ARTICLE IN PRESS

v. 51, no. 2-4, 121-129.

Journal of Applied Geophysics 1398 (2002) 1 – 9

www.elsevier.com/locate/jappgeo

1 Determining Q of near-surface materials from Rayleigh waves

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Jianghai Xia a,*, Richard D. Miller a, Choon B. Park a, Gang Tian b

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a
3 Department of Geology, Kansas Geological Survey, The University of Kansas, 1930 Constant Ave.,

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4 Campus West, Lawrence, KS 66047-3726, USA
b
5 Department of Geophysics, Jinlin University, PR China
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7

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Received 19 December 2001; accepted 26 September 2002

8 Abstract

9 High-frequency (z 2 Hz) Rayleigh wave phase velocities can be inverted to shear (S)-wave velocities for a layered earth
10
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model up to 30 m below the ground surface in many settings. Given S-wave velocity (VS), compressional (P)-wave velocity
(VP), and Rayleigh wave phase velocities, it is feasible to solve for P-wave quality factor QP and S-wave quality factor QS in a
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12 layered earth model by inverting Rayleigh wave attenuation coefficients. Model results demonstrate the plausibility of inverting
13 QS from Rayleigh wave attenuation coefficients. Contributions to the Rayleigh wave attenuation coefficients from QP cannot be
14 ignored when Vs/VP reaches 0.45, which is not uncommon in near-surface settings. It is possible to invert QP from Rayleigh
15 wave attenuation coefficients in some geological setting, a concept that differs from the common perception that Rayleigh wave
16 attenuation coefficients are always far less sensitive to QP than to QS. Sixty-channel surface wave data were acquired in an
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17 Arizona desert. For a 10-layer model with a thickness of over 20 m, the data were first inverted to obtain S-wave velocities by
18 the multichannel analysis of surface waves (MASW) method and then quality factors were determined by inverting attenuation
19 coefficients.
20 D 2002 Published by Elsevier Science B.V.
21
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22 Keywords: Rayleigh waves; Attenuation coefficients; Quality factors; Near-surface materials

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25 1. Introduction ogy. A desire to understand the attenuative properties 32
of the earth are based on the observations that seismic 33
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26 The most common measure of seismic wave at- wave amplitudes are reduced as waves propagates 34
27 tenuation is the dimensionless quality factor Q and its through an elastic medium. This reduction is generally 35
inverse (dissipation factor) Q
1. The quality factor
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28 frequency-dependent and, more importantly, attenua- 36

29 as a function of depth is of fundamental interest in tion characteristics can reveal unique information 37
30 groundwater, engineering, and environmental studies, about lithology, physical state, and degree of rock 38
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31 as well as in oil exploration and earthquake seismol- saturation (Toksöz and Johnston, 1981). To fully 39
understand seismic wave propagation in the earth, 40
the quality factors are parameters that must be known. 41
* Corresponding author. Tel.: +1-785-864-2057; fax: +1-785-
High-frequency Rayleigh waves possesses informa- 42
864-5317. tion of the shear (S)-wave velocity (VS) and the 43
E-mail address: jxia@kgs.ku.edu (J. Xia). quality factors of near-surface materials. 44

0926-9851/02/$ - see front matter D 2002 Published by Elsevier Science B.V.

PII: S 0 9 2 6 - 9 8 5 1 ( 0 2 ) 0 0 2 2 8 - 8
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2 J. Xia et al. / Journal of Applied Geophysics 1398 (2002) 1–9

velocity from Rayleigh waves and applications to 49

real-world problems have been extensively investi- 50
gated (Dorman and Ewing, 1962; Aki and Richards, 51
1980; Stokoe and Nazarian, 1983; Nazarian et al., 52
1983; Xia et al., 1997, 1998, 1999, 2000a, 2002a,b; 53
Park et al., 1996, 1998, 1999a,b; Miller et al., 1999). 54
Based on the assumption of a layered earth model 55
(Fig. 1), a three-phase research project, multichannel 56

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analysis of surface waves (MASW), undertaken by 57

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the Kansas Geological Survey (KGS) was designed to 58
estimate near-surface S-wave velocities from high- 59
frequency Rayleigh waves (Fig. 2): (1) acquisition 60

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of multichannel high-frequency (z 2 Hz) broad band 61
Rayleigh waves; (2) creation of efficient and accurate 62

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algorithms organized in a basic data processing 63
sequence designed to extract Rayleigh wave disper- 64
sion curves from Rayleigh waves (Park et al., 1999a); 65
and (3) development of stable, robust, and efficient 66
inversion algorithms for inverting phase velocities of 67
Rayleigh waves for near-surface S-wave velocity 68

Fig. 1. A layered earth model with parameters of shear-wave

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profiles (Xia et al., 1999).
Based on documented experiences (e.g., Xia et al.,
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70
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velocity (VS), compressional wave velocity (VP), density ( q), and
thickness (h). 1999, 2000a, 2002b), when the fundamental-mode 71
phase velocities are calculated with a high degree of 72
accuracy, reliable S-wave velocities (F 15%) can be 73
45 Rayleigh waves travel along or near the ground estimated. Incorporating higher mode data into the 74
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46 surface and are usually characterized by relatively low surface wave analysis increases the resolution (or 75
47 velocity, low frequency, and high amplitude energy accuracy) of the inverted S-wave velocities (Xia et 76
48 (Sheriff, 1991, p. 143). Estimates of the S-wave al., 2000b). After successfully determining a near- 77
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Fig. 2. A diagram of the MASW method. Multichannel raw field data, which contain enhanced Rayleigh wave signals, are acquired. Rayleigh
wave phase velocities are extracted from the field data through a direct wavefield transformation method by Park et al. (1998). The phase
velocity, finally, is inverted for a shear-wave velocity profile (VS vs. depth).
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J. Xia et al. / Journal of Applied Geophysics 1398 (2002) 1–9 3

78 surface VS profile from Rayleigh waves, the feasibility factors of near-surface materials. The relationship 120
79 of calculating near-surface Q from high-frequency between Rayleigh wave attenuation coefficients and 121
80 Rayleigh wave attenuation coefficients can be ana- the quality factors for P- and S-waves of a layered 122
81 lyzed. model were given by Anderson et al. (1965) as: 123
82 Laboratory experiments (Johnston et al., 1979)
83 show that Q may be independent of frequency over pf
aR ð f Þ ¼
84 a broad bandwidth (10
2 – 107 Hz), especially for CR2 ð f Þ
85 some dry rocks. Q
1 in liquids, however, is propor- " #

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X
n X
n
86 tional to frequency so that in some highly porous and  Pi ð f ÞQ
1
Pi þ Si ð f ÞQ
1
Si ; ð2Þ
permeable rocks Q
1 may contain a frequency-

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87 i¼1 i¼1
88 dependent component. This component may be negli-
89 gible at seismic frequency, even in unconsolidated where 125
124

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90 marine sediments (Johnston et al., 1979). Mitchell
91 (1975) investigated Q structure of the upper crust in BCR ð f Þ
Pi ð f Þ ¼ VPi ; ð3Þ
BVPi

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92 the North America by inverting Rayleigh wave attenu-
93 ation coefficients in a layered earth model. In his 127
126
94 work, Q was independent of frequency. Although BCR ð f Þ
Si ð f Þ ¼ VSi ; ð4Þ
95 some authors suggest that near-surface Q may be BVSi
96 frequency dependent (Jeng et al., 1999), we will
97 follow the laboratory results (Johnston, 1981) and aR( f ) is Rayleigh wave attenuation coefficients in 128
129
98
99
Mitchell’s (1975) work that Q is independent of
frequency, allowing determination of Q as a function
D
1/length, and f is frequency in Hz. QPi and QSi are the
quality factors for P- and S-waves of the ith layer,
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131
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100 of depth based on amplitude attenuation of Rayleigh respectively; VPi and VSi are the P-wave velocity and S- 132
101 wave data. In this paper, we will examine the relation- wave velocity of the ith layer, respectively; CR( f ) is 133
102 ship between Rayleigh wave attenuation coefficients Rayleigh wave phase velocity; and n is the number of 134
103 and compressional P-wave and S-wave quality factors layers of a layered earth model. 135
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104 ( QP and QS) through forward modeling. The model- We adopted Kudo and Shima’s (1970) work to 136
105 ing will be used to develop a quantitative description calculate the attenuation coefficients. The attenuation 137
106 of the contributions to Rayleigh wave attenuation coefficient is defined by 138
107 coefficients from QP and QS.
Aðx þ dxÞ ¼ AðxÞe
adx ;
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ð5Þ

where A is Rayleigh wave amplitude, a is a Rayleigh 139

140
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108 2. Basic equations

wave attenuation coefficient, and x and dx are the 141
109 For a plane wave traveling in a homogeneous med- nearest source-geophone offset and a geophone inter- 142
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110 ium, the quality factor Q is determined by (Johnston

val, respectively. After the Fourier transform with 143
111 and Toksöz, 1981)
respect to time, we obtain 144
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h qffiffiffiffiffiffiffiffii
pf  ðxþdx; f Þ  xþdx
Q¼ ; ð1Þ ln  WW ðx; f Þ  x
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av aR ð f Þ ¼
; ð6Þ
dx
112
113 where v, f, and a are the velocity, the frequency, and the
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114 attenuation coefficient of the plane wave, respectively. where aR( f ) is the Rayleigh wave attenuation coef- 145
146
115 To determine Q as a function of depth in near-surface ficient as a function of frequency f, W is the amplitude
qffiffiffiffiffiffiffiffiffiffi 147
116 materials (up to 30 m), the assumption of homogeneity of a specific frequency, and ðxþdxÞ
x is a scaling factor 148
117 is no longer valid because of complexity of the near- in calculating the attenuation coefficient. 149
118 surface geology. Utilization of high-frequency Ray- In the following section, contributions of QP and 150
119 leigh waves (z 2 Hz) is essential in finding the quality QS to attenuation coefficients of Rayleigh waves will 151
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4 J. Xia et al. / Journal of Applied Geophysics 1398 (2002) 1–9

152 be analyzed by forward modeling. The sensitivity of

153 Rayleigh wave attenuation coefficients with respect to
154 the dissipation factors, QP
1 and QS
1 will also be
155 examined.

156 3. Modeling results

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157 Eqs. (3) and (4) represent the rate of change of

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158 Rayleigh wave attenuation coefficients aR( f ) to dis-
159 sipation factors QP
1 and QS
1 of the ith layer,
160 respectively. Pi is the product of the P-wave velocity

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161 of the ith layer and the partial derivative of Rayleigh
162 wave phase velocities with respect to P-wave velocity

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163 of the ith layer. Si is the product of the S-wave
164 velocity of the ith layer and the partial derivative of
165 Rayleigh wave phase velocities with respect to S-
166 wave velocity of the ith layer. Pi and Si totally control
167 the sensitivity of Rayleigh wave attenuation coeffi-
168 cients to QP
1 and QS
1.
169
170
A six-layer model (Xia et al., 1999) is employed to
analyze contributions to Rayleigh wave attenuation
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171 coefficients from QP and QS (Fig. 3). Letting VS
Fig. 4. QP contributions to Raleigh wave attenuation coefficients (a)
and QS contributions to Raleigh wave attenuation coefficients (b).
QP contributions become significant when VS/VP is about 0.5.
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change from 25% to 50% of VP, contributions of QP 172

to Rayleigh wave attenuation coefficients increase 173
with increasing VS/VP, while QS contributions to 174
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Rayleigh wave attenuation coefficients decrease as 175

VS/VP increases (Fig. 4). QP contributions become 176
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significant for most frequencies when VS/VP app- 177

roaches 0.45. For example, for the 30 Hz component, 178
when VS/VP is 0.5, QP contributions dominate and 179
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reach more than 70% while QS contributions fall to 180

less than 30%. Roughly speaking, when VS is about 181
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one half VP, overall contributions of QP to Rayleigh 182

wave attenuation coefficients may reach more than 183
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30%. This suggests it may be possible to invert QP 184

from Rayleigh wave attenuation coefficients when VS 185
is approximately one half of VP. 186
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Sensitivity of Rayleigh wave attenuation coeffi- 187

cients to QP and QS is analyzed for the layered model 188
(Fig. 3) when VS is replaced by 50% of VP. For a dry 189
Fig. 3. A layered earth model (Xia et al., 1999) is used to analyze
sandstone, QP/QS is almost equal to one (Johnston, 190
the relationship between attenuation coefficients and quality factors 1981), making QP and QS equal (5, 10, 12, 15, 20, and 191
shown in Eq. (2). 25 from the top layer to the half space). A 25% 192
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J. Xia et al. / Journal of Applied Geophysics 1398 (2002) 1–9 5

noise-free data using Eq. (2). Practically, however, our 222

modeling results indicate that surface wave attenua- 223
tion is sensitive enough to QP when VS/VP is over 224
0.45. Otherwise, surface wave attenuation is far less 225
sensitive to QP than to QS, and only QS can be 226
inverted from Rayleigh wave attenuation coefficients. 227
Because Eq. (2) is a linear system, the same 228
method used in Xia et al. (1999) can be employed 229

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directly to solve QP and/or QS from Rayleigh wave 230

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attenuation coefficients. In many cases, only a single 231
iteration is necessary to obtain quality factors. Here 232
we discuss an algorithm from Menke (1984) including 233

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our introduction of a damping factor. Our inversion 234
Fig. 5. Sensitivity of Rayleigh wave attenuation coefficients to QP problem can be described by the following system: 235

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and QS with VS/VP being equal to 0.5.
! !
A X ¼ B ðxi > 0Þ; ð7Þ
193 reduction in QP and/or QS (3.75, 7.5, 9.0, 11.25, 15.0,
!
194 and 18.75 from the top layer to the half space) results where X is an inverse of quality factors (a model 236
237
!
195 in the relationship shown in Fig. 5. With a 25% vector 1/Q) with xi as the ith component, B is 238
196 reduction in QP, the relative increases in Rayleigh attenuation coefficients (a data vector), and A is a 239
197
198
wave attenuation coefficients are in the range of 4–
20%, averaging 12% from 5 to 35 Hz. For the same (2).
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data kernel matrix (Menke, 1984) determined by Eq. 240
241
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199 reductions in QS, the relative increases in Rayleigh Eq. (7) will provide accurate QP and QS if attenu- 242
200 wave attenuation coefficients are in the range of 9– ation coefficients contain no error as a synthetic 243
201 23% with an average of 17% from 5 to 35 Hz. The example shows in the following section. Solutions 244
202 overall relative increases in Rayleigh wave attenuation of Eq. (7) are not guaranteed to exist or solutions may 245
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203 coefficients due to a 25% reduction in both QP and QS possess an unacceptable error when attenuation coef- 246
204 are almost the same at 28% in relative change within ficients possess errors. Mitchell (1973, 1975) dis- 247
205 the frequency range of 5 –35 Hz. For a water saturated cussed the method of solving the inverse problem 248
206 sandstone, QP/QS may reach 2 (Johnston, 1981). In presented in Eq. (7). A damping factor k is introduced. 249
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207 that case, the contributions to Rayleigh wave attenu-

208 ation coefficients due to QP may surpass those due to ! !
ðA þ kIÞ X ¼ B ðxi > 0Þ; ð8Þ
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209 QS.
where I is the unit matrix. k is set to be a small value 250
251
(say 10
7) at the beginning of the inversion. Based on 252
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210 4. Inversion system inverted results of QP and/or QS, k will be systemati- 253
cally increased until smooth solutions are obtained. 254
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211 Eq. (2) manifests the linear relationship between

212 Rayleigh wave attenuation coefficients and the dis-
sipation factors for P- and S-waves ( QP
1 and QS
1).
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213 5. A synthetic example 255

214 Theoretically, after determining S-wave velocities by
215 inverting Rayleigh wave phase velocities (Xia et al., The purpose of this example is to show the in- 256
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216 1999) and finding near-surface P-wave velocities by version system (Eq. 8) working properly. With a six- 257
217 other seismic methods, such as reflection (Hunter et layer model, this example assumes known P-wave and 258
218 al., 1984; Steeples and Miller, 1990), refraction S-wave velocities (Fig. 6a), error-free attenuation 259
219 (Palmer, 1980), and/or tomography methods (Zhang coefficients (labeled ‘‘Measured’’ in Fig. 6b), QS (5, 260
220 and Toksöz, 1998; Ivanov et al., 2000), the dissipation 10, 12, 15, 20, and 25 for layer one to the half space, 261
221 factors ( QP
1 and QS
1) can be inverted directly for respectively), and QP (twice of QS). Attenuation 262
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6 J. Xia et al. / Journal of Applied Geophysics 1398 (2002) 1–9

model and attenuation coefficients calculated from 266

inverted QP and QS (labeled ‘‘Final’’ in Fig. 6b). 267

6. A real-world example 268

Sixty-channel surface wave data were acquired 269

using 4.5 Hz vertical geophones in an Arizona desert 270

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(Fig. 7). Geophones were deployed at 1.2-m intervals 271

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with a nearest offset of 4.8 m. The seismic source was 272
an accelerated weight drop designed and built by the 273
KGS. A record length of 1024 ms at a 1-ms sample 274

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interval was selected. 275
The number of layers of a model should be deter- 276

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mined by the quality of data (Xia et al., 2000b). A layer 277
in a model is usually not a geological layer. In most 278
case, we choose 10 to 15 layers in a model to obtain 279
certain resolution for an inverted model. For this 280

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Fig. 6. A synthetic example. (a) P-wave and S-wave velocities of a

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six-layer model. (b) Input data: assumed known attenuation

coefficients labeled ‘‘Measured’’ and calculated attenuation coef-
ficients labeled ‘‘Final’’ based on inverted quality factors in (c).

263 coefficients (labeled ‘‘Measured’’ in Fig. 6b) were

264 inverted to quality factors. Fig. 6c shows inverted QP Fig. 7. Sixty-channel raw field data acquired in an Arizona desert.
265 and QS that are exactly equal to values of the known See the text for details.
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J. Xia et al. / Journal of Applied Geophysics 1398 (2002) 1–9 7

particular data, a 10-layer model with a total thickness 281

of 20 m was used to invert Rayleigh wave phase 282
velocities to S-wave velocities (Fig. 8a) by the MASW 283
method (Xia et al., 1999; Park et al., 1999a). P-wave 284
velocities of the model were determined by the first 285
arrivals of the data (Fig. 7). Attenuation coefficients 286
of Rayleigh waves (labeled ‘‘Measured’’ in Fig. 8b) 287
were calculated by using Eq. (6). Because an average 288

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ratio of VS/VP for the model is approximately 0.4, 289

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only QS can be confidently inverted from attenuation 290
coefficients. Under the assumption that QP was equal 291
to twice QS, we inverted attenuation coefficients to 292

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obtain QS (Fig. 8c). Attenuation coefficients calcu- 293
lated from inverted quality factors QS were labeled 294

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‘‘Final’’ in Fig. 8b. Inverted QS results suggested 295
that there is a highly attenuating layer at a depth of 296
12.5 m. 297

7. Discussion and conclusions 298

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Modeling results and the real-world example dem- 299
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onstrated a feasibility of inversion of attenuation 300
coefficients of Rayleigh waves for quality factors. 301
Modeling analysis also showed that QP may be in- 302
verted when VS/VP is greater than 0.45, a situation 303
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which is common in oil industry and crust seismology 304

studies, and which is not also uncommon in near- 305
surface materials. Modeling results also suggested that 306
most contributions to Rayleigh wave attenuation coef- 307
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ficients from QP are in a relatively higher frequency 308

range, while contributions from QS are in a lower 309
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frequency range. Using different weighting, therefore, 310

on QP and QS in different frequency ranges may 311
increase the possibility of obtaining QP. 312
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In the synthetic and real examples, we assumed 313

QP = 2QS to obtain information of QP. Inverted results 314
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will be changed if a different relationship between QP 315

and QS is assumed. The relationship between QP and 316
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QS could vary in a wide range for near-surface materi- 317

als so it may be necessary to use some other methods 318
to find QP or provide a crosscheck. 319
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Based on the sensitivity analysis, errors in inverted 320

Fig. 8. Inversion results from data in Fig. 7. (a) Inverted S-wave quality factors can reach 1 to 1.5 times the error in 321
velocities of a 10-layer model by using the MASW method with P- attenuation coefficients. Compared to the inversion 322
wave velocities determined based on the first arrivals of the input
data. (b) Attenuation coefficients labeled ‘‘Measured’’ were system that Xia et al. (1999) developed to invert S- 323
calculated by Eq. (6) and those labeled ‘‘Final’’ were calculated wave velocities from Rayleigh wave phase velocities 324
based on the inverted quality factor model (c). (10% error in surface wave phase velocity will result 325
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8 J. Xia et al. / Journal of Applied Geophysics 1398 (2002) 1–9

326 in 6% error in S-wave velocity), Eq. (8) has less Johnston, D.H., 1981. Attenuation: a state-of-the-art summary. In: 372
327 stability. Hence, accurate calculation of Rayleigh Toksöz, M.N., Johnston, D.H. (Eds.), Seismic Wave Attenua- 373
tion, pp. 123 – 135. 374
328 wave attenuation coefficients is critical. On the other Johnston, D.H., Toksöz, M.N., 1981. Definitions and terminology. 375
329 hand, the inversion system (Eq. (8)) is more stable In: Toksöz, M.N., Johnston, D.H. (Eds.), Seismic Wave Attenu- 376
330 than AVO (amplitude versus offset) analysis studied ation, pp. 1 – 5. 377
331 and practiced in the oil industry for the last 20 years Johnston, D.H., Toksöz, M.N., Timur, A., 1979. Attenuation of 378
332 (Hilterman, 2001). Jin et al. (2000) concluded that in seismic waves in dry and saturated rocks: II. Mechanisms. Geo- 379
physics 44, 691 – 711. 380
333 AVO analysis, a 10% error in incident angles could

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Kudo, K., Shima, E., 1970. Attenuation of shear wave in soil. Bull. 381
334 result in a 40% error in reflection coefficients. Because Earthq. Res. Inst. 48, 145 – 158. 382

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335 our geophysical community accepts AVO practices, Menke, W., 1984. Geophysical Data Analysis—Discrete inversion 383
336 we should be more comfortable with quality factors Theory. Academic Press, New York. 384
337 that are inverted from Rayleigh wave attenuation Miller, R.D., Xia, J., Park, C.B., Ivanov, J., 1999. Multichannel 385

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analysis of surface waves to map bedrock. Lead. Edge 18, 386
338 coefficients. 1392 – 1396. 387
Mitchell, B.J., 1973. Surface wave attenuation and crustal anelas- 388

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ticity in central North America. Bull. Seismol. Soc. Am. 63, 389
339 Acknowledgements 1057 – 1071. 390
Mitchell, B.J., 1975. Regional Rayleigh wave attenuation in North 391
America. J. Geophys. Res. 80, 4904 – 4916. 392
340 We thank Prof. J.A. Canas and one anonymous
Nazarian, S., Stokoe II, K.H., Hudson, W.R., 1983. Use of spectral 393
341 reviewer for their critical and constructive reviews, analysis of surface waves method for determination of moduli 394
342 which improved the paper. The authors thank Mary 395
343
344
Brohammer and Julia Shuklaper for their assistance in
manuscript preparation and submission.
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and thicknesses of pavement systems. Transp. Res. Rec. 930,
38 – 45.
Palmer, D., 1980. The Generalized Reciprocal Method of Seismic
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Refraction Interpretation. Society of Exploration Geophysicists, 398
Tulsa, OK. 399
Park, C.B., Miller, R.D., Xia, J., 1996. Multi-channel analysis of 400
345 References surface waves using Vibroseis (MASWV). Expanded Abstracts 401
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346 Aki, K., Richards, P.G., 1980. Quantitative Seismology—Theory Geophysicists, 66th Annual Meeting, Denver, CO, pp. 68 – 71. 403
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351 Dorman, J., Ewing, M., 1962. Numerical inversion of seismic sur- Park, C.B., Miller, R.D., Xia, J., 1999a. Multichannel analysis of 408
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360 ple techniques. Geophysics 49, 1381 – 1385. Steeples, D.W., Miller, R.D., 1990. Seismic-reflection methods ap- 417
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429 leigh wave phase velocity. Expanded Abstracts of Technical Xia, J., Miller, R.D., Park, C.B., 2000b. Advantage of calculat- 445
430 Program with Biographies, Society of Exploration Geophysi- ing shear-wave velocity from surface waves with higher 446
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