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Dr. Michael Loranty Associate Professor of Geography August 6, 2018 Dr. Kirsten Thonicke Associate Editor, Biogeosciences

Re: bg-2018-201

Dear Dr. Thonicke,

My coauthors and I were pleased to learn that you are in agreement with our responses to comments provided by reviewers on our manuscript “Reviews and Syntheses: Changing ecosystem influences on soil thermal regimes in northern high-latitude permafrost regions”. As requested, please find below our point-by-point response to reviewer comments followed by a track-changes version of the manuscript. Thank you for further consideration of our manuscript.

Best Regards, Michael Loranty & Coauthors

Response to reviewer comments: We thank both reviewers for the insightful and constructive comments, and are happy that they appreciate the value of our review in helping to identify important knowledge gaps regarding relationships between ecosystems and permafrost thermal regimes. The manuscript is greatly improved as a consequence of substantive revisions made in response to these comments. Specifically we have: 1) provided a more thorough and systematic treatment of the ground thermal regime and incorporated this more fully into the overall framework of the review, 2) more fully synthesized the findings of existing studies and identified concrete research questions that need to be addressed, and 3) addressed all of the minor issues. Below we provide our responses to specific reviewer comments. Reviewer comments are shown in blue Times New Roman font, and our responses follow directly in black Cambria font. We indicate where we have revised the manuscript in response to each comment, and provide two versions of the revised manuscript, one with track-changes highlighted, and a second final version with all changes accepted. In our response to specific comments we indicate page and section numbers where revisions are found in the tracked-changes version of the revised manuscript so that the editor and reviewers can easily see them.

Anonymous Referee #1 The authors summarize a wide a range of findings on interactions between vegetation, hydrology and soil temperatures in permafrost. A review paper on these complex processes could fill an important gap in the literature. Unfortunately, I am not sure whether the manuscript in its present form achieves this aim. Rather than synthesizing a large spectrum of studies, the manuscript feels disjointed at times. For instance, the impact of hydrological changes is treated separately for winter and summer, thus neglecting important interactions and potential feedbacks. The manuscript also falls short of fulfilling the promise contained in the title, namely the elucidation of the soil thermal dynamics. While the ground heat flux at the soil surface is discussed, many other important aspects of the soil’s thermal regime, such as mean permafrost temperatures, temperature profiles, seasonal amplitudes, ground ice formation, etc., are given very short shrift. I hope that the following comments will be useful to the authors. We are glad the reviewer sees the utility of our paper in filling an important gap in the literature, and appreciate these helpful comments. The manuscript is improved as a result of a more comprehensive inclusion of the ground thermal regime and greater synthesis. Below we respond to specific comments and indicate where we have made changes.

1) Thermal dynamics As stated above, I found the discussion of the soil thermal dynamics incomplete. While the ground heat flux is clearly an important factor, it does not tell the whole story. Also, it is coupled to the subsurface temperature profile, so that is difficult to consider in isolation. These issues are confounded by the fact that the relevant time scales at which the ground heat flux varies are barely discussed. For instance, it is apparently implicitly assumed that the values are averaged over at least a diurnal cycle. Furthermore, the interactions between winter and summer processes are largely left out. In our focus on G as a unifying process and context for considering ecosystem effect s on permafrost it is clear that we failed to comprehensively consider the full thermal regime. Consequently we have modified the beginning of section 2 (p5-7). A new paragraph at the beginning of section 2 explicitly describes the important components of the annual soil thermal regime and how they are quantified. We have also added language to emphasize the importance of above- and below-ground controls on G (p6). Here we should note that in the original manuscript we chose not to emphasize many of these belowground aspects because factors such as the permafrost temperature and the vertical temperature profile are affected by non-ecosystem factors such as long-term climate, geologic and geomorphic history, permafrost genesis, etc., and so are beyond the scope of this review. We also explicitly note our focus on seasonal to annual variability in the soil thermal regime (p 7). Throughout the manuscript processes are now discussed in the context of how changes in G relate back to seasonal and annual aspects of the thermal regime. Interactions between summer and winter are addressed in response to the following context.

2) Summer and winter-time processes I felt there was a lack of balance and integration across the annual cycle, and the manuscript thus falls short of its objective to synthesize disparate information. In addition to the problems with the description of the ground heat flux, I had similar reservations about the discussion of the thermal conductivity. I missed a discussion of how the water/ice content modifies the soil thermal conductivity at below-zero temperatures (not explicitly mentioned), and what the impacts on the soil thermal dynamics are. Also, the impact of snow cover on summer-time conditions (soil moisture, deeper soil temperatures, etc.) is not really discussed. Thank you for pointing this out. Section 2 is extensively revised with expanded discussion of wintertime processes and how summer and winter processes are integrated. Sections 2.1 and 2.2 have been combined into a single section focused on canopy processes. It retains the same organization as the previous version, but includes a paragraph at the end discussing integrated effects of canopy processes across the annual cycle, and also identifies clear hypotheses and directions for future research. In sections 2.2 and 2.3 (formerly 2.3 and 2.4) we have also added discussion of seasonal interactions where appropriate. This includes discussion of how water/ice affect thermal conductivity at sub- zero temperatures. In addition we have substantially revised portion of section 2.4 (formerly 2.5) to focus more explicitly on process interactions that impact the soil thermal regime across annual timescales. With this more direct synthesis of results we are to offer more specific directions for future research.

3) Heterogeneity and variability I believe the co-variability of soil and vegetation properties could be highlighted more clearly, as it has a strong influence on future changes and also on the presently observed patterns of spatial variability. For instance, bryophytes in adjacent wet and dry microtopographical positions often differ greatly in their physical properties. Such interactions can modify observed patterns of e.g. the relation between soil moisture and thaw depths. These issues in interpreting observational (as opposed to experimental data) are not acknowledged very clearly. We have highlighted these points more clearly in our revisions to section 2, and highlighted issues associated with interpreting observational vs. experimental data in our revisions to section 2.5.

4) Synthesis I would welcome a greater attempt at synthesizing previous findings, for instance by coming up with testable hypotheses. At present, there are many statements that process X may be important/not important or positive/negative, depending on multiple other factors. By highlighting open questions, or hypothesizing about the most important interactions, the manuscript would be more exciting to read. For instance, the discussion of conductive vs advective heat fluxes would be more informative if the conditions under which large advective contributions are hypothesized to occur (or where they tend to be observed; e.g. in fens in discontinuous permafrost), were mentioned. Thank you for highlighting this. We have revised the manuscript to more clearly identify open research questions and develop hypotheses regarding the directionality and importance of process interactions. These are included at the end of each appropriate paragraphs and sections, and summarized in the conclusions section.

Minor issues 1) Energy balance 1 The coupled nature of the surface energy balance and the subsurface dynamics is not portrayed very well. For instance, the following sentence suggests that above- ground processes (rather than above and below-ground processes) determine the surface temperature: ’Once energy has been absorbed at the ground surface and TSG is elevated, soil KT will dictate how much of this energy is transferred downward into the soil’. As described above, we have included more thorough discussion of belowground processes as a component of the expanded focus on the soil thermal regime.

2) Energy balance 2 I feel that several important influences of vegetation canopies on the energy balance are neglected (e.g., roughness, longwave radiation from vegetation canopies). We have modified Figure 1 and expanded our discussion of canopy influences on energy partitioning (p9-10) to include these important processes.

3) line 581 ponding is an important aspect in this context Agreed, we have amended the sentence to reflect this.

Anonymous Referee #2 Permafrost grounds will undergo pronounced changes in a warmer climate. In the current manuscript the authors focus on how high latitude terrestrial ecosystems influence surface energy fluxes of permafrost soils, and therefore the current soil thermal state and fate of future permafrost degradation. They discuss many aspects of ecosystem/vegetation interactions with the soil thermal regime – interactions which are key to predict future changes in permafrost conditions, but which are not represented (or only represented in a very simplified manner) in current Earth System Models. The authors consider individual processes not in isolation but especially discuss a broad picture of interaction among key processes. Given that current understanding of vegetation- permafrost interactions is incomplete, and that the topic touches on an important aspect for model improvement, I consider the paper of broader interest to the readership of Biogeosciences. Thank you, what you describe is exactly the aim of our review and we are pleased this came across in the manuscript.

Major aspects 1. The multitude of aspects discussed in the manuscript makes it rather difficult for the reader to extract which key processes are likely to govern permafrost-vegetation interactions (under present day conditions and under future climate change). The authors put a lot of effort in discussing a broad spectrum of vegetation-permafrost ground interactions which all influence permafrost soil thermal regimes. Many examples of these interactions reveal the possibility of either a net positive or a net negative feedback, depending on factors such as local topography, climate, soil conditions, etc. A “synthesis” of current knowledge about ecosystem changes and related impacts on permafrost soil conditions would have added value if the discussed aspects of vegetation-permafrost interaction in this manuscript would be summarized such that the reader can judge the broad-scale importance/representativeness of individual processes. In this regard an additional table or figure would be very helpful, which summarizes the discussed aspects in the text and which could list/illustrate a) the key physical process chains discussed in this manuscript, indicating whether the interactions are likely to result in a net positive of negative feedback (on ground temperatures, or on carbon cycling), or stating that the sign is unclear given current knowledge b) the factors which drive the sign of the feedback (e.g. topography, climate) To the degree possible, it would also be interesting to illustrate in this table/figure whether feedbacks will rather amplify or dampen under expected Arctic climate change, and (in line with the discussion of fire impacts on page 21) whether changes are reversible or irreversible (on human timescales). We agree that the manuscript covers so many processes that it is hard to keep track of them all. In order to accomplish this we chose to enhance Figure 4 rather than adding an additional figure or table. Many of the feedback processes were already included in Figure 4, and their linkages to other process were not illustrated elsewhere. So this seemed like a logical place to do this. As we worked through the manuscript we did indeed attempt to create a diagram illustrating all of the process linkages, their impacts on permafrost thermal regimes, key drivers, and associated climate feedbacks. However it quickly became apparent there were simply too many connections to explicitly illustrate them all, for example using block and arrows as we did in Figure 2. Thus we adopted a modified table approach in our revision of Figure 4.

2. A key uncertainty of future high latitude ecosystem changes will come from changes in the hydrologic regime, determined by changes in precipitation, evaporation, and drainage. Projections of these changes are highly uncertain. This aspect should be discussed in the manuscript as future high latitude vegetation responses will follow rather different trajectories for wetter or drier conditions (compared to today). In this context: Fig. 4 assumes a reduction in future (?) moss cover, and an increase in vegetation canopy cover. What are the assumptions behind made here? Thank you for highlighting this point. We have included discussion of hydrologic uncertainty where appropriate throughout sections 3-5, and in Figure 2. As described above, Figure 4 has been revised to provide more details regarding key changes and feedbacks.

3. One objective of the paper is stated as: “ to identify key challenges and research questions that need to be addressed to better constrain how continued climate- mediated ecosystem changes will affect soil thermal dynamics in the permafrost zone.” I might have overseen a discussion of this aspect in the manuscript, but at least in the conclusion section a reference is only made by stating that integrated analyses of processes are needed. A discussion of more concrete aspects would be helpful. Reviewer 1 also raised this concern and we have revised the manuscript to provide more explicit and informative synthesis of the information presented. Within each section we have summarized key process interactions that are poorly understand and where possible hypothesize regarding the likely impact on permafrost thermal regimes. We have also worked to synthesize key processes across spatial and temporal scales more explicitly, and revised the conclusions to provide a clearer description of the key research challenges and questions.

Minor aspects L61: double occurrence of sentence The duplicated sentence has been removed.

L 79/80: can you give a reference here? Yes, we have amended the sentence and added a reference.

L 126: what is meant by “internal energy transfers”? We modified this sentence to indicate that internal energy transfers refer to energy fluxes within the soil associated with water phase changes and temperature gradients within the soil.

L 269: Kt depends also on the thermal state (ratio of liquid to frozen water) The sentence has been amended to reflect this.

L688: “available evidence. . .” can you give a reference here? This sentence was meant to synthesize information presented in the preceding sentences and has been revised accordingly.

L 1507: (H) instead of (S) This typo is corrected.

Figure 2: what is meant by “Climate” as change agent – increases in temperature?, what about climate change induced changes in precipitation? The figure has been amended to indicate climate warming as the driver. In addition we have added a indicating to acknowledge climate induced changes in precipitation, and the associated uncertainty as discussed in our response to your comment above.

Figure 3, L1534: can you give numbers here? Yes – we have included approximate active layer depths for each site; ~40cm for the high- density and ~90cm for the low-density.

Figure 4: OLT is not explained This has been addressed through the figure revisions described above. 1 Reviews and Syntheses: Changing ecosystem influences on soil thermal regimes in northern 2 high-latitude permafrost regions 3 4 Michael M. Loranty1, Benjamin W. Abbott2, Daan Blok3, Thomas A. Douglas4, Howard E. 5 Epstein5, Bruce C. Forbes6, Benjamin M. Jones7, Alexander L. Kholodov8, Heather Kropp1, Avni 6 Malhotra9, Steven D. Mamet10, Isla H. Myers-Smith11, Susan M. Natali12, Jonathan A 7 O’Donnell13, Gareth K. Phoenix14, Adrian V. Rocha15, Oliver Sonnentag16, Ken D. Tape17, 8 Donald A. Walker18 9 10 1Department of Geography, Colgate University, Hamilton, NY 13346 USA 11 2Department of Plant and Wildlife Sciences, Brigham Young University, Provo, UT 84602 USA 12 3Department of Physical Geography and Ecosystem Science, Lund University, S-223 62 Lund, 13 Sweden 14 4U.S. Army Cold Regions Research and Engineering Laboratory Fort Wainwright, Alaska 99703 15 USA 16 5Department of Environmental Sciences, University of Virginia, Charlottesville, VA 22904 USA 17 6Arctic Centre, University of Lapland, FI-96101, Rovaniemi, Finland 18 7 U.S. Geological Survey Alaska Science Center, Anchorage, AK 99508 USA 19 8Geophysical Institute, University of Alaska Fairbanks, Fairbanks, AK 99775 USA 20 9Environmental Sciences Division and Climate Change Science Institute, Oak Ridge National 21 Laboratory, Oak Ridge, TN 37831-6301, USA 22 10Department of Soil Science, University of Saskatchewan, Saskatoon, SK S7N 5A8 Canada 23 11School of GeoSciences, University of Edinburgh, Edinburgh, UK 24 12Woods Hole Research Center, Falmouth, MA 02540 USA 25 13Arctic Network, National Park Service, Anchorage, AK 99501 USA 26 14Department of Animal and Plant Sciences, University of Sheffield, Western Bank, Sheffield, 27 S10 2TN, United Kingdom 28 15Department of Biological Sciences and the Environmental Change Initiative, University of 29 Notre Dame, Notre Dame 46556 USA 30 16Département de géographie, Université de Montréal, Montréal, QC H2V 3W8, Canada 31 17Institute of Northern Engineering, Water & Environmental Research Center, University of 32 Alaska, Fairbanks, AK 99775 USA 33 18Institute of Arctic Biology, University of Alaska Fairbanks, AK 99775 USA 34 35 36 Correspondence to: Michael M. Loranty, email - [email protected], phone – 315-228-6057 37 38 39 40 41 42 43 44 45 46

1 47 Abstract

48 Permafrost sSoils in arctic and boreal ecosystems store twice as much the amount of

49 currentcarbon as the atmosphere, a portion of whichic carbon that may be mobilized and

50 released to the atmosphere as greenhouse gases whenas high-latitude soils soils thaw under a

51 warming climatewarm. This permafrost carbon climate feedback is among the most globally

52 important terrestrial biosphere feedbacks to climate warming, yet its magnitude remains highly

53 uncertain. Some of theThis uncertainty in the timing and magnitude of the permafrost climate

54 feedback lies stems from complex interactions between ecosystem properties and soil thermal

55 dynamicsin predicting the rates and spatial extent of permafrost thaw and subsequent carbon

56 cycle processes. Terrestrial ecosystems fundamentally regulate the response of permafrost to

57 climate change by influencinges on surface energy partitioning exert strong control on

58 permafrost soil thermal dynamicsand the thermal properties of soil itself and are critical for

59 understanding permafrost soil responses to climate change and disturbance. Here we review

60 how arctic and boreal ecosystem processes influence thermal dynamics in permafrost soils and

61 characterize how these linkages may evolvekey ecosystem changes that regulate permafrostin

62 responses to climate change. While many of the ecosystem characteristics and processes

63 affecting soil thermal dynamics have been examined in isolationindividually (e.g. vegetation, soil

64 moisture, and soil structure), interactions between among these processes are less well

65 understood. In particular connections between vegetation, soil moisture, and soil thermal

66 properties affecting permafrost conditions could benefit from additional research. In particular,

67 connections between vegetation, soil moisture, and soil thermal properties affecting permafrost

68 could benefit from additional research.

2 69 Changes in ecosystem distribution type and vegetation characteristics will alter spatial

70 patterns of interactions between climate and permafrost. In addition to shrub expansion, other

71 vegetation responses to changes in climate and rapidly changing disturbance regimes will all

72 affect ecosystem surface energy partitioning in ways that are important for permafrost. Lastly,

73 changes in vegetation and ecosystem distribution will lead to regional and global biophysical and

74 biogeochemical climate feedbacks that may compound or offset local impacts on permafrost

75 soils. Consequently, accurate prediction of the permafrost carbon climate feedback will require

76 detailed understanding of changes in terrestrial ecosystem distribution and function, which

77 depend on and the net effects of multiple feedback processes operating across scales in space and

78 time.

79 1 Introduction

80 Permafrost, or is perennially frozen ground, that underlies approximately 24% of

81 northern hemisphere land masses, primarily in arctic and boreal regions (Brown et al., 1998).

82 Soils in permafrost ecosystems have a seasonally thawed active layer that develops each

83 summer. Soil oOrganic carbon and nutrients stored in the active layer are seasonally subjected to

84 mineralization, uptake by plants and microbes, and lateral hydrological transport, as components

85 of contemporary biogeochemical cycles. Carbon and nutrients locked in perennially frozen

86 ground are considerably less active, sometimes often remaining isolated from global

87 biogeochemical cycles for millions of yearsmillennia (Froese et al., 2008). However, changes in

88 temperature, associated with recent climatic change are warming soils in many high-latitude

89 regions (Romanovsky et al., 2010), introducing permafrost carbon and nutrients to modern

90 biogeochemical cycles (Schuur et al., 2015). Microbial activity may release Ssome carbon and

91 nutrients may be released to the atmosphere by microbial activity in the form of carbon dioxide,

3 92 methane, and nitrous oxide, greenhouse gases that contribute to further warming (e.g. Koven et

93 al., 2011; Abbott & Jones, 2015; Voigt et al., 2017). While the magnitude of this permafrost-

94 climate feedback remains uncertain, it is considered one of the largest terrestrial feedbacks to

95 climate change, potentially enhancing human-induced emissions by 22-40% by the end of the

96 century (Schuur et al., 2013; 2015; Comyn-Platt et al., 2018)(Schuur et al., 2013; 2015).

97 A major source of uncertainty in estimating the timing and magnitude of the permafrost

98 climate feedback is the complexity of the soil thermal response of permafrost ecosystems to

99 atmospheric warming. Permafrost soil temperature and its response to climatic change are highly

100 variable across space and time (Jorgenson et al., 2010), owing to multiple biophysical

101 interactions that modulate soil thermal regimes across arctic and boreal regions (Romanovsky et

102 al., 2010). Moving northward,In general, permafrost temperature and active layer thickness

103 generally decrease,s andwhile permafrost thickness and spatial extent increase along a northward

104 climatic gradient. In more northern locations, the areal distribution of permafrost may be

105 continuous (> 90% areal extent), whereas at lower latitudes discontinuous, sporadic, and isolated

106 permafrost (> 50-90%, 10-50%, and < 10% areal extent, respectively) (Brown et al., 1998) have

107 large areas that are not perennially frozen. This general latitudinal gradient is interrupted by

108 considerable local variability in active layer and permafrost thickness and temperature due to

109 differences in local climate, vegetation, soil properties, hydrology, topography, and snow

110 characteristics. These factors can exert increase or decrease the responsiveness of permafrost soil

111 temperatures to climate positive and negative effects on permafrost thermal state, mediating a

112 high degree of spatial and temporal variability in the relationship between air and permafrost soil

113 temperatures (Shur & Jorgenson, 2007; Jorgenson et al., 2010). Understanding how ecosystem

114 characteristics influence local and regional permafrost temperature is critical to interpreting

4 115 variability in rates of recent permafrost temperature increases (Romanovsky et al., 2010), and to

116 predicting the magnitude and timing of the permafrost climate feedback. However, links between

117 permafrost and climate could fundamentally change as arctic and boreal vegetation (e.g. Pearson

118 et al., 2013) and disturbance regimes (e.g. Kasischke & Turetsky, 2006) shift in responserespond

119 to climate change.

120 HereIn this paper, we review how ecosystem structural and functional properties

121 influence permafrost soil thermal dynamics in arctic and boreal regions. We focus on how

122 ecosystem responses to a changing climate alter the thermal balance of permafrost soils (energy

123 moving into and out of permafrost soil) and how these thermal dynamics translate into seasonal

124 and interannual temperature shifts. Our objectives are to 1) identify and review the key

125 mechanisms by which terrestrial ecosystem structure and function influence permafrost soil

126 thermal dynamics; 2) characterize changes in these ecosystem properties associated with altered

127 climate and disturbance regimes; 3) identify and characterize potential feedbacks and

128 uncertainties arising from multiple opposing processes operating across spatial and temporal

129 scales; and 4) identify key challenges and research questions that need to be addressed to better

130 that could improve understanding of constrain how continued climate-mediated ecosystem

131 changes will affect soil thermal dynamics in the permafrost zone.

132

133 2 Ecosystem influences controls on permafrost soil thermal dynamics

134 Permafrost soil thermal regimes can be characterized by four seasonal phases that occur over an

135 annual time scaleannually. In spring, soils thaw onset occurs as day length increases energy

136 inputs and air temperatures, and snow melts. Thaw onset occurs fairly rapidly, typically over a

137 period of several days to weeks. During the summer, thaw period soils accumulate energy

5 138 resulting in warming and deepening of the active layer and warming of both frozen and unfrozen

139 material. In autumn, soil freeze-back occurs as day length and air temperatures decrease. The

140 length of the freeze-back period varies widely, from days to several months, and is heavily

141 dependent on soil moisture content. Finally, the winter freezing period is typically characterized

142 by energy losses to the atmosphere and declining soil temperatures until day length increases

143 available energy in the spring and the annual cycle begins again. The permafrost soil thermal

144 regime is complex because it varies with depth, and the four phases are connected. Key metrics

145 used to characterize the soil thermal regime include the length of the freeze-back and summer

146 thaw periods, mean annual temperature, the annual amplitude of mean temperature, and the ratio

147 of air to soil freezing/thawing degree days (i.e., n-factors), among others. (e.g. Romanovsky &

148 Osterkamp, 1995; Cable et al., 2016).

149 Soil thermal dynamics in the permafrost zone are governed by ground-atmosphere energy

150 exchange and internal energy transfers associated with phase changes of water and temperature

151 gradients within the soil. The simplified thermal balance at the ground surface is the difference

152 between net radiation (RN) absorbed by a vegetation-free, snow-free, and ice-free land surface,

153 and energy loss via turbulent sensible (H), latent (LE), and ground (G) heat fluxes. RN is the

154 difference between incoming and outgoing longwave (LW) and shortwave (SW) radiation where

155 net LW is a function of atmospheric and surface temperatures, and net SW is a function of

156 incoming solar radiation and surface albedo. In terrestrial ecosystems G is therefore modulated

157 by vegetation function and structure, snow cover, topography, and hydrology (Smith, 1975; Betts

158 & Ball, 1997; Eaton et al., 2001; Zhang, 2005; Stiegler et al., 2016a; Helbig et al., 2016b2016a).

159 Vegetation exerts strong controls on albedo, surface conductance, and surface temperature (Betts

160 & Ball, 1997; Betts et al., 1999; Helbig et al., 2016b2016a), and consequently partitioning of the

6 161 surface energy balance into its component fluxes (Eugster et al., 2000). These energy balance

162 controls vary diurnally, seasonally, and spatially across arctic and boreal ecosystems (e.g.

163 Beringer et al., 2005), and are sensitive to natural and anthropogenic disturbances (Helbig et al.,

164 2016a2016b).

165 Unlike lower-latitude ecosystems where G constitutes relatively a relatively small

166 fraction of the surface energy balance, G in permafrost regions is comparable in magnitude to

167 Though usually small compared to gross soil-atmospheric heat fluxes (H and LE) due to

168 relatively large temperature gradients between the ground surface and permafrost table (Eugster

169 et al., 2000; Langer et al., 2011a; 2011b)., G is critically important, because it is the transfer of

170 heat between the ground surface and the active layer and permafrost. G occurs primarily by

171 thermal conduction, and is a function of the temperature gradient between the ground surface and

172 the permafrost table (Kane et al., 2001; but see Fan et al., 2011), and the thermal conductivity

173 (KT) of the soil. Thus, variability in thermal dynamics of active layer and permafrost soils are

174 most generally controlled by factors influencing: 1) the temperature gradient between the ground

175 surface and permafrost at a given depth, and 2) the KT of active layer and permafrost soil

176 substrates (Figure 1). Ground surface temperature (TSG)The amount of energy available for G is

177 governed by energy dynamics of the atmosphere and overlying plant canopies, and ground cover

178 influences on albedo, H, and LE (Figure 1). Ground surface temperature TSG is different from the

179 land surface temperature (TSL), a measure typically used to assess ecosystem-climate interactions

180 (e.g. Urban et al., 2013), because TSL includes tall-statured overlying vegetation canopies,

181 whereas TSG includes only ground-cover vegetation (e.g., mosses and lichens), bare soil, or plant

182 litter that functionally represents the ground surface. Once energy has beenis absorbed at the

183 ground surface and TSG is elevated, soil KT and the surface-permafrost temperature gradient will

7 184 dictate how much of this energy is transferred downward into the soil. Here we focus on TSG and

185 KT because they are more dynamic than permafrost temperature and will mediate permafrost

186 responses to climate and associated carbon cycle consequences, particularly in the coming

187 decades to centuries. It is also important to note that G varies on diurnal, seasonal, and annual

188 timescales. We focus on factors that affect G on seasonal and annual timescales because they are

189 indicative of permafrost warming and thawing, and are thus most relevant for understanding

190 changes to the thermal regime that will impact greenhouse gas fluxes from the soil in the coming

191 decades and centuries. In the following subsections we review the ecological factors that affect

192 individual phases of the soil thermal regime and then consider interactions across the annual

193 cycle.

194 195 196 197 Figure 1. Key ecosystem controls on surface energy partitioning in relation to permafrost soil

198 thermal dynamics (energy fluxes are indicated by orange arrows). Net radiation (RN) is balanced

199 by sensible (SH), latent (LE), and ground (G) heat fluxes (energy fluxes are indicated by orange

200 arrows). Ground surface temperature (TSG) and soil thermal conductivity (KT) exert strong

201 controls on G and are strongly influenced by a variety of ecosystem controls (indicated in dark

8 202 gray boxes; red and blue text denote soil cooling and warming effects, respectively). Controls on

203 air (TA) and permafrost (TPf) temperatures are driven largely by climate, and we assume that

204 ecosystem impacts on these variables are negligible at short timescales (e.g., seasonal to

205 annualyear) and small spatial scales (e.g., m2 to km2) relative to factors highlighted in dark

206 boxes.

207

208 2.1 Vegetation canopies during the growing seasoncanopy effects on G

209 Vegetation canopies attenuate incoming solar radiation ( Juszak et al.,“Arctic shrub

210 effects on NDVI, summer albedo and soil shading,” 2014; Juszak et al., 2016), thereby reducing

211 radiation at the ground surface and subsequently TSG. Canopy removal and addition experiments

212 illustrate that shrub canopies insulate tundra soils in summer, maintaining soil temperatures

213 upwards of 2 °C cooler than adjacent tall shrub-free areas (Bewley et al., 2007; Blok et al., 2010;

214 Myers-Smith & Hik, 2013; Nauta et al., 2014). Canopy shading has also been linked to

215 decreaseds soil temperatures in both evergreen (Jean & Payette, 2014a; 2014b; Roy-Léveillée et

216 al., 2014; Fisher et al., 2016) and deciduous (Iwahana et al., 2005; Fedorov et al., 2016)

217 needleleaf boreal forests. Canopy removal experiments have resulted in substantial soil warming,

218 permafrost thaw and subsidence in ice-rich tundra (Blok et al., 2010; Myers-Smith & Hik, 2013;

219 Nauta et al., 2014) and deciduous needleleaf forests (Iwahana et al., 2005; Fedorov et al., 2016).

220 In the latter case, ecosystem recovery and winter processes lead to permafrost stabilization in the

221 decades after clearing (Fedorov et al., 2016). However manipulation experiments may increase

222 soil moisture and thus KT (described below) via reductions in transpiration that may not occur

223 when vegetation change occurs naturally. Increases vegetation stature will tend to decrease TSG

224 and resulting in local soil cooling during the summer months when plant canopies are present.

9 225 Whereas increases in tree and shrub cover reduce solar radiation at the ground surface,

226 the increased canopy stature and complexity generally reduces canopy albedo leading to an

227 overall increase of the canopy RN (Beringer et al., 2005; Chapin et al., 2005; Sturm et al., 2005;

228 Loranty et al., 2011). However, albedo may increase when shrubs replace bare ground or wet

229 tundra (Blok et al., 2011b; Gamon et al., 2012) or depending on changes in community

230 composition or structure (Williamson et al., 2016). During the growing season these albedo

231 differences are relatively small (Juszak et al., 2016). Increased surface roughness, with shrub or

232 tree expansion also enhances heat transfer to the atmosphere, however, and associated changes in

233 RN and H have not yet been linked to soil thermal dynamics at the ecosystem scale (Beringer et

234 al., 2005; Helbig et al., 2016b; Göckede et al., 2017). Vegetation canopies may enhance LW

235 radiation inputs at the ground surface by re-radiating absorbed SW radiation, however most

236 research has focused on LW enhancement effects on snowmelt (Webster et al., 2016), and so the

237 growing season effects of LW enhancement on G in permafrost ecosystems remain largely

238 unstudied. Moreover, observations Observations of lower TSL for boreal forest canopies relative

239 to adjacent non-forested lands due to higher LE flux (Li et al., 2015; Helbig et al., 2016b)

240 highlight the importance of canopy controls on transpiration when considering how vegetation

241 change affects land surface energy partitioning and atmospheric temperatures. Within vegetation

242 types growing season with higher LE reduce the amount of energy available for H and G (Boike

243 et al., 2008), however this is also related to variability in moisture inputs and can alter soil

244 moisture dynamics, both of which also affect G, as discussed in following sections. In summary,

245 during the growing season there is no clear evidence for altered ecosystem scale G associated

246 with local evaporative cooling (Li et al., 2015) or increased sensible heating as a function of

10 247 canopy albedo (Beringer et al., 2005), likely because these effects are overwhelmed by canopy

248 light attenuation.

249

250 2.2 Vegetation canopies during the non-growing season

251 Snow covers much of the arctic and boreal regions for long periods each year and is a

252 critical driver of ground temperature (Goodrich, 1982; Stieglitz, 2003). Deep and/or low-

253 density snow has low KT and therefore reduces heat flux from the ground to the atmosphere

254 during the non-growing season when air temperatures are typically colder than soil temperatures.

255 Snow depth is initially controlled by the timing and intensity of snowfall, but wind can

256 redistribute snow according to local topography, vegetation structure, landscape position and

257 wind direction, leading to high heterogeneity in snow cover and depth (Walker et al., 2001;

258 Kershaw & McCulloch, 2007). Snow physical and insulative properties can also vary on the

259 scale of broad ecoregions as a result of differences in air temperature, wind, precipitation, and

260 vegetation cover (Sturm et al., 1995). For example, high thermal conductivity and density of

261 snow in tundra relative to boreal ecosystems has been linked to differences in soil temperatures

262 (Gouttevin et al., 2012; Mamet & Kershaw, 2013). Snow cover in the shoulder seasons (freeze-

263 up back and thaw periods) can cool soils as a result of albedo effects, but generally ground

264 insulation from snow cover during the extended winter period dominates the snow effects on G.

265 For example, across the Alaskan arctic, ground surface temperatures are estimated to be 4 °C to 9

266 °C warmer as a result of higher snow cover (Zhang, 2005).

267 In tundra, shrub canopies trap blowing snow, leading to localized deepening of snow

268 cover and higher winter soil temperatures (Sturm et al., 2001; Liston et al., 2002; Sturm et al.,

269 2005; Marsh et al., 2010; Myers-Smith & Hik, 2013; Domine et al., 2015). However, shrub

11 270 canopies can bend in winter under the snowpack leading to potentially different amounts of snow

271 trapping in years with heavy wet snow versus dry snow in early winter (Marsh et al., 2010;

272 Ménard et al., 2014). But eEven buried vegetation can lead to turbulent airflow that transports

273 snow into complex patterns (Filhol & Sturm, 2015), which resulting createsin spatially variable

274 ground temperatures within a given year. In some cases vegetation-snow interactions can also

275 have a negative effect on winter ground temperature, leading to soil cooling. In northeast Siberia,

276 large graminoid tussocks exposed above the snowpack in early winter create gaps in the

277 insulating snow layer, which leads to lower ground temperatures, earlier active layer freezing

278 and cooling of surface permafrost (Kholodov et al., 2012).

279 In the boreal forest, the presence of trees strongly reduces the wind regime and snow

280 redistribution typical of tundra (Baldocchi et al., 2000). While there is less wind-distribution in

281 boreal forests than in the more open tundra, tree composition and density impact affect snow

282 distribution and depth through interception of snow by the canopy branches and subsequent

283 evaporation and sublimation. This results in lower snow inputs in dense forests and areas of

284 shallow snow underneath individual trees (Rasmus et al., 2011). This winter effect of tree

285 density on snow cover may, in part, explain the negative relationship found between larch stand

286 density and ground thaw (Webb et al., 2017) and is consistent with the effects of winter warming

287 experiments on summertime active layer dynamics (e.g. Natali et al., 2011). However at treeline

288 or areas with patchy tree cover, forests can trap blowing snow, leading to decreased heat

289 losselevated soil temperatures from soil in winter (Roy-Léveillée et al., 2014)

290 Tall-statured vegetation canopies that protrude above the snowpack decrease land surface

291 albedo. While the accompanying increases in RN will lead to sensible heating of the atmosphere

292 at regional to local scales (Chapin et al., 2005), they do not have a direct influence first order

12 293 effect on TSG or KT. In the spring thaw period when snow covers the landscape and solar

294 radiation is high, this increase in RN is largest (Liston et al., 2002; Pomeroy et al., 2006; Marsh et

295 al., 2010) and may accelerate snow melt (Sturm et al., 2005; Loranty et al., 2011). This could

296 lead to a longer snow-free season and greater G during the growing seasonssummer thaw period,

297 however, this snow-reducing effect can be offset by the snow-trapping effects of vegetation

298 (Sturm et al., 2005). Changes in the length of the snow-free season because of altered canopy

299 albedo could lead to changes in G; however, such an effect has not been observed. While canopy

300 albedo does not directly influence G at the ecosystem scale, regional climate feedbacks

301 associated with albedo changes (described below) may influence permafrost thermal dynamics

302 (Lawrence & Swenson, 2011; Bonfils et al., 2012).

303 Across the annual cycle, the net effect of vegetation canopies on soil thermal regimes

304 remains unclear. Relatively few studies have simultaneously examined the role of summer

305 energy partitioning and winter snow trapping on G or soil temperatures. It is also important to

306 consider the relative contributions of seasonal variation in ecosystem influences on permafrost

307 thermal dynamics, and the potential for temporal autocorrelation at annual timescales. Myers-

308 Smith and Hik (2013) found that winter warming associated with snow-trapping by shrub

309 canopies elevated soil temperatures by 4-5 °C whereas canopy shading led to 2 °C cooling in

310 summer. Similarly, relative to non-forested palsas, forested palsas in eastern Canada exhibited

311 winter soil warming associated with snow trapping but slower rates of permafrost thaw due to

312 summer cooling associated with thicker organic layers and canopy shading (Jean & Payette,

313 2014a; 2014b). Additionally, these studies observed delayed freeze-up and later spring thaw

314 associated with late fall precipitation that resulted in complex relationships between annual air

315 and soil temperatures and active layer depths (Jean & Payette, 2014b). Canopy snow trapping

13 316 influences on winter soil temperature or G is likely affected by shrub or forest patch size,

317 however this has not been explicitly examined. Conversely, the influence of canopy shading and

318 LW enhancement on summer soil temperature should increase with vegetation stature and

319 density, but vary little with patch size. At the ecosystem scale canopy influences on albedo have

320 not been shown to impact the ground thermal regime. Thus it is likely that the magnitude of

321 vegetation canopy influences on the annual permafrost soil thermal regime will be controlled

322 jointly by vegetation stature, density, and patch size influences on snow-redistribution. The

323 studies mentioned above also highlight the importance covariation in overstory and understory

324 vegetation and canopy influences on soil moisture, which will be addressed in the following

325 sections. The magnitude of these effects likely varies spatially with patch size and climatic

326 controls, making it difficult to distinguish the relative importance of summer versus winter

327 processes, as well as potential links across successive growing seasons.

328

329 2.3 2 Groundcover impacts on ground surface temperature

330 Ground cover in permafrost ecosystems may include bare soil, plant litter, lichens, and/or

331 mosses. Unlike vascular plant canopies, moss and lichen are in close thermal contact with the

332 underlying soil layers so heat can be transferred from the vegetation into the soil (and vice versa)

333 via conduction (Yi et al., 2009; e.g. O'Donnell et al., 2009a). During the growing season,

334 dDifferences in albedo and LE are the primary causes of variability in TSG among ground cover

335 types. During winter ground cover is masked by snow, and KT is the dominant factor affecting G

336 (described below). Under moist snow-free conditions, non-vascular evaporation rates are

337 generally high, leading to surface cooling (Heijmans et al., 2004a; 2004b). Under dry conditions

338 taxonomic level differences in physiological responses to drought (Heijmans et al., 2004b), can

14 339 lead to large differences in TSG (Stoy et al., 2012). Increased LE from bare soil after

340 experimental- (Blok et al., 2011a) and disturbance-induced (Rocha & Shaver, 2011) moss

341 removal illustrates the importance of non-vascular plant physiology, and highlights the relatively

342 high potential for evaporative cooling from bare soil surfaces. Low hydraulic conductivity in

343 mosses relative to organic and mineral soils may result in suppression of LE once moisture held

344 in surface vegetation is depleted, whereas higher hydraulic conductivity in underlying soil layers

345 may allow for evaporation of deeper soil moisture and increased LE observed with moss removal

346 (Rocha & Shaver, 2011; Blok et al., 2011a). Albedo differences between common moss and

347 lichen species may also contribute to large differences in TSG; in ways that either amplify or

348 ameliorate decrease the effects of physiological differences in evaporative cooling (Stoy et al.,

349 2012; Higgins & Garon-Labrecque, 2018; Loranty et al., 2018)(Stoy et al., 2012; Loranty et al.,

350 2018). Variability in ground cover can correspond to large differences in TSG that depend on the

351 joint effects of albedo and LE, and are strongly dependent on available moisture. However the

352 extent to which an increase in TSG leads to an increase in G depends upon KT of the groundcover

353 and soil as well their soil moisture/ice content layers.

354

355 2.4 3 Impacts of ground cover and soil properties on thermal conductivity

356 Soil KT , which often includes the moss layer where present, affects the rate of heat

357 transfer through the soil profile across a temperature gradient between the ground surface and the

358 soil at a given depth. KT varies throughout the soil profile with soil moisture and composition.

359 Under dry conditions, mosses have among thevery lowest KT , followed by organic and then

360 mineral soils (Hinzman et al., 1991; O'Donnell et al., 2009a). Moss and organic soil layers have

361 very low KT owing to high porosity, and KT typically increases with soil bulk density (Hinzman

15 362 et al., 1991; O'Donnell et al., 2009a). Mineral soils typically have higher KT than organic soils

363 (Kane et al., 1989; Hinzman et al., 1991; Romanovsky & Osterkamp, 2000), and fine textured

364 clay mineral soils have lower KT than silt or sand (Johansen, 1977). In general, ecosystems with

365 thick moss and organic soil (e.g., peat) layers with low bulk density tend to have low G and

366 shallow active layers, all else held equal (Woo et al., 2007; Fisher et al., 2016).

367 Soil and moss mMoisture content influences their thermal dynamics of soil and moss in a

368 variety of important ways. Linear increases in KT with moisture content (O'Donnell et al., 2009a;

369 Soudzilovskaia et al., 2013) have strong impacts on G, soil temperatures, and active layer

370 dynamics. Under saturated conditions, KT values of mineral soils remain higher than in organic

371 soils and mosses (Hinzman et al., 1991; Romanovsky & Osterkamp, 2000; O'Donnell et al.,

372 2009a), so the general pattern of increasing KT with depth/bulk density is maintained. Local- and

373 ecosystem-scale observations of warmer soil temperatures and deeper thaw depths in areas of

374 perennially elevated soil moisture (Hinkel et al., 2001; Hinkel & Nelson, 2003; e.g. Shiklomanov

375 et al., 2010; Curasi et al., 2016) indicate increases in KT outweigh the concurrent increase in

376 specific heat capacity associated with increasing moisture content. Similarly, interannual

377 variability in soil moisture and active layer thickness are positively related across a range of

378 spatial scales (Iijima et al., 2010; Park et al., 2013). Across soil types, KT increases in winter

379 when soils freeze (Romanovsky & Osterkamp, 1997), and also with soil ice content meaning that

380 increased soil moisture will increase summer and winter KT (Langer et al., 2011b).

381 Liquid water and water vapor can also warm soils through non-conductive heat transfer

382 (Hinkel & Outcalt, 1994; i.e. water movement; Kane et al., 2001). Here, the timing and source of

383 water is important. For example, infiltration of snowmelt in spring does not deliver substantial

384 heat to the soil because the water temperature is very close to freezing (Hinkel et al., 2001) and

16 385 the near-surface soil horizons are mostly frozen. Alternatively, condensation of water vapor in

386 frozen soils can lead to fairly rapid temperature increases during spring melt (Hinkel & Outcalt,

387 1994). Heat delivery from groundwater flow has been implicated as a cause for permafrost

388 degradation in areas of discontinuous permafrost in interior Alaska (Jorgenson et al., 2010). The

389 hydraulic properties of soil horizons are especially important in this regard. Unsaturated peat and

390 organic-soil horizons with large interconnected pore spaces generally promote non-conductive

391 transport of heat in soils unless the substrate is dry enough that it absorbs water.

392 The relative importance of non- conductive heat transfer on permafrost thermal

393 dynamics is difficult to determine. Observations of elevated soil temperature, active layer

394 thickness, and thermal erosion in areas with poorly drained or inundated soils (Woo, 1990; e.g.

395 Jorgenson et al., 2010; Curasi et al., 2016) suggest the effects of soil moisture on KT may have

396 stronger influences than convective processes on soil thermal dynamics. However, several recent

397 studies indicate that heat advected in groundwater may promote permafrost thaw (de Grandpré et

398 al., 2012; Sjöberg et al., 2016). This process is likely most important in fens, water tracks, and

399 areas of discontinuous permafrost, and less important in areas of continuous permafrost with thin

400 organic layers because mineral soils generally have low hydraulic conductivity. Soil moisture

401 distribution within the soil profile is important as well; dry surface organic layers with low KT

402 may buffer against warmer air temperatures even though deeper soils may have high KT

403 associated with moisture and soil composition (Rocha & Shaver, 2011; Göckede et al., 2017).

404 Observations of co-varying heterogeneity in soil structure, temperature, and moisture also

405 illustrate the importance of spatio-temporal variability in soil moisture and KT for understanding

406 permafrost soil thermal dynamics (Boike et al., 1998).

17 407 In wet soils the large latent heat content of soil moisture can delay freezing of the active

408 layer (i.e., extend the freeze-up back duration; Romanovsky & Osterkamp 2000). The period

409 during which soil active layer temperatures remain constant near 0 °C as latent heat is released

410 form soil moisture is commonly referred to as the ‘zero-curtain’ (Outcalt et al., 1990). Longer

411 zero-curtain periods promote warmer winter active layer and permafrost temperatures (Outcalt et

412 al., 1990; Morse et al., 2015). Soil thaw during spring tends to occur more rapidly than freeze-up

413 back during autumn, despite the high latent heat required to thaw ground ice, likely due to

414 increases in KT associated with snowmelt infiltration and/or latent heat released by condensation

415 of water vapor (Hinkel & Outcalt, 1994). Excess ground ice deeper in the active layer or

416 permafrost requires larger amounts of latent heat energy to melt, and so typically buffer

417 permafrost soils against thaw (Halsey et al., 1995). However, when this type of ground ice does

418 melt, it can lead to an array of physical and ecological changes via thermokarst development

419 (Mamet et al., 2017), which further alter the soil thermal regime and can promote further

420 warming (Osterkamp et al., 2009; Kokelj & Jorgenson, 2013).

421 Across the seasonal cycle soil and ground cover thermal properties interact to affect the

422 thermal regime in complex ways that vary across ecosystem types. For example, a comparison

423 of wet and dry microsites within tundra ecosystems found warmer surface soils in dry microsites

424 due to lower heat capacity, however deeper soil layers in the dry microsite remained cooler

425 because of lower thermal conductivity of dry surface soils (Göckede et al., 2017). In wet

426 microsites greater soil moisture lengthened the fall freeze-back period meaning that soils were

427 warmer than dry microsites, however once soils froze, temperatures in the wet microsites

428 dropped rapidly and became cooler than dry microsites because of higher KT (Göckede et al.,

18 429 2017). This example illustrates how covariation in vegetation and soil properties within a single

430 ecosystems affect the soil thermal regimes in complex ways across the annual cycle.

431

432 2.5 4 Interacting ecosystem influences on ground heat fluxthe soil thermal regime

433 The mechanisms described in the previous sections are relatively well understood

434 individually and at seasonal timescales., Bbut when considered in concert, the relative

435 importancenet effect of specific processes on annual ground temperatures and thermal regimes is

436 often unclear. This is particularly true when ecological processes co-vary, or have opposing

437 effects on permafrost soil thermal dynamics. For example, is the effect of canopy shading

438 mitigated by LW enhancement, or amplified by reductions in soil KT resulting from plant

439 utilization of soil moisture? For example, cUsing successional gradients to answer such

440 questions like this is complicated by concurrent accumulation of organic soil, and canopy leaf

441 area, and soil moisture make it difficult to quantify the relative importance of each when

442 considering differences in active layer properties across successional gradients (Jorgenson et al.,

443 2010)[1]., Likewise,whilewhereas manipulativeon experiments nearly always involve side effects

444 and artefacts, for example, are often incapable of altering a single variable without affecting

445 another. Ccanopy manipulations most likely affect soil moisture, in unrealistic ways meaning

446 thatchanging soil thermal properties are manipulated along withand surface energy inputs

447 simultaneously (Fedorov et al., 2016). . None-the-lessOn the other hand, carefully designed

448 manipulations orand gradient studies do still provide the best optionavenue for studying single

449 and interactive processes, and for parametrizing models. Consequently, the magnitude of

450 permafrost soil temperature responses to ecological change is uncertain.

19 451 Though While there are a number of studies that have examined the role of variation in

452 vegetation canopy cover, soil moisture, and ground/soil thermal properties on the permafrost

453 thermal regime, few have fully isolated the relative contribution of each process to variation in

454 active layer thickness or soil temperatures (Jiang et al., 2015). For example, in addition to

455 increasing radiation at the ground surface, canopy removal experiments (Blok et al., 2010; e.g.

456 Fedorov et al., 2016) may also elevate soil moisture via reductions in plant water use. In a A

457 recent study by Fisher et al. (2016) examining examined the impact of multiple processes factors

458 on active layer thickness in Canadian boreal forest and found overstory leaf area to be most

459 important, followed by moss thickness and understory leaf area. Further, this study revealed that

460 moisture in deeper soil layers modified the impacts of vegetation whereas surface soil moisture

461 did not (Fisher et al., 2016). However this study did not explicitly consider how active vegetation

462 canopy effects on snow-cover, or soil moisture influences on freeze-back and winter soil

463 temperature might contribute to variability in active layer depth. Ecosystem influences on

464 moisture distribution throughout the soil profile, particularly in relation to evapotranspiration, are

465 not well characterized and will likely become increasingly important with continued climate

466 warming (Swann et al., 2010).

467 Further complexity is added when processes are considered across the annual cycle. The

468 extent to which vegetation canopy effects on snow-distribution impact growing season soil

469 moisture, either via direct moisture inputs or affects on growing season length, has not been

470 thoroughly investigated. A study examining interannual variability in snow cover found that in

471 that growing season energy partitioning was similar in a wet-fen after winters with above- and

472 below-average snowfall (Stiegler et al., 2016b). However, in a nearby dry heath below average

473 snowfall resulted in earlier snowmelt and reduced soil moisture during the lengthened growing

20 474 season, which in turn suppressed LE and G (Stiegler et al., 2016b). Future research should focus

475 on disentangling complex series of interactions between vegetation, soil properties, snow

476 redistribution, and soil moisture across annual cycles of the soil thermal regime. Covariation in

477 vegetation and soil characteristics and their influences on soil thermal regimes within ecosystems

478 (Boike et al., 2008) and regions (Cable et al., 2016) may help to interpret empirical relationships

479 between ecological and thermal variables at a range of scales.

480 It is also important to consider the relative contributions of seasonal variation in

481 ecosystem influences on permafrost thermal dynamics, and the potential for temporal

482 autocorrelation at annual timescales. Myers-Smith and Hik (2013) found that winter warming

483 associated with snow-trapping by shrub canopies elevated soil temperatures by 4-5 °C whereas

484 canopy shading led to 2 °C cooling in summer. Similarly, relative to non-forested palsas,

485 forested palsas in eastern Canada exhibited winter soil warming associated with snow trapping

486 but slower rates of permafrost thaw due to summer cooling associated with thicker organic layers

487 and canopy shading (Jean & Payette, 2014a; 2014b). Additionally, these studies observed

488 delayed freeze-up and later spring thaw associated with late fall precipitation that resulted in

489 complex relationships between annual air and soil temperatures and active layer depths (Jean &

490 Payette, 2014b). The magnitude of these effects likely varies spatially with patch size and

491 climatic controls, making it difficult to distinguish the relative importance of summer versus

492 winter processes, as well as potential links across successive growing seasons.

493 Disentangling the relative impacts of multiple ecosystem characteristics on G will

494 become increasingly important as ecological responses to continued climate warming may lead

495 to shifts in ecosystem distribution (Pearson et al., 2013; Abbott et al., 2016), potentially resulting

496 in novel ecosystems with no current eco-climatic analogs (Macias-Fauria et al., 2012). Because

21 497 ecosystems influence permafrost soil thermal dynamics in a variety of ways, such shifts in

498 ecosystem distribution are likely towill fundamentally alter rates of permafrost thaw with

499 projected future warming. This will occur directly via altered ecosystem surface energy

500 dynamics that affect G and indirectly through changes to the surface energy balance that feed

501 back to climate (e.g., Figure 1). The following sections describe ongoing and anticipated

502 ecosystem responses to climate and associated changes to soil thermal regimes G via impacts on

503 GTSG or KS, and then the associated regional to global scale atmospheric feedbacks.

504

505 3 Implications of Eenvironmentalcosystem change with implications for permafrost

506 thermal dynamics

507 Vegetation productivity and community composition are changing in response to longer

508 and warmer growing seasons associated with amplified climate warming across the Arctic.

509 Relationships between air temperature and soil thermal dynamics regimes vary with ecosystem

510 properties and will therefore evolve as ecosystems respond to climate change. Ecosystem

511 structural and functional characteristics that influence soil thermal dynamics may be altered

512 directly by ecosystem responses to climate change, or indirectly by climatic alteration of

513 disturbance processes that in turn modify ecosystems (e.g. O'Donnell et al., 2011a). In this

514 section, we outline key ecosystem changes arising from direct and indirect climate responses

515 (summarized in Figure 2), and describe how these changes are likely to affect permafrost soil

516 thermal dynamics regimes via impacts on processes described above.

22 517 518

519 Figure 2. Summary of key drivers of ecosystem change, and the associated ecosystem responses

520 observed (solid lines) or hypothesized (dashed lines) in permafrost ecosystems. Arrows (èè)

521 indicate transition from the current (left) to a new (right) ecosystem type, and the symbol delta

522 (Δ) indicates a change in the associated ecosystem property. Ecosystem types are defined as

523 follows: DBF = Deciduous Broadleaf Forest; DNF = Deciduous Needleleaf Forest; ENF =

524 Evergreen Needleleaf Forest; GRM = Graminoid Dominated Ecosystem; SHR = Shrub

525 Dominated Ecosystem; WET = Wetland Ecosystem; All = Any Initial Ecosystem type.

526 Ecosystem properties are: LAI = Leaf Area Index, and SOC = Soil Organic Carbon.

527

528 3.1 Vegetation change in response to climate

529 In tundra ecosystems, increases in vegetation productivity inferred from satellite

530 observations (Jia et al., 2003; Beck & Goetz, 2011) have been linked to shrub expansion and

23 531 accelerated annual growth at locations throughout the Arctic (Tape et al., 2006; Forbes et al.,

532 2010; Macias-Fauria et al., 2012; Frost & Epstein, 2014). However, warming experiments

533 indicate that productivity increases may occur without shifts in the dominant vegetation type

534 (Walker et al., 2006; Elmendorf et al., 2012b), and dendroecological observations illustrate that

535 shrub responses to temperature are moderated by moisture and nutrient availability and are

536 highly heterogeneous in space and time (Zamin & Grogan, 2012; Myers-Smith et al., 2015;

537 Ackerman et al., 2017). Despite the high degree of heterogeneity in tundra vegetation responses

538 to warming (Elmendorf et al., 2012a), there are several consistent changes that include increased

539 vegetation height, increased litter production, decreased moss cover (Elmendorf et al., 2012b),

540 and increased graminoid cover in lowland permafrost features (Malmer et al., 2005; Johansson et

541 al., 2006; Malhotra & Roulet, 2015). However, reductions in greenness in some regions (referred

542 to as ‘browning’) driven by, for example, reduced summer warmth index (Bhatt et al., 2013) or

543 acute ‘browning events’ from disturbances such as winter frost droughts (Bjerke et al., 2014;

544 Phoenix & Bjerke, 2016) add complexity to predicting vegetation change and hence subsequent

545 impacts on permafrost.

546 Enhanced tundra vegetation productivity may reduce summer soil temperatures via

547 ground shading and increase winter soil temperatures via effects on snow depth and density. The

548 effect of declining moss cover will depend on the balance between reduced insulation (i.e. KT)

549 and latent cooling associated with increased soil evaporation. Vegetation change may also alter

550 organic soil accumulation rates via altered litter quality and quantity (Cornelissen et al., 2007).

551 This overall effect on soil KT will depend on the net effects of changing litter inputs, lability, and

552 decomposition rates with warming (Hobbie, 1996; Hobbie & Gough, 2004; Cornelissen et al.,

553 2007; Christiansen et al., 2018; Lynch et al., 2018).

24 554 Belowground vegetation dynamics are more difficult to study, but recent

555 observations indicate that the below ground growing season length (period of unfrozen

556 temperatures allowing for plant growth) can be greater than that aboveground (Blume-Werry et

557 al., 2015; Radville et al., 2016). These differences likely vary with depth due to effects related to

558 the progression of soil freezing and thawing (Rydén & Kostov, 1980). Thus, rooting depth and

559 lateral root distributions will influence the below-ground phenology differentially for deep-

560 rooted (e.g., sedge) versus shallow-rooted (e.g., shrub) species (Bardgett et al., 2014; Iversen et

561 al., 2015), which may alter soil moisture via plant water uptake under future warming related

562 vegetation change increased active layer depth. The changing above- and below-ground growth

563 phenology of tundra plants (Blume-Werry et al., 2015; Iversen et al., 2015; Radville et al., 2016)

564 could also favor the proliferation of certain functional groups or species creating potential

565 feedbacks to vegetation change. In addition to belowground phenology, total root production

566 could also increase in response to warming (e.g. Xue et al., 2015). However, increased nutrient

567 availability from warming could decrease root production relative to aboveground production

568 (Keuper et al., 2012; Poorter et al., 2012). The net effect of climate change induced belowground

569 changes on soil thermodynamics is unclear.Improved understanding of interactions between root

570 dynamics and soil moisture may help to understand thermal changes in permafrost soils during

571 the summer thaw and fall freeze-back periods.

572 Determining the net effect of tundra vegetation productivity changes on soil thermal

573 regimes requires improved understanding of the magnitude and spatial extent of changes in

574 vegetation stature and rooting dynamics. Enhanced tundra vegetation productivity may reduce

575 summer soil temperatures via ground shading and increase winter soil temperatures via effects

576 on snow depth and density. The effect of declining moss cover will depend on the balance

25 577 between reduced insulation (i.e., KT) and latent cooling associated with increased soil

578 evaporation. Vegetation change may also alter organic soil accumulation rates via altered litter

579 quality and quantity (Cornelissen et al., 2007). This overall effect on soil KT will depend on the

580 net effects of changing litter inputs, lability, and decomposition rates with warming (Hobbie,

581 1996; Hobbie & Gough, 2004; Cornelissen et al., 2007; Christiansen et al., 2018; Lynch et al.,

582 2018). Overall the effects of vegetation change on snow redistribution and soil moisture will

583 likely have the strongest influence on soil thermal regimes.

584

585

586 Boreal forest responses to climate in recent decades were generally more heterogeneous

587 than those observed in tundra ecosystems due to a variety of interacting factors including species

588 differences in physiology, disturbance regimes, and successional dynamics. Initial satellite

589 observations of boreal forest productivity increases (Myneni et al., 1997) have slowed or even

590 reversed in recent decades (Beck & Goetz, 2011; Guay et al., 2014). Tree ring analyses confirm

591 productivity declines associated with temperature induced drought stress in interior Alaska

592 boreal forests (Barber et al., 2000; Walker & Johnstone, 2014; Juday et al., 2015; Walker et al.,

593 2015), and have been used to corroborate satellite observations (Beck et al., 2011). Similarly,

594 drought-induced mortality has been observed at the southern margins of Canadian boreal forests

595 (Peng et al., 2011) where correspondence between satellite and tree ring records have also been

596 observed (Berner et al., 2011). In Siberia, positive forest responses to air temperatures observed

597 in tree rings and satellite observations near latitudinal tree lines give way to declines in tree

598 growth further south (Lloyd et al., 2010; Berner et al., 2013). These results are in line with

599 ecosystem-scale observations of suppressed transpiration under high vapor pressure deficits and

26 600 low soil moisture conditions (Lopez C et al., 2007; Kropp et al., 2017). More generally, forests

601 growing on continuous permafrost exhibit more widespread productivity increases (Loranty et

602 al., 2016), suggesting that permafrost may buffer against drought stress. However, waterlogged

603 soil resulting from permafrost thaw can also lead to unstable soils and forest mortality (Baltzer et

604 al., 2014; Iijima et al., 2014; Helbig et al., 2016a).

605 The extent to which ongoing boreal forest productivity changes influence permafrost soil

606 thermal dynamics is not entirely clear. If forest canopy cover changes with productivity (e.g.,

607 canopy infilling or increased leaf area), then changes in ground shading and LW dynamics could

608 alter ground thermal regimes. Increases in forest cover have been observed in northern Siberia

609 (Frost & Epstein, 2014); however, it is unclear whether the cause is climate warming or

610 ecosystem recovery after fire. Conversely, productivity declines are more pronounced in high-

611 density forests (Bunn & Goetz, 2006) and, consequently, browning trends associated with

612 mortality in southern boreal forests (Peng et al., 2011) may increase radiation at the ground

613 surface. Additionally, if browning is indicative of drought stress, vegetation may enhance the

614 insulation of organic soils by further depleting of soil moisture via plant water uptake (Fisher et

615 al., 2016). Forest mortality and declines in canopy cover in southern boreal forests as a

616 consequence of permafrost thaw (Helbig et al., 2016a) may feedback positively to permafrost

617 thaw. A clearer understanding of boreal forest structural and ecohydrological changes associated

618 with widespread productivity changes is necessary.Functional changes (e.g., stomatal

619 suppression of transpiration in response to drought) occur more quickly than structural changes,

620 so boreal forest effects on soil moisture will likely be an important driver of changes in soil

621 thermal regimes. In addition there has been relatively little work on how the effects of forest

27 622 distribution on snow cover alters G in winter, and this will also become increasingly important as

623 forests change.

624 3.2 Wildfire disturbance

625 Wildfire is the dominant disturbance in the boreal forest and is increasingly present in

626 arctic tundra. Wildfire influences surface energy dynamics via impacts on vegetation and surface

627 soil properties, likely accelerating permafrost thaw (Burn, 1998; Viereck et al., 2008; O'Donnell

628 et al., 2011a; Jafarov et al., 2013; Brown et al., 2015; Jones et al., 2015).Vegetation combustion

629 and mortality increases radiation at the ground surface. The combustion and charring of moss

630 and organic soil lowers albedo and increases KtKT, leading to warmer soils with deeper active

631 layers in the decades following a fire. (Yoshikawa et al., 2003; Liljedahl et al., 2007; Rocha &

632 Shaver, 2011; French et al., 2016). In boreal forests, loss of canopy cover increases albedo

633 during the snow-covered period (Jin et al., 2002; Lyons et al., 2008; Jin et al., 2012), which may

634 result in local atmospheric cooling (Lee et al., 2011). However, such atmospheric cooling has not

635 been linked to soil climate, and canopy loss may also result in a deeper snowpack, which inhibits

636 ground cooling during winter (Kershaw, 2001). In general, wildfire effects on permafrost soil

637 climate are primarily the result of altered growing season surface energy dynamics.

638 The magnitude of wildfire effects on soil temperature is closely linked to burn severity,

639 as indicated by the degree of organic soil combustion and the post-fire organic horizon thickness

640 (Kasischke & Johnstone, 2005). Post-fire recovery of the organic-soil horizon can allow recovery

641 of soil temperature and active layer thickness to pre-fire conditions (Rocha et al., 2012).

642 However, relatively warm discontinuous zone permafrost is often ecosystem-protected by

643 vegetation and organic horizons (Shur & Jorgenson, 2007), thus loss or reduction of organic soil

644 may result in the irreversible thaw or loss of permafrost (Romanovsky et al., 2010; Jiang et al.,

28 645 2015). Site-based model simulations suggest that fire-driven change in organic-horizon thickness

646 is the most important factor driving post-fire soil temperature and permafrost dynamics (Jiang et

647 al., 2015).

648 Wildfire impacts on permafrost also vary spatially with ecosystems and topography. For

649 instance south-facing forest stands tend to burn more severely than north-facing stands (Kane et

650 al., 2007). Further, poorly drained toe-slopes burn less severely than more moderately drained

651 upslope landscapes. These topographic effects on burn severity can strongly influence the

652 response of soil temperature and permafrost to fire (O'Donnell et al., 2009b). The loss of

653 transpiration due to the combustion of trees may result in wetter soils in recently burned stands

654 compared to unburned stands (O'Donnell et al., 2011a). However, other studies have

655 documented drier soils in burned relative to unburned stands (Jorgenson et al., 2013),

656 particularly at sites underlain by coarse-grained, hydrologically conductive soils. Post-fire

657 thawing of permafrost can increase the hydraulic conductivity of mineral soils due to ice loss,

658 leading to enhanced infiltration of soil water and soil drainage. Post-fire changes in soil moisture

659 and drainage can function as either a positive or negative feedback to permafrost thaw

660 (O'Donnell et al., 2011b). Recent evidence also indicates that mineral soil texture is an important

661 control on post-fire permafrost dynamics (Nossov et al., 2013).

662 While the magnitude of fire effects on G and active layer depth is typically governed by

663 burn severity, the persistence of these changes depends on ecosystem recovery (Jorgenson et al.,

664 2013). Albedo returns to pre-fire levels within several years after fire (Jin et al., 2012) due to

665 fairly rapid recovery of vegetation (Mack et al., 2008). Recovery of moss and re-accumulation of

666 the organic-soil horizon further facilitate recovery of soil temperatures and permafrost, and may

667 occur within several decades (e.g. Loranty et al., 2014b). Finally, recovery of vegetation

29 668 canopies over decades to centuries gradually reduces incident radiation at the ground surface to

669 pre-fire levels. The effects of fire on TSG and permafrost are well understood, and it may be

670 reasonable to expect similar effects in the future that are amplified as fire exposes permafrost

671 soils to increasingly warmer atmospheric temperatures. However, changes in the severity and

672 extent of wildfires can result in new ecosystem dynamics with implications for permafrost that

673 do not confer linearly from current eco-climatic conditions.

674 Recent warming at high latitudes has increased the spatial extent, frequency, and severity

675 of wildfires in North America (Turetsky et al., 2011; Rocha et al., 2012) to levels that are

676 unprecedented in recent millennia (Hu et al., 2010; Kelly et al., 2013). Fire regimes in boreal

677 forests in Eurasia remain poorly characterized (Kukavskaya et al., 2012), though several studies

678 indicate that fire extent and frequency are likely increasing with climate warming (Kharuk et al.,

679 2008; 2013; Ponomarev et al., 2016). Circumpolar wildfire in the boreal forest and arctic tundra

680 are projected to substantially increase by the end of the century due to direct climate forcing and

681 ecosystem responses Circumpolar wildfire in the Boreal Forest and Arctic tundra are projected to

682 substantially increase by the end of the century due to direct climate forcing and ecosystem

683 responses(Abbott et al., 2016). Recovery of soil thermal regimes and permafrost after fire is

684 strongly influenced by ecosystem recovery, and recent studies have established links between

685 burn severity and post-fire succession (Johnstone et al., 2010; Alexander et al., 2018).

686 Consequently, in North America burn severity is likely the dominant factor controlling the

687 effects of wildfire on permafrost soil thermal dynamicsregimes both through direct influences on

688 soil thermal regimes and indirectly through influences on post fire succession.

689 In boreal North America, low-severity fires in upland black spruce forest typically foster

690 self-replacing post-fire vegetation trajectories while high-burn severity fosters a transition to

30 691 deciduous dominated forests. (Johnstone et al., 2010). In addition to changes in canopy effects

692 on ground shading, this transition also leads to reductions in post-fire accumulation of the soil

693 organic layer (Alexander & Mack, 2015). Observations of mean annual soil temperatures that are

694 1-2 °C colder in soils underlying black spruce forests compared to deciduous forests (Jorgenson

695 et al., 2010; Fisher et al., 2016) indicate that burn severity influences on post-fire succession will

696 lead to alternate soil temperature and permafrost recovery pathways as well.

31 697

698

a( b( Unburned( Burned(

Fire(Break(

699 700 701 Figure 3. Impacts of fire on ecosystem structure in Siberian larch forests. A firebreak near the

702 town of Cherskii (a) shows the contrast between burned and unburned areas ~30 10 years post-

703 fire, where apparent larch and shrub recruitment failure has resulted a transition to graminoid

704 dominance (b; detail of burned area). Nearby in a ~70 year old burn scar high-density (c) and

705 low-density (d) forests illustrate the impacts of fire severity on canopy cover, and correspond to

706 large differences in soil thermal regimes and active layers depths of ~40 cm in the high-density

707 stand and ~90 cm in the low-density stand (M. Loranty, unpublished data). Photos M. Loranty.

708

709

32 710 In Siberian larch forests, post-fire recovery is impacted by fire severity and seed dispersal

711 (Figure 3). High burn severity fires promote high rates of seedling recruitment and subsequent

712 forest stand density (Sofronov & Volokitina, 2010; Alexander et al., 2018) when dispersal is not

713 limited. But since larch are not serotinous and seed rain varies from year to year, high burn

714 severity does not guarantee succession to high-density forests. Recovery tends to be slow and

715 highly variable (Berner et al., 2012; Alexander et al., 2012b). Wide ranges of post-fire moss

716 accumulation and forest regrowth have been observed, though consequences for permafrost are

717 unclear (Furayev et al., 2001). Observed declines in permafrost thaw depth with increasing

718 canopy cover (Webb et al., 2017) support the notion of a link between fire severity and

719 permafrost soil thermal dynamics. However, the combined effects of fire and climatic warming

720 and drying could lead to widespread conversion of larch forests to steppe (Tchebakova et al.,

721 2009), whereas declines in fire could result in increased cover of evergreen needleleaf species

722 (Schulze et al., 2012). Thus the impacts of fire on permafrost in Siberia remain uncertainwill

723 depend on the combined effects of climate and fire severity.

724 In tundra ecosystems fire is becoming increasingly common (Rocha et al., 2012). Fire-

725 induced transitions from graminoid- to shrub-dominated ecosystems have been observed in

726 several instances (Landhäusser & Wein, 1993; Racine et al., 2004; Jones et al., 2013), while in

727 others recovery of graminoid-dominated ecosystems has occurred, especially when fire leads to

728 ponding (Vavrek et al., 1999; Barrett et al., 2012; Loranty et al., 2014b). If unusually large

729 tundra fires with high burn severity (e.g. Jones et al., 2009) occur more regularly fire induced

730 transitions from graminoid to shrub tundra may become more common (Jones et al., 2013; Lantz

731 et al., 2013). A shift to shrub dominance could buffer permafrost soils from continued climate

732 warming during summer (e.g Blok et al., 2010; Myers-Smith & Hik, 2013) or promote warmer

33 733 soils in winter (Lantz et al., 2013; Myers-Smith & Hik, 2013) at the ecosystem-scale depending

734 on how topography and the spatial distribution of shrubs impact snow redistribution (Essery &

735 Pomeroy, 2004; Ménard et al., 2014)., In addition, there is evidence that thermal erosion as a

736 consequence of fire may facilitate shrub transitions, especially in areas of ice-rich permafrost

737 (Bret-Harte et al., 2013; Jones et al., 2013), and the associated changes in local hydrology and

738 topography will also impact soil temperature dynamicsthermal regimes.

739 Across arctic and boreal ecosystems increased fire extent and severity will increase

740 summer G leading to warmer soils with deeper active layers that take longer to freeze-back in

741 fall and thus reduce the time for heat loss in winter across larger portions of the permafrost

742 region. Post-fire ecosystem recovery will determine the trajectory of soil thermal regimes in

743 coming decades to centuries. In tundra and Siberian larch forests shifts toward increased canopy

744 cover may help thermal regimes recover more quickly and buffer against continued warming.

745 However the link between fire severity and increased canopy cover is not certain. In North

746 American boreal forests increased deciduous cover after high severity soils may prevent full

747 recovery of the soil thermal regime after severe fires (i.e., warmer soils) and loss of permafrost in

748 areas where discontinuous permafrost is ecosystem protected (Jorgenson et al., 2010).

749 3.3 Permafrost thaw, thermokarst disturbance, and hydrologic change

750 Permafrost thaw can occur in two primary modes, as determined by depending on pre-

751 thaw ground ice content. In terrain underlain by low ground ice content (typically < 20% by

752 volume), the soil profile can thaw from the top down without disturbing the surface in what is

753 termed thaw-stable permafrost degradation (Jorgenson et al., 2001). Alternatively, in ice-rich

754 terrain, when ground ice volume exceeds unfrozen soil pore space (usually > 60%), permafrost

755 thaw causes surface subsidence or collapse, termed thermokarst (Kokelj & Jorgenson, 2013).

34 756 Thermokarst is the predominant disturbance in arctic tundra and is an important disturbance in

757 boreal forests underlain by permafrost (Lara et al., 2016). Recent evidence indicates increasing

758 prevalence of thermokarst features during the last half-century (Jorgenson et al., 2006; 2013;

759 Liljedahl et al., 2016; Mamet et al., 2017), though circum-arctic prevalence and change of

760 thermokarst extent are poorly constrained (Yoshikawa & Hinzman, 2003; Lantz & Kokelj, 2008;

761 Olefeldt et al., 2016). Thermokarst features form over the course of weeks to decades, can

762 involve centimeters to meters of ground surface displacement, and typically lead to dramatic

763 changes in ecosystem vegetation and soil properties (e.g. Osterkamp et al., 2000; Douglas et al.,

764 2016; Wagner et al., 2018)(e.g. Osterkamp et al., 2000; Douglas et al., 2016). Ecological

765 responses to thermokarst formation can act as either positive or negative feedbacks to continued

766 thaw, depending on how thermokarst formation affects vegetation and hydrology, including

767 snow cover (Kokelj & Jorgenson, 2013). Thermokarst could affect 20–50% of the permafrost

768 zone by the end of the century, according to projections of permafrost degradation and the

769 distribution of ground ice (Zhang et al., 2000; Slater & Lawrence, 2013; Abbott & Jones, 2015).

770 Upland thermokarst in the discontinuous permafrost zone already impacts 12% of the overall

771 landscape in some areas and up to 35% of some vegetation classes (Belshe et al., 2013).

772 Following initial thaw, hydrologic conditions play an important role in the subsequent

773 evolution of thermokarst features because the high thermal conductivity of water can increase

774 heat flux to the active layer and permafrost (Nauta et al., 2015). Lowland and upland thermokarst

775 may have contrasting effects on surface hydrology, with lowland thermokarst initially increasing

776 wetness (e.g. O'Donnell et al., 2012), but eventually leading to greater drainage if permafrost is

777 completely degraded (Anthony et al., 2014). Upland thermokarst can either increase or decrease

778 surface wetness, depending on soil conditions and local topography (Abbott et al., 2015; Abbott

35 779 & Jones, 2015; Mu et al., 2017). Redistribution of water to thermokarst pits and gullies can lead

780 to drying in adjacent areas that have not subsided (Osterkamp et al., 2009). In winter, increases

781 in snow accumulation in thermokarst depressions insulates soils (Stieglitz, 2003).

782 Ecological responses to thermokarst formation can act as either positive or negative

783 feedbacks to continued thaw, depending on how thermokarst formation affects vegetation and

784 hydrology, including snow cover (Kokelj & Jorgenson, 2013). Thermokarst impacts vegetation

785 and soils in a variety of ways. Active layer detachments in uplands remove vegetation and

786 organic soil, increasing energy inputs to deeper soil layers. In upland tundra, shifts from

787 graminoid- to shrub-dominated vegetation communities have been observed with thaw, though

788 communities varied locally with microtopography created by thermokarst features themselves

789 (Schuur et al., 2007). In boreal forests, thermokarst and permafrost thaw can cause transitions to

790 wetlands or aquatic ecosystems (Jorgenson & Osterkamp, 2005); whereas, vegetation community

791 shifts are more subtle in uplands (Jorgenson et al., 2013). Permafrost thaw may also lead to a

792 more nutrient- rich environment (Keuper et al., 2012; Harms et al., 2014), but this depends on

793 local soil properties. The succession of aquatic or terrestrial vegetation can curb thaw through

794 negative feedbacks associated with canopy cover and organic soil accumulation and aggrade

795 permafrost (Briggs et al., 2014). Hydrologic changes associated with thermokarst likely have a

796 stronger influence on the soil thermal regime that associated ecosystem changes, in part because

797 the former occur more rapidly than the latter. Under thaw stable conditions there is the

798 possibility that enhanced vegetation productivity could lead to summer soil cooling, however the

799 effects on soil composition and moisture, and snow distribution will also affect the thermal

800 regime and are as yet unclear.

801

36 802 3.4 Zoogenic disturbance

803 A large portion of the circumpolar Arctic is grazed by reindeer and caribou (both

804 Rangifer tarandus L.), and their grazing and trampling causes important long-term vegetation

805 shifts, namely inhibition of shrub proliferation (Olofsson et al., 2004b; Forbes & Kumpula,

806 2009; Olofsson et al., 2009; Plante et al., 2014; Väisänen et al., 2014). Besides direct

807 consumption of lichen and green biomass, large semi-domestic reindeer herds of northwest

808 Eurasia also exert a variety of impacts on biotic and abiotic components of Arctic and sub-Arctic

809 tundra ecosystems that have implications for permafrost thermal dynamicsregimes. For example,

810 as reindeer reduce vertical structure of vascular and nonvascular vegetation, they tend to

811 decrease albedo (Beest et al., 2016) and reduce thermal conductivity at the ground level

812 (Olofsson, 2006; Fauria et al., 2008), which can lead to warmer soils (Olofsson et al., 2001; van

813 der Wal et al., 2001; Olofsson et al., 2004b). Recent research has revealed that the consequences

814 of climate warming on tundra carbon balance are determined by reindeer grazing history (Zimov

815 et al., 2012; Väisänen et al., 2014). Grazing by small mammals also influences arctic plant

816 communities (Olofsson et al., 2004a). The extent to which ongoing vegetation change across the

817 Arctic is a result historic grazing patterns is unclear. However, it is plausible that social and/or

818 ecoclimatic drivers that change the distribution or behavior of grazing mammals have impacted

819 permafrost ecosystems in ways that affect the soil thermal regime. Historic and future grazing

820 and trampling impacts on vegetation communities and soils will continue to be important for

821 understanding permafrost soil temperature responses to climate.More targeted research is

822 necessary to elucidate links between grazing, ecosystem vegetation and soil characteristics, and

823 soil thermal regimes.

824

37 825 3.5 Anthropogenic disturbance

826 The most extensive direct anthropogenic disturbances within the permafrost zone occur

827 in three regions that have experienced widespread hydrocarbon exploration and extraction

828 activities: the North Slope of Alaska, the Mackenzie River Delta in Canada, and northwest

829 , including the Nenets and Yamal-Nenets Autonomous Okrugs. The types of terrestrial

830 degradation commonly associated with the petroleum industry have historically included rutting

831 from tracked vehicles; seismic survey trails; pipelines, drilling pads and roads and the excavation

832 of the gravel and sand quarries necessary for their construction (Walker et al., 1987; Huntington

833 et al., 2013). A single pass of a vehicle over thawed ground can create ruts with increased KT due

834 to increased bulk density and soil moisture, while altered local hydrology can drain downslope

835 wetlands and, in both cases, lead to vegetation changes that persist for decades (Forbes, 1993;

836 1998). As a result of these combined factors, the increase from scale of impact to scale of

837 response can be several orders of magnitude (Forbes et al., 2001). It has also been demonstrated

838 that even relatively small-scale, low intensity disturbances in winter, like seismic surveys over

839 snow-covered terrain, reduce microtopography, and increase ground temperatures and active

840 layer thaw depths (Crampton, 1977) (Kershaw, 1983).

841 More recently, gravel roads and pads have become common, however this elevated

842 infrastructure causes other unanticipated impacts to the permafrost from accumulated dust, snow

843 drifts, and roadside flooding (Walker & Everett, 1987; 1991; Auerbach et al., 1997; Raynolds et

844 al., 2014). Over time, the warmer environments adjacent to roads have led to strips of earlier

845 phenology and shrub vegetation and even trees along both sides of most roads and buried

846 pipeline berms in the Low Arctic (Gill et al., 2014). Aeolian sand and dust associated with gravel

847 roads or quarries can affect tundra vegetation and soils up to 1 km from the point source (Forbes,

38 848 1995; Myers-Smith et al., 2006). At present, there is a concern that climate warming and

849 infrastructure are combining to enhance melting of the top surface of ice-wedges, leading to

850 more extensive ice-wedge thermokarst (Raynolds et al., 2014; Liljedahl et al., 2016) and

851 cryogenic landslides (Leibman et al., 2014) in areas of intensive development. The proportion

852 of permafrost ecosystems affected by anthropogenic disturbance is not well quantified, but it will

853 continue to increase in coming decades.

854

855 4 Local versus regional ecosystem feedbacks on permafrost thermal dynamics

856 Interactions between ecosystem scale microclimate feedbacks and regional or global

857 climate feedbacks stemming from ecological change are complex and represent a key source of

858 uncertainty related to understanding permafrost soil responses to continued climate warming. If

859 changing ecosystem characteristics influencing permafrost thermal dynamics described above

860 are widespread, the accompanying changes in land surface water and energy exchange will feed

861 back to influence regional climate, and changes in greenhouse gas dynamics will feed back on

862 global climate (Chapin et al., 2000b). Therefore, ecosystem changes that alter local permafrost

863 soil thermal dynamics may also lead to regional and global climate feedbacks that compound or

864 offset ecosystem-scale effects (Figure 4Table 1).

865

39 Table 1. Key ecosystem changes, associated drivers, and feedback effects on local soil climate and regional to global climate.

Ecosystem Property Drivers of Change1 Local Feedbacks2 Regional-Global Feedbacks3

Canopy cover/density Climate warming (+) TSg- Ground Shading Albedo

increases more likely, unless Hydrologic change (?) TSg - LW Enhancement Increased EvapotranspiraKon widespread weJng occurs or Fire severity (+/-) KT - Soil moisture uKlizaKon Carbon SequestraKon under certain condiKons aLer fire. Thermokarst (-) KT - Snow trapping Permafrost thaw (+) Grazing (-/?) Anthropogenic (+/?)

Soil moisture Climate warming (+/-) KT Increased EvapotranspiraKon

uncertain; dependent on Hydrologic change (+) TSg- EvaporaKon Carbon SequestraKon vegetaKon, soil, climate, Fire severity (+/-) Greenhouse gas emissions topography, ground ice, and Thermokarst (+/-) whether permafrost is conKnuous Permafrost thaw (-) Anthropogenic (+/?)

Moss cover/organic layer Climate warming (?) KT EvapotranspiraKon thickness Hydrologic change (?) TSg- EvaporaKon Carbon SequestraKon

uncertain; dependent on Fire severity (-) overstory vegetaKon, topography, Thermokarst (+/-) and soil moisture Permafrost thaw (+/-)

Grazing (-) Anthropogenic (+/?)

1 Parentheses indicate whether driver is likely to cause an increase (+) or decrease (-) in ecosystem properKes, or if the direcKon of the relaKonship is unclear. 2 Effects of changing ecosystems property on local soil temperatures. Red and blue indicate posiKve and negaKve effects on soil temperature, respecKvely. 3 Regional and Global climate feedbacks associated with changing ecosystem properKes. Red and blue colors indicate posiKve and negaKve feedbacks respecKvely, gray indicates uncertain feedback effects. 866 867 868 Figure 4. Key ecosystem changes and their associated feedback effects on local soil climate, 869 regional atmospheric climate, and global climate. The + beneath canopy cover indicates an 870 assumed increase across the permafrost region, while the – beneath organic thickness and moss 871 cover indicates an assumed decrease. The change in soil moisture will depend on both changes in 872 ecosystem-scale hydrologic cycling, as well as changes in regional hydrology driven by climate, 873 and is assumed to be unknown. Blue text indicates negative feedbacks (cooling effect), red text 874 indicates positive feedbacks (warming effects), and gray text indicates feedbacks where the 875 direction is not known. 876

877 4.1 Regional biogeochemical climate feedbacks

878 The net biogeochemical climate effects of ecosystem change across the permafrost

879 regions will be a balance of changes in CO2 uptake that accompany shifts in vegetation, and

880 changes in CO2 and CH4 release associated with shifts in autotrophic and heterotrophic

881 respiration, and fire and thermokarst disturbance. These feedback effects will be global in extent

40 882 and will not contribute directly to regional variability in permafrost thaw because greenhouse

883 gasses are well mixed in the atmosphere. Changes in the net CO2 balance remain uncertain, but a

884 recent expert survey suggests that over the next century increases in vegetation productivity may

885 not be large enough to offset increases in carbon release to the atmosphere (Abbott et al., 2016).

886 In tundra ecosystems, this conclusion is in line with projections of future biomass distribution

887 (Pearson et al., 2013) and atmospheric inversions showing that increased autumn CO2 efflux

888 offsets increases in uptake during the growing season (Welp et al., 2016; Commane et al., 2017).

889 In boreal forests, carbon cycle changes are more complex; long-term trends in the annual

890 amplitude of atmospheric CO2 concentrations (Graven et al., 2013; Forkel et al., 2016) suggest

891 increases in biological activity while satellite observations and tree ring analyses suggest

892 widespread declines in productivity (Beck et al., 2011). Further, model analyses indicate a

893 weakening terrestrial carbon sink associated with declining uptake, increases in respiration, and

894 disturbance (Hayes et al., 2011), which is crucially important in boreal forests (Bond-Lamberty

895 et al., 2013).

896 The net CO2 effect of wildfire has typically been considered to be close to zero for

897 evergreen needleleaf forests in interior Alaska over historic fire return intervals (Randerson et

898 al., 2006). However, the combined effects of climate warming and fire tend to reduce ecosystem

899 carbon storage by thawing permafrost (Harden et al., 2000; O'Donnell et al., 2011b; Douglas et

900 al., 2014). Model simulations that include permafrost dynamics indicate ecosystem carbon losses

901 may become larger in the future with continued warming and intensification of the fire regime,

902 particularly for dry upland sites (Genet et al., 2013; Jafarov et al., 2013). These studies do not

903 account for potential changes in post-fire vegetation communities (Alexander et al., 2012a)

904 however, the net effects of vegetation shifts on ecosystem carbon storage appear to be minimal

41 905 (Alexander & Mack, 2015). In tundra ecosystems larger and more severe fires lead to large soil

906 C losses (Mack et al., 2011) that may be sustained over time due to permafrost thaw (Jones et al.,

907 2013; 2015). Taken together, this evidence suggests that Across the permafrost region, available

908 evidence suggests that fire will likely lead to net carbon losses in the coming decades to

909 centuries across the permafrost region, thus acting as a positive feedback to climate warming

910 with associated effects on permafrost soils (Abbott et al., 2016). The biophysical climate

911 feedbacks associated with fire are more immediate and will be stronger than the carbon cycle

912 feedbacks (Randerson et al., 2006).

913 The effects of thermokarst on greenhouse gas dynamics depend largely on associated

914 hydrological changes. With increased drainage and surface drying, increased oxidation rates

915 reduce carbon accumulation (Robinson & Moore, 2000) and enhance CO2 release (Frolking et

916 al., 2006), and reduce CH4 production (Abbott & Jones, 2015). When ground thaw is associated

917 with increased soil saturation, CH4 production and emissions are increased (Johansson et al.,

918 2006; Olefeldt et al., 2012; Abbott & Jones, 2015; Malhotra & Roulet, 2015; Natali et al., 2015),

919 which can shift tundra from a net CH4 sink (Jorgensen et al., 2015) into a CH4 source (Nauta et

920 al., 2015). Thermokarst may also increase lateral transport of soil organic matter, which can

921 decrease CO2 release (Abbott & Jones, 2015) and alter carbon processing downslope.

922 Thermokarst lakes emit CH4, particularly along actively thawing lake margins (Walter et al.,

923 2007; 2008), and CO2 (Kling et al., 1991; Algesten et al., 2004). However at millennial

924 timescales, thermokarst lakes can sequester carbon as lake sediments and peat accumulate (Jones

925 et al., 2012; Anthony et al., 2014). Currently thermokarst landscapes comprise upwards of 20%

926 of the permafrost region (Olefeldt et al., 2016), however their current and future impacts on the

927 global carbon balance remain poorly constrained.

42 928

929 4.2 Regional biophysical climate feedbacks

930 The biophysical effects of ecosystem change arising from shifts in surface energy

931 partitioning have climate feedback effects at scales ranging from local to regional and global.

932 Whereas biogeochemical climate feedbacks will influence global temperature in conjunction

933 with many other carbon cycle processes, biophysical feedbacks operating at local and regional

934 scales are likely to influence the spatial and temporal patterns of permafrost thaw with continued

935 warming. As described in the previous sections, changes in vegetation composition and structure

936 alter soil thermal dynamics via changes in G during the snow-free season (Chapin et al., 2000a;

937 Beringer et al., 2005). However, changes in G associated with vegetation change will also be

938 accompanied by changes in H and LE that may feedback to G, depending upon the scale of

939 impact.

940 Decadal ecosystem responses to climate inferred from ‘greening’ or ‘browning’ trends

941 are the most spatially pervasive change affecting vegetation in the permafrost zone (Loranty et

942 al., 2016). Increases in leaf area and/or vegetation stature will generally reduce albedo, and these

943 effects are particularly pronounced during the spring and fall if enhanced productivity leads to

944 increased snow-masking by vegetation (Sturm et al., 2005; Loranty et al., 2014a). Reductions in

945 albedo will lead to sensible heating of the atmosphere (Chapin et al., 2005) that may counteract

946 the effects of canopy shading on G, if albedo reduction occurs at sufficiently large spatial scales

947 (Lawrence & Swenson, 2011; Bonfils et al., 2012). The magnitude and spatial extent of

948 vegetation height increases are crucial to determine the net feedback strength, but these

949 quantities remain largely unknown.

43 950 A second important but relatively unexplored feedback relates to evaporative cooling of

951 the land surface associated with increases in LE (but see Swann et al., 2010; Helbig et al.,

952 2016a)(but see Swann et al., 2010; Helbig et al., 2016b). Productivity increases are likely

953 accompanied by increases in evapotranspiration (Zhang et al., 2009), which have been shown to

954 mitigate temperature increases at global scales by increased cloud cover, which may reduce

955 incoming short-wave radiation reaching the Earth’s surface (Zeng et al., 2017). During the

956 growing season, this cooling could effectively reduce the degree of atmospheric sensible heating

957 associated with increased albedo, and would be particularly important if there is no change in

958 snow masking by vegetation (e.g., greening in tundra without shrub expansion, or in closed

959 canopy boreal forest). However, the extent to which latent cooling with enhanced productivity

960 may offset sensible heating associated with albedo decreases is uncertain for several reasons.

961 First, model experiments simulating shrub expansion, for example, utilize canopy

962 parameterizations for deciduous boreal tree species, because arctic shrub canopy physiology has

963 not been thoroughly characterized (e.g. Bonfils et al., 2012). Second, existing observations

964 indicate an increasing degree of stomatal control on evapotranspiration with vegetation stature

965 (Eugster et al., 2000; Kasurinen et al., 2014), indicating that LE will not necessarily continue to

966 increase with climate warming, which is supported by the emergence of browning trends.

967 Additionally, climatic changes in arctic hydrology are highly uncertain and likely to vary

968 spatially (Francis et al., 2009), meaning that LE may be limited by hydrology in some places but

969 not others. Lastly, disturbance processes will also alter surface energy dynamics through short-

970 term direct impacts on ecosystem structure and long-term impacts on post-disturbance

971 succession (as described above).

972

44 973 5 Conclusions

974 The effects of climatic change on permafrost thermal dynamics across the arctic and

975 boreal biomes will be strongly affected bydepends directly on terrestrial ecosystem influences

976 properties, which mediateon surface energy partitioning and transmission through the soil

977 profilethermal characteristics. Relationships between permafrost and climate vary spatially with

978 ecosystems properties and processes, and these patterns in the relationship between permafrost

979 and climate will change over time as ecosystems respond to climatevary through time on event to

980 millennial timescales. These changes changing nature of permafrost thermal regimes will be

981 driven by surface energy feedbacks operating on local-, regional-, and global-scales. Complex

982 interactions among many of these feedbacks create uncertainty surrounding the timing and

983 magnitude of the permafrost carbon feedback.

984 Interactions among ecosystem processes are not well understood and represent a key

985 source of uncertainty in the relationship between permafrost soils and climate.Continued

986 ecosystem- scale research focused on several key process interactions will improve our

987 understanding of ecological influences on soil thermal regimes. In particular, soil moisture alters

988 soil thermal conductivity, however the The influence of vegetation plant water use on spatial

989 and temporal variability in soil moisture is unclear.. F Future work should seek to elucidate

990 interactions between vegetation and soil moisture. Similarly, concurrent cThe extent to which

991 changes in decomposition rates and the litter substrate quantity and quality of available substrate

992 may have strongalter influences on the insulating effects of ground cover and the soil organic

993 layer is also unclear and could benefit from continued research. More research on relationships

994 between the spatial distribution of vegetation canopies and the insulative properties of snow is

995 also needed, especially in boreal forests. Lastly, more studies should involve year-round data

45 996 collection focused on understanding time-lags and the cumulative effects of seasonal processes.

997 In particular the net thermal effects of canopy shading versus snow-trapping, seasonally lagged

998 effects of snow cover, and seasonally lagged effects of soil moisture could all be better

999 understood through focused observational studies., and changes in the distribution and

1000 productivity of mosses may have similar effects. Improved understanding of the ecosystem

1001 processes influencing soil moisture and thermal properties are necessary to understand the fate of

1002 permafrost.

1003 Improved process level understanding of ecosystem influences on soil thermal regimes

1004 will not be useful for predicting the fate of permafrost carbon unless the processes that control

1005 the timing, extent, and trajectories of ecosystem change are known. Holistic understanding of

1006 changes in vegetation and ecosystem distributions is another critically important topic for

1007 understanding the fate of permafrost. There has been a strong focus on graminoid-shrub

1008 transitions in tundra ecosystems, yet there are a number of other potential vegetation transitions,

1009 many mediated by disturbance, with equally important implications. Changes in boreal forest

1010 structure and function underlying productivity trends need to be elucidated. Continued work

1011 focused on understanding how changing fire regimes influence soils and post-fire succession is

1012 also important, especially in tundra and Siberian boreal forests. These changes are not spatially

1013 isolated, and compounding disturbances will likely become increasingly commonimportant to

1014 understand. In addition to vegetation changes, constraining the proportion of landscapes affected

1015 by drying versus waterlogging associated with initial permafrost thaw is central to predicting

1016 both soil organic matter stocks and vegetation responses to climate warming. Related, whether

1017 precipitation increases or decreases with climate warming remains highly uncertain, and this will

46 1018 exert strong influence on vegetation and ecosystem responses to climate as well as disturbance

1019 mediated ecosystem changes.

1020 Lastly, there is a high degree of uncertainty surrounding the net effects of opposing local

1021 and regional ecosystem feedbacks to permafrost soil temperatureschanges in ecosystem

1022 vegetation and soil characteristics that occur over sufficiently large spatial scales will affect soil

1023 thermal regimes via feedbacks to regional and global climate that with the potential to amplify or

1024 attenuate local ecosystem-scale feedbacks. For example, could wetland expansion associated

1025 with widespread permafrost thaw lead to regional cooling through increased albedo, or might

1026 warming as a result of increased methane emissions offset this? Or could increased

1027 evapotranspiration associated with enhanced vegetation productivity lead to surface cooling and

1028 cloud formation that cools soils in summer, or might the rise in atmospheric water vapor increase

1029 late summer precipitation and extend the fall freeze-back period? Complex feedback processes

1030 such as these will likely affect the trajectory of permafrost responses to climate. Model studies

1031 that have examined the net effects of feedbacks across scales typically focus on one type of

1032 vegetation change (e.g. shrub expansion), and so there is less information regarding interactions

1033 among feedbacks associated with multiple ongoing changes. Continued efforts to understand the

1034 fate of permafrost in response to climate will require integrated analyses of processes affecting

1035 permafrost soil thermal dynamicsregimes, changing circumpolar ecosystem distributions, and the

1036 net effects of resulting climate feedbacks operating across a range of spatial and temporal scales.

1037

1038

47 1039 Acknowledgments

1040 This project benefited from input from members of the Permafrost Carbon Network

1041 (www.permafrostcarbon.org). Supporting funding to the Permafrost Carbon Network was

1042 provided by the National Science Foundation Network Grant #955713 and the National Science

1043 Foundation Study of Environmental Arctic Change (SEARCH) Grant #1331083. MML was

1044 supported with funding from the U.S. National Science Foundation grant PLR-1417745. DB was

1045 supported by The Swedish Research Council (2015-00465) and Marie Skłodowska Curie

1046 Actions co-funding (INCA 600398). TAD acknowledges support from the U.S. Army Basic

1047 Research (6.1) Program. BCF was supported by the Academy of Finland (Decision #256991 and

1048 JPI Climate (Decision #291581). IMS received support from UK Natural Environment Research

1049 Council ShrubTundra Grant (NE/M016323/1). Any use of trade, product, or firm names is for

1050 descriptive purposes only and does not imply endorsement by the US Government. We thank

1051 two anonymous reviewers for comments that helped improve this manuscript.

1052

48 1053 References

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