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SHIGE ET AL.

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Spectral Retrieval of Latent Heating Profiles from TRMM PR Data. Part IV:
Comparisons of Lookup Tables from Two- and Three-Dimensional
Cloud-Resolving Model Simulations
SHOICHI SHIGE,* YUKARI N. TAKAYABU,1,# SATOSHI KIDA,* WEI-KUO TAO,@XIPING ZENG,@,& CHIE YOKOYAMA,1 AND TRISTAN L’ECUYER*** Department of Aerospace Engineering, Osaka Prefecture University, Sakai, Osaka, Japan
1 Center for Climate System Research, University of Tokyo, Kashiwa, Chiba, Japan# Institute of Observational Research for Global Change, Japan Agency for Marine-Earth Science and Technology,
Yokosuka, Kanagawa, Japan@ Laboratory for Atmospheres, NASA Goddard Space Flight Center, Greenbelt, Maryland& Goddard Earth Sciences and Technology Center, University of Maryland, Baltimore County, Baltimore, Maryland** Department of Atmospheric Science, Colorado State University, Fort Collins, Colorado(Manuscript received 6 November 2008, in final form 19 May 2009)
ABSTRACTThe spectral latent heating (SLH) algorithm was developed to estimate latent heating profiles for the
Tropical Rainfall Measuring Mission Precipitation Radar (TRMM PR). The method uses TRMM PR information (precipitation-top height, precipitation rates at the surface and melting level, and rain type) toselect heating profiles from lookup tables (LUTs). LUTs for the three rain types—convective, shallow
stratiform, and anvil rain (deep stratiform with a melting level)—were derived from numerical simulations oftropical cloud systems from the Tropical Ocean and Global Atmosphere Coupled Ocean–Atmosphere Response Experiment (TOGA COARE) using a cloud-resolving model (CRM).
The two-dimensional (2D) CRM was used in previous studies. The availability of exponentially increasing
computer capabilities has resulted in three-dimensional (3D) CRM simulations for multiday periods becoming increasingly prevalent. In this study, LUTs from the 2D and 3D simulations are compared. Using the
LUTs from 3D simulations results in less agreement between the SLH-retrieved heating and sounding-basedheating for the South China Sea Monsoon Experiment (SCSMEX). The level of SLH-estimated maximum
heating is lower than that of the sounding-derived maximum heating. This is explained by the fact that using
the 3D LUTs results in stronger convective heating and weaker stratiform heating above the melting level
than is the case if using the 2D LUTs. More condensate is generated in and carried from the convective region
in the 3D model than in the 2D model, and less condensate is produced by the stratiform region’s own upward
motion.

1. Introduction
A new age of active remote sensing of precipitationfrom space began with the launch of the TropicalRainfall Measuring Mission (TRMM; Simpson et al.
1988, 1996; Kummerow et al. 2000), which carries thefirst spaceborne radar [precipitation radar (PR); Kozu
et al. 2001; Okamoto 2003; Okamoto and Shige 2008].

Corresponding author address: Dr. Shoichi Shige, Division ofEarth and Planetary Sciences, Graduate School of Science, Kyoto
University, Kitashirakawa-Oiwake, Sakyo, Kyoto 606-8502, Japan.
E-mail: shige@kugi.kyoto-u.ac.jp
DOI: 10.1175/2009JCLI2919.1
Ó 2009 American Meteorological Society

The PR has enabled us to directly obtain vertical profilesof precipitation over the global tropics (Iguchi 2007;
Iguchi et al. 2000, 2009). The high vertical resolution(250 m at nadir) and quasi-vertical beam of the PR allow
it to identify a bright band for a higher percentage of allechoes than can a quasi-horizontally scanning groundradar (Schumacher and Houze 2000). Therefore, theclassification between convective and stratiform regionsof mesoscale convective systems (MCS) has become
more straightforward, utilizing the presence of thebright band (Awaka et al. 1998, 2007, 2009).
Because differences in diabatic heating profiles exist
between convective and stratiform regions of MCSs

5578

JOURNAL OF CLIMATE(Houze 1982, 1989, 1997, 2004; Johnson 1984, 2006),
the accuracy of this classification is very important inestimating latent heat released by precipitating cloudsystems, which is one of the key objectives of the TRMM
(see a review by Tao et al. 2006). For convective regionsof MCSs, the heating profile has warming at all levels
with a maximum at midlevels, whereas in stratiform
regions there is a warming peak in the upper troposphere and a cooling peak at low levels. The resulting
MCS heating profile is positive at all levels but with amaximum value in the upper troposphere (‘‘top heavy’’
profile). Hartmann et al. (1984) demonstrated with asimple linear global model that the top-heavy heatsource produces a Walker circulation that is in muchbetter agreement with observations than those that are
produced with a more conventional heat source having amaximum value in the middle troposphere. Recently,
Schumacher et al. (2004) showed that the horizontal
variation of the vertical distribution of heating, calculated from TRMM PR observations using a simple
method, is also very important in simulating the largescale tropical circulation correctly.
During the past four decades, cloud-resolving models(CRMs) have advanced sufficiently to allow the study ofdynamic and microphysical processes associated with
MCSs (see a review by Tao 2007). Chief among many
significant improvements has been the addition of ice
microphysical processes (e.g., Lin et al. 1983; Rutledge
and Hobbs 1984). CRMs explicitly simulate the conversion of cloud condensate into raindrops and various
forms of precipitation ice. These processes are not directly detectable with remote sensing (or for that matter,with in situ measurements). Thus heating retrieval
schemes depend heavily on the use of a CRM. The advent of powerful computers allows us to run CRMs withresolutions fine enough to represent individual cloudelements and space–time domains large enough to encompass many clouds over many cloud lifetimes; this isso-called cloud ensemble modeling (e.g., Yamasaki
1975; Soong and Ogura 1980; Soong and Tao 1980; Taoand Soong 1986; Nakajima and Matsuno 1988; Xu 1993;
Grabowski et al. 1996). The CRM is now at a stage
where it can provide reasonably accurate statistical information of cloud-scale processes and thus is one of themost important tools used to establish the quantitative
relationship between the latent heating profile andprecipitation profile.
The spectral latent heating (SLH) algorithm has beendeveloped for the TRMM PR using a CRM (Shige et al.
2004, 2007; hereafter, Part I and Part II). The previous
methods considers only rain types (convective or stratiform), based on the assumption that the shape of theoverall MCS heating profile is determined by the rela-

VOLUME 22

tive amounts of convective and stratiform heating (Taoet al. 1993a; Schumacher et al. 2004). In these bulk
methods, the variation of rain depth is not taken into
account. On the other hand, the SLH algorithm considers
not only rain types but also a spectrum of precipitation
profiles as a function of precipitation-top height (PTH),
based on a spectral expression of TRMM PR precipitation profiles by Takayabu (2002). Heating profile lookup
tables (LUTs) for the three rain types—convective,
shallow stratiform, and anvil rain (deep stratiform with amelting level)—were produced from numerical simulations of tropical cloud systems in the Tropical Ocean
and Global Atmosphere Coupled Ocean–AtmosphereResponse Experiment (TOGA COARE; Webster andLukas 1992). For convective and shallow stratiform regions, the LUT is based on the PTH. Considering thesensitivity of the PR, we used a threshold of 0.3 mm h21
to determine the PTH. Properties (i.e., shape and magnitude) of the convective and shallow stratiform heating
profiles show near-monotonic change with the PTH,
suggesting that the distribution of latent heating is astrong function of the PTH. On the other hand, the PR
cannot observe the PTH with sufficient accuracy for anvil
regions because of its insensitivity to the small ice-phasehydrometeors (Heymsfield et al. 2000). The anvil heating
profile shape is much more uniform in time and spacethan the convective heating profile in the MCSs (Houze
1989), such that the height of maximum anvil heating is
not overly sensitive to the storm-height observation. Thus
for an anvil region, the LUT is based on the precipitation
rate at the melting level Pm instead of the PTH. The SLH
estimates from PR data were in good agreement withrawinsonde estimates averaged over the Northern Enhanced Sounding Array (NESA) of the 1998 South China
Sea Monsoon Experiment (SCSMEX; Lau et al. 2000).
Recently, the work by Shige et al. (2008; hereafter,
Part III) used the SLH algorithm to estimate the vertical
distribution of the apparent moisture sink. Althoughdiscrepancies between the SLH-retrieved and soundingbased profiles of the apparent moisture sink for the
SCSMEX NESA were larger than those for heating, key
features of the vertical profiles agreed well.
The two-dimensional (2D) CRM was used in Parts I, II,
and III. Observed large-scale advective tendencies oftemperature, moisture, and horizontal momentum wereused as the main large-scale forcings that govern the
CRM in a semiprognostic manner (Soong and Ogura
1980). The availability of exponentially increasing computer capabilities has resulted in three-dimensional (3D)
CRM simulations for multiday periods with large horizontal domains becoming increasing prevalent. Althoughreal clouds and cloud systems are 3D, a 3D CRM does
not automatically give more realistic simulation than a15 OCTOBER 2009

2D CRM does. This is because the results of the simulation depend very strongly on incomplete and uncertain
parameterizations of ice microphysical processes. Considerable effort has been devoted in recent years toevaluating the performance of CRMs using the TRMM
observation. Most previous studies focused on 3D CRMs
(e.g., Bauer 2001; Wiedner et al. 2004; Biggerstaff et al.
2006; Seo and Biggerstaff 2006; Zhou et al. 2007). Comparisons between 2D and 3D CRMs based on TRMM
observations have not been done. Whether a 2D CRM
is acceptable is an old issue (e.g., Wilhelmson 1974;
Schlesinger 1984), but still an important one for climate
simulations where a CRM is run as a ‘‘superparameterization’’ [or multiscale modeling framework (MMF)](Grabowski and Smolarkiewicz 1999; Grabowski 2001)
inside a global circulation model (GCM), as discussed by
Randall et al. (2003). In this study, the PR heating estimates from the SLH algorithm using LUTs produced
from the 2D and 3D CRM simulations are compared withheating profiles derived diagnostically from sounding
data. Such a comparison might be useful not only for
the SLH algorithm but also for climate simulations
with superparameterization (or MMF) as well as a new
cumulus parameterization, for which the use of lookup
tables replaces traditional parameterizations (Pielke et al.
2006, 2007).

2. Approach
In diagnostic studies (Yanai et al. 1973; Yanai andJohnson 1993), it is customary to define the apparent heatsource Q1 of a large-scale system by averaging horizontally the thermodynamic and water vapor equations:


›u
›u
Q1 5 p1 v  $u 1 w
,
(1)
›t
›z
where u is the potential temperature, v the horizontal
velocity, w the vertical velocity, p 5 ( p/P00)R/Cp thenondimensional pressure, p the pressure, P00 the reference pressure (1000 mb), Cp the specific heat of dry air atconstant pressure, and R the gas constant for dry air. The
overbars denote horizontal averages.
The Q1 can be directly related to the contributions ofcloud effects, which can be explicitly estimated by
CRMs, by
Q1 5 p1 ›rw9u9
r ›z

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SHIGE ET AL.

v9  $u9 1 Du 1 LH 1 QR .

(2)

The primes indicate deviations from the horizontal averages; r is the air density and QR the cooling/heating
rate associated with radiative processes. The subgrid-scale (smaller than the cloud scale) diffusion is represented by Du, which is usually small compared withother terms above the boundary layer (Soong and Tao1980). The term LH is the net latent heating due to thephase change of water:
LH 5

Ly
(c
Cp

e) 1

Lf
Cp

(f

m) 1

Ls
(d
Cp

s),

(3)

where Ly, Lf, and Ls are the latent heats of vaporization,fusion, and sublimation, respectively. Variables c, e, f, m,
d, and s are the rates of condensation of cloud droplets;
evaporation of cloud droplets and raindrops; freezing ofcloud droplets and raindrops; melting of ice crystals,snow, and graupel; deposition of ice crystals; and sublimation of all ice hydrometeors, respectively. The firstterm on the right-hand side of Eq. (2) is the vertical eddy
heat flux convergence from upward and downward
cloud-scale motions, while the second term is the horizontal eddy heat flux convergence. The precipitation
falling at a given time is not related to the heating/cooling that is occurring at that instant but rather tothe accumulated heating/cooling that led up to the precipitation over a finite time period. Thus we accumulate
Q1 2 QR (hereinafter Q1R) over a period of 5 min foreach data sampling, since accumulation over long periods
is inadequate for growing convective cells (Shige andSatomura 2000, their Fig. 4a) and fast-moving convective systems. The SLH algorithm estimates Q1R mainly
caused by precipitation processes (Q1Rp), because it isseverely limited by the inherent sensitivity of the PR
that can detect only precipitation-sized particles.
The CRM used in this study is the Goddard Cumulus
Ensemble (GCE) model (Tao and Simpson 1993) as usedin Parts I, II, and III, but both 2D and 3D versions areused here. Recent improvements were presented by Tao
et al. (2003a). Numerical simulations were conductedwith the version 2.1 TOGA COARE forcing dataset(Ciesielski et al. 2003), which uses the latest humidity
corrected sonde data (Wang et al. 2002) in which a lowlevel dry bias in the original Vaisala sonde data was
reduced. Ciesielski et al. (2003) have shown that thedifference between observed enthalpy changes the 120day time integral of TOGA COARE data-derived enthalpy forcing, which was pointed out by Emanuel and
Zivkovic-Rothman (1999) and Wu et al. (2000), wasreduced substantially (from 25 to 5 K). For the 2D
simulations, a 1024-km horizontal domain was coveredby 1024 grids with a horizontal grid spacing of 1 km. For
the 3D simulations, the 256 3 256-km horizontal domain
was covered by 128 3 128 grids with a horizontal grid
spacing of 2 km. Test 3D simulations with a 1-km horizontal grid spacing indicated that basic features did not

5580

JOURNAL OF CLIMATEchange with the change in resolution. For both 2D and 3D
simulations, a stretched vertical coordinate (height increments from 80 m near the surface to 1000 m at the topof the domain) with 41 levels was used to maximize resolution at low levels. The depth of the domain was
22.4 km. Note that the 2D simulations in this study are
not the same as in Part II. The 2D simulations in this study
were made with the TOGA COARE flux algorithm(Fairall et al. 1996; Wang et al. 1996) and a modificationof conversion of cloud ice to snow in the ice microphysics
schemes (Tao et al. 2003a) as well as the 3D simulations.
The 2D and 3D simulations have been done with data
sampling frequency of 5 and 15 min, respectively.
The accuracy of the convective–stratiform separation
affects the determination of the vertical distribution ofheating. The TRMM PR rain-type classifications, inwhich brightband identification is very important, cannot
be directly applied to GCE outputs (Awaka et al. 1996).
The microphysical schemes used in CRMs (e.g., Linet al. 1983; Rutledge and Hobbs 1984) typically do notcontain an explicit description of the partially melted
precipitation particles that lead to a bright band of enhanced radar reflectivity. Thus the GCE convective
and stratiform separation method (Lang et al. 2003) isused with modifications described in Part I to maintain theconsistency with the TRMM PR version 6 2A23 convective–stratiform separation algorithm (Awaka et al. 2007,2009). Considering the sensitivity of the PR, we classified
model grid points that have a precipitation less than athreshold of 0.3 mm h21 as a nonprecipitating region.
In this paper, LUTs are derived from 2D and 3D CRM
simulations from TOGA COARE, and then they areused to obtain the SLH heating estimates from PR
data. The results are compared with heating profiles
derived diagnostically from sounding data from anotherfield campaign. Heating profiles have been calculated
from sounding networks and other observations during
three TRMM field campaigns [the Kwajelein Experiment (KWAJEX), TRMM Large-Scale Biosphere–
Atmosphere Experiment in Amazonia (LBA), andSCSMEX] by Schumacher et al. (2007), using the variational analysis approach of Zhang and Lin (1997).
The variational analysis constrains the sounding data tosatisfy column-integrated budgets of mass, energy, andmoisture. Since ground radar precipitation maps are
generally used as one of the analysis constraints, the sizeof the variational analysis domain is much smaller thanthe domain size of the sounding networks for carryingout the traditional budget studies. The sampling errors
in PR estimates from the SLH algorithm naturally decreases as the results are averaged over larger areas, thussounding-only retrieval is used for comparison in thisstudy.

VOLUME 22

TABLE 1. Domain-averaged surface rainfall amounts (mm day21)
estimated from data of the sounding network and the TRMM PR for
the SCSMEX NESA and SCSMEX SESA.

Sounding
TRMM PRSCSMEX NESASCSMEX SESA

15 May–20 Jun 1998

5 May–20 Jun 1998

10.2
9.4

5.4
3.4

The sampling errors in sounding-array budgets also
decrease as the results are averaged over longer time
periods. The analysis domains for the SCSMEX aremuch larger than those for the KWAJEX and TRMM
LBA. There were two enhanced sounding arrays during
the SCSMEX: the NESA (Johnson and Ciesielski2002) and Southern Enhanced Sounding Array (SESA)(Ciesielski and Johnson 2006). Mapes et al. (2003)
suggested that averages of about 30 days reduce sampling errors in the rainfall rate estimate (proportional tointegrated Q1) from a moisture budget to 10% for
the SCSMEX NESA. The surface rainfall from soundings and the TRMM PR over the SCSMEX NESA
for the 37-day period from 15 May to 20 June and over
the SCSMEX SESA for 47-day period from 5 May to
20 June are shown in Table 1. These periods werechosen following Johnson and Ciesielski (2002) andCiesielski and Johnson (2006). The differences in thesurface rainfall (proportional to integrated Q1) between
sounding and PR estimates are 8% over the SCSMEXNESA region and 45% over the SCSMEX SESA region.
Although the analysis domain for the SCSMEX SESA isnearly the same as that for the SCSMEX NESA, thenumber of overpasses for the SCSMEX SESA is lessthan that for the SCSMEX NESA because of less sampling at lower latitudes in the TRMM (see Fig. 1 of Negriet al. 2002). The larger sampling errors for PR estimates
lead to a larger discrepancy in the sounding estimates for
the SCSMEX SESA than in the estimates for the
SCSMEX NESA. Therefore, only the heating profiles
from sounding data of the SCSMEX NESA are used asvalidation in this study.
The total errors in the satellite estimates consist of
sampling errors and algorithm errors. The algorithm errors contain random and systematic components. Yanget al. (2006) suggested that sampling error represents only
a portion of the total error in monthly 2.58-resolution
TRMM Microwave Imager (TMI) rain estimates. They
also suggested that the contribution from systematic algorithm errors is often greater in magnitude than that ofrandom algorithm errors at this time–space resolution.
Although the PR estimates are more subject to sampling errors due to the PR’s narrow swath width(;215 km) than TMI estimates, the algorithm errors,15 OCTOBER 2009

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SHIGE ET AL.

in particular the algorithm systematic errors, could
make a important contribution to the estimates averaged over the SCSMEX NESA (;10.08 3 6.08) andthe 37-day period. Systematic algorithm errors arise
from the physical inconsistency or nonrepresentativenessof CRM-simulated profiles that support the lookup tables of the SLH algorithm. In Part II, the universality of
the lookup tables from the TOGA COARE simulations(i.e., representativeness of CRM-simulated profiles) was
examined for its application to PR data over tropicalocean regions. Lookup tables were produced from 2D
simulations from the Global Atmospheric Research
Program (GARP) Atlantic Tropical Experiment (GATE),SCSMEX, and KWAJEX, and the similarity in the
lookup tables from case to case was evident. Improvements were made to the SLH algorithm, taking into
account two factors: differences in the vertical distribution of deep convective heating due to the relative
importance of liquid and ice water processes that varies
from case to case, and differences in the level separating
upper-level heating and lower-level cooling. In thepresent study, we focus on the physical consistency ofthe 2D and 3D CRM simulations from TOGA COARE
that support the lookup tables.
For a more rigorous test, the SLH algorithm should beapplied to ground radar data and the results comparedwith heating profiles derived using the variational method
whose domains generally coincide with ground radar
coverage. Such a test is optimal from a sampling perspective. In particular, comparisons using the data fromthe KWAJEX and TRMM LBA are very important,because the SCSMEX NESA region, which was chosen
here, was heavily influenced by MCSs as was the TOGACOARE region, and it is not necessarily representative of
Kwajelein and the Amazon. However, such comparisonsare beyond the scope, and are left to future studies.

3. Resultsa. General features
Domain-averaged surface rainfall amounts and stratiform percentages from the GCE 2D and 3D models for
the TOGA COARE episode are shown in Table 2. The
model results indicate that the stratiform rain percentage is not greatly affected by the dimensionality of themodel. The reason for the similarity between the GCE
2D and 3D simulations is that the same observed, largescale advective tendencies of potential temperature,
water vapor mixing ratio, and horizontal momentum
were used as the main forcing in both models.
Figures 1a–c show the time series of Q1 profiles averaged over the TOGA COARE Intensive Flux Array(IFA) region for the 19–26 December 1992 period

TABLE 2. Domain-averaged surface rainfall amounts and stratiform percentages from the GCE 2D and 3D models for the TOGACOARE episode. Rainfall estimated by the sounding network isalso shown.

GCE 2DGCE 3DSounding

Rainfall (mm day21)

Stratiform (%)

19.86
18.98
19.91

43
40
—

derived diagnostically from soundings (Ciesielski
et al. 2003), GCE 2D simulations, and GCE 3D simulations. A 15-min running mean is applied to the 2D
data with sampling frequency of 5 min for the comparison. The pattern of temporal variability among Q1
profiles from soundings, GCE 2D simulations, and GCE
3D simulations is quite good. However, there exists larger
temporal variability of Q1 profiles in the 2D simulation
than in the 3D simulation, which is consistent with theresults found by Grabowski et al. (1998), Donner et al.
(1999), and Zeng et al. (2007), because the rapid fluctuation in surface precipitation is associated with the rapid
fluctuation in the vertically integrated Q1.
In this study, we focus on the heating profiles, but theapparent moisture sink Q2 profiles, corresponding to
the Q1 profiles (Figs. 1a–c), are also shown in Figs. 1d–f.
Although the same observed, large-scale advective tendencies of potential temperature, water vapor mixing
ratio, and horizontal momentum were used as the main
forcing in both models, the Q2 profiles in the 3D simulation (Fig. 1f) are in better agreement with observations(Fig. 1d) in the lower troposphere than those in the 2D
simulation (Fig. 1e), as pointed out by Tao et al. (2000).
The Q2 profiles in the 2D simulation show fluctuation
with larger amplitudes in the lower troposphere thanthose in the 3D simulation and observations. While thecontribution to the Q1 budget by the eddy heat flux
convergence is minor, the eddy moisture flux convergenceis one of the major contributors to Q2 (Part III), leading todifferences in the Q2 profiles between the 2D and 3D
simulations. Better agreement of the Q2 profiles in the3D simulation with observations is due to the fact thatthe turbulent processes in the planetary boundary layer isthree-dimensional in nature, and it is very importantfor Q2 retrieval using the SLH algorithm (Part III),
which motivates us to produce LUTs using GCE 3D
simulations.

b. Comparisons of lookup tables
Figure 2a shows an LUT produced from GCE 2D
simulations (hereinafter LUT2D) for convective rain. In
Part I, Part II, and Part III, the GCE-simulated precipitation profiles and corresponding heating profiles from

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FIG. 1. Time series of Q1 and Q2 profiles averaged over the TOGA COARE IFA region for the 19–26 Dec 1992 period: (a) Q1 and (d) Q2
derived diagnostically from soundings (Ciesielski et al. 2003); (b) Q1 and (e) Q2 simulated by the GCE 2D model; (c) Q1 and (f) Q2
simulated by the GCE 3D model.

the four subperiods of 9 days each (10–18 December
1992, 27 December 1992–4 January 1993, 9–17 February
1993, and 18–26 February 1993) were used for construction of lookup tables, and another simulation for the
one subperiod of 8 days each (19–26 December 1992;
Fig. 1b) was used for the consistency check of the algorithm. In this study, the simulation for the subperiod of
8 days is also used for construction of lookup tables. The
GCE-simulated precipitation profiles with a 0.3 mm h21
precipitation-top threshold and corresponding heating
profiles are accumulated and averaged for each PTH withmodel grid intervals. Properties (i.e., shape and magnitude) of the convective heating profiles show nearmonotonic changes with PTH. The heating-top height isdetermined by the PTH. The shallow convective heating
profiles (PTH , 6 km) are characterized by cooling aloft
due to an excess of evaporation over condensation, suchas in trade wind cumulus (Nitta and Esbensen 1974).
Recently, Schumacher et al. (2008) isolated Q1 in different cloud types during KWAJEX and showed coolingabove both the shallow cumulus and cumulus congestus.
The shallow convective heating profile shape in the
LUT2D is consistent with the observational result of
Schumacher et al. (2008). Another interesting feature isthat the convective heating profiles for the highest PTH
are also characterized by cooling aloft. This feature isconsistent with the strong cooling above mesoscale convective systems observed by Johnson and Kriete (1982)
and Lin and Johnson (1996). More recent discussion of
the cooling above deep convection is in Holloway and
Neelin (2007).
Figure 2b shows an LUT2D for anvil (deep stratiformwith a PTH higher than the melting level) rain. The PR
can measure the precipitation rate at the melting level,

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SHIGE ET AL.

5583

FIG. 2. Lookup tables of Q1Rp profiles for the (a) convective and (b) deep stratiform (anvil) regions derived fromthe TOGA COARE simulations using the GCE 2D model (LUT2D). Contours indicate confidence intervals for amean at the 95% level using the Student’s t test. The contour interval is 2.0 K h21.

as can surface-based radar (e.g., Leary and Houze 1979),
although it cannot observe the PTH with sufficient accuracy in the upper-level regions of the anvils because of
its insensitivity to the small ice-phase hydrometeors(Heymsfield et al. 2000). Thus, for the anvil region, the
LUT refers to the precipitation rate at the melting level
Pm instead of the PTH (Part I). The deep stratiform
profiles with a PTH higher than the melting level arecharacterized by upper-level heating and lower-level
cooling, which was also found in observations (e.g.,
Johnson and Young 1983). The upper-level heating inthese anvil regions is largely due to condensation anddeposition, while the lower-level cooling is largely due
to evaporation of raindrops and melting of ice particles(Leary and Houze 1979). A set maximum height for Q1R
profiles can be seen around 12 km.
Figure 3a shows an LUT produced from GCE 3D
simulations (hereinafter LUT3D) for convective rain.
The GCE-simulated precipitation profiles and corresponding heating profiles from the same subperiods as
for the LUT2D were used for construction of lookup
tables. As for the LUT2D, the heating-top height isdetermined by the PTH. The shallow convective heating
profiles (PTH , 6 km) are characterized by coolingaloft due to an excess of evaporation over condensation,and the convective heating profiles for the highest PTH
are also characterized by cooling aloft. Although a 2-km
horizontal grid spacing and relatively poor vertical resolution are used, the shallow convective heating profile
shape in LUT3D is also consistent with the observational results (Nitta and Esbensen 1974; Schumacher
et al. 2008). On the other hand, differences in verticalstructure (e.g., the level of maximum Q1Rp heating) for agiven PTH between the LUT2D and LUT3D are distinct. Figure 4a shows that the 3D convection with PTH
higher than 10 km has much stronger heating above themelting level (4.4 km) than the 2D convection does,
while the 3D convection with PTHs between 4 and 8 km
(cumulus congestus) has weaker heating just below theheating-top height (Fig. 4a). In the LUT2D, the levelof the Q1R heating peak shifts upward until the PTH
reaches 6 km, and then plateaus around the melting
level (Fig. 2a). On the other hand, in the LUT3D, thelevel of the Q1R heating peak for a PTH higher than
6 km is well above the melting level (Fig. 3a). These
results indicate that liquid water processes dominate in
the GCE 2D simulations, while ice water processes
dominate in the GCE 3D simulations.

FIG. 3. As in Fig. 2, but using the GCE 3D model (LUT3D).

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FIG. 4. The Q1Rp profiles in LUT3D shown in Fig. 3 minus those in LUT2D shown in Fig. 2. For reference, solid
contours indicate regions with heating ($1 K h21) for LUT2D, while dashed contours indicate regions with cooling(#21 K h21) for LUT2D.

Figure 3b shows an LUT produced from GCE 3D
simulations for anvil (deep stratiform with a PTH
higher than the melting level) rain. As for the LUT2D,
the deep stratiform profiles with a PTH higher than themelting level are characterized by upper-level heating
and lower-level cooling. Figure 4b shows that the 3D
anvil rain has weaker upper-level heating than the 2D
anvil rain, indicating that the set maximum height for
Q1R profiles in the LUT3D for the deep stratiform islower than that in the LUT2D. The 3D anvil rain with Pm
smaller than 10 mm h21 has weaker heating at all levels
above the melting level than 2D anvil rain does, whilethe 3D anvil rain with Pm larger than 10 mm h21
has stronger heating at z 5 6–9 km. On the other hand,the 3D anvil rain has stronger lower-level cooling thanthe 2D anvil rain.
Note that LUTs for shallow stratiform rain were
produced from GCE 2D and 3D simulations, but thedifferences between LUT2D and LUT3D for shallow
stratiform rain are small. The contribution by shallow
stratiform rain to heating estimates is also small. Therefore we will not discuss shallow stratiform rain, andhereinafter deep stratiform (anvil) rain is just represented
as stratiform rain.

(15 May–20 June 1998). This period also coincides withthe time when the budget analysis was considered mostreliable because of the completeness of the sounding
network. The heating profile derived using the variational analysis of Zhang and Lin (1997) is similar to thatderived by Johnson and Ciesielski (2002) but is morebottom heavy, probably because of different analysis
domains. Note that the SLH-retrieved Q1Rp profiles are
not the same as in Part II, because the LUTs in this study
are not the same as in Part II. Differences in heights
above sea level over land (i.e., terrain) are also taken
into account by the SLH algorithm used in this study. As

c. Comparison of Q1 profiles over the SCSMEXNESA region
A sounding-based analysis of diabatic heating for the
SCSMEX NESA derived by Johnson and Ciesielski(2002) was used to evaluate the accuracy of the heating
estimates from the TRMM (Magagi and Barros 2004;
Grecu and Olson 2006; Yang et al. 2006; Part II). Figure 5
shows a comparison between SLH-retrieved Q1Rp (Q1R
for precipitation regions) from version 6 of the TRMM
PR datasets using the LUT2D and sounding-based Q1during the campaign’s most convectively active period

FIG. 5. Mean heating from diagnostic calculations for the
SCSMEX (15 May–20 Jun 1998) (Johnson and Ciesielski 2002) andthe SLH algorithm using lookup tables derived from the TOGACOARE simulations using the GCE 2D model.

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SHIGE ET AL.

pointed out in Part II, key features of the vertical profiles
agree well, particularly the level of maximum heating. In
the tropics, cloud radiative forcing makes the largest
contribution to the total diabatic heating after latentheating. Tao et al. (2003b, 2004) reported that net radiation (cooling) accounts for about 20% or more of the
net condensation for the SCSMEX cloud systems simulated by the GCE model. The vertical profile of QR canbe estimated from the TMI and Visible and Infrared
Scanner (VIRS) aboard the TRMM (L’Ecuyer andStephens 2003). The vertical profile of QR estimatedfrom the TRMM for the SCSMEX NESA (15 May–
20 June 1998) is shown on the left side of the figure.
These TRMM QR estimates are very similar to the GCE
2D QR simulations for the SCSMEX periods (18–26 May
1998 and 2–11 June 1998) shown in Fig. 11 of Part II and
are added to the SLH-retrieved Q1Rp estimates. The
level of maximum heating of Q1Rp 1 QR and its magnitude are in very good agreement with the soundingderived Q1. It is evident from Fig. 5 that, in the lower
troposphere, the Q1Rp 1 QR heating magnitudes areabout 1 K greater than the sounding-derived magnitudes, because the SLH-estimated convective Q1Rp 1 QR
heating magnitudes are larger than the SLH-estimatedstratiform Q1Rp 1 QR cooling magnitudes. As discussed
in Part II, the heating estimates are sensitive to the estimated fraction of stratiform rainfall from the PR data,and sampling errors may account for the overestimationof Q1Rp 1 QR heating in the lower troposphere (seeFig. 12 in Part II).
Positive (negative) isentropic potential vorticity canbe generated where Q1 increases (decreases) with height(Haynes and McIntyre 1987), thus the vertical heating
gradient is the dynamically important quantity. Figure 6
shows a comparison between vertical gradients of Q1Rp
and Q1Rp 1 QR retrieved by the SLH algorithm using
the LUT2D and those of sounding-based Q1. They are ingood agreement except for the lowest level (;1 km), themiddle level (;5 km), and the upper level (;15 km).
The discrepancy at the lowest level may be explainedby the fact that the SLH algorithm cannot estimate
the latent heating profile of a nonprecipitating cumulus
cloud, which is positive in the lower part of the cloud
because of net positive condensation and negative inthe upper part of the cloud where detrainment occurs and evaporation exceeds condensation (Nitta andEsbensen 1974; Johnson and Lin 1997). The middle level
having the discrepancy corresponds to the melting
level where maximum convective heating and maximum
stratiform cooling exist. The heating estimates at themelting level are very sensitive to the estimated fractionof stratiform rainfall from the PR data. Thus sampling
errors may account for the discrepancy at the middle

5585

FIG. 6. Vertical heating gradients from diagnostic calculations
for the SCSMEX (15 May–20 Jun 1998) (Johnson and Ciesielski2002) and the SLH algorithm using lookup tables derived from the
TOGA COARE simulations using the GCE 2D model.

level. At the upper level, the radiative cooling must
be balanced by deep convection. Since the saturation
mixing ratio is low at the upper level, deep convection
heats the upper troposphere largely by eddy heat flux
convergence (Sui et al. 1994; Mapes 2001). Thus thediscrepancy at the upper level may be explained by
the fact that the SLH algorithm cannot estimate eddy
heat flux convergence associated with deep convection
because of sampling errors and the inherent sensitivityof the PR, which can detect only precipitation-sizedparticles.
Figure 7 shows a comparison between SLH-retrieved
Q1Rp using the LUT3D and sounding-based Q1. Using
the LUT3D leads to less agreement between the SLHretrieved Q1Rp and sounding-based Q1. The level ofmaximum heating of Q1Rp 1 QR is slightly lower thanthat of the sounding-derived Q1. The Q1Rp 1 QR magnitude at z 5 4–8 km is larger than the sounding-derived
Q1. Vertical gradients of Q1Rp and Q1Rp 1 QR retrievedby the SLH-retrieved Q1Rp algorithms using the LUT3D(Fig. 8) are also less in agreement with those of soundingbased Q1 compared with the case for the 2D counterparts.

4. Discussion
To investigate why discrepancies between the SLHretrieved heating estimates and sounding-based estimates for the LUT3D are larger than those for the5586

JOURNAL OF CLIMATEVOLUME 22

FIG. 7. As in Fig. 5, but for the SLH algorithm using lookup
tables derived from the TOGA COARE simulations using the
GCE 3D model.

FIG. 8. As in Fig. 6, but for the SLH algorithm using lookup
tables derived from the TOGA COARE simulations using the
GCE 3D model.

LUT2D, we examine the differences between theheating profiles for the LUT2D and LUT3D. Figure 9shows Q1Rp and precipitation profiles with selected
PTH values of 3.1, 5.9, 10.2, and 14.0 km from theconvective LUT2D and LUT3D. Note that the Q1Rp
profiles and precipitation profiles are normalized by thenear-surface rain rate. The vertical structure (e.g.,
maximum heating level) of the convective heating
profiles with the PTH being lower than 10 km does notvary between the 2D and 3D models. However, thedifferences between convective heating profile shapes
for the 2D and 3D models increase with the PTH being
higher than 10 km. The 3D convection has stronger
heating above the melting level than the 2D convection
does. Similarly, the differences between corresponding
precipitation profile shapes for 2D and 3D models also
increase with the PTH being higher than 10 km. The
3D convection has stronger precipitation intensity
above the melting level than 2D convection does. Thismodeling phenomenon is consistent with the previous
conclusion that there are more convective cores withstrong updrafts in a 3D model than in its 2D counterpart (e.g., Phillips and Donner 2006; Zeng et al. 2008),
and it is attributed to the difference in the responseof vertical circulation to thermal forcing between thetwo kinds of models. The differences in convective
heating and precipitation profile shapes between the
2D and 3D simulations from the TOGA COARE aremuch larger than those among the TOGA COARE,GATE, SCSMEX, and KWAJEX simulations (Fig. 6 ofPart II).
Previous ground-based observations of oceanic convection over both the Pacific and Atlantic basins (e.g.,
Szoke et al. 1986; Jorgensen and LeMone 1989; Zipser
and Lutz 1994; Takahashi et al. 1995; DeMott andRutledge 1998) and recent TRMM observations ofconvection over all of the oceanic basins (e.g., Nesbitt
et al. 2000; Petersen and Rutledge 2001; Takayabu 2002,
2006) suggest that the primary precipitation mechanism
in deep oceanic convection is the liquid water processes.
Therefore, the 2D convection has better consistency
with these observations than does the 3D convection.
Note that the differences in heating and precipitation
profile shape below the melting level between the 2D
and 3D models are very small. These results suggest that
ice microphysical processes are affected greatly by thedimensionality of the modeling, but liquid microphysicalprocesses are not affected.
Figure 10 shows GCE-simulated Q1Rp and precipitation profiles with selected Pm values of 2.0, 4.0, 8.0, and
16 mm h21 from the stratiform LUT2D and LUT3D.
The upper-level stratiform heating in the 3D model for
weaker Pm (i.e., 2.0 and 4.0 mm h21) is weaker than its
2D counterpart. Although the discrepancy decreases
with Pm, the number of pixels observed by the PR for
weaker Pm is much larger than the number for stronger
Pm. Thus the SLH algorithm with the LUT3D estimates
weaker heating amplitude in stratiform heating, resulting

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SHIGE ET AL.

FIG. 9. Ensemble-mean GCE-simulated Q1Rp and precipitation profiles with the selected PTH values of (a) 3.1 km, (b) 5.9 km,(c) 10.2 km, and (d) 14 km from the convective regions of 2D and 3D simulations. The Q1R and precipitation profiles are normalized by
the near-surface rain rate.

in underestimation of the level of maximum heating(Fig. 7). On the other hand, as indicated in Fig. 4b, the3D anvil rain has stronger lower-level cooling than the
2D anvil rain, although the decrease of rain rate fromthe melting level to the surface is smaller in 3D than
2D. These differences between LUT2D and LUT3D
cause differences in the low-level cooling profiles in
Figs. 5 and 7. The deep stratiform profiles should begreatly affected by the mesoscale circulation in thestratiform region, including an ascending front-to-rear
flow, a midlevel rear inflow, and a mesoscale up- anddowndraft. Pandya and Durran (1996) revealed that themesoscale circulation in the stratiform region is the resultof gravity waves forced by the low-frequency componentsof the latent heating and cooling in the leading convective
line and that the circulation shows a great sensitivity tovariations in the thermal forcing in the convective line.
Thus, differences in heating profiles between the stratiform LUT2D and LUT3D are probably due to differences in the mesoscale circulation in the stratiform
region, which are caused by the differences in heating
profiles between the convective LUT2D and LUT3D.

Houze et al. (1980), Gamache and Houze (1983), andChong and Hauser (1989) showed that the stratiform
precipitation falling into the melting layer from the anvil
cloud above is a combination of condensate generated inand carried from the convective region plus condensate
that is produced by the anvil region’s own upward motion by analyzing the water budgets of a precipitating
tropical mesoscale convective system. To evaluate thisadvection effect, we calculated the following values for
the LUT2D and LUT3D:

Rconv 5

Cp ð zt rQg
1Rp (z)Dz
511f,
Ly 0
Pe

and

(4)

s

Rstra 5

Cp ð zt rQg
1Rp (z)Dz
51
Ly z
Pe
m

f.

(5)

m

Here, f is the fraction of the precipitation rate at themelting level Pm, which is carried from the convective
region, Ps is the precipitation rate at the lowest observable level, and tildes denote the variables in the5588

JOURNAL OF CLIMATEVOLUME 22

FIG. 10. Ensemble-mean GCE-simulated Q1Rp and precipitation profiles with the selected Pm values of (a) 2.0 mm h21, (b) 4.0 mm h21,(c) 8.0 mm h21, and (d) 12 mm h21 from the stratiform regions of 2D and 3D simulations.

lookup table. Figure 11 indicates that Rconv values arelarger than unity and Rstra values are smaller than unity
for both the LUT2D and LUT3D, which indicates thecontribution to the anvil water budget made by thehorizontal transfer of condensate from the convective
region (i.e., f . 0). However, there are big differences in
Rconv and Rstra between the LUT2D and LUT3D. The
Rconv for the LUT2D decreases with the PTH, but Rconv
for the LUT3D increases with the PTH higher than
5 km. Total condensates generated in deep convection
are much larger than surface precipitation in the
LUT3D, which results in large Rconv. On the other hand,
Rstra values from the LUT3D are smaller than thosefrom the LUT2D in the range 1 mm h21 , Pem #8 mm h21. Thus more condensate is carried from thedeep convective region to the stratiform region in the
3D model than is carried in the 2D model. It should be
noted that Rconv and Rstra values do not strictly represent
the horizontal transfer of condensate from the convective region to the stratiform region, because evaporation
to the environment from the convective and stratiform
regions is not taken into account. However, the evapo-

ration to the environment from the convective andstratiform regions is much smaller than the horizontaltransfer of condensate from the convective region to thestratiform region (Leary and Houze 1980; Chong andHauser 1989; Tao et al. 1993b; Caniaux et al. 1994), andneglecting this term does not affect the above statement
about the horizontal transfer of condensate from theconvective region to the stratiform region. The energy
budgets of the simulations are primarily a response to
the imposed large-scale forcing. Therefore, if the upperlevel heating associated with deep convection increases,
the upper-level heating in the stratiform region naturally
decreases, and the horizontal transfer of condensate
from the convective region to the stratiform region
increases.
Takayabu (2002) obtained a spectral expression of
precipitation profiles to examine convective and stratiform rain characteristics as a function of the PTH over theequatorial area (108N–108S) observed by the TRMM PR.
Precipitation profiles with a 0.3 mm h21 precipitationtop threshold were accumulated and stratified according
to PTHs. In her study, nadir data from PR2A25 version 5

15 OCTOBER 2009

SHIGE ET AL.

5589

FIG. 11. The ratios Rconv and Rstra defined as Eqs. (4) and (5) for lookup tables from GCE 2D and 3D simulations(Figs. 2 and 3).

(Iguchi et al. 2000) for the period of 1998–99 were used,and convective and stratiform precipitations wereseparated based on the TRMM PR version 5 2A23
convective–stratiform separation algorithm. Following
the suggestion of Schumacher and Houze (2003), thespectral plots of Takayabu (2002, Fig. 1) were revised
by reclassifying shallow, isolated rain (rain type 15 inproduct 2A-23) as convective in Part I (Fig. 1 in Part I)
and Yokoyama and Takayabu (2008, Fig. 5). Part I
showed that spectral properties of GCE-simulated convective precipitation profiles correspond well to those of
TRMM PR-observed profiles, having a smooth increasein precipitation intensity with increasing PTH. In thisstudy, we obtained the spectral plots of convective precipitation profiles simulated in 2D and 3D models (Figs.
12b,c) to compare them against a spectral plot of TRMM
PR-observed convective precipitation profiles (Fig.
12a). Here, nadir data from PR2A25 version 6 at‘‘ocean’’ pixels over the western Pacific (58N–158S, 1508–
1808E), which roughly corresponds to the TOGACOARE region, for December–February during 1998–
2006 were used to obtain the spectral plot of TRMM PRobserved convective precipitation profiles. Forty percent of convective rain in the 2D model is shallow andcongestus rain with PTH values lower than melting
levels (about 4 km), which is consistent with TRMM PR
observations. On the other hand, much (80%) of convective rain in the 3D model is deep convection with
PTH values higher than the melting levels, and only
20% of convective rain is shallow and congestus rainwith PTH values lower than the melting levels. This isconsistent with the results from Phillips and Donner(2006), who found that the weak ascent (0.1 , w ,;1 m s21) outside the rapid convective updrafts is lessprevalent in the 3D model than it is in the 2D model. For
both 2D and 3D models, precipitation rates of the deep

convection with PTH values higher than the melting
levels are stronger than those of the PR-observed ones,
which could be due to the model physics, especially ice
parameterization.
In this study, a 2-km horizontal grid spacing is used forthe 3D simulations because of the great computational
demands of the 3D integrations. As already noted, test
3D simulations with a 1-km horizontal grid spacing indicated that basic features do not change with such achange in resolution. However, the GCE model results
reported in Grabowski et al. (2006) showed that using
a finer resolution (250 m versus 1000 m) resulted in asmoother transition to deep convection in diurnal convective growth during the TRMM LBA experiment inBrazil. Lang et al. (2007) showed that the convective
intensity in the 250-m simulation is steadier than the
more pulse-like intensity in the 1000-m run for convective systems during the TRMM LBA. They suggested
the horizontal resolutions normally used to simulate
deep convection (i.e., 1 km or coarser) are inadequate
for the diurnal growth of convection in this type of environment and that finer resolutions are needed. Comparisons of the LUT2D and LUT3D in this study suggestthat a horizontal resolution of 1 km or coarser is also
inadequate for oceanic convective systems. Coarserresolution simulation produces wider clouds, and thishas a direct impact on cloud entrainment, leading tofewer, more-concentrated convective cores that ascend
higher into the troposphere. Thus the 3D model withcoarser resolution is inherently limited in its ability to
produce shallow convection and congestus-type clouds.
More-concentrated convective cores produce more icephase condensates, which are generated in and carried
from the convective region to the stratiform region, andless condensate is produced by the stratiform region’s
own upward motion (Fig. 13).

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JOURNAL OF CLIMATEVOLUME 22

FIG. 13. Schematic view of the water budget of a mesoscaleconvective system in (a) 2D and (b) 3D simulations.

5. Summary and future work

FIG. 12. Spectral plots of convective precipitation profiles stratified by PTH for (a) TRMM PR-observed precipitation profiles,
using nadir data from PR2A25 version 6 at ‘‘ocean’’ pixels over thewestern Pacific (58N–158S, 1508–1808E), which roughly corresponds to the TOGA COARE region, for December–February
during 1998–2006; (b) the GCE 2D model-simulated profiles; (c)the GCE 3D model-simulated profiles. The abscissa is cumulative
frequency and the ordinate is altitude; the precipitation rate isindicated with color. A threshold of 0.3 mm h21 is used for the
precipitation-top detection.

The SLH algorithm has been developed for the
TRMM PR using a 2D version of the GCE model. Realclouds and cloud systems are 3D. The availability of
exponentially increasing computer capabilities has resulted in 3D CRM simulations for multiday periods withlarge horizontal domains becoming increasing prevalent. In this paper, the SLH algorithm is applied to PRdata using LUTs derived from 2D simulations (LUT2D)
and GCE 3D simulations (LUT3D) from TOGACOARE, and the results are compared with heating
profiles derived diagnostically from sounding data fromSCSMEX.
Using the LUT3D leads to less agreement between
the SLH-retrieved Q1Rp and sounding-based Q1. The
level of maximum heating of Q1Rp 1 QR is slightly lower
than that of the sounding-derived Q1. This is explainedby the fact that using the LUT3D gives stronger convective heating and weaker stratiform heating above themelting level than using the LUT2D does. Condensate
carried from the deep convective region to the stratiform region is larger in the 3D model than in the 2Dmodel, and there is less condensate produced by thestratiform region’s own upward motion in the 3D model.
The argument that the 2D LUT retrieval generallycompares better to the sounding-derived Q1 fromSCSMEX than the LUT 3D retrieval is consistent withthe previous ground-based observations and recent

15 OCTOBER 2009

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TRMM observations, which suggest that the primary
precipitation mechanism in deep oceanic convection is
the liquid water processes.
In this study, the horizontal grid spacing is chosen as
2 km for the 3D simulations because of the great computational demands of the 3D integrations. Coarserresolution simulation produces wider clouds, and thishas a direct impact on cloud entrainment, leading tofewer, more-concentrated convective cores that ascend
higher into the troposphere. More-concentrated convective cores produce more ice-phase condensates,
which are generated in and carried from the convective
region to the stratiform region, and there is less condensate produced by the stratiform region’s own upward
motion. The 3D simulation with finer resolution (i.e.,
250-m resolution) is computationally expensive because
finer resolution requires smaller time steps. The model
domain was 64 km 3 64 km for the 250-m simulation ofLang et al. (2007). Such small domain size is adequate
for the weakly organized convection examined in Langet al. (2007) but inadequate for the organized convection
examined here. In the future, we will conduct the 3D
simulations with finer resolution and large domain size
using a supercomputer. There are also plans to compare
the SLH estimates from ground radar data, with heating
profiles derived from sounding data and other observations using the variational analysis approach of Zhang
and Lin (1997), to avoid the sampling errors.
Acknowledgments. This study is supported by the
JAXA/EORC Tropical Rainfall Measuring Mission(TRMM) project. The authors thank Prof. C. Schumacher
and an anonymous reviewer for their constructive comments that improved the clarity of the presentation inthis paper.
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