.11 Shallow-Water Ducts................................................................ 98
3.12 Arctic Half-Channel............................................................... 100
3.13 Coherence............................................................................... 102

Chapter 4 Propagation II: Mathematical Models (Part One)............................. 103

4.1 Background............................................................................. 103
4.2 Theoretical Basis for Propagation Modeling.......................... 104
4.2.1 Wave Equation........................................................... 104
4.2.2 Classification of Modeling Techniques..................... 106
4.3 Ray-Theory Models................................................................ 107
4.3.1 Basic Theory............................................................. 107
4.3.2 Caustics..................................................................... 110
Contents ix

4.3.3 Gaussian Beam Tracing............................................ 111

4.3.4 Range Dependence.................................................... 111
4.3.5 Arrival Structure....................................................... 114
4.3.6 Beam Displacement................................................... 115
4.3.7 Waveguide Invariant.................................................. 117
4.3.8 Energy-Flux Models.................................................. 118
4.3.9 Advanced Algorithms............................................... 119
4.4 Normal-Mode Models............................................................ 120
4.4.1 Basic Theory............................................................. 120
4.4.2 Normal-Mode Solution.............................................. 121
4.4.3 Dispersion Effects..................................................... 123
4.4.4 Experimental Measurements..................................... 123
4.4.5 Range Dependence.................................................... 124
4.4.6 High-Frequency Adaptations.................................... 126
4.4.7 Wedge Modes............................................................ 127
4.5 Multipath Expansion Models.................................................. 127
4.6 Fast-Field Models................................................................... 129
4.7 Parabolic Equation Models.................................................... 130
4.7.1 Basic Theory............................................................. 130
4.7.2 Numerical Techniques............................................... 134
4.7.3 Wide-Angle and 3D Adaptations.............................. 136
4.7.4 Range-Refraction Corrections................................... 137
4.7.5 High-Frequency Adaptations.................................... 138
4.7.6 Time-Domain Applications....................................... 138
4.8 RAYMODE Model: A Specific Example............................... 138
4.9 Numerical Model Summaries................................................ 145

Chapter 5 Propagation II: Mathematical Models (Part Two)............................. 163

5.1 Background............................................................................. 163
5.2 Surface Duct Models.............................................................. 163
5.2.1 Ray-Theory Models................................................... 163
5.2.2 Wave-Theory Models................................................ 165
5.2.3 Oceanographic Mixed-Layer Models....................... 166
5.3 Shallow-Water Duct Models................................................... 168
5.3.1 Shallow-Water Propagation Characteristics.............. 168
5.3.2 Optimum Frequency of Propagation......................... 172
5.3.3 Numerical Models..................................................... 172
5.3.3.1 Upslope Propagation.................................. 177
5.3.3.2 Downslope Propagation............................. 178
5.3.4 Empirical Models...................................................... 178
5.3.4.1 Rogers Model............................................. 179
5.3.4.2 Marsh–Schulkin Model............................. 180
5.3.5 Field Experiments..................................................... 183
5.3.5.1 SWAT Experiments in the South
China Sea................................................... 183
x Contents

5.3.5.2 SWARM Experiment in the Atlantic

Ocean......................................................... 184
5.3.5.3 Littoral Acoustic Demonstration Center..... 184
5.3.5.4 Shallow Water ’06..................................... 184
5.4 Arctic Models......................................................................... 184
5.4.1 Arctic Environmental Models................................... 184
5.4.2 Arctic Propagation Models........................................ 185
5.4.3 Numerical Models..................................................... 185
5.4.4 Empirical Models...................................................... 187
5.4.4.1 Marsh–Mellen Model................................ 187
5.4.4.2 Buck Model................................................ 187
5.5 Data Support Requirements................................................... 188
5.5.1 Sound-Speed Profile Synthesis................................. 189
5.5.1.1 Segmented Constant Gradient................... 190
5.5.1.2 Curvilinear or Continuous Gradient.......... 190
5.5.2 Earth Curvature Corrections..................................... 192
5.5.3 Merging Techniques.................................................. 193

Chapter 6 Special Applications and Inverse Techniques................................... 195

6.1 Background............................................................................. 195
6.2 Stochastic Modeling............................................................... 196
6.3 Broadband Modeling.............................................................. 197
6.4 Matched-Field Processing...................................................... 199
6.5 Transmutation Approaches..................................................... 201
6.6 Nonlinear Acoustics and Chaos............................................. 201
6.7 Three-Dimensional Modeling................................................ 203
6.8 Ocean Fronts, Eddies, and Internal Waves.............................204
6.8.1 Fronts and Eddies......................................................205
6.8.2 Internal Waves...........................................................206
6.9 Coupled Ocean-Acoustic Modeling....................................... 210
6.10 Acoustic Tomography............................................................. 211
6.11 Phase Conjugation and Time-Reversal Mirrors..................... 216
6.12 Deductive Geoacoustic Inversion........................................... 217
6.12.1 Navigating Parameter Landscapes............................ 220
6.12.2 Tabu Search............................................................... 221
6.13 Prediction Uncertainties in Complex Environments.............. 221
6.14 Rapid Environmental Assessments........................................ 223
6.15 Underwater Acoustic Networks and Vehicles........................ 223
6.15.1 Channel Models........................................................ 223
6.15.2 Localization Methods................................................ 227
6.15.2.1 Range-Based Schemes............................... 227
6.15.2.2 Range-Free Schemes................................. 228
6.15.3 Vehicles..................................................................... 228
6.16 Marine-Mammal Protection................................................... 229
6.16.1 Regulatory Initiatives and Measurement Programs..... 230
Contents xi

6.16.2 Rising Levels of Underwater Noise........................... 231

6.16.2.1 Increased Shipping Levels......................... 231
6.16.2.2 Ocean Acidification................................... 231
6.16.2.3 Windfarm Development............................ 232
6.16.3 Seismic Operations and Protection of Whales.......... 233
6.16.4 Modeling Efforts....................................................... 234
6.16.4.1 Acoustic Integration Model....................... 234
6.16.4.2 Effects of Sound on the Marine
Environment.............................................. 235
6.16.4.3 Marine-Mammal Movement Models........ 235
6.16.4.4 Collision Avoidance................................... 236
6.16.5 ASW Training Ranges and Mitigation Techniques..... 236
6.16.5.1 Environmentally Adaptive Sonars............. 237
6.16.5.2 Frequency Diversity................................... 237
6.17 Through-the-Sensor Parameter Estimation............................ 237
6.18 Seismo-Acoustic Inversion..................................................... 238

Chapter 7 Noise I: Observations and Physical Models...................................... 239

7.1 Background............................................................................. 239
7.2 Noise Sources and Spectra..................................................... 239
7.2.1 Seismo-Acoustic Noise.............................................. 241
7.2.2 Shipping Noise.......................................................... 242
7.2.3 Bioacoustic Noise...................................................... 243
7.2.4 Wind and Rain Noise................................................244
7.3 Depth Dependence................................................................. 247
7.4 Directionality.......................................................................... 247
7.5 Surf Noise............................................................................... 249
7.6 Arctic Ambient Noise............................................................. 250
7.7 Acoustic Daylight................................................................... 252
7.8 Geoacoustic Inversion............................................................ 253
7.9 Acoustic Rain Gauges............................................................ 254

Chapter 8 Noise II: Mathematical Models......................................................... 255

8.1 Background............................................................................. 255
8.2 Theoretical Basis for Noise Modeling.................................... 255
8.3 Ambient-Noise Models........................................................... 257
8.4 RANDI Model: A Specific Example...................................... 259
8.4.1 Transmission Loss.....................................................260
8.4.2 Noise Sources and Spectra........................................260
8.4.3 Directionality............................................................260
8.4.4 Recent Developments................................................ 261
8.5 Noise Notch............................................................................ 262
8.6 Beam-Noise Statistics Models................................................266
8.7 Data Support Requirements................................................... 267
8.8 Numerical Model Summaries................................................ 267
xii Contents

Chapter 9 Reverberation I: Observations and Physical Models......................... 275

9.1 Background............................................................................. 275
9.2 Volume Reverberation............................................................ 276
9.2.1 Deep Scattering Layer............................................... 277
9.2.2 Column or Integrated Scattering Strength................ 278
9.2.3 Vertical-Scattering Plumes........................................ 279
9.3 Boundary Reverberation......................................................... 279
9.3.1 Sea-Surface Reverberation........................................ 279
9.3.2 Under-Ice Reverberation............................................284
9.3.3 Sea-Floor Reverberation............................................284
9.4 Inversion Techniques.............................................................. 288

Chapter 10 Reverberation II: Mathematical Models........................................... 291

10.1 Background............................................................................. 291
10.2 Theoretical Basis for Reverberation Modeling...................... 291
10.2.1 Basic Approaches...................................................... 291
10.2.2 Advanced Developments........................................... 293
10.3 Cell-Scattering Models........................................................... 296
10.3.1 Volume-Reverberation Theory.................................. 297
10.3.2 Boundary-Reverberation Theory.............................. 298
10.4 REVMOD Model: A Specific Example................................. 299
10.5 Bistatic Reverberation............................................................304
10.5.1 Computational Considerations..................................304
10.5.2 Bistatic Acoustic Model: A Specific Example............. 305
10.6 Point-Scattering Models.........................................................307
10.6.1 Computational Considerations..................................307
10.6.2 Under-Ice Reverberation Simulation Model: A
Specific Example.......................................................307
10.7 Numerical Model Summaries................................................309

Chapter 11 Sonar Performance Models............................................................... 315

11.1 Background............................................................................. 315
11.2 Sonar Equations...................................................................... 316
11.2.1 Monostatic Sonars..................................................... 316
11.2.2 Bistatic Sonars........................................................... 319
11.2.3 Multistatic Sonars...................................................... 321
11.3 NISSM Model: A Specific Example...................................... 322
11.3.1 Propagation................................................................ 322
11.3.2 Reverberation............................................................ 325
11.3.3 Target Echo............................................................... 327
11.3.4 Noise.......................................................................... 327
11.3.5 Signal-to-Noise Ratio................................................ 327
11.3.6 Probability of Detection............................................ 329
11.3.7 Model Outputs........................................................... 329
Contents xiii

11.4 Model Operating Systems...................................................... 331

11.4.1 System Architecture.................................................. 332
11.4.2 Sonar Modeling Functions........................................ 334
11.4.3 System Usage............................................................ 337
11.4.4 Generic Sonar Model: A Specific Example.............. 338
11.4.5 Comprehensive Acoustic System Simulation:
A Specific Example................................................... 338
11.5 Advanced Signal Processing Issues........................................ 339
11.5.1 Background............................................................... 339
11.5.2 Adjoint Methods........................................................340
11.5.3 Stochastic Resonance................................................ 341
11.5.4 Pulse Propagation...................................................... 341
11.5.5 Multiple-Input/Multiple-Output................................ 342
11.5.6 Clutter Environments................................................ 343
11.5.7 Vectors and Clusters.................................................. 343
11.5.7.1 Replica Vectors.......................................... 343
11.5.7.2 Ray Clusters...............................................344
11.5.8 High-Frequency Acoustics........................................ 345
11.6 Data Sources and Availability................................................ 345
11.7 Numerical Model Summaries................................................ 350

Chapter 12 Model Evaluation.............................................................................. 359

12.1 Background............................................................................. 359
12.2 Past Evaluation Efforts...........................................................360
12.3 Analytical Benchmark Solutions............................................ 362
12.4 Quantitative Accuracy Assessments.......................................364
12.5 POSSM Experience: A Specific Example.............................. 368
12.6 Evaluation Guidelines............................................................. 372
12.6.1 Documentation.......................................................... 372
12.6.2 Verification................................................................ 372
12.6.3 Validity...................................................................... 373
12.6.4 Maintainability.......................................................... 373
12.6.5 Usability.................................................................... 373
12.7 Documentation Standards...................................................... 374

Chapter 13 Simulation......................................................................................... 379

13.1 Background............................................................................. 379
13.2 Hierarchical Levels................................................................. 380
13.2.1 Engineering............................................................... 380
13.2.2 Engagement............................................................... 381
13.2.3 Mission...................................................................... 382
13.2.4 Theater....................................................................... 382
13.3 Simulation Infrastructure....................................................... 382
13.4 High-Level Architecture........................................................ 383
13.5 Testbeds.................................................................................. 384
xiv Contents

13.6 Applications............................................................................ 385

13.6.1 Systems Engineering................................................. 386
13.6.2 Simulation-Based Acquisition................................... 387
13.6.3 Operations Analysis.................................................. 390
13.6.4 Training..................................................................... 391
Appendix A: Abbreviations and Acronyms........................................................ 395
Appendix B: Glossary of Terms.......................................................................... 413
Appendix C: Websites.......................................................................................... 421
Appendix D: Problem Sets................................................................................... 425
References.............................................................................................................. 431
Preface
Ideas and observations concerning underwater sound have continued to accumulate
over the past decade and have found increasing relevance in the marine sciences.
This trend has encouraged the further expansion of this book into a fourth edition
to embrace these new developments, especially where they were found to stimulate
advancements in the field of underwater acoustic modeling and simulation.
Broadly defined, modeling is a method for organizing knowledge accumulated
through observation or deduced from underlying principles, while simulation refers
to a method for implementing a model over time. The field of underwater acoustic
modeling and simulation translates our physical understanding of sound in the sea
into mathematical models that can simulate the performance of complex acoustic
systems operating in the undersea environment.
This book discusses the fundamental processes involved in simulating the perfor-
mance of underwater acoustic systems and emphasizes the importance of applying
the proper modeling resources to simulate the behavior of sound in virtual ocean
environments. Guidelines for selecting and using the various models are highlighted.
Specific examples of each type of model are discussed to illustrate model formula-
tions, assumptions, and algorithm efficiency. Instructive case studies in simulation
are included to demonstrate practical applications.
The material in this fourth edition is organized into 13 chapters. The order of
presentation of the first 10 chapters follows the structure suggested by a hierarchical
method of sonar model construction. Chapter 1 introduces the types of underwater
acoustic models, provides a framework for the consistent classification of model-
ing techniques, and defines the terminology common to modeling and simulation.
Aspects of oceanography essential to an understanding of acoustic phenomena are
presented in Chapter 2. Chapters 3 through 10 address the observations and models
dealing with propagation, noise, and reverberation in the sea. A new Chapter 6,
Special Applications and Inverse Techniques, has been added; this material had
originally been part of Chapter 5 in the previous editions, but as the volume of mate-
rial increased, it became necessary to create a stand-alone chapter. In Chapter 11,
the information from Chapters 3 through 10 is integrated into sonar performance
models. Chapter 12 describes the process of model evaluation. Chapter 13 discusses
the application of simulation in underwater acoustics. Since simulation is a method
for implementing a model over time, it is fitting that this topic is addressed only after
a firm foundation of modeling and evaluation has been established. There are four
appendices: A—Abbreviations and Acronyms; B—Glossary of Terms; C—Websites;
and D—Problem Sets. Appendix D, which is new to this fourth edition, is intended
to assist students and instructors in assimilating the information contained in this
fourth edition. Finally, References, Author Index, and Subject Index complete the
book contents.
The term soundscape has appeared frequently in the recent scientific and techni-
cal literature. A soundscape is a combination of sounds that characterize, or arise

xv
xvi Preface

from, an ocean environment. The study of a soundscape is sometimes referred to

as acoustic ecology. Recent observations have indicated that the ocean soundscape
has been changing due to anthropogenic activity (e.g., naval−sonar systems, seismic-
exploration activity, maritime shipping, and windfarm development) and natural fac-
tors (e.g., climate change and ocean acidification). Disruption of the natural acoustic
environment results in noise pollution. In response to these developments, new regu-
latory initiatives have placed additional restrictions on uses of sound in the ocean:
mitigation of marine-mammal endangerment is now an integral consideration in
acoustic system design and operation. Modeling tools traditionally used in under-
water acoustics have undergone a necessary transformation to respond to the rapidly
changing requirements imposed by this new ocean soundscape.
As stated in the preface to the first edition, this book is intended for those who
have a fundamental understanding of underwater acoustics but who are not famil-
iar with the various aspects of modeling. Sufficient mathematical derivations are
included to demonstrate model formulations, and guidelines are provided to assist
in the selection and proper application of these models. Comprehensive summaries
identify the available models and associated documentation. The level of technical
details presented in this book is appropriate for a broad spectrum of practitioners and
students in sonar technology, acoustical oceanography, naval operations analysis,
systems engineering, and applied mathematics.
As in the second and third editions, I have retained descriptions of earlier devel-
opments (including the older models) to provide a historical account of the progress
that has been achieved over the cumulative period of record covered by these four
editions. I trust that this new edition will continue to serve as a useful source of infor-
mation for all those engaged in modeling and simulation in underwater acoustics.
I have continued to teach short courses with the Applied Technology Institute
(Riva, Maryland) on the topic of underwater acoustics using this book as the prin-
cipal text. The critical feedback from my students has always been encouraging and
enlightening. In addition, numerous book reviews have provided constructive feed-
back useful in the improvement of this latest edition.

Paul C. Etter
Rockville, Maryland
Preface to the Third Edition
Broadly defined, modeling is a method for organizing knowledge accumulated
through observation or deduced from underlying principles, while simulation refers
to a method for implementing a model over time. The field of underwater acoustic
modeling and simulation translates our physical understanding of sound in the sea
into mathematical models that can simulate the performance of complex acoustic
systems operating in the undersea environment.
This book discusses the fundamental processes involved in simulating underwa-
ter acoustic systems and emphasizes the importance of applying the proper modeling
resources to simulate the behavior of sound in virtual ocean environments. Summary
tables identify available propagation, noise, reverberation, and sonar performance
models. Guidelines for selecting and using these various models are highlighted.
Specific examples of each type of model are discussed to illustrate model formula-
tions, assumptions, and algorithm efficiency. Instructive case studies in simulation
are reviewed to demonstrate practical applications.
Over the past decade, rapid changes in the world situation have opened new
avenues for international collaboration in modeling and simulation. Concurrent
advances in electronic communications have greatly facilitated the transfer of mod-
eling and simulation technologies among members of the international community.
The Internet now provides unprecedented access to models and databases around
the world. Where appropriate, references to pertinent web sites are incorporated in
this edition.
The level of technical details presented in this book is appropriate for a broad
spectrum of practitioners and students in sonar technology, acoustical oceanogra-
phy, naval operations analysis, systems engineering, and applied mathematics. The
material is organized into 12 chapters. The order of presentation of the first 10 chap-
ters follows the structure suggested by a hierarchical method of sonar model con-
struction. Chapter 1 introduces the types of underwater acoustic models, provides a
framework for the consistent classification of modeling techniques, and defines the
terminology common to modeling and simulation. Aspects of oceanography essen-
tial to an understanding of acoustic phenomena are presented in Chapter 2. Chapters
3 through 9 address the observations and models dealing with propagation, noise,
and reverberation in the sea. In Chapter 10, the information from Chapters 3 through
9 is integrated into sonar performance models. Chapter 11 describes the process of
model evaluation. Chapter 12, which is new to this edition, discusses the applica-
tion of simulation in underwater acoustics. Since simulation is a method for imple-
menting a model over time, it is fitting that this topic is addressed only after a firm
foundation of modeling and evaluation has been established. The title of this edition
has been changed to Underwater Acoustic Modeling and Simulation to reflect the
inclusion of material on simulation.
Rather than purging older material from the third edition, I have intentionally
retained descriptions of earlier developments (including the older models) to provide

xvii
xviii Preface to the Third Edition

an historical account of the progress that has been achieved over the cumulative
period of record covered by these three editions. I trust that this new edition will
continue to serve as a useful source of information for all those engaged in modeling
and simulation in underwater acoustics.

Paul C. Etter
Rockville, Maryland
Preface to the Second Edition
The subject of underwater acoustic modeling deals with the translation of our physi-
cal understanding of sound in the sea into mathematical formulas solvable by com-
puters. This book divides the subject of underwater acoustic modeling into three
fundamental aspects: the physical principles used to formulate underwater acoustic
models; the mathematical techniques used to translate these principles into computer
models; and modeling applications in sonar technology and oceanographic research.
The material presented here emphasizes aspects of the ocean as an acoustic
medium. It shows mathematicians and physical scientists how to use this informa-
tion to model the behavior of sound in a spatially complex and temporally variable
ocean. This approach diminishes the need for discussions of engineering issues such
as transducers, arrays, and targets. Aspects of hardware design and modeling in
underwater acoustics are discussed in other excellent texts.
Recent developments in underwater acoustic modeling have been influenced by
changes in global geopolitics. These changes are evidenced by strategic shifts in
military priorities as well as by efforts to transfer defense technologies to nondefense
applications.
The strategic shift in emphasis from deep-water to shallow-water naval opera-
tions has focussed attention on improving sonar performance in coastal regions.
These near-shore regions, which are sometimes referred to as the littoral zone, are
characterized by complicated and highly variable acoustic environments. Such dif-
ficult environments challenge the abilities of those sonar models intended for use in
deep-water scenarios. This situation has prompted further development of under-
water acoustic models suitable for forecasting and analyzing sonar performance in
shallow-water areas.
The policy of defense conversion has encouraged the transfer of sonar modeling
technology to nondefense applications. Much of this transfer has benefited the grow-
ing field of environmental acoustics, which seeks to expand exploration of the oceans
through acoustic sensing. Such technology conversion is exemplified by the utiliza-
tion of naval underwater acoustic models as both prognostic and diagnostic tools in
sophisticated experiments employing inverse acoustic sensing of the oceans.
These rapid developments in modeling have created a need for a second edition.
The intent is to update recent advances in underwater acoustic modeling and to
emphasize new applications in oceanographic research. This edition also reflects
a broader international interest in the development and application of underwater
acoustic models. The coming years promise to be challenging in terms of defining
research directions, whether for defense or industry, and this edition should provide
technology planners with a useful baseline.
The original organization of material into 11 chapters has served well and there-
fore remains unchanged. When required, new material would be arranged into addi-
tional subsections.

xix
xx Preface to the Second Edition

Comments from users of the first edition have evidenced appeal from acousti-
cians, as well as oceanographers, who have enthusiastically endorsed this book as
both a practical tool and an instructional aid. In this latter regard, several academic
institutions have utilized this book as an adjunct text for graduate-level courses in
applied mathematics and ocean sciences.
This edition has benefited from a continuation of my short courses which, since
1993, have been offered through the Applied Technology Institute of Clarksville,
Maryland. Continued exposure to the insightful questions posed by my students has
provided me with the opportunity to further refine my presentation.
Despite the appearance of several new books in the field of ocean acoustics, this
book remains unique in its treatment and coverage of underwater acoustic modeling.
It is a pleasure to note that the first edition has been recognized as an authorita-
tive compendium of the state-of-the-art models and is often cited as the standard
reference.

Paul C. Etter
Rockville, Maryland
Preface to the First Edition
The subject of underwater acoustic modeling deals with the translation of our physi-
cal understanding of sound in the sea into mathematical formulas solvable by com-
puters. These models are useful in a variety of research and operational applications
including undersea defense and marine seismology. There has been a phenomenal
growth in both the number and types of models developed over the past several
decades. This growth reflects the widespread use of models for the solution of prac-
tical problems as well as the considerable advances made in our computational
abilities.
The primary motivation for the development of underwater acoustic models is
defense-related. Researchers involved in anti-submarine warfare (ASW) and asso-
ciated undersea defense disciplines use models to interpret and forecast acoustic
conditions in the sea in support of sonar design and sonar operation. Consequently,
the emphasis in this book is placed on those models that are particularly useful in
solving sonar performance problems.
Users and potential users of models are commonly ill acquainted with model
formulations. As a result, the capabilities and limitations of the models are poorly
understood and the models are often improperly used. Moreover, the sheer number
of available models complicates the process of model selection.
This book is intended for those who have a fundamental understanding of under-
water acoustics but who are not familiar with the various aspects of modeling.
Sufficient mathematical derivations are included to demonstrate model formulations,
and guidelines are provided to assist in the selection and proper application of these
models. Comprehensive summaries identify the available models and associated
documentation.
The material is organized into 11 chapters. The order of presentation follows the
structure suggested by a hierarchical method of sonar model construction. Chapter
1 introduces the types of underwater acoustic models, provides a framework for the
consistent classification of modeling techniques, and defines the terminology com-
mon to modeling work. Aspects of oceanography essential to an understanding of
acoustic phenomena are presented in Chapter 2. Chapters 3 through 9 address the
observations and models dealing with propagation, noise, and reverberation in the
sea. In Chapter 10, the information from Chapters 3 through 9 is integrated into sonar
performance models. Finally, Chapter 11 describes the process of model evaluation.
Since 1982, I have developed and taught a series of intensive short courses for the
Technology Service Corporation of Silver Spring, Maryland. Earlier versions of this
course were taught in collaboration with Professor Robert J. Urick of the Catholic
University of America. Professor Urick would discuss underwater acoustic measure-
ments, while I would review the related modeling techniques. As the course evolved
into one in which I became the sole instructor, I borrowed heavily from Professor
Urick’s several books (with permission) in order to preserve the continuity of the

xxi
xxii Preface to the First Edition

course material. The success of this course encouraged me to publish my class notes
as a book.
Many notable books have been published in the field of underwater acoustics.
None, however, has dealt exclusively with modern developments in modeling,
although some have addressed aspects of propagation modeling. This book is unique
in that it treats the entire spectrum of underwater acoustic modeling, including envi-
ronmental, propagation, noise, reverberation, and sonar performance models.
I have intentionally preserved the notation, terminology, and formalism used by
those researchers whose work I have cited. I have also intentionally emphasized
aspects of oceanography since my experience has indicated that many acousticians
have little appreciation for the complex role played by the ocean as an acoustic
medium. Conversely, oceanographers frequently fail to appreciate the great potential
of underwater acoustics as a remote-sensing technique.

Paul C. Etter
Rockville, Maryland
Acknowledgments
The students who have attended my short courses over the past 30 years have pro-
vided both a receptive and critical audience for much of the material contained in
this book. Many of my colleagues have provided useful insights and suggestions. In
particular, I want to recognize Dr. Michael A. Ainslie, Dr. Aubrey L. Anderson,*
Dr. Stanley A. Chin-Bing, Dr. Richard B. Evans, Dr. Robert W. Farwell, Dr. Richard
P. Flanagan, Dr. Charles W. Holland, Dr. Robert L. Martin,* Dr. Peter M. Ogden, Dr.
Frederick D. Tappert,* and Dr. Henry Weinberg. Robert S. Winokur provided admin-
istrative guidance in the early stages of my work in underwater acoustic modeling.
Professor Robert J. Urick* provided much encouragement and graciously allowed
me to liberally borrow material from his several books. Professor John D. Cochrane*
of Texas A&M University inspired the scholarly discipline that facilitated creation
of this book.

* Deceased.

xxiii
Author
Paul C. Etter has worked in the fields of ocean-atmosphere physics and environ­
mental acoustics for the past 40 years, supporting federal and state agencies,
academia, and private industry. He received his BS in physics and his MS in ocean-
ography at Texas A&M University. Etter served on active duty in the US Navy as
an ASW officer aboard frigates, where he was responsible for the tactical operation
of the ship’s sonar systems. He is the author and coauthor of more than 200 techni-
cal reports, professional papers, and books addressing environmental measurement
technology, underwater acoustics, and physical oceanography.

xxv
 1 Introduction

1.1 BACKGROUND
1.1.1 Setting
Underwater acoustics entails the development and employment of acoustical
­methods to image underwater features, to communicate information via the oceanic
waveguide, or to measure oceanic properties. In its most fundamental sense, mod-
eling is a method for organizing knowledge accumulated through observation or
deduced from underlying principles. Simulation refers to a method for implementing
a model over time.
Historically, sonar technologists initiated the development of underwater
acoustic modeling to improve sonar system design and evaluation efforts, princi-
pally in support of naval operations. Moreover, these models were used to train
sonar operators, assess fleet requirements, predict sonar performance, and develop
new tactics. Despite the restrictiveness of military security, an extensive body of
relevant research accumulated in the open literature, and much of this literature
addressed the development and refinement of numerical codes that modeled the
ocean as an acoustic medium. This situation stimulated the formation of a new
subdiscipline known as computational ocean acoustics. Representative develop-
ments in computational ocean acoustics have been documented by Merklinger
(1987), Lee et al. (1990a,b,c, 1993), Lau et al. (1993), Murphy and Chin-Bing
(2002), and Jensen (2008).
As these modeling technologies matured and migrated into the public domain, pri-
vate industry was able to apply many aspects of this pioneering work. Subsequently,
there has been much cross-fertilization between the geophysical exploration and the
sonar technology fields as the operating frequencies of both fields began to converge.
Recently, acoustical oceanographers have employed underwater acoustic models as
adjunct tools for inverse sensing techniques (see Section 1.6) that can be used to
obtain synoptic portraits of large ocean areas or to monitor long-term variations in
the ocean.
Underwater acoustic models are now routinely used to forecast acoustic condi-
tions for planning at-sea experiments, designing optimized sonar systems, and pre-
dicting sonar performance at sea. Modeling has become the chief mechanism by
which researchers and analysts can simulate sonar performance under laboratory
conditions. Modeling provides an efficient means to parametrically investigate the
performance of hypothetical sonar designs under varied environmental conditions
and to estimate the performance of existing sonars in different ocean areas and
seasons.

1
2 Underwater Acoustic Modeling and Simulation

1.1.2 Framework
A distinction is made between physical (or “physics-based”) and mathematical mod-
els, both of which are addressed in this book. Physical models pertain to ­theoretical
or conceptual representations of the physical processes occurring within the ocean;
the term “analytical model” is sometimes used synonymously. Mathematical models
include both empirical models (those based on observations) and numerical models
(those based on mathematical representations of the governing physics). The sub-
ject of analog modeling, which is defined here as controlled acoustic experimenta-
tion in water tanks employing appropriate oceanic scaling factors, is not specifically
addressed in this book. Barkhatov (1968) and Zornig (1979) have presented detailed
reviews of acoustic analog modeling.
The physical models underlying the numerical models have been well known for
some time. Nevertheless, the transition to operational computer models has been
hampered by several factors: limitations in computer capabilities, inefficient math-
ematical methods, and inadequate oceanographic and acoustic data with which to
initialize and evaluate models. Despite continuing advances in computational power,
together with the development of more efficient mathematical methods and the dra-
matic growth in databases, the emergence of increasingly complex and sophisticated
models continues to challenge available resources.
This book addresses three broad types of underwater acoustic models: environ-
mental models, basic acoustic models, and sonar performance models.
The first category—environmental models—includes empirical algorithms that
are used to quantify the boundary conditions (surface and bottom) and volumetric
effects of the ocean environment. Such models include, for example, sound speed,
absorption coefficients, surface and bottom reflection losses, and surface, bottom,
and volume backscattering strengths.
The second category—basic acoustic models—comprises propagation (transmis-
sion loss), noise, and reverberation models. This category is the primary focus of
attention in this book.
The third category—sonar performance models—is composed of environmen-
tal models, basic acoustic models, and appropriate signal-processing models. Sonar
performance models are organized to solve specific sonar application problems such
as submarine detection, mine hunting, torpedo homing, and bathymetric sounding.
Figure 1.1 illustrates the relationships among these three broad categories of
models. As the applications become more and more system-specific (i.e., as one
progresses from environmental models toward sonar performance models), the
respective models become less universal in application. This is a consequence of the
fact that system-specific characteristics embedded in the higher-level models (e.g.,
signal-processing models) restrict their utility to particular sonar systems. Thus,
while one propagation model may enjoy a wide variety of applications, any par-
ticular sonar performance model is, by design, limited to a relatively small class of
well-defined sonar problems.
At the base of the pyramid in Figure 1.1 are the environmental models. These
are largely empirical algorithms that describe the boundaries of the ocean (surface
and bottom) and the water column. The surface description quantifies the state
Introduction 3

Sonar
performance models

Signal processing
fic
e ci

Basic acoustic models

-sp
em t

Reverberation
Sys

Noise

Propagation

Environmental models

Surface Volume Bottom

FIGURE 1.1 Generalized relationships among environmental models, basic acoustic models,
and sonar performance models.

of the sea surface including wind speed, wave height, and bubble content of the
near-surface waters. If ice covered, descriptions of the ice thickness and rough-
ness would also be required. Surface-reflection coefficients and surface-­scattering
strengths are needed to model propagation and reverberation. The bottom descrip-
tion includes the composition, roughness, and sediment-layering structure of
importance to acoustic interactions at the sea floor. Bottom-reflection coefficients
and bottom-scattering strengths are also needed to model propagation and rever-
beration. The volume description entails the distribution of temperature, salinity
and sound speed, absorption, and relevant biological activity. Volume scattering
strengths are needed to model reverberation. Once the marine environment is
adequately described in terms of location, time, and frequency (spatial, tempo-
ral, and spectral dependencies), the basic acoustic models can be initialized. In
order to proceed higher up in the pyramid, it is first necessary to generate esti-
mates of acoustic propagation. If a passive sonar system is being modeled, it is
necessary to understand the propagation of sound as it is radiated from the target
toward the sonar receiver. Furthermore, any interfering noises must be propagated
from their source to the sonar receiver. The behavior of the noise sources can be
quantified using noise models, which must include a propagation component. If
an active sonar system is being modeled, the contribution of reverberation must
4 Underwater Acoustic Modeling and Simulation

be considered in addition to those factors already mentioned above with regard to

noise sources. Moreover, since the active sonar transmits a signal, sound must be
propagated out to the target and back. Also, the transmitted pulse will be scattered
and returned by particulate matter in the ocean volume. Reverberation models
quantify the effects of scatterers on the incident pulse and its subsequent scattering
and propagation back to the sonar receiver and, therefore, must include a propaga-
tion component. Finally, the outputs of the environmental models and basic acous-
tic models must be combined with sonar performance models, in conjunction with
appropriate passive or active sonar signal-processing models. In concert, these
models generate metrics useful in predicting and assessing the performance of
passive or active sonars in different ocean environments and seasons. The inclu-
sion of sonar system and target parameters is not explicitly discussed at this level
but will be treated in Section 11.4.2 (sonar modeling functions).
The wide breadth of material covered in this book precludes exhaustive discus-
sions of all existing underwater acoustic models. Accordingly, only selected models
considered to be representative of each of the three broad categories will be explored
in more detail. However, comprehensive summary tables identify all known basic
acoustic models and sonar performance models. These tables also contain brief tech-
nical descriptions of each model together with pertinent references to the literature.
Notable environmental models are identified and discussed in appropriate sections
throughout the book.
Modeling applications will generally fall into one of the two basic areas: research
or operational. Research-oriented applications are conducted in laboratory envi-
ronments where accuracy is important and computer time is not a critical factor.
Examples of research applications include sonar-system design and field-­experiment
planning. Operationally oriented applications are conducted as field activities,
including fleet operations at sea and sonar system training ashore. Operational appli-
cations generally require rapid execution, often under demanding conditions; more-
over, modeling accuracy may be subordinate to processing speed.

1.2 MEASUREMENTS AND PREDICTION

The scientific discipline of underwater acoustics has been undergoing a long transi-
tion from an observation phase to a phase of understanding and prediction. This
transition has not always been smooth: direct observations have traditionally been
limited, the resulting prediction tools (models) were not always perfected, and much
refinement remains to be completed.
Experimental measurements in the physical sciences are generally expensive due
to instrumentation and facility-operation costs. In the case of oceanographic and
underwater acoustic data collection, this is particularly true because of the high costs
of platform operation (ships, aircraft, submarines, and satellites). Acoustic data sets
obtained at sea are limited by their inherent spatial, temporal, and spectral dimen-
sions. Consequently, in the field of underwater acoustics, much use is made of what
field measurements already exist. Notable large-scale field programs that have been
conducted successfully in the past include AMOS (Acoustic, Meteorological, and
Oceanographic Survey) and LRAPP (Long-Range Acoustic Propagation Project).
Introduction 5

More recent examples include ATOC (Acoustic Thermometry of Ocean Climate)

and other basin-scale tomographic experiments.
The National Science Foundation’s ocean observatories initiative (OOI) is a new
program designed to implement global-, regional-, and coastal-scale observatory
networks (along with cyberinfrastructure) as research tools to provide long-term and
real-time access to the ocean. Three acoustic-measurement technologies were pro-
posed for incorporation (Duda et al., 2007): long-range positioning and navigation;
thermometry; and passive listening. Passive-listening techniques can be used for
marine-mammal and fishery studies, for monitoring seismic activity, for quantifying
wind and rain, and for monitoring anthropogenic noise sources.
According to the Office of Naval Research (US Department of the Navy, 2007),
ocean acoustics is considered to be a US national naval responsibility in science and
technology. The three prime areas of interest are: shallow-water acoustics, high-
frequency acoustics, and deep-water acoustics.

1. Shallow-water acoustics is concerned with the propagation and scattering

of low-frequency (10 Hz to ~3 kHz) acoustic energy in shallow-water ocean
environments. Specific components of interest include: scattering mecha-
nisms related to reverberation and clutter; seabed acoustic measurements
supporting geoacoustic inversion; acoustic propagation through internal
waves and coastal ocean processes; and the development of unified ocean–
seabed–acoustic models.
2. High-frequency acoustics is concerned with the interaction of high-­
frequency (~3–1000 kHz) sound with the ocean environment, with a view
toward mitigation or exploitation of the interactions in acoustic detection,
classification, and communication systems. Specific components of interest
include: propagation of sound through an intervening turbulent or stochas-
tic medium; scattering from rough surfaces, biologics, and bubbles; and
penetration and propagation within the porous sea floor.
3. Deep-water acoustics is concerned with low-frequency acoustic propaga-
tion, scattering, and communication over distances from tens to thousands
of kilometers in the deep ocean where the sound channel may or may not
be bottom-limited. Specific components of interest include: effects of envi-
ronmental variability induced by oceanic internal waves, internal tides, and
mesoscale processes; effects of bathymetric features such as seamounts and
ridges on the stability, statistics, spatial distribution, and predictability of
broadband acoustic signals; and the coherence and depth dependence of
deep-water ambient noise.

Modeling has been used extensively to advance scientific understanding without

expending scarce resources on additional field observations. The balance between
observations and modeling, however, is very delicate. Experimenters agree that
modeling may help us to build intuition or refine calculations, but they argue fur-
ther that only field observations give rise to genuine discovery. Accordingly, many
researchers find mathematical models to be most useful once the available observa-
tions have been analyzed on the basis of simple physical models.
6 Underwater Acoustic Modeling and Simulation

The relationship between experimentation and modeling (in the furtherance of

understanding and prediction) is depicted schematically in Figure 1.2. Here, physical
models form the basis of numerical models, while experimental observations form
the basis of empirical models. Moreover, analog modeling is represented as a form
of laboratory (versus field) experimentation.
Scientists are becoming more aware of the connection between physical processes
and computation, and many now find it useful to view the world in computational
terms. Consequently, computer simulation is sometimes viewed as a third form of
science midway between theory and experiment. Furthermore, understanding can be
enhanced through the use of advanced computer graphics (visualization) to convert
large volumes of data into vivid and comprehensible patterns.
The term e-Science refers to those technical activities that are performed through
distributed global collaborations enabled by the Internet in concert with very large
data collections, tera-scale computing resources, and high-performance visualiza-
tion. Thus, e-Science is an enabling technology that provides the marine and energy
industries with meteorological and oceanographic (METOC) data in formats that
facilitate easy computation of future states of the environments in which they oper-
ate. Applications for operational services concerned with maritime surveillance
and security require further integration of remotely sensed Earth observation data.
The drivers for e-Science are grounded in advances in computing, communications,
remote sensing, and modeling. The term marine informatics is sometimes used
to denote those activities in data services, visualization services, grid-computing

Understanding
and
prediction

Experimentation Modeling

Field Laboratory
experiment experiment
Analog model
Mathematical Physical
model model

Empirical Numerical
model model

FIGURE 1.2 Schematic relationship between experimentation and modeling.

Introduction 7

facilities, and the supporting infrastructure needed to generate the necessary ocean
products (Graff, 2004).
Because of national security concerns, some existing data sets are limited in
accessibility. Also, because of the wide range of acoustic frequencies, ocean areas,
and geometries of interest to researchers, it is virtually impossible to accommodate
all potential observational requirements within normal fiscal constraints. To make
matters worse, acoustic data are sometimes collected at sea without the support-
ing oceanographic data. Thus, models cannot always replicate the observed acous-
tic results because they lack the necessary input parameters for initialization. This
situation has been improving with the advent of modern, multidisciplinary research
that necessitates the inclusion of oceanographers in the planning and execution of
complex field experiments.
Satellites, together with other remote-sensing techniques, provide a useful adjunct
to the prediction of underwater acoustic conditions. Specifically, many dynamic fea-
tures of the ocean affect the behavior of sound in the sea. Knowledge of the location
and size of such dynamic features can improve the prediction of sonar performance.
Although satellite-borne sensors detect only surface (or near-surface) features of the
ocean such as thermal contrast, color, or surface roughness, these “surface expres-
sions” can generally be associated with dynamic oceanographic features below the
surface, particularly when comprehensive climatological databases already exist
with which to establish such associations. Thus, for example, satellite imagery can be
used to provide timely and accurate position information on variable ocean features
such as fronts and eddies—features that are known to have a significant impact on
the propagation of acoustic signals in the sea. In a recent development, Jain and Ali
(2006) demonstrated the capability of estimating sound-speed profiles using surface
observations obtained from satellites in conjunction with an artificial neural-network
method to infer subsurface temperature profiles from the satellite observations. By
invoking assumptions regarding the subsurface salinity profiles, the desired sound-
speed profiles could be computed.
Tactical oceanographic data collection in support of naval operations has been
augmented by drifting buoys, which use satellite relays to transmit data to mobile
or stationary receiving stations, and by autonomous underwater vehicles (AUVs) to
access remote ocean areas such as shallow-water and under-ice regions (Brutzman
et al., 1992; Dantzler et al., 1993; Selsor, 1993; Etter, 2001b).
The problem of operational sonar prediction embraces many disciplines, one of
which is modeling. Such modern operational applications involve not only under-
water acoustic models, but also oceanographic models (Etter, 1989). The coupling
of these two types of models provides a valuable set of prediction tools to naval
force commanders by enabling them to respond to the changing environmental
conditions that affect their sonar performance. The remote-sensing data now avail-
able to naval forces afloat can be used in conjunction with oceanographic models
to accurately forecast the locations and characteristics of dynamic ocean features
(Robinson, 1992, 1999). This information can then be input to the appropriate
acoustic models to assess the resultant impacts on sonar performance. These sonar
systems can then be optimized for performance in each region of operation at any
given time of the year.
8 Underwater Acoustic Modeling and Simulation

Advances in sonar technologies have rendered modern sonar systems useful for
in situ measurements of the ambient marine environment. For example, through-
the-sensor measurements of the ocean impulse response (Smith, 1997) have enabled
modern sonars to perform collateral functions such as “tactical environmental pro-
cessors.” This aspect is addressed in more detail in Section 6.17 (through-the-sensor
parameter estimation).

1.3 DEVELOPMENTS IN MODELING

A goal of science is to develop the means for reliable prediction to guide decision
and action (Ziman, 1978). This is accomplished by finding algorithmic compres-
sions of observations and physical laws. Physical laws are statements about classes
of phenomena, and initial conditions are statements about particular systems. Thus,
it is the solutions to the equations, and not the equations themselves, that provide a
mathematical description of the physical phenomena. In constructing and refining
mathematical theories, we rely heavily on models. At its conception, a model pro-
vides the framework for a mathematical interpretation of new phenomena.
In its most elemental form, a model is intended to generalize and to abstract. A per-
fect model is one that perfectly represents reality. In practice, however, such a perfect
model would defeat its purpose: it would be as complex as the problem it is attempting
to represent. Thus, modeling in the physical sciences is normally reduced to many,
more easily managed, components. Oreskes et al. (1994) argued that the primary value
of models in the earth sciences is heuristic (i.e., an aid to learning, as through trial-
and-error methods) and that the demonstration of agreement between observation and
prediction is inherently partial since natural systems are never closed. The ocean is
a natural system and, as an acoustic medium, it is not a closed (or deterministic) sys-
tem. As will be demonstrated, most underwater acoustic models treat the ocean as a
deterministic system. This can create problems when evaluating models against field
data that are, by nature, nondeterministic (i.e., stochastic or chaotic). Thus, evalua-
tion is an important aspect of any discussion of modeling. Frequently, models become
­data-limited. This means that observational data are lacking in sufficient quantity or
quality with which to support model initialization and model evaluation.
Models, which are virtual repositories of accumulated knowledge, can be utilized
as pedagogical tools. Specifically, those individuals new to a field can familiarize
themselves with phenomenological aspects by self-navigating these models. Bartel
(2010) argued that writing an ocean-acoustic model could provide a further peda-
gogical benefit. The theory of computational ocean-acoustics is complex, and avail-
able treatments are often heavily mathematical. One way to learn is to create one’s
own model and explore its outputs. By writing a model, one gains insights into what
other computer codes are trying to do in addition to an understanding of some of
the pitfalls to be avoided in such codes. This experience can prove beneficial when
interpreting the output of established computer models, particularly since any given
model can generate erroneous results under pathological conditions.
With the advent of digital computers, modeling in the physical sciences advanced
dramatically. Improvements in computer capabilities over the past several decades
have permitted researchers to incorporate more complexity into their models,
Introduction 9

sometimes with little or no penalty in run time or computer costs (e.g., Hodges,
1987; Runyan, 1991). Although computational capabilities have increased dramati-
cally over the past several decades, so too have the expectations placed on software
performance. Consequently, software efficiency still remains a very critical issue—
we cannot look to unlimited computing power as a panacea for inefficient software.
Furthermore, with the dramatic increase in autonomous, self-guided systems such as
AUVs and unmanned undersea vehicles (UUVs) (National Research Council, 1996,
1997), many of which use self-contained modeling and simulation (M&S) technolo-
gies, issues of verification, validation, and accreditation will assume even greater
importance in maintaining and improving system reliability.
As modeling techniques continue to proliferate within the underwater acoustics
community, it becomes increasingly difficult to take stock of the various models
already in existence before launching a new effort to develop more models. Moreover,
analysts confronted with sonar performance problems have difficulty in determining
what models exist and, of those, which are the best for their particular situation. This
book had its genesis in just such a dilemma. The US Navy sponsored a small study in
1978 (Etter and Flum, 1978) to review the availability of numerical models of under-
water acoustic propagation, noise, and reverberation as well as the availability of data-
bases with which to support model development and operation. Results of this work,
and extensions thereto (Etter and Flum, 1980; Etter et al., 1984), have subsequently
been presented at meetings of the Acoustical Society of America. Since 1979, the
inventory of basic acoustic models and sonar performance models has been updated
at 8-year intervals (Etter and Flum, 1979; Etter, 1987b, 1995, 2003b, 2011); over
the period, approximately five models have been added to the inventory each year.
Moreover, progress has been documented in periodic literature review articles and
related presentations (Etter, 1981, 1984, 1987a, 1990, 1993, 1999, 2001a, 2009, 2012).
An enhanced version of the first review article (Etter, 1981) was included as Chapter 3
in a book by Urick (1982). Collectively, this work later evolved into a series of lectures
and culminated in the first edition of this book (Etter, 1991). Second and third editions
(Etter, 1996, 2003a) were prepared to address the rapid advances unfolding in this
area. The present edition continues and expands this review work.
As new models have been developed and older models have fallen into disuse, it
is fair to ask why the older material has not been purged from the newer editions of
this book. Simply stated, this book serves two purposes. First, the book introduces
a complicated topic to people of varied backgrounds, including those who do not
routinely work in the field of underwater acoustic M&S. In this sense, the older mate-
rial provides an historical perspective and identifies the pioneering names that are
taken for granted by the seasoned professionals in the field. Second, for those who
do routinely work in this field, retention of the older material provides an inverted
roadmap of past exploration.
The technical literature cited in this book includes many unpublished reports (the
so-called “gray” literature) since no other sources of documented technical informa-
tion were available. Unpublished reports comprised nearly 40% of the literature cited
in the first edition. In the fourth edition, reliance on unpublished reports decreased
to about 24%. This trend is attributed, in part, to the continued maturing of under-
water acoustic M&S technologies and their subsequent migration into the academic
10 Underwater Acoustic Modeling and Simulation

literature. Approximately 32% of the literature cited in all the four editions was
drawn from the Journal of the Acoustical Society of America, evidence of this jour-
nal’s role in communicating progress in the field of underwater acoustic modeling.
As work has advanced in simulation, progress has been reported in related academic
journals as well, accounting for approximately 34% of all references. Published
books accounted for approximately 10% of all references.
References to Internet web sites are now included as sources of information, and
specific sites of interest are indicated in Appendix C. While web sites are useful
sources of information, they are problematic as references since the addresses for
these web sites sometimes change or disappear entirely.
Other researchers have conducted reviews of modeling that provide useful sources
of information. These reviews have tended to be more in-depth but more narrowly
focussed than the work presented in this book. Weston and Rowlands (1979) reviewed
the development of models with application to underwater acoustic propagation over
the period 1963–1978. DiNapoli and Deavenport (1979) provided a highly math-
ematical examination of a select number of propagation models. Brekhovskikh and
Lysanov (1982, 2003) presented a comprehensive Russian perspective on under-
water acoustics with a limited treatment of modeling. Piskarev (1992) and Godin
and Palmer (2008) provided an account of the state-of-the-art Soviet research in
underwater acoustic propagation modeling up to 1989. Jensen et al. (2011) provided a
lucid and comprehensive review of recent theoretical developments in ocean acoustic
propagation modeling. Lurton (2002) introduced a systems-oriented view of under-
water acoustics, while Ainslie (2010) addressed broader issues in sonar performance
modeling.

1.4 ADVANCES IN SIMULATION

Broadly defined, simulation refers to a method of implementing a model over time.
The term “modeling and simulation” will refer collectively to those techniques that
can predict or diagnose the performance of complex systems operating in the under-
sea environment.
The functions of M&S can be categorized as either prognostic or diagnostic.
Prognostic functions include prediction and forecasting, where future oceanic con-
ditions or acoustic sensor performance must be anticipated. Diagnostic functions
include system design and analyses, which are typically encountered in engineering
tradeoff studies.
In the context of naval operations, simulations can be decomposed into four
fundamental levels: engineering, engagement, mission, and theater (National
Research Council, 1997). Engineering-level simulation comprises environmental,
propagation, noise, reverberation, and sonar performance models. Engagement-
level simulation executes engineering-level models to generate estimates of system
performance in a particular spatial and temporal ocean environment when operat-
ing against (engaging) a particular target. Mission-level simulation aggregates mul-
tiple engagements to generate statistics useful in evaluating system concepts within
the context of well-defined mission scenarios. Finally, theater-level simulation
aggregates mission-level components to analyze alternative system-employment
Introduction 11

Theater
Sonar

Mission
Noise/reverberation
Engagement
Propagation
Engineering
Environment

Modeling Simulation

FIGURE 1.3 M&S hierarchies illustrating the relationship between underwater acoustic
models (left) and simulations (right). In this context, engineering-level simulations comprise
environmental, propagation, noise, reverberation, and sonar performance models. (Adapted
from Etter, P.C. 2001a. J. Sound Vib., 240, 351–83.)

strategies. Figure 1.3 illustrates the hierarchical relationship between engineering-

level simulations and underwater acoustic models. Aspects of simulation will be
discussed in greater detail in Chapter 13.
A relatively new term used in the context of M&S is a community of interest
(COI), which refers to a collaborative group of users who exchange information in
pursuit of their shared goals, interests, and missions. These users benefit from having
a shared vocabulary for the information they exchange. To be effective, these COIs
try to gain semantic and structural agreement on their shared information and also
try to keep their sphere of shared agreements as narrow as possible. Typically, a COI
is a functional entity that crosses organizational boundaries and includes producers
and consumers of data as well as developers of systems and applications. As a COI
matures, it may evolve into a more formal organization such as a professional society
and sponsor technical-exchange symposia.

1.5 OPERATIONAL CHALLENGES

M&S products aid the development and employment of acoustical techniques used
to image underwater features, communicate information via the oceanic waveguide,
or measure oceanic properties (Etter, 2000). Representative applications of these
techniques are summarized in Table 1.1.
Technology-investment strategies driven by the geopolitical realities of the past
several decades have greatly influenced the direction of research and development
(R&D), in general, and of M&S, in particular. These investment strategies have
adversely impacted government and academia by diminishing budgets for undersea
research, reducing the number of field experiments, reducing at-sea-training time,
and limiting asset modernization. Other economic factors have adversely affected
the offshore industries. This situation creates new opportunities and challenges for
M&S. As will be discussed below, M&S can be leveraged as enabling technologies
12 Underwater Acoustic Modeling and Simulation

TABLE 1.1
Summary of Acoustical Techniques and Representative Applications
Acoustical Techniques Applications
Image underwater features Detection, classification, and localization of objects in the water column
and in the sediments using monostatic or bistatic sonars
Obstacle avoidance using forward-looking sonars
Navigation using echo sounders or sidescan sonars to recognize sea floor
topographic reference features
Communicate information Acoustic transmission and reception of voice or data signals in the
via the oceanic waveguide oceanic waveguide
Navigation and docking guided by acoustic transponders
Release of moored instrumentation packages using acoustically activated
mechanisms
Measure oceanic properties Measurement of ocean volume and boundaries using either direct or
indirect acoustical methods
Acoustical monitoring of the marine environment for regulatory
compliance
Acoustical surveying of organic and inorganic marine resources

to meet the technical and programmatic challenges in naval operations, offshore

industries, and oceanographic research.
Underwater acoustics also plays a role in the international monitoring system
(IMS), which comprises a network of stations that monitor Earth for evidence of
nuclear explosions in all environments to ensure compliance with the Comprehensive
Nuclear-Test-Ban treaty (CTBT). The system employs seismic, hydroacoustic, and
infrasound stations to monitor the underground, underwater, and atmosphere envi-
ronments, respectively. Bedard and Georges (2000) reviewed the application of
atmospheric infrasound for such monitoring. Newton and Galindo (2001) described
aspects of the hydroacoustic-monitoring network. Moreover, Farrell and LePage
(1996) described the development of a model to predict the detection and localiza-
tion performance of this hydroacoustic-monitoring network.
Whitman (1994) reviewed defense conversion opportunities in marine technology
and made a distinction between dual use and conversion. Dual use suggests the delib-
erate pursuit of new research, development, or economic activity that is applicable
within both military and civilian domains. Conversion implies seeking new uses for
existing defense resources. An example of conversion is the utilization of existing
undersea surveillance assets such as a National Acoustic Observatory. Research uses
include stock and migration monitoring of large marine mammals, remote ocean
observations, seismic and volcanic monitoring, acoustic telemetry, and fisheries
enforcement (Amato, 1993; Carlson, 1994).

1.5.1 Naval Operations
Over the past several decades, naval mission requirements have shifted from open-
ocean operations to littoral (or shallow-water) scenarios. This has not been an easy
Introduction 13

transition for sonar technologists since sonar systems that were originally designed
for operation in deep water seldom work optimally in coastal regions. This has also
held true for M&S technologies, which have undergone a redefinition and refocus-
ing to support a new generation of multistatic naval systems that are intended to
operate efficiently in littoral regions while still retaining a deep-water capability.
A corresponding shift has been reflected in the research directions of the supporting
scientific community as technical priorities have been realigned.
Shallow-water geometries increase the importance of boundary interactions,
which diminish acoustic energy through scattering and also complicate the detec-
tion and localization of submerged objects due to multipath propagation. Moreover,
the higher levels of interfering noises encountered in coastal regions combined with
higher levels of boundary reverberation to mask signals of interest.
Naval operations in littoral regions often rely on multistatic acoustic sensors, thus
increasing the technical challenges associated with the field-intensive experiments
necessary to test multistatic geometries. Acoustical oceanographers have conducted
supporting research using traditional direct-sensing methods in addition to more
sophisticated inverse-sensing techniques such as acoustic tomography, full-field pro-
cessing, and ambient-noise imaging (see Section 1.6). Due to an increased aware-
ness of the potential technological impacts on marine life, naval commanders and
acoustical oceanographers must now comply with new environmental regulations
governing the acoustic emissions of their sonar systems.
M&S can mitigate these technical and programmatic challenges in four ways.
First, reduced at-sea training opportunities can be offset through the use of com-
puter-based training (CBT). Second, simulation testbeds can facilitate system-
design efforts aimed at maximizing returns on diminished asset-modernization
expenditures. Third, the operation of existing systems can be optimized through
the application of high-fidelity M&S products. Fourth, system-design tradeoffs can
be evaluated using M&S products as metrics. Such efforts are important compo-
nents of the so-called simulation-based acquisition (SBA). SBA comprises product
representations, analysis tools (for design optimization and cost estimation), and an
infrastructure that allows the product representations and analysis tools to interact
with one another. These issues will be addressed in Chapter 13.
In advance of naval operations, it is necessary to collect METOC data from remote
or hostile coastal environments in order to forecast acoustic sensor performance.
Coupled atmosphere–ocean–acoustic models could reduce the need for hazardous
in situ data collection by numerically computing initial states for the embedded
acoustic models.
Specific solutions may include integration of M&S technologies in autonomous
or unmanned undersea vehicles (AUVs/UUVs) to create an advanced generation
of environmentally adaptive acoustic-sensor systems for naval operations and for
oceanographic research. This environmental adaptation is accomplished by making
in situ, through-the-sensor measurements of environmental conditions in conjunc-
tion with a sonar controller using an environmental feedback loop.
The US Navy has identified nine missions for UUVs (Martin, 2012): (1) intel-
ligence, surveillance, and reconnaissance; (2) mine countermeasures; (3) anti-
submarine warfare; (4) inspection and identification; (5) oceanography; (6)
14 Underwater Acoustic Modeling and Simulation

communication and navigation network nodes; (7) payload delivery; (8) informa-
tion operations; and (9) time-critical strike. One of these missions, network nodes,
is discussed in more detail in Section 6.15.3.
It may also be possible to leverage M&S technologies to enhance evolving net-
work-centric data fusion and sensor-integration functions (Morgan, 1998), as has
already been demonstrated in model-based signal-processing approaches (Candy
and Sullivan, 1992). A network-centric operation derives its power from the strong
networking of well-informed but geographically dispersed entities. The networked
platforms can include AUVs, surface ships, submarines, aircraft, or satellites. The
elements that enable network centricity include distributed sensor networks, a high-
performance information grid, access to pertinent information sources (in situ and
archival), precision and speed of response, and command and control processes.
Network centricity fuses common tactical and environmental pictures, thus reduc-
ing uncertainties in measurements and modeling. Simulated volumetric (3D) visual-
izations of the undersea battlespace derived from M&S technologies could further
enhance the efficient management and deployment of critical resources. The National
Research Council (2003b) examined the use of environmental information by naval
forces. The study recommended the utilization of network-centric principles in the
collection and dissemination of METOC information.
High-fidelity, multistatic sonar-performance models can also be used to gauge
compliance with environmental noise regulations concerning marine–mammal pro-
tection. Moreover, controlling underwater-radiated noise and sonar self-noise on
naval vessels is critically important, and simulation can be used to predict the noise
environments on surface ships and submarines.
For coastal-defense scenarios, sensor performance is an important input param-
eter for the judicious allocation of radar and sonar assets. The unification of radar
and sonar sensor-performance modeling could reduce the amount of information
that multisensor operators have to process. In fact, unified modeling and fused visu-
alization of sensor coverage have been demonstrated for radar and sonar in a simple
scenario (van Leijen et al., 2009). The radar-range equation and the active-sonar
equations have strong similarities (Collins, 1970).

1.5.2 Offshore Industries
In the commercial sector, acoustic sensing methods have found numerous applications
including acoustic Doppler current profilers (ADCPs) for measuring currents, com-
pact sonars for obstacle location and avoidance by AUVs (e.g., Brutzman et al., 1992),
fish-finding devices, underwater communication systems for divers, fathometers for
bathymetric sounding and navigation, and side-scanning sonars for topographic map-
ping of the sea-floor relief. Some point-source and nonpoint-source pollution studies
now use acoustic backscatter measurements to monitor the marine environment.
Offshore industries, particularly oil and gas, have undergone profound changes
over the past several decades in response to global economic factors. Specifically, the
contribution of offshore oil production to the total non-Organization of the Petroleum
Exporting Countries (OPEC) supply increased from about 25% in 1990 to about 30%
in 1995. Approximately 80% of the significant growth in non-OPEC supply up to
Introduction 15

2000 was offshore. An appreciable contribution to the growth in offshore production

was made by new technologies such as 3D ­seismic evaluations, horizontal drilling,
subsea completions, multiphase pipelines, and floating production storage and off-
loading (FPSO) vessels (International Energy Agency, 1996).
As the exploitation of offshore oil reserves has increased, exploration and produc-
tion (E&P) operations have expanded into deeper waters. For example, recent Angolan
oil-exploration concession areas comprised three water-depth bands: shallow blocks
(<500 m), deep blocks (500–1500 m), and ultra-deep blocks (1500–2500 m). By com-
parison, significant subsea oil production in the Gulf of Mexico has typically occurred
in water depths approaching 1200 m. At such depths, it is not possible to build fixed
oil rigs. Instead, floating platforms are anchored to the seabed. Since the equipment
needed to operate each well is too heavy to install on the floating platforms, the equip-
ment is placed on the sea floor where it is maintained by remotely operated vehicles
(ROVs) deployed from the floating platforms. Because these formerly topside systems
were designed for direct (human) intervention rather than remote intervention, the
tasks necessary to install and maintain these systems are difficult (if not impossible)
to perform with traditional ROV-based tools and techniques. Automation of remote-­
intervention tasks can make use of commercial-off-the-shelf (COTS) technologies
such as acoustic positioning, acoustic imaging, and enhanced user interfaces inte-
grated into a single system (Schilling, 1998). These technologies can also be used for
inspection, maintenance, and repair (IMR) operations.
Pipeline routes are planned to be as short as possible to reduce costs. Moreover,
bottom slopes that could put stress on unsupported pipes are avoided, seabed sedi-
ments are mapped to identify unstable areas, and pipe-burial options are assessed.
Surveys of potential pipeline routes commonly utilize data derived from sidescan
sonars.
METOC data-collection efforts in support of offshore operations often employ
ADCP sensors to measure surface and subsurface ocean currents. These data are
required to determine the vertical and horizontal current shears that can impact the
siting and placement of offshore structures.
Employing volumetric (acoustic) plume detection to identify hydrocarbon seep-
ages of natural or man-made origins can fulfill environmental monitoring mandates.
Oil-spill tracking, prediction, and containment operations, as well as disposal moni-
toring, can also employ volumetric acoustic methods.
Offshore work in marginal ice zones (MIZs) requires knowledge of ice thickness
and under-ice features (especially keels). Information on under-ice features can be
obtained from AUVs or ROVs equipped with upward-looking (acoustic) echo sound-
ers. This information can complement independent surface (altimeter) measurements
of ice ridges to obtain estimates of total ice thickness.
Acoustic systems are used widely in the offshore industry for ROV tracking, seis-
mic-towfish tracking, and drilling operations. These systems must perform in noisy,
shallow-water environments. Acoustic transponders function as navigational bea-
cons and as remote-control release mechanisms in the deployment and recovery of
instrumentation packages. Moreover, subsea drilling-rig supply operations employ
acoustic beacons for navigation and docking evolutions. Similarly, divers often rely
on portable acoustic devices for communication and navigation.
16 Underwater Acoustic Modeling and Simulation

Noise-control design of planned facilities and noise-control retrofit of existing

plants entail environmental-noise monitoring, M&S, and development of noise-­
control procurement specifications.
Offshore industries can benefit most from recent advances in M&S by integrat-
ing such technologies directly into ROV/AUV control software in order to improve
responsiveness to changing environmental conditions. Furthermore, increasing the
use of M&S in system design and operator-training functions may derive additional
technical and economic benefits.

1.5.3 Operational Oceanography
The term “operational oceanography” has become a topic of frequent discussion in
the contemporary trade literature, although the activities normally associated with
this term have been in existence for some time. The three principal attributes that
characterize operational oceanography are: (1) routine and systematic measurements
of the oceans and atmosphere; (2) modeling, simulation, analysis, and interpretation
of these measurements to generate useful information products; and (3) rapid dis-
semination of these products to the user communities. The user communities typi-
cally comprise government, industry, regulatory authorities, research institutions,
and the general public.
In data assimilation centers, numerical forecasting models process the data and
generate information products. The utility of these simulated products is further
enhanced (value engineered) by subject-matter experts in disciplines such as marine
transportation, marine construction, public health, and seawater quality. Different
applications require different products. This implies that an array of information
products must be tailored to satisfy the needs of specific user communities, who have
been identified in advance through socioeconomic or cost–benefit analyses.
Civil applications of operational oceanography in coastal regions are most visible
and include warnings against hazards such as coastal floods, waves, coastal ero-
sion, and effluent contamination. Commercial applications in the open ocean include
guidance on optimal ship routing. Defense applications of operational oceanography,
as defined by the US Department of the Navy (2000b), include the development
of oceanic and atmospheric observations and models to provide on-scene com-
manders with predictive capabilities, especially in the littoral zone. The US Navy’s
Geophysics Fleet Mission Program Library (GFMPL) contains meteorological,
oceanographic, electromagnetic, and acoustic software for use as aids in planning
naval operations in the open ocean as well as in the littoral zone. Clancy (1999) and
Clancy and Johnson (1997) provided useful overviews of naval operational ocean
modeling products and applications.

1.6 INVERSE ACOUSTIC SENSING OF THE OCEANS

Useful information about the ocean can be derived from both direct and inverse
applications of underwater sound. Direct (or forward) methods include traditional
sonar applications. Inverse methods extract information from direct measurements
of the physical properties of the ocean (Buchanan et al., 2004). These inverse methods
Introduction 17

combine direct physical measurements with theoretical models of underwater acous-

tics. The ­objective is to estimate detailed underwater acoustic fields from sparse
physical measurements using the theoretical models as guides.
Inverse sensing techniques that employ acoustics have been used in several sub-
disciplines of geophysics including seismology, meteorology, and oceanography.
Seismologists have used tomographic techniques to infer the bulk properties of the
lithosphere (e.g., Menke, 1989). Atmospheric scientists have employed naturally
generated, low-frequency sound (microbaroms) to probe the upper layers of the
atmosphere in an inverse fashion (Donn and Rind, 1971); Coulter and Kallistratova
(1999) discussed acoustic remote sensing of the lower atmosphere. In oceanography,
inverse acoustic data provide estimates of spatially integrated and temporally aver-
aged oceanic conditions that are not readily available from a traditional constellation
of point sensors (e.g., Bennett, 1992). Collins and Kuperman (1994b) presented a
broad discussion of inverse problems in ocean acoustics and methods for solving
them. Parameters of interest included sound speed in the water column, sediment
properties, and boundary roughness. The importance of direct models in solving
inverse problems was stressed.
Diachok et al. (1995) documented the proceedings of a conference on full-field
inversion methods in ocean and seismo-acoustics, which was sponsored by the
NATO SACLANT Undersea Research Centre in Italy in June 1994. At this con-
ference, it was demonstrated that inversion methods could exploit the amplitude
and phase information detected on hydrophone arrays or geophone arrays to infer
environmental information about the ocean. Furthermore, proceedings of an inter-
national workshop on Tomography and acoustics: Recent developments and meth-
ods (University of Leipzig, March 2001) were documented in a special issue of the
Journal of the European Acoustics Association (ACUSTICA · Acta Acustica, Vol.
87, No. 6, 2001). This 2-day workshop addressed: (1) tomography, (2) acoustics, (3)
atmosphere applications, and (4) ocean applications.
Inverse acoustic sensing of the oceans utilizes one of three natural phenomena:
propagation, noise, or reverberation. Table 1.2 summarizes selected inverse ocean
acoustic sensing techniques according to the natural phenomenon utilized. The spe-
cific techniques identified in Table 1.2 will be discussed below and in appropriate
sections throughout this book.
Acoustic propagation characteristics in the deep oceans are determined largely
by the refractive properties of the water column and, to a lesser extent, by the sur-
face and bottom boundary conditions. Propagation measurements can be used to
infer bulk properties of the water column such as temperature, sound speed, den-
sity, and currents. In shallow-ocean areas, where propagation characteristics can be
strongly affected by the bottom boundary, propagation measurements can be used
to infer properties of the sea floor such as composition and scattering characteris-
tics. Caiti et al. (2000) reviewed recent progress in experimental acoustic inversion
methods for use in shallow-water environments based on papers presented at a work-
shop sponsored by the Portuguese Foundation for Science and Technology in March
1999. Taroudakis and Makrakis (2001) edited a collection of papers that addressed a
wide spectrum of inverse problems in underwater acoustics, including estimation of
geoacoustic parameters, acoustic thermometry, and shallow-water characterization.
18 Underwater Acoustic Modeling and Simulation

TABLE 1.2
Summary of Inverse Ocean-Acoustic Sensing Techniques
Propagation Noise Reverberation
Matched field processing Field inversion Field inversion
Source localization Wind speeds Sea-floor imaging
Marine environment characterization Rainfall rates
Ocean acoustic tomography Acoustic daylight TRM nulling
Density field (eddies, currents) Object imaging Reverberation attenuation
Temperature (climate monitoring)
Deductive geoacoustic inversion Geoacoustic inversion
Sediment parameters Seabed acoustics
Sea-floor scattering characteristics
Time reversal mirror
Signal refocusing

Inverse acoustic sensing methods utilizing the propagation (controlled source) char-
acteristics of the oceans include matched field processing, ocean acoustic tomogra-
phy, and deductive geoacoustic inversion. A new technique known as a time reversal
mirror (TRM) uses inverse methods to refocus received signals back to the source
(see Section 6.11).
The ambient noise field in the oceans is described by the spectral, spatial, and
temporal characteristics of sound generated by both natural and industrial sources.
Measurements of these characteristics can provide useful information regarding the
nature of the noise sources themselves as well as physical features within the oceans.
Examples of inverse applications of the noise field include wind speed determina-
tion, rainfall measurements, object imaging (“acoustic daylight”), and geoacoustic
inversion (see Chapter 7).
The reverberation field in the oceans is the product of acoustic scattering by the
surface and bottom boundaries, and by inhomogeneities within the oceans. The util-
ity of the reverberation field as an inverse sensing technique is analogous to that
of the ambient noise field. For example, the reverberation field can be inverted to
image the sea floor. A new development uses TRM methods to attenuate reverberant
returns (see Section 9.4).
Inverse acoustic sensing techniques presently constitute adjuncts to direct mea-
surement methods. However, the application of inverse acoustic sensing techniques
to dynamical studies of the oceans’ boundaries and interior show great promise for
three reasons. First, such data can be used to establish comparative baselines for
other remote sensors, such as satellites, by providing synoptic portraitures of the
interior oceans together with concurrent ground truth data at the sea surface. Second,
inverse acoustic techniques often afford useful insights into a broad class of oceanic
phenomena since their successful employment relies heavily on the use of numeri-
cal models first to understand the role of the oceans as an acoustic medium. Third,
inverse data provide estimates of spatially integrated and temporally averaged oce-
anic conditions that are not readily available from traditional oceanographic sensors.
Introduction 19

Wille (2005) provided an overview of acoustic imaging applications in an atlas

that facilitated an interdisciplinary understanding of underwater acoustics and its
diagnostic capabilities.

1.7 STANDARD DEFINITIONS

A consistent vocabulary and standard system of units is essential for work in any
scientific discipline. Such a system facilitates efficient and unambiguous commu-
nication among members of the community. The underwater acoustics community
has struggled with a common vocabulary and standard system of units for quite
some time. This situation derives, in part, from the fact that many of the partici-
pants in this community have been trained in other disciplines and later migrated
into this field.
Many investigators have introduced suggestions for a standard system of units
to satisfy the requirements that are unique to the underwater acoustics community.
Recently, for example, Carey (1995) clarified the use of SI metric units for measure-
ments and calculations used in underwater acoustics and bioacoustics, whereas Hall
(1995) reexamined the dimensions of units for source strength, transmission loss, tar-
get strength, surface-scattering strength, and volume-scattering strength. [Hall (1996)
presented important corrections to his 1995 paper.] In addition, technical dictionaries
(e.g., Morfey, 2000) provide useful guidance on proper terminology and usage.
Work in M&S also requires a consistent vocabulary. In this regard, the Institute
of Electrical and Electronics Engineers (1989) published a glossary of definitions
for M&S terms. The US Defense Modeling and Simulation Coordination Office
(DoDM&SCO) assembled the DOD M&S Glossary, which prescribes a uniform
M&S terminology, particularly for use throughout the Department of Defense. In
addition to the main glossary of terms, this highly useful manual includes a list
of M&S-related abbreviations, acronyms, and initials commonly used within the
Department of Defense (refer to Appendix C for the DoDM&SCO web site).
Recent communications in the forum of the Journal of the Acoustical Society of
America (Clay, 1999; Hickling, 1999; Chapman, 2000) highlight confusion over use
of the decibel. In Chapter 3, the use of the decibel in underwater acoustics will be
explained in more detail. Confusion over the decibel has created significant techni-
cal and legal problems for those acoustical oceanographers and sonar technologists
who must interact with their counterparts in aeroacoustics and bioacoustics. In air
acoustics, a reference sound pressure of 20 μPa is used, whereas the current choice in
underwater acoustics is 1 μPa. Part of the confusion arises from the use of decibels to
represent ratios of dimensionless quantities as well as ratios of absolute quantities hav-
ing physical dimensions. When reporting ratios of dimensionless quantities (such as
reflection losses), decibels can be used without further qualification. However, when
decibels are used to represent ratios of absolute quantities having physical dimensions
(such as radiated noise levels), the reference quantities (pressure and distance) must be
clearly stated. Since acoustical measurements are first made in SI units (sound pres-
sure in pascals and radiated source power in watts) and then converted into decibels,
some researchers have argued that confusion caused by the decibel could be removed
by reporting acoustical measurements in SI units.
20 Underwater Acoustic Modeling and Simulation

The need for standardized definitions continues to motivate research. In an inves-

tigation of the definition of propagation loss, EPWI (equivalent plane wave intensity)
was contrasted with MSP (mean square pressure) formulations of propagation loss
(Ainslie, 2004), with a preference expressed for an MSP ratio (Ainslie and Morfey,
2005).
Ambient sound levels in air and underwater were compared using units of inten-
sity spectral density (W m−2 Hz−1) over the frequency range 10 Hz to 100 kHz (Dahl
et al., 2007). The intensity spectral density ranged from 10−16 to 10−4. It was found that
the intensity spectral density of a quiet residential environment (with distant traffic
influence) exceeded that of nominal high-level underwater ambient noise conditions.
Finally, Carey (2006) reviewed definitions from the American National Standards
on Acoustics that are applied to common sources used in both underwater acoustics
research and naval sonar system operation. Metrics were recommended for both con-
tinuous and transient sound sources.
 2 Acoustical Oceanography

2.1 BACKGROUND
Acoustical oceanography describes the role of the ocean as an acoustic medium
by relating oceanic properties to the behavior of underwater acoustic propagation,
noise, and reverberation. Consequently, acoustical oceanography includes both the
study of acoustics in the ocean and the use of acoustics to study the ocean. Acoustical
oceanography crosses four other branches of oceanography: physical, chemical, geo-
logical, and biological oceanography.
Sound propagation is profoundly affected by the conditions of the surface and ­bottom
boundaries of the ocean as well as by the variation of sound speed within the ocean
­volume. The single most important acoustical variable in the ocean is sound speed. The
distribution of sound speed in the ocean influences all other acoustic phenomena. The
sound-speed field, in turn, is determined by the density (or temperature and salinity)
distribution in the ocean. Advection of the underwater sound field by water currents is
also important. Refraction of sound by fronts, eddies, and other dynamic features can
distort the propagation of acoustic signals. Knowledge of the state of the sea surface
as well as the composition and topography of the sea floor is important for specifica-
tion of boundary conditions. Bathymetric features can block the propagation of sound.
Biological organisms contribute to the noise field and also scatter underwater sound
signals. The balance of this chapter will address (1) physical and chemical properties,
(2) sound speed, (3) boundaries, (4) dynamic features, and (5) biologics.
A number of books and published papers already exist on these subjects and
appropriate citations will be made to them. Notable text and classic reference books
of a general nature include those by Apel (1987), Broecker (2010), Gill (1982),
Medwin and Clay (1998), Neumann and Pierson (1966), Peixoto and Oort (1992),
Pickard and Emery (1990), Roll (1965), and Sverdrup et al. (1942).

2.2 PHYSICAL AND CHEMICAL PROPERTIES

Temperature is basic to any physical description of the oceans. It is the easiest and there-
fore the most common type of oceanographic measurement made. The exchange of heat
between the ocean and the atmosphere depends strongly on temperature in the marine
boundary layer. The density field and resulting stratification of the ocean depend largely
on temperature. The speed of sound in the upper layers of the ocean is most strongly
dependent on temperature. Temperature further influences the kinds and rates of chemi-
cal reactions occurring in the ocean. The distribution of nutrients and other biologically
important substances depends on temperature and the resulting density stratification.
Sea water is a binary fluid in that it consists of various salts in water. The pres-
ence of salts affects a number of oceanic parameters including compressibility,

21
22 Underwater Acoustic Modeling and Simulation

sound speed, refractive index, thermal expansion, freezing point, and temperature
of m­ aximum density.
Colligative properties are those properties of sea water that depend on the number
of dissolved particles in solution, but not on the identities of the solutes. The four
commonly studied colligative properties are freezing-point depression, boiling-point
elevation, vapor-pressure lowering, and osmotic pressure. Since these properties
yield information on the number of solute particles in solution, they can be used to
obtain the molecular weight of the solute.
Salinity is a term used to measure the quantity of salts dissolved in sea water
and is expressed in units of parts per thousand (‰ or ppt). The precise definition
of ­salinity is complicated. Fofonoff (1985) reviewed the development of the modern
­salinity scale and the equation of state for sea water. The Practical Salinity Scale 1978
was introduced to rectify shortcomings associated with the traditional chlorinity–­
conductivity relationship used to establish salinity (Lewis, 1980; Perkin and Lewis,
1980; Culkin and Ridout, 1989). In the new scale, the existing link between c­ hlorinity
and salinity was broken in favor of a definitive salinity–conductivity relationship. The
new practical standard is IAPSO (International Association for the Physical Sciences
of the Ocean) Standard Seawater, produced and calibrated by the IAPSO Standard
Seawater Service. Salinity is now a dimensionless quantity (psu, or practical salin-
ity unit) because the algorithms in the new scale were adjusted to eliminate the ‰
(or ppt) used in previous scales.
The density of sea water is related to temperature, salinity, and pressure (which
is nearly proportional to depth) through the equation of state (e.g., Fofonoff, 1985).
Density provides a measure of the hydrostatic stability in the ocean. Specifically, a
stable water column is one in which density increases monotonically with increasing
depth.
Sea water is compressible, although less than pure water. The compressibility
of sea water can be expressed by the coefficient of compressibility, which relates
fractional changes in water volume to the corresponding changes in pressure (e.g.,
Apel, 1987).
Compressibility of sea water is an important factor in several applications: the
precise determination of the density of sea water, particularly at great depths; the
computation of adiabatic temperature changes in the ocean (in an adiabatic process,
compression results in warming, whereas expansion results in cooling); and most
importantly, the computation of sound speed in sea water.
The speed of sound (c) in sea water is related to the isothermal compressibility
(K) as

γ
c= (2.1)
Kρ

where γ is the ratio of specific heats of sea water at constant pressure and constant
volume and ρ is the density of sea water. The isothermal compressibility is easier to
measure experimentally than is the adiabatic compressibility.
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 At first there no doubt existed a special dress worn during the
hours of service, but it is supposed that it was only in its colour,
which was white, that this dress differed from that worn by the
deacons and the priests in everyday life. The maniple (manipulum)
and the stole (stola), accessories to the alb, which was the original
vestment worn by the priest, were not adopted and consecrated by
the liturgy till the third or fourth centuries. The deacons only wore
the stole during the sacrament, but the priests wore it continuously,
as a mark of their sacerdotal dignity. The use of the chasuble was
subsequent to that of the stole, the alb, and the dalmatic. The
chasuble is first mentioned in the twenty-seventh canon of the
Fourth Council of Toledo (in 527 a.d.).
Prior to the fifth century, the clergy were obliged to wear no
distinctive dress in private life. As in the days of the Apostles, the
bishops, the priests, the clerks, the deacons, and the choristers wore
tunics and sandals, as prescribed by the Saviour in the Gospel of St.
Mark (vi. 9). They covered themselves with a square piece of black
or brown cloth, which was draped around the figure, and was
fastened by neither hook nor tie; beneath it was a plain tunic of a
dark colour. In the fifth century Pope Celestinus disapproved of this
costume, which caused the followers of Christ to be confounded with
the Stoic philosophers. In the sixth century the laity had abandoned
the Roman style of costume, and wore short dresses, copied from
those of the barbarians who had become the rulers of Gaul; but the
Church, careful of the dignity of its ministers, refused to adopt this
expensive alteration. Henceforward a broad distinction was
established between the dress of the clergy and that of the laity. The
Council of Agde (506 a.d.) ordered all clerks to wear clothes and
shoes of a peculiar cut, in conformity with their religious profession.
Two later councils forbade them the use of the Roman military cloak
(sagum) and of purple-coloured stuffs. Gregory the Great forbade
his household to wear any dress but the long toga, as the one
essentially appropriate to the people of the Church. This costume,
with scarcely any modification, was worn by all orthodox
ecclesiastics, through all the changes of the Middle Ages, until the
seventeenth century.
The priest, when in the exercise of his holy functions, was not
expected to make any change in his dress. Still, from the fourth to
the ninth century everything seems to show that his proper costume
was always white, or at least that it was so during the celebration of
the highest ceremonies. St. Chrysostom, feeling the approach of
death, and being anxious to partake of the holy sacrament, called
for his white vestments, and distributed those he was wearing, even
to his shoes, among his assistants. The customs and traditions of the
West conformed in this to those of the East. The neophyte was
stripped of his worldly garments, he was clad in a white or religious
robe (habitus religionis), and was then considered fit to perform his
duties. Sometimes, however, the white robes of the sovereign pontiff
were adorned with bands of gold or purple. White was not mixed
with other tints in the dress of the clergy till towards the ninth
century; the five hues admitted by religious symbolism date only
from the twelfth century.
Fig. 187.—Romanesque perforated Handbell, representing the symbols of the Four
Evangelists (Twelfth Century).—From the Archæological Museum at Rheims.
Charlemagne, who was proud of his thorough acquaintance with
the liturgy, who esteemed it an honour to wear, on high occasions,
the green chasuble embroidered with gold, and to chant the epistles
before the assembled congregations, took the greatest pains with all
the ceremonies of the Church; and it is an undoubted fact that the
pomp with which they were afterwards celebrated was inaugurated
by him.
Charlemagne and his successors, Louis the Affable and Charles
the Bald, did not, however, content themselves with merely
attending to ceremonial pomp; they did their best to introduce a
principle of unity in conformity with the Roman liturgy. At the
commencement of the eighth century Pope Adrian I., having sent to
Charlemagne an antiphonary scored by St. Gregory himself, the
Emperor ordered all the churches in his dominions to adopt the
Gregorian chant. Thenceforward the ancient Gallican liturgy almost
disappeared, and when Charles the Bald was desirous of comparing
together the Greek, Roman, and Gallican liturgies, he was obliged to
summon ecclesiastics from Toledo to officiate in his presence
according to the Gallican rite. Charles preferred the Roman ritual;
but notwithstanding this, each diocesan cathedral, each separate
abbey, introduced into the Gallo-Roman liturgy various accessory
forms differing more or less from one another.
It is possible to trace back to the sixth century the first use of
church bells, but their general introduction into the Western church
dates from the eighth century. They were termed seings (in Latin
signa); they were not rung, but were simply struck with wooden or
metal hammers (Fig. 187), as is still done south of the Pyrenees.
From this practice comes the word toc-seing or tocsin, applied to the
municipal peals of the Middle Ages and of still later times. The organ
(organum) also dates from the eighth century. Imperfect as this
instrument originally was, it caused tremendous enthusiasm among
its hearers. Indeed, it may be said that organs and church bells had
an equal share in raising the prestige of the ceremonial liturgy, which
charmed and captivated both the senses and the souls of its hearers,
by the display of its numerous officiating clergy, by the solemn
gravity of its chants, by the noble simplicity of the vestments, and by
the chaste and majestic arrangement of its ritual.
Fig. 188.—The Triumph of the Lamb.—Christ, typified
as the spotless lamb, with a glory round his head
and holding the cross, is at the feet of God the
Father; around him are the Four Evangelists,
represented by their typical attributes, and
resting upon wheels of fire. The archangels are
bringing him their offerings. The firmament is
supported by four angels. Beneath is St. John
explaining the Apocalypse to his commentator.—
From a Miniature in the “Commentary upon the
Apocalypse,” by Beatus; a Manuscript of the
 Twelfth Century, in the Collection of M. Ambroise
Firmin-Didot.
Under the last Carlovingians the liturgy gradually deteriorated;
less in the East perhaps than in the West, less at Rome and Milan
perhaps than elsewhere, but everywhere the signs of deplorable
relaxation and falling away were manifest. The choristers attempted
to assume the privileges of the clerks; the deacons arrogated to
themselves impossible rights of independence; the priests despised
the bishops, and too frequently the bishops, presuming on their
power, had the audacity to disobey the pontifical decrees. This
change and deterioration principally showed itself in the psalmody, in
the chants, in the adornment of the sanctuary, and in the dress of
the ecclesiastics. The Byzantine methods of treatment, as applied to
architectural monuments and to the various forms of Christian art,
did something to preserve the traditions of the liturgy, but from the
close of the tenth century till the twelfth much confusion prevailed in
the Latin Church. It was reserved for the Crusades, after a century
and a half of adventurous expeditions, to bring back from countries
beyond the sea, from Antioch, from Constantinople, and from
Jerusalem, the elements and the principles of a Neo-Greek liturgy, in
which the degenerate Gallo-Roman was as it were saturated, and its
whole character remodelled.
The Catholic liturgy thus underwent a touching and marvellous
transformation; this transformation was inaugurated by the
construction of new churches, in which the Romanesque style gave
place to that of the Ogive or Gothic; by the erection of slender
belfries, recalling the minarets of the Mahometan mosques; by the
introduction of transparent pictures on painted glass; by the chaste
but splendid appointments of the chapels; by the dazzling
decorations of the altars; by the melody of the church bells, the
sonorous messengers of religion calling the faithful to prayer; and by
the harmony of the human voice with the organ and other musical
instruments. A complete and ingenious symbolism was contained in
this comprehensive allegorical ritual, and rendered the liturgy a
veritable sanctuary of Christian instruction and sacred tradition, each
mystery (Fig. 188), each precept of which penetrated into the soul,
as it were, through the medium of the senses.
In the thirteenth century, when the celebrated William Durand,
Bishop of Mende, wrote his “Rationale of Divine Service,” a complete
collection of the liturgy of the day, this sort of canonical legislation
became settled as much as a matter could be which the bishops and
even the mere priests were continually modifying. William Durand,
following the example of his predecessors, included many
innovations which were to be lamented, many eccentric rites foreign
to the traditions of the primitive church, and lowering to the dignity
of divine worship. Enlightened minds felt the truth of this, and the
Council of Trent found it necessary to demand a liturgical reform. In
consequence of this demand Pope Pius V., in 1568, issued the
corrected form of the Roman Breviary, and, in 1570, the new Missal.
As the principal object was to reform the errors which had crept in in
later times, the dioceses which possessed rituals of at least two
hundred years old could either preserve their own customs or adopt
the Breviary and the Missal of Pius V.
The Church has deviated as little as possible from its ancient
ceremonial, particularly in what concerns the administration of the
sacraments. Nevertheless, seven sacraments, which we will rapidly
notice in the order in which they are enumerated by the Council of
Trent, were formerly accompanied by certain ceremonies which the
change of manners and customs has caused to fall into disuse, and
which we shall mention merely as a proof of their antiquity.
 Fig 189.—Three Sacraments: Baptism, which
inaugurates life; Confirmation, which
strengthens childhood; and Penance,
which reconciles manhood.
Left portion of the triptych painted on panel by Roger Van der
Weyden (Rogier del Pasturle).—From the Antwerp Museum
(Fifteenth Century).]
 1. Baptism, which St. Peter had given by aspersion to the three
thousand persons whom he converted by his first sermon, was also
given in primitive times by immersion; finally infusion (from the Latin
verb infundere, to sprinkle) was adopted in the manner in which it is
practised in our own day (Figs. 189 and 190).
2. Confirmation was administered immediately after baptism,
when only adults were admitted to the latter sacrament; but when
baptism was administered to new-born infants, confirmation had to
be postponed till the receivers of the rite were old enough to answer
for themselves—that is to say, until they were capable of
distinguishing between good and evil (Fig. 189).
3. The Eucharist from the earliest times was administered under
the name of communion to those in sound health, and under the
name of viaticum to those at the point of death (Figs. 192 and 193).
Fig. 190.—The Ship of Baptism, a Flemish work of the
Sixteenth Century, in chiselled gold and silver;
from the Collection of M. Onghena, at Ghent.—
When a child was baptized, it was the custom in
the Low Countries to drink the infant’s health in a
cup of spiced wine. The cup, shaped like a boat,
is typical of the voyage of life: an aged knight is
at the helm, two others are fencing together, a
sailor adjusts the rigging, the wind fills the sail,
and at the mast-head the look-out scans the
horizon. The Flemish device runs thus: “A
fortunate voyage to the new-born.”
 The communion, that is to say the host, was received in the hand,
and was administered by the communicant himself. After the sixth
century women were enjoined to receive it in a white veil, termed
dominical, with which they lifted it to their mouths without touching
it with their hands. In 880 the Council of Rouen decreed that in
future the sacrament was only to be received at the hand of the
officiating priest. Until the thirteenth century the communion was
always preceded by the kiss of love; the men embraced the men,
and the women the women. After the distribution of bread the
deacons came forward with two-handled cups of large dimensions,
containing wine for the communicants, which each tasted through a
golden pipe (Fig. 191).

Fig. 191.—Sacramental Cup; a work of the Twelfth Century, in

silver gilt, from the Abbey of the Benedictines of Witten, near
Inspruck.
 Fig. 192.—The Sacrament of the Eucharist, which keeps youth
holy.—Central portion of the triptych, by Roger Van der
Weyden, in the Antwerp Museum (Fifteenth Century).
4. Penance, the obligatory practice of which was reduced to once
a year by the fourth Lateran Council, had always for its aim the
absolution from sin consequent upon confession.
 Excommunication, the extreme punishment inflicted upon great
sinners, was pronounced by the faint light of a wax taper, which the
priest afterwards extinguished and trampled under foot. In some
countries the populace used to carry a bier to the door of the
excommunicated person; stones were hurled against his dwelling,
and all kinds of foul abuse were heaped upon him. Of a still more
solemn nature was the excommunication pronounced by the pope
himself on Holy Thursday, in virtue of the bull termed In Cœna
Domini, against all who appealed to the general council against the
decrees and the ordinances of the pontiffs; against the princes who
exacted unfair tribute from ecclesiastics; and against heretics,
pirates, &c. A deacon read the bull from the balcony (loggia, an
open tribunal) of St. Peter’s in the presence of the pope, who, as a
symbol of anathema, dashed a lighted torch of yellow wax into the
open court of the Vatican, which the assistants hastened to
extinguish by trampling upon it. It was also on Holy Thursday that
the reconciliation of the penitents took place, that is to say, their
general absolution, to enable them to take part in the mysteries of
Easter.
Fig. 193.—Legend of the passage of the viaticum across a wooden bridge, at
Utrecht, in 1277. Some dancers having allowed the host to pass without
discontinuing their dances, the bridge suddenly gave way and two hundred
persons were drowned in the river.—Fac-simile of an Engraving upon Wood by
P. Wolgemuth, in the “Liber Chronicarum Mundi:” Nuremberg, 1493, in folio.
5. Extreme unction has always been given to sick people in
danger of death, according to the recommendation of the Apostle St.
James. The material of which this sacrament is composed is the oil
of the infirm, but we can see from old rituals that the place and
number of the unctions have varied at different times in the
administration of this sacrament (Fig. 194).
6. Orders. Besides the higher orders, which were conferred as
they are in our own day, the Church included from the earliest times
the four minor orders, which were bestowed, as now, upon the
tonsured clerks; that is to say, the orders of porter, reader, exorcist,
and acolyte.

Fig. 194.—Three Sacraments: Marriage, at full

manhood; Orders, at old age; and Extreme
Unction, at death. Right portion of the triptych
painted on panel by Roger Van der Weyden.—
Antwerp Museum. Fifteenth Century.
 The consecration of abbots and abbesses, although made with a
great deal of ceremony, was not considered as an ordination, but
only as a benediction. The bishop, after giving the abbot the
communion under the form of bread, blessed him, placed a mitre on
his head, and gave him his gloves, the symbols of his rank, with the
customary prayers. The abbot’s crosier and ring were bestowed
upon him before the offertory. Alexander II., elected pope in 1061,
was the first to confer upon abbots the privilege of wearing the
mitre. Abbesses also enjoyed the right of carrying the crosier; they
received it from the hands of the bishop, together with the pastoral
cross and ring. In the synods and councils the abbots were only
allowed to wear a mitre ornamented with orfroi (a golden fringe),
but devoid of pearls and precious stones; the bishops wore the
precious mitre, that is to say, one ornamented with pearls and
jewels.
7. The ceremony of marriage has altered but little. In old days,
however, it was celebrated at the door and not in the interior of the
church. In the ninth century the priest placed jewelled crowns upon
the heads of husband and wife; these crowns were made in the
shape of a tower, and were afterwards kept near the altar.
Most religious ceremonies were accompanied with processions;
but besides these there were great public processions varying
according to the country and the diocese in which they took place.
They were regulated by special liturgies, which formed a separate
ritual termed processional. The procession of palms or of branches,
which takes place the Sunday before Easter, in remembrance of the
entry of Christ into Jerusalem, had for a long time been customary in
the East, when towards the sixth or seventh century it was adopted
by the Latin church, which frequently added scenic accessories,
intended to make a still deeper impression on the minds of the
spectators. This ancient festival was distinguished by many names;
by some it was termed the Hosanna, in memory of the acclamations
with which Jesus was received in Jerusalem; by others the Sunday of
Indulgences, on account of the indulgences distributed by the
Church on that holy day. In old times verses from the Gospels,
inscribed upon a richly ornamented banner surrounded with palm-
leaves, were carried in this procession, and it was frequently also
accompanied by the chalice containing the host, in the midst of
consecrated branches. It was, as a rule, customary that the ashes
employed for the ceremony of Ash Wednesday should be those of
the branches carried in the procession of the preceding year, and
which were carefully preserved from year to year, and burnt when
thoroughly desiccated.
In 1262 Pope Urban IV. confirmed and extended to the whole of
Christendom the statute of Robert, Bishop of Liége; who, being of
opinion that the ceremony of the eucharist ought to be celebrated in
a more solemn manner than it was possible to do upon Holy
Thursday, the day set aside for the reconciliation of penitents, had
decreed that every year, on the first Thursday after Pentecost, the
festival of Corpus Christi, or the Fête-Dieu should take place (Fig.
195); the office for which, the same as is used in our own day, was
composed by St. Thomas d’Aquinas.
Fig. 195.—Procession of the Host, in Paris: “The procession proceeds
from the Maison aux Piliers, the ancient Hôtel de Ville, to the Place
de Grève. To the left may be seen Jean Juvénal des Ursins, on his
knees before the host, which is carried on a species of litter by a
couple of monks of the Sainte-Chapelle, and surrounded by the
clerks of the brotherhood crowned with wreaths of roses and
carrying large lighted tapers.... To the right, and towards the banks
of the Seine, and in front of the floating piles of wood, is the great
Croix de Grève. On the other side of the Seine may be seen the
Cathedral of Notre-Dame.”—From a Miniature in the Manuscript of
the “Hours of Juvénal des Ursins,” presented by M. Ambroise Firmin-
Didot to the town of Paris, and burnt in 1871 in the conflagration of
the Hôtel de Ville.
 Fig. 196.—Solemn Procession made on the 7th September, 1513, by the clergy
and inhabitants of Dijon, to obtain from Our Lady the relief of the town, at
that time besieged by the Swiss. The ceremony was afterwards renewed
every year at the same epoch; it was termed the “Festival of Our Lady of
the Swiss.”—Tapestry of the Sixteenth Century, in the Dijon Museum.—
From a copy in the possession of M. Ach. Jubinal.
The procession termed Litanies majeures, first instituted in 589 by
Pope Pelagius II., owed its origin to a plague that desolated Rome
after an inundation of the Tiber.
In 474 St. Mamert, Archbishop of Vienne, in Dauphiny, in order to
thank God for having delivered his diocese from the scourges which
desolated it, and from the wild beasts which ravaged it, founded the
procession of Rogations, which took place during the three days
which precede the feast of the Ascension. This procession was
ordered for the whole of France by the Council of Orleans in 511;
but it only came into use at Rome towards the close of the eighth
century, under Pope Leo III.

Fig. 197.—Pentecost.—Fac-simile of a Miniature from the “Psalmody of St. Louis.”—

Manuscript of the Thirteenth Century, in the National Library, Paris.

The procession which precedes the mass of Ascension Thursday is

of the highest antiquity; but nowhere was it carried out with greater
ceremony, or attended by a larger number of pilgrims, than at the
church built in Palestine by St. Helen, mother of Constantine, on the
very spot where the ascension took place, and where still might be
seen on the stone the last footprints of our Saviour, as He left this
earth and ascended to heaven.
Fig. 198.—The Adoration of the Magi.—From a pax attributed to Maso Finiguerra
(Fifteenth Century), preserved at Florence. One of the kings is on his knees,
and has taken off his crown to present incense and myrrh to the Infant Jesus;
the others are riding towards the manger, escorted by their varlets and pages,
and followed by a long caravan; there are angels on the roof playing the viol
and the lute.
 In fact, in the Middle Ages there were an immense number of
festivals which gave rise to processions (Fig. 196) and to other
religious ceremonies. It must not be forgotten that all great festivals
were indifferently termed Easters. The anniversary of the
resurrection of Jesus Christ was the great Easter, and in order to
prepare worthily for it, the body was purified by baths, and the hair
and the beard were cut, as tokens of the care with which the
Christian ought to preserve the purity of his soul, and to remove the
vices that infect the unregenerated man. The Nativity, Epiphany,
Ascension, and Pentecost were also called Easter. In some churches,
at Great Easter, dramatic representations were given of the
mysteries the festival celebrated. A procession was undertaken to a
tomb cut in a rock. Three women and two men in Israelitish dress
represented the three Marys and the disciples John and Peter, and
others dressed in white, with crowns on their heads and wings on
their shoulders, played the part of the angels who communed with
them.
Pentecost (Fig. 197), or the Easter of Roses, was accompanied
with the same dramatic and religious accessories. In many churches
during mass, at the words Veni, Sancte Spiritus, a sudden blast of
the trumpet was given to recall the great noise in the midst of which
the Holy Ghost descended upon the apostles. Sometimes, indeed, to
add to the scenic imitation of the mystery, tongues of fire fell from
the roof, or a shower of red rose-leaves took place; and doves,
emblems of the Holy Ghost, were allowed to flutter about the
church.
Fig. 199.—Knife with which the consecrated bread was cut; on the blade may be
read on one side a prayer for a blessing on the food, on the other a
thanksgiving, both with music (Sixteenth Century).—Collection of M. Ach.
Jubinal, Paris.
Fig. 200.—Altar of the ancient Cathedral of Arras
(Thirteenth Century), now destroyed; from a picture of
the Sixteenth Century preserved in the sacristy of the
Cathedral of Arras.—The angels on the top of the
columns bear the instruments of the Passion. Along the
summit of the screen are placed six reliquaries
containing the relics of different saints; they form a
retinue for Jesus, the chief of all martyrs. The
tabernacle is not a heavy square case, but a suspended
casket borne by an angel, who appears to descend
from heaven. Higher up three angels collect in the
 mysterious cup of the Grail the blood which flows from
the feet and hands of the crucified Jesus.
At high festivals the mass was followed by the ceremony of the
offering, at which all present were expected to deposit a coin in a
plate, and kiss the emblem of good-will presented to them (Fig.
198). This offering was in memory of an ancient custom. The
offerings, which in the primitive Church the faithful were accustomed
to make every day, consisted of bread and wine. They were placed
before the altar at the commencement of the second part of the
mass, after the reading of the Gospel and of the Apostles’ Creed.
The capitularies of the early Frankish kings prescribed that
neophytes were to offer bread and wine at least every Sunday. Until
the eighth or ninth century, some authors assert that for the sacrifice
of the mass, either leavened or unleavened bread was used
indifferently; but since that period leavened bread has only been in
use in the Eastern Church. From this epoch, also, the offered bread
was no longer used except for distribution to the people, as a
symbol of the communion, and it then took the name of eulogy or
consecrated bread (Fig. 199). These pieces of bread, which the
assisting priests and deacons offered successively at the altar upon
white napkins, were of a round shape. They were termed hoops,
crowns, and wheels. The custom of offering bread and wine whilst
holding a lighted taper in the hand has been handed down, and still
exists at burials in many dioceses.
The altar where the offerings were made was surmounted by a
cupola (called ciborium) sustained by four columns, between which
were curtains, which were closed during part of the service to hide
the sacred mysteries about to take place (Fig. 200). In the middle of
the cupola, above the altar, a hollow dove, made of gold or silver,
was suspended (Fig. 201); in this the eucharist for the sick was kept.
This silver dove was replaced at a later period by the tabernacle.
 Fig. 201.—Dove suspended above
the altar, containing the
eucharistic box (Thirteenth
Century).—“Studies upon the
Archæology of the Altar,” by
Laib and Schwarz.
We have thus seen that time has only brought about slight
modifications in the liturgy of the Church; on the other hand, we can
satisfy ourselves that nothing is left to conjecture or hypothesis; the
most searching criticism only affirms the truths of tradition. M. Paul
Allard, a distinguished writer, has expressed this in a very happy
manner in his work, “Subterranean Rome.” “For two centuries,” he
says, “the soil of Rome has been searched and dug up with
indefatigable ardour, in the hope of discovering the source of the
first Christian institutions, the very origin of the Church, catacombs
have been thrown open to the day, thousands of inscriptions have
been laid bare, and rare and precious paintings have been copied, or
are still to be seen. From these subterranean labours, which have
left nothing to conjecture, the history of the origin of Christianity has
emerged, complete and renovated, but differing in nothing from that
which tradition has handed down to us, and which, confirmed as to
a great number of points, has been shaken in none.”