Particuology 20 (2015) 69–79

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Particuology
journal homepage: www.elsevier.com/locate/partic

Impact of meteorological conditions on a nine-day particulate matter

pollution event observed in December 2013, Shanghai, China
Jianming Xu a,∗ , Fengxia Yan b , Ying Xie a , Fengyun Wang b , Jianbin Wu a , Qingyan Fu c
a
Shanghai Meteorological Bureau, Shanghai 200135, China
b
Meteorological Center of Traffic Management Bureau of East China, Shanghai 200135, China
c
Shanghai Environmental Monitoring Center, Shanghai 200135, China

a r t i c l e i n f o a b s t r a c t

Article history: A severe particulate matter pollution event occurred in Shanghai from 1 to 9 December 2013. The mean
Received 29 June 2014 hourly mass concentrations of PM2.5 and PM10 were 211.9 and 249.0 ␮g/m3 , respectively. Reanalysis
Received in revised form 18 August 2014 data, in situ, and remote-sensing measurements were used to examine the impacts of meteorological
Accepted 9 September 2014
conditions on this event. It was found that the synoptic pattern of weak pressure, the reduced planetary
boundary layer height, and the passage of two cold fronts were key factors causing the event. Four stages
Keywords:
were identified during this event based on the evolution of its PM2.5 levels and weather conditions. The
Particulate matter
highest concentration of PM2.5 (602 ␮g/m3 ) was observed in stage 3. High PM2.5 concentrations were
PM2.5
Pollution event
closely associated with a low local ventilation index, with an average of 505 m2 /s, as well as with the
Planetary boundary layer influx of pollutants from upstream, transported by the cold fronts.
Cold front © 2015 Chinese Society of Particuology and Institute of Process Engineering, Chinese Academy of
Urban air pollution Sciences. Published by Elsevier B.V. All rights reserved.

Introduction
The rapid growth of megacities has led to serious urban air pol-
lution in China (Chan & Yao, 2008; Mu & Zhang, 2014; Tie & Cao,
2009; Tie et al., 2006). Such severe air pollution is of great concern to
the public and to local governments. According to the new national
ambient air quality standards, GB 3095-2012, PM2.5 has become the
most important pollutant in many cities, especially megacities in
China. Like other cities in Eastern China, Shanghai is experiencing
more serious and more frequent air pollution events (e.g., haze)
with high concentrations of PM2.5 and low visibility (Chen et al.,
2009; Fu et al., 2010; Wu et al., 2005). High concentrations of PM2.5
may have important impacts on human health, climate change, and
local ecosystems (Chen et al., 2013; Kan & Chen, 2003; Tie, Wu, &
Brasseura, 2009; Xu, Li, Shi, He, & Pan, 2011). However, the pro-
cesses causing heavy air pollution events in Shanghai are not well
understood. Thus, it is necessary to examine the driving factors
causing such severe air pollution events, especially for those with
extremely high concentrations of PM2.5 .
Synoptic patterns are critical to air pollution events. Thus, their
characteristics, emission sources, and meteorological contexts of
∗ Corresponding author. Tel.: +86 21 50105617; fax: +86 21 58336025.
E-mail address: xjmdt@sina.com (J. Xu).
air pollution events have been examined in Eastern China (Wang,
Li et al., 2014; Wang, Yao et al., 2014; Zhang, Li, & Zhang, 2014).
Anthropogenic emissions and meteorological conditions are the
two most important factors causing poor air quality events (Fast
et al., 2007; Jones, Harrison, & Baker, 2010). Given that little
change in anthropogenic emissions occur over a short period (e.g.,
1 month), meteorological conditions must play a dominant role in
air pollution events. In addition to the weather conditions associ-
ated with high-pressure systems, other conditions, including warm
weather before a cold front (WPBCF) or subsidence associated with
a tropical cyclone (SPCTC), may cause air pollution events (Xu et al.,
2011b; Wu et al., 2013). Zhang et al. (2014) examined meteorolog-
ical conditions in January 2013 and showed that a weak winter
monsoon and significant inversion in the low troposphere were
favorable to the accumulation of particulate matter in cities.
Local meteorological conditions determine the build-up of air
pollutants in cities (Elminir, 2005). Xu et al. (2011b) investigated
the correlation between gaseous pollutants and meteorological
conditions at a suburban North China Plain (NCP) site by using the
HaChi (Haze in China) field campaign measurements and found
that trace gas concentrations show a strong dependence on surface
winds. Quan et al. (2013) examined the evolution of the planetary
boundary layer (PBL) structure in Tianjing based on the measure-
ments from the Micro Pulse Lidar (MPL) system and found an
anti-correlated relationship between aerosol mass concentrations

http://dx.doi.org/10.1016/j.partic.2014.09.001
1674-2001/© 2015 Chinese Society of Particuology and Institute of Process Engineering, Chinese Academy of Sciences. Published by Elsevier B.V. All rights reserved.
70 J. Xu et al. / Particuology 20 (2015) 69–79
Fig. 1. Individual air quality index (IAQI) for NO2 , SO2 , CO, daily maximum 1-h
ozone (1-h O3 ), daily maximum 8-h ozone (8-h O3 ), as well as PM2.5 and PM10
from November to December 2013 for Shanghai (data from Shanghai Environmen-
tal Monitoring Center). The red rectangle denotes the severe pollution event from 1
to 9 December. The red dashed lines denote “unhealthy for sensitive people”, “very
unhealthy”, and “hazardous” pollution level from lowest to highest, respectively.
and PBL heights. They proposed a positive link between PBL
height reduction and surface aerosol enhancement. Tie et al.
(2013) summarized the synoptic patterns that were conducive to
high ozone events in Shanghai based on data from the MIRAGE
(megacities impact on regional and global environment)-Shanghai
campaign. However, meteorological conditions for extremely
high PM2.5 events in the Shanghai region have not yet been
quantified.
A 9-day episode with extremely high PM2.5 concentrations
occurred in Shanghai from 1 to 9 December 2013. All avail-
able data, including reanalysis data, in situ, and remote sensing
measurements, were used to examine the impacts of local mete-
orological conditions on this event and to identify the synoptic
patterns that accounted for this event. In addition, these data
were used to classify and characterize its different development
stages.
Methods
Particulate matter episode, December 2013
Fig. 1 shows the individual air quality index (IAQI) of nitro-
gen dioxide (NO2 ), sulfate dioxide (SO2 ), carbon dioxide (CO2 ),
daily maximum 1-h and daily maximum (8-h) surface ozone (O3 ),
PM2.5 , and PM10 levels from November to December 2013. In
China, ambient air quality indices are divided into six health impact
categories, following regulations from the Ministry of Environmen-
tal Protection: “good” (0 ≤ AQI ≤ 50), “moderate” (51 ≤ AQI ≤ 100),
“unhealthy” (101 ≤ AQI ≤ 150), “unhealthy for sensitive group”
(151 ≤ AQI ≤ 200), “very unhealthy” (201 ≤ AQI ≤ 300), and “haz-
ardous” (AQI > 300). The episode from 1 to 9 December 2013
included three “unhealthy for sensitive group” pollution days
(i.e., December 3, 4, 8), four “very unhealthy” pollution days (i.e.,
December 1, 2, 7, 9), and two “hazardous” pollution days (i.e.,
December 5, 6). This was the first record of a continuous 9-day PM
pollution event in Shanghai since the National Ambient Air Quality
Standards (NAAQS, GB 3095-2012) were issued. During this event,
the mean hourly mass concentration for PM2.5 was 211.9 ␮g/m3 ,
while maximum hourly mass concentration reached 602 ␮g/m3 .
In situ measurements
Since 2011, Shanghai Environmental Monitoring Center has
monitored trace gases (i.e., O3 , NO, NO2 , CO, SO2 ) and particulate
matter (PM10 , PM2.5 ) throughout Shanghai. Its monitoring net-
work includes 10 national environmental surface stations. Hourly
mean values of these air pollutants were used to calculate AQI
in accordance with regulations from the Ministry of Environmen-
tal Protection (China). In addition, hourly surface meteorological
measurements (e.g., temperature, relative humidity, surface wind
direction, and speed) are available from the Shanghai Baoshan
Climate Observatory, a representative site of Shanghai in World
Meteorological Organization (WMO). Finally, total cloud fraction
was measured manually every hour at Shanghai Hongqiao Interna-
tional Airport Station. Data covering the period from 30 November
to 10 December 2013 were used to characterize meteorological
conditions and their impacts on ambient levels of PM2.5 during the
PM episode. Furthermore, near-surface wind data from December
2013 were compared with those during the December period from
2001 to 2012 to provide a long-term context to this air pollution
event.
Remote-sensing data
We used measurements from a radar wind profiler (RWP) and
MPL to calculate the ventilation index (VI) and characterize the PBL
structure. Since 2007, a Vaisala LAP-3000 (Vaisala, Finland), wind
profiler operated by the Shanghai Meteorological Bureau has been
located in the Shanghai Pudong district (31.37◦ N, 121.53◦ E). This
Doppler beam swinging RWP provides continuous profiles of hor-
izontal wind speed and direction, and vertical velocity up to 3 km
above ground level (AGL). The RWP is configured to cycle in “low”
and “high” operational modes to optimize data completeness and
resolution. In “low” operational mode, the RWP measured winds
between 164 and 1537 m AGL at 23 levels (164, 226, 288, 351, 413,
476, 538, 601, 663, 726, 788, 850, 913, 975, 1038, 1100, 1163, 1225,
1287, 1350, 1412, 1475, and 1537 m). In “high” operational mode,
the RWP measurements ranged from 1224 to 3538 m AGL at 25 dif-
ferent levels. In this study, only the “low” operational mode wind
data were used to calculate VI, since these levels are within the PBL.
The MPL system was also set up in 2007. It was installed 20 m
AGL within a cabin on a building roof. The bin time of the MPL
receiver is set at 200 ns, corresponding to a 30-m vertical resolu-
tion. The MPL pulse repetition rate is about 2500 Hz. The blind zone
after pulse correction is approximately 130 m. The PBL height was
derived from these Lidar measurements using the algorithm pro-
posed by He, Li, Mao, Lau, and Chu (2008); PBL height is defined at
the place where the first significant negative gradient is observed.
More detailed information about the MPL system can be found in
He et al. (2012).
Reanalysis data
Monthly means from NCEP/NCAR Reanalysis (R1) products
(Kalnay et al., 1996) provided by the NOAA/OAR/ESRL PSD, Boulder,
CO, USA (Levitus & Boyer, 1998) were used to define meteorological
conditions in December 2013. These variables were compared with
the average climatology for December periods from 2001 to 2012.
We included sea level pressure, geopotential height, temperature,
U and V winds, relative humidity for 17-pressure levels on 2.5 × 2.5
degree grids.
NCEP FNL (Final) Operational Global Analysis data were used
to describe daily synoptic evolutions between 30 November to
10 December 2013. This product is from the Global Data Assim-
ilation System, which continuously collects observational data
 J. Xu et al. / Particuology 20 (2015) 69–79 71

Fig. 2. Average geopotential height (contour) and wind (arrow) at 500 hPa for Fig. 3. Average winds (arrow) at 1000 hPa and sea level pressure (contour) for
December 2013 from NCEP/NCAR Reanalysis (R1) products. Wind arrow color December 2013 from NCEP/NCAR Reanalysis (R1) products. The wind arrow color
denotes temperature at 500 hPa. Contour intervals are 50 gpm. denotes temperature at 1000 hPa. Contour intervals of 2.5 hPa.

from the Global Telecommunications System and other sources
(http://rda.ucar.edu/datasets/ds083.2/). We used FNL data on 1 × 1
degree grids at 6-h time intervals. We present detailed analyses of
different variables, such as sea level pressure, geopotential height,
temperature, relative humidity, U and V components of winds at
26 mandatory (and other pressure) levels, etc. and their impacts on
ambient levels of air pollutants.
Ventilation index
VI, defined as the product of wind speed and mixing height, is
a useful tool for air pollution management in the United States
(Pasch, MacDonald, Gilliam, Knoderer, & Roberts, 2011), and has
been widely used in air pollution and PBL related studies (Pasch
et al., 2011; Wu et al., 2013). VI is computed using hourly winds
and PBL heights, as follows:
 i=mh
VI = WSi z,
i=sfc
other neighboring provinces (e.g., Jiangsu and Anhui) were dom-
inated by northwesterly winds with wind speeds less than 3 m/s.
Because of its inefficient dispersion capacity, such weather condi-
tions were favorable to the accumulation of local pollutants and
caused regional air pollution episodes in YRD region (Geng, Zhao,
Tang, Lu, & Tie, 2007).
We compared the weather conditions for December 2013
(C 2013) with those for the same period from 2001 to 2012
(C ave) to investigate whether the 2013 conditions were favor-
able for air pollution events over the YRD region. A difference plot
(C 2013–C ave) of geopotential heights, winds, and temperatures
at 925 hPa is given in Fig. 4. Note that 925 hPa in the YRD region is
about 800 m AGL and is normally within the PBL during the day-
time. The green and purple rectangles in Fig. 4 represent the North
(1)

where WSi is the wind speed at level i, z is the thickness of the ith
layer, mh is the PBL height, and sfc represents surface height (10 m).

Results and discussion

Climate anomaly

Fig. 2 illustrates the monthly mean geopotential heights and

wind fields (15–75◦ N, 75–150◦ E, covering the Chinese mainland)
at 500 hPa in December 2013. An east–west ridge extended across
China, and the upper level winds were dominantly northwesterly
over Northern China. Zonal flows around 30◦ N over the Yangtze
River Delta (YRD) region were fairly straight and prevented the
intrusion of cold air from Northern China.
Fig. 3 shows the monthly mean sea level pressure, wind fields,
and temperature at 1000 hPa (∼80 m AGL at Shanghai) for the
same time period as Fig. 2. At low levels, a high-pressure system Fig. 4. Difference in geopotential height (contour), wind vector (arrow), and tem-
perature (wind color) at 925 hPa between December 2013 and averaged climatologic
was situated over mainland China. The YRD region was located
condition for December period from 2001 to 2012. The contour intervals are 4 gpm.
at its leading edge, influenced by a weak pressure field with a The green and purple rectangles denote North China Plain and Yangtze River Delta
relatively small pressure gradient. Consequently, Shanghai and regions, respectively.
72 J. Xu et al. / Particuology 20 (2015) 69–79

Fig. 5. Monthly mean near-surface wind speeds for December periods from 2001
to 2013. Data from Shanghai Baoshan climate observatory.

China Plain (NCP; including Beijing, Tianjing, and Hebei provinces,

as well as part of Shanxi and Shandong provinces) and the YRD
regions (including Shanghai, Jiangsu, Anhui province), respectively.
These regions are the most densely populated in China and are
frequently affected by PM pollution events. Furthermore, the NCP Fig. 6. Near-surface wind rose for December periods from 2001 to 2012 for
and most of the YRD region are upstream from Shanghai, in terms Shanghai.
of winter aerosol transport. Compared to the average climatology
conditions (C ave), the pressure fields during December 2013 were
substantially weaker over the NCP and YRD regions, with geopo- to the high frequency of pollution events in winter. For December
tential height of about 8–12 geopotential meters (gpm). This weak 2013, calm winds occurred at a similar frequency (20%). How-
pressure pattern is conducive to stable local and regional weather, ever, northwesterly flows occurred much more frequently (26%),
usually leading to air pollution events due to its weak dispersion as noted in our previous analysis of the 925 hPa winds. Shanghai is
capacity. In contrast, cold fronts are very effective at removing air located downwind of the NCP and the northern portion of the YRD
pollutants and improving local air quality in winter, because of dis- region. As a result, northwesterly flows transport pollutants from
persion related to their strong winds. Fig. 4 shows that Northern these regions to Shanghai (Tie et al., 2013). Furthermore, 12% of
China was warmer by 2.18 ◦ C during December 2013 than for the these flows ranged from 0.5 to 2.1 and 2.1 to 3.6 m/s, respectively,
same period from 2001 to 2012. This suggests that the cold front indicating that the northwesterly flows were light in December
activity during December 2013 was weaker than in other years, 2013, preventing efficient pollutant removal.
leading to less efficient pollutant removal. Furthermore, the north-
westerly flow during December 2013 was more significant over the
NCP and YRD regions compared with average conditions. Stronger
northwesterly flows favor pollutant transport from the NCP to YRD
region, increasing pollutants concentrations in the YRD region.
Surface wind speed is a useful parameter for evaluating atmo-
spheric dispersion capacity, with increased winds correlated with
increased dispersion and decreased pollutant levels (Jones et al.,
2010; Xu et al., 2011b). Monthly mean surface wind speeds for
December for the years 2001–2013 at Shanghai are shown in Fig. 5.
They show there was an overall decrease in near-surface wind
speeds over the past 13 years, with the lowest values recorded
for 2013. This weakened near-surface dispersion capacity in 2013
likely resulted in accumulation of pollutants, contributing to the air
pollution event.
In addition to poor dispersion conditions, influx of pollutants
from upstream transportation is another important factor con-
tributing to local air pollution (Fast et al., 2007). For example, Tie
et al. (2013) analyzed CO and PM concentrations at two sites (urban
and suburban) in Shanghai during the 2009 MIRAGE-Shanghai field
campaign. Pollutant concentrations at these sites were found to
increase during northwesterly flows, related to influx of pollut-
ants. Wind roses for the December periods for 2001–2012 and
2013 for Shanghai are shown in Figs. 6 and 7, respectively. During
2001–2012, Shanghai was dominated by northerly and northwest-
erly flows in December, each accounting for 18%. Southwesterly
and southerly flows accounted for 12% each. While calm winds
accounted for 21%, which might be an important factor contributing Fig. 7. Near-surface wind rose for December 2013 for Shanghai.
 J. Xu et al. / Particuology 20 (2015) 69–79 73

Table 1 rapid decrease in PM mass concentrations. While in the last stage

Trace gas and particulate matter levels for 1–9 December 2013 in Shanghai.
(P4; 17 LST 7 December to 03 LST 10 December), PM mass concen-
Average Standard deviation Maximum Minimum trations remained low for about 1 day, followed by rapid changes
PM10 (␮g/m3 ) 249 129 671 95 similar to P3. The changes in PM mass concentrations during each
PM2.5 (␮g/m3 ) 212 115 602 77 stage outlined below:
NO2 (␮g/m3 ) 104 32 184 43
O3 (␮g/m3 ) 32 30 122 6.7
SO2 (␮g/m3 ) 53 29 174 19 (1) P1: The mean hourly mass concentrations of PM2.5 and PM10
CO (mg/m3 ) 1.86 0.75 3.9 0.7 were 176.7 and 234.5 ␮g/m3 , respectively. PM started to
increase at 00 LST on 30 November. With rates of 4.2 and
4.8 ␮g/(m3 h), PM2.5 and PM10 mass concentrations increased
In this section, we found that the meteorological conditions for to 277 and 364 ␮g/m3 , respectively, by 20 LST on 1 December.
December 2013 in Shanghai were characterized by a number of PM2.5 and PM10 levels remained high for 12 h.
distinct features compared with previous years (2001–2012): (1) (2) P2: The mean hourly mass concentrations of PM2.5 and PM10
a weaker pressure gradient, lighter near surface winds, and con- (161.8 and 198.2 ␮g/m3 ) were slightly lower than P1. PM2.5
sequently weakened atmospheric dispersion conditions; and (2) and PM10 mass concentrations slowly decreased to 77.6 and
significantly more frequent northwesterly flows, with more poten- 97.2 ␮g/m3 by 13 LST on 4 December at rates of 2.8 and
tial aerosol transport from upstream areas. Thus, poor atmospheric 3.6 ␮g/(m3 h), respectively.
dispersion capacity combined with enhanced upstream transport (3) P3: The most severe PM2.5 and PM10 pollution occurred in
were favorable to persistent air pollution events in Shanghai during this stage. PM2.5 and PM10 mass concentrations increased dra-
December 2013. matically, and then, decreased rapidly, with the average levels
of 280.1 and 316.4 ␮g/m3 , respectively. From 14 LST on 4
Variability of trace gas and aerosol December to 13 LST on 6 December, levels increased at rates
of 10.5 and 11.3 ␮g/(m3 h), respectively. Maximum mass con-
Concentrations of trace gases (NO2 , O3 , SO2 , CO) and particulate centration of PM2.5 (602 ␮g/m3 ) occurred at 13–14 LST on
matter (PM10 , PM2.5 ) during 1–9 December 2013 are summarized 6 December. PM2.5 and PM10 mass concentrations decreased
in Table 1. The mean hourly concentrations of NO2 , SO2 , O3 , and CO rapidly to 109.6 and 117.3 ␮g/m3 by 16 LST on 7 December, at
were 104, 53, 32 ug/m3 , and 1.86 mg/m3 , respectively. PM2.5 and rates of 16.8 and 18.5 ␮g/(m3 h), respectively.
PM10 levels were about 212 and 249 ␮g/m3 , respectively. According (4) P4: The mean hourly mass concentrations of PM2.5 and PM10
of the Chinese AQI regulations, mean daily concentrations of PM10 were 129.5 and 155.7 ␮g/m3 , respectively, the lowest of all
reached “unhealthy” levels, while PM2.5 reached “very unhealthy” stages. PM mass concentrations were relatively low between
levels. The peak PM2.5 mass concentration was 602.3 ␮g/m3 , the 17 LST on 7 December and 02 LST on 9 December (PM2.5 :
highest record since monitoring began in Shanghai. Hence, the 1–9 111 ␮g/m3 , PM10 : 125 ␮g/m3 ). PM2.5 and PM10 levels started
December 2013 was characterized by very heavy PM pollution, to increase rapidly from 03 LST 9 December at rates of 23.3
especially PM2.5 . and 29.9 ␮g/(m3 h), respectively, reaching their maxima (370
Time series for trace gases (O3 , NO2 , SO2 , and CO) and particulate and 393 ␮g/m3 ) at 13 LST on 9 December. These levels subse-
matter (PM2.5 , PM10 ) levels are shown in Fig. 8 from 30 November to quently decreased rapidly to 44 and 54 ␮g/m3 by 03 LST on 10
10 December 2013. The temporal variations in PM10 and PM2.5 can December, at rates of 15.1 and 16.8 ␮g/(m3 h), respectively.
be divided into four stages with distinct features. In the first stage
(P1; 00 LST 30 November to 08 LST 2 December), there was a slow
but steady increase in PM mass concentrations. In the second stage The variations of CO were very similar to those for PM, with cor-
(P2; 09 LST 2 December to 13 LST 4 December), PM mass concentra- relation coefficients R (CO and PM2.5 ) of 0.81, 0.85, 0.89, and 0.88
tions decreased slowly. The third stage (P3; 14 LST 4 December to 16 for the four stages, respectively. CO has relatively slow reaction
LST 7 December) was characterized by a dramatic increase and then rates with OH radicals, and therefore a moderately long life-
time in the atmosphere. Hence, changes in CO concentrations are
largely governed by transport and dispersion process. PM concen-
trations in our study period also appear to be mainly controlled
by synoptic and local PBL conditions. In contrast, NO2 concentra-
tions are mainly controlled by local emissions and photochemical
conversions, reflecting a short lifetime in the atmosphere (Tie,
Geng, Peng, Gao & Zhao, 2009). As the product of NO2 photo-
lysis, O3 concentrations usually peak during hours of maximum
solar radiation. Therefore, in contrast to the trend observed for
particulates, NO2 and O3 exhibited distinct diurnal variations
(Fig. 8).

Synoptic evolutions during the four periods

Over short time periods, anthropogenic emissions are rela-

Fig. 8. Hourly concentrations of trace gases (CO, SO2 , O3 , NO2 ) and particulate mat-
ter (PM2.5 , PM10 ) from 30 November to 10 December 2013 over Shanghai city. P1, P2,
P3, and P4 are four stages characterized with respect to particulate matter variations.
tively stable. Thus, day-to-day variation in pollutant concentrations
are mainly determined by meteorological processes, which affect
advection, dispersion, and deposition of the pollutants, as well as
their chemical transformation rates (via radiation, temperature,
etc.). Here, the 1000 hPa wind, temperature, and sea level pressure
at 20:00 LST extracted from NCEP FNL (Final) Operational Global
Analysis data every day for the period 1–10 December were applied
74 J. Xu et al. / Particuology 20 (2015) 69–79
to outline the synoptic evolution (not shown) during the four stages
of the pollution event.
(1) P1: Located behind a trough at 850 hPa, the YRD region was
influenced by northwesterly flow on 1 December. At the sur-
face, the L-pattern high-pressure system controlled most of
Eastern China, including the YRD region. Shanghai was near the
high-pressure center, with a very weak pressure gradient. The
dominant flows were from the northwest and west, with wind
speeds below 3 m/s.
(2) P2: Around noon of 2 December, the L-pattern high-pressure
system split and moved eastward toward the ocean. Shanghai
was now behind the high-pressure system, dominated by
southwesterly/southerly winds. With the passage of a trough
at 850 hPa on 3 December, surface winds in Shanghai also
switched to southeasterly and southerly, with average wind
speed around 2–4 m/s. On 4 December, a high-pressure sys-
tem at 850 hPa propagated from west to east across the YRD
region. The surface winds in Shanghai became slightly stronger
and shifted to northerly/northeasterly direction.
(3) P3: From the afternoon of 4 December, the pressure fields over
the YRD region became weaker, with very light and variable
near surface winds. A cold front arrived at the upper reaches
of the Yellow River at 02 LST 5 December, and moved east-
wards, approaching Shanghai at 20 LST. With the cold front
approaching, near-surface winds over the YRD region shifted
to northwesterly. On 6 December, the cold high moved further
eastward and dissipated, but Shanghai was still dominated by
northwesterly flow. On 7 December, the near-surface winds
shifted to southeasterly and southerly under the influence of
the high-pressure system over the ocean. Meanwhile, another
cold front emerged at the northern Xinjiang province and
started to propagate over Eastern China.
(4) P4: On 8 December, the new cold front moved southeast, and
arrived over the southern Shandong province, central/southern
Anhui province at 23 LST. It reached Shanghai around 02 LST
on 9 December in the morning. The near-surface winds in
Shanghai shifted to northwesterly, with significantly enhanced
wind speed during the cold passage. As the front moved fur-
ther southeast, Shanghai was influenced by the cold high, with
a large decrease in temperature combined with strong winds.
From the above analysis, we can see that Shanghai was mainly
influenced by the L-pattern high-pressure system during P1. This
is one of the typical synoptic patterns conductive to air pollu-
tion events (Tie et al., 2013). Under their influence, Shanghai and
neighboring areas were affected by a weak pressure field with
light winds. This resulted in poor dispersion conditions, favorable
to the accumulation of atmospheric pollutants, causing a gradual
increase in PM levels. During P2, near-surface flows in Shanghai
shifted to southeasterly/southerly and northeasterly because of the
fast passage of the synoptic system. These flows brought clean air
masses from the ocean, reducing PM mass concentrations. During
P3 and P4 Shanghai was affected by cold fronts (referred to here as
“Cold 1” and “Cold 2”, respectively), which propagated from north-
west to southeast, influencing Northwest China, Northern China,
and later Eastern China. Before the arrival of Cold 1, near-surface
winds at Shanghai were very light and variable under the influ-
ence of a weak pressure system. This weak synoptic flow led to
rapid accumulation of PM. The pressure gradient behind Cold 1
was relatively weak, and the front quickly dissipated after its pas-
sage over Shanghai. Therefore, accompanying strong winds did not
occur. In contrast, Cold 2 was a typical strong system, with a large
pressure gradient behind it and a relatively long lifetime. Strong
winds and large temperature decreases occurred during Cold 2. As
a result, even though the general trends in PM concentrations were
Fig. 9. Near-surface meteorology (total cloud fraction, relative humidity (RH), tem-
perature, wind) and PM2.5 mass concentration variations from 30 November to 10
December 2013. P1, P2, P3, and P4 are four stages characterized by their particulate
matter variations.
similar during the two cold fronts, there were substantial differ-
ences in their effects on local PM pollution related to differences in
strength and propagating speed of Cold 1 and Cold 2 (see Section
3.5).
Relationship of surface wind field and PM concentrations
Hourly variations in near-surface meteorological elements
and PM2.5 mass concentrations between 30 November and 10
December 2013 in Shanghai are shown in Fig. 9. There were mostly
clear skies, expect for some cloudiness during P4. No precipita-
tion was recorded during this period. Relative humidity showed
large variations, ranging between 30 and 60% during the day, and
≥90% from late evening. Daily maximum temperatures gradually
increased over most of this period, with the highest tempera-
ture (19 ◦ C) recorded on 8 December. Subsequently temperatures
decreased under the influence of Cold 2. Diurnal variations occurred
in near-surface wind speed, with lighter winds at night and stronger
winds during the day. These wind speed changes suggest that
synoptic-scale forcing was relatively weak.
A number of previous studies have showed a strong correla-
tion between pollutant concentrations and surface winds (Xu et al.,
2011b). Light winds were usually conducive to the accumulation of
pollutants, whereas strong winds were favorable to dispersion and
removal of pollutants. Wind directions also play an important role
on local air quality (Fast et al., 2007). Northeasterly and southeast-
erly flows are often related to lower pollutant levels in Shanghai,
since they bring clean air masses from the ocean. In contrast, north-
westerly flows often result in poor air quality conditions, since
they transport pollutants from upstream cities of the YRD and NCP
regions (Geng et al., 2007).
Fig. 10 shows the relationship between PM2.5 mass concentra-
tions and surface wind directions and wind speeds during the four
stages of the pollution event. During P1, surface winds were gen-
erally light, averaging 0.846 m/s. The predominant wind direction
was W–NW, but calm winds also accounted for a large fraction
(47%) of time. Mean hourly PM2.5 mass concentrations during
P1 and the calm wind period of P1 were 176.7 and 195 ␮g/m3 ,
respectively. Elevated PM2.5 concentrations (>200 ␮g/m3 ) mostly
occurred when there were calm winds (57%), indicating that local
accumulation was important. Although, average PM2.5 mass con-
centration reached 216 ␮g/m3 during periods dominated by NW
 J. Xu et al. / Particuology 20 (2015) 69–79 75

Fig. 10. Hourly PM2.5 mass concentration and their corresponding near-surface wind speed and direction measurements during (a) P1, (b) P2, (c) P3, and (d) P4 respectively.
N, NE, E, SE, S, SW, W, NW, N are wind directions. C denotes calm wind. Circle color denotes PM2.5 mass concentrations.

winds, suggesting that upwind transport of pollutants into the area NW (33%). Their corresponding average PM2.5 mass concentrations
also played a role. were 109, 132, and 162 ␮g/m3 , respectively. Similar to P3, high-
Wind speeds in P2 increased slightly compared with P1, with an est levels of PM2.5 (maximum of 370 ␮g/m3 ) occurred during the
average of 0.9 m/s. Predominant wind directions were NE–E and S, prevalence of NW winds, although unlike during P3, large fluctua-
with a frequency of 47%. Calm winds occurred 30% of the time. Mean tions in these levels occurred.
hourly PM2.5 mass concentrations during P2, the calm wind period
of P2, and the NE–E/S dominant winds of P2 were 162, 167, and
140 ␮g/m3 , respectively. Lower PM2.5 concentrations while NE–E/S
winds were dominant suggest that winds from the ocean dispersed
PM, reducing PM2.5 levels during P2.
P3 was the stage with heaviest PM2.5 pollution. Average wind
speed and PM2.5 mass concentrations during P3 were 0.856 m/s and
280.1 ␮g/m3 , respectively. Calm wind accounted of 30% of the time,
associated with an average PM2.5 mass concentration of 256 ␮g/m3 .
E, S–SW, and W–NW flows each accounted for 23, 15, and 24% of the
time, and their corresponding PM2.5 mass concentrations were 162,
256, and 483 ␮g/m3 , respectively. Thus, average PM2.5 mass con-
centrations during calm wind, E, and S–SW winds were all lower
than the P3 average, while W–NW winds had PM2.5 mass concen-
trations 1.725 times the P3 average. PM2.5 mass concentrations
associated with W–NW winds were mostly above 300 ␮g/m3 , with
peak levels (602 ␮g/m3 ) occurring with maximum winds (3 m/s).
Hence, W–NW flows were an important contributor to the heavy
pollution during P3, likely transporting pollutants into the city.
During P4, average wind speed was 1.53 m/s and PM2.5 mass Fig. 11. Hourly ventilation index (green bars), PM2.5 mass concentration (dots), and
near-surface wind (arrows) from 2 to 10 December 2013. Cold 1 and Cold 2 denote
concentration was 129.5 ␮g/m3 , i.e., the lowest PM2.5 level for the two cold fronts, propagating from northwest to east across China in P3 and P4,
four periods (P1–P4). Calm wind only accounted for 6.3% of the time, respectively. The red dashed line denotes the periods when these cold fronts affected
with winds mostly occurring from the NE–E (21%), SE–S (20%), and Shanghai. Unfortunately, the MPL data are missing for 30 November and 1 December.
76 J. Xu et al. / Particuology 20 (2015) 69–79

Fig. 12. Surface synoptic maps during Cold 1 at (a) 20:00 LST on 4 December, (b) 02:00 LST on 6 December, (c) 14:00 LST on 6 December, and (d) 20:00 LST on 6 December.

Comparison of the two cold fronts
P3 and P4 were both affected by cold front passages (Cold 1 and
Cold 2), but their effects on local air quality were very different.
Fig. 11 depicts hourly PM2.5 mass concentration and corresponding
VI, as well as surface winds during these two stages. The synoptic
evolutions of Cold 1 and Cold 2 during P3 and P4 are shown in
Figs. 12 and 13, respectively.
From 20 LST on 4 December to 23 LST on 5 December (P3), a
very weak pressure system persisted over YRD region (Fig. 12a).
Shanghai was influenced firstly by the center of a high-pressure
system and then by its leading edge. Surface winds were very
light, with variable directions. Hence, VI was markedly reduced
during this period (Fig. 11), with an average of 505 m2 /s. Poor dis-
persion caused PM2.5 mass concentrations to increase from 137
to 509 ␮g/m3 prior to the arrival of Cold 1. Cold 1 arrived over
Shanghai at 02 LST 6 December and dissipated rapidly (Fig. 12b).
Although surface winds shifted to northwesterly with its pas-
sage, no strong winds occurred due to the weak pressure gradient
behind it (Fig. 12c). PM2.5 mass concentrations decreased slightly to
423 ␮g/m3 at 06 LST, but increased rapidly with increasing strength
of the NW winds, reaching a maximum concentration (602 ␮g/m3 )
at 14 LST, and reflecting the influx of transported pollutants. VI
remained low (671 m2 /s) during the passage of Cold 1 because of

Fig. 13. Surface synoptic maps during Cold 2 at (a) 02:00 LST on 9 December and (b) 02:00 LST on 10 December.
 J. Xu et al. / Particuology 20 (2015) 69–79
Fig. 14. Time series of attenuated backscatter from the Lidar on (a) 3, (b) 5, and (c) 6 December 2013, respectively.
PBL reduction. From 14 LST onwards, the YRD region was influenced
by the high-pressure system behind the cold front, and near-surface
winds shifted northeasterly (Fig. 12d). With no further input from
upstream transport and increased local VI, PM2.5 mass concentra-
tions decreased rapidly.
In contrast, during P4, Shanghai was dominated by southeast-
erly winds associated with a high-pressure system over the ocean
from 20 LST on 6 December. Local VI increased significantly, while
PM2.5 mass concentrations remained relatively low. Cold 2 began to
affect Shanghai at 02 LST on 9 December (Fig. 13a), causing near-
surface wind to shift northwesterly. Since the pressure gradient
behind Cold 2 was relatively large, strong winds occurred during
and after its passage. PM2.5 mass concentrations increased very
rapidly from 93 to 370 ␮g/m3 for the first 6 h because of the influx
of pollutants from upstream transport. As local VI increased signif-
icantly, pollutants were transported further downwind, and local
PM2.5 levels rapidly reduced. By 02 LST on 10 December, conditions
in the YRD region were controlled by a cold high behind the front
(Fig. 13b), and near-surface winds shifted northeasterly, causing
PM2.5 mass concentrations to decrease to 44 ␮g/m3 .
During the early stage of P3, before the arrival of Cold 1, local VI
markedly reduced, causing PM2.5 concentrations to rapidly increase
from 137 to 509 ␮g/m3 . Surface winds were light during this stage,
77
with an average speed of 0.776 m/s. In addition to surface winds,
PBL height determines the vertical diffusion capacity, influencing
the VI. He et al. (2012) found that PBL heights are normally around
1 km for Shanghai in winter based on MPL data. PBL heights on
3 December 2013 show the typical winter pattern for Shanghai
(Fig. 14), while the maximum height of PBL on 5 December was
below 300 m, much reduced from normal levels. This lower PBL
caused most of the pollutants to accumulate close to the ground,
contributing to the rapid increase in PM2.5 mass concentrations
during the early stage of P3. Cold 1 arrived over Shanghai at 02 LST
on 6 December, and wind speed increased up to 3 m/s. However,
the PBL height remained very low, with a maximum height of 270 m
during this period. As a result, VI also remained low. The influx of
transported pollutants by the northwesterly winds further dete-
riorated local pollution levels, causing PM2.5 mass concentration
to increase to 602 ␮g/m3 . Therefore, the extremely low PBL height
was one of the main causes for the very heavy PM pollution during
P3. This is consistent with the positive feedback cycle between PBL
and near ground aerosol concentrations (more aerosols → lower
PBL height → more aerosols) proposed by Quan et al. (2013).
Pollution during P3 was characterized by distinct synoptic fea-
tures: (1) a weak pressure field maintained for 28 h before the
arrival of Cold 1, during which time, light winds and an extremely
78 J. Xu et al. / Particuology 20 (2015) 69–79
low PBL height, in combination with a low VI were favorable to
local aerosol accumulation. Consequently, PM2.5 mass concentra-
tions increased dramatically from 137 to 509 ␮g/m3 ; (2) a weak
cold front (Cold 1) with a small pressure gradient behind it, which
was not conducive to strong winds. Cold 1 brought an influx of
pollutants with NW winds, causing PM2.5 mass concentration to
increase to 602 ␮g/m3 . Therefore, the severe PM2.5 pollution during
P3 is attributed to poor local dispersion capacity resulting from the
combination of light winds and low PBL heights. Upstream trans-
port during the passage of the cold front further elevated PM2.5
mass concentrations by about 100 ␮g/m3 .
In contrast, P4 was a typical, strong cold front. The strong
pressure gradient behind Cold 2 produced high wind speeds
and a large local VI. Pollutants were transported from upstream
areas to Shanghai with the passage of the cold front, but also
moved quickly downwind. Therefore, local PM2.5 mass concentra-
tions were initially enhanced, but rapidly decreased as the front
progressed.
Conclusions
A severe particulate matter pollution event occurred in Shanghai
from 1 to 9 December 2013. We used global reanalysis data,
chemical and meteorological in situ measurements, as well as
ground-based remote-sensing measurements (RWP and MPL) to
investigate this climatic anomaly. We characterized its large-scale
synoptic evolution, local planetary boundary layer conditions, as
well as the influence of aerosol transport and diffusion processes
on this event. Our results are summarized below.
(1) Weather during December 2013 in Shanghai and the neigh-
boring YRD region was characterized by a weaker pressure
pattern, lower near-surface wind speed, and more significant
northwesterly winds compared with other December periods
between 2001 and 2012. This weather pattern was favorable
for local aerosol accumulation and upstream aerosol transport,
creating a regional air pollution event.
(2) PM2.5 and PM10 measurements define four stages during the
aerosol pollution event, reflecting its synoptic evolution. The
first stage occurred up until 08:00 LST on 2 December, the
second from 09:00 LST on 2 December until 13:00 LST on
4 December, the third from 14:00 LST on 4 December until
16:00 LST on 7 December, and the fourth from 17:00 LST on
7 December. During the first stage, PM2.5 mass concentrations
increased slowly under an L-pattern high-pressure system. This
stage had low and variable near-surface winds, with calm winds
accounting for 47% of the time. The second stage was under
the influence of a trough, with near-surface winds from the
ocean. Consequently, there was a slow decrease in PM2.5 mass
concentration. The PM2.5 pollution was the most severe in the
third stage, reflecting very poor local dispersion capacity, as
well as influx of upstream pollution transported by a weak
cold front. At first, a very weak pressure system persisted over
the YRD region for about 28 h with very light and variable
near-surface winds and extremely low PBL heights, resulting in
rapid accumulation of local PM2.5 to levels of up to 509 ␮g/m3 .
The passage of the weak cold front caused upstream trans-
port of pollutants by moderate northwesterly winds. PM2.5
pollution peaked at 602 ␮g/m3 . In the fourth stage, Shanghai
was affected by a strong cold front, producing more persistent
and enhanced northwesterly winds compared with the third
stage. A very sharp increase and subsequently rapid decrease of
PM2.5 mass concentrations occurred, reflecting large amounts
of transported aerosols moving with the cold front.
(3) The maximum PBL height during the third stage was around
300 and 270 m on 5 and 6 December, respectively, reflect-
ing a significantly reduced elevation compared with typical
winter PBL conditions in Shanghai. Thus, PM aerosols were sup-
pressed by the shallow PBL, leading to enhanced PM2.5 mass
concentrations. This dramatic reduction in PBL height played
an important role in developing the extremely high PM2.5 levels
in this stage.
(4) Cold fronts accompanied by northwesterly winds usually cause
aerosols to be transported into Shanghai from upstream urban-
ized area. However, the impact of different cold front systems
on PM pollution during the pollution event varied depending
on their strength. During P3, the passage of Cold 1 caused PM2.5
mass concentration to increase from 137 to 509 ␮g/m3 prior to
arrival, and then to peak at 602 ␮g/m3 due to the influx of trans-
ported pollution. Thus, the severe PM2.5 pollution during P3 was
mainly related to poor local dispersion capacity. During P4, the
passage of Cold 2 caused PM concentrations to increase very
rapidly to 370 ␮g/m3 and subsequently dropped to 44 ␮g/m3
following the cold front passage. Thus, the rapid increase and
decrease in PM2.5 concentration was attributed to pollutants
transported from upstream areas of Shanghai with the cold
front.
Acknowledgements
This research was partially supported by the National Natural
Science Foundation of China under Grant No. 41375014; the Project
of Science and Technology Commission of Shanghai Municipality
under Grant Nos. 12dz1202702 and 14DZ1202904; and the Project
of Scientific and Technological New Star of Shanghai Meteorological
Bureau under Grant Nos. QM201204 and MS201212.
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