Bulletin of the Seismological Society of America, Vol. 88, No. 1, pp.

228-241, February 1998

Ground-Motion Characteristics Estimated from Spectral Ratio
between Horizontal and Vertical Components of Microtremor
by Katsuaki Konno and Tatsuo Ohmachi
Abstract The spect ral ratio bet ween hor i zont al and vert i cal component s (H/V ra-
tio) of mi cr ot r emor s measur ed at t he gr ound surface has been used to est i mat e fun-
dament al peri ods and ampl i fi cat i on fact ors of a site, al t hough this t echni que l acks
t heoret i cal backgr ound. The ai m of this article is to f or mul at e t he H/V t echni que i n
t erms of t he charact eri st i cs of Rayl ei gh and Love waves, and to cont ri but e to i mpr ove
t he t echni que. The i mpr ovement i ncl udes use of not onl y peaks but al so t roughs in
the H/V rat i o for rel i abl e est i mat i on of t he per i od and use of a newl y pr oposed
smoot hi ng f unct i on for bet t er est i mat i on of t he ampl i fi cat i on fact or. The f or mul at i on
l eads t o a si mpl e f or mul a for the ampl i fi cat i on fact or expressed wi t h t he H/V ratio.
Wi t h mi cr ot r emor dat a measur ed at 546 j uni or hi gh school s in 23 wards of Tokyo,
t he i mpr oved t echni que is appl i ed to mappi ng site peri ods and ampl i fi cat i on fact ors
in t he area.
Introduction
Near-surface sedimentary deposits significantly amplify
earthquake ground motion, which is often referred to as site
effects. Among present approaches to the site-effect evalu-
ation, an empirical one introduced by Kanai (1957) involves
microtremors at periods shorter than about 1 sec. The pri-
mary assumption of the Kanai method is that the source
spectra are white over the period range of interest. However,
the spectra of observed microtremors usually show a re-
markable daily and weekly change, indicating that the spec-
tra reflect the nature of the source as well as the site effects
(Udwadia and Trifunac, 1973).
A technique using horizontal-to-vertical spectral ratios
(H/V ratios) of the microtremors, which was first applied by
Nogoshi and Igarashi (1970, 1971) and popularized by Nak-
amura (1989), has sometimes been used to estimate the site
effects. Several recent applications of this technique have
proved to be effective in estimating fundamental periods
(e.g., Field and Jacob, 1993; Ohmachi e t a l . , 1994) as well
as relative amplification factors (e.g., Lermo and Chavez-
Garcia, 1994; Konno and Ohmachi, 1995). However, in the
authors' opinion, the technique lacks a rigorous theoretical
background still now.
Microtremors observed at the ground surface are
thought to consist of body and surface waves with their pro-
portion unclarified. However, there is a fact that the H/V
ratios of observed microtremors and those of fundamental-
mode Rayleigh waves estimated from geological date appear
very similar at many sites (e.g., Tokimatsu and Miyadera,
1992; Ohmachi e t a l . , 1994). In addition, Lachet and Bard
(1994) indicated with numerical simulation that the H/V ra-
tios at the longer periods were governed by fundamental-
mode Rayleigh waves. Mainly based on these facts, in this
study, a large proportion of microtremors are thought to con-
sist of surface waves, mainly of their fundamental modes.
This article first deals with the peak period in the H/V
ratio of microtremors and its relation to the fundamental pe-
riod of the response to vertically incident S waves. Next,
peak values in the H/V ratio are related to the amplification
factors for the S waves. In this process, a new smoothing
function is proposed for getting a better correlation between
them. A simple relation between the amplification factor and
the H/V ratio, which is similar to a so-called Nakamura' s
method, is also formulated. Finally, the periods and the am-
plification factors estimated from microtremor measurement
at 546 stations in Tokyo are mapped as a demonstration of
practicality of the present study.
Est i mat i on of Fundament al Per i od f r om H/ V Rat i o
H/V Ratio of Fundamental-Mode Rayleigh Waves
S i n g l e - L a y e r e d S y s t e m . Let us consider fundamental-mode
Rayleigh waves in a single-layered model made up of an
elastic layer over an elastic half-space, as shown in Figure
1, and neglect damping properties for both elastic media. S-
wave velocity of the half-space is fixed at 500 m/sec, while
the velocity of the surface layer is changed from 50 to 400
rrdsec. Thickness of a surface layer, H , is determined so as
to give fundamental periods of 1 sec as follows:
H = V s , T s / 4 , (1)
228
Ground-Motion Characteristics Estimated from Spectral Ratio between Horizontal and Vertical Components of Microtremor 229
O
V s , = 5 0 ~ 4 0 0 m/ sec v= p t = 1900 kg/ m 3 H = V s , / 4
Vs2 = 500m/ s ec v 2 p 2 = 1 9 0 0 k g / m 3 oo
Figure 1. Model of an elastic layer over a half-
space. Poisson's ratios, v, were determined from Vs
as follows: v = 0.499, for Vs < 150 m/sec; v =
0 . 4 9 9 - 1 . 1 6 . 1 0 - 4 ( V S - 1 5 0 ) , for V s >-- 150 rrdsec.
where Vsl is S-wave velocity of a surface layer and Ts is the
fundamental period of S waves. At the ground surface, hor-
izontal and vertical amplitudes of the j t h- mode Rayleigh
waves excited by a vertical point force L(co) applied at the
surface are expressed as (Harkrider, 1964)
u/co, r) = [L(co)/2] [t~/v~]:Aj H(12) (k:r).co, (2a)
v~/co, r) = [L(co)12]A: H(0Z)(k:) - co, (2b)
where ai(co, r) and w/co, r) are radial and vertical velocity
amplitudes at the surface, respectively, co is circular fre-
quency, r is distance between the point force and an obser-
vation station, [tih+]j is H/V ratio at a large distance r as
defined by Haskell (1953), Aj is medi um response, and kj is
wavenumber. As for L(co), the following is to be used here,
because it was found to gi ve a good fitting for observed
spectra of microtremors, especially at the longer periods:
L(CO) ~ co -2. (3)
Figure 2 shows three types of particle orbits during
propagation of fundament al -mode Rayleigh waves in the
models shown in Figure 1. Type 1 appears when a velocity
contrast between the two layers is low (Vs2/Vsl <-_ 2.5), in
which the particle motion is retrograde at any period. Type
2 appears when the contrast is fairly high ( VsJVs~ -~ 2.5).
With an increase in the period, the mot i on changes in a va-
riety, such as retrograde, vertical only, prograde, vertical
only, and retrograde. Thus, at both periods T 1 and T2 shown
in Figure 2, the H/V ratio becomes 0, although T 1 and T2 in
type 2 are very close to each other. Type 3 appears when the
velocity contrast is very high (Vs2/Vsl >= 2.5). With the in-
creasing period, the particle mot i on is, in order, retrograde,
vertical only, prograde, horizontal only, and retrograde.
Therefore, the H/V ratio becomes 0 at / ' 1 and infinite at T 2.
It should be noticed in type 3 that Tj is nearly hal f of T2,
which will be discussed in detail later.
Figure 3 illustrates the three types of the H/V ratio men-
tioned above, which are identical to Haskel l ' s ratio [u/wJ0 in
equation (2a). The curves for type 1 (thin solid line), type 2
(dotted line), and type 3 (thick solid line) correspond to S-
Retrograde
Type 1 ~ o
Direction -
of Wave
T y p e _ ~ ~ H/V=O
Prograde
H/V=O H/V=oo
Type ~ . _ _ ~ _ f ~
short< -- : > long
T~ Period T2
o}
C
o
O
o
>
r "
r -
Figure 2. Particle orbit of three types of funda-
mental-mode Rayleigh waves for the models in Fig-
ure 1.
1J-
ZIZ ~--
6
r e
~5
(D
o _
1 6 1
1 ( 3 1
Figure 3.
j l
. . . . . . . _
- T y p e 2
i l l i f l
T 1 o
P e r i o d ( s e c )
Three types of H/V ratio of fundamental-
mode Rayleigh waves. Downward arrows show peak
periods, and upward arrows show trough periods:
type 1, Vsl = 250 m/sec, type 2, Vs~ = 200 rrdsec;
type 3, Vs~ = 50 m/sec.
wave velocities of the surface layer of 250, 200, and 50
rrdsec, respectively. Downward arrows indicate peak pe-
riods, while upward arrows trough periods. Sharp peaks do
not appear in type 1 and type 2, while two deep troughs
appear in t ype 2. Type 3 shows a sharp peak and a sharp
trough, and the trough period is nearly hal f of the peak
period.
230 K. Konno and T. Ohmachi
Figure 4 shows a comparison of four kinds of period for
ground models whose fundamental period for the vertically
incident S wave is set to be exactly 1.0 sec. Filled and open
circles represent, respectively, peak and trough periods in
the H/V ratio for the fundamental-mode Rayleigh waves,
while filled and open squares represent peak periods of the
H/V ratio for the first higher-mode Rayleigh waves and Airy
phase periods for the fundamental-mode Love waves, re-
spectively. When Vsl = 200 m/sec, the H/V ratio has two
troughs (type 2), as shown in Figure 3 with two trough pe-
riods very close to each other. It should be noted that Airy
phase periods for fundamental-mode Rayleigh waves are the
same as the trough periods in the H/V ratio of the modes.
In Figure 4, when S-wave velocity of the surface layer
is smaller than 150 m/sec, both the peak periods for funda-
mental-mode Rayleigh waves and Airy phase periods for
fundamental Love waves are almost identical with the fun-
damental periods of the S waves. Moreover, in this velocity
range, the trough periods are nearly hal f of the peak periods.
Note that peak periods of the HfV ratios of first higher-mode
Rayleigh waves are slightly shorter than the trough periods,
which implies that the trough of fundamental-mode Ray-
leigh waves may disappear from the microtremor H/V ratios,
when higher-mode Rayleigh waves significantly contribute
to microtremors. Otherwise, the fundamental periods are es-
timable from either the peak periods or the trough periods.
Multi-layered System. Now, let us consider realistic multi-
layered systems. The downhole method was applied to mea-
sure P- and S-wave velocities at 14 sites shown in Figure
5a, with results shown in Figure 5b. In Figure 6, thick dotted,
thin dotted, and thin solid lines indicate, respectively, the
H/V ratios of fundamental-mode Rayleigh waves, those of
the first higher one, and transfer functions for vertically in-
cident S waves, calculated for the ground models shown in
Figure 5b. The transfer functions were calculated with the
quality factor Q set to 20 for all the layers. Thi ck solid lines
indicate the H/V ratios of observed microtremors, which will
be described in detail in the following section. As can be
seen in Figure 6, longest peak periods of the H/V ratios of
first higher-mode Rayleigh waves are slightly shorter than
the trough periods of those of fundamental-mode Rayleigh
waves. It would imply that troughs might not be seen in H/V
ratio of measured microtremors, i f microtremors also include
higher-mode Rayleigh waves. Otherwise, the fundamental
periods are estimable from either the peak periods or the
trough periods. In this article, the longest period among peak
periods in the H/V ratio is called a peak period, and, among
peak periods in a transfer function, the longest one is called
a fundamental period, hereafter.
Simple ground models with high velocity contrast, such
as numbers 1, 2, 3, 4, 6, and 9 in Figure 5b, tend to give the
HfV ratios of fundamental-mode Rayleigh waves somewhat
similar to that of type 3 shown in Figure 3. Complex ground
models such as numbers 7 and 8 seem to give the H/V ratios
similar to type 1 at the longer periods and type 3 at the
Type 3 Type 2 Type 1
I I
. -. 2 . 0
' ' O ' I
1 . 5
n
0 . 5 - @ - o - ~ - ~ - ~ - ~ - - - I - - , r - . , - m . . . . . c r

0 I I , I I t r I
50 100 200 300 400
S-wave Velocity of Surface Layer (m/s)
Figure 4. Comparison of four kinds of period.
Filled and open circles show peak and trough periods
of I-I/V ratios of fundamental-mode Rayleigh waves,
respectively. Filled squares show peak periods of H/V
ratios of first higher-mode Rayleigh waves. Open
squares show Airy phase periods of fundamental-
mode Love waves. Fundamental periods of transfer
function for vertically incident S waves are 1.0 sec.
shorter periods. Accordingly, with regard to the complex
models, the H/V ratio of fundamental-mode Rayleigh waves
is likely to show two peaks or more.
Figure 7 shows a comparison between the peak periods
in the HfV ratio of fundamental-mode Rayleigh waves and
the fundamental periods of S-wave transfer function, dem-
onstrating a good correlation between these two kinds of
period.
Figure 8 shows a comparison of Airy phase periods of
fundamental-mode Love waves and the fundamental periods
of the S-wave transfer function. There is a fairly good cor-
relation between these periods, except numbers 8, 10, and
12 sites. For numbers 8 and 10 sites, Airy phase periods
correspond to higher-mode fundamental periods of S waves.
For number 12 site, there is no Airy phase over the period
range of interest. The correlation suggests that the funda-
mental periods are estimable from the HN ratios of observed
microtremor, even when the Love waves consist of the main
portion of the microtremors.
From the above discussions on Figures 4, 6, 7, and 8, it
can be said that the fundamental periods of the S-wave trans-
fer functions are in a good correlation with the HN peak
periods of fundmnental-mode Rayleigh waves and Airy
phase periods of fundamental-mode Love waves, as long as
the ground structure has high velocity contrast.
H/V Ratios of Microtremors
Microtremor measurement was conducted at the ground
surface of the 14 sites mentioned previously. A series of
three-component time histories was simultaneously ob-
served at a sampling rate of 1/50 sec for 40.96 sec, and the
observation was repeated four times to secure its accuracy.
As the Fourier spectra of the two horizontal components
looked similar, their horizontally combined spectrum was
( a )
J
-
i#
139*T0 , 139020' 139"30' 139"40'
Ground-Motion Characteristics Estimated from Spectral Ratio between Horizontal and Vertical Components of Microtremor 231
~ ~Okm
V s ( m/ s )
200 400 600 800
, ~ , e , i i I
i . . . . 1 0 -
g
~ -
" " i O
Fi gur e 5. (a) Location of 14 sites where soil
profiles are available and microtremor mea-
surements were carried out. (b) Soil profiles at
14 sites.
( b ~
0
o
1 0 -
C 3 ~ 3 -
V s ( m / s ) V s ( m / e )
200 400 600 8 0 0 2 0 0 4 0 0 6 0 0 8 0 0
3 0
' I ' 1 ' I 3 0 - , , ~ 4 0
r ' 1 [ ' I 6 0 "
'~o ' , & '~ & ,~ o
1 6 0 0 2 4 ~ 800 1 6 0 0 2 ~ 0 800 1 6 0 0 2 4 ~
v s ( m / s )
2 O 0 4 ( ; O 6 O O 8 O 0
0 1 m t . l m l , i 0
L~O
" ; C ~ e o -
8 o -
" ' l , i , i I 0 0
BOO 1600 2400 O
Vs ( m / s )
2~O 400 6 0 0 800 0
I , I I i # 0
2 0
~4o-
0
I O -
EO-
g
a
5 0
. . . . . . . . V p ( m / s ) . . . . . . . . V p ( m / s ] . . . . . . . . Vp ( m / s )
( a ) N o . 1 ( b ) N o . 2 ( c ) N o . 3
. . . . . . . . V p ( m/ s ) . . . . . . . . V p ( m / s )
( d ) N o . 4 ( e ) N o . 5
V s ( m / s )
2(73 4Go ~ o 8oo
, I , I I = J 0
1 0 -
4O
l i
' i , i ' I l ~ l , , i
, ~ 2,00 o o & , & 2&
. . . . . . . . V p ( m / s ) . . . . . . . . V p ( m / s ]
( f ) N o . 6 ( g ) N o . 7
v s ( m / s )
2OO 400 677 800
: i . ' . ~ ' . . ' . , "
2 0
~,
121
6 0 .
v s ( m / s )
2 0 0 4 0 0 6 0 0 8 0 0
, I ! I , ' m 0
L I . . . . ! 1 o -
f l O ' I ' ! , ! 4 0
0 800 1600 2400
V s ( m / s ) - - V s ( m / s ) V s ( m/ s )
0 200 400 6 0 0 8 c 0 0 ~ 4 . o o ~ ~ 0 200 400 600 8 0 0
, i , i q i L J 0 I ' I ' I ' # I 0 I i I , i , I
: ~ 2 o "~ ,
: 8 c
' 2 4 1 0 0 ' I , I , ! 8 0 , ,
800 11300 2400 I ~ O 1600 24~10
- - V s ( m / s )
2 0 0 4 0 6 0 0 8 0 0 C
I t I I i I * I
f , i i 8 0 .
800 1 6 0 0 2 4 0 0 t
. . . . . . . . V p ( r o t s ) . . . . . . . . V p ( m / s ) . . . . . . . . V p ( m / s )
( h ) N o . 8 ( i ) N o . 9 ( j ) N o . 1 0
V s ( m / s )
2 OO4 OO6 OO8 OO
. . . . . . . . V p (m/s) . . . . . . . . V p (m/s)
( k ) N o . l l (I) N o . 1 2
V s ( m / s )
2 0 0 4 0 0 6 0 0 8 3 0
?
, , . ~ _ _ . l . . i ~ , J o
l i , o
! : ~ -
- 1
~ 0 , [ , f ' | 4 0 , I ' I ' I
8 0 0 1 6 0 0 2 4 0 0 0 8 0 0 1 6 ~ 2 4 0 0
. . . . . . . . V p ( m / s ) . . . . . . . . V p ( m / s )
( m ) N o . 1 3 ( n ) N o . 1 4
cal cul at ed first. The hor i zont al l y c ombi ne d s pect r um i s de-
fi ned as t he ma x i mu m Four i e r ampl i t ude i n a hor i zont al
pl ane at an angul ar f r equency, co. The c ombi ne d and ver t i cal
spect r a wer e t hen s moot hed s epar at el y wi t h Par zen wi ndow
wi t h a band wi dt h o f 0. 5 Hz bef or e t aki ng t he H/V r at i o.
After calculating four sets of the H/V ratios at a site, the
ratios were averaged to obtain a site-specific H/V ratio.
Thick solid lines in Figure 6 indicate the averaged I-I/V
ratios of microtremors, and shaded bands indicate their stan-
dard deviations. Apparently, most of the H/V ratios of mi-
232 K. Konno and T. Ohmachi
101
. o _
r r "
"~ l O 0
( 9
O3
10-1
101
o
" ~ 1 0
O3
1 0 - 1
1 0 1
. o
n,,,
" ~ 10 0
( 9
o .
O3
1 o - I
101
. o _
n-
~ 10 0
" 6
( 9
Q.
O3
10-1
' " ' 1 ' t
! - - . ,
- - i
fin a l ',; ,
10 -1
' " ~ ' t '
' , --___
i i i i , , , , ,
1 0 0
P e r i o d ( s e c )
( a ) N o . 1
' " ' l ' ' " y " ~ . ~ '
- : i
I l l i J ' " . ' i ', '. , i I , ~ ] !
10 -1 10 0
P e r i o d ( s e c )
( e ) N o . 5
- , - ~ q - - . " r - , - r p ' r r ~
- ~
10-1 10 0
P e r i o d ( s e c )
( i ) N o . 9
10 -1 10 0
P e r i o d ( s e c )
( m ) N o . 1 3
: . ,,
, o 14 " = : -
' ' 11
. , . .
w I DI .
v #~l
am ~l
10-1 10 0
P e r i o d ( s e c )
( b ) N o . 2
- = - = ~ | . .
-- : ', :1 :
10 -1 10 0
P e r i o d ( s e c )
( f ) N o . 6
1 0 - 1 10 0
P e r i o d ( s e c )
( j ) N o . l O
m
: . . . . . : . : , : . . . . . . . . .
: : _
,,,
I I I I J t~
10 -1 10 0
P e r i o d ( s e e )
( c ) N o . 3
i '
I ' " ' I . ; . : ' ' ' ' " " I '
, ; w

- I , ; : . -
- ' t , : " -
, i ~ , l , , , , , , , , I ,
10 - I 10 0
P e r i o d ( s e c )
( g ) N o . 7
' " ' 1 ' ' ' " ' " 1 '
~ . , : . . . . ;%. ;
i t m~
1 0 - 1 1 0 0
P e r i o d ( s e e )
( k ) N o . 1 1
I ' " 1 ' ' ' , ~ " 1 ~' ' I
10 -1 10 0
P e r i o d ( s e e )
( d ) N o . 4
, ~ , . .
i / i
10 -1
: , " - =
o:
~ .
w ' - ~
I I I I I I l i I
10 o
P e r i o d ( s e c )
( h ) N o . 8
10 -1 10 0
P e r i o d ( s e c )
( I ) N o . 1 2
10 -1 10 0
P e r i o d ( s e c )
( n ) N o . 1 4
Figure 6. Compar i s on of H/V rat i os of mi cr ot r emor s ( t hi ck sol i d line), t r ansf er func-
t i ons of S waves ( t hi n sol i d l i ne), and H/V rat i os of f undament al ( t hi ck dot t ed l i ne) and
first hi gher ( t hi n dot t ed l i ne) modes of Rayl ei gh waves. H/V rat i os of Rayl ei gh waves
and t r ansf er f unct i ons wer e cal cul at ed for t he gr ound model s s hown i n Fi gur e 5. The
shaded r egi ons r epr esent one st andar d devi at i ons for H/V rat i os of mi cr ot r emor s.
Ground-Motion Characteristics Estimated from Spectral Ratio between Horizontal and Vertical Components of Microtremor 233
crotremors show eminent peaks and troughs similar to those
of fundamental-mode Rayleigh waves (thick dotted lines).
At number 4, for example, the periods of the peak and the
trough of the microtremors are the same as those of funda-
mental-mode Rayleigh waves, and the peak period 1.2 sec
is equal to twice the trough period 0.6 sec.
"o
o
"o
i -
u.
to
>
v
.~ . 5
r "
-_~
n.-
. 1
I I I I I
_ _
/
. 0 5 ( , , , I
. 0 5 . 1
' ' ' 1 ' " ' 1 ' ' . "
/
/
1 3 ~ 5
7 e ' 3 4
1 0 e " e 6
/ l ~ j
. " ; 1 2
/ " 1 4
, , , l , , , , l , , ,
. 5 1 5
Fundamental Period of S Wa v e s (sec)
Fi gur e 7. Comparison of H/V peak periods of fun-
damental-model Rayleigh waves and peak periods of
transfer function for vertically incident S waves. Each
number in this figure corresponds to site number
shown in Figure 6.
Figure 9 shows a comparison of trough period to peak
period ratios of both microtremors and fundamental-mode
Rayleigh waves at 14 sites indicated by open and filled cir-
cles, respectively. At number 11 site, the H/V ratio of fun-
damental-mode Rayleigh waves appears similar to type 2,
which has two troughs as shown in Figure 3. Therefore, two
filled circles are plotted for number 11. The period ratios for
microtremors vary between 0.14 and 0.62 with a mean of
0.41, while the mean for the Rayleigh waves is 0.54. Note
that these values are close to the period ratio 0.5 of a single-
layered system. This fact gives us a basis to estimate fun-
damental periods by means of not only peak periods but also
trough periods in the H/V ratios of microtremors.
Figure 10 shows a comparison between the H/V peak
periods of microtremors and fundamental periods of S-wave
. 0 - " I " I I I I ' ' l I I I I I I I I
+ I " + i
+ . . . . . . . . . . .
,,, ,, o . - - ' ;
~-
0 ~ , l I 1 I i i I I I I "~" r i
1 2 3 4 5 6 7 8 9 1 0 1 1 1 2 1 3 1 4
Site Number
Fi gur e 9. Comparison of ratios between trough
periods and peak periods of H/V ratios for 14 sites.
Filled and open circles show the ratios of fundamen-
tal-mode Rayleigh waves and those of microtremors,
respectively.
"t3
t ' -
@ . , - - .
E ~
1:3 "--,"
c"
L L >
0
8 >=
I~. _ j
u~
0 .
. a -
I I I I
_
. 5 -
. 1 - - . "
.05
. 0 5 . 1
.e.04 5
. ~ 3
. e 6 1 3
1 9 7
..'i~ 2
/ 1 1 4
/
8
1 0
. 5 1 5
Fundamental Period of S Wa v e s (sec)
Fi gur e 8. Comparison of Ai ry phase periods of
fundamental-mode Love waves and peak periods of
transfer function for vertically incident S waves. Each
number in this figure corresponds to site number
shown in Figure 6.
A
t o
o
E
0
o
. 8
13_
"1-
i i i 1 I
1 -
. 5 -
. 0 5 ~ ; ' ' ' ~1
. 0 , = . 1
I i I I l ' l i l I I i , .
7 o . 5
1 2 6 011.~'~ 3 " e ' ~ '
e e e , , ~ l 1 3 Z
g , /
. e ] 4
e l O
, J , I , , , I , I , -
. 5 1 5
Fundamental Period of S Wa v e s (sec)
Fi gur e 10. Comparison of H/V peak periods of
microtremors and fundamental periods derived from
transfer functions for vertically incident S waves.
Each number in this figure corresponds to site number
shown in Figure 6.
234 K. Konno and T. Ohmachi
transfer functions. A fairly good correlation can be seen be-
tween the two kinds of period, except for numbers 7, 10,
and 12. As can be seen in Figure 6, at these ttiree sites, the
I-I/V ratios do not exhibit eminent peaks at around the fun-
darnental periods, which seems to cause the low correlation.
Among others, the transfer function for number 12 has nei-
ther emi nent peaks nor troughs because of low vel oci t y con-
trast. In such cases, it is difficult to estimate a fundamental
period f r om microtremors.
Es t i ma t i on o f Ampl i f i c a t i on Fact or f r o m H/ V Rat i o
H/ V Peak Value of Fundament al -Mode
Rayl ei gh Waves
Smoothing Function. As mentioned earlier, the H/V ratios
of fundament al -mode Rayl ei gh waves become infinite at
some peak periods, f r om which one may think it difficult to
find a correlation bet ween amplification factors for S waves
and the I-I/V ratios of Rayl ei gh waves. The difficulty rising
f r om the infinity can be avoided when a smoothing process
is introduced before calculating the H/V ratio of the Rayl ei gh
waves, j ust like in the process of mi crot remor data analysis.
As for the smoothing, however, attention should be pai d to
a smoothing function appropriate for the present purposes.
Let us consider and compare two smoothing functions.
One is a Parzen window function, and the other is a newl y
proposed logarithmic one expressed as
WB(f, f i ) = [sin (loglo(f/fc)b)/loglo(flfJ] 4, (4)
where b, f andfc are a coefficient for band width, frequency,
and a center frequency, respectively. Dotted and solid lines
in Figure 11 illustrate respectively Parzen windows with
band width of 0.5 Hz and the logarithmic ones with b = 20,
for several center periods. Periods are taken on a horizontal
axis on a log scale. Due to the log scale of the axis, with an
increase in the period, width of the bell-shaped Parzen win-
dow increases while that of the logarithmic one keeps con-
stant. Moreover, bell shapes of the Parzen wi ndow are un-
symmet ri cal with respect to each center period, while those
for the logarithmic one are symmetric. Effects of these dif-
ferences become apparent when these t wo functions are ap-
plied to H/V ratios.
Thi ck and thin solid lines in Figure 12 show the HN
ratios of fundament al -mode Rayl ei gh waves in two single-
layered model s havi ng different thicknesses of surface layers
but the same velocity contrast with a fundamental period of
0.2 or 1.0 sec. Dotted lines in Figure 12a represent the HUV
ratios smoothed with Parzen window with a band width of
0.5 Hz, and those in Figure 12b, smoothed with the loga-
rithmic one with b = 10, 20, and 30. The smoothing was
performed for horizontal and vertical amplitudes separately
before taking these ratios, which caused a shift in a peak
period, as can be seen in Figure 12.
As illustrated in Figure 12a, the peaks in the H/V ratio
09
1 . 0
0 . 8
0 . 6 1 -
0 . 4 1 -
2 I j
0 . 1 0 1
I I
t 1
1 0 0
Period (see)
Figure 11. Shapes of two types of smoothing
function at center frequencies of 0.5, 1.0, 2.0, and 5.0
Hz. Dotted line: Parzen window with bandwidth of
0.5 Hz. Solid line: newly proposed window, W B, with
b = 20.
smoot hed by Parzen window show a difference in height
whenever their peak periods are different, even for the
ground model s with identical velocity contrast. Tiffs must
be an essential disadvantage for our present purpose of cor-
relating an amplification factor with a peak value in the H/V
ratios. Meanwhile, those smoothed by the logarithmic one
illustrated in Figure 12b show the same height irrespective
of the period as long as the b-values are the same. For this
reason, the logarithmic function in equation (4) is used for
the smoothing, and a correlation bet ween amplification fac-
tors and H/V ratios is sought in the following sections.
Single-Layered System. Single-layered ground models
listed in Tabl e 1 are considered here. S-wave velocity of the
half-space is fixed at 500 m/sec, while the velocity Vs2/Vsl
of the surface layer varies from 67 to 400 m/sec. Thickness
of each surface layer is changed by equation (1), depending
upon fundamental periods T s varied as 0.2, 0.4, 0.6, 0.8, 1.0,
and 1.2 sec. Poi sson' s ratios, v, are determined f r om V s as
follows:
v = 0.499 for Vs < 150rrdsec,
v = 0.499 - 1. 16. 10- 4( Vs - 150) for Vs >- 150m/sec.
The above relationship was obtained f r om Vs and Vp profiles
determined by the downhole met hod at 85 sites in and
around Tokyo.
Figure 13a shows the peak value RB of the H/V ratio of
fundament al -mode Rayleigh waves plotted against the ve-
locity contrast Vs2/Vsl. Triangles indicate those for the pa-
ramet er b = 10 in equation (4), squares for b = 20, and
Ground-Motion Characteristics Estimated from Spectral Ratio between Horizontal and Vertical Components of Microtremor 235
Table 1
Geological Structure for the Simple Simulation Models
Layer Thickness (m) Vs (m/see) Density (kg/m 3)
~.~ 1 U ~ o o [ ] I ] ] ] I o o I s u ~ f f a c e ~ 67 ,0 40"--"-"~ ' . 9 X 103
" 1 . .i t I r t Half-space oo 500 1.9 X 10 3
of a was Thickness surface layer, H, determined from equation (1) so as
to give fundamental periods, T s of 0.2, 0.4, 0.6, 0.8, 1.0, an d 1.2 sec.
1 Poisson's ratios, v, were determined from V s.
1 0 0 , , , , , , ,
|
6 [ - . . . . o .
. , , ~ 1 L I 1 I I l l l l l l I J t o . . . . . . o . . . . . . ~ . . . . . . . e - -
l o 0
4
( a ) P e r i o d ( s e e ) /
~" 0 ' ' ' '
~' ~ ~ 1 , = 1 o ~ ~ / ~:oo~ ~ ( a ) VdVs~
. 0 = 1 0
o O ~ / ~ - " ' \ k , . ~ Q : I O , , , , ~ ' ~ . . . ~ .
1
.
e,, ..... G ..... C a s e - 2 / " . . . . . . .
0 ~ C a s e - 3 ./.,P" _ _ . . . . , ~ -
..... ,~----- C a s e - 4 . / . : ~ -
1 0 ~ L t I I I t I l i l t I I 6 . - - e - - c ~ s e - s / ~ . . . ~ , . . . - - %
1 O ' 1 0 0 ..... e . . . . . C a s e - 6 / / . - ~ " "
( b ) P e d o d ( s e e ) ' * C a s e - 7 . . . . ~ " - . . . . " . . . . . "
F i g u r e 12. Smoothed and not smoothed H/V ratios ~ ~ -
of fundamental-mode Rayleigh waves for two cases
of ground model, which have a different thickness of
a surface layer, while Vsl are commonly 67 m/see for
each model. The thickness was determined to give a
fundamental period of 0.2 and 1.0 sec. Thick solid
and thick dotted lines showing peaks at about 1.0 sec
represent H/V ratios for models having a fundamental
period of 1.0 sec. Thin solid and thin dotted lines
showing peaks at about 0.2 sec represent H/V ratios
for models having a fundamental period of 0.2 sec.
Solid lines represent [u/r9]0 as in equation (2). (a) The
dotted lines represent H/V ratios using Parzen window
with bandwidth of 0.5 Hz. (b) The dotted lines rep-
resent H/V ratios using smoothing function, We, for b
= 10, 20, and 30.
0 i I ~ I , I
0 2 4 6
v~lv~
( b )
8
Fi gure 13. Relation between H/V peak values, RB,
of fundamental-mode Rayleigh waves and velocity
contrast, Vs2/Vsl. (a) Triangles indicate results for
b = 10, squares for b = 20, and circles for b = 30.
(b) Each line indicates results for Poisson's ratio mod-
els in Table 2 and for b = 20.
236 K. Konno and T. Ohmachi
3
2
1
0
i I i I i I I
i I ~ I i I i
0 2 4 6 8
vdv
Fi gur e 14. Relation between the normalized pe-
riod, Tn/Ts, and velocity contrast, Vsz/Vsl. TB: H/V
peak periods of fundamental-mode Rayleigh waves.
Ts: Fundamental period of transfer function for ver-
tically incident S waves. Triangles indicate results for
b = I0, squares for b ~ 20, and circles for b -- 30.
Table 2
Poisson' s Ratio for the Simple Simulation Models
Case Surface Layer Half-space
1 0.499 for Vsl < 150 m/ sec 0.458
0.499-1.16' 10-4(Vsl - 150) for Vsl ~= 150 m/sec
2 0. 499 for Vsl < 150 m/ sec 0.300
0. 49%1. 16- 10-4(Vsl - 150) for Vsl >~ 150 rrdsec
3 0. 450 0. 458
4 0. 400 0.458
5 0. 350 0. 458
6 0. 300 0.458
7 0. 300 0. 300
circles f or b = 30. Evi dent l y, t he hi gher t he vel oci t y cont rast
is, t he l arger t he peak ratio R B is. For b = 10, t he peak ratio
Ro is al most l i nearl y correl at ed wi t h t he vel oci t y cont rast ,
but t he l i neafi t y di sappears f or a l arger b-val ue.
The b-val ue has a consi derabl e i nfl uence not onl y on
t he peak ratio but al so on t he peak peri od, as can be seen in
Fi gur e 12b. Rat i os of peak peri ods To of f undament al - mode
Rayl ei gh waves cal cul at ed f r om t he smoot hed H/V ratios t o
f undament al peri ods Ts of t he S- wave t ransfer f unct i on are
pl ot t ed agai nst vel oci t y cont rast s Vs2/Vsl i n Fi gure 14, in
whi ch triangles i ndi cat e t hose smoot hed wi t h b = 10,
squares wi t h b = 20, and ci rcl es wi t h b = 30. The per i od
ratios f r om b-val ues 20 and 30 are al most uni t y f or the ve-
l oci t y cont rast l arger t han 2.5.
Thus, in sel ect i on o f an appropri at e b-val ue, there seems
t o be a ki nd of t r ade- of f bet ween the t wo fact ors; a smal l er
# 1 5
P 0
10 -
5
0
0 5 10 15
R , ,
Fi gure 15. Relation between H/V peak value, RB,
of fundamental-mode Rayleigh waves and amplifi-
cation factors, As, for vertically incident S waves for
85 models obtained from soil data measured by the
downhole method. For the amplification factors, two
types of quality factor Q are taken into consideration.
Circles and squares indicate results for the Q = 20
model and for the Q = Vs/lO model, respectively.
Solid line shows A s = 2.5Ra. In addition, filled cir-
cles represent the results for models with a single
layer over a half-space (Q = 20 model).
b-val ue is preferabl e f or obt ai ni ng a linear rel at i on bet ween
peak ratios and vel oci t y contrasts, whi l e a l arger b-val ue is
preferabl e f or r educi ng el ongat i on in t he peak period. Con-
si deri ng t hese fact ors, b = 20 has been sel ect ed f or use i n
t he present study.
As the peak ratio R o was t hought to depend on Poi s s on' s
ratio, t hose f or several Poi sson' s ratios listed i n Tabl e 2 were
cal cul at ed wi t h b = 20 and pl ot t ed i n Fi gure 13b. Obvi -
ousl y, t he peak ratio R8 t ends t o i ncrease wi t h a decrease i n
Poi s s on' s ratio, especi al l y of a surface layer. However , the
rel at i ons bet ween R o and Vs2/Vsl are similar when t he Poi s-
s on' s ratio of a surface l ayer is over 0. 45 (cases 1, 2, and 3
in Fi g. 13b). As Poi s s on' s ratio is known appr oxi mat el y t o
be equal t o 0.5 f or soft saturated soils but t o decrease wi t h
i ncreasi ng stiffness of soils (Ishihara, 1996), it seems rea-
sonabl e t o t ry t o formul at e f or case 1 as l ong as our pr i mar y
interest is t owar d such gr ound condi t i ons.
Mul t i - l ayer ed Syst em. Real i st i c gr ound model s wer e ob-
t ai ned by appl yi ng the downhol e met hod at 85 sites i n and
ar ound Tokyo. When t he H/V ratio of f undament al - mode
Rayl ei gh waves has t wo peaks or mor e, t he peak at a l onger
peri od was f ound usual l y t o cor r espond to t he f undament al
one of the S- wave t ransfer f unct i on (Fig. 7).
For the t ransfer funct i ons, t wo t ypes o f qual i t y f act or Q
are t aken i nt o consi derat i on. One is a const ant Q set t o
Ground-Motion Characteristics Estimated from Spectral Ratio between Horizontal and Vertical Components of Microtremor 237
101
. 0 _
r r
" ~ 10 0
4 - - =
o
(u
EL
GO
10" 1
101
0
n "
- ~ l O 0
63
EL
GO
10-1
101
. o
r r
10 0
" 6
(9
EL
GO
10-1
101
0
r r "
" ~ 10 0
63
EL
GO
10 -1
. . . . . . . . . . \ :
"v"
, , , i , , , , , , , , I I
1 0 - 1 1 0 0
Period (sec)
( a ) N o . 1
' " " 1 ' ' ' " " 1 i
i
, . : - i -
I , , 1 " I f , ~ , t , , I
I
10-1 10 0
Period (sec)
( e ) N o . 5
1 , , I l I , , , , 1 1 1 1 I
! . . . . . . % /
~ 1 1 , 1 i , , l l t l l l ,
10- I 10 0
Period (sec)
(i) N o . 9
"-" -5--
' " " I " ' ' " I ' ' ' " I '
, , , , I , , , , , , , , I ,
10- I 10 0
Period (sec)
( b ) N o , 2
i , r , l - i J I I ' l i , q l
\ -
, , i , l ' ' , " , I l l ,
1 0 - I 1 0 0
P e r i o d (sec)
(f) N o . 6
' " ' 1 ' ' ' " ' " 1
j . . . . - - - . . . . . . . . .
10-1 10 0
Period (sec)
( i ) N o . l O
10 - f 10 0 10-1 10 0
Period (sec) Period (sec)
( m ) N o . 1 3 ( n ) N o . 1 4
l , , I " - i ' ' ' " " I '
I l l l I l I I l l l | i I
10 -1 10 0
Period (sec)
( c ) N o . 3
10- ! 10 0
Period (sec)
( g ) N o . 7
' " ' 1 ' ' " ' " ' 1
i - m
\ ,
! l l l l l I I I I I I I I I I
10 -1 10 0
Period ( s e c )
( k ) N o . 1 1
' " ' 1 ' ' " ' " ' 1
i , , , , l i , , , , , , d
10 -1 10 o
Period ( s e c )
( d ) N o . 4
7 , , ' , I , ', , , , , , , ~ .... ,
. . . . \ /
: j
,,,I , , , , , , , , l , ]
10-1 10 0
Period ( s e c )
(h) N o . 8
~ " l ' ' ' ' " " l '
, , , I , I , , , , , , [ I
10 - I 10 0
Period (sec)
(I) N o . 1 2
Figure 16. Comparison of H/V ratios of microtremors (thick solid line) and fun-
dament al -mode Rayleigh waves (dotted line) used by smoothing funct i on We, and
transfer functions for vertically i nci dent S waves (thin solid line) at 14 sites shown i n
Fi gure 5.
238 K. Konno and T. Ohmachi
Q = 20 for all the soils, and the other is a velocity-dependent
Q given by Q = Vs/lO. The peak ratios R B of fundamental-
mode Rayleigh waves at the longest period are plotted
against the amplification factor A s at the fundamental period
of the S-wave transfer functions in Figure 15, in which cir-
cles are for the Q = 20 model and squares for Q = Vs/lO.
As can be seen in Figure 15, there are two main groups of
data, one with Re = 1 to 3 corresponds to type 1 or 2 as
shown in Figure 3, another one with R e = 4 to 7 corresponds
to type 3. The amplification factor As tends to increase with
an increase in the peak ratio Re. These results are contradic-
tory with the poor correlation found by Lachet and Bard
(1994). At least two reasons for these differences might be
considered. One is that fundamental-mode Rayleigh waves
alone are taken into account here, while Lachet and Bard
(1994) took surface and body waves into account. The other
is their soil profiles with Poisson' s ratios different from those
used here.
Filled circles in Figure 15 represent the results for mod-
els with a single layer over a half-space (Q = 20 model).
The relations between A s and RB are not linear for single- or
multi-layered media. However, for simplicity, i f we use the
following relation shown by the solid line in Figure 15, we
can get a simple formula proposed by Nakamura (1989), as
follows:
As = 2.5Re. (5)
I f microtremors consist of fundamental-mode Rayleigh
waves alone, amplification factors are estimable from the As
versus Re relation shown in Figure 15 or equation (5). When
microtremors consist of fundamental-mode Rayleigh and
Love waves, the H/V ratio of the microtremors can be de-
composed as
Ru(T) = [HR(T) + HL(T)]IVR(T), (6)
where T is period, HR(T) and HL(T) are horizontal compo-
nents of the Rayleigh and Love waves, respectively, and
VR(T) is a vertical component of the Rayleigh waves. The
proportion of the Rayleigh waves in horizontal components
of microtremors is expressed as
fl(T) = He(T)/[HR(T) + HL(T)]. (7)
Combining equations (6) and (7) leads to
RM(T) = HR(T)/[/~(T)" V~(T)] (8)
in which HR(T)/VR(T) denotes the H/V ratio of the Rayleigh
waves. After smoothing with the function We, H/V ratios of
microtremors are expressed as
RMB(T ) = Rz~(T)/~(T) (9)
in which RMB(T ) and RB(T) are the HIV ratios of microtre-
15
10
5
0
: U
- ,
0 5 10 15
As
Figure 17. Comparison of H/V peak value, RM~,
of measured microtremors and amplitude factors, As,
derived from transfer function of vertically incident S
waves. Solid line shows RM8 = As. Each number in
this figure corresponds to site number shown in Fig-
ure 16.
mors and the Rayleigh waves, respectively. Substituting
equation (5) into equation (9) leads to
As = 2.5 fl RMB (10)
in which Rue and As are the values of RMe(T) and As(T) at
their peak periods. I f the value of fl at each site is given,
amplification factors can be estimated by using equation
(10). However, there has been little knowledge available
about in situ fl(T). According to a spatial autocorrelation
study by Miyadera and Tokimatsu (1992), fl in the field tends
to vary from site to site but lies between 0.3 and 0.5. Thus,
even i f it is a very strong assumption, fl = 0.4 is tentatively
assumed irrespective of site in this article. Then, substituting
fl = 0.4 in equation (10) leads to a very simple formula for
A s, which is equivalent to Nakamura' s method.
A s ~ RUB. (11)
Figure 16 shows a comparison of HN ratios of measured
microtremors plotted by thick solid lines, fundamental-mode
Rayleigh waves plotted by dotted lines, and transfer func-
tions for vertically incident S waves plotted by thin solid
lines. Numbers of the sites are identical to those mentioned
for Figure 5, and the transfer functions were calculated with
Q = 20. Note that the two troughs in Figure 6k are unified
in Figure 16k by smoothing the H/V ratio of fundamental-
mode Rayleigh waves. The peak ratios RuB of measured
microtremors and amplification factors As that were read
from Figure 16 are compared in Figure 17, in which a solid
line indicates RMB = As. As a whole, there appears a fairly
Ground-Motion Characteristics Est i mat ed f r om Spectral Ratio between Horizontal and Vertical Components of Mi crot remor 239
0 5 10 km
139040 , 139%0'
Figure 18. Distribution of 546 fundamental periods estimated from I-I/V ratios of
microtremor. Size of circles shows fundamental periods. Patterns of hachure show
subsurface geology.
good correlation between RuB and A s . However, although
the values of RMB and A s are al most the same, there is a
considerable difference between peak periods and funda-
mental periods at numbers 7, 10, and 12, as can be seen in
Figures 6 and 16. Thus, this is a limitation of the present
technique that needs to be solved.
Appl i cat i on to Ma p p i n g of Per i ods
and Ampl i f i cat i on Fact or s
As a practical application, the present technique was
applied to mappi ng fundamental periods and amplification
factors after estimating t hem from mi crot remor data at 546
j uni or high schools in 23 wards in Tokyo.
Figure 18 shows a map of the estimated fundamental
periods. In the period estimation, peaks in the H/V ratios of
the microtremors were used in most cases, but troughs were
somet i mes used depending upon which was clearer. Size of
a circle is proportional to the periods. Hatched square pat-
terns indicate the subsurface geology. Apparently, the esti-
mat ed fundamental periods are shorter at l oam sites and
longer at clay sites, which is consistent with the existing map
by Taj i me et al. (1977).
Figure 19 shows a map of the estimated amplification
factors, which was also found to be consistent with the ex-
isting map by Shima (1987). It is interesting to note that the
distribution of the amplification factors seems to be corre-
lated with the surface geol ogy to some extent but that the
correlation is not as high as that of the fundamental periods.
Concl us i ons
In this study, assuming that microtremors consist of sur-
face waves, the H/V technique has been formulated in terms
of Rayleigh and Love waves in layered soils.
First, peak periods in the H/V ratios of fundamental-
mode Rayleigh waves agree well with fundamental periods
of transfer functions for vertically incident S waves, and the
H/V ratio tends to show a trough at hal f of the peak period
when a site has soft surface soils. Based on these, it is rec-
240 K. Konno and T. Ohmachi
I . . . . . . I I ' I - I
0 5 10 k r n
139040 ' 139" 50'
Figure 19. Distribution of 546 amplification factors estimated from tt/V ratios of
microtremor. Size of circles shows amplification factors. Patterns of hachure show
subsurface geology.
ommended to use the periods of not only the peaks but also
the troughs in the H/V ratios of microtremors in view of
estimating the fundamental periods.
Next, the amplification factor has been correlated with
the H/V peak ratio of fundamental-mode Rayleigh waves. In
the process, a new logarithmic window function was pro-
posed, because it has some advantages in comparison with
the Parzen window. When smoothed with the logarithmic
function, the H/V peak ratio of microtremors was found to
be directly related with the amplification factor. Especially
when proportion of Rayleigh waves in the microtremors is
0.4, the peak ratio becomes nearly equal to the amplification
factor.
Finally, the present technique was applied to mapping
of fundamental periods and amplification factors in the area
of 23 wards of Tokyo. The maps were found to show a good
correlation with surface geol ogy and existing maps, which
suggests practicality of the present technique even though it
has some points to be improved.
Ac knowl e dgme nt s
The authors express their thanks to Professors S. Mi-
dorikawa, T. Toshinawa, and K. Seo at Tokyo Institute of
Technology and Dr. Y. Nakamura at Railway Research In-
stitute for fruitful discussions and advice, and also to Mr. T.
Endoh, former graduate Student at Tokyo Institute of Tech-
nology, for his selfless cooperation in the field work, the
associate editor, Hiroshi Kawase, and anonymous reviewers
for many valuable comments.
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Department of Civil Engineering
Shibaura Institute of Technology
3-9-14 Shibaura, Minato-Ku, Tokyo 108 Japan
E-mail: konno @ sic.shibaura-it.ac.jp
(K.K.)
Interdisciplinary Graduate School of Science and Engineering
Tokyo Institute of Technology
4259 Nagatsuta, Midori-Ku, Yokohama 226 Japan
(T.O.)
Manuscript received 1 May 1996.