Lecture 6: HYDROSTATIC STABILITY AND CONVECTION

6.0 Introduction
In this lecture, we shall be concerned with an atmospheric environment which obeys the
hydrostatic equation i.e. an atmosphere which is in hydrostatic equilibrium.
We will be investigating whether a sample of air displaced by some impulse from its initial
position will be forced back, accelerated or will be subject to no further forces by the
environment. This will be the stability criteria for the atmosphere. Two scenarios will be used:
firstly when the air is dry and when it is moist. It means that the lapse rates under the two
scenarios will become crucial.
The stability of the vertical moving air will be important in understanding and predicting
significant atmospheric phenomena such as convection and turbulence.

LECTURE OBJECTIVES
At the end of this lecture, you should be able to:
1. Derive the dry and moist adiabatic lapse rates
2. Explain the parcel and slice methods
3. Explain the concept of entrainment and the bubble theory
4. Describe the process of cumulus cloud development

6.1 Dry Adiabatic and moist Pseudo-adiabatic lapse rates

In lecture 5, section 5.2, we saw that the dry adiabatic lapse rate was given by
dT − g dT
= where − = Γ d (for dry adiabatic process)……………………………(6.1)
dz C p dz

In order to derive the equation for the moist adiabatic lapse rate, we make use of the first law of
thermodynamics bearing in mind that the heat, dh, involved is from the latent heat.
The rate at which saturated air cools under a pseudoadiabatic process of saturated air is governed
by:
− Ldws = CpdT − α dp and α dp = − gdz
→ Ldws = CpdT + gdz; ws is saturation mixing ratio ………………(6.2)
L is the latent heat
es
Now ws = ε
P
→ ln ws = Inε + es − InP
 dws des dP des ρ gdz
= − = + …………………………………………….(6.3)
ws es P es ρ RT

dws des gdz  de gdz 

= +  dws = ws  s + 
ws es RT  es RT 

Hence

 de gdz 
− Lws  s +  = CP dT + gdz
 es RT 

− Lws des Lws g dT

or − = CP + g ………………………………………(6.4)
es dz RT dz

des des dT
but = , re-arranging terms
dz dT dz

dT Lws des dT Lw g
−C P − =g+ s
dz es dT dz RT

− dT g + Lws g
=
dz Lw de
CP + s s
es dT

 Lws 
1+
g  RT

   = Γ s ; Moist Pseudo Adiabatic Lapse Rate…………(6.5)
CP  1 + Lw s des 
 C e dT 
 P s 
We define the free convective level (F.C.L.) as a level beyond which a parcel of air would rise
freely without any negative buoyancy.

F.C.L. (free convective level)

L.C.L.

Surface

Figure 6.1: Schematic illustration of free convective level

The energy to raise the parcel of air from the surface to L.C.L and F.C.L. must be
provided by some means; after which formation of cumulus clouds can take place.

6.2 Atmospheric stability using the Parcel method

Atmospheric stability is the basis of all the process that leads to the formation of rain.
In the lower levels of the atmosphere the atmospheric variables are significantly varying as
compared to upper levels where they remain approximately constant i.e. the variability is
negligible. This is due to the interaction with the earth.

In the Parcel method, we consider the vertical motions of an individual parcel of air. In addition
we assume that the whole environment is assumed to be in hydrostatic equilibrium, but a portion
of a parcel of air sitting in the environment gets more thermal energy than the environment
during heating hence the parcel is set in motion. We further assume that the parcel doesn’t
exchange its energy with the environment i.e. an adiabatic system. Therefore, the parcel is in
balance since it does not mix with the environment.

We let γ be the environmental lapse rate while Γd is the adiabatic lapse rate.
Stable equilibrium

Γd

γ> Γd
Figure 6.2: Stable equilibrium of the atmosphere using the parcel method

For an adiabatic process, the only way the parcel can lose energy is by doing work against the
environment e.g. expanding the parcel in the process keeps on cooling because the energy is
withdrawn from its internal energy. A parcel at A when moved upwards along a dry adiabat will
find itself at a lower temperature than the environment and would be pushed downwards because
it would be denser than its surrounding (negative bouyancy) to original status reverse is true
when the parcel is moved downwards (positive bouyancy).

Unstable equilibrium

Γd

To=To′

γ > Γd
Figure 6.3: Unstable equilibrium of the atmosphere using the parcel method

In this case the parcel moved upwards would be at a higher temperature hence would be pushed
upwards reverse is true when it is pushed down (in this case its density would be higher than that
of the environment).
Neutral equilibrium

γ=Γd

γ = Γd

Figure 6.4: Neutral equilibrium of the atmosphere using the parcel method

In the neutral case, the environmental lapse rate is equal to the dry adiabatic lapse rate. A parcel
therefore, remains at the position it is pushed to (there is no net force on the parcel as it remains
at same temperature, and density as its surrounding).

Mathematical Analysis of the three cases

In order to use mathematics to explain the stability criterion, we consider a particle which is set
in motion. In this case the particle is the parcel of air we have mentioned above.

We start from the hydrostatic equation given by

dP
−α = + g ………………………………………………………………………(6.6)
dz

The net force on the parcel, F=ma, where m is the mass of the parcel and a is its acceleration.
For a unit mass, the force is equal to acceleration and is given by
dP dp
a = &&
z=− − ρ g = −α − g ………………………………………… (6.7)
dz dz

dp − g
But =
dz α

α′   α′ −α 
→ &&
z = g  − 1 = g   ………………………………………….(6.8)
α   α 

α ' = density of the parcel, α = density of environment

Making use of the equation of state: Pα = RT

  T′ −T 
z = g
&& , where T ′ = To′ − Γ d z and T = T0 − γ z
 T 

g (To′ − Γ d z − To + γ z )
z=
&& ……………………………………………(6.9)
To − γ z

g ( γ − Γd ) z
→ &z& = ; To′ = To at origin
To − γ z

For small changes of z (vertical distance) To > > γz

g (γ − Γ d ) z
z=
 && ………………………………………………..(6.10)
To
From expression 6.10,
(i) When γ < Γd, we have a negative acceleration which means descent motion

(ii) When Γd <γ, we have a positive acceleration which means ascent motion
(iii) When Γd = γ, acceleration is zero and the particle remain where it is placed.

6.2.1 Moist Pseudoadiabatic lapse rate

The stability criterion discussed above is true only where the parcel is unsaturated hence is
known as dry adiabat. At the lifting condensation level (L.C.L), the parcel would now condense
to form water.

Diabatic heating would set in due to introduction of energy as a result of the condensed water
releasing latent heat.
This means that beyond the L.C.L, the parcel would:

1. Cool adiabatically
2. Warm diabatically through latent heat of condensation

Its rate of cooling would therefore be lower than Γd because of the diabatic heating i.e. it would
cool at a moist adiabatic rate (Γs)
 Γs
γ3

γ2

γ1
γ 1 , γ 2 , γ 3 are
L.C.L Environmental
γ Lapse rate

Γd

Figure 6.5a: Stability criteria for a parcel for different scenarios of environmental lapse rates

When the displaced parcel is saturated its lapse rate is not the dry adiabatic value, Γd, but the
moist adiabatic value, Γs,. Thus it is clear that the same stability criteria apply in the saturated
case except that one must compare the environmental lapse rate to the moist adiabatic value
instead of the dry adiabatic value. Since the moist adiabatic lapse rate is smaller, it is easier to
obtain instability for saturated than for unsaturated air. In addition, this means that we must
consider a special case of instability.
As illustrated in figure 6.5a, the following are the possibilities which the parcel may undergo:

(i) If Γd < γ1, < Γs ,then the atmosphere is conditionally unstable

(ii) If γ 2 < both Γd and Γs then there is absolute stable equilibrium

(iii) If γ 3 < both Γd and Γs then there is absolute unstable equilibrium

B
F.C.L
A
L.C.L
Height
O

Γs Γ Γd Temp.
Figure 6.5b: Stability criteria for a parcel in different scenarios of environmental lapse rate
In figure 6.5b, if Γs > Γ < Γd, a parcel of air that is lifted sufficiently far above its equilibrium
level will become warmer than its environment i.e. the equilibrium level is O. The parcel from O
cools at Γd until it reaches its LCL at A. At this level it is colder than the environmental
temperature. Further lifting produces cooling at the Γs, so that the parcel is sufficiently moist,
the moist adiabat through A will cross the environment sounding at B. Up to this point the parcel
was colder and denser than its environment, and expenditure of energy was required in order to
lift it.

6.2.2 Changes of stability during displacement of layers

The higher the moisture content the lower the LCL. This also implies a higher potential
temperature. Therefore in the atmosphere where moisture decreases with height, θe also
decreases and vice-versa

dθ e
(i) < 0 …………………………………………………..(6.1)
dz Γs
Γs
Γs

A B B
B
A A

Figure 6.6: Changes of stability during displacement of layers

Moisture decreases with height. The bottom layer A condenses before the upper layer B. At
lifting condensation level (LCL), the latent heat released would heat the bottom layer which
would then follow moist adiabat. Thus the bottom layer would be warmer than the upper layer.
This leads to convective process i.e. potential instability.

dθ e
(ii) = 0 ……………………………………………………………………..(6.2)
dz

There are no appreciable changes in temperature between the levels because they reach LCL at
the same time; they would therefore follow the same moist adiabat. The atmosphere is
potentially neutral.

dθ e
(iii) > 0 ……………………………………………………………………..(6.3)
dz
The top layer would reach the condensation level before the bottom layer thus would be warmer
than it. This leads to a potential stable condition.

Note: The potential for gravitational instability is also related to the vertical stratification of
water vapour. In the profile shown in the diagram below, the mixing ratio decreases rapidly with
height within the inversion layer AB which marks the top of a moist layer. Now suppose that this
layer is lifted, an air parcel at A will reach its condensesation level almost immediately, and
beyond that point it will cool moist adiabatically.

On the other hand, an air parcel starting at point B will cool dry adiabatically through a deep
layer before it reaches its LCL. Therefore as the inversion layer is lifted, the top part of it cools
much more rapidly than the bottom. Part and the lapse rate quickly become destabilized.
Sufficient lifting may cause the layer to become conditionally unstable, even if the entire
sounding is absolutely stable to begin with. The criterion for this so called convective (or
dθ e
potential) instability is that be negative within the layer.
dz

6.3 The Slice method

This refers to compensating vertical motions in the environment as a parcel of air rises.
It is concerned with formation of cumulus clouds and therefore consider a horizontal layer of air
which is saturated.

In such a layer, there are regions of

(i) ascent motion where the air cools moist adiabatically

(ii) descent motion where the air warms dry adiabatically
We assume that the rate at which mass descends through a fixed reference level in the slice of
originally saturated air is equal to the rate at which mass ascends through the reference level.

In a small interval of time dt, the masses transported upward and downward are:

dM = ρ Awdt = PAdz = − Adp / g

dM ′ = ρ ′ A′w ' dt = P′A′dz ′ = − A′dp′ / g

A – horizontal are of ascending parcel of air moving with velocity ω and having density
dp and dp’ are the hydrostatic changes in pressure
A-horizontal area of the ascending air of density ρ moving upward with a speed, w
A′ - Same as above but for descending parcel of air with velocity w′ and density ρ′

dz, dz′ - are ascending and descending distances.

Since dM=dM’ , we find at the start of the process

A ' w dz dp
= = =
A w ' dz ' dp '
The local temperature chages are assumed to be caused by vertical motion
Just like in the parcel method, the establishment of instability requires positive buoyancy for the
ascending air.
The stability criteria in terms of slice lapse rate γn reduce to:

γ > γn : unstable
γ = γn : neutral
γ < γn : stable
γ is the initial lapse rate of the layer
 AΓd + A′Γs 
where γ n =   ……………………………………………………….(6.4)
 A′ + A 

6.4 cumulus clouds

Cumulus clouds vary in form and sizes ranging from non-precipitating fair weather cumuli to
heavily precipitating thunderstorms.
Fair weather cumulus clouds may be classified according to their interaction with atmospheric
boundary layer (ABL); viz: forced, active and passive clouds.

Forced cumulus clouds form at the top of boundary layer thermals that overshoot into stable
layer that caps the ABL. The thermals rise above the lifting condensation level but because they
are unstable to rise above the level of free convection (LFC) they remain negatively buoyant
during overshoot.
Active fair weather cumulus clouds ascend above the LFC and therefore become positively
buoyant. As a consequence of gaining positive buoyancy, they ascend to greater heights than
forced cumuli and develop circulations that depart from those characteristics of dry ABL
thermals.

Passive clouds are the decaying remnants of formerly active clouds. They can be readily
identified by the absence of a flat base. Their importance is mainly due to the fact that decaying
clouds may account for a significant fraction of the total cloud cover. This is particularly true on
days in which the free atmosphere is humid and cloud evaporation is slow. Thus passive clouds
can significantly affect the amount of radiative heating/cooling in the ABL. Over land, passive
clouds mainly affect the ABL by shading the ground and thereby reducing surface heating.

The characteristic thermodynamic structure of a cumulus-capped ABL may be examined by use

of undisturbed trade wind ABL. It can be characterized by 5 distinct layers:
Height

Cloud layer

Dry
adiabatic
lapse rate Stable layer

Homogeneous
layer

Figure 6.7: Undisturbed trade wind ABL

(i) The surface layer- generally less than a few hundred meters in depth. Nearly adiabatic
over water or super adiabatic over land and exhibits decrease in specific humidity
(ii) A mixed layer-nearly adiabatic throughout and is nearly constant in specific humidity.
Its depth may extend to 900 mb
(iii) A transition layer-nearly isothermal but has sharply decreased moisture and a
thickness less than 100m. This layer separates the cloud layer above from the dry
mixed layer below
(iv) A cloud layer-conditionally unstable and extends from transition layer to the base of
the capping inversion and has a temperature gradient somewhat greater that wet
adiabatic
(v) The trade wind inversion (or the capping inversion)-caps the ABL and shows a strong
increase in temperature and decrease in specific humidity with height.
The depths and structure of these layers are controlled by the fluxes of heat, moisture and
momentum at the surface, the strength of subsidence in the lower atmosphere and the intensity of
cumulus convection.

6.4.1 Stages in cumulus cloud development

There are three stages in cumulus cloud development namely: development, mature and
dissipating stages. These are highlighted below.
1. Development stage: (cumulus stage)

Figure 6.8a: Updrafts in development stage

Equation 6.4 under section 6.3 and the associated stability criteria indicate that the chances for
development of slice instability are greatest when when A’ is large and A is small, for then γ n is
small and easily exceeded i.e . to say that small areas of ascent and large ares of descent are most
favourable to the development of cumulus clouds. This is because if air is subsiding gently over
most of a given region, there must be rapid upward compensating motion in the few narrow
cumulus towers present which is conducive to their development.
This stage is characterized by cloud towers, mainly updrafts. Updrafts prevail and precipitation
may form in the upper portion of the cumulus.

2. Mature stage:

Figure 6.8b: Updrafts and Downdrafts in mature stage

The merger of the cumulus elements into a large scale convective system characterizes the
transition to the mature stage. The merger process is frequently associated with the collision of
downdraft induced gust fronts from adjacent cumulus clouds. Both updrafts and downdrafts
characterize the mature phase. Updrafts may extend through the depth of the troposphere.
Divergence of the updrafts just below the tropopause results in the formation of the anvil cloud,
and a cloud dome is often present.

The down draft ( ↓) are caused by the gravitational forces acting on the drop. As the drop falls
there is frictional interaction (there will be downward moving air due to the drag which causes
detrainment). The cloud would undergo evaporation cooling to moisten the air that has been
detrained. This means the downdraft air is cooler than the updraft air.

3. Dissipating stage.

Downdraft stage

Figure 6.8c: Dissipating stage

The cloud has grown large enough and there is in a downward motion. It is no longer cumulus
because it has lost all its vertical form. It is stratified cloud (low level cloud) and the dragged air
would form horizontal gusty wind. These horizontal gusty winds are also referred to as severe
storms.

Role of temperature inversion in the development of cumulus clouds

The cloud top would be found only at the condensation level and there is no further development
beyond this level.

Due to strong surface heating, there is convection (overturning of air) which may increase the
vertical motion causing the cloud to break through the inversion particularly if the temperature
inversion is weak. This is a condition for a very strong potential instability particularly if the
atmosphere is very moist below.

6.4.2 Entrainment into cumulus clouds

This refers to drawing in of air into environmental clouds. Conditions for this to happen are:
(i) Cloud must be warmer than the environment
(ii) The environment must be below saturation
We assume that the cloud and the air it entrains are thermodynamically isolated system, so that
no external sources or sinks of heat need to be considered.
If the cloud temperature is higher than the entrained air, cloud looses energy by condensation to
warm the air.
If the air contains no moisture, and is entrained into the cloud, the condensed water from the
cloud must be evaporated to saturate the air. This energy is obtained from the cloud which
causes its temperature to fall.
Entrainment has the effect of increasing the moist adiabatic lapse rate of temperature i.e. the
cloud tends to cool much faster.

The smaller the clouds, the more it will behave like a parcel of air, thus it will have a higher
vertical motion.

Entrainment
Entrainment (b)
(a) (c)

Figure 6.9: Entrainment into cumulus cloud

Cumulus clouds (or convective clouds) are composed of a number of individual elements or
towers, each of which goes through a life cycle of growth and decay in a matter of minutes.

These towers are produced by elements of rising buoyant air called (thermals).
As a thermal rises, it pushes environmental air from its upper boundary, the same time
environmental air is entrained into the turbulent wake beneath the thermal, as in (a) above. These
motions are such as to turn the thermal wide and thereby produce thorough mixing.

In addition, some environmental air may be entrained through the sides and top of the thermal
due to turbulent mixing. As a result of entrainment, the diameter of the thermal initially increases
as it rises as indicated in (c) by dashed lines.

Above LCL, (b), the thermal now is visible as arising cloud tower (bubble), generally ceases to
widen because of entrainment of cool dry, air.
There is evaporation of some of the cloud water which results in cooling; the buoyancy of the
thermal (bubble) is therefore reduced and some of the air in it is left behind (atmospheric
moistening).

By the time a thermal has been thoroughly diluted by being turned once inside out, its buoyancy
is generally completely destroyed. By this time, it has typically risen to a height above cloud
base equal to 1½ times diameter of the thermal.

The evaporation that takes place at the boundary of a cloud causes cooling and therefore sinking
motions. These downdrafts tend to inhibit the thermal, from rising above the LCL just outside
the boundaries of a cloud; consequently, the boundaries remain fairly well defined.

The net upward movement of air in convection clouds is compensated by slower subsidence of
air over the much larger areas between the clouds.

This subsidence produces warming and drying and hinders the growth of thermal in the regions
between the clouds. Therefore, there is a tendency for thermals to feed previously formed
clouds. Moreover, since these same regions have been moistened by earlier thermals,
evaporation of the newly rising thermals is reduced.
6.5 Conditional instability of the second kind (CISK)

There is cooperation between the cumulus development and large scale motion (synoptic
scale/convergence in ITCZ or tropical disturbance due to waves, mesoscale etc.)
Large scale motion is induced by vertical motion. This in turn induces cumulus cloud
development.

Horizontal motion induced

(continuity requirement)

Figure 6.10: Induced horizontal motion

Thus this vertical motion would intensify the large scale motion which is the basis for the
formation of cumulus clouds.

The formation of the cloud means that latent heat will be released. The large scale motion
initially gives the energy needed to lift the ‘parcel’ to the condensation level after which, it gets
its own energy in form of latent heat which causes it to rise further thus intensify causing the
large scale motion further.

6.6 The Bubble theory

Most of the observations from the satellite show that the entrainment is always there for the
clouds normally in a dry environment thus they cannot sustain themselves. The clouds therefore
dissipate until they are able to sustain themselves (concept of the bubble theory). Firstly, clouds
form as bubbles at L.C.L.and then move upwards.

They then under erosion due to:

1. Entrainment, environmental cooling by sensible heat.
2. Frictional interaction with the environment

Erosion continues until the cloud dissipates leaving a region of moist air.
The continuous formation and dissipation therefore moistens the upper levels of the atmosphere.
If this process continues, the atmosphere increasingly gets moistened and as a result erosion is
reduced. The bubbles would then be able to stay and subsequently form rain clouds (cumulus).
ACTIVITY 1
1. Derive the dry adiabatic lapse rate
2. Explain the bubble theory
3. Explain why moist adiabatic rate is lower than the dry adiabatic lapse rate

Self-assessment/ Revision questions

1. What is the role of entrainment in cumulus cloud development
2. What do you understand by the term”entrainment”?
3. Give a brief explanation of the Conditional Instability of the Second Kind (CISK)

Summary
In this lecture, an investigation of the stability of the atmosphere using a the parcel and slice
methods was carried out. It was observed that if the sample of air is displaced by some impulse
from its initial position, it is forced back, accelerated or subject to no further forces by the
environment. This is the basis of stability criteria for the atmosphere. Two scenarios were used:
firstly when the air is dry and when it is moist. The lapse rates under the two scenarios were
therefore crucial and were discussed before hand.
We also pointed out in this lecture that the stability of the vertical moving air is important in
understanding and predicting significant atmospheric phenomena such as convection and
turbulence.
The concepts of entrainment and the bubble theory were also highlighted in this lecture and how
they link to cumulus cloud development.

REQUIRED READING
1. Hess, S. L., (1959): Introduction to theoretical Meteorology. FSU, Tallahassee, Florida
State.
2. McIntosh D.H. and A.S. Thom (1972): Essentials of Meteorology. The Wykeham
Science series
3. Austin J.M. and A. Fkeischer (1948): A thermodynamic analysis of cumulus convection.
J. Meteor., 5, 1948, pp.240-3
4. Stommel H. , (1947): Entrainment of Air into a Cumulus cloud. J. Meteor, 4,1947, pp.91-
94

5. Bjerknes, J., 1938: Saturated-adiabatic ascent of air through dry-adiabatically descending

environment. Quart. J. R. meteor. Soc., 64, 325-330
6. Goldstein, S., Editor, 1938: Modern developments in fluid dynamics. Oxford University
Press, 2 vols., 702pp.
7. Holmboe, J., Forsythe, G.E., and Gustin, W., 1945: Dynamic meteorology. New York,
John Wiley & Sons, 378pp.
8. Rossby, C.G., 1936: Dynamics of steady ocean currents in the light of experimental fluid
mechanics. Pap. Phys. Ocean, Meteor., Mass. Inst. Tech. & Woods Hole ocean. Insln, 5,
no.1, 43 pp.