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Are Transients Carrying Useful Information For Estimating H/V Spectral Ratios?

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0% found this document useful (0 votes)
88 views21 pages

Are Transients Carrying Useful Information For Estimating H/V Spectral Ratios?

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aulia
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
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Are transients carrying useful information for 

estimating H/V spectral ratios?

S. Parolai1, M. Picozzi1, A. Strollo1,2, M. Pilz1, D. Di Giacomo1,2, B. Liss1, and 
D. Bindi3

1
GeoForschungsZentrum Potsdam, Telegrafenberg, 14473 Potsdam, Germany
2
 Univertität Potsdam, Karl­Liebknecht­Strasse, 14476 Potsdam, Germany

Istituto Nazionale di Geofisica e Vulcanologia, via Bassini 15, 20133 Milano, Italy.

Abstract
Defining a procedure to calculate the H/V spectral ratio of seismic noise has
recently   been   the   focus   of   several   studies.   Although   some   issues   have   been
addressed and a general procedure to follow in choosing the optimal seismological
equipment, carrying out the measurements and analyzing the data has been agreed
upon by the majority of specialists in this field, some points still remain open. One
open question is whether transients should be avoided when H/V spectral ratios
are calculated. Starting from contradictory results of previous papers, an ad­hoc
experiment at the Nauen test site (Germany) was conducted to verify the influence
of transients on the H/V spectral ratio of seismic noise. We show, consistent with
some previous studies, that transients generated by high frequency content sources
can   amplify  spectral   ratio   peaks   at   low  frequencies.   After   careful   polarization
analysis of the data and estimation of the spectral amplitude decay with distance,
we   provide  an   explanation   in  terms   of  the  composition  of  the   wavefield  over
certain   distance   ranges.   Our   results   highlight   the   importance   of   a   better
understanding of the wavefield composition for better exploiting the potential of
H/V spectral ratio method. 

1 Introduction
The   Nakamura   technique   (Nakamura   1989),   first   proposed   by   Nogoshi   and
Igarashi (1970, 1971), is today one of the most commonly applied methods for
microzonation   studies   of   large   urban   areas   (e.g.   Parolai   et   al.   2001).   A   large
number of studies using this rapid, economical, and therefore attractive technique
have been published (e.g. Field and Jacob 1993; Lermo and  Chávez-García 1994;
Mucciarelli  1998; Bard 1999;  Fäh  et  al. 2001). More recent  studies (Fäh  et al.

2003;   Scherbaum   et   al.   2003;   Arai   and   Tokimatsu   2004;   Parolai   et   al.   2005;
Picozzi  et  al. 2005; Parolai  et  al. 2006) proposed and tested the possibility of
inverting the Horizontal­to­Vertical (H/V) spectral ratio of noise (alone or in a
joint inversion scheme) for investigating the S­wave subsoil structure. All these
studies   require   the   a­priori   assumption   that   the   noise   wavefield   is   generally
dominated   by   surface   waves.   Moreover,   attempts   to   provide   standards   for   the
analysis   of   seismic   noise   have   only   recently   been   carried   out   (Bard   1999;
SESAME 2004; Picozzi et al. 2005). To this regard, a point frequently debated by
the seismological community is whether only the stationary part of the recorded
signal should be considered in the analysis, or could transients (e.g. due to human
activities)   also   be   considered   (excluding   obviously   very   strong   and   clipped
signals). Most authors disregarded the non­stationary noise from the analysis (e.g.
Horike et al. 2001), while others (e.g. Mucciarelli et al. 2003) showed that the H/V
ratio of non­stationary noise might be more similar, especially in amplitude, to the
H/V spectral ratio determined for small­size earthquakes. By applying an optimal
filtering procedure to empirical data and using numerical simulations, Parolai and
Galiana­Merino (2006) showed that transients might cause large variability in the
H/V shape, depending on source type and distance from the receiver relative to the
thickness of the sedimentary cover. However, they showed that when dealing with
a   sufficient   number   of   real   data,   the   H/V   ratio   is   not   biased   by   including
transients.   Recently,   Chatelain   et   al.   (2007)   suggested   to   avoid   the   use   of
transients   in   the   H/V   analysis.   Nevertheless,   they   showed   that   H/V   does   not
significantly  change if the sensor is located just  a few  meters from  the major
source of transients (in their case, cars on a highway). Furthermore, at only 2 m
from   the   highway,   the   peak   in   the   H/V   spectral   ratio   is   still   visible,   while   it
disappears   when   the   sensor   is   placed   directly   on   the   highway.   These   results
(except for those from the stations located directly on the highway) seem to be in
agreement with the pioneering study of Taniguchi and Sawada (1979) who made
systematic   noise   measurements   close   to   a   highway   under   constructions   and
observed   that  (1)   the   frequency   peak   in   the   transient   spectra   was   stable
independent   of   the   mass   of   the   source   (a   truck),   hinting   to   the   fact   that   the
frequency   of   traffic­induced   vibration   is   mainly   determined   by   ground   soil
conditions,   and   (2)   traffic­generated   vibrations   were   dominated   by   Rayleigh
waves. A recent investigation of the seismic noise wavefield induced by several
source types can be found in Kim and Lee (2007). 
Additional   evidence   of   the   role   played   by   transients   was   reported   by
Mucciarelli  (1998)   who  showed  that  when  generating  transients   with  a  sledge
hammer near the recording sensor, the H/V peak becomes more clear. This result,
3

probably too often overlooked, stimulates many intriguing questions. Since the
energy released by the blow of a sledge hammer peaks at frequencies much higher
(50­70 Hz) than the fundamental resonance frequency of the site (1 Hz), how can
the transients modify the H/V? Similarly, human generated seismic noise mainly
affects   frequencies   higher   than   1­2   Hz,   with   cars   generating   signals   with
frequencies   mainly   between   10­20   Hz   (e.g.   Taniguchi   and   Sawada   1979;
McNamara   and   Buland   2004).   Therefore,   the   question   arises   if   there   is   any
important information carried by the transients that one could try to extract.
We endeavour to answer these questions, by analysing recordings of seismic
noise   that   include   transients   generated   by   a   sledge   hammer.   Vertical   and
horizontal sources have been simulated. We first calculate the H/V spectral ratio
using only the stationary part of noise. Then, we calculate the H/V spectral ratio
for   the   transients   only.   A   comparison   of   the   results,   considering   spectra
inspection,   polarization,  and   amplitude  decay  analysis   is  performed.  Finally,   a
possible explanation of the observed phenomena in terms of wave propagation is
proposed.

2 Data
The   experiment   was   carried   out   at   the   Nauen   test   site   (Germany)
(http://www.geophysik.tu­berlin.de/menue/testfeld_nauen/),   during   a   day   with
favourable weather conditions and absence of wind.
Seismic   noise   was   recorded   using   a   24­bit   digitizer   (EarthDataLogger)
connected to a Mark L4C­3D 1 Hz sensor. The sampling rate was fixed to 200
samples/sec. 
Transients were generated by a surface source at distances of 5 m, 10 m, 20 m,
30 m, 50 m, 75 m and 100 m to the recorder. The source was a sledge hammer (5
kg)   striking   vertically   a   steel   plate   (vertical   source)   and   horizontally
(perpendicular to the radial line between the source and the geophone) a railway
sleeper. Series of 5 vertical blows (separated from each other by a few seconds)
were   alternated   with   series   of   five   horizontal   blows.   For   each   source­sensor
distance,   this   energization   scheme   was   repeated   five   times   (i.e.   five   series   of
vertical and horizontal blows were recorded). Figures 1 and 2 show examples of
recordings for the vertical, radial and transverse component of ground motion for
the source distances 5 m and 100 m, respectively.

3 Data Processing
Using a visual inspection procedure, three different kinds of signal windows
were selected from the continuous data stream. In particular, windows of signal
containing only one series of vertical shots, only one series of horizontal shots and
a couple of consecutive vertical and horizontal shots were extracted (Figure 1 and
Figure 2). The length of the signal windows varies between 20.48 sec (for those
including only a series) and 40.96 sec (for those including a couple of vertical and
horizontal blow series). The time series were corrected for trend in the data and
tapered with a 5% cosine function at both ends. The Fast Fourier Transform (FFT)
was calculated for each component, and the spectra were smoothed using a Konno
and   Ohmachi   (1998)   logarithmic   window,   with   the   coefficient   b,   which
determines the bandwidth, fixed to 40. The instrumental response correction was
performed by considering the pole and zero configuration of the sensor. The same
procedure  was also applied  to twenty 30­sec  length stationary  noise  windows.
Then, the Horizontal­to­Vertical spectral ratios (H/V) were calculated considering
the   root­mean­square   (rms)   spectra   of   the   two   horizontal   components.   The
procedure   was   repeated   for   each   source­sensor   distance   and   source   type
(horizontal   and   vertical).   Finally,   the   logarithmic   average   of   the   H/V   spectral
ratios was computed.

4 Amplitude Fourier spectra and H/V ratios
Figure 3 (left and middle frames) shows the average vertical and horizontal
spectra of stationary noise and of the windows including transients, for vertical
sources at different distances. The spectra are the logarithmic average of the five
series. Figure 3 (right) shows the H/V results obtained for stationary noise and for
transients generated at different source distances.
The former shows two peaks at around 0.2 Hz and 1 Hz that are consistent with
the H/V peaks  obtained by Picozzi  (personnel  communication)  after  analyzing
data   obtained   from   monitoring   the   site   for   one   week.   Since   borehole
measurements and geophysical surveys (geoelectric and georadar) carried out at
the Nauen test site provide information about the structure of the upper 20 m only,
the two peaks cannot be linked to any a­priori known impedance contrast below
the site, that is strong enough to generate resonance peaks. Note that both peaks
occur within the frequency band exploitable for the considered short period sensor
(Strollo et al. 2008a; Strollo et al. 2008b), and therefore can be considered  as
reliable. However, since the lowest frequency peak, as shown in the following
5

analysis,   occurs   at   frequencies   too   low   to   be   affected   by   the   high   frequency


transients generated by the hammer blow, we will focus our attention mainly on
the peak at around 1 Hz. Figure 3 suggests that the peak at 1 Hz is mainly related
to a trough in the vertical component spectra, suggesting a link with the ellipticity
of Rayleigh waves (Konno and Ohmachi 1998). 
Considering the transient windows, the spectral  energy for both vertical and
horizontal  components  of  ground  motion is concentrated   at   frequencies  higher
than 10 Hz, with a broader peak for the vertical component. The amplitude of the
spectral   peaks,   occurring   at   about   30   Hz,   decreases   with   distance   due   to   the
seismic wave attenuation, but at 100 m it is still higher than the spectral amplitude
of the stationary noise.
It is remarkable that only when the source is located at a distance smaller than
20 m, do the spectra also show an increase in amplitude between 0.3 and 2 Hz. In
particular, the largest amplitudes are of the radial component. The effect on the
H/V  (note  that   here  only  that  obtained  by  averaging   the  radial   and  transverse
component is shown) is also worth noting. In fact, while for short source­sensor
distances (5 m and 10 m) the peak around 1 Hz is strongly magnified (the large
scattering in the results may be due to the fact that only 5 H/V spectral ratios have
been averaged), for larger source distances it approaches the stationary noise H/V.
Taking into account the amplitudes of the average spectra, this effect can mainly
be related to the radial component behaviour. Some transient­related effects on the
H/V shape are visible only at frequencies larger than 10 Hz. 
Figure   4   shows   the   results   obtained   when   only   the   horizontal   sources   are
considered. The spectra of both horizontal and vertical components show large
amplitudes   at   frequencies   higher   than   10   Hz.   These   amplitudes   are,   however,
much   smaller   than   those   obtained   using   a   vertical   source.   For   example,   the
spectral amplitudes of the signals generated by a horizontal source at a distance of
10 meters are comparable with the amplitudes of a vertical source at 20 meters.
This is probably due to the less efficient energization in the horizontal direction
and   weak   coupling   of   the   sleeper   with   the   soil.   The   spectral   amplitude,   as
expected, decays with increasing source­to­station distance, and there is no large
significant effect of the transients at frequencies around 1 Hz, neither when the
short   nor   long   source­to­station   distances   are   considered.   All   the   H/Vs   show
shapes similar to the stationary­noise H/V up to 10 Hz. Only at higher frequencies,
and especially for the distance range 10­30 m, do transients appear to affect the
H/V spectral ratio shape. 
Figure 5 shows the results when vertical and horizontal sources are considered
simultaneously. The results are similar to those obtained when considering only

the vertical sources since the spectral amplitude of the waves they generated are
higher.

Results and Discussions

The evidence that the H/V spectral ratio is enhanced at frequencies around the
resonance   frequencies   of   the   site   when   active   sources   are   considered   is   in
agreement with the results of Mucciarelli (1998). Indeed, the source­to­distance
range used in the Mucciarelli  (1998) test was larger (50 m) than the range of
distances (5­10 m) we observed that provide the largest effects. Nevertheless, this
can be explained by considering the numerical simulation results of Parolai and
Galiana­Merino (2006), who showed that the influence of transients varies with
the source­to­receiver distance relative to the thickness of the sediments.
In   order   to   explain   the   mechanism   generating   the   magnification   of   the   H/V
spectral   ratio,   we   carried   out   further   analyses.   After   having   verified   by   time­
frequency analysis (not shown here) that the increase of the spectral amplitude
between 0.3 and 3 Hz (with well­defined peaks at 0.4 and 0.9 Hz), only results
from vertical energization (i. e, neither in the stationary noise, nor when transverse
sources are used), we focused the analysis only on the time series generated by the
vertical impact of the sledge hammer. First, we filtered all the time series windows
using a Gaussian filter (Dziewonski et al. 1969; Li et al. 1996; Shapiro and Singh
1999) 

H (, 0 )  e     0  /  0  


2
    
     (1),

where  0  is the  central  frequency  of the  filter,  fixed to 0.2  is the relative
bandwidth and    the frequency.  Filtering  is performed  by first  computing the
Fourier transform of the trace, then multiplying the obtained complex spectrum by
the   Gaussian   filter   and   then   calculating   the   inverse   Fourier   transform   of   the
filtered complex spectrum. 

Second,  the complex seismic traces (Taner et al. 1979;   René  et al. 1986; Parolai


2008) are calculated for each component by 
7

c(t) = r(t) + iq(t)                                        (2),

where  r(t)  is the  real  seismic  trace,  i  is the  square  root  of ­1, and  q(t)  is the
quadrature trace obtained as the Hilbert transform of the real trace. Finally, using
complex seismic traces, we obtained instantaneous polarization attributes. Here
we will focus on reciprocal ellipticity and phase differences, where positive and
negative phase differences correspond to prograde and retrograde ground motion,
respectively;  linear polarized waves have 0°S­wave) or |180°| (P­wave) phase
differences,   and   a   reciprocal   ellipticity   of   0.   A   reciprocal   ellipticity   of   1
corresponds to circular polarization.
Figure 6 shows the vertical­ and radial­component seismograms filtered using
the above described filter with a central frequency of 0.9 Hz. These time series
include   only   five   consecutive   vertical   shots.   Outside   of   the   time   window,
including the first and the last signal generated by the sledge­hammer impacts
(e.g.  occurring  between  about 5 and 15 s in Figure  6), small  filter effects  are
observed. Within this time window, the radial  component of ground motion is
much larger than the vertical  one, the reciprocal  ellipticity is nearly 0 and the
phase   difference   is   close   to   0°.   Figure   7   shows   the   results   for   the   radial   and
transverse components. The ground motion is predominant in the radial direction,
with small reciprocal ellipticity (0.2) and phase differences of nearly 120°. The
results   for   the   vertical   and   transverse   components   (Figure   8)   show   that   the
relatively small ground motion has reciprocal ellipticity that varies greatly (from
0.8 down to 0.3), whereas the phase difference is always around 90°. 
Hence, the polarization analysis suggests that the spectral energy between 0.3
and 2 Hz observed at distances less than 20 m is carried out by waves linearly
polarized in the radial direction. Plotting the radial component spectral amplitude
at 0.9 Hz versus distance (scaled to the reference spectral amplitude at 5 m), a
decay slightly larger than R­2, where R is the source­to­station distance is observed
for   the   first   30   m   (Figure   9).   At   larger   distances   the   spectral   amplitudes   are
dominated by stationary seismic noise, and, therefore, do not decay any further. 
In summary, considering that (1) body waves generated by a surficial source
and recorded at the surface attenuate with R ­2 (Richart et al. 1970), (2) substantial
body waves affect the near field (Tokimatsu and Tamura 1995; Tamura 1996) and
(3) we observe an increase in energy also on the vertical component (although
much smaller than on the radial one), we believe that the contribution of surface
waves   to   the   observed   spectral   amplitudes   can   be   discarded.   Moreover,
considering that a vertical source is expected to radiate a considerable amount of
power as shear waves (Miller and Pursey 1955) and the results of the polarization

analysis (a linearly polarized wave in the radial direction), we suggest that the
wavefield in the frequency range between 0.3 and 2 Hz for sources at distances
smaller than 20 m is dominated by SV waves.
The   amplitude   of   the   waves   is   relatively   small   with   respect   to   higher
frequencies,   but   a   resonance   mechanism   is   amplifying   them   over   shorter
distances.   Although   the   resonance   mechanism   can   still   act   when   sources   are
further away, the spectral energy of the direct SV arrival (that decays with R ­2) is
too small to make the spectral amplitudes larger than those of the stationary noise.
The same mechanism could also explain why the 0.2 Hz resonance peak observed
in the H/V for stationary noise is not affected by the transients.
Therefore, spectral  amplitudes can be determined by the superimposition of
spectral energy arriving directly from the source with a resonance mechanism. A
similar effect for P waves is unlikely, because they are expected to have smaller
amplitudes   and   because   resonance   should   affect   principally   the   vertical
component of ground motion. 
The   lack   of   similar   evidence   when   a   transverse   source   is   considered   (and
therefore generating SH waves more efficiently) could be explained by the lower
spectral amplitude of the horizontal source signal. Note, in fact, that the spectral
amplitudes   (between   10   and   50   Hz)   for   a   source­to­station   distance   of   10   m
(Figure 4) are of the same order of magnitude than those generated by a vertical
source at 20 m distance. The smaller spectral amplitudes do not allow, even in
presence of resonance, to overstep the spectral amplitudes of stationary noise over
the 0.3­2 Hz frequency range. 

Conclusions
In this study we report on the results of an ad­hoc experiment performed to
evaluate the influence of transients in H/V spectral ratio calculations. Consistent
with   previous   studies   (e.g.   Mucciarelli   1998),   we   observed   that   for   certain
distance ranges the peak in the H/V spectra ratio can be magnified when energy is
added to the system. We proposed an explanation of the experimental evidence
that agrees with the state­of­the­art knowledge in vibration studies and with the
outcomes from previous empirical and numerical studies. 
Our results suggest that including transients in the H/V spectral ratio should not
worsen the estimation of the fundamental resonance frequency of a site.  Since the
mechanism generating a peak in the H/V spectral ratio may depend on the source
position relevant to the thickness of the sedimentary column (Parolai and Galiana­
9

Merino   2006),   a   full   understanding   of   the   composition   of   the   wavefield   is


mandatory   before   inverting   the   peak   to   obtain   information   about   the   sub­soil
structure.
On the other hand, if including active sources can help in better highlighting
the resonance effect of S­waves, the use of transients, consistent with Mucciarelli
et al. (2003), might allow a H/V spectral ratio closer to the H/V spectral ratio of
small earthquakes to be obtained.
We believe that these issues are worthy of the attention of the seismological
community and further ad­hoc experiments should be planned in order to better
understand the composition of the noise wavefield.

Acknowledgements
K. Fleming kindly improved our English. Figures have been drawn using the GMT software
(Wessel and Smith 1991). R. Milkereit improved the figures.

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Figure 1:  Vertical  (top), radial  (middle) and transverse  component  (bottom)


recordings of 5 series of alternated vertical and horizontal energization at 5 m
distance from the sensor. Left panels highlight (gray) signal windows selected for
the vertical energization. Central panels highlight (gray) signal windows selected
for   the   transverse   energization.   Right   panels   show   (gray)   signal   windows
containing signals generated by vertical and horizontal sources. Please note that
each transient in the panels is composed by five blows.
14 

Figure 2: Same as Figure 1, but for source­to­sensor distance of 100 m.
15

Figure 3: Vertical and horizontal component Fourier Spectra (left and central
panels, respectively) and H/V spectral ratio (right panels) calculated for increasing
source­to­receiver distances (from top to bottom). Only results for vertical sources
are shown here. Average spectra and H/V for stationary noise are shown with
white lines and the 95% confidence interval is shown by light gray. Black lines
indicate average spectra and H/V results for windows including transients. In the
16 

central panel, gray indicates the  radial component, while dark gray indicates the
transverse component.

Figure 4: As in figure 3 but for horizontal sources.
17

Figure 5: As in Figure 3, but for the signal generated by vertical and horizontal
sources.
18 

Figure   6:   The   vertical   (top   panel)   and   the   radial   (second   from   the   top)
component of ground motion generated by a vertical source at 5 m distance after
applying  a   Gaussian   filter   with   a   central   frequency   of   0.9  Hz.   The   reciprocal
ellipticity (third panel from the top) versus time. The phase difference versus time
(bottom panel). The white background  indicates the time in which the vertical
sources operated. The histograms are calculated considering the data falling within
the area with white background.
19

Figure 7: Same as Figure 6, but for the radial and transverse components.
20 

Figure 8: Same as Figure 6, but for the vertical and transverse components.
21

Figure 9: The spectral amplitude decay for 0.9 Hz versus distance (thin light
gray). The dashed black line indicates a R ­2 decay.  The thicker gray line indicates
a R­1 decay. The dashed gray line indicates a R­0.5 decay.

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