Bulletin of the Seismological Society of America, 89, 4, pp.

877-887, August 1999

Numerical Evaluation of the Effect of Cross-Coupling of Different

Components of Ground Motion in Site Response Analyses
by Roberto Paolucci

Abstract The effect of cross-coupling between the three components of ground

motion in the evaluation of site-response functions, such as standard spectral ratios
(SSRs) and horizontal-to-vertical spectral ratios (HVSRs), is analyzed in this article.
Numerical analyses of the seismic response of fully 3D geological structures, namely,
a real topographic irregularity and an ideal stratigraphic inclusion, have been carried
out to obtain a 3D transfer function in the form of a 3 3 matrix. Each element of
this matrix contains the frequency response in the ith direction due to an input motion
in the jth direction. A synthetic set of acceleration time histories at the surface of the
geological irregularity has been created by convolution with the 3D transfer function,
using as input motion different real multicomponent strong-motion accelerograms
recorded at stiff-soil or rock sites. The SSRs and HVSRs are calculated and compared
with the theoretical 3D transfer function in order to highlight the effect of cross-
coupling terms. These are found to generate a rather large dispersion in the site-
response functions, as well as response peaks that could be misleading in the inter-
pretation of both numerical and observed spectral ratios.

Introduction

Topographic or stratigraphic irregularities of surficial
geology have long been recognized to affect earthquake
ground motion significantly. The identification of site effects
on seismic records is typically carried out by calculating site-
response functions, in the frequency domain, from which the
effects of source and propagation path are removed. The
theoretical and experimental methods for the determination
of site-response functions are generally subdivided into two
main categories, "reference" and "nonreference" site tech-
niques (see e.g., Bard, 1995; Field and Jacob, 1995), de-
pending on the availability of seismic records at a reference
site.
The two most common techniques for evaluating site
effects from earthquake records are considered in this article:
the standard spectral ratio (SSR) and the horizontal-to-
vertical spectral ratio (HVSR). The SSR technique has been
extensively used since the early 1970s (e.g., Borcherdt,
1970; King and Tucker, 1984) to determine empirical trans-
fer functions from spectral ratios of the response at a sedi-
ment site with respect to a bedrock site. The HVSR technique
has been introduced more recently (Nakamura, 1989; Suzuki
et aL, 1995) as a simple and powerful nonreference tech-
nique, where the site-response function is defined as the
spectral ratio of the horizontal component versus the vertical
one. The method, originally based on microtremors, has
been subsequently extended, with different levels of success,
to weak- or strong-motion earthquake records on strati-
graphic (e.g., Lermo and Ch~ivez-Garcfa, 1993; Theodulidis
et aL, 1996; Raptakis et aL, 1998) or topographic irregular-
ities (e.g., Ch~ivez-Garcfa et al., 1997). The evaluations of
the HVSR based on numerical analyses (Lachet and Bard,
1994; Dravinski et al., 1996; Coutel and Mora, 1998) have
shown that the ability of the method to capture the resonance
frequencies of the geological structure strongly depends
on the geometry of the structure and on the incident wave-
field.
Both SSR and HVSR techniques use the ground-motion
components separately to calculate spectral ratios, thus dis-
regarding the cross-coupling effects due to 2D or 3D wave
propagation. Although the limits of the SSR and HVSR have
been already pointed out for the case of complex incident
wavefields such as nonvertically propagating plane waves or
surface waves (e.g., King and Tucker, 1984; Coutel and
Mora, 1998), the application of such techniques to 3D geo-
logical structures, also in the simplest case of vertically in-
cident plane waves, gives rise to several problems in the
interpretation of results, which are addressed in this article.
As recently shown by Tumarkin (1998), a better under-
standing of the complex propagation effects in a 3D geolog-
ical structure can be obtained by calculating a 3D transfer
function that takes into account the cross-coupling between
all three components of motion at two sites. In this article
such 3D transfer functions are calculated through numerical
analyses of the seismic response of fully 3D geological

877
878
structures, namely, a real topographic irregularity and an
ideal stratigraphic inclusion, subjected to the vertical inci-
dence of plane waves. The analysis takes advantage of a
synthetic set of acceleration data, created by convolution of
the 3D transfer function with a set of real multicomponent
accelerograms, representative of strong ground motion at
rock or stiff-soil sites. SSRs and HVSRs are then calculated
for this set of data and compared with the theoretical 3D
transfer functions. The relevance of the cross-coupling terms
in the 3D transfer function is emphasized, and the effects on
the site-response functions are discussed.
3D Site-Response Functions
The frequency response at the surface of a topographic
or stratigraphic irregularity can be expressed as follows:
~1%0 = ~ - u~(f) + ~ u2(f) + ~ g f f ) " u3(f)
u~(f) + m @ ( f ) , u3(f)
- u2(f) + ~3900 u3ff),
where ~/k)(f) denotes the ith component of ground motion
(displacement, velocity, or acceleration) at site k, Ui(f) is the
corresponding ground motion at the reference site, and
/~/f)(f) is the frequency response in the ith direction due to
an incident harmonic motion, of unit amplitude, oriented
alongjth direction. Therefore, the 3D site response at a spe-
cific location is characterized by the nine response functions
The notation used in (1) does not separate amplification
effects of body waves or surface waves. However, it has the
advantage of providing a synthetic picture of the 3D re-
sponse of the site and allows the determination of soil re-
sponse in the linear range for a generic multicomponent in-
put motion, once the/40 functions are available. In an ideal
1D geometry, with vertical wave incidence, only the diag-
onal terms are present in (1). As the site geometry becomes
more complicated, or in the case of a nonvertically incident
wave field, the cross-coupling terms acquire more impor-
tance and may considerably affect the site response. For
simplicity, only the case of vertically incident plane waves
is dealt with here.
In the SSR technique, the site-response function at site
k along the ith direction is defined as
gR< )O0 : IY})OOl/lu,O01 : Ir?)OO/uio01.
Considering (1) and taking for simplicity i = 1, the SSR
response function can be expressed as follows:
HSSR(1) = [YI[U11 = Inll + H12" Uz/U1
+ H13. U3/UI[,
R. Paolucci
where superscript k and the frequency dependence have been
omitted for simplicity. Similar equations apply for the other
two components of motion. If the cross-coupling terms H~2
and H~3 in equation (3) are disregarded, the site response
HssR(1) coincides with Hll.
In the HVSR technique, the site-response function is de-
fined as
I4 sR(i) = (4)
Index i = 3 denotes hereafter the vertical spatial component.
Taking again i = 1, we obtain
HHVSR(1) = IYI/Y31 = HHUI + H12U2 + H13U3. (5)
H31U1 + H32U 2 + /-/33U3
If cross-coupling terms are disregarded, equation (5) be-
comes
= HnU1 (6)
HHVSR(I) n33u 3 "
(1)
Further assumptions of the ttVSR technique are that the
amplification of the vertical component of motion is negli-
gible (i.e.,//33 = 1 over all frequencies) and that U ] U 3 (i.e.,
the ratio between the horizontal and vertical components of
motion at the reference site) is constant and equal to 1. The
former assumption depends on the characteristics of site am-
plification, while the latter one was verified by Nakamura
(1989) based on microtremor recordings. Theodulidis et al.
(1996) have found U1/U 3 ~- 1 in a wide frequency range,
using strong-motion data at the Garner Valley downhole ar-
ray. However, this assumption is related to source charac-
teristics and source-receiver distance and may strongly in-
fluence the levels of amplification predicted by the HVSR.
If the previous assumptions are valid, HHVSR(1) coin-
cides with Hll. As a consequence, both site-response func-
tions HSSR(i)Oc) and HHVSR(i)(f ) should coincide with Hii(f )
defined in equation (1), for the case i = 1,2 (horizontal
components).
(2)
Figure 1. 3D view of Mt. Ushibara near Matsu-
zaki harbor, Japan, with the location of the three sta-
(3) tions.
Numerical Evaluation of the Effect of Cross-Coupling of Different Components of Ground Motion in Site Response Analyses 879

Evaluation of Frequency-Response Functions on a map provided by the Public Works Research Institute
by 3D Numerical Analyses of Japan (PWRI, 1986). Details on the characteristics of the
site, material properties, and recorded ground motions can
The site-response functions illustrated in the previous be found elsewhere (Paolucci et al., 1999), together with a
section are first evaluated in the case of a real 3D topo- detailed comparison of experimental and numerical results.
graphic irregularity, illustrated in Figure 1, which depicts The seismic response of the hill is numerically calcu-
Mt. Ushibara, near Matsuzald harbor, Japan. The hill is 250 lated by a spectral method that uses Legendre polynomials
m high, with an equivalent radius at the base, calculated to approximate the displacement field (Faccioli et al., 1996,
along the steepest side, of approximately 700 m. A digital 1997; Komatitsch and Vilotte, 1998). Referring to Paolucci
elevation model of Mt. Ushibara has been constructed based et al, (1999) for details on the numerical analyses as well as

Station 16 - E W Input Station 01 - E W Input Station 05 - E W Input

2.5 i I 2.5 , "r [ 2.5 = I I

/~ / ' ~ " H11- Hl1. H11-

2.0 ,,J \ .... H31 2.0 . . . . H31 2.0 . . . . H31
H21-
1.5 1.5
a) 1.5

1.0 1.0 1.0

0.5 0.5 0,5

0.0 0.0 0.0

2 4 6 2 4 6 2 4 6
Fn,q.ency (Hz) Frequency (Hz) Frequency (Hz)

Station 1 6 - NS Input Station 01 - NS Input Station 05 - NS Input

2.5 2.5 i I I 2.5 ' 'l I L

'" ' H12- H12-

2.0 .... t-132 2.0 I .... 1-132, 2.0
'
. . . .
' H12'
H32
H22-

1.5 1.5 1.5

b)
1.0 1.0 1.0

0.5 0.5 0.5

I
0.0 0.0 I 0.0
b 2 4 6 0 2 4 6 0 2 4 6
Frequency (Hz) Frequency (Hz)

Station 1 6 - U D Input Station 01 - UD Input Station 0 5 - U D Input

2,5 ! ! 2.5 r i i 2.5 ! ! i

' H13- H13- H13.

2.0 I
,'~t .... H33 2.0 . . . . H33 2.0 . . . . H33
H23" H23"

1.5 1.5 1.5

c)
1.0 i " / 1.0 1.0

0.5 0.5 0.5

0.0 0.(3 0.O

2 4 6 0 2 4 6 0 2 4 6
Frequency (]"lzI Frequency (Hz)

Figure 2. (a) Absolute values of response functions Hij at station 16 (top of the hill),
station (midheight), and station 5 (base), for the vertical incidence of plane waves at
Mt. Ushibara. Input motion is directed along axis x 1 (E-W direction). (b) Same as (a)
but for input along axis x2 (N-S direction). (c) Same as (a) but for input along axis x3
(U-D direction).
880 R. Paolucci

on the accuracy of the numerical method applied to the pres-
ent topographic irregularity, I consider here for simplicity
only the results of the homogeneous case, with the following
properties for the hill material: P-wave velocity = 1700 m/
sec, S-wave velocity = 1000 rn/sec, soil density = 2700
kg/m 3.
To calculate the response functions Hq(f), three inde-
pendent 3D numerical analyses in the time domain have
been carried out. For each analysis, the input consisted of a
vertically incident plane Rickcr wavelet, with peak fre-
quency fp = 2 Hz, directed along one of the three spatial
directions. For example, the response function//<2~(f) in
equation (1) has been calculated by the following steps: (a)
time domain analysis with input motion along axis Xl; (b)
calculation of the Fourier transform (~k)(f)) of the response
at site k along axis x2; and (c) calculation of the spectral ratio
I-1(2~)(f)= Y(2k)(f)/Ul(f). The reliable frequency range of the
calculated response functions is from 0.25 Hz to 5.5 Hz,
approximately.
In Figure 2 the absolute values of Hij functions at the
top of the hill (station 16, height z = 250 m), at midheight
(station 1, z = 165 m), and at the base (station 5, z = - 5
m, underground) are illustrated. Axis xl coincides with the
E-W direction, x2 with N-S, and x 3 with U-D. Station 16
and station 1 show a marked resonance peak at - 0 . 9 Hz,
which is interpreted as the fundamental resonance frequency
of the hill. Due to the nearly conical shape of the hill, the
fundamental frequency is approximately the same in both
the N-S and E - W directions. This peak disappears at station
5, located 5 m underground at the base of the hill. At this
station, deamplification effects are visible, especially for the
Ha 1 and H~2 functions./-/33 is nearly constant with frequency
at stations 5 and 01, while significant amplification effects
Construction o f a Synthetic Set
o f Strong-Motion Data
To study the effects of cross-coupling terms on the site-
response functions, a set of multicomponent real accelero-
grams, to be used as incident motions, has been considered
(Table 1). All accelerograms have been recorded on rock or
stiff-soil sites that can be classified as "generic" rock sites
according to the definition of Boore and Joyner (1997),
based on the average shear-wave velocity from the surface
to 30 m depth exceeding 620 m/see. Although small- or
large-scale site effects affecting such records cannot be ruled
out, the selected accelerograms provide, on average, an ad-
equate reference set. This has been checked by calculating
the spectral ratio of each horizontal component versus the
vertical one and averaging over all events (Fig. 3). Since this
ratio is not frequency dependent, it can be concluded that
this acceleration set is not affected on average by local site
effects. However, since U1/U3 ~ 2, the amplification levels
predicted by the HVSR will be affected consequently.
A convolution analysis has been carried out to calculate
ground motion at the kth station, using the Ho(f) functions
calculated from the 3D numerical analyses previously de-
2
0 , I , I i I I I i,

appear at the top. 0 2 4 6 8 10

The cross-coupling terms are more important at station
1 than at station 16, probably because of the complex ge-
ometry of the site. In some cases, as for the n21 function
between 4 and 5 Hz, the cross-component is more important
than the direct component itself.
Frequency (Hz)
Figure 3. Average spectral ratio, with standard er-
ror bands, of horizontal components versus vertical
component of ground motion, for the events listed in
Table 1.

Table 1
Three-Component Accelerograms Considered at Reference Site
No. AecelerographStalion Site Geology M Date (dd/mm/yy) PGV (era/see) PGA (m/see) D (kin) R (kin) Ref.*

1 PRO-Volvi (Greece) Clayey sand with gravels and stones 5.8 04/05/95 0.7 0.3 6 47 a
2 Kozani (Greece) Rock, partly weathered 6.6 13/05/95 8.8 2.0 14 23 b
3 Sortino, Sicilia (Italy) Miocene pyroclastic rocks 5.4 13/12/90 6.9 1.0 22 32 c
4 Giarre, Sicilia (Italy) Basaltic lava flows 5.4 13112/90 6.1 0.4 22 49 c
5 Noto, Sicilia (Italy) Soft rock, calcarenites 5.4 13/12/90 5.1 0.9 22 54 c
6 Matsuzaki St. 5 Conglomerate 6.5 20/02/90 1.9 0.4 6 40 d
7 Bagnoli, Irpinia (Italy) Cemented gravels 6.9 23/10/80 29.5 1.8 12 32 e, f
8 Gemona, Friuli (Italy) Mesozoic massive limestone 5.9 11/09t76 35.8 3.1 6.5 9 g
9 Gemona, Frinli (Italy) Mesozoic massive limestone 6.0 15/09/76 50.6 4.4 7 5 g

M, magnitude; D, source depth; R, source-site distance; PGV, peak ground velocity; PGA, peak ground acceleration.
*Table references: (a) Raptakis et al. (1998); (b) Hatzfeld et aL (1997); (c) Di Bona et al. (1995); (d) PWRI (1991, written personal communication to
E. Faccioli); (e) Westaway (1993); (f) Italian Electricity Power Company (1992, written personal communication to E. Faccioli); (g) Rovelli et al. (1991).
Numerical Evaluation of the Effect of Cross-Coupling of Different Components of Ground Motion in Site Response Analyses
scribed and the acceleration signals listed in Table 1. The
three components of each signal have been transformed in
the frequency domain using a standard FFT algorithm, then
equation (1) has been used to calculate the three components
of response at a specific site. Note that each reference ac-
celeration signal has been divided by two to obtain the ap-
propriate input motion in terms of vertically incident plane
waves.
To check the accuracy of the approach, an independent
3D analysis in the time domain has been performed, using
as input motion the three components of ground acceleration
of a specific event, acting simultaneously. A perfect agree-
ment between the convolution and time domain approaches
has been obtained.
The synthetic accelerograms calculated for event 1 of
Table 1 are shown in Figure 4. The "reference" station in-
dicated in this figure does not correspond to a specific lo-
cation of the numerical model but simply shows the input
acceleration time-history. The input motion was filtered in
the frequency range from 0.25 to 5.5 Hz, where the H~ func-
tions are valid. In this case, ground motion at the reference
station is strongly polarized in the E-W direction, so that
the effect of cross-coupling can be appreciated. This is the
case of N-S acceleration history at station 1, which is clearly
more affected by the E-W input motion than by the N-S
component itself. This is a consequence of the predominance
FW
Station
Stoiion 01
I
Station 05
.20
Station Ref.
.10
0
.00
1
-.10
i
-.20 . i I I I I
0 4. 8 12
Time (s)
Figure 4. Acceleration time histories at stations 16, 1, and 05, calculated by con-
volution analysis using equation (1) and considering the numerical Hij functions cal-
culated for Mt. Ushibara. The input motion is the three-component accelerogram No.
1 in Table 1.
881
of H21 function in the frequency range between 4 and 5 Hz
with respect to Hll (Fig. 2a), as already pointed out.
As a result of this phase of analysis, a set of synthetic
data has been obtained that contains the ground motions at
a reference station (input motion), at the base of the hill
(station 5), at middle height (station 1), and at the top (station
16), calculated for different seismic events.
Effect of Cross-Coupling Terms on SSR and HVSR
Site-Response Functions
The previous synthetic ground motions, obtained by
convolution, have been used to calculate SSR and HVSR site-
response functions.
SSR with Respect to Reference Station
The average value of the SSR (__+1 standard deviation)
with respect to the ideal reference station has been calculated
for all the events considered in Table 1. Results are illus-
trated in Figure 5 for the three components of motion at
station 16 (top) and station 1 (midheight). Spectra have been
smoothed with a triangular window 0.3 Hz wide. For com-
parison purposes, the absolute values of the corresponding
Hii functions, already shown in Figure 2, are also plotted in
Figure 5. Spectral ratios systematically tend to overestimate
/-/is functions, since they also include the effects of cross-
NS UD
16 Station 16 St&lot 16
Station 01 Station 01
Statior~"05 Station 05
Station Ref. Station Ref.
I
882 R. Paolucci

Station 16 - E W Station 16 - NS Station 16 - LID

S . , E , '1 , ,S j
r
( I
e , ;II
5 3 11' ,

4 r! -I 4 ,, -]
[ I I IXL / 3 ) I I 11 t

2 ~ ; ~ ~-' 2

1 " 1

0 0 i , i , L ' ~'0

0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6
Frequency (Hz) Frequency (Hz) Frequency (Hz)

Station 01 - E W Station 01 - NS Station 01 - UD

i I ' I I 1 i I i 1-11 i

II
1I ~ Q
i I t [ I~- 1
I 11 I 1/I
lI ! I I ~i/~t I I/~ AI
II I) x i .;1 /I I l II 111 I
. I ~ ,, I ~1 I I " I"J I1"
I t/~"u v /~1 I P t ~e~ I !t~ I I I I " tl I I I I r tl I
%
II ?" l i^ I~ I

,i i i I I I ,I , i I I I, I I I I
2 3 4 5 6 0 1 2 3 4 5 0 1 2 3 4 5
Frequenw (Hz) Frequency (Hz) Frequency (Hz)

Figure 5. SSR average spectral ratios, with standard error bands, calculated with
respect to the reference station (thin line), compared with absolute values of Ha func-
tions (thick line). Top: station 16; bottom: station 1; from left to right: components E-
W, N-S, and U-D.

coupling terms. It is interesting to note that there is a good Therefore, cross-coupling effects could partly explain
agreement between the Hi! functions and the lower bound of the fact that experimental observations of topographic site
the dispersion band. The dispersion itself is rather large if effects tend to overestimate the amplification levels pre-
we consider that it is derived from numerical simulations dicted theoretically (see e.g., Gdli et aL, 1988; Bouchon and
and from a unique set of transfer functions H u. Dispersion Barker, 1996). Besides, they generate a rather large disper-
increases when cross-coupling effects are important, as for sion of spectral ratios (~50% of the average value), which
station 1 and for the vertical component of motion at all is an important fraction of the rule of thumb factor-of-two
stations. scatter generally associated only to the azimuth and inci-
The SSR tends to magnify amplification effects, show- dence angle dependence of site effects (King and Tucker,
ing several peaks that could be misleading for a correct in- 1984).
terpretation of the data. If we consider, for example, the N -
S average spectral ratios at station 1, the fundamental reso- SSR with Respect to Station 5
nance frequency of the mountain at 0.9 Hz would be hardly If an ideal reference station were absent, as is most often
visible. the case, spectral ratios with respect to a station located at
It is important to note that amplification levels at station the base of the mountain would have been considered (sta-
1 exceed the value of 4 at approximately 4 Hz, far beyond tion 5 in the present case). Problems arising with this choice
the peak values of the single H U functions at the same sta- of reference station are well known and have been discussed
tions (Fig. 2). By a blind application of the SSR technique, in previous publications (e.g., Gdli et aL, 1988; Faccioli and
this peak could have wrongly been attributed to a local strati- Paolucci, 1992; Pedersen et al., 1994). As shown in Figure
graphic irregularity. 6, dispersion of data increases with respect to the previous
Numerical Evaluation of the Effect of Cross-Coupling of Different Components of Ground Motion in Site Response Analyses 883

Station 16 - E W Station 16 - NS Station 16 - LID

8 I t I J 8 ' ' I ~ I ' 8

7 7 7
6 6 ,') 6
f I ,I
5 5 l h II 5
I t I I D
I 11111 11 I I II
4 4 4 I I I/I I I [ i'* I I I I It
I II I'~ ,,; ,, , , , , , , : ,:,
3 3 3 II I I I ~1 I I

2 2 ii I t~ v II ~ ,
2 II ,i I ,

1 1 1
0 I I I I I 0 - I I I I I 0 I I H I I

0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6
Freq.e~j (Hr.) Frequenoy(Hz) Frequency (Hz)

S t a t i o n 01 - E W Station 01 - NS Station 01 - U D

7+ + +

1 1 1 ~, -~ ~-~r~-~,~ ,j ~ -1
o o o
0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6
Frequency (Hz) Frequency(Hz) Frequency(Hz)

Figure 6. SSR average spectral ratios, with standard error bands, calculated with
respect to station 5 (thin line), compared with absolute values of H~ functions (thick
line). Top: station 16; bottom: station 1; from left to right: components E-W, N-S, and
U-D.

"ideal" case, because of the irregularities of H a functions at
station 5 (see Fig. 2). Particularly, the marked deamplifica-
tion of/-/22 at - 1.3 Hz at station 5 leads to the sharp peak
in the N-S spectral ratios at - 1 . 2 Hz that completely over-
shadows the fundamental resonance frequency of the hill.
However, if the lower bound of the dispersion band is con-
sidered, spectral ratios are not far from those obtained in the
previous case with an ideal reference station.
HVSR
When a reference station is absent, the HVSR response
function may give an acceptable evaluation of site effects.
Considering Figure 7, a fair correlation exists between the
HVSR and the H/j functions. The position of the response
peaks is predicted rather satisfactorily, particularly the fun-
damental resonance frequency of the hill. However, the
amplification levels are overestimated, mainly because the
average UllU3 spectral ratio at the reference station is
approximately 2 and not 1 as required by HVSR assumptions
(Fig. 3). Finally, it is worth noting that the dispersion of the
HVSR is large, especially if compared with the SSR tech-
nique with respect to the reference site, and that such dis-
persion essentially reflects that of the U1/U3 ratio at the ref-
erence site (Fig. 3).
The Case of a 3D Stratigraphic Irregularity
Using the same approach outlined in the previous sec-
tions, a 3D stratigraphic irregularity has been considered,
consisting of a cylindrical valley of radius R = 400 m and
100 m deep, embedded in a homogeneous half-space (Fig.
8). The density is p = 2500 kg/m 3 throughout the model.
The shear wave velocity and Poisson coefficient are, respec-
tively, fl = 1000 rn/sec and v = 1/3 inside the valley, and
fl = 2500 m/sec and v = 1/4 in the half-space. A frequency-
proportional quality factor, Q = Q0f, has been considered
inside the valley, with Q0 = 20 sec. Details of the numerical
model and the implementation of the frequency-dependent
quality factor are reported by Faccioli et al. (1997). Note
that, with respect to that report, the dimensions of the valley
884 R. Paolucci

Station 16 - EW Station 16 - NS Station 16 - LID

J~
8 i I "[ I ' 8 II z I I I z '" 8 i I i I

7 7
I I
6 6 '~ 6

5 5
4 4 4
3 3

2
1 " 'v~,,~ ~ "' ' 1

0 . I i I I t 0 I I I I" L - 0 I_,,,, 7]
1 2 3 4 S 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6
Frequency (Hz) Frequency (Hz) Frequency (Hz)

Station 01 - E W Station 01 - NS Station 01 - UD

I ' I ' 8 I ~ J [ J ] |

I I1 II
I ii

Ii I l i' I , I I [~
,-:If, ,,
,,, ,, ,.
t t"

iI
I I I t t 0 t t t t t
0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6
Frequency (Hz) Frequen6.y(Hz) Frequenw (Hz)

Figure 7. HVSR average spectral ratios, with standard error bands (thin line), com-
pared with absolute values of Hii functions (thick line). Top: station 16; bottom: station
1; from left to right: components E-W, N-S, and U-D.

have been reduced by a factor of 10, to propagate approxi-

mately the same wavelengths considered in the previous
analyses of the topographic irregularity.
The configuration has been subjected to the vertical in-
cidence of a plane wave, having a Ricker time dependence
with peak frequencyfp = 2 Hz. Because of symmetry, only
two analyses have been performed, the first considering the
input directed along Xl axis, the second along x 3 (vertical
direction). Three receiver stations at the surface of the valley
have been considered, located along the line shown in Figure
8. Station A is located at the valley center, station C is at Xl
the edge, and station B is 215 rn distant from the center. Hi;
functions at the three stations are illustrated in Figure 9a,b Figure 8. Cylindrical valley embedded in homo-
for input along the xl and x3 axes, respectively. On the line geneous half-space, subjected to multicomponent in-
considered, Hi1 = H22, H21 = H12, and H31 = H32, because put motion. The locations of the receiver stations con-
of symmetry. sidered in the text are indicated.
Numerical Evaluation of the Effect of Cross-Coupling of Different Components of Ground Motion in Site Response Analyses 885

St. A St.B St. C

I I ' 8 i I I 8 I I' I

Hll Hll Hll

6
.... H31 .... H31
H21 H21
a) 4 4

2
",/- _ _ ~
i I i I
0 2 4 6 0 2 4 6 0 2 4 6
Frequency (Hz) Frequency (Hz) Frequency (Hz)

St. A St. B St. C

' I ' I 8 ' I 'i I r 8 ' I ' I

~a

H13 ~,/' H13 H13

.... H33 .... H33 .... H33
H23 H23 H23
b) - 4 4 1

L -'

, ~ , i , 0 ~ ' ' ~ 0 -',' ' t ' - ' - " ~

0 2 4 6 0 2 4 6 0 2 4 6
Frequency (Hz} Frequency (Hz) Frequency (Hz)

Figure 9. (a) Absolute values of response functions Hi:, with j = 1 (input along
axis Xl), at station A (center of the valley), station B (215 m from the center), and
station C (edge), for the vertical incidence of plane waves at the cylindrical valley.
(b) Same as (a) but forj = 3 (input along the vertical axis x3).

As for the topographic case, the average values of both
the SSR and HVSR response functions have been calculated
for all acceleration waveforms considered in Table 1. These
are illustrated in Figure 10 only for stations A and B, to-
gether with the 1D theoretical transfer function, shown for
reference. For simplicity, the standard error bands are not
shown in Figure 10. Since spectral ratios along the horizontal
directions give similar results, only ratios calculated along
the x2 axis are plotted in Figure 10. Station C is little affected
by the effects of the stratigraphic irregularity, so that the SSR
technique applied either with respect to the ideal reference
station or with respect to station C gives similar results.
At the center of the valley (station A) no cross-coupling
occurs (H21 = H31 = 0), so a single 3D theoretical response
function can be defined without ambiguity, and the SSR tech-
nique approaches closely such function. The slight differ-
ences observable between the theoretical response at station
A (Fig. 9a) and the curve SSR_Ref at the same station (Fig.
10) are mainly due to the smoothing procedure of the spectra
of the synthetics and to the different sampling of the curves
in the frequency domain. The dispersion of SSR data (not
shown in Fig. 10a) is negligible. Except for differences in
the amplification level, the agreement of the HVSR with the
SSR at station A is remarkable in the frequency range from
0 to 4 Hz, because in this range H33 is close to unity. For
higher frequencies, H33 increases and HVSR results are no
longer reliable.
At station B cross-coupling effects are more important.
As a consequence, the dispersion of spectral ratios (not
shown in Fig. 10b) is much larger and comparable with that
discussed for the previous topographic irregularity. Differ-
ences between the SSR and HVSR techniques are more im-
portant at station B. It is interesting to note that while the
SSR tends to overshadow the 1D resonance of the valley,
with amplification levels nearly constant beyond - 3 Hz, the
I-IVSR response follows more closely the 1D function.
Conclusions
In this study, the two most common techniques for the
evaluation of seismic site effects, the SSR and the HVSR,
have been checked through numerical analysis of 3D topo-
886
St. A (x2 component)
J I i I
SSR Ref
.... =;=e A /I
--_ .vsR N /:1
I i 1 1
0 2 4 0
Frequency (Hz)
Figure 10. SSR and HVSR response functions along x2 axis, at station A (left) and
station B (right) of the cylindrical valley. The theoretical 1D response function is also
plotted.
graphic and stratigraphic irregularities subjected to the ver-
tical incidence of a set of multicomponent strong-motion
accelerograms recorded at stiff-soil or rock sites. Although
computer time presently prevents a more sophisticated para-
metric study, some interesting indications have been ob-
tained on the effect of cross-coupling of different compo-
nents of ground motion on the results.
The site-response functions obtained by the SSR and
HVSR techniques are affected by a rather large dispersion,
although they are derived from the same numerical model
subjected to vertically incident plane waves. This is due to
the cross-coupling effects among the different components
of ground motion, described by (1). The dispersion is only
partly reduced when spectral ratios are calculated with re-
spect to an ideal reference site and tends to disappear only
when cross-coupling terms vanish.
Cross-coupling terms introduce response peaks in the
spectral ratios that could be misleading if they are attributed
to the resonant characteristics of a site. This is for example
the case of the response peak at about 4 Hz shown in Figure
5 for the N-S component at station 1, which could have been
wrongly attributed to a local stratigraphic irregularity.
Although it is well known that the azimuth and inci-
dence angle dependence' of site effects introduces a large
dispersion on the observed site response functions, up to a
rule-of-thumb factor of two, as suggested by King and
Tucker (1984), it is important t.~ note that a significant part
of such dispersion does appear also when the simplest as-
sumption is made of vertically propagating plane waves.
Such dispersion, as well as the difficulties of the interpre-
tation of the response peaks, are intrinsic to the definition
itself of simple site response functions, such as those used
in practice, based on the ratio between two single compo-
nents of ground motion. This should be also taken into ac-
count when the observed spectral ratios at a specific site,
either the SSR or HVSR, are compared with theoretical re-
suits. As a matter of fact, the spectral ratios obtained by
numerical simulations can be significantly different if a
single-component or a multicomponent input is considered.
R. Paolucci
St. B (x2 component)
=
- [~ SSR_Ref
6
.... SSR St.C
i 0 I I i I k
2 4
Frequency (Hz)
In the calculation shown in this article, the spectral ratio
obtained using a single-component input motion provides a
lower bound of the dispersion band of the theoretical results
calculated with a multicomponent input motion.
Acknowledgments
The author extends his gratitude to E. Faccioli and to H. Kawase for
the careful review of the manuscript, and to F. J. Chfivez-Garcia for fruitful
discussions during his visit at Politecnico di Milano. The assistance of F.
Maggio of CRS4 (Centro di Ricerca e Studi Superiori in Sardegna, Cagliari,
Italy) for the 3D simulations is also gratefully acknowledged. The author
acknowledges the Public Works Research Institute of Japan for making the
geographic and aecelerograph data of Matsuzaki site available in a coop-
eration project (1991) with Politecnico di Milano, and Dr. S. Tolls of Ar-
istotle University of Thessaloniki for the accelerograph data and informa-
tion on Volvi and Kozani (Greece) sites. The comments and suggestions
of two anonymous reviewers helped improve the paper. This research was
partly supported by the European Commission, Directorate General XII for
Science, Research and Development, Environment and Climate Programme
1994--98 (Climatology and Natural Hazards), Contract ENV4-CT96-0254.
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Department of Structural Engineering
Politecnico di Milano P.za Leonardo da Vinci 32
20133 Milano, Italy
Manuscript received 11 June 1998.