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Conditional Spectrum Computation Incorporating Multiple Causal Earthquakes


and Ground-Motion Prediction Models

Article  in  Bulletin of the Seismological Society of America · April 2013


DOI: 10.1785/0120110293

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Bulletin of the Seismological Society of America, Vol. 103, No. 2A, pp. 1103–1116, April 2013, doi: 10.1785/0120110293

Conditional Spectrum Computation Incorporating Multiple Causal


Earthquakes and Ground-Motion Prediction Models
by Ting Lin, Stephen C. Harmsen, Jack W. Baker, and Nicolas Luco

Abstract The conditional spectrum (CS) is a target spectrum (with conditional


mean and conditional standard deviation) that links seismic hazard information with
ground-motion selection for nonlinear dynamic analysis. Probabilistic seismic hazard
analysis (PSHA) estimates the ground-motion hazard by incorporating the aleatory
uncertainties in all earthquake scenarios and resulting ground motions, as well as the
epistemic uncertainties in ground-motion prediction models (GMPMs) and seismic
source models. Typical CS calculations to date are produced for a single earthquake
scenario using a single GMPM, but more precise use requires consideration of at least
multiple causal earthquakes and multiple GMPMs that are often considered in a PSHA
computation. This paper presents the mathematics underlying these more precise CS
calculations. Despite requiring more effort to compute than approximate calculations
using a single causal earthquake and GMPM, the proposed approach produces an exact
output that has a theoretical basis. To demonstrate the results of this approach and
compare the exact and approximate calculations, several example calculations are per-
formed for real sites in the western United States. The results also provide some in-
sights regarding the circumstances under which approximate results are likely to
closely match more exact results. To facilitate these more precise calculations for real
applications, the exact CS calculations can now be performed for real sites in the
United States using new deaggregation features in the U.S. Geological Survey hazard
mapping tools. Details regarding this implementation are discussed in this paper.

Introduction
Ground-motion selection for structural and geotechnical tures is thus necessary to compute a CS that is fully consistent
system analysis is often associated with a target response with the PSHA calculations upon which it is based.
spectrum that is derived from probabilistic seismic hazard This paper presents the methodology for performing re-
analysis (PSHA) results. The conditional spectrum (CS) is fined CS computations that precisely incorporate the aleatory
one such target spectrum that estimates the distribution (with uncertainties (which are inherently random) in earthquake
mean and standard deviation) of the response spectrum, con- events with all possible magnitudes and distances, as well
ditioned on the occurrence of a target spectral acceleration as the epistemic uncertainties (which are due to limited
value at the period of interest. As this CS concept is considered knowledge) from multiple GMPMs and seismic source
for practical use, several common approximations need to be models. Three approximate calculation approaches and the
further explored. Typical CS calculations to date are produced exact calculation approach are presented, with increasing
for a single earthquake ground-motion scenario (i.e., magni- levels of complexity and accuracy. To demonstrate, several
tude, distance, and ground-motion intensity of interest) and example calculations are performed for representative sites
computed using a single ground-motion prediction model with different surrounding seismic sources: Stanford in
(GMPM, previously known as an attenuation relation, a northern California, Bissell in southern California, and Seattle
ground-motion prediction equation, a ground-motion model, in the Pacific Northwest. The results evaluate the exact and
or a ground-motion relation). The scenario is generally deter- approximate calculations, and analyze factors that contribute
mined from PSHA deaggregation, but PSHA deaggregation to the differences in accuracy. Note that while the exact ap-
calculations for real sites often show that multiple earthquake proach is more cumbersome, it does not need to be computed
scenarios contribute to the occurrence of a given ground- by the user, because these exact CS calculations have been
motion intensity. Additionally, modern PSHA calculations implemented in the U.S. Geological Survey (USGS) seismic
are performed with multiple GMPMs using a logic tree that hazard mapping tools, and could be incorporated into other
also includes seismic source models. Incorporating those fea- PSHA software as well. Details regarding this new tool

1103
1104 T. Lin, S. C. Harmsen, J. W. Baker, and N. Luco

and issues related to implementation of these concepts are value μln SaT i j ln SaT   from equation (2), specifies a com-
provided. plete distribution of logarithmic spectral acceleration values
at all periods (where the distribution at a given period is
Gaussian, as justified by Jayaram and Baker, 2008). We term
Basic Conditional Spectrum Computation
the resulting spectrum distribution as a CS, to be distin-
A wide variety of techniques has been developed in the guished from the CMS that does not consider the variability
past to select ground-motion inputs for nonlinear dynamic specified by equation (3). It is noteworthy that as an exten-
analysis (Haselton et al. 2009; Katsanos et al. 2010). One sion of the CMS approach, Bradley (2010) proposed a gen-
common approach involves selecting ground motions with eralized conditional intensity measure (GCIM) approach that
response spectra that match the target spectrum (Watson- considers the complete distribution of conditional intensity
Lamprey and Abrahamson, 2006; Beyer and Bommer, 2007; measures other than Sa.
American Society of Civil Engineers, 2010; Applied Technol- The input earthquake parameters required for the pre-
ogy Council, 2011). The conditional mean spectrum (CMS) is vious CS calculations are those required by the GMPM and
one such spectrum that incorporates correlation across periods can include magnitude (M), distance (R), and other param-
to estimate the expected Sa values at all periods T i [SaT i ] eters such as rupture mechanism and site conditions (θ). In
given the target Sa value at the period of interest T  [SaT  ] this paper, we will sometimes use M=R in the text as an
(Baker and Cornell, 2006; Somerville and Hamburger, 2009; abbreviation for M=R=θ (although θ will be included in
Abrahamson and Al Atik, 2010; Baker, 2011; Gulerce and equations where appropriate). To implement the CS in prac-
Abrahamson, 2011; Somerville and Thio, 2011). tice, we need to determine which M=R and GMPM to use.
The basic CMS computation procedure is as follows. Common approximations to compute the CS include using
First, we obtain the target spectral acceleration at period the mean magnitude and distance from deaggregation, along
T  , SaT   from PSHA and its associated mean causal earth- with a single GMPM (Baker, 2011). As explained more in the
quake magnitude (M), distance (R), and other parameters (θ), next section, these approximations need to be evaluated for
from deaggregation. Next, we use a GMPM to obtain the log- the practical implementation of CS as a target spectrum for
arithmic mean and standard deviation of Sa at all periods T i , selecting ground motions.
denoted as μln Sa M; R; θ; T i  and σln Sa M; θ; T i . For any
SaT i  value, we compute the εT i , the number of standard
Deaggregation
deviations by which ln SaT i  differs from the mean spectral
ordinate predicted by a given GMPM, μln Sa M; R; θ; T i , at T i Computing CS at real sites requires us to consider the
following two factors: First, deaggregation will produce
ln SaT i  − μln Sa M; R; θ; T i  multiple causal earthquake magnitude and distance values
εT i   : (1)
σln Sa M; θ; T i  for a given SaT   amplitude, as illustrated in the USGS
deaggregation plots in Figure 1, where the height of each
The target εT  , for the target SaT   value, can also be column represents the percentage contribution from each
computed using equation (1). We can then compute the condi- M=R combination. Second, PSHA calculations use multiple
tional mean spectral acceleration at other periods T i , GMPMs and seismic source models to compute seismic haz-
μln SaT i j ln SaT   , using the correlation coefficient between ard at a site through a logic tree (Kramer, 1996; McGuire,
pairs of ε values at two periods, ρεT i ; εT  , hereafter 2004; Scherbaum et al., 2005; Bommer and Scherbaum,
referred to as ρT i ; T   (Baker and Jayaram, 2008): 2008; Petersen et al., 2008). A refined CS computation,
μln SaT i j ln SaT    μln Sa M; R; θ; T i  therefore, needs to consider multiple causal earthquakes and
GMPMs, if not multiple seismic source models.
 ρT i ; T  σln Sa M; θ; T i εT  : (2) Probability seismic hazard analysis accounts for the
aleatory uncertainties in earthquake events by combining the
The spectrum defined by μln SaT i j ln SaT   in equation (2) frequencies of occurrence of all earthquake scenarios with
has been termed the CMS, because it specifies the mean different magnitudes and distances with predictions of result-
values of ln SaT i , the exponentials of which are equivalent ing ground-motion intensity, in order to compute seismic
to the median values of SaT i  if it is lognormally distrib- hazard at a site (Kramer, 1996; McGuire, 2004). Probability
uted, conditional on the value of ln SaT   (Baker, 2011). seismic hazard analysis also incorporates the epistemic un-
Similarly, we can compute σln SaT i j ln SaT   , the condi- certainties in the seismic source models and ground-motion
tional standard deviation of spectral acceleration at period predictions by considering multiple models in a logic tree.
T i , conditioned on the value of Sa at T  : For instance, the USGS utilizes three GMPMs (Boore and
q Atkinson, 2008; Campbell and Bozorgnia, 2008; Chiou
σln SaT i j ln SaT    σln Sa M; θ; T i  1 − ρ2 T i ; T  : (3) and Youngs, 2008) for crustal seismic sources in the western
United States (Petersen et al., 2008). Traditional PSHA
The conditional standard deviation σln SaT i j ln SaT   deaggregation (McGuire, 1995; Bazzurro and Cornell, 1999;
from equation (3), when combined with the conditional mean Harmsen, 2001), however, only reports distributions of
Spectrum Computation Incorporating Multiple Causal Earthquakes and Ground-Motion Prediction Models 1105

(a) (d)
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Figure 1. Deaggregation for Sa0:2 s with 10% probability of exceedance in 50 years at Stanford, Bissell, and Seattle (a, b, and c,
respectively) and for Sa1s with 2% probability of exceedance in 50 years at Stanford, Bissell, and Seattle (d, e, and f, respectively) (adapted
with permission from USGS; see Data and Resources). The color version of this figure is available only in the electronic edition.

causal M=R=ε values given an Sa amplitude. The McGuire interpreted as posterior weights given the occurrence (or
(1995) deaggregation is conditional on Sa that equals a target exceedance) of the ground-motion amplitude of interest.
value, termed Sa occurrence, while the Bazzurro and Cornell Additional details on GMPM deaggregation are provided in
(1999) deaggregation is conditional on Sa that exceeds a tar- Lin and Baker (2011). For the purpose of response spectrum
get value, termed Sa exceedance. Depending on the Sa val- predictions, the key elements are the GMPMs and their input
ues of interest, either deaggregation approach can be used. earthquake parameters (e.g., M, R, ε). Hence, the focus of
Such deaggregation can be extended to include distributions deaggregation here will be on these two. The other portions
of the logic-tree branches, such as GMPMs, that contribute to of the logic tree (e.g., recurrence type, rates, maximum mag-
predictions of Sa occurrence (or exceedance). nitude) do not influence spectrum predictions and so can be
Just as the deaggregation of magnitude and distance grouped for the purpose of these calculations. The USGS has
identifies the relative contribution of each earthquake sce- recently begun providing GMPM deaggregation outputs (see
nario to Sa occurrence (or exceedance), the deaggregation Data and Resources). These outputs facilitate the exact
of GMPMs tells us the probability that the occurrence (or calculations of CS described next.
exceedance) of that Sa level is predicted by a specific
GMPM. Note that the GMPM deaggregation weights differ Conditional Spectrum Calculation Approaches
from the logic-tree weights; in decision analysis (Benjamin
and Cornell, 1970), the logic-tree weights are equivalent to We now consider several options for computing CS that
prior weights, whereas the deaggregation weights may be incorporate consideration of multiple causal earthquake
1106 T. Lin, S. C. Harmsen, J. W. Baker, and N. Luco

scenarios and multiple GMPMs, as well as multiple seismic ing mean spectra [μln SaT i j ln SaT   ], weighted by the logic-
source models and their logic-tree branches. We introduce tree weights, to get a mean spectrum
several approximate calculation approaches with increasing X
complexity but also with increasing accuracy, followed by μln SaT i j ln SaT   ≈ plk μln Sak T i j ln SaT  : (6)
the exact calculation. Differences between the approaches k

are highlighted, and these approaches are evaluated later


to determine the accuracy of the approximate approaches. The computation of conditional standard deviations is
slightly more complicated, because it not only accounts
for the mean of the standard deviations from the GMPMs,
Method 1: Approximate CS Using Mean M=R and a but it also includes the additional uncertainty introduced
Single GMPM by the variation in mean predictions among the GMPMs.
The most basic method for computing an approximate Formal probabilistic modeling (Ditlevsen, 1981) can be used
CS is to utilize a single earthquake scenario and single to show that the resulting conditional standard deviation is

r
X 
σln SaT i j ln SaT   ≈ plk σ2ln Sak T i j ln SaT    μln Sak T i j ln SaT   − μln SaT i j ln SaT   2 : (7)
k

GMPM, so that equations (2) and (3) can be used directly. In equations (6) and (7) we no longer have a subscript k on
In current practice, this is done by taking the mean value the resulting μln SaT i j ln SaT   and σln SaT i j ln SaT   , because
of the causal magnitudes and distances from deaggregation, the results are no longer specific to a single GMPM but
denoted here as M  and R (Baker, 2011). Similarly, the mean incorporate multiple GMPMs.
value of other causal parameters (θ)  can be obtained or in- Although the use of logic-tree weights is not rigorously
ferred from deaggregation. These mean values can then be correct, we introduce it here as a convenient approximation
used with a single GMPM (even though the underlying haz- because these equations do not require GMPM deaggregation
ard analysis utilized several GMPMs). The resulting CS cal- outputs, which are not currently available from many PSHA
culations are given in the following equations, utilizing the software tools.
subscript k to denote that the calculations are based on a sin-
gle GMPM indexed by k. The equations are also denoted as
being approximately equal to the true CS values, given the Method 3: Approximate CS Using GMPM-Specific
simplifications made here. Mean M=R and GMPMs with Deaggregation Weights
μln Sak T i j ln SaT   ≈ μln Sak M;  θ;
 R;  Ti In this section, we further refine the CS calculations by
taking advantage of GMPM deaggregation if it is available
 ρT i ; T  σln Sak M;  T i εT  ;
 θ; (4)
(e.g., as it is from the new USGS tools). First, GMPM deag-
and gregation will provide separate M=R deaggregation for each
q prediction model. Here we will use the mean M and R values
σln Sak T i j ln SaT   ≈ σln Sak M;  T i  1 − ρ2 T i ; T  ; (5)
 θ; for each model, denoted as M  k and R k for GMPM k. Using
where the mean and standard deviation predicted by GMPM k these values, means and standard deviations of the CS can be
are denoted μln Sak and σln Sak , and the CS computed for computed for GMPM k as follows:
GMPM k is denoted μln Sak T i j ln SaT   and σln Sak T i j ln SaT   . μln Sak T i j ln SaT   ≈ μln Sak M
 k ; R k ; θ k ; T i 
Note that the correlation coefficient, ρ, is assumed to be
constant for each GMPM; this could be revised if desired.  ρT i ; T  σln Sak M
 k ; θ k ; T i εk T  ; (8)

and
Method 2: Approximate CS Using Mean M=R and
q
GMPMs with Logic-Tree Weights  k ; θ k ; T i  1 − ρ2 T i ; T  :
σln Sak T i j ln SaT   ≈ σln Sak M
We can refine method 1 by considering all GMPMs used
(9)
in the PSHA computation. The PSHA logic tree weights each
model (these weights can be equal or unequal), and here Note that the GMPM-specific M  k and R k (in equations 8 and
we denote the weight for model k as plk , where the super- 9) are different from the M and R with respect to all GMPMs

script l refers to logic tree. To obtain an approximate CS (in equations 4 and 5). As an intermediate step (e.g., between
using all of these GMPMs, we repeat the single-GMPM cal- R and R k ), the concept of conditional deaggregation given
culation (equations 4 and 5) to obtain μln Sak T i j ln SaT   and GMPM can also be extended to compute M  k , R k jM
 k , and
σln Sak T i j ln SaT   for each GMPM. We then sum up the result- ε k jMk , Rk in a cascading or Rosenblatt-distribution manner.
 
Spectrum Computation Incorporating Multiple Causal Earthquakes and Ground-Motion Prediction Models 1107

q
The second GMPM deaggregation output used in this σln Saj;k T i j ln SaT    σln Sak M j ; θj ; T i  1 − ρ2 T i ; T  :
method is the probability that GMPM k predicted occurrence
(or exceedance) of the Sa. These deaggregation probabilities (13)
are denoted as pdk , where the superscript d refers to deaggre-
gation, and they are generally not equal to the PSHA logic- A PSHA deaggregation that includes GMPM deaggrega-
tree weights that have been denoted as plk . Utilizing these tion will provide the weights, pdj;k , that indicate the contri-
weights, along with the GMPM-specific μln Sak T i j ln SaT   bution of each M j =Rj and GMPMk to occurrence (or
and σln Sak T i j ln SaT   from equations 8 and 9, a composite exceedance) of the Sa of interest. Note that here we are
CS can be computed: considering the contributions of individual M j =Rj rather
X than approximating all contributing earthquake scenarios by
μln SaT i j ln SaT   ≈ pdk μln Sak T i j ln SaT  ; (10) simply a mean M and R, as we did in equations (8) and (9).
k
The exact CS incorporating multiple M=R and GMPMs
and can then be evaluated by combining these individual

r
X
σln SaT i j ln SaT   ≈ pdk σ2ln Sak T i j ln SaT    μln Sak T i j ln SaT   − μln SaT i j ln SaT   2 : (11)
k

As with method 2, the mean spectrum is the mean (over μln Saj;k T i j ln SaT   and σln Saj;k T i j ln SaT   with their corre-
GMPMs) of the GMPM-specific means, except that here sponding weights, pdj;k
we have utilized the more appropriate deaggregation weights
XX
pdk . The standard deviation of the spectrum again contains μln SaT i j ln SaT    pdj;k μln Saj;k T i j ln SaT  ; (14)
contributions from the individual GMPM conditional stan- k j
dard deviations, plus the uncertainty from the variations in
mean spectra across GMPMs. While this method incorporates and

s
XX 
σln SaT i j ln SaT    pdj;k σ2ln Saj;k T i j ln SaT    μln Saj;k T i j ln SaT   − μln SaT i j ln SaT   2 : (15)
k j

more exact information than methods 1 or 2, it is still


approximate because it utilizes only the mean earthquake Equations (14) and (15) are similar to those in method 3,
scenario for a given GMPM. Method 4 will resolve that final except that there is now a second set of summations in the
approximation. equations to account for the effect of multiple Mj =Rj values
instead of the single-mean values M k and R k from method 3.
These equations provide an exact answer to the question, what
Method 4: “Exact” CS Using Multiple Causal is the mean and standard deviation of the response spectra
Earthquake M=R and GMPMs with Deaggregation associated with ground motions having a target SaT  ,
Weights when that SaT   could potentially result from multiple
With this final method we now account exactly for, earthquake scenarios, and the Sa predictions come from a
when we compute the CS, the contribution that each earth- logic tree with multiple GMPMs? It requires more effort to
quake magnitude/distance and each GMPM makes to the seis- compute than the approximate approaches commonly used
mic hazard. For each causal earthquake combination Mj =Rj today, and it requires detailed deaggregation information in-
and GMPM k, we can obtain a corresponding mean and stan- cluding hazard contributions of GMPMs and other parameters,
dard deviation of the CS, denoted μln Saj;k T i j ln SaT   and θ, that may not be available.
σln Saj;k T i j ln SaT   , as Alternatively, an exact CS can be computed directly
from the earthquake parameters and GMPMs that were used
in PSHA computation to aggregate the hazard, as described in
μln Saj;k T i j ln SaT    μln Sak Mj ; Rj ; θj ; T i   ρT  ; T i εj T   the next section. Although treatments of aleatory and episte-
× σln Sak M j ; θj ; T i ; (12) mic uncertainties are often separated in PSHA, a single seis-
mic hazard curve is typically derived with the consideration
of aleatory uncertainties from multiple causal earthquakes
and and epistemic uncertainties from multiple GMPMs and
1108 T. Lin, S. C. Harmsen, J. W. Baker, and N. Luco

seismic source models (Petersen et al., 2008). Here we take a vides results that have practical differences from those
similar approach to compute a single CS that combines these obtained using the simpler approximate methods 1 to 3.
aleatory and epistemic uncertainties. To evaluate the accuracy of the approximate methods,
CS for three locations are computed using the methods de-
scribed previously. Target spectral accelerations are obtained
Aggregation Approach to Method 4 (Exact CS)
for Sa0:2s with 10% probability of exceedance in 50 years
Although the GMPM deaggregations used in methods 3 (i.e., a return period of 475 years), and for Sa1s with 2%
and 4 are now available from the USGS, it would be imprac- probability of exceedance in 50 years (i.e., a return period of
tical to provide deaggregations with respect to all of the other 2475 years).
branches of the PSHA logic tree (e.g., for alternative moment-
area equations in California and for body wave to moment Description of Example Sites and GMPMs
magnitude equations in the central and eastern United
States). Likewise, it would be cumbersome to provide deag- We consider three locations in the western United States
gregations with respect to all of the other GMPM input with relatively high hazard but differing surrounding seismic
sources: Stanford, Bissell, and Seattle. Deaggregation results
parameters besides M and R (e.g., rupture mechanism and
hanging/footwall indicators), which were previously denoted for these three sites are shown in Figure 1. Ground-motion
as θ. To account for these other branches and parameters in hazard at Stanford, located in northern California, is domi-
nated by a single, shallow crustal earthquake source, the
method 4 without additional deaggregation results, a CS can
be calculated during the PSHA computation (using equa- San Andreas fault zone. Ground-motion hazard at Bissell,
tions 12 and 13) for each and every earthquake source located in southern California, has contributions from multi-
ple earthquake sources, but they are all shallow crustal
and logic-tree branch. These numerous CS results can then
be combined using equations (14) and (15), but now with j sources. Ground-motion hazard at Seattle has contributions
representing all the earthquake sources and k representing all from multiple earthquake sources of different types: shallow
crustal, subduction zone interface, and intraplate (each of
the logic-tree branches. In this case, the deaggregation
weights in the equations are simply taken from the PSHA which has its own set of GMPMs). All three sites are assumed
contribution (mean annual exceedance frequency) for each to have a time-averaged shear-wave velocity in the top
30 meters of the soil (V S30 ) of 760 m=s.
earthquake source and logic-tree branch, normalized by
the total aggregated hazard. The hazard calculations and deaggregation results all
An advantage of this aggregation approach to method 4 come from the USGS models and hazard mapping tools. The
USGS model (Petersen et al., 2008) assigns equal logic-tree
is that the other GMPM input parameters θ no longer need to
be inferred in calculating a CS. This is because we can first weights to GMPMs near Stanford and Bissell, but unequal
calculate a CS for each and every earthquake source (not to logic-tree weights to GMPMs near Seattle. The USGS model
mention logic-tree branch) using the same corresponding uses three GMPMs for the crustal sources near Stanford,
GMPM input parameters used in the PSHA computation.
Bissell, and Seattle (Boore and Atkinson, 2008; Campbell
Based on the examples for three sites presented next, any and Bozorgnia, 2008; Chiou and Youngs, 2008), three
GMPMs for the subduction zone interface sources (Youngs
numerical differences between the aggregation approach and
method 4 are not expected to be significant for the CMS (or et al., 1997; Atkinson and Boore, 2003; Zhao et al., 2006), and
mean CS) at a site. Also based on the examples, however, the three GMPMs for the intraplate sources near Seattle (Youngs
standard deviation of a CS (via equation 15) using the results et al., 1997; Atkinson and Boore, 2003, which provides mod-
for every earthquake source and logic-tree branch would be els that can be used in both the Global and Cascadia regions).
expected to yield differences, although the practical signifi- The Youngs et al. (1997), Atkinson and Boore (2003), and
cance of the differences is not known. The standard deviation Zhao et al. (2006) models are developed for both subduction
from the aggregation approach would capture all of the un- zone interface and intraplate sources. The GMPMs vary in
certainties considered in the PSHA computation. their required input variables. The mean ln Sa predictions
An implementation of this aggregation approach to cal- depend on M, R, and other source and site characteristics (θ)
culating an exact CS is now provided as part of USGS online such as depth to top of rupture, faulting mechanism, and
hazard tools. Details and limitations of this implementation hanging-wall effect. Some of the GMPMs predict standard
are discussed in the final section, Conditional Spectrum deviations of ln Sa that depend only on the period of interest
Calculation Tools from USGS. (Boore and Atkinson, 2008), while others are magnitude
dependent (Chiou and Youngs, 2008).

Example Calculations for Three Sites Deaggregation Information


To demonstrate the numerical results that are now The targets Sa0:2s with 10% probability of exceed-
available using the previous equations and the USGS online ance in 50 years and Sa1s with 2% probability of exceed-
hazard tools, this section provides a set of example calcula- ance in 50 years are obtained from PSHA for the three
tions to determine whether using the “exact” method 4 pro- example sites considered. The associated causal earthquake
Spectrum Computation Incorporating Multiple Causal Earthquakes and Ground-Motion Prediction Models 1109

magnitudes and distances are obtained from USGS deaggre- method 4, because method 4 produces higher conditional
gation (see Data and Resources), and their deaggregation standard deviations in every case. A closer examination of
plots are shown in Figure 1. Other parameters, θ, that are equation (15) reveals two components of contribution to
associated with each causal earthquake M=R combination the exact conditional standard deviations: first, a contribution
can be obtained directly from the parameters that were used from σln Sa , that is, variance in ln Sa for a given M j =Rj and
for PSHA computation (i.e., via the aggregation approach to GMPMk ; second, a contribution from μln Sa , due to variation
method 4), from deaggregation outputs if available, or in M j =Rj and GMPMk . In other words, the total variance
inferred from the characteristics of contributing earthquake comes from the expectation of the variance, which is the first
sources. With the target SaT   and μln Sa M; R; θ; T   and term, and the variance of the expectation, which is the second
σln Sa M; θ; T   predictions for each causal M=R=θ, we can term (Ditlevsen, 1981). The individual contributions from
then back calculate εT   using equation (1). The logic-tree these two terms are plotted in Figure 3a–c. Methods 2
weights for each GMPM (plk ) are obtained from the USGS and 3 very closely approximate the contribution from σln Sa
documentation (Petersen et al., 2008), and the deaggregation for the Stanford and Bissell sites, although the match is not as
weights (pdk and pdj;k ) are obtained from the USGS deaggre- good for Seattle. Method 4 also includes the contribution
gation tools (see Data and Resources). from μln Sa , which is, however, not well captured by meth-
ods 2 and 3. Figure 3d–f shows the μln Sa predicted for each
Mj =Rj and GMPMk , and it is the weighted variance of these
Conditional Spectra Results
spectra that creates the contribution to the overall standard
Conditional spectra results can be computed for each deviation from μln Sa . Thus, we see that this variance of
example case using the approximate or exact methods de- expectations contribution may not be negligible; the approxi-
scribed previously. Depending on the level of approximation, mate methods do not capture this well, because they consider
the CS for a GMPM k can be computed using method 1 (equa- only mean M=R values and thus cannot identify the contri-
tions 4 and 5) for approximate CS with mean M=R (M  and bution to uncertainty from multiple M=R contributions to
R), method 3 (equations 8 and 9) for approximate CS with ground-motion hazard. Similarly, we anticipate that the deag-
GMPM-specific mean M=R (M  k and R k ), or method 4 (equa- gregation approach to the exact method 4 underestimates the
tions 12 and 13) for all contributing CS with GMPM-specific conditional standard deviation, relative to the aggregation
causal earthquake M=R (M j and Rj ). The composite CS can approach that accounts for every logic-tree branch and earth-
then be computed with the corresponding weights using quake source used in the PSHA computation. We do not yet
method 2 (equations 6 and 7) for approximate CS with know whether this underestimation is practically significant.
GMPM logic-tree weights (plk ), method 3 (equations 10 and Figure 4 shows the target CS computed using methods 2
11) for approximate CS with GMPM deaggregation weights and 4 for all three sites and both target Sa values: Sa0:2s
(pdk ), or method 4 (equations 14 and 15) for exact CS with with 10% probability of exceedance in 50 years and Sa1s
deaggregation weights associated with each causal earth- with 2% probability of exceedance in 50 years. Method 2 is
quake and GMPM (pdj;k ). The resulting CS obtained from chosen as the reference approximate method here because it
these four methods are plotted in Figure 2. Also plotted in has an appealing combination of incorporating multiple
the figure are the CMS (but not conditional standard devia- GMPMs but not requiring any GMPM deaggregation informa-
tions) resulting from the aggregation approach to method 4, tion. For all three sites, the mean estimates of the approxi-
which are nearly identical to the method 4 results despite the mate and exact methods are in close agreement, while the
inclusion of additional logic-tree branches and earthquake approximate standard deviations underestimate the exact re-
sources. These CMS are obtained from the USGS calculation sult; this effect is most pronounced at periods far from the
tools described in the final section. conditioning period (i.e., 0.2 s or 1 s).
We can make several observations from the results of The method 2 approximation appears to work best for
Figure 2. For the Stanford and Bissell sites, CS computed sites with a single earthquake source (e.g., Stanford),
using method 1 are very similar to results from methods 2 followed by sites with multiple earthquakes sources of the
and 3, but they differ more for Seattle. This is because the same type (e.g., Bissell) and sites with multiple differing
GMPMs used in Seattle, some of which are for subduction earthquake source types (e.g., Seattle). This is because there
zone events, result in more varied predictions; using a mean are several contributing factors to the accuracy of the
 R that represents a variety of earthquake sources with a
M= approximation: (1) the input causal earthquake parameters,
GMPM appropriate for a single-source type could be antici- (2) the GMPMs used, (3) the GMPM deaggregation weights.
pated to produce these varied predictions. For Seattle, meth- First, the importance of considering multiple causal
ods 2 and 3, which more carefully address the contributions M=R values depends upon how many M=R values contribute
of multiple GMPMs, do a better job of approximating the significantly to the hazard. In cases where all contributions to
exact results from method 4. hazard come from a narrow range of magnitudes and distan-
For all three sites, the approximate methods 2 and 3 ces (e.g., Stanford), the mean M=R is representative of the
work better for conditional mean estimation than for condi- most important individual contributing M=R, so computa-
tional standard deviation estimation compared with the exact tions based only on the mean M=R are very precise.
1110 T. Lin, S. C. Harmsen, J. W. Baker, and N. Luco

(a) 10
1
(d) 1.2
1: Mean M/R, single GMPM
1 2: Mean M/R, logic−tree weights
0 3: Mean M /R , deagg weights
10 k k
0.8 4: Exact

lnSa(T)
Sa(T) [g]
−1
10 0.6

1: Mean M/R, single GMPM 0.4


−2
10 2: Mean M/R, logic−tree weights
3: Mean M /R , deagg weights 0.2
k k
−3
4: Exact (USGS)
10 0
0.05 0.2 1 3 0.05 0.2 1 3
T [s] T [s]

(b) 1
10 (e) 1.2
1: Mean M/R, single GMPM
1 2: Mean M/R, logic−tree weights
0 3: Mean M /R , deagg weights
10 k k
0.8 4: Exact

lnSa(T)
Sa(T) [g]

−1
10 0.6

1: Mean M/R, single GMPM 0.4


−2
10 2: Mean M/R, logic−tree weights
3: Mean M /R , deagg weights 0.2
k k
−3
4: Exact (USGS)
10 0
0.05 0.2 1 3 0.05 0.2 1 3
T [s] T [s]

(c) 10
1
(f) 1.2
1: Mean M/R, single GMPM
1 2: Mean M/R, logic−tree weights
0 3: Mean M /R , deagg weights
10 k k
0.8 4: Exact
lnSa(T)
Sa(T) [g]

−1
10 0.6

1: Mean M/R, single GMPM 0.4


−2
10 2: Mean M/R, logic−tree weights
3: Mean M /R , deagg weights 0.2
k k
−3
4: Exact (USGS)
10 0
0.05 0.2 1 3 0.05 0.2 1 3
T [s] T [s]

Figure 2. CMS at Stanford, Bissell, and Seattle (a, b, and c, respectively) and conditional standard deviation spectra at Stanford, Bissell,
and Seattle (d, e, and f, respectively) using methods 1 to 4 for Sa0:2s with 10% probability of exceedance in 50 years. The color version of
this figure is available only in the electronic edition.

However, in cases where hazard contributions come from a types, can also affect the accuracy of the approximation be-
broader range of magnitudes and distances (especially in the cause they contribute to the Sa prediction.
case of Seattle), the mean M=R deviates from any individual Second, the similarity of the GMPMs affects approxima-
contributing M=R, so computations based on the mean M=R tions in their treatment. For cases where the ground-motion
only may result in a slight shift in conditional mean estimates predictions for a given M=R vary significantly between
in addition to reduced conditional standard deviations. models (e.g., Seattle, where the subduction zone and crustal
Similarly, for the common situation of low- or moderate- prediction models vary significantly), approximate treatment
seismicity sites in the central and eastern United States, for of GMPMs is less effective, and so a CS using a single GMPM
example, those that are located several hundred kilometers (or using approximate weights on multiple models) may pro-
from the New Madrid seismic region where the low- duce inaccurate results. Similar inaccuracies can be expected
frequency deaggregation can be strongly bimodal, computa- in the central and eastern United States. On the other hand,
tions based on the mean M=R only may not be precise. the three GMPMs used at Stanford and Bissell all tend to
Furthermore, variations in other parameters besides M and produce similar predictions, so for those cases the choice
R, such as depth to the top of rupture for different source of the GMPM used to compute CS may not be as critical.
Spectrum Computation Incorporating Multiple Causal Earthquakes and Ground-Motion Prediction Models 1111

(a) 1.2 (d) 1


10
2: Mean M/R, logic−tree weights
1 3: Mean M /R , deagg weights
k k
0
4: Exact 10
0.8 Contribution from

lnSa(T)

Sa(T) [g]
Contribution from
−1
0.6 10

0.4 M /R , GMPM
−2 j j k
10 2: Mean M/R, logic−tree weights
0.2 3: Mean M /R , deagg weights
k k
−3
4: Exact
0 10
0.05 0.2 1 3 0.05 0.2 1 3
T [s] T [s]

(b) 1.2 (e) 1


10
2: Mean M/R, logic−tree weights
1 3: Mean M /R , deagg weights
k k
0
4: Exact 10
0.8 Contribution from
lnSa(T)

Sa(T) [g]
Contribution from
−1
0.6 10

0.4 M /R , GMPM
−2 j j k
10 2: Mean M/R, logic−tree weights
0.2 3: Mean M /R , deagg weights
k k
−3
4: Exact
0 10
0.05 0.2 1 3 0.05 0.2 1 3
T [s] T [s]

(c) 1.2 (f) 1


10
2: Mean M/R, logic−tree weights
1 3: Mean M /R , deagg weights
k k
0
4: Exact 10
0.8 Contribution from
lnSa(T)

Sa(T) [g]

Contribution from
−1
0.6 10

0.4 M /R , GMPM
−2 j j k
10 2: Mean M/R, logic−tree weights
0.2 3: Mean M /R , deagg weights
k k
−3
4: Exact
0 10
0.05 0.2 1 3 0.05 0.2 1 3
T [s] T [s]

Figure 3. Conditional standard deviation spectra with contribution from σln Sa (variance in ln Sa for a given M j =Rj and GMPMk ) and
μln Sa (due to variation in Mj =Rj and GMPMk ) at Stanford, Bissell, and Seattle (a, b, and c, respectively) and CMS for each considered Mj =Rj
and GMPMk at Stanford, Bissell, and Seattle (d, e, and f, respectively) using methods 2 to 4 for Sa0:2s with 10% probability of exceedance
in 50 years. The color version of this figure is available only in the electronic edition.

Third, as the GMPM deaggregation weights differ more weights are often similar to the logic-tree weights, and the
from the GMPM logic-tree weights, approximate treatment of predictions are also in good agreement (as noted in the pre-
those weights works less effectively. For instance, in the (not vious paragraph), so the approximations are generally good
too uncommon) case where one GMPM strongly dominates in those cases.
the deaggregation, the approximation that assumes GMPM
logic-tree weights is expected to deviate more substantially Impact of Approximations on Ground-Motion
from the computation that utilizes GMPM deaggregation Selection
weights. The GMPM deaggregation weights vary with the
period of interest (T  ), the target SaT   amplitude of inter- The importance of approximations in the CS computa-
est, and the location, so it is difficult to develop simple rules tions will depend upon how the results affect any engineering
for when the approximations work well. But if the GMPM decisions that may be made. The most common use for
predictions are similar to each other for the M=R values con- a CS is as a target response spectrum for ground-motion se-
tributing significantly to hazard, then the deaggregation lection and scaling (Baker and Cornell, 2006; Baker, 2011).
1112 T. Lin, S. C. Harmsen, J. W. Baker, and N. Luco

(a) 10
1
(d) 10
1

0 0
10 10

Sa(T) [g]

Sa(T) [g]
−1 −1
10 10

−2
4: Exact 4: Exact µ
−2
10 4: Exact +/− 2 10 4: Exact µ +/− 2σ
2: Mean M/R, logic−tree weights 2: Mean M/R, logic−tree weights µ
2: Mean M/R, logic−tree weights +/− 2 2: Mean M/R, logic−tree weights µ +/− 2σ
−3 −3
10 10
0.05 0.2 1 3 0.05 0.2 1 3
T [s] T [s]

(b) 10
1
(e) 10
1

0 0
10 10
Sa(T) [g]

Sa(T) [g]
−1 −1
10 10

−2
4: Exact 4: Exact µ
−2
10 4: Exact +/− 2 10 4: Exact µ +/− 2σ
2: Mean M/R, logic−tree weights 2: Mean M/R, logic−tree weights µ
2: Mean M/R, logic−tree weights +/− 2 2: Mean M/R, logic−tree weights µ +/− 2σ
−3 −3
10 10
0.05 0.2 1 3 0.05 0.2 1 3
T [s] T [s]

(c) 10
1
(f) 10
1

0 0
10 10
Sa(T) [g]

Sa(T) [g]

−1 −1
10 10

−2
4: Exact 4: Exact µ
−2
10 4: Exact +/− 2 10 4: Exact µ +/− 2σ
2: Mean M/R, logic−tree weights 2: Mean M/R, logic−tree weights µ
−3
2: Mean M/R, logic−tree weights +/− 2 2: Mean M/R, logic−tree weights µ +/− 2σ
−3
10 10
0.05 0.2 1 3 0.05 0.2 1 3
T [s] T [s]

Figure 4. CS computed using methods 2 and 4 for Sa0:2s with 10% probability of exceedance in 50 years at Stanford, Bissell, and
Seattle (a, b, and c, respectively) and Sa1s with 2% probability of exceedance in 50 years at Stanford, Bissell, and Seattle (d, e, and f,
respectively). The color version of this figure is available only in the electronic edition.

Approximations to the CS might have an influence on ground et al. (2011), which assumes a Gaussian distribution. In
motions selected from a database (because the selected general, the conditional logarithmic Sa distribution is not
ground motions match the target response spectrum), and Gaussian when multiple causal earthquakes and/or multiple
that could affect nonlinear dynamic analysis results. On the GMPMs are considered, and hence the mean and variance
other hand, the finite size of recorded ground-motion data- alone may not describe the entire distribution; they still pro-
bases means that minor changes in the spectrum target may vide useful insights, however. Alternatively, Bradley (2010)
not result in substantially different ground motions being considers multiple causal earthquake sources and the com-
selected; in that case, the approximations would not have plete distribution of the conditional ground-motion intensity
an appreciable impact on structural analysis results. measure. The target response spectra and corresponding
To illustrate, the target CS mean and variance are com- ground motions selected via Jayaram et al. (2011) are shown
puted using both the exact (method 4) and approximate in Figures 4b and 5. The means of the CS using both methods
(method 2) approaches at the Bissell site for the Sa0:2s are in close agreement, but the standard deviation of the CS
amplitude with 10% probability of exceedance in 50 years. using method 4 is higher than that using method 2, especially
Ground motions can be selected to match these target at periods farther away from the conditioning period of 0.2 s.
spectrum mean and variance using the procedure of Jayaram Consequently, the spectra of the ground motions selected
Spectrum Computation Incorporating Multiple Causal Earthquakes and Ground-Motion Prediction Models 1113

(a) 101 (b) 10


1

0 0
10 10

Sa(T) [g]

Sa(T) [g]
−1 −1
10 10

−2
10 4: Exact µ 10
−2
2: Mean M/R, logic−tree weights µ
4: Exact µ +/− 2σ 2: Mean M/R, logic−tree weights µ +/− 2σ
Selected ground motions Selected ground motions
−3 −3
10 10
0.05 0.2 1 3 0.05 0.2 1 3
T [s] T [s]

Figure 5. Response spectra of ground motions selected match CS obtained using (a) method 4 and (b) method 2 at Bissell site for
Sa0:2s with 10% probability of exceedance in 50 years. The color version of this figure is available only in the electronic edition.

using method 4 are expected to show a similar mean but a from the tool, issues with the current implementation, and
higher standard deviation than those using method 2. The future features. One such future feature is providing the
larger exact CS standard deviation results in selecting a few standard deviations of CS in addition to the means.
more ground motions with high spectra at periods other than
0.2 s, and this can result in a slightly increased probability of Description of Calculation Tool
observing large structural responses or collapses (as seen in
Jayaram et al., 2011). Note that the spectra of the selected As shown in Figure 6, the USGS 2008 Interactive
ground-motion sets, however, do not differ substantially in Deaggregation web tool provides CMS for a user-specified:
Figure 5, relative to variations between ground-motion spec- • location (address or latitude and longitude) anywhere in
tra within a set. Structural analyses to date suggest that in the continental United States;
cases such as this, the exact method results in similar median • mean exceedance probabilities of 1%, 2%, 5%, 10%, 20%,
but increased dispersion in structural response estimates. or 50% in 30, 50, 75, 100, or 200 years;
The difference in structural response can be larger, • spectral acceleration period of 0 s (corresponding to peak
however, if methods 2 and 4 result in substantial differences ground acceleration), 0.1 s, 0.2 s, 0.3 s, 0.5 s, 1 s, or 2 s, or
in both the mean and the variance of the CS, such as those additionally 3 s, 4 s, or 5 s for locations in the western
illustrated in Figure 4c,f for the Seattle site. In such cases, in United States (west of −115° longitude);
addition to a slight increase in structural response dispersion, • V S30 of soil between 180 and 1300 m=s for locations in the
the median of the structural response may shift as well. To western United States, of 760 or 2000 m=s in the central
reflect contributions from different earthquake sources, indi- and eastern United States (east of −100° longitude), or of
vidual CS can be constructed for each earthquake source, and 760 m=s for locations in between.
separate sets of ground motions selected to match both the As output, the tool currently provides graphs, tables, and
target spectra as well as other characteristics of each source text files for four different types of CMS, all calculated
(Goda and Atkinson, 2011). These CS for different earth- according to the Aggregation Approach to Method 4 (Exact
quake sources are available as intermediate steps to compute CS) section. The four different types are:
the exact CS described previously and are provided by the
USGS as part of the CMS feature that is described in the next • an overall CMS that accounts for all of the earthquake
section. As the difference between approximate and exact sources and logic-tree branches considered in the USGS
spectra increases, more refined target spectra will have in- PSHA computation (with a few exceptions described in the
creasing benefits for ground-motion selection and structural next section);
response assessment. • a CMS for each GMPM that accounts for all of the earth-
quake sources and logic-tree branches related to the par-
Conditional Spectrum Calculation Tools from USGS ticular GMPM;
• a CMS for each of several (currently seven) M=R=ε bins
The USGS National Seismic Hazard Mapping Project that contribute most to the total aggregated hazard, ac-
website now provides an option for CMS, as part of the counting for all of the earthquake sources and logic-tree
2008 Interactive Deaggregations web tool (see Data and branches within that bin;
Resources). The spectra are consistent with the 2008 national • a CMS for each M=R=ε bin and GMPM (currently only in
seismic hazard maps for the continental United States and are text output), accounting for all of the earthquake sources
computed via the Aggregation Approach to Method 4 (Exact and logic-tree branches within the bin that are related to the
CS) section. Described next are the inputs to and outputs particular GMPM.
1114 T. Lin, S. C. Harmsen, J. W. Baker, and N. Luco

Figure 6. Interface for USGS online interactive deaggregations, including options to request GMPM deaggregation and CMS computation
(reprinted with permission from USGS; see Data and Resources). The color version of this figure is available only in the electronic edition.

The CMS for each GMPM demonstrates the effect of uses the Baker and Jayaram (2008) model, which was devel-
using only a single GMPM. As mentioned previously, this oped with ground-motion data exclusively from shallow
effect can be particularly significant in cases when more than crustal earthquakes. A recent study of subduction zone
one earthquake source type (e.g., subduction zone, shallow ground motions from Japan suggests that this correlation
crustal) contributes significantly to the total aggregated model is also a reasonable representation for subduction zone
hazard. In such cases, the CMS for two or more M=R=ε bins earthquake sources (Jayaram et al., 2011). For stable
and/or GMPMs, each corresponding to a different source continental earthquake sources, little data either confirm or
type, may be more useful than a single overall CMS. contradict this model. In general, studies of correlation mod-
els have shown them to be relatively insensitive to the par-
Current Implementation Issues ticular GMPM, earthquake magnitude, distance, and rupture
mechanism (Baker, 2005; Jayaram et al., 2011). Thus, the
While the web tool implementation described previously numerical impact of using the single correlation model is
accounts for practically all of the earthquake sources and anticipated to be relatively insignificant. Additional and/or
logic-tree branches considered in computing the USGS 2008 updated correlation models corresponding to different earth-
national seismic hazard maps, there are some exceptions. quake sources and/or GMPMs could be incorporated into the
The least significant of these is that CMS calculations are web tool as they become available.
not carried out for earthquake sources that do not contribute
appreciably to the total aggregated hazard (i.e., those with
mean annual exceedance frequency less than 10−6 ). Also for Future Features
the sake of limiting computation time, CMS are not calcu-
lated for the two USGS logic-tree branches that quantify addi- As mentioned previously, in the future the USGS web
tional epistemic uncertainty among the GMPMs for shallow tool will provide CS, not just CMS. The conditional standard
crustal earthquakes in the western United States (see Petersen deviations will likewise be calculated according to the aggre-
et al., 2008 for details). The logic-tree branches correspond- gation approach to computing an exact CS. Whereas the
ing to the GMPMs themselves are fully accounted for, current implementation for the conditional means has been
however. In the central and eastern United States, the USGS seen to match results from the deaggregation approach of
logic-tree branch for temporal clustering of New Madrid method 4, the standard deviations of a CS calculated by
seismic zone earthquakes is not yet incorporated into the the web tool are anticipated to be higher and more inclusive
2008 Interactive Deaggregations web tool, and hence is not of all the uncertainties accounted for in the USGS national
accounted for in the CMS calculations. The numerical im- seismic hazard maps.
pacts of these exceptions on the calculated CMS have not Lastly, the current web tool calculates CMS with weights
yet been quantified, but they are anticipated to be relatively that are for exceedance of the Sa value specified by a user
insignificant. (via a selected mean exceedance probability). A future tool
In being consistent with the 2008 national seismic will provide weights for occurrence of an Sa value. In order
hazard maps, the USGS web tool utilizes several different to do so, the tool will optionally allow a user to specify an Sa
GMPMs for shallow crustal, subduction zone, and stable value of interest, for example, a risk-targeted maximum
continental earthquake sources. However, for the correlation considered earthquake (MCER ) ground-motion value from
coefficients needed to calculate CS, the tool currently only the American Society of Civil Engineers (2010).
Spectrum Computation Incorporating Multiple Causal Earthquakes and Ground-Motion Prediction Models 1115

Conclusions was supported by the USGS external grants program, under Awards
07HQAG0129 and 08HQAG0115. Any opinions, findings, conclusions,
Approximate and exact computations of CS were or recommendations presented in this material are those of the authors,
proposed and used for example calculations for Stanford, and do not necessarily reflect those of the funding agency.
Bissell, and Seattle. Exact CS mean and standard deviation
calculations can incorporate multiple GMPMs and causal References
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source models and their logic-tree branches. Varying levels ground motions and risk calculation, in 9th U.S. National and 10th
of approximations were also considered, that replaced multi- Canadian Conference on Earthquake Engineering, Toronto, Canada,
ple M=R combinations with simply the mean M=R from 25–29 July 2010.
American Society of Civil Engineers (ASCE) (2010). Minimum Design
deaggregation, and either considered only a single GMPM Loads for Buildings and Other Structures, ASCE/SEI 7–10. American
or performed an approximate weighting of several GMPMs. Society of Civil Engineers/Structural Engineering Institute, Reston,
These approximations are potentially appealing because of Virginia, 608 pp.
their ease of computation and because they do not require Applied Technology Council (ATC) (2011). Guidelines for seismic perfor-
deaggregation of GMPM weights, a result that is not yet mance assessment of buildings, ATC-58 100% draft, Technical report,
Applied Technology Council, Redwood City, California.
widely available in conventional PSHA software. Atkinson, G. M., and D. M. Boore (2003). Empirical ground-motion
The approximate CS calculations appear to be more ac- relations for subduction-zone earthquakes and their application to
curate for conditional mean estimation than for conditional Cascadia and other regions, Bull. Seismol. Soc. Am. 93, no. 4,
standard deviation estimation. The exact conditional stan- 1703–1729.
Baker, J. W. (2005). Vector-valued ground motion intensity measures for
dard deviation is always higher than approximate results
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