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PREFACE TO ENCYCLOPEDIA OF OCEAN SCIENCES, THIRD EDITION

The first edition of the Encyclopedia of Ocean Sciences was published in 2001, with John H. Steele, Karl K. Turekian,
and Stephen A. Thorpe as co-editors-in-chief. An online slightly revised version came out in 2008. The previous
editions encompassed an overview of the many disciplines comprising ocean sciences. Given major advances
in our understanding of the ocean, and especially in the application of new technologies to ocean research and
the impacts of climate change on the oceans, we felt a new edition was timely. We also recognized that we were
“standing on the shoulders of giants.” Two of the former editors-in-chief (Karl Turekian and John Steele) had
passed away, but Steve Thorpe gave valuable advice in the early stages of putting the new edition together.
A review of the over 400 articles included in the previous editions revealed that many were classics in their own
right, written by the top researchers in their fields. These original articles established a firm foundation for our
modern edifice. The new decade, however, saw the rise of the Anthropocene, major advances in the science of
climate change, and the dominance of global satellite data. Moving ahead with the third edition, we sought to
bring articles up to date to reflect advances since the previous editions. In many cases, the original authors agreed
to update, but when that was not possible, we sought other updaters or new authors with relevant expertise in the
field. In addition, we commissioned new contributions to reflect research advances in the ocean sciences since the
previous editions were published. More than 40 new articles bring to the fore current research on remote sensing
of coral reefs, radiocarbon as a tracer of dissolved and particulate organic carbon, and the role of surfactants in
air–sea exchange, to name just a few. Authors were encouraged to include relevant web links and embedded
videos, and many articles now include those. We organized this new edition into six thematic volumes, rather
than the former alphabetical order for all articles. As well, each volume is divided into disciplinary sections.
We hope this reorganization will make it easier for users to quickly focus on their most relevant topics. To this
end, all content of the third edition is included also in the curated reference collection in Earth Systems and
Environmental Sciences. Elsevier’s Reference Collections provide even greater ability for scholars to search topics.
An early task in putting the third edition together was commissioning an editorial board. These individuals
played key roles in identifying the very best authors to revise articles or write new ones. The success of this edition is
due in large part to the able professionals who took on this task. We thank them for their dedication. We are also
grateful to the superb Major Reference Works team at Elsevier who helped us bring this third edition to fruition.
Acquisition editors Priscilla Braglia and Sam Crowe commissioned the work and diligently kept it (and us) on
track. Special thanks go to senior content project manager Claire Byrne and her colleagues Gayathri S and Brinda
Subramanian. They facilitated the project in ways too numerous to mention from start to finish and kept
submissions moving smoothly through the system. Finally, we acknowledge the work of graduate students at
both Stony Brook University and the University of Georgia. They represent the future of ocean sciences, and their
enthusiasm in helping update, edit, and write articles is much appreciated. Our thanks go to Stephanie Adamczak,
John Bohorquez, Justin Bopp, Diego Cardenosa, Lisa Crawford, Matthew Fuirst, Brooke Morrell, Oliver Shipley,
Matthew Siskey, and Peter Sylvers at Stony Brook University and to Caitlin Amos, Christine Burns, Chandler
Countryman, Carolina Ernani, Xiaojia He, Alisia Holland, Yeajin Jung, David Miklesh, Hilde Oliver, Tito
Peña-Montenegro, Sydney Plummer, Christina Roehrig, Jeremy Schrier, and William Schroer at the University
of Georgia.
J. Kirk Cochran
Henry J. Bokuniewicz
Stony Brook, NY, United States
Patricia L. Yager
Athens, GA, United States

vii
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LIST OF CONTRIBUTORS FOR VOLUME 1

Eric P Achterberg Robert JW Brewin

GEOMAR Helmholtz Center for Ocean Research Kiel, Kiel, Plymouth Marine Laboratory, Plymouth, United
Germany Kingdom
W Alpers RD Brodeur
Institute of Oceanography, University of Hamburg, Northwest Fisheries Science Center, NOAA Fisheries,
Hamburg, Germany Newport, OR, United States
Michio Aoyama Thomas J Browning
Fukushima University, Fukushima, Japan GEOMAR Helmholtz Center for Ocean Research Kiel, Kiel,
RT Barber Germany
Duke University Marine Laboratory, Beaufort, NC, Claudia Castellani
United States Plymouth Marine Laboratory, Plymouth, United Kingdom
Gregory Jeff Barord Teresa K Chereskin
Central Campus, Department of Marine Sciences, Des University of California-San Diego, La Jolla, CA,
Moines, Iowa, United States United States
J Bascompte Matthew J Church
University of Zurich, Zurich, Switzerland University of Montana, Polson, MT, United States
Nicholas R Bates A Clarke
Bermuda Institute of Ocean Sciences (BIOS), St. Georges, British Antarctic Survey, Cambridge, United Kingdom
Bermuda; University of Southampton, Southampton,
United Kingdom Kenneth H Coale
Moss Landing Marine Laboratories, California, CA,
Steven R Beaupré United States
Stony Brook University, Stony Brook, NY, United States
Meghan F Cronin
A Belgrano NOAA Pacific Marine Environmental Laboratory, NE,
Swedish University of Agricultural Sciences, Lysekil, Seattle, WA, United States
Sweden; Swedish Institute for the Marine Environment
(SIME), Gothenburg, Sweden John J Cullen
Dalhousie University, Halifax, NS, Canada
D Bhattacharya
University of Iowa, Iowa City, IA, United States GA Cutter
Old Dominion University, Norfolk, VA, USA
JS Bowman
Scripps Institution of Oceanography, UC San Diego, La David J DeMaster
Jolla, CA, United States North Carolina State University, Raleigh, NC,
United States
EA Boyle
Massachusetts Institute of Technology, Cambridge, MA, Kenneth L Denman
United States University of Victoria, Victoria, BC, Canada
P Boyle Scott C Doney
University of Aberdeen, Aberdeen, United Kingdom University of Virginia, Charlottesville, VA, United States

ix
x List of Contributors for Volume 1

JF Dower Dennis Hedgecock

University of British Columbia, Vancouver, BC, University of Southern California, Los Angeles, CA,
Canada United States
John F Dower Christoph Hemleben
University of British Columbia, Vancouver, BC, Canada Tübingen University, Tübingen, Germany
HW Ducklow PJ Herring
Lamont-Doherty Earth Observatory, Columbia University, Southampton Oceanography Centre, Southampton, UK
Palisades, NY, United States
I Hewson
Daniel Dunn Cornell University, Ithaca, NY, USA
Duke University, Durham, NC, United States
M Hood
JA Dunne Intergovernmental Oceanographic Commission, Paris,
Santa Fe Institute, Santa Fe, NM, United States France
HN Edmonds Kirsten Isensee
National Science Foundation, Alexandria, VA, IOC-UNESCO, Paris Cedex 7, France
United States
Thomas Jackson
Timothy I Eglinton Plymouth Marine Laboratory, Plymouth, United
Woods Hole Oceanographic Institution, Woods Hole, MA, Kingdom
United States; Eidgenössisch Technische Hochschule,
William J Jenkins
Zürich, Switzerland
Woods Hole Oceanographic Institution, Woods Hole, MA,
Rana A Fine United States
University of Miami, Miami, FL, United States
WJ Jenkins
Gregory R Foltz Woods Hole Oceanographic Institution, Woods Hole, MA,
NOAA Atlantic Oceanographic and Meteorological United States
Laboratory, Miami, FL, United States
A John
F Fripiat Sir Alister Hardy Foundation for Ocean Science,
Max Planck Institute for Chemistry, Mainz, Germany Plymouth, UK
JA Fuhrman SG John
University of Southern California, Los Angeles, CA, USA University of Southern California, Los Angeles, CA,
United States
Véronique Garçon
CNRS-LEGOS, Toulouse Cedex 9, France Simon Josey
National Oceanography Centre, Southampton, United
Martha Gledhill
Kingdom
GEOMAR Helmholtz Center for Ocean Research Kiel, Kiel,
Germany J K Cochran
Stony Brook University, Stony Brook, New York,
David M Glover
United States
Woods Hole Oceanographic Institution, Woods Hole, MA,
United States David M Karl
University of Hawaii at Manoa, Honolulu, HI,
Marilaure Grégoire
United States
University of Liège, Liège, Belgium
David M Karl
Christopher T Hayes
University of Hawaii, Honolulu, HI, United States
University of Southern Mississippi, Stennis Space Center,
MS, United States Johannes Karstensen
GEOMAR, Kiel, Germany
Qian He
Key Laboratory of Marine Chemistry Theory and WM Kemp
Technology, Ministry of Education, Ocean University of University of Maryland Center for Environmental Science,
China, Qingdao, China Cambridge, MD, United States
Xiaojia He RM Key
University of Georgia, Athens, GA, United States Princeton University, Princeton, NJ, United States
 List of Contributors for Volume 1 xi

S Krishnaswami Peter J Minnett

Physical Research Laboratory, Ahmedabad, India University of Miami, Miami, FL, United States
Tobias Kukulka Gesine Mollenhauer
University of Delaware, Newark, DE, United States Alfred Wegener Institute, Bremerhaven, Germany
Mark D Kurz Jennifer L Morford
Woods Hole Oceanographic Institution, Woods Hole, MA, Franklin & Marshall College, Lancaster, PA, United
United States States
Stephanie Kusch Brooke Morrell
University of Cologne, Cologne, Germany Stony Brook University, Stony Brook, NY, United States
D Lal JN Moum
University of California San Diego, La Jolla, CA, Oregon State University, Corvallis, OR, United States
United States
MM Mullin
Michael R Landry Scripps Institution of Oceanography, La Jolla, CA, USA
University of California San Diego, La Jolla, CA,
EJ Murphy
United States
British Antarctic Survey, Marine Life Sciences Division,
Alyse A Larkin Cambridge, United Kingdom
University of California, Irvine, CA, United States
DM Needham
JR Ledwell University of Southern California, Los Angeles, CA, USA
Woods Hole Oceanographic Institution, Woods Hole,
Yoshiyuki Nozaki
MA, USA
University of Tokyo, Tokyo, Japan
Qian Liu
Carter Ohlmann
Key Laboratory of Marine Chemistry Theory and
University of California, Santa Barbara, CA, United States
Technology, Ministry of Education, Ocean University of
China, Qingdao, China H Oliver
University of Georgia, Athens, Georgia, United States
Kun Ma
Skidaway Institute of Oceanography, Savannah, GA, EA Pakhomov
United States University of British Columbia, Vancouver, BC, Canada
Katherine RM Mackey CA Paulson
University of California, Irvine, CA, United States Oregon State University, Corvallis, OR, United States
Laurence P Madin Ann Pearson
Woods Hole Oceanographic Institution, Woods Hole, MA, Woods Hole Oceanographic Institution, Woods Hole, MA,
United States United States; Harvard University, Cambridge, MA,
United States
Amala Mahadevan
Woods Hole Oceanographic Institution, Woods Hole, MA, LS Peck
United States British Antarctic Survey, Cambridge, United Kingdom
Emilio Marañón JE Petersen
University of Vigo, Vigo, Spain Oberlin College, Oberlin, OH, United States
Adam C Martiny James Pierson
University of California, Irvine, CA, United States University of Maryland Center for Environmental Science,
Cambridge, MD, United States
Daniel C McCorkle
Woods Hole Oceanographic Institution, Woods Hole, MA, NJ Pilcher
United States Universiti Malaysia Sarawak, Sarawak, Malaysia
Ann P McNichol T Platt
Woods Hole Oceanographic Institution, Woods Hole, MA, Plymouth Marine Laboratory, Plymouth, United Kingdom
United States
Jeffrey J Polovina
Anthony F Michaels National Marine Fisheries Service, Honolulu, HI,
Midwestern BioAg, Madison, WI, United States United States
xii List of Contributors for Volume 1

Alex J Poulton Jonathan Sharples

Heriot-Watt University, Edinburgh, United Kingdom University of Liverpool, Liverpool, United Kingdom
James F Price LK Shay
Woods Hole Oceanographic Institution, Woods Hole, MA, University of Miami, Miami, FL, United States
United States
Kenneth Sherman
JA Raven National Oceanic and Atmospheric Administration,
Biological Sciences, University of Dundee, Dundee, UK Narragansett, RI, United States
PC Reid Michael E Sieracki
SAHFOS, Plymouth, UK National Science Foundation, Alexandria, VA,
United States
A Reyes-Prieto
University of Iowa, Iowa City, IA, United States DM Sigman
Princeton University, Princeton, NJ, United States
Gabriel Reygondeau
University of British Columbia, Vancouver, BC, Canada John H Simpson
Bangor University, Anglesey, United Kingdom
G Richard Harbison
Woods Hole Oceanographic Institution, Woods Hole, MA, JN Smith
United States Bedford Institute of Oceanography, Dartmouth, NS,
Canada
JM Roberts
University of Edinburgh, Edinburgh, United Kingdom WD Smyth
Oregon State University, Corvallis, OR, United States
O Roger Anderson
Columbia University, Palisades, NY, United States PVR Snelgrove
Memorial University of Newfoundland, Newfoundland,
Michael M Rutgers van der Loeff Canada
Alfred Wegener Institute, Helmholtz Centre for Polar and
Marine Research, Bremerhaven, Germany Janet Sprintall
University of California San Diego, La Jolla, CA,
KC Ruttenberg United States
University of Hawaii at Manoa, Honolulu, HI,
United States John H Steele
Woods Hole Oceanographic Institution, Woods Hole, MA,
S Sathyendranath United States
Plymouth Marine Laboratory, Plymouth, United Kingdom
WG Sunda
Ralf Schiebel National Ocean Service, NOAA, Beaufort, NC,
Max Planck Institute for Chemistry, Mainz, Germany United States
Christian Schlosser A Tagliabue
GEOMAR Helmholtz Center for Ocean Research Kiel, Kiel, University of Liverpool, Liverpool, United Kingdom
Germany
Taro Takahashi
Jeremy Ethan Schreier Columbia University, Palisades, NY, United States
University of Georgia, Athens, GA, United States
PK Taylor
William F Schroer National Oceanography Centre, Southampton, United
University of Georgia, Athens, GA, United States Kingdom
William Seaman J Thomas Farrar
University of Florida, Fisheries and Aquatic Sciences, Woods Hole Oceanographic Institution, Woods Hole, MA,
Gainesville, FL, United States United States
Michael P Seki Matthias Tomczak
National Marine Fisheries Service, Honolulu, HI, Flinders University of South Australia, Adelaide, SA,
United States Australia
Mukul Sharma KK Turekian
Dartmouth College, Hanover, NH, United States Yale University, New Haven, CT, United States
 List of Contributors for Volume 1 xiii

Toby Tyrrell Mirielle Wong

University of Southampton, Southampton, United Nueva School, San Mateo, CA, United States
Kingdom
HS Yoon
AJ Watson University of Iowa, Iowa City, IA, United States
University of East Anglia, Norwich, UK
Lisan Yu
EA Widder Woods Hole Oceanographic Institution, Woods Hole, MA,
Harbor Branch Oceanographic Institution, Fort Pierce, United States
FL, USA
Jing Zhang
George TF Wong Earth and Environmental System, Graduate School of
Old Dominion University, Norfolk, VA, United States; Science and Engineering, University of Toyama, Toyama,
Research Center for Environmental Changes, Japan
Academia Sinica, Taipei, Taiwan
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CONTENTS OF VOLUME 1: MARINE BIOGEOCHEMISTRY

Editors in Chief v
Editorial Board vi

Preface vii
List of Contributors ix

UPPER OCEAN PROCESSES

Air–Sea Interaction: Heat and Momentum Fluxes 1
Simon Josey and PK Taylor

Penetrating Shortwave Radiation 8

Carter Ohlmann and CA Paulson

Sea Surface Exchanges of Momentum, Heat, and Freshwater Determined by Satellite Remote Sensing 15
Lisan Yu

Shelf Sea and Shelf Slope Fronts 24

Jonathan Sharples and John H Simpson

Submesoscale Processes 35
Amala Mahadevan

Surface Films 42
W Alpers

Upper Ocean Heat and Freshwater Budgets 47

Peter J Minnett

Upper Ocean Mean Horizontal Structure 60

Matthias Tomczak

Upper Ocean Mixing 71

JN Moum and WD Smyth

Upper Ocean Structure: Ekman Transport and Pumping 80

Teresa K Chereskin and James F Price

Upper Ocean Structure: Responses to Strong Atmospheric Forcing Events 86

LK Shay

Upper Ocean Vertical Structure 97

Janet Sprintall, Meghan F Cronin, and J Thomas Farrar

Wave-Driven Upper Ocean Processes 105

Tobias Kukulka

Wind- and Buoyancy-Forced Upper Ocean 113

Gregory R Foltz

xv
xvi Contents of Volume 1: Marine Biogeochemistry

ELEMENTAL DISTRIBUTION
Elemental Distribution: Overview 122
A Tagliabue

Anthropogenic Trace Elements in the Ocean 128

EA Boyle

Artificial Radionuclides 136

Michio Aoyama

Conservative Elements 153

George TF Wong

Metalloids and Oxyanions 160

GA Cutter

Oxygen 168
Véronique Garçon, Marilaure Grégoire, Kirsten Isensee, and Johannes Karstensen

Platinum Group Elements and Their Isotopes in the Ocean 174

Mukul Sharma

Rare Earth Elements and Their Isotopes in the Ocean 181

Jing Zhang, Qian Liu, Qian He, and Yoshiyuki Nozaki

Refractory Metals 198

Christopher T Hayes

Trace Metal Nutrients 208

SG John and WG Sunda

Transition Metals and Heavy Metal Speciation 218

Eric P Achterberg, Thomas J Browning, Martha Gledhill, and Christian Schlosser

OCEAN PROCESS TRACERS

CFCs and SF6 as Tracers of Ocean Processes 228
Rana A Fine

Compound-Specific Radiocarbon Measurements 235

Gesine Mollenhauer, Stephanie Kusch, Timothy I Eglinton, and Ann Pearson

Radiocarbon-Based Insights into the Biogeochemical Cycles of Marine Dissolved and

Particulate Organic Carbon 245
Steven R Beaupré

Cosmogenic Isotopes 253

D Lal

Nitrogen Isotopes in the Ocean 263

DM Sigman and F Fripiat

Noble Gases and the Cryosphere 279

M Hood

Nuclear Fuel Reprocessing and Related Discharges 283

JN Smith and HN Edmonds

Modeling of Ocean Carbon System 291

Scott C Doney and David M Glover

Open Ocean Distribution and Applications of Natural and Bomb-Produced D14C 303
RM Key

Oxygen Isotopes in the Ocean 320

KK Turekian and Kun Ma
 Contents of Volume 1: Marine Biogeochemistry xvii

Redox-Sensitive Metals 323

Jennifer L Morford

The Stable Carbon Isotopic Composition of the Oceans 329

Daniel C McCorkle and Ann P McNichol

Tracer Release Experiments 333

AJ Watson and JR Ledwell

Tracers of Ocean Productivity 340

WJ Jenkins

Tritium–Helium Dating 352

William J Jenkins

Uranium-Thorium Decay Series in the Oceans: Overview 361

Michael M Rutgers van der Loeff

Uranium-Thorium Radionuclides in Ocean Profiles 377

S Krishnaswami and J K Cochran

Volcanic Helium 392

Mark D Kurz and William J Jenkins

NUTRIENT CYCLING
Carbon Dioxide (CO2) Cycle 401
Taro Takahashi

Nitrogen Cycle 408

David M Karl and Anthony F Michaels

Ocean Carbon Cycle 418

Nicholas R Bates

Ocean Iron Fertilization 429

Kenneth H Coale and Mirielle Wong

Phosphorus Cycle 447

KC Ruttenberg

Redfield Ratio 461

Toby Tyrrell

The Global Marine Silica Budget: Sources and Sinks 473

David J DeMaster

PRIMARY PRODUCTION
Approaches to Measuring Marine Primary Production 484
Matthew J Church, John J Cullen, and David M Karl

Aquatic Flow Cytometry 492

Michael E Sieracki

Bacterioplankton 500
JS Bowman and HW Ducklow

Bioluminescence 508
PJ Herring and EA Widder

Cephalopods 516
Gregory Jeff Barord and P Boyle

Continuous Plankton Recorders 523

A John and PC Reid
xviii Contents of Volume 1: Marine Biogeochemistry

Copepods 533
Claudia Castellani

Dynamics of Bacteria and Phytoplankton in the Surface Ocean 546

Jeremy Ethan Schreier

Krill 553
EJ Murphy

Marine Algal Genomics and Evolution 561

A Reyes-Prieto, HS Yoon, and D Bhattacharya

Marine Cyanobacteria: Prochlorococcus and Synechococcus 569

Alyse A Larkin, Katherine RM Mackey, and Adam C Martiny

Marine Plankton Communities 574

James Pierson

Nekton 582
RD Brodeur and EA Pakhomov

Pelagic Biogeography 588

Gabriel Reygondeau and Daniel Dunn

Phytoplankton Size Structure 599

Emilio Marañón

Phytoplankton, Calcareous Nanoplankton—The Coccolithophores 606

Alex J Poulton

Plankton 613
MM Mullin

Plankton Viruses 615

JA Fuhrman, DM Needham, and I Hewson

Plankton: Gelatinous Zooplankton 624

Laurence P Madin and G Richard Harbison

Primary Production Distribution 635

S Sathyendranath, T Platt, Robert JW Brewin, and Thomas Jackson

Primary Production Processes 641

JA Raven

Protozoa, Planktic Foraminifera 645

Ralf Schiebel and Christoph Hemleben

Protozoa, Radiolarians 651

O Roger Anderson

Small-Scale Physical Processes and Plankton Biology 656

JF Dower and KL Denman

ECOSYSTEMS & ECOSYSTEM STRUCTURE AND DYNAMICS (FOOD WEBS)

Artificial Reefs 662
William Seaman

Coastal Ocean Acidification: Carbonate Chemistry and Ecosystem Effects 671

Brooke Morrell

Cold-Water Coral Reefs 675

JM Roberts

Corals and Human Disturbance 688

NJ Pilcher
 Contents of Volume 1: Marine Biogeochemistry xix

Diversity of Marine Species 694

PVR Snelgrove

Food Webs 702

A Belgrano, JA Dunne, and J Bascompte

Large Marine Ecosystems 709

Kenneth Sherman

Mesocosms: Enclosed Experimental Ecosystems in Ocean Science 724

JE Petersen and WM Kemp

Microbial Loops 739

Michael R Landry and William F Schroer

Network Analysis of Food Webs 746

John H Steele and Xiaojia He

Ocean Gyre Ecosystems 753

Michael P Seki and Jeffrey J Polovina

Omics Techniques in Marine Microbiology 759

William F Schroer

Patch Dynamics 765

Kenneth L Denman, John F Dower, and Xiaojia He

Polar Ecosystems 771

A Clarke, LS Peck, and H Oliver

Population Genetics of Marine Organisms 778

Dennis Hedgecock

Upwelling Ecosystems 784

RT Barber
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PERMISSION ACKNOWLEDGEMENT

The following material is reproduced with kind permission of Taylor & Francis
Figure 4 of Current Systems in the Mediterranean Sea
www.taylorandfrancisgroup.com
The following material is reproduced with kind permission of American Association for the Advancement of
Science
Figure 6.1ab of Overflows and Cascades
Figure 3 of Carbon Dioxide (CO2) Cycle
Figure 5 of Abyssal Currents
www.aaas.org
The following material is reproduced with kind permission of Nature Publishing Group
Figure 3 of Current Systems in the Mediterranean Sea
Figure 7 of Groundwater Flow to the Coastal Ocean
Figure 6 of Propagating Rifts and Microplates
Figure 3 of Uranium-Thorium Decay Series in the Oceans: Overview
Figure 2 of Redfield Ratio
Figure 9 of Agulhas Current
Figure 10 of Agulhas Current
Figure 3 of Dispersion from Hydrothermal Vents
Figure 10 of Ocean Subduction
Figure 5 of Deep-sea bottom currents and contourite drift systems
Figure 2 of Phytoplankton-Bacteria Interactions
Figure 3 of Phytoplankton-Bacteria Interactions
Figure 10 of Tomography
Figure 1h of Oceanic Particle Flux
Figure 4 of Abrupt Climate Change
Figure 9 of Small-scale Patchiness, Models of
Figure 3 of Authigenic Deposits
http://www.nature.com
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UPPER OCEAN PROCESSES

Contents
Air–Sea Interaction: Heat and Momentum Fluxes
Penetrating Shortwave Radiation
Sea Surface Exchanges of Momentum, Heat, and Freshwater Determined by Satellite Remote Sensing
Shelf Sea and Shelf Slope Fronts
Submesoscale Processes
Surface Films
Upper Ocean Heat and Freshwater Budgets
Upper Ocean Mean Horizontal Structure
Upper Ocean Mixing
Upper Ocean Structure: Ekman Transport and Pumping
Upper Ocean Structure: Responses to Strong Atmospheric Forcing Events
Upper Ocean Vertical Structure
Wave-Driven Upper Ocean Processes
Wind- and Buoyancy-Forced Upper Ocean

Air–Sea Interaction: Heat and Momentum Fluxes☆

Simon Josey and PK Taylor, National Oceanography Centre, Southampton, United Kingdom
© 2019 Elsevier Ltd. All rights reserved.

Introduction 1
Determining the Fluxes 2
Sources of Flux Data 3
The Regional and Seasonal Variation of the Momentum Flux 4
The Regional and Seasonal Variation of the Heat Fluxes 5
Discussion: Accuracy of Flux Estimates 6
Further Reading 7

Introduction

The oceans play a central role in both the maintenance of the earth’s climate and in moderating the effects of anthropogenic climate
change. The state of the climate depends on a balance between the absorption of heat from the sun and the loss of heat through
radiative cooling to space. The oceans absorb nearly one half of the sun’s radiative energy entering the atmosphere. Major ocean
currents transport this heat polewards and at higher latitudes the sea to air heat loss significantly ameliorates the climate. The energy
returned to the atmosphere by sea to air heat loss is a significant driver of weather systems and their associated winds, and is
ultimately radiated back to space. The wind transfers momentum to the sea causing waves and the wind driven currents. Thus, the
heat and momentum fluxes through the ocean surface form a crucial component of the earth’s climate system.
The total heat transfer through the ocean surface, the net heat flux, is a combination of several components. The heat from the sun
is the shortwave radiative flux (wavelength 0.3–3 mm). Around noon on a sunny day this flux may reach about 1000 W m
2 but,
when averaged over 24 h, a typical value is 100–300 W m
2 varying with latitude and season. Part of this flux is reflected from the
sea surface—about 6% depending on the solar elevation and the sea state. Most of the remaining shortwave flux is absorbed in the
upper few meters of the ocean. In calm weather, with winds less than about 3 m s
1, a shallow layer may be formed during the day
in which the sea is warmed by a few  C (a “diurnal thermocline”). However, under stronger winds or at night the absorbed heat
becomes mixed down through several tens of metres. Thus, in contrast to land areas, the typical day to night variation in sea surface
and air temperatures is small, <1 C. Both the sea and the sky emit and absorb longwave radiative energy (wavelength 3–50 mm).
Under most circumstances, the radiative temperature of the sky is colder than that of the sea, so the downward longwave flux is
usually smaller than the upward flux. Consequently, the net longwave flux acts to cool the surface, typically by 30–80 W m
2
depending on cloud cover.
The turbulent fluxes of sensible and latent heat also typically transfer heat from sea to air. The sensible heat flux is the transfer of heat
caused by the difference in temperature between the sea and the air. Over much of the ocean this flux cools the sea by perhaps

☆
Change History: August 2018. Josey has been primarily responsible for the revision with additional input from Taylor. All sections have been updated. Figures 1
and 2 are the same as before, the remaining figures are new.
This is an update of P.K. Taylor, Heat and Momentum Fluxes at the Sea Surface, Encyclopedia of Ocean Sciences (2nd Edn), edited by John H. Steele, Academic
Press, 2001, pp. 105–113.

Encyclopedia of Ocean Sciences, 3rd Edition https://doi.org/10.1016/B978-0-12-409548-9.11572-6 1

2 Upper Ocean Processes | Air–Sea Interaction: Heat and Momentum Fluxes

10–20 W m
2. However where cold wintertime continental air flows over warm ocean currents, for example the Gulf Stream region
off the eastern seaboard of North America, the sensible heat flux may reach 100 W m
2. Similar large values for the sensible heat
loss may occur in open ocean regions of the Arctic and such areas are becoming more widespread with the sharp decline in Arctic sea
ice cover in recent decades. Conversely warm winds blowing over a colder ocean region may result in a small sensible heat flux into
the ocean—a frequent occurrence over the summertime North Pacific Ocean. The evaporation of water vapor from the sea surface
causes the latent heat flux. This is the latent heat of vaporization which is carried by the water vapor and only released to warm the
atmosphere when the vapor condenses to form clouds. Usually this flux is significantly greater than the sensible heat flux being on
average 100 W m
2 or more over large areas of the ocean. Over regions such as the Gulf Stream latent heat fluxes of several hundred
W m
2 are observed. In foggy conditions with the air warmer than the sea, the latent heat flux can transfer heat from air to sea. In
summer time over the infamous fog shrouded Grand Banks off Newfoundland the mean monthly latent heat transfer is directed
into the ocean, but this is an exceptional case.
Here, we adopt the sign convention that net heat gain (loss) by the ocean is positive (negative) and treat all individual
components as positive for ease of discussion. With this approach, the net heat flux (QNet) is given by:

QNet ¼ QSW
QLW
QLat
QSen (1)

where QSW ¼ net shortwave, QLW ¼ net longwave, QLat ¼ latent and QSen ¼ sensible heat flux.
Anthropogenic global warming is caused by the energy imbalance at the top of the atmosphere due to greenhouse gases
absorbing a greater proportion of the longwave flux than in preindustrial times limiting the amount radiated back to space. More
than 90% of the extra energy retained within the climate system as a result of this imbalance has been absorbed by the oceans
through an additional net air –sea heat flux of <1 W m
2. This energy imbalance is very small compared to the typical magnitudes,
on order 10’s to 100’s W m
2, of the individual air–sea heat flux components. As a result, it has not been possible to detect the
imbalance using available air–sea flux datasets. However, it is possible to determine its value indirectly using measurements of the
warming ocean and recent analyses indicate a value for the imbalance of 0.5–0.7 W m
2.

Determining the Fluxes

Mounted in gimbals on a ship or buoy, a pyranometer determines the incoming shortwave radiation using the voltage from a
thermopile (Fig. 1). The pyrgeometer used for downward longwave wave is similar but with a coated dome to minimize shortwave
heating. Calculation of the upward radiative fluxes depends on the sun’s elevation, and the sea surface temperature and emissivity.
To determine the turbulent fluxes directly using eddy correlation the differences in temperature, humidity and velocity between
upward and downward moving air parcels is summed over all the contributing eddy sizes. This requires precise, fast response
sensors sampling at 10 Hz or more over periods of order 30 min and, at sea, the ability to correct for sensor motion and airflow
distortion by the instrument platform. For momentum, ultrasonic anemometers are relatively robust and can also approximate the
virtual temperature flux (Fig. 2). Adequately exposing fast response temperature and humidity sensors whilst protecting them from
damage and salt particle contamination is difficult. Until recently, eddy correlation measurements were not routinely obtained over
the ocean but were used in special air–sea interaction experiments to calibrate other less direct methods of flux estimation. Routine
direct measurement are now beginning to be implemented at Ocean Observatory sites (see below).
In the inertial dissipation method, fluctuations of the wind, temperature, or humidity at a few Hz are measured and related,
through turbulence theory, to the fluxes. This method is less sensitive to flow distortion or platform motion, but the underlying

Fig. 1 A pyranometer used for measuring shortwave radiation. The thermopile is covered by two transparent domes (Photo: National Oceanography Centre).
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