1. Introduction
A number of tracer-release experiments in the ocean’s stratified interior have reported 1–5-km horizontal diffusivities Kh ~ O(1) m2 s−1 (e.g., Ledwell et al. 1998; Sundermeyer and Ledwell 2001; D. A. Birch et al. 2015, unpublished manuscript). This is an order of magnitude larger than predictions for internal-wave shear dispersion Kh ~ Kz|χz|2 based on Young et al. (1982), where |χz| = |∫Vz dt| and the vertical shear Vz = (uz, υz) = (∂u/∂z, ∂υ/∂z). These shear-dispersion predictions have been based on average diapycnal diffusivities 〈Kz〉, average near-inertial shear variances 〈
To explore a possible reason for this order-of-magnitude discrepancy, this paper examines the consequences of recognizing that 〈Kz|χz|2〉 = 〈Kz〉〈|χz|2〉 + 〈Kz′|χz|2′〉 will exceed 〈Kz〉〈| χz|2〉 if Kz and |χz|2, both of which are positive definite, are intermittent and positively correlated. This may be the case in the ocean where finescale near-inertial waves provide background variances 〈
Section 2 provides background on internal-wave shear dispersion; section 3 discusses modifications arising from intermittency, lognormality, and correlation between turbulence and unstable shear; and section 4 summarizes the results.
2. Background







Sequence illustrating the steps involved in internal-wave shear dispersion in a 2D vertical plane. When (a) a horizontal property gradient experiences (b) oscillating vertical shear Uz, it is (c) strained to produce vertical gradients. If (d) diapycnal mixing Kz then occurs when the off-diagonal vertical strain Xz = ∫Uz dt is maximal (c), then (e) horizontal mixing is maximized by the diapycnal dilution. At each step, the state in the preceding step is shown as dotted.
Citation: Journal of Physical Oceanography 45, 12; 10.1175/JPO-D-14-0134.1
Schematic time series of (a) shear variance
Citation: Journal of Physical Oceanography 45, 12; 10.1175/JPO-D-14-0134.1
For internal waves, the largest contributions to (1) are from finescale near-inertial waves, which have minimum frequency ω = f and contain the bulk of the shear variance 〈









Several field studies have compared internal-wave shear dispersion [(4)] with submesoscale dye dispersion. Tracer studies in the North Atlantic subtropical gyre (Ledwell et al. 1998) used upper-bound 〈Kz〉 inferred from tracer and a shear spectrum based on moored current-meter measurements to infer internal-wave shear dispersion from (2) of Kh < 0.024 m2 s−1, more than a factor of 2 smaller than the 1–10-km dye lateral diffusivity of 0.07 ± 0.04 m2 s−1 14 days after release, and nearly two orders of magnitude smaller than the dye lateral diffusivity of 0.6–6 m2 s−1 estimated 5–6 months after release. Similar discrepancies were reported in 5–10-km tracer patches sampled over 3–5 days on the New England continental shelf (Sundermeyer and Ledwell 2001). Using dye-based 〈Kz〉 and relative lateral displacements with depth |χz| inferred from shipboard ADCP time series, shear dispersion [(2)] in two of four tracer releases was nearly an order-of-magnitude smaller than dye-based lateral diffusivities, which ranged from 0.1–0.6 to 3–7 m2 s−1, with the other two releases showing closer agreement between dye and shear dispersion. Finally, shear dispersion using 〈Kz〉 was again an order-of-magnitude smaller than the 1–10-km lateral dye diffusivities over 6 days of 0.5–4 m2 s−1 in the summer pycnocline of the Sargasso Sea (Shcherbina et al. 2015; D. A. Birch et al. 2015, unpublished manuscript). The discrepancy between dye and shear-dispersion estimates is by no means universal as other studies ranging in duration from a few hours to 1–2 days have found closer agreement (e.g., Inall et al. 2013; Moniz et al. 2014). Common to all the aforementioned studies is that they did not account for the intermittency of diapycnal turbulent mixing events and their possible correlation with the off-diagonal vertical strain |χz| = |∫Vz dt|.
The apparent failure of internal-wave shear dispersion to explain observed isopycnal mixing in some studies has fostered a number of alternative hypotheses. Smith and Ferrari (2009) examined eddy shear dispersion in a quasigeostrophic (QG) numerical simulation in a baroclinically unstable QG model that reproduced filaments of similar O(1)-km horizontal scale to those observed in the ocean (Ledwell et al. 1998). Their lateral diffusivity scaled as Kh ~ KzN2/f2 like (4), so it still falls short of observed dye diffusivities by more than an order of magnitude, though they noted considerable scatter in the aspect ratio of filaments about N/f. The Smith and Ferrari model did not include internal waves or unbalanced subinertial flows as might arise in a primitive equation model (e.g., Molemaker et al. 2010). These non-QG flows must be present on the submesoscale based on surface drifter-pair spreading (Lumpkin and Elipot 2010; Poje et al. 2014) and horizontal wavenumber spectra of submesoscale water-mass anomalies on isopycnals (Rudnick and Ferrari 1999; Cole and Rudnick 2012; Kunze et al. 2015).
It has also been proposed that horizontal dispersion might arise from Stokes drift in a dissipative weakly nonlinear internal-wave field (Bühler et al. 2013) or from stirring by finescale potential vorticity anomalies (Lelong et al. 2002; Sundermeyer et al. 2005; Lelong and Sundermeyer 2005; Sundermeyer and Lelong 2005) termed the vortical mode (Müller 1984). Kinematic arguments and numerical simulations indicate that vortical-mode stirring should be more effective than vortical-mode shear dispersion, and that this stirring may be enhanced by upscale energy transfer of vortical-mode (PV) variance (Sundermeyer et al. 2005; Brunner-Suzuki et al. 2014). Direct measurement of finescale vortical mode in the ocean has proven challenging and inconclusive (Müller et al. 1988; Kunze et al. 1990a; Kunze and Sanford 1993; Kunze 1993; Polzin et al. 2003) because of the dominance of internal waves in dynamic (horizontal kinetic and available potential energy) signals on these scales and the resulting demands on sampling to avoid space–time aliasing. However, recently, Pinkel (2014) reported that subinertial finescale potential vorticity is dominated by finescale fluctuations in stratification N2 and that subinertial vertical shear is many orders of magnitude below near-inertial shear so unlikely to contribute significantly to shear dispersion.
3. Intermittency
Here, we revisit internal-wave shear dispersion, taking into account the observed intermittency of Kz, including its lognormal distribution, and its possible correlation with finescale off-diagonal components of vertical strain χz = ∫Vz dt. Ocean turbulence is sporadic (black curves in Fig. 2), typically only occupying 5%–10% of space–time in the pycnocline (Gregg and Sanford 1988). Nonzero turbulent dissipation rates are also approximately lognormally distributed (Gregg et al. 1993; Davis 1996). In the stratified interior, turbulence is largely driven by finescale O(1)-m internal-wave shear (Eriksen 1978; Desaubies and Smith 1982; Polzin 1996), so unstable shears are also intermittent and present 5%–10% of the time (Kunze et al. 1990b). While shears are not correlated with turbulence when they are stable, or when unstable scales are not resolved (Gregg et al. 1986; Toole and Schmitt 1987), resolved unstable instantaneous finescale shears Vz > 2N on O(1) m scales exhibit strong correlation with turbulent dissipation rates ε as described in section 3c.
a. Theoretical shear dispersion with intermittent shear-driven turbulent mixing







b. Properties of observed finescale shear
Finescale shear layers have low aspect ratios and cross isopycnals with gentle slopes, consistent with near-inertial waves (Itsweire et al. 1989). This is mirrored in the aspect ratios of turbulent layers (Marmorino et al. 1986; Marmorino et al. 1987), which can persist for many inertial time scales f−1 (Gregg et al. 1986; Sundermeyer et al. 2005). Because group velocities are small at the 10-m vertical wavelengths that dominate internal-wave shear, these waves cannot propagate from the surface or bottom but likely arise in situ from wave–wave or wave–mean flow interactions that transfer wave variance from lower to higher vertical wavenumber m on time scales such as m(kUz)−1 ~ N(ω2 − f2)−1/2/N ~ (ω2 − f2)−1/2 based on ray-tracing theory. The most relevant interactions for production of unstable shear can occur on time scales much shorter than f−1 (Sun and Kunze 1999) so that interpreting the resulting shears from linear internal-wave theory may be inappropriate. Whether unstable shear |Vz| > δcN and mixing persist long enough to produce a correlation between large vertical gradients of horizontal displacement |χz| = |∫Vz dt| and Kz remains an open question that we discuss in the appendix and revisit in the summary.
c. Relation between unstable shears and turbulence





Shear-driven inferred turbulent diapycnal diffusivity Kz from (12) as a function of gradient Froude number δN = |Vz|/N assuming a critical gradient Froude number δc = 2, N = 10−2 rad s−1, Δz = 1 m, and γ = 0. 2.
Citation: Journal of Physical Oceanography 45, 12; 10.1175/JPO-D-14-0134.1
Peters et al. (1995) reported that 2-m estimates of ε parameterized from (12)—that is, shear |Vz|, or rather reduced shear |Vz| − δcN—both (i) reproduced average microstructure dissipation rate 〈ε〉 and (ii) were significantly correlated with instantaneous microstructure ε with R ~ 0.6, which is likely a lower bound given problems associated with instrument noise in the 2-m shear estimate. Polzin (1996) found that (12) was as good a predictor of average dissipation rate ε as a finescale parameterization based on internal wave–wave interaction theory (Henyey et al. 1986; Gregg 1989; Polzin et al. 1995). More importantly, (12) reproduced the behavior of ε as a function of N and Vz (Polzin 1996, his Figs. 2 and 3), again indicating a strong correlation between unstable shear and turbulent mixing. The observed consistency of (12) with microstructure measurements indicates that turbulence and unstable shear occupy the same 5%–10% of space/time.
d. Statistical prediction of shear dispersion with intermittency





The principal variables affecting (16) are (i) the intermittency r, (ii) assumed lognormality PDF(Kz), and (iii) correlation corr, as explored in Fig. 4 and Table 1, which show Kh depending roughly as r–1/2 on intermittency r. For perfect shear-turbulence correlation (corr = 1; thick solid curves, Fig. 4) in the continuous turbulence limit (r = 1), the horizontal diffusivity Kh ~ 0.2 m2 s−1 for σlnK = 1.2 and Kh ~ 0.52 m2 s−1 for σlnK = 2.1, boosted by lognormality alone from 〈Kz〉〈
Horizontal diffusivity Kh from (9) as a function of turbulent intermittency r assuming Δz = 1 m in (12), bulk average diapycnal diffusivity K0 = 0.05 × 10−4 m2 s−1, buoyancy frequency N = 0.01 rad s−1, Coriolis frequency f = 8 × 10−5 rad s−1, mixing efficiency γ = 0.2, and a critical gradient Froude number δc = 2. Finescale parameterization [(12)] is used to relate shear Vz to diapycnal diffusivity Kz numerically. Thick solid curves correspond to Kz having a lognormal distribution [(14)] during the r fraction of time turbulence is present, with σlnK labeled along the upper axis and perfect correlation (corr = 1) between Kz and unstable shear variance
Citation: Journal of Physical Oceanography 45, 12; 10.1175/JPO-D-14-0134.1
Dependence of horizontal diffusivity Kh [(15)] on intermittency r and σlnK for corr = 1. The reported range of intermittency r is boldface in the second column. The reported dye diffusivities Kh are bold in the third column.
The conclusions above suggest that, within constraints of available observations, internal-wave shear dispersion cannot yet be ruled out as a possible explanation for the horizontal diffusivities Kh inferred from 1–5-km open-ocean dye studies. The key features for this argument are (i) the intermittency of ocean turbulence r, (ii) its probability density function [(14)], and (iii) its degree of correlation with finescale off-diagonal vertical strain |χz| = |∫Vz dt| (Fig. 4). The exact relationship [e.g., (12)] between Kz and
4. Summary
In the traditional application of internal-wave shear dispersion, either average turbulent diapycnal diffusivity 〈Kz〉, average variance of vertical shear 〈
There are two major caveats. First, the PDF of Kz in the ocean is only approximately lognormal with deviations at high Kz which will impact Kh estimates from (15). While ocean sampling is sufficient to characterize the mean 〈Kz〉, standard deviations σlnK are rarely reported, let alone sufficient sampling for higher-order quantities like shear dispersion [(15)]. Second, while Kz and finescale shear variance
Elevated horizontal diffusivities Kh due to shear dispersion hinge on unstable shear persisting for O(f−1) so that the off-diagonal vertical strain |χz| = |∫Vz dt| can become large while diapycnal mixing Kz is strong [Fig. 5b; (11)]. Although the unstable-shear parameterization [(12)] implies rapid loss of unstable shears to turbulence on a time scale 4/(|Vz| − δcN) ~ O(N−1), which is too short for the creation of large vertical gradients of horizontal displacement |χz| (Fig. 5a), microstructure observations often find that the strongest turbulent mixing can persist for days associated with near-inertial shear (Gregg et al. 1986; Sundermeyer et al. 2005). This implies that unstable shears must be continuously replenished by nonlinear wave–wave or wave–mean interactions (appendix) in order to maintain unstable shears |Vz| and turbulent diapycnal mixing Kz long enough to create large |χz| ~ |∫Vz dt| coincident with large Kz. Such persistent shear and mixing events should result in a strong correlation between Kz and |χz| = |∫Vz dt|, which is an underlying assumption in our results, but this remains to be verified.
Cartoon of two scenarios for shear dispersion, where the thick dotted curves represent unstable reduced shear |Vz| − 2N, thick solid curves diapycnal diffusivity Kz, and thin solid curves the vertical gradient of horizontal displacement |χz| = |∫Vz dt|. (a) The unstable shear and mixing decay over a buoyancy time scale δt ~ N−1 so that |χz| remains small. (b) Unstable shear and mixing persist over an inertial time scale δt ~ f−1, allowing |χz| to become large in conjunction with strong mixing.
Citation: Journal of Physical Oceanography 45, 12; 10.1175/JPO-D-14-0134.1
The statistics of both shear and turbulence may vary in different regions of the ocean. Thus, the effects discussed here will be of varying importance depending on the degree of correlation between Kz and finescale off-diagonal vertical strain |χz| = |∫Vz dt|, so these must be resolved to correctly evaluate shear dispersion. In locales where turbulence and finescale shear are more uniform, such as seamount summits (Kunze and Toole 1997) and banks (Palmer et al. 2013), intermittency r ~ 1, so traditional shear dispersion 〈Kz〉〈
This paper has found that internal-wave shear dispersion is more subtle than previously recognized, depending not just on average diapynal diffusivities 〈Kz〉 and average shear variances 〈
Acknowledgments
A. Sykulski, M. Inall, J. Ledwell, and an anonymous reviewer provided helpful comments. E. Kunze was supported by ONR Grant N00014-12-1-0942 and M. Sundermeyer by ONR Grant N00014-09-1-0194. In memoriam Murray Levine.
APPENDIX
Replenishment of Unstable Shear


Buoyancy-frequency-normalized shear |Vz|/N vs Coriolis-frequency-normalized frequency ω/f to achieve a balance (solid curve) between shear variance amplification (4ω2 + f2)(ω2 − f2)1/2|Vz|/(Nω2) [(A8)] and loss to turbulence (|Vz| − 2N)/4 [(12)] as shown by (A9). The thick dotted curve shows the balance for only vertical shearing effects (ω2 − f2)1/2|Vz|/N vs (|Vz| − 2N)/4 without wave dynamics [(A3)–(A7)], that is, omitting the second term on the right-hand side of (A1). The thin dotted horizontal line corresponds to the assumed critical δc = |Vz|/N = 2.
Citation: Journal of Physical Oceanography 45, 12; 10.1175/JPO-D-14-0134.1
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This term plays a role in limiting horizontal mixing for subinertial (ω ≪ f, e.g., vortical mode) shears to 〈