Wave Effects in The Upper Ocean: Fangli Qiao and Chuan Jiang Huang

Wave Effects in the Upper Ocean
Fangli Qiao1,2 and Chuan Jiang Huang1,2

1 The First Institute of Oceanography, State Oceanic Administration, Qingdao, China
2 Qingdao National Laboratory for Marine Science and Technology, Qingdao, China
wave field to turbulence through complex wave–turbulence

1 Introduction 1 interaction. This has been extensively confirmed by labo-
2 Parameterization of Surface Waves 2 ratory experiments (Cheung and Street, 1988; Babanin and
3 The Upper Ocean Stratification 3 Haus, 2009; Dai et al., 2010), field observations (Anis and
Moum, 1995; Veron, Melville, and Lenain, 2009), as well
4 Currents and Circulations 5
as numerical simulations (Tsai, Chen, and Lu, 2015). It has
5 Diurnal to Interannual Variations 6 also been demonstrated that the predominant mechanism
6 Coastal and Shallow Seas 6 for turbulence generation is caused by the wave–turbulence
7 Conclusions 7 interaction. The enhancement of the background turbulence
Glossary 8 by non-breaking surface waves has been revealed for the first
Related Articles 8 time from in situ observations by Qiao et al. (2016).
In the ocean, surface waves are not totally determined by
References 8
local winds. Rather, mixed wind sea and swell conditions
are typical for the wave field in the open ocean (Chen et al.,
2002). A swell can propagate from its generation area, over
a long distance across ocean basins (Snodgrass et al., 1966;
1 INTRODUCTION
Collard, Ardhuin, and Chapron, 2009). Along its long path of
propagation, the amplitude of the swell gradually decreases,
Ocean surface gravity waves are mechanical waves propa-
in which a significant portion of energy leaks to the ocean
gated along the interface between the atmosphere and the
via wave–turbulence interaction. Thus, even in regions with
ocean with heights of millimeters to more than 10 m, which
weak winds, surface waves can still play a role in the
contribute greatly to the turbulence kinetic energy (TKE)
vertical mixing through the swell, especially in the upper
and the mixing process in the upper ocean. Most of the wave
ocean.
energy is locally dissipated through wave breaking. Measure-
Water particle orbits are not closed in surface gravity
ments revealed that wave breaking causes the TKE dissipa-
waves, which results in a residual current called Stokes
tion rate near the sea surface to be two orders of magnitude
drift. Interactions of the Stokes drift with Coriolis force
larger than that expected from the classical logarithmic
and vorticity generate a Coriolis–Stokes force (Hasselmann,
boundary layer (Agrawal et al., 1992; Drennan et al., 1996).
1970) and a vortex force (Lane, Restrepo, and McWilliams,
Surface waves in the real ocean are inherently nonlinear, so
2007), respectively. These two forces can directly influence
they are not truly potential waves before breaking (Phillips,
the velocity structure near the sea surface. Langmuir
1961). Nonbreaking waves can also transfer energy from the
cells, which are also associated with surface waves, can
Encyclopedia of Maritime and Offshore Engineering, online © 2017 John Wiley & Sons, Ltd.
directly destroy the near-surface stratification. On the other
This article is © 2017 John Wiley & Sons, Ltd. hand, both the Stokes drift and Langmuir cells belong to
DOI: 10.1002/9781118476406.emoe088
Also published in the Encyclopedia of Maritime and Offshore Engineering (print edition)
the motions induced by wave–turbulence interaction. In
ISBN: 978-1-118-47635-2 some studies, the nonbreaking wave-induced mixing is
2 General
attributed to the effects of Stokes drift and/or Langmuir ⎡ ⎤

1∕2
cells (McWilliams, Sullivan, and Moeng, 1997; Teixeira and ⎢ ( ) ⎥

⃗ exp(2kz)dk⃗ ⎢𝜕
Belcher, 2002). Bv = 𝛼 E(k) 𝜔 E k⃗ exp(2kz)dk⃗⎥
2
∫∫ 𝜕z ⎢∫ ∫ ⎥
Wave effects on the ocean and climate have been noticed k⃗ ⎣ k⃗ ⎦
for a long time. However, most studies argued that wave (2)
effects are insignificant because they are believed to be where 𝛼 is a parameter determined using observations or
mainly confined to the near-surface zone. In fact, the strong numerical models, k the wave number, 𝜔 the wave angular
turbulence induced by wave–turbulence interaction, espe- ⃗ the wave number spectrum that can be
frequency, E(k)
cially when the waves considered are long swells, can extend computed from a wave number spectral model, and z the
to tens of meters, or even deeper, in the oceans (Anis upward positive coordinate with z = 0 at the surface. For a
and Moum, 1995). In some regions with weak background monochromatic surface wave, this parameterization can be
currents, such as the extratropical ocean, the vertical mixing reduced to (Qiao et al., 2008),
induced by surface waves is more important than that by the
velocity shear of the mean current for the upper ocean (Qiao Bv = 𝛼Aus0 e−3kz (3)
and Huang, 2012). Moreover, although some mechanisms,
where A is the amplitude of wave and us0 the magnitude of
such as the Coriolis–Stokes forcing, penetrate only a small
the Stokes drift at the sea surface.
fraction of the mixed layer, they can substantially influence
It should be mentioned that the attempt to express the
the processes through the whole mixed layer (Polton, Lewis,
surface wave-induced vertical mixing as a function of wind
and Belcher, 2005).
speed (Hu and Wang, 2010; Huang and Qiao, 2010), although
So far, wave effects in the upper ocean have been mainly
simple and practicable, should be inappropriate, because the
studied based on numerical models. However, these ocean
swell, which plays a more important role than wind wave
circulation and climate models are incapable of explicitly
in the subsurface below 40 m, has not been included (Zhao
resolving small scale surface waves. Thus, a parame-
et al., 2012).
terization is needed to incorporate wave effects into
Wave–turbulence interaction in the ocean is related to the
ocean and climate models. Parameterization of surface
complicated coupling among the mean current, wave motion,
waves is reviewed briefly in the following section, and
and turbulence. Understanding of the dynamical processes
an overall review can be found in Ghantous and Babanin
involved remains rudimentary, even with great efforts spent
(2014).
during the past several decades. As the TKE dissipation rate
in the ocean can be directly measured with instruments,
it is feasible to develop an empirical scheme by observa-
tions. Based on this idea, Huang and Qiao (2010) intro-
2 PARAMETERIZATION OF SURFACE duced a parameterization of the dissipation rate induced by
WAVES wave–turbulence interaction, which was given as
Wave energy is transferred to the turbulence field when √ u u2

surface waves are breaking. The strong turbulence induced 𝜀w = 148𝛽 𝛿 s0 ∗ e2kz (4)
L
by wave breaking is mainly confined within the near-surface
where 𝛽 is a dimensionless constant, 𝛿 the wave steepness,
zone (Soloviev and Lukas, 2003). Its effect is usually
and L the wavelength.
incorporated into ocean models by modifying the surface
This parameterization focused on the wave-induced
boundary condition of the TKE prognostic equation. In the
nonlinear modulation on the total Reynolds stress from
scheme of Craig and Banner (1994), it was expressed as
the background turbulence. The parameter was obtained
from field observations, so that it involves mechanisms
F = mu3∗ (1) of wave–turbulence interaction, including the Stokes drift
and the Langmuir cells. Huang et al. (2012a) compared
where m is a dimensionless constant, which is usually set to the measured dissipation rate in the South China Sea with
100, and u* the friction velocity in water. the prediction by this scheme and found the agreement
Based on the Prandtl mixing length, Qiao et al. (2004) satisfactory at most of stations. The field observations in the
analytically expressed the nonbreaking surface wave- North Atlantic by Sutherland, Ward, and Christensen (2013)
induced vertical mixing as a function of wave number spec- also support this parameterization.
trum as follows, and the same expression can be achieved However, Kantha, Tamura, and Miyazawa (2014) claimed
by physical concept (Qiao et al., 2016), that this parameterization had overestimated the turbulence
This article is © 2017 John Wiley & Sons, Ltd.
DOI: 10.1002/9781118476406.emoe088
Also published in the Encyclopedia of Maritime and Offshore Engineering (print edition) ISBN: 978-1-118-47635-2
Wave Effects in the Upper Ocean 3
generation associated with wave–turbulence interaction. (Weller and Price, 1988; Li, Zahariev, and Garrett, 1995;
Their comments were not appropriate because they confused Kukulka et al., 2009). However, effects of Langmuir cells
wave–turbulence interaction with their so-called Stokes seem to be mostly confined to the initial stages of the MLD
production and set an improper upper bound for the total growth (Skyllingstad, Smyth, and Crawford, 2000). Noh,
Reynolds stress. Goh, and Raasch (2011) argued that Langmuir cells could
significantly deepen the MLD only if the MLD is shallow
and the buoyancy jump across the mixed layer is small. For
3 THE UPPER OCEAN STRATIFICATION a deep mixed layer, effects of Langmuir cells are confined to
the upper part of the mixed layer, while insignificant in the
3.1 Mixed-layer depth low part (Weller and Price, 1988).
Some model results showed that wave breaking could
Conspicuous wave effects in the upper ocean may deepen deepen the simulated MLD in summer (Mellor and
the ocean mixed layer in summer. The ocean mixed layer is a
Blumberg, 2004). Others argued that the mixing associ-
well-mixed turbulent layer with little variation in temperature
ated with wave breaking is insufficient to influence the
with depth. It plays an important role in regulating the global
MLD (Burchard, 2001; Weber, 2008). In fact, although a
climate and its change. The mixed-layer depth (MLD) is
controlled primarily by the turbulent mixing process and large amount of wave energy is dissipated via breaking, its
surface buoyant forcing (Kraus and Turner, 1967). In the induced turbulence, which causes mixing, is mainly limited
summer, the MLD is usually shallow in the extratropical to the upper few meters. Huang et al. (2011) suggested that
ocean due to strong solar radiation along with relatively weak in regions with weak wind and strong surface heating, the
surface winds. mixed layer is usually very shallow. Wave breaking may play
When Langmuir cells appear, they rapidly destroy the a role in the behavior of the MLD, but its effects are very
near-surface stratification, followed by deepening the MLD confined. Under moderate and high wind conditions, the
POM MOM4
30S 30
25
40S
20
Latitude
15
50S
10
5
60S
0
(a) POP (b) CCSM3
30S 30
25
40S
20
Latitude
15
50S
10
5
60S
0
0E 60E 120E 180E 120W 60W 0W 0E 60E 120E 180E 120W 60W 0W
(c) Longitude (d) Longitude
Figure 1. Simulated austral summer MLD deviation (in m) in the Southern Ocean for the case with wave-induced mixing from that without
wave-induced mixing: (a) POM, (b) MOM4, (c) POP, and (d) CCSM3. (Reproduced with permission from Huang et al. (2012b). © Wiley,
2012.)
DOI: 10.1002/9781118476406.emoe088
4 General
mixed layer is usually much deeper than the depth affected 3.2 Sea surface temperature
by wave breaking, so that wave-breaking effect is negligible.
The vertical mixing induced by wave–turbulence interac- In conjunction with the MLD deepening, surface waves
tion penetrates down to a depth that is comparable to the play a significant role in regulating the sea surface temper-
wavelength, although it decays rapidly with depth down from ature (SST). In the extratropical oceans with weak currents,
the surface. Therefore, it can affect a depth much greater than changes in the SST is primarily determined by sea surface
that of wave breaking, especially for swells with long wave- heat flux and its vertical transport. In ocean circulation
lengths. Huang et al. (2012b) studied effects of this mixing models, strong mixing induced by surface waves can transfer
on the mixed layer in the Southern Ocean using three oceanic more heat from the surface to subsurface, and the system-
models and a climate model and found that it could signif- atic error of simulated SST in summertime is corrected
icantly deepen the austral summer MLD in all simulations (Figure 2), while in climate models, SST can be increased
(Figure 1). Recently, Fan and Griffies (2014) showed similar due to complicated feedback processes in climate system
results based on another climate model. (Song, Qiao, and Song, 2012). Mellor and Blumberg (2004)
3
60°N
2.5
40°N 2
1.5
20°N 1
0.5
0°
0
−0.5
20°S
−1
40°S −1.5
−2
60°S −2.5
−3
(a) 50°E 150°E 110°W 10°W
3
60°N
2.5
40°N 2
1.5
20°N 1
0.5
0°
0
−0.5
20°S
−1
40°S −1.5
−2
60°S
−2.5
−3
(b) 50°E 150°E 110°W 10°W
Figure 2. The spatial distributions of the difference of the SST between the simulation and the COADS (comprehensive ocean-atmosphere
data set) climatology in February (a) without wave-induced mixing and (b) with wave-induced mixing. (Reproduced with permission from
Qiao et al., 2008. © Elsevier, 2008.)
DOI: 10.1002/9781118476406.emoe088
argued that wave breaking can reduce summertime SST simulated seasonal thermocline is improved due to enhanced
when the MLD is relatively shallow. For a deep MLD, vertical mixing by surface waves, in which the temperature
effect of wave breaking seems to be insignificant, while profile is in good agreement with the observation with a
wave–turbulence interaction still plays an important role in maximum bias of 1∘ C.
decreasing the SST (Huang et al., 2011).
The tropical ocean is a region affected by complicated
ocean–atmosphere coupling. In the eastern tropical ocean, 4 CURRENTS AND CIRCULATIONS
surface waves are dominated by swells (Chen et al., 2002),
and the MLD is much shallower than that in the western Strong wave-induced mixing can transport a large amount of
(de Boyer Montégut et al., 2004), so that the effects of heat from the surface layer to the subsurface, which increases
surface waves are significant in the former. Consequently, in the subsurface temperature, then the heat content in the upper
the eastern tropical ocean, the decrease of SST induced by ocean. The sea water expands with heat, which results in
wave-induced mixing is much larger than that in the western. changes of sea surface height. The changes of sea surface
The uneven SST change can regulate the sea-level pressure height are nonuniform in space, which induce changes of
through air–sea interaction, then surface winds and currents, large-scale circulations via geostrophic adjustment. Huang,
which together in turn influence SST as in a feedback loop. Qiao, and Wei (2013) conducted two numerical experi-
Song, Qiao, and Song (2012) analyzed the effect of ments and found that both the western boundary current
wave-induced mixing on the SST in the tropical oceans and the Northern Equatorial Current are enhanced in the
using a climate model. In their model, the simulated SST case with the surface wave-induced mixing, compared with
decreased in the eastern basin, but increased in the western that without wave-induced mixing. In the other numerical
basin with a maximum of up to 1.0∘ C when wave-induced study (Huang et al., 2012b), the wave-induced mixing plays a
mixing was included (“West-Positive and East-Negative” role in regulating the overturning circulation in the Southern
pattern). As a result, the SST tropical bias that commonly Ocean (Figure 3).
bedevils nearly all climate models is much reduced. Surface waves can influence currents in the ocean through
the Stokes drift and its induced force. McWilliams and
Restrepo (1999) argued that surface waves could influence
3.3 Subsurface temperature in the ocean the ocean general circulation through the Stokes drift and
wave-averaged modifications to the boundary conditions.
In summer, a weakly stratified layer, named as the seasonal Using empirical regression formulas, they estimated that
thermocline, usually appears just below the mixed layer in wave effects are more significant at higher latitudes with
the extratropical oceans due to strong solar radiation and stronger winds, and that the Stokes transport is a significant
weak wind, while in winter, the mixed layer deepens and fraction of the Ekman transport in the mid-latitude westerly
the seasonal thermocline disappears due to strong surface wind regime.
cooling-induced convection. The strong mixing induced by
surface waves has an important effect on the distribution
of the temperature of the upper ocean, especially the struc- 0
−5
ture of the seasonal thermocline. Noh (1996) showed that 2
the inclusion of turbulence generated by wave breaking is 0.5

indispensable for the formation of a diurnal or seasonal ther-
Depth (km)
mocline under a stabilizing heat flux. 0

1.0 −3
Qiao and Huang (2012) compared the performance of
vertical mixing induced by vertical shear of the mean current 0
and that by surface waves in the upper ocean through a 3.0 −1
2
numerical model. They argued that the vertical mixing from
vertical shear alone was too weak especially in extratrop- 5.0
ical oceans and failed to produce a reasonable MLD and 70S 60S 50S 40S 30S
Latitude
seasonal thermocline. In the experiment, which discounts the
effects of surface waves, the simulated seasonal thermocline
Figure 3. The deviation of the global meridional overturning circu-
is somewhat shallower and sharper than observed, so that the lation (in Sv) in the Southern Ocean for the case with wave-induced
subsurface temperature is significantly underestimated with a mixing and without wave-induced mixing in the CCSM3. The
maximum bias of up to −4∘ C. When surface wave effects are vertical coordinate is uneven. (Reproduced with permission from
incorporated into the ocean circulation model, however, the Huang et al. (2012b). © Wiley, 2012.)
DOI: 10.1002/9781118476406.emoe088
6 General
The Coriolis–Stokes forcing is an important mechanism in The spurious semiannual SST cycle in the equatorial eastern
controlling the dynamics of the upper ocean. Polton et al. Pacific was successfully removed in their numerical experi-
(2005) argued that the Coriolis–Stokes forcing substantially ment with wave-induced vertical mixing, although the ampli-
changes the current profile throughout the whole mixed layer tude of the SST annual cycle was weaker than that obtained
although this forcing penetrates only a small fraction of the by observation (Figure 4).
upper mixed layer in the ocean. Along with changes of SST, the simulation of El
Niño-Southern Oscillation (ENSO) was also improved
by surface waves in the experiments of Song et al. (2011).
ENSO is the strongest interannual variation with a 2- to
5 DIURNAL TO INTERANNUAL 7-year period in the climate system. The simulated ENSO
VARIATIONS period from NCAR climate model is only around 2 years
in the case without surface waves, which is in line with
Surface waves play a role in diurnal to interannual variations the previous studies (Collins et al., 2006). In the case with
of the ocean through regulating the upper ocean stratification. surface waves, however, the ENSO period has a broad
A diurnal cycle in heat flux leads to a daily cycle in SST and spectral peak in between 2 and 7 years, with more double
MLD. Janssen (2012) suggested that wave breaking is one of peaks around 3 and 5 years (Figure 5), which is basically
the dominant processes that control the diurnal cycle in SST consistent with observations.
in regions with shallow MLD.
Song, Qiao, and Wang (2011) studied effects of surface
waves on the SST seasonal cycle in the eastern equato- 6 COASTAL AND SHALLOW SEAS
rial Pacific. This region exhibits a pronounced annual cycle
in SST despite the dominance of a semiannual cycle in Surface waves can potentially affect the whole water column,
solar radiation. However, the simulated SST usually shows even the bottom boundary layer, in coastal and shallow seas.
a spurious semiannual cycle with an unreasonable cold Using a numerical model, Gerbi, Chant, and Wilkin (2013)
phase in February and August and warm phase in May and examined effects of the wave breaking on the evolution
December in most climate models (Collins et al., 2006; de of the buoyant plume in upwelling-favorable winds. The
Szoeke and Xie, 2008). Song et al. (2011) revealed that the results showed that wave breaking has nonnegligible effects
surface wave-induced mixing could remedy this problem. on plume evolution. A coastal plume separated from the
28
27.5
27
26.5
SST (°C)
26
25.5
25
24.5
24
J F M A M J J A S O N D J F M A M J J A S O N D
Time (month)
Figure 4. The seasonal cycle of the simulated SST in the equatorial eastern Pacific region (110∘ W–90∘ W, 5∘ S–5∘ N) from the case with
wave-induced mixing (dashed line) and the case without wave-induced mixing (solid line). (Reproduced with permission from Song et al.
(2011). © Springer, 2011.)
DOI: 10.1002/9781118476406.emoe088
0.16
0.14
0.12
0.1
0.08
0.06
0.04
0.02
0
50 4.7917 2.1296 1.369 1.0088 0.7986 0.6609 0.5637 0.4915
Figure 5. Nino3.4 index power spectrum from the case with wave-induced mixing (solid line) and the case without wave-induced mixing
(dotted line). (Reproduced with permission from Song et al. (2011). © Springer, 2011.)
coast became thicker and narrower and propagated offshore mixing plays an important role in the stratification of the
more slowly when wave-breaking effect was included in the coastal and shallow seas, although tidal mixing may some-
model. times be the dominating mechanism at the bottom layer.
Wang et al. (2011) studied the effects of surface waves on Lin et al. (2006) investigated the formation mechanisms
sediment dynamics in a shoal with a water depth of <40 m of a well-mixed warm water column over a 20-m ridge,
and found that the wave–current interaction in the bottom surrounded by stratified cold water. They argued that both
boundary layer could increase the bottom stress, resulting in tidal and wave mixing are important for homogenizing this
strong sediment resuspension. In their model with surface warm water column. Removing either the bathymetric ridge
wave effect, the general features of turbidity maxima or wave-induced mixing has failed to reproduce this process
agreed well with the remote-sensing data. In the absence of in their numerical model. Hu and Wang (2010) suggested that
surface wave effect, the turbidity maxima moved offshore both surface waves-induced mixing and tidal stirring were
with suspended sediment concentration much reduced. They the major dynamical mechanisms for forming the seasonal
suggested that surface waves played a dominant role over and thermocline structure and the cold pool in the middle shelf
above the tides to form the turbidity maxima in this region. of the Bering Sea.
In somewhat deep water, the effects of surface waves on
bottom stress, and thus on sediment resuspension, are still
significant. Wang and Pinardi (2002) examined the dynamics 7 CONCLUSIONS
of coarse and fine sediment transport and resuspension in
the northern Adriatic Sea, with a water depth of 20–100 m. Surface gravity waves play an important role in regulating
Their results showed that wave-driven sediment resuspension the upper ocean stratification and circulation mainly through
is an important resuspension mechanism, and it regulates nonbreaking wave-induced vertical mixing. In the ocean,
significantly the sediment distribution and flux. On the other both the wave breaking and the wave–turbulence interac-
hand, Gargett et al. (2004) found that Langmuir cells play tion can transfer energy from the wave field to the turbu-
an important role in sediment resuspension and transport in lence and enhance vertical mixing in the upper ocean. The
shallow seas. vertical mixing induced by the former is mainly confined to
Wave energy can be transferred via swells to the coast, the near-surface zone on a depth scale of the wave height,
where the energy-carrying swells are dissipated. Rascle et al. while that by the latter penetrates down to a depth, which
(2008) estimated that 2.4 terawatt (TW) of wave energy is is comparable to the wavelength although it decays rapidly
radiated to the shores in the global oceans. Wave-induced with depth.
DOI: 10.1002/9781118476406.emoe088
8 General
The strong mixing induced by surface waves can transport Vertical mixing Processes caused mainly by oceanic
heat from the surface layer to the subsurface layer. In the turbulence destroy sea water
extratropical oceans with weak advections, surface waves vertical stratifications and
reduce the SST and increase the subsurface temperature in homogenize water properties.
ocean models, which can deepen the upper ocean mixed Wave-turbulence Interactions among surface waves,
layer and sustain a reasonable seasonal thermocline in the interaction currents, and turbulence, which
summertime. The swells can travel a long distance across transfer energy to the turbulence.
ocean basins, so that surface waves influence significantly the
vertical mixing and stratification via swells even in regions
with weak or no surface winds. In the equatorial oceans RELATED ARTICLES
with strong atmosphere–ocean coupling, in contrast, surface
waves decrease the SST in the eastern basins but increase the Wave–Current Interaction
SST in the western basins, which can reduce the SST bias in Wave–Ice Interactions
climate models. Wave Boundary Layer in the Lower Atmosphere
Along with changes of the upper ocean temperature,
surface waves can affect the oceanic circulation through
changes of sea surface height and surface winds associated
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Wave Effects in The Upper Ocean: Fangli Qiao and Chuan Jiang Huang

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Wave Effects in the Upper Ocean

Fangli Qiao1,2 and Chuan Jiang Huang1,2

wave field to turbulence through complex wave–turbulence

attributed to the effects of Stokes drift and/or Langmuir ⎡ ⎤

cells (McWilliams, Sullivan, and Moeng, 1997; Teixeira and ⎢ ( ) ⎥

Wave energy is transferred to the turbulence field when √ u u2

the inclusion of turbulence generated by wave breaking is 0.5

mocline under a stabilizing heat flux. 0

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