JOURNAL OF GEOPHYSICAL RESEARCH: ATMOSPHERES, VOL. 118, 10,870–10,883, doi:10.1002/jgrd.

50830, 2013

Synoptic and dynamical analysis of subtropical cyclone Anita

(2010) and its potential for tropical transition
over the South Atlantic Ocean
João Rafael Dias Pinto,1 Michelle Simões Reboita,2 and Rosmeri Porfírio da Rocha 1
Received 16 April 2013; revised 10 September 2013; accepted 10 September 2013; published 7 October 2013.

[1] Subtropical cyclogenesis and tropical transitions (TT) over the South Atlantic Ocean
only received attention after the first documented Hurricane Catarina occurred close to the
southern Brazilian coast in March 2004. However, due to the lack of studies in this part of
the Atlantic Ocean, it is still unclear what the main environmental conditions and dynamical
processes associated with TT or even subtropical cyclogenesis are over the region. This
study presents a synoptic and dynamical analysis of the subtropical cyclone Anita which
occurred in March 2010 near the Brazilian coast. This system started as a pure subtropical
cyclone, evolved to a condition favorable to TT, later developed into a cold-core structure,
and decayed as an extratropical cyclone. During the period favorable for TT, the turbulent
heat fluxes (latent plus sensible) from the ocean decreased, and Anita started interacting with
another extratropical disturbance, preventing the TT to happen. This interaction, in turn,
increased the vertical wind shear, allowed the extratropical transition to occur, and promoted
the westward displacement of Anita to colder waters, thus decreasing the turbulent heat
fluxes. The results suggest that the combination of a dipole blocking pattern aloft, with
contribution from barotropic energy conversions, and strong turbulent fluxes is an important
ingredient for tropical storm development. Hybrid storms in such environmental conditions
can be one form of precursors of hurricanes over the South Atlantic.
Citation: Dias Pinto, J. R., M. S. Reboita, and R. P. da Rocha (2013), Synoptic and dynamical analysis of subtropical
cyclone Anita (2010) and its potential for tropical transition over the South Atlantic Ocean, J. Geophys. Res. Atmos., 118,
10,870–10,883, doi:10.1002/jgrd.50830.

1. Introduction
[2] In recent times, the meteorological community has
increased attention to the complexity of cyclonic systems.
Among the developments has been the identification and
diagnosis of hybrid systems, which can exhibit tropical and
extratropical characteristics at different stages in their life cycle.
[3] According to Hart [2003], subtropical cyclones present
such a hybrid structure which is characterized by a warm core
in the lower levels and a cold core aloft. These systems occur
in several places of the world as documented in the
Mediterranean Sea [Emanuel, 2005; Fita et al., 2007], near
Australia [Garde et al., 2009], in the North Atlantic basin
[Guishard et al., 2009], and in the South Atlantic basin
[Evans and Braun, 2012]. Guishard et al. [2009] presented a
climatology of subtropical cyclones over the North Atlantic
1
Institute of Astronomy, Geophysics and Atmospheric Sciences, University
of São Paulo, São Paulo, Brazil.
2
Institute of Natural Resources, Federal University of Itajubá, Itajubá,
Brazil.
Corresponding author: J. R. Dias Pinto, Institute of Astronomy, Geophysics
and Atmospheric Sciences, University of São Paulo, Rua do Matão, 1226,
Cidade Universitária, 05508-090 São Paulo, Brazil. (jrdias@model.iag.usp.br)
©2013. American Geophysical Union. All Rights Reserved.
2169-897X/13/10.1002/jgrd.50830
Ocean. They found a mean frequency of four systems per year
(with a larger occurrence in October and June). Moreover,
these authors and Guishard [2006] listed the necessary (but
not sufficient) environmental features for subtropical cyclo-
genesis as follows: (a) they are initiated by baroclinic
processes associated with an approaching upper level trough
or a cutoff low; (b) the environment should present cyclonic
low-level relative vorticity (which can be probably related to
a shear zone associated with an old frontal boundary linked
to the upper level trough); (c) a sufficiently larger Coriolis
parameter; (d) low-tropospheric to mid-tropospheric high
relative humidity; (e) sea surface temperature (SST) higher
than 25°C; and (f) vertical wind shear (between 200 and
925 hPa) less than 10 m s
1. The last two conditions are not
rigid since Guishard et al. [2009] also verified that many
subtropical cyclones occur in environments with SST ranging
from 16°C to 30°C and/or vertical wind shear ranging from 1
to 40 m s
1. Many of these environmental conditions for sub-
tropical cyclogenesis were also identified by Davis [2010]
through idealized simulations of subtropical cyclones in a
limited-area baroclinic model.
[4] Over the South Atlantic Ocean (SAO), until now, the
unique climatology of subtropical cyclones was carried out
by Evans and Braun [2012]. They showed that in the SAO
basin, there is a mean of 1.2 subtropical cyclones per year,
which is lower than that over the North Atlantic [Guishard

10,870

DIAS PINTO ET AL.: ANALYSIS OF SUBTROPICAL CYCLONE ANITA
et al., 2009]. Another difference between both basins is that
the higher percentage of the systems occurs on SST lower than
22°C over the SAO [Evans and Braun, 2012]. Moreover,
subtropical cyclones in the SAO are usually formed in an
environment with higher values of vertical wind shear, which
differs from those of the North Atlantic that occur with shear
lower than 10 m s
1. Although the climatology of Evans and
Braun [2012] has provided valuable information on the
frequency and area of occurrence of subtropical cyclones in
the SAO, there is yet little knowledge referring to their vertical
structure, dynamics, and similarities/differences in relation to
the systems in the Northern Hemisphere.
[5] Cyclones undergoing either extratropical or tropical
transtions (ET and TT, respectively) can also present a hybrid
vertical structure during this stage. ET is a gradual process by
which an initially warm-core tropical cyclone transforms into
a cold-core extratropical cyclone [Jones et al., 2003]. The in-
verse process characterizes the TT. Davis and Bosart [2004]
described two kinds of environment that favor TT (i.e., transi-
tion from an extratropical to a tropical cyclone). In the
first one, there is a strong extratropical cyclone in low levels,
which favors wind-induced surface heat exchanges (WISHE)
[Emanuel, 1987] and a trough in the upper troposphere
westward of the surface low just prior of the transition. TT
would occur along with the reduction of the vertical wind
shear due to the convection, which induces upper tropospheric
outflow and diabatic redistribution of potential vorticity (PV).
In this process, an environment resembling an occlusion and a
tropical cyclone may be generated. In the second kind of TT,
a weak extratropical cyclone develops due to the combination
of a mid-tropospheric mesoscale cyclonic vortex and near-
surface baroclinicity. Without the mesoscale vortex, the weak
extratropical cyclone cannot amplify by WISHE. TT in this
situation is not fully understood [Davis and Bosart, 2004].
[6] Hurricane Catarina (March 2004) was the first docu-
mented example over the SAO [Pezza and Simmonds, 2005]
of how a hybrid structure can acquire full properties of
a hurricane. It originated through a TT of an extratropical
cyclone within a predominately barotropic environment pro-
vided by a strong dipole-blocking-like structure [McTaggart-
Cowan et al., 2006; Veiga et al., 2008]. The occurrence of this
structure in the middle and upper troposphere reduced the
vertical wind shear, which is one of the main ingredients that
favors tropical cyclogenesis [Zehr, 1992; DeMaria et al.,
1993]. In such a configuration of flow, Catarina presented
easterly propagation due to the resulting flow in the blocking
region [McTaggart-Cowan et al., 2006, Figure 2]. In other
words, in the Southern Hemisphere, an upper level low is
located equatorward from a high pressure within a dipole
blocking. While this low produces clockwise circulation, the
high pressure produces anticlockwise circulation. In the east-
west direction, the junction between these flows weakens the
westerly winds and the vertical wind shear.
[7] Near the southern coast of Brazil, Miky Funatsu et al.
[2004], Reboita et al. [2009], Iwabe and da Rocha [2009],
and Dias Pinto and da Rocha [2011] have already indicated
the presence of cyclone systems with different characteristics
from a pure extratropical cyclone. They described some
surface cyclogenesis occurring below an upper level cutoff
low, which is also an important feature during subtropical
cyclogenesis [Guishard et al., 2009; Evans and Braun,
2012] and TT (see the Catarina case) [McTaggart-Cowan
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et al., 2006]. The fast and strong deepening of some observed
cyclones in this area of the Atlantic was pointed out by Dal
Piva et al. [2008] and Gozzo and da Rocha [2013] as a result
of the intense latent and sensible turbulent heat fluxes
provided by the warm waters of the Brazilian Current. In
the absence of such heating, Reboita et al. [2012] suggested
through regional climate modeling experiments for the
present climate reduction of the number of cyclogenesis over
the SAO. These studies indicate a potential environment for
evolution of different types of cyclogenesis either tropical
or subtropical, which is in line with the occurrence of the first
documented Hurricane Catarina during March 2004 near the
southern coast of Brazil.
[8] From 6 to 11 March 2010, an unusual cyclone occurred
near the southern-southeastern coasts of Brazil, being later
denominated as subtropical cyclone Anita by the local
meteorological centers [Dutra, 2012]. It initiated as a purely
subtropical system and afterward acquired similar characteris-
tics to those presented during Catarina’s development: a
dipole blocking in the upper levels acting to reduce the vertical
wind shear and the development of a symmetric eye-like
cloudiness structure. Anita had a long life cycle, and instead
of evolving into a tropical storm as it approached toward the
southern Brazilian coast, the system weakened and became
an extratropical cyclone, differently from Catarina. During
all its life cycle, Anita produced intense winds and precipita-
tion near the coast [Dutra, 2012]. Since the development of
subtropical and tropical cyclones has not been fully docu-
mented over the SAO, meteorological centers of weather
forecasting were surprised when Anita developed along the
Brazilian coast. Thus, subtropical cyclone Anita is an impor-
tant event for investigation because it can help to understand
mechanisms that favor this kind of cyclones over the SAO
and their potentials for transitions. Therefore, this paper
aims to describe the synoptic and dynamic environmental
conditions favoring Anita development and analyze its poten-
tial for TT. The study is organized as follows: section 2
describes the methodology and the data utilized, section 3
presents the main results, and section 4 brings the discussions
and conclusions.
2. Data and Methodology
[9] The study was divided in two main parts. First, the
evolution of the system’s vertical structure is represented
by the cyclone phase space (CPS), whereas its development
is accomplished through a synoptic description. Besides,
the main environmental characteristics were also investigated
through turbulent heat fluxes, vertical wind shear and by
a blocking index (BI). Then, the system’s energetics are
presented through the limited-area Lorenz energy cycle.
2.1. Data
[10] Data from different sources were employed in this
study. Fields of sea level pressure, geopotential height, air
temperature, latent plus sensible heat fluxes, and winds were
obtained from the Global Forecast System (GFS, http://rda.
ucar.edu/datasets/ds083.2/) operational analysis. These data
have a horizontal resolution of 1.0° × 1.0°, distributed in
26 pressure levels (from 1000 to 10 hPa), and are available
every 6 h (0000, 0600, 1200, and 1800 UTC). Precipitation
data were obtained from version 3B42 Tropical Rainfall

DIAS PINTO ET AL.: ANALYSIS OF SUBTROPICAL CYCLONE ANITA
Measuring Mission (TRMM-3B42) which has a horizontal
resolution of 0.25° × 0.25° and a temporal resolution of 3 h
(http://mirador.gsfc.nasa.gov/). Wind components at surface
with the same horizontal resolution of TRMM-3B42 were
obtained from the Cross-Calibrated Multi-Platform (CCMP)
Ocean Surface Wind Components (ftp://podaac.jpl.nasa.
gov/OceanWinds/ccmp/L3.0/flk/). These data have 6 h of
temporal resolution [Atlas et al., 2008, 2009]. Potential
temperature in the dynamic tropopause [surface at
2 PVU
(potential vorticity unit)] from the ERA-Interim reanalysis
[Dee et al., 2011] was used to compute a blocking index.
These data have a horizontal resolution of 1.5° × 1.5°, and
they are also available every 6 h. The SST analysis is from the
Operational Sea Surface Temperature and Sea Ice Analysis
(OSTIA) which has been developed at the Met Office. These
data are based on a combination of infrared and microwave
satellites, as well as in situ data. OSTIA has a horizontal
resolution of roughly 5 km and a daily time frequency [Stark
et al., 2007]. Besides, qualitative information about cloudiness
during the cyclone’s life cycle was depicted through GOES-12
infrared (IR) satellite imagery obtained from the Weather
Forecast and Climate Studies Center/National Institute of
Spatial Research (CPTEC/INPE) (available at http://www.
cptec.inpe.br/satelite).
2.2. The Cyclone Phase Space
[11] The cyclone phase space (CPS) [Hart, 2003] is an ob-
jective method that describes the three-dimensional cyclone
structure evolution and gives a classification of cyclonic
systems (extratropical, tropical and subtropical, for example).
According to Hart [2003], the method is based on three
parameters: storm-relative motion thermal asymmetry (param-



eter B), lower tropospheric thermal wind (parameter



V LT
),
and upper tropospheric thermal wind (parameter

V U

T ).
2.2.1. Parameter B: Thermal Symmetry
[12] Parameter B, which indicates the cyclone symmetry, is
obtained from
B ¼ h¯
ðZ 600 hPa
Z 900 hPa jR
¯
Z 600 hPa
Z 900 hPa jL Þ
where Z is the geopotential height (meters); subscripts R and L
indicate, respectively, the right and left sides of each position
of the cyclone; and h represents a positive signal (+) for
analysis over the Southern Hemisphere and negative (
) over
the Northern Hemisphere. A circle with a radius of 5° is
defined to determine the cyclone size. As in other studies
[Hart, 2003; Guishard et al., 2009], a cyclone with

10 m < B < 10 m is symmetric (which is the case of the trop-
ical systems), while a cyclone with B ≥ 10 m is considered
asymmetric (which is the
case

of the
extratropical

systems).
2.2.2. Parameters

V LT
and

V U

T : Thermal Wind
[13] The thermal wind parameters are defined as a vertical
change in the height gradient (ΔZ) between the bounding
pressure levels and are calculated as


∂ðΔZ Þ
600 hPa


V LT
¼
(2)
∂ ln p 900 hPa


∂ðΔZ Þ
300 hPa


V U

∂K Z
T ¼
∂ ln p 600 hPa
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where superscripts L and U indicate the layers (lower and
upper) of the thermal wind parameter
(900–600

hPa
and

600–300 hPa, respectively). Values

V LT
< 0 and

V U T


< 0 indicate a cold-core structure with the wind speed increas-
ing with height (which
is common




in extratropical cyclones).
On the other hand,

V LT
> 0 and

V U T

> 0 represent
the decrease of the wind speed with height and indicate a
warm-core structure. It is worthy to mention that all the
algorithms related to the CPS term computation are avail-
able on Dr. Hart’s home page (http://moe.met.fsu.edu/
∼rhart/software.php).
2.3. Blocking Index, Vertical Wind Shear,
and Turbulent Heat Flux Computation
[14] The occurrence of blockings in the atmosphere is
a factor that can contribute to decrease the vertical
wind shear, which, in turn, could be an important “ingredi-
ent” for the vertical organization of the cloudiness in
subtropical storms.
[15] The possibility of blocking occurrence during Anita’s
life cycle was investigated using a blocking index BI defined
by Pelly and Hoskins [2003]. According to the authors, in a
blocking situation, there is an inversion of the potential
temperature meridional gradient at the dynamic tropopause
(
2 PVU). Thus, the blocking index BI at longitude λ0 can
be defined as the difference in the average potential tempera-
tures (at the dynamic tropopause) in the northern and southern
boxes of a determined region (for more details, see Pelly and
Hoskins [2003, Figure 2]), i.e.,
!
ϕ 0 þΔϕ=2 ϕ0
BI ðλ0 ; ΔλÞ ¼
2
Δϕ
∫ϕ 0
θ dϕ
∫ϕ
Δϕ=2 θ
0
dϕ (4)
where BI is calculated along the longitude λ0 for a strip of
width Δλ centered at latitude φ0 and meridional dimension
Δφ. The values used in equation 4 were: λ0 = 50°W, Δλ=5°,
ϕ=37.5°S, and Δϕ=20°. The index was computed from
5 to 15 March 2010 every 6 h, with blocking occurring when
(1) BI reached positive values.
[16] Besides the mean vertical wind shear between 200 and
850 hPa, the total heat fluxes (latent plus sensible heat fluxes)
were computed within an area limited by 50°W–40°W and
37.5°S–27.5°S from 5 to 15 March 2010. This domain was
used because it encloses the region where Anita remained
semistationary during most of its life cycle.
2.4. Limited-Area Lorenz Energetics
[17] The energetics were determined with the Lorenz ap-
proach [Lorenz, 1955, 1967] in which the available potential
and kinetic energies are divided in the zonal and eddy forms.
Since the analyses were focused on an individual system
rather than for the entire globe, all the terms of the energy
balance were computed within a limited portion of the atmo-
sphere. Following Muench [1965], the budget equations for
limited-area energetics are given by
∂Az
¼
C Z
C A þ GZ þ BAZ (5)
∂t
(3) ¼ C Z þ C K
DZ þ BK Z þ BΦZ (6)
∂t
10,872

DIAS PINTO ET AL.: ANALYSIS OF SUBTROPICAL CYCLONE ANITA
Figure 1. The limited-area Lorenz energy cycle showing
the transport across the boundaries, the conversions, genera-
tion, and dissipation of energy. AZ and AE, respectively, indi-
cate the zonal and eddy available potential energies; and KZ
and KE, respectively, indicate the zonal and eddy kinetic
energies. CZ denotes the conversion between AZ and KZ, CA
denotes the conversion between AZ and AE, CK denotes the
barotropic conversion between KZ and KE, and CE denotes
the baroclinic conversion between AE and KE. The generation
and sinks terms of available potential and kinetic energies are
RGZ, RGE, RKZ and RKE respectively. The boundary terms
are indicated by BAZ, BAE, BKZ, and BKE (see text for more
details). In the figure, arrows indicate the positive sense of
the energy flow.
∂AE
¼ C A
C E þ GE þ BAE (7)
∂t
∂K E
¼ C E
C K
DE þ BK E þ BΦE (8)
∂t
[18] In these equations, A and K are the available potential
and kinetic energies, respectively, where subscripts Z and E
denote the zonal and eddy forms of energy, respectively; CZ
indicates the conversion between AZ and KZ; CA indicates
the conversion between AZ and AE; CK indicates the conver-
sion between KE and KZ (barotropic conversion); and CE
indicates the conversion between AE and KE (baroclinic
conversion). GZ and GE are the generation terms of the zonal
and eddy available potential energies, respectively. DZ and
DE denote the dissipation of the zonal and eddy kinetic
energies, respectively. Besides, due to the inclusion of the
boundary energy transport, there are four more terms which
represent the exchange of energy between the domain and
the encircling regions (BKZ, BKE, BΦZ, and BΦE). Muench
[1965] included the appearance of kinetic energies within the
volume of a limited region through the work produced at its
boundaries (terms BΦZ and BΦE). The approximate mathe-
matical expressions for all terms and symbols utilized here
are detailed in Brennan and Vincent [1980].
[19] Figure 1 depicts the limited-area energy cycle given
by equations 5–8 by showing the positive sense of the
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conversions, generation, and transports among the zonal and
eddy kinetic and available potential energies. According to
Lorenz [1967] and Asnani [1993], positive correlations
between temperature and diabatic heating generate available
potential energy by enhancing thermal contrasts in either lati-
tudinal direction (GZ) or in the same latitude circle (GE).
Axisymmetric latitudinal heat transports (which is given by
CA) induced by developing baroclinic waves [Holton, 2004]
will generate temperature contrasts in the same latitude circle,
thus generating AE at the expense of AZ. Upward motion of
relatively warm air and downward motion of relatively cold
air promote releasing of available potential energy into kinetic
energy. Direct thermally induced circulation in a latitudinal
sense is represented by CZ, whereas an induced vertical circu-
lation at the same latitude circle is represented by CE [Lorenz,
1967], which is commonly defined as the baroclinic term.
Synoptic-scale eddy motions tend to maintain the zonal mean
flow by transferring their kinetic energy to the midlatitude jets
[James, 1994]. In episodes of barotropic instability, however,
the disturbance extracts its kinetic energy through momentum
transports from the mean flow, which is expressed by CK. In
the literature [see, for example, Wiin-Nielsen and Chen,
1993], the senses of energy flow AZ → AE → KE and
AZ → KZ → KE are called, respectively, baroclinic and
barotropic chains. Finally, the dissipation of both the zonal
and eddy kinetic energies is represented by the DZ and DE
terms, respectively.
[20] Although Anita was a nonstationary system, a space-
and time-fixed reference domain was chosen for the computa-
tion of the energy cycle (a deeper discussion on the use of a
moving or fixed domain can be found in Dias Pinto and da
Rocha [2011]). The domain chosen was based on a 25° × 25°
latitude-longitude area (40°S–15°S and 60°W–35°W), where
the Anita was the unique synoptic feature on it most of the
time. Despite the limitations that arise by adopting such a
big domain, the results presented here are reliable enough to
reflect in a straightforward way the energetics of the system
and the exchanges among it, the surrounding environment,
and the regions outside the domain.
[21] As usual in the literature [e.g., Brennan and Vincent,
1980; Michaelides, 1987; Wahab et al., 2002], the terms of
generation, dissipation, and boundary work pressure (B ΦZ
and B ΦE) were obtained as residual terms from equations
5–8 as follows:
RGZ ¼ GZ þ εAz (9)
RGE ¼ GE þ εAe (10)
RK Z ¼ BΦZ
DZ þ εKz (11)
RK E ¼ BΦE
DE þ εKe (12)
where symbol ε indicates numerical accumulated errors from
the calculus included in the residual value. It is important to
emphasize that equations 11 and 12 do not only contain the
dissipative effects but also include the effects of the boundary
pressure work within the volume.
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DIAS PINTO ET AL.: ANALYSIS OF SUBTROPICAL CYCLONE ANITA

Figure 2. Cyclone

phase diagram
for
the system

from

0000 UTC 6 March to 1800 UTC 12 March 2010.
(top) B versus

V LT
. (bottom)

V LT
versus

V U

T . A indicates the beginning of the life cycle within the
available analyses, whereas Z indicates the end. Here FS, HS, PS, and TS are, respectively, the formation,
hybrid, potential, and transitioned stages (see text for more details).

3. Results temporal evolution of the eddy kinetic energy. Therefore, the

[22] Due to the unusual formation, the study of the Anita life
cycle was divided in four distinct phases, denominated, initial,
hybrid, potential, and transitioned. We chose four periods,
beginning at 0000 UTC 6 March for the initial phase (i.e.,
formation), at 1200 UTC 9 March for the hybrid one (related
to the “mature” stage of the subtropical phase), at 0600 UTC
10 March for the potential (for TT), and, finally, at 1800 UTC
11 March 2010 for the transition (from a subtropical to an
extratropical system). The selection of these periods consid-
ered combined analysis among the CPS, the shape and evolu-
tion of the cloudiness patterns in the satellite imagery, and the
phases related to the onset of the system, the hybrid stage, the
potential for tropical transition, and the transition to an
extratropical system are all covered.
3.1. Vertical Structure Evolution Through the CPS
[23] The time evolution of the vertical structure of the
subtropical cyclone Anita is described by computing the
terms of thermal symmetry and thermal wind and plotting
them on the CPS diagram. The A and Z points in Figure 2
denote, respectively, the beginning and ending points from
the tracking of the system and therefore indicate its life cycle.

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DIAS PINTO ET AL.: ANALYSIS OF SUBTROPICAL CYCLONE ANITA

a) b)

c) d)

Figure 3. GOES-12 infrared satellite imagery at (a) 0000 UTC 6 March 2010 (formation phase), (b) 1200
UTC 9 March (hybrid phase), (c) 0600 UTC 10 March (potential phase), and (d) 1800 UTC 11 March
(transitioned phase). Letter L roughly indicates Anita center.

The trajectory lines on the CPS indicate that Anita presented
at the initial phase a symmetric structure in the vertical
and a shallow low-level warm core, indicating that it had
already started as a subtropical system. This vertical thermal
structure was maintained during the cyclone development
until 10 March, when the system became neutral in both
diagrams; that is, it reached the threshold between the two
regimes (asymmetric and symmetric, shallow warm core to
deep cold core). During this period, the mean radius of
925 hPa gale force winds decreased, indicating that the radius
of the system also decreased as it evolved from the sub-
tropical phase to the potential one (favorable for TT). This
decreasing radius can be graphically visualized in both
diagrams by the size change of the circles between 9 and
10 March (Figure 2).
[24] During the transition phase from subtropical to
extratropical (around 11 March), the system achieved
another structure of moderate low- and high-level cold core
and an asymmetric vertical structure (Figure 2). The low-
level warm core weakened during this period, and the system
acquired a frontal nature with an increase in the radius of gale
force winds. Therefore, the trajectory lines throughout the
CPS diagrams showed that the cyclone started as a warm-
core system in low levels with a symmetric nature, that is,
a subtropical system, and evolved in a transition to an
asymmetric and cold-core system.
[25] Although the CPS cannot show the main underlying
physical processes behind the system evolution, the analysis
of the vertical structure highlighted the fact that this kind of
cyclone underwent a great structural change during its life
cycle, and thus, the synoptic and energetic analyses will help
to understand this evolution.
3.2. Synoptic Evolution and Main
Environmental Conditions
[26] The lower level precursor environment that led to the
system was characterized by a weak low pressure area around
20°S–37.5°W, near the southeastern Brazilian coast, which
was associated with a large area of convection and moisture
convergence (figure not shown). At 0000 UTC 6 March, this
large cloudy region was still over the genesis area, presenting
in 925 hPa a preexistent cyclonic circulation, and little
baroclinicity, that is, weak horizontal temperature gradients
(Figures 3a and 4e). Accompanying this near-surface config-
uration, a midtropospheric trough over southeastern South
America amplified and evolved to a cutoff low system at
1200 UTC 6 March (figure not shown), extending toward
southern Brazil. This association between a cutoff low and
a surface subtropical cyclone was also identified through
the climatology of South Atlantic subtropical cyclones
carried out by Evans and Braun [2012].
[27] According to Ndarana and Waugh [2010], the devel-
opment of cutoff low systems is associated with Rossby wave
breaking which, in turn, is defined as the rapid and irreversible
deformation of potential vorticity (PV) material contours
[McIntyre and Palmer, 1983]. Our analysis showed that the

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DIAS PINTO ET AL.: ANALYSIS OF SUBTROPICAL CYCLONE ANITA

a) e)

b) f)

c) g)

d) h)

Figure 4. Synoptic evolution of Anita. (a–d) The 500 hPa geopotential height (m) and the 925 hPa
cyclonic relative vorticity (×10
5 s
1, shaded). (e–h) Sea level pressure (hPa, contour), 925 hPa tempera-
ture (°C, shaded), and barb wind (m s
1). The dates depicted here are related to the formation, hybrid,
potential, and transitioned stages (see text for more details). Red and blue L’s denote the position of
Anita and the extratropical cyclone centers.

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DIAS PINTO ET AL.: ANALYSIS OF SUBTROPICAL CYCLONE ANITA

a) b)

Figure 5. (a) Vertical cross section of potential vorticity on 0600 UTC 9 March 2010 (shaded, PVU)
along 32.5°S. (b) 300 hPa potential vorticity (shaded, every 0.5 PVU) and geopotential fields (contours,
each 100 m); the line indicates the vertical cross section that is shown in the left. L denotes the position
of the cyclone Anita center.

cutoff low at 1200 UTC 6 March was associated with a
horizontal incursion of stratospheric PV from latitudes higher
than 45°S to the south of Brazil (figures not shown). Although
weak, this incursion of stratospheric potential vorticity (PV)
contributed to the cutoff low’s growth. During the evolution
of Anita, the intensification of the cyclonic circulation at
midlevels was related to a horizontal PV incursion from
midlatitudes (Figure 5a). At 0600 UTC 9 March, a PV core in
300 hPa (Figure 5b) with values between
2.0 and
2.5 PVU
(1 PVU = 1 × 10
6 m2 K kg
1 s
1) was observed. Indeed,
at 1200 UTC 9 March, during the hybrid stage, Figure 4b
shows a large cutoff low area in geopotential height at

Figure 6. GOES-12 (IR) satellite imagery displaying the (left) convective activity and (right) 3 h accumu-
lated precipitation from TRMM-3B42 (shaded in millimeters per 3 h) and winds at the surface zoomed in the
Anita system. Note that the eye-like feature was sustained during (top) 0000 UTC 10 March to (bottom)
0600 UTC 10 March. The red circle highlights the position of the convective activity related to Anita.

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DIAS PINTO ET AL.: ANALYSIS OF SUBTROPICAL CYCLONE ANITA

a) b)

c) d)

Figure 7. Environmental conditions at (a and c) hybrid phases, 1200 UTC 9 March 2010, and (b and d) po-
tential phases, 0600 UTC 10 March 2010. (top) Turbulent fluxes (latent plus sensible heat fluxes, W m
2).
(bottom) Wind shear of 200–925 hPa (m s
1). Contour lines in all fields display the relative cyclonic vorticity
(×10
5 s
1). L denotes the position of the cyclone center.

500 hPa. This synoptic pattern resembles closely those
observed in the dipole-blocking events [Rex, 1950a,
1950b; Coughlan, 1983; McTaggart-Cowan et al., 2006]
where the flow is diffluent, presenting a cyclonic circulation
branch northward and an anticyclonic one southward.
Positive values of BI confirmed the presence of the blocking
pattern (Figure 8a) between 8 and 9 March, indicating an
obstruction of the zonal flow, i.e., intense westerlies are in
the north and south sectors of the blocking as indicated by
the wind fields at 500 and 200 hPa (figure not shown). It is
interesting to mention that Hurricane Catarina, during its
tropical transition, was also inserted in a dipole-blocking
environment that remained for 4 days [see McTaggart-
Cowan et al., 2006, Figure 9].
[28] From 6 to 9 March, Anita displaced southwestward in
low levels and acquired a barotropic equivalent structure
extending from the surface to the upper levels (Figures 4b
and 4f). The movement toward the southern Brazilian coast
was favored by the easterly flow at middle and high levels
within the blocking-like area (figures not shown). At this
time, the clouds presented an inverted comma-shaped pattern
split from the main cloud band, extending from the center of
Brazil to the Atlantic Ocean (Figure 3b).
[29] The development continues on 10 March when the
cyclone center reached the nearest position of the coast at
0600 UTC (Figure 4g). At this time, it was classified as a
neutral system in both CPS diagrams (Figure 2), although
the near-circular pattern of the cloudiness (Figure 3c) was
similar to that observed during Catarina’s transition [see
McTaggart-Cowan et al., 2006, Figure 4f]. In low levels,
it was characterized by a small area of strong cyclonic vor-
ticity below a cutoff low in 500 hPa, which indicates main-
tenance of the barotropic vertical structure (Figure 4c). As
shown in the previous period, the dipole-blocking-like
pattern allowed the system to propagate westward, and
therefore, the associated cloudiness approached toward
the southern Brazilian coast. As the system evolved, the
cloudiness pattern acquired a more symmetrical structure
(Figure 3c); Figure 6 suggests that Anita sustained an eye-
like feature for at least 6 h, with higher clouds and heavier
precipitation around a region of significantly less convec-
tive activity around 30°S and 48°W. The characteristics
of a cloudy rounded structure showing a free cloud area
in the center were reported by Emanuel [2005] and Fita
et al. [2007] during the life cycle of tropical-like storms
over the Mediterranean Sea, which are commonly named
Medicanes (Mediterranean + Hurricanes).
[30] Figures 7c and 7d show that the small values of verti-
cal shear (<10 m s
1) in the Anita region were maintained
nearly constant between the hybrid and potential stages.
Therefore, the lack of intense vertical shear of the westerly
winds contributed to the organization of the convective activ-
ity in a more symmetrical structure, as shown in Figures 3c
and 6. However, the sensible and latent heat fluxes from the

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DIAS PINTO ET AL.: ANALYSIS OF SUBTROPICAL CYCLONE ANITA

a)

b)

Figure 8. (left) Sea surface temperature (°C) averaged from 6 to 12 March, Anita tracking (black line with
dots), and the areas used to compute blocking index BI (black rectangle; see text for more details), mean of
vertical wind shear, and total heat fluxes (gray square; 50°W–40°W and 37.5°S–27.5°S). (right) Some
mean environmental conditions during the Anita life cycle. (a) Blocking index BI (solid line) from 5 to
15 March every 6 h (see area in the left) and averaged vertical wind shear (200–850 hPa; dashed line).
Blocking pattern is characterized by values greater than 0, while values of 10 m s
1 are a critical shear
for tropical cyclogenesis [Zehr, 1992]. (b) Average of the total heat fluxes (latent plus sensible heat fluxes)
in the same area as above. Lines indicate the stages in which Anita remained within the area surrounded by
the gray square. HS, PS, and TS, are, respectively, the hybrid, potential, and transitioned stages (see text for
more details).

ocean decreased in the vicinity of the cyclone (Figures 7a and
7b). The tracking of Anita in Figure 8 suggests that the sys-
tem remained semistationary over waters with temperature
around 24–26°C (here, SST were averaged over the period
6–11 March 2010) for about 2 days.
[31] Since turbulent heat fluxes depend on the wind inten-
sity at surface and vertical gradients of temperature and
humidity, some factors could contribute to the decrease of
these fluxes. As the convective activity became more orga-
nized between the hybrid and potential stages (Figures 3b
and 3c, respectively), moistening of the surrounding atmo-
sphere (figure not shown) was observed, contributing to
decrease the latent heat fluxes. According to several authors
[Brand, 1971; Chang and Anthes, 1978; Wu et al., 2007;
Sriver and Huber, 2007; Dare and McBride, 2011], cyclones
can decrease SST through vertical mixing within the ocean.
The SST cooling, in turn, may reduce the source of thermal
energy to the turbulent heat fluxes, implying weakening of
the cyclones. A decrease of SST at the center and southern
parts of Anita was observed during 9 and 10 March (figure
not shown). Besides, SST may locally decrease due to the
reduction of solar energy reaching the surface due to the
cloud coverage.
[32] Eventually, Anita underwent an extratropical transition
as it interacted with an extratropical cyclone, becoming a cold-
core and asymmetric system around 1800 UTC 11 March
(Figure 2). The 500 hPa cutoff low reached its final stage as
a small trough embedded in another short wave southward,
and the cloudiness reorganized into an inverted comma shape,
typical in extratropical cyclones (Figures 3d and 4d). The
passage of the midlatitude system (and the resulting coupling
with) not only contributed to the extratropical transition and
eastward propagation of Anita but also imported increased
shear into the region between 10 and 11 March (Figure 8a).
At the surface, turbulent fluxes were drastically reduced in
the cyclone area (Figure 8b), which could be due to Anita
displacement from the subtropical to the extratropical latitudes
and, thus, toward cooler SST (see the inset in Figure 8).
[33] Although relatively weak vertical wind shear was
observed between the hybrid and potential stages (around 9
and 10 March), both the decrease of the turbulent heat fluxes
and the coupling with an extratropical system prevented
Anita to make transition to the tropical cyclone. Therefore,
it is hypothesized that if there were a larger supply of
energy to build up a deeper warm core and the lack of any
extratropical forcing in this environment of low vertical wind
shear, subtropical cyclone Anita could undergo such an
organization capable of self-amplification as a tropical system.
The description of a barotropic vortex genesis and the increas-
ing importance of diabatic processes to strengthen the hybrid
system—potentially leading to tropical transition—are consis-
tent with the climatology of the South Atlantic subtropical
cyclones by Evans and Braun [2012].
3.3. Limited-Area Lorenz Energetics
[34] The time evolution of the vertically integrated energy
amounts (Figure 9a) shows during the initial phase of the
cyclone the decreasing of both zonal forms of kinetic and
available potential energies (KZ and AZ, see Figure 1). KZ
reduced, reaching the smallest values around 9 March during
the hybrid period, and after that, it started increasing until
0000 UTC 13 March when it attained values close to 12 ×

10,879

DIAS PINTO ET AL.: ANALYSIS OF SUBTROPICAL CYCLONE ANITA
a)
b)
Figure 9. Vertically integrated energy budget terms. (a)
Energy amount (×105 J m
2). (b) Conversion term
(W m
2). Lines indicate the periods selected for the synoptic
description, where FS, HS, PS, and TS are, respectively, the
formation, hybrid, potential, and transitioned stages (see text
for more details).
105 J m
2 (almost twice the initial value). AZ presented a sim-
ilar behavior with minimum values at 9 March, growing again
at the transitioned stage of the cyclone around 11 March.
Differently from these terms, KE appeared with two maxima,
one at 0000 UTC 8 March and another at 0000 UTC 12
March, showing the peaks of intensity at the hybrid and
transitioned stages of the cyclone. However, as shown in
Figure 9a, the intensity of KE during the hybrid stage is al-
most twice that of the transitioned one, with 8 ×105 J m
2
and 4 × 105 J m
2, respectively. The eddy form of available
potential energy AE acquired the smallest variation com-
pared with other energy terms during all its life cycle. Its
temporal evolution shows just slightly increasing from
0000 UTC to 1800 UTC 7 March; after 0000 UTC 10
March, AE remained nearly constant.
[35] The temporal change of the conversion terms
(Figure 9b) depicts two distinct stages during all the cyclone
life cycle. The period until 0600 UTC 9 March was marked
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by intense activity of CZ and CK (AZ → KZ and KZ → KE con-
versions), while after that, during the potential and transitioned
stages, they acquired smaller values. The term CZ was the
most intense and positive during the initial phase with a
maximum of ~5 W m
2. Positive values of CZ indicate conver-
sion of AZ into KZ through upward motion of relatively
warm air and sinking of cold air in the longitudinal plane
supplying kinetic energy to KZ [Lorenz, 1967; Asnani,
1993]. The barotropic conversion CK was negative (minimum
of ~3 W m
2) during the same period. Such a behavior indi-
cates transfer of kinetic energy from the zonal flow to the
disturbance through the momentum transports [Lorenz, 1967;
Wiin-Nielsen and Chen, 1993]. One of the baroclinic terms,
CA (AZ → AE conversion), presented larger values between
11 and 12 March, indicating that the cross-latitudinal heat
transfer was important in producing eddy available
potential energy AE through AZ during the transition period.
The baroclinic term CE (AE → KE conversion) was relevant
just between 8 and 9 March and later between 11 and 12
March, becoming the only source, even small, of kinetic
energy during the transitioned stage of the cyclone. This
indicates, therefore, that the barotropic processes were the
most relevant during the formation and growing of the hy-
brid cyclone, whereas the baroclinic ones became important
just at the transition stage.
[36] Based on the temporal evolution of KE (Figure 9a), the
vertically integrated energy budget was averaged over three
distinct periods: 0000 UTC 5 March to 1800 UTC 7 March,
which is related to the positive temporal derivative of KE;
0000 UTC 8 March to 1800 UTC 10 March; for the negative
one; and 0000 UTC 11 March to 0000 UTC 12 March, again,
for the positive changes of KE. Thus, the complete limited-
area Lorenz energy cycle was determined, and it is depicted
in Figure 10.
[37] Figure 10a shows that during the earlier stages of the
subtropical cyclone, the main energy flow was due to the
barotropic chain (AZ → KZ → KE) supplying kinetic energy
from the mean zonal wind to the disturbance at the rate of
2 W m
2. As observed in the temperature fields or even in
the symmetry term of the CPS [Figure 4e and Figure 2
(top)], the baroclinity over the genesis region was very weak,
and thus, the creation of KE due the heat transports and
induced vertical movements (terms CA and CE) was not
important. Even with the large input of KZ through the
computational boundaries (term BKZ), the residual term
RKZ acted as a sink of energy which also contributed to the
large decrease of KZ. These temporal averaged values show
that the main underlying process in the cyclone’s initial
stages was the barotropic mechanism, providing energy for
the trough amplification (Figures 4a and 4b) through the eddy
momentum transports. Such a behavior was pointed out by
Guishard et al. [2009] and Evans and Braun [2012] as a
manifestation of the Rossby wave breaking, leading to an
incipient subtropical cyclone vortex aloft (section 3.2 high-
lights the existence of this breaking occurring during
Anita formation).
[38] As the system evolved and later reached the potential
stage for transition, its energy cycle had a considerable
change. The eddy kinetic energy presented negative variation
at the rate of 2.24 W m
2 (Figure 10b), mainly due to the
residual term RKE acting as a sink of energy. The baroclinic
and barotropic chains acted as a source of kinetic energy
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DIAS PINTO ET AL.: ANALYSIS OF SUBTROPICAL CYCLONE ANITA

a)

b) c)

Figure 10. Limited-area Lorenz energy cycle of the vertically integrated quantities (W m
2) averaged
from (a) 0000 UTC 5 March to 1800 UTC 7 March, (b) 0000 UTC 8 March to 1800 UTC 10 March,
and (c) 0000 UTC 11 March to 0000 UTC 12 March. The scheme of energetics shows the terms of energy,
conversion, and the positive sense of the energy flow (see text for more details).

for the system, thus maintaining it against dissipation pro-
cesses. During this period, the cyclone underwent a strong
structural change and achieved a stage favorable to a tropical
transition. As hypothesized in the synoptic description, at this
stage, Anita could not evolve to a tropical system due to the
reduction of the turbulent fluxes and the interaction with an
extratropical cyclone. Regarding the kinetic energy evolu-
tion, the cyclone’s life cycle was characterized by a mixed
energy source: first, the barotropic ones extracting energy
from the zonal jet (CK) and, second and third, the conversion
of eddy available potential energy generated by CA andGE, in
which the last one is represented by the diabatic processes
(mostly latent heat release due to the convective activity) in
the cyclone area (see Figure 6). However, KE had negative
variation throughout the period due to the boundary terms,
which transferred energy outward the computational domain.
[39] Figure 10c displays the terms averaged over the
transitioned stage, i.e., the period in which the cyclone
underwent an extratropical transition, evolving from a neu-
tral (between 10 and 11 March, the system stayed in the neu-
tral region of the CPS diagram) to a cold-core system in both
low and high levels and presented a frontal nature (Figure 2).
The energy cycle shows that KE started increasing again (at
the rate of 1.06 W m
2), indicating new strengthening of
the circulation. This occurred mainly due to the juxtaposition
with a midlatitude extratropical cyclone as the hybrid cy-
clone propagated southeastward (Figures 4d and 4h). At this
time, the baroclinic chain (AZ → AE → KE) became the main
source of kinetic energy for the cyclone, whereas the
barotropic one acted in an inverse sense, i.e., transferring en-
ergy to the zonal flow. Large values of KZ reflect the increase
of the wind vertical shear in the region.
4. Discussion and Conclusions
[40] This study presented the environmental and energy
cycle analyses of subtropical cyclone Anita. During this un-
usual event, both the tropical and extratropical characteristics
were observed over the SAO, where tropical transitions are
not common. It began as a purely subtropical system and
evolved to an extratropical cyclone, presenting, during this
life cycle, conditions for transition to a hurricane.
[41] Anita started as a surface cyclonic anomaly of relative
vorticity near 20°S–37.5°W, close to the southeastern
Brazilian coast, and it was associated with a large area of
convection and moisture convergence at low levels. This
cyclonic anomaly increased as a mid-tropospheric cutoff
low approached toward the region. The system developed
through Rossby wave breaking in midlevels, which is accom-
panied by horizontal incursion of cyclonic PV from
extratropics into lower latitudes. According to Hanley et al.
[2001], in a Rossby wave breaking event, constructive inter-
action between a PV maximum and the trough is observed,
and therefore, a dipole blocking could develop. This feature
was observed in this study through the blocking index. At
the middle and upper levels, this synoptic pattern was

10,881

DIAS PINTO ET AL.: ANALYSIS OF SUBTROPICAL CYCLONE ANITA
characterized by a cyclonic circulation area equatorward
(cutoff low) of an anticyclonic one. This feature induces
anomalous easterly flow due to a coherent reversal in the me-
ridional height gradient, which contributes for the westward
displacement of the systems. Both a cutoff low and a dipole
blocking analogue pattern occurred during the development
of Anita, and they were very similar to the synoptic pattern
observed during the 2004 Hurricane Catarina [McTaggart-
Cowan et al., 2006] and the 2009 Australian Duck Cyclone
[Garde et al., 2009]. Such a synoptic configuration generally
reduces the middle and upper levels zonal flow with conse-
quent reduction of the vertical wind shear. These conditions
were also observed in Anita, and during 8 and 9 March, the
system displaced toward a region with negative vertical wind
shear which indicated more intense wind near surface than in
the middle and upper levels. Such condition of low vertical
wind shear is one of the main ingredients favoring tropical
system development [Zehr, 1992; DeMaria et al., 1993].
[42] At the potential stage, Anita reached the closest posi-
tion to the southern Brazilian coast, and its cloudiness pattern
resembled closely that observed during Hurricane Catarina
with an eye-like feature. However, systematic decreasing of
the turbulent fluxes along with an interaction with a midlati-
tude system moving from south prevented Anita to perform
the TT. The resulting coupling with the extratropical system
not only contributed to the extratropical transition but also
imported increased shear into the region at the end of the
potential phase. In a hypothetical scenario with stronger
and persistent turbulent fluxes, providing moisture to feed
the convective activity, and no extratropical external forcing,
Anita would have all the ingredients to transition to a tropical
storm. This fact could have led to serious impacts to the
southern Brazilian coast, which is densely populated and
has many important harbors.
[43] Regarding the energy cycle, complex dynamical pro-
cesses took place during Anita development and mainte-
nance. It had a mixed energy source, meaning that there
was energy supply from both barotropic and moist baroclinic
processes. At the initial phase, it had a strong contribution
from the barotropic term, via upper level eddy momentum
transports. Dias Pinto and da Rocha [2011], analyzing three
cases of cyclogenesis with different levels of baroclinity (a
baroclinically weak cyclone, a classical extratropical one,
and a strong bomb), observed a similar behavior during the
baroclinically weak Reg1 cyclone development, in which
the strong blocking-like pattern within a predominately
barotropic environment was also present.
[44] Such a barotropic energy signature was pointed out by
Guishard et al. [2009] and Evans and Braun [2012] as a man-
ifestation of the Rossby wave breaking, leading to an incipient
subtropical cyclone vortex in upper levels. Although Anita
presented a similar blocking structure and the pronounced
barotropic component, it developed as a multiple-phase
“tropical aborted” system. In other words, the system started
as a subtropical cyclone, evolved to a condition favorable to
TT, later developed into a cold-core structure, and decayed
as an extratropical cyclone.
[45] Between the hybrid and potential stages, Anita had a
mixed source from both barotropic and moist baroclinic
energy conversions. The generation of eddy available poten-
tial energy was due to the warming of the midtroposphere
in response to convective heating processes as found by
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Brennan and Vincent [1980] for Hurricane Carmen (1974).
Although smaller than the barotropic term, the baroclinic one
could indicate thermally driven circulations in Anita’s vicinity
due to the increasing of convective activity. However,
during this same period, both forms of kinetic energy were
exported out from the Anita domain across the boundaries,
which resulted from the interaction with the preexisting
extratropical feature southward of the Anita region. This
kind of interaction was also observed by Palmén [1958],
Harr and Elsberry [2000], Harr et al. [2000], and Jones
et al. [2003] during episodes of ET. As Anita moved
southeastward, the baroclinity of the environment increased,
and the system underwent an ET.
[46] Our results show that subtropical systems over SAO
could evolve to tropical cyclones under a specific synoptic
environment. This transition would occur within a dipole-
blocking-like environment combined with energy contribution
from barotropic sources and strong latent and sensible fluxes
from the ocean. The coupling of weak vertical wind shear
and intense turbulent heat fluxes is an important ingredient
to strengthen subtropical cyclones, eventually allowing them
to organize in such a structure capable of self-amplification.
These synoptic characteristics may be one form of precursors
of hurricanes in the South Atlantic basin, being important fea-
tures to be analyzed in the daily practices at the meteorological
center in Brazil. Due to the lack of cases in the South Atlantic
basin for comparison studies, numerical sensitivity experi-
ments should be carried out in order to further understand
the relative role of the upper level forcing and surface fluxes
at the boundary layer during transition processes.
[47] Acknowledgments. The authors would like to thank GFS, TRMM,
and CCMP for providing the data set used in this study; CPTEC/INPE for the
satellite images; R. E. Hart for the CPS algorithms; and, finally, the anonymous
reviewers for all suggestions. This research was supported by FAPESP
(07/56758-8), CNPq (558121/2009-8 and 307202/2011-9), and CAPES.
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