Castellaro and Mulargia 2009 - HVSR

Pure appl. geophys.
166 (2009) 567–592 Ó Birkhäuser Verlag, Basel, 2009

0033–4553/09/040567–26
DOI 10.1007/s00024-009-0474-5
Pure and Applied Geophysics
The Effect of Velocity Inversions on H/V

SILVIA CASTELLARO and FRANCESCO MULARGIA
Abstract—We analyzed the phenomenology of microtremor H/V curves under inversions in the shear-wave
velocity (Vs) profile in the subsoil. Under no Vs inversion the spectral signature of the H/V peaks is found to be
‘eye-shaped’ with the horizontal components higher than the vertical. Conversely, under negative velocity
gradients, numerous of differences emerge. I) A H/V ratio below 1 is observed for a wide range of frequencies,
due to the decrease of the horizontal components below the vertical one. II) In the presence of persistent H/V < 1,
small bumps in the H/V ratio given by local minima in the vertical spectral component may represent the relics
of the peaks indicating resonances and stratigraphic discontinuities. As a consequence, in the presence of
velocity inversions the H/V > 2 SESAME (2004) criterion fails but a stratigraphic interpretation may still
be possible. III) The H/V curves should always be interpreted together with the single component spectra. IV)
Microtremor H/V measurements for stratigraphic/microzonation purposes on stiff artificial soils, (asphalt,
concrete, cement, pavements) should always be avoided since the latter often produce velocity inversions. This
may have consequences in the intermediate to high frequency domain (> 1 Hz) also in the application of reference
site methods, like Hsite/Hbedrock, to microtremor. Theoretical modeling confirms these experimental findings.
Key words: Microtremor, H/V, Velocity inversion.
1. Introduction
The bulky size of the seismometers traditionally used to perform microtremor H/V
recordings, the fact that they require an external battery and a laptop to store the data and
the need for leveling makes it much easier to operate them on artificial soils, such as
asphalt, pavement, concrete. In addition to this, in the urban centers it is sometimes
unavoidable to set instruments on artificial soil, due to the difficulty of finding unpaved
areas. Our concern about this is that paving is stiffer than most shallow subsoil, and
implies a shear-wave velocity inversion.
It has been stated that taking tremor recordings on concrete causes no problem
(CHATELAIN et al., 2007; SESAME, 2004) and that doing the same on asphalt may only
lead to marginally different H/V amplitudes above 7–8 Hz (ibid.). In this work we give
both empirical and theoretical evidence that recording on cement/concrete/asphalt/
pavements or other stiff artificial soils may severely affect the H/V curves, if the natural
soil beneath the artificial one has lower seismic velocity.
Dipartimento di Fisica, Settore Geofisica, Università di Bologna, v.le C.B. Pichat 8, 40127 Bologna, Italy.
E-mail: silvia.castellaro@unibo.it; francesco.mulargia@unibo.it
568 S. Castellaro and F. Mulargia Pure appl. geophys.,
We first describe the H/V and single spectral components of motion when no velocity
inversion is present. We then analyze the H/V and single spectral components behavior in
the presence of a velocity inversion in three different cases, i.e.: 1) natural stiff soil above
less rigid soil, 2) cavities (which represent the end member of velocity inversion), 3) thin
stiff artificial soil overlying natural looser soils. We find that the empirical signature of
the velocity inversion is a general decrease of the H/V ratio to amplitude below 1 over a
wide range of frequencies.
The theoretical modeling of surface wave propagation in a 1-D layered medium
confirms this experimental evidence of H/V amplitude decay and allows exploration as to
what extent a shallow artificial velocity inversion may affect the H/V ratio.
In all the cases we refer to subsoil stratigraphy and geotechnical properties which are
thoroughly known from drillings, penetration tests and other direct and indirect
prospections.
The entire discussion and the conclusions are referred to the frequency interval
of 1–50 Hz. We do not discuss the range below 1 Hz, where meteorological effects play a
major role in the spectral patterns (GUTENBERG, 1931, 1936; ASTEN, 1978). However,
curves will be plotted in a wider range (0.1–50 Hz) to better show that recordings taken a
few centimeters apart and simultaneously are coincident in the low frequency part while
they can change severely in the mid to high frequency part.
2. Data Acquisition and Procedure of Analysis
All recordings presented in this study have been acquired with Tromino tromographs,
which are all-in-one instruments expressly designed for tremor measurements and
maximum portability (approximately 1 dm3 volume and 1 kg weight).
Instrument test. We initially calibrated the Tromino tromographs in the range
0.1–100 Hz on a reference piezoelectric table and compared the H/V curves to those
obtained with two reference broad-band seismometers (Güralp CMG-3T and Güralp
CMG-6TD). A selection of such comparisons is given in Figures 1–3, which were chosen
according to criteria that will be clear later in this paper. The comparisons regarded
simultaneous recordings at the same site (a few centimeters apart). The recordings,
analyzed with the same procedure, show no difference among the instruments, which
appear to provide an identical response.
Procedure of analysis. Seismic noise was sampled for 20–30 minutes at each site
and the H/V curves were calculated by averaging the H/V obtained by dividing the signal
into non-overlapping windows of 20 s (adequate since we are interested in the spectra
above 1 Hz). Each window was detrended, tapered, padded, FF-transformed and
smoothed with triangular windows with a width equal to 10% of the central frequency.
The Euclidean average was used to combine EW and NS components in the single
horizontal (H) spectrum.
Vol. 166, 2009 Effect of Velocity Inversions on H/V 569
4
Tromino 1
Tromino 2
Guralp CMG−6TD
3
H/V
0
10 0 10 1
[Hz]
Figure 1
Comparison between the H/V curve obtained at the same site (few centimeters apart) from a Güralp
CMG-6TD and the two Tromino used in this study. All instruments were sited on stiff artificial pavement over
natural soil.
4
Tromino 1
Tromino 2
Guralp CMG−6TD
3
H/V
100 101
[Hz]
Figure 2
Comparison between the H/V curve obtained at the same site (few centimeters apart) from a Güralp CMG-6TD
and the two Tromino used in this study. All instruments were sited directly on natural soil.
While the final H/V is the average of the horizontal component spectra divided by the
vertical one computed for each window, single component spectra are the averages
computed on each single direction, for each window.
For each H/V curve the relative ±r confidence interval (D(H/V)) is given. This is not
always shown for single component spectra (DH, DV) to not impair readability. If we
consider the following relation
Tromino 1
Guralp CMG−3T
3
H/V
0
10 0 10 1
[Hz]
Figure 3
Comparison between the H/V curve obtained at the same site (few centimeters apart) from a Güralp CMG-3T
and one Tromino used in this study. The instruments were sited on artificial stiff pavement over natural soil.

dðH=VÞ dðH=VÞ

DðH=VÞ ¼
DH þ DV
dH dV
and assume that DH^DV, then
D(H=VÞ
DH ’ DV ’ V2
(V þ HÞ
H
DH ’ DðH=VÞ
2
V
DV ’ DðH=VÞ
2
which show that a first-order estimate of DH and DV starting from D(H/V) is possible and
that D(H/V) is directly proportional to DH and DV. Since variable errors are always additive,
if the H/V confidence interval is narrow, the DH and DV intervals also must be narrow.
Particular attention was given to transient removal to generate a H/V curve with a
narrow confidence interval. To this extent we operated transient removal in the frequency
domain (Fig. 1 in CASTELLARO and MULARGIA, 2009).
3. H/V Patterns
3.1. No Velocity Inversions

Before defining whether velocity inversions induced by stiff surface artificial layers
overlying natural soil alter the H/V measurements, let us characterize the phenomenology
under no shear-wave velocity inversions.
Case1 Case2 Case3 Case4

6 6 6 6
4 4 4 4
H/V
H/V
H/V
H/V
2 2 2 2
0 0 0 0
0 1 0 1 0 1 0 1
10 10 10 10 10 10 10 10
[Hz] [Hz] [Hz] [Hz]
−2 −2 −2 −2
10 10 10 10
[mm/s/Hz]
[mm/s/Hz]
[mm/s/Hz]
[mm/s/Hz]
−4 −4 −4 −4
10 10 10 10
−6 −6 −6 −6
10 10 10 10
0 1 0 1 0 1 0 1
10 10 10 10 10 10 10 10
[Hz] [Hz] [Hz] [Hz]

6 6 6 6
4 4 4 4
H/V
H/V
H/V
H/V
2 2 2 2
0 0 0 0
0 1 0 1 0 1 0 1
10 10 10 10 10 10 10 10
[Hz] [Hz] [Hz] [Hz]
−2 0 −2 −2
10 10 10 10
[mm/s/Hz]
[mm/s/Hz]
[mm/s/Hz]
[mm/s/Hz]
−4 −2 −4 −4
10 10 10 10
−6 −4 −6 −6
10 10 10 10
0 1 0 1 0 1 0 1
10 10 10 10 10 10 10 10
[Hz] [Hz] [Hz] [Hz]
Figure 4
No seismic velocity inversions. First and third row show average H/V curves with 2r confidence intervals.
Second and fourth row show average spectra (Z ? black, EW ? gray solid line, NS ? gray dotted line).
Stratigraphic columns are, for each site, from top to bottom: 1) Silt/igneous bedrock; 2) gravel/sedimentary
bedrock; 3) clay/igneous bedrock; 4) clay/igneous bedrock; 5) loess/silt/gravel/igneous bedrock; 6) silty clay/
igneous bedrock; 7) gravel/sedimentary bedrock; 8) sand/sedimentary bedrock.
8
7
6
5
4
3
2
H/V
−1 0 1
10 10 10
frequency [Hz]
Figure 5
No seismic velocity inversions. Summary of the 8 H/V curves of Figure 4 plus 16 more. H/V C 1 within the
confidence interval and excluding the narrow local minima described in FÄH et al. (2001) and in the text.
It is well known that on stiff rock no amplification is expected on any spectral

component of motion, and that the H/V ratio shows no peaks and is uniformly equal to 1.
Let us start by considering the experimental evidence. Phenomenologically, the H/V
peak is due to a relative detachment of the horizontal components from the vertical one.
This detachment has an ‘eye-shape’ in the single spectra plot (cfr. black arrows in Fig. 4).
This ‘eye-shape’ is always the clear signature of a H/V peak with stratigraphic origin.
Artificial H/V peaks (cfr. also SESAME, 2004) can be easily distinguished from natural
ones since they are not characterized by spectral ‘eye-shape’ patterns but by narrow
peaks, with different amplitudes, on all the spectral components.
It is important to observe that in the absence of Vs inversions with depth, the vertical
spectral component lays at the same amplitude level or below that of the horizontal ones,
except maxima—usually with a narrow bandwidth—due to the ellipticity minimum of the
fundamental-mode Rayleigh wave occurring at 2f0, where f0 is the frequency of
the ellipticity maximum (FÄH et al., 2001). Therefore, in the absence of velocity
inversions, the H/V curve has an amplitude equal to or higher than 1 (H/V C 1) in the entire
frequency domain except around 2f0.
To illustrate this, we have selected 24 sites where the shear-wave velocity shows a
steady increase with depth according to both geological/stratigraphic direct information
(available from boreholes and penetration tests) and to independent geophysical
information (down-hole/cross-hole/refraction seismics/MASW). At all sites the stratig-
raphy is simple and generally consists of: a) A soft sedimentary layer (usually silt/clay)
overlying rock (stiff sedimentary or igneous rock) or b) a soft sedimentary layer (silt or
clay) overlying a stiff gravel/conglomerate layer. It is important to note that all the
recordings were taken on natural soil. In no case was the instrument set on asphalt/
cement/concrete/pavement or other stiff artificial soils. The results in terms of both H/V
and single component spectra are shown in Figure 4 for eight of these sites and merged
for all 24 sites in Figure 5. It is evident that in all cases H/V C 1, within the confidence
interval of the H/V itself, barring the narrow troughs due to the ellipticity minimum of the
fundamental-mode Rayleigh wave (FÄH et al., 2001), which however do not always
generate H/V < 1 patterns in the cases shown here. The ‘eye-shaped’ spectral patterns
which are the signature of the H/V stratigraphic peaks can also be identified in all cases
(black arrow in Fig. 4).
3.2. Velocity Inversions

Shear-wave velocity inversions can be encountered naturally (e.g., gravel overlying
silts/clays, cavities) or be induced by anthropic structures (e.g., paving, asphalting above
silts/clays, etc.).
Let us explore the effect of natural and artificial velocity inversions on the H/V curve
and on the spectral components.
Natural. In Figure 6 we show 8 H/V recordings taken at sites where natural velocity
inversions occur, as known from both independent geophysical and direct geological

6 6 6 6
4 4 4 4
H/V
H/V
H/V
H/V
2 2 2 2
0 0 0 0
0 1 0 1 0 1 0 1
10 10 10 10 10 10 10 10
[Hz] [Hz] [Hz] [Hz]
−2 −2 −2 −2
10 10 10 10
[mm/s/Hz]
[mm/s/Hz]
[mm/s/Hz]
[mm/s/Hz]
−3
−3
10
−4
−4 10
10 10
−4
10
0 1 0 1 0 1 0 1
10 10 10 10 10 10 10 10
[Hz] [Hz] [Hz] [Hz]

6 6 6 6
4 4 4 4
H/V
H/V
H/V
H/V
2 2 2 2
0 0 0 0
0 1 0 1 0 1 0 1
10 10 10 10 10 10 10 10
[Hz] [Hz] [Hz] [Hz]
−2 −2 −2
10 10 10
[mm/s/Hz]
[mm/s/Hz]
[mm/s/Hz]
[mm/s/Hz]
−3
10
−3
10
−4
10 −4
−4 10 −4
10 10
0 1 0 1 0 1 0 1
10 10 10 10 10 10 10 10
[Hz] [Hz] [Hz] [Hz]
Figure 6
Seismic velocity inversions due to natural stratigraphy. First and third row show average H/V curves with 2r
confidence intervals. Second and fourth row show average spectra (Z ? black, EW ? gray solid line, NS ?
gray dotted line). Stratigraphic columns are, for each site, from top to bottom: 1) Velocity inversion related to a
superficial thin (few meters) gravel layer above silts; 2); 3) and 4) a few meters gravels and then silts; 5) clays on
the top, lava layer at the mid and then again clays; 6) shallow sandy layer above clays; 7) shallow thin sandy
layer above poor quality clays; 8) stiff superficial silt layer above poor quality clays.
8
7
6
5
4
3
2
H/V
−1 0 1
10 10 10
frequency [Hz]
Figure 7
Seismic velocity inversions due to natural stratigraphy. Summary of the H/V curves of Figures 6 and 8 more
cases. Wide H/V < 1 ranges.
data. A key feature distinguishes these recordings from those taken on positive velocity
gradients: The H/V curve remains below 1 for a large frequency interval. On the single
component spectra, this implies that the vertical component of motion has higher
amplitude values than the horizontal ones for the same wide frequency interval.
Let us consider, as an example, case 1 in Figure 6. At this site the boreholes and the
penetration tests show the following stratigraphy: 2 m hard gravel and, below this, soft
clays. The H/V < 1 between 4 and 30 Hz is interpreted as the signature of this velocity
inversion.
The same reasoning applies to case 5 in Figure 6, where the stratigraphy shows
alteration soil, lava (H/V peak at 5 Hz) and then clays, which represent a velocity
inversion in respect to the lava layer (H/V persistently decays below 1 at frequency lower
than 3 Hz).
It should be noted that the vertical scales in the spectra are logarithmic: This implies
that the height inversion of the horizontal and the vertical component is comparatively
large.
The H/V curves of 24 sites presenting natural velocity inversions are shown together
in Figure 7 and the difference among these and the H/V curves under positive velocity
gradients (Fig. 5) is evident. Where shear wave velocity inversions are present, H/V
amplitude sets below 1 for a wide frequency range. This phenomenon was also observed
on earthquake H/V by DI GIACOMO et al. (2005).
The logarithmic scale on the x axis can be ‘optically’ misleading and give the
impression of seeing the peak/trough ellipticity curve of Rayleigh waves however a
closer look at Figure 7 shows that the H/V < 1 range comprehends a frequency interval
which extends considerably beyond 2f0.
In any case, as it will appear clearer later, we emphasize that a persistent H/V < 1
does not unequivocally indicate a velocity inversion, but that a detectable velocity
inversion implies a persistent H/V < 1.
Cavities. The extreme case of a velocity inversion is represented by natural or
anthropic cavities. The H/V and spectral patterns described above can be equally observed
in the presence of underground voids, whatever their origin. Figures 8 and 9 relate to
microtremor recordings on: 1, 3, 5) an underground garage, 2) a tunnel, 4) an underground
deposit, 6, 7) a natural cavity. The inversion of the spectral levels of the vertical and
horizontal components in the presence of velocity inversions due to underground voids has
been observed in other cases (CASTELLARO et al., 2008; ROMITO, 2007).
Cement/concrete/pavements/stiff artificial soils. Let us examine 24 cases in which
superficial velocity inversions were clearly induced by artificial soils above loose
sediments. The detailed results are shown for 8 sites in Figure 10 and combined in
Figure 11. The artificial soil producing the inversion consists respectively of: 1) less than
10 cm cement above silty gravels, 2) asphalt, 3) 1-m-brick fragment layer above sands, 4)
pavement (at a side of a street), 5) pavement (thick stone tiles) above sands, 6) less than
10 cm cement above clays, 7) pavement (beside a roadway) above silts, 8) 20 cm cement
above sandy gravels.

6 6 6 6
4 4 4 4
H/V
H/V
H/V
H/V
2 2 2 2
0 0 0 0
0 1 0 1 0 1 0 1
10 10 10 10 10 10 10 10
[Hz] [Hz] [Hz] [Hz]
−2 −2 −2 −2
10 10 10 10
[mm/s/Hz]
[mm/s/Hz]
[mm/s/Hz]
[mm/s/Hz]
−4 −4 −4 −4
10 10 10 10
−6 −6 −6 −6
10 10 10 10
0 1 0 1 0 1 0 1
10 10 10 10 10 10 10 10
[Hz] [Hz] [Hz] [Hz]
Case5 Case6 Case7

6 6 6
4 4 4
H/V
H/V
H/V
2 2 2
0 0 0
0 1 0 1 0 1
10 10 10 10 10 10
[Hz] [Hz] [Hz]
−2 0 −2
10 10 10
[mm/s/Hz]
[mm/s/Hz]
−4 −2 [mm/s/Hz] −4
10 10 10
−6 −4 −6
10 10 10
0 1 0 1 0 1
10 10 10 10 10 10
[Hz] [Hz] [Hz]
Figure 8
Seismic velocity inversions due to voids. First and third row show average H/V curves with 2r confidence
intervals. Second and fourth row show average spectra (Z ? black, EW ? gray solid line, NS ? gray dotted
line). Cavities are: 1) An underground garage, 2) a tunnel, 3) an underground garage, 4) an underground deposit,
5) an underground garage, 6) a natural cavity, 7) a natural cavity.
8
7
6
5
4
3
2
H/V
0.1
−1 0 1
10 10 10
frequency [Hz]
Figure 9
Seismic velocity inversions due to voids. Summary of the H/V curves of Figure 8. Wide H/V < 1 ranges.

6 6 6 6
4 4 4 4
H/V
H/V
H/V
H/V
2 2 2 2
0 0 0 0
0 1 0 1 0 1 0 1
10 10 10 10 10 10 10 10
[Hz] [Hz] [Hz] [Hz]
0 0 0 −2
10 10 10 10
[mm/s/Hz]
[mm/s/Hz]
[mm/s/Hz]
[mm/s/Hz]
−2 −4
10 10
−4 −5 −5 −6
10 10 10 10
0 1 0 1 0 1 0 1
10 10 10 10 10 10 10 10
[Hz] [Hz] [Hz] [Hz]
6 6 6 6
4 4 4 4
H/V
H/V
H/V
H/V
2 2 2 2
0 0 0 0
0 1 0 1 0 1 0 1
10 10 10 10 10 10 10 10
[Hz] [Hz] [Hz] [Hz]
−2 −2 −2 −2
10 10 10 10
[mm/s/Hz]
[mm/s/Hz]
[mm/s/Hz]
[mm/s/Hz]
−4 −3 −4 −4
10 10 10 10
−6 −4 −6 −6
10 10 10 10
0 1 0 1 0 1 0 1
10 10 10 10 10 10 10 10
[Hz] [Hz] [Hz] [Hz]
Figure 10
Seismic velocity inversions due to stiff artificial soils. First and third row show average H/V curves with 2r
confidence intervals. Second and fourth row show average spectra (Z ? black, EW ? gray solid line, NS ?
gray dotted line). Stratigraphy is, for each site, from top to bottom: 1) less than 10 cm cement above silty
gravels; 2) asphalt; 3) 1 m brick fragment layer above sands; 4) pavement (beside a street); 5) pavement (thick
stone tiles) above sands; 6) less than 10 cm cement above clays; 7) pavement (beside a roadway) above silts; 8)
20 cm cement above sandy gravels.
8
7
6
5
4
3
2
H/V
−1 0 1
10 10 10
frequency [Hz]
Figure 11
Seismic velocity inversions due to stiff artificial soils. Summary of the H/V curves of Figures 10 and 16 more
cases. Wide H/V < 1 ranges.
In all these cases the same pattern observed on natural velocity inversions and voids is
clearly apparent: The spectral level of the horizontal and vertical components is
interchanged, with the vertical component larger in amplitude than the horizontal ones.
This results in H/V < 1 for a wide range of frequencies. Stiff artificial soil much thinner
than 1 m, but extended in width, above soft soil may decrease the H/V curve to 1 Hz
(Figs. 7, 9, 11).
4. The Effect of Velocity Inversions on the H/V curves
The above phenomenological signature of velocity inversions raises a number of

questions: 1) Given that the spectral levels of the vertical and horizontal components are
interchanged, is it the vertical component that rises above the horizontal ones or the
horizontal ones that fall below it? 2) How different are two H/V recordings taken at the
same site, one on natural soil and the other on a thin stiff artificial soil? 3) How does this
affect the H/V curve amplitude? 4) Since velocity inversions may decrease the H/V curve
below 1 on a wide frequency range (down to 1 Hz in our experience), is it possible that
superficial velocity inversions mask significant H/V peaks? 5) Could peaks with
amplitudes lower than 1—which are ignored in the SESAME (2004) guidelines—have a
stratigraphic meaning when occurring in concomitance with velocity inversions?
To analyze these points we need to develop a theoretical model.
4.1. Theoretical Modelling

The present paper is aimed at providing solid phenomenological evidence of the
effects of velocity inversions on H/V. Modelling H/V is not its goal and the models that
will be derived in this section only serve to show that a) our phenomenological findings
are compatible with the current theoretical interpretation of H/V, and b) to parametrize
this effect. For this reason we will adopt the mainstream views, i.e., we 1) assume that the
tremor consists of Rayleigh waves in the fundamental mode (FÄH et al., 2001), but 2) also
study the addition of Love waves (BONNEFOY-CLAUDET et al., 2008) and 3) adopt 1-D
layered viscoelastic Haskell-Thomson solid in Herrmann formulation (2002). The effect
of higher modes will be discussed later in Section 4.1.2.
Since H/V models based on Rayleigh waves show H/V < 1 or H/V > 1 as a function of
particle motion (it is well known that on a half-space the H/V ellipticity of Rayleigh waves
is approximately equal to 0.67 for Poisson ratio equal to 0.25, BEN-MENAHEM and SINGH,
1981), in this modeling section we will not consider the absolute H/V values but the ratio
H=V
; ð1Þ
ðH=VÞ0
where H/V is measured on stiff artificial soil and (H/V)0 on natural soil, and the spectral
ratio defined as
A) Subsoil model B) H/V D) Rayleigh: Horizontal component (ratio)

0 4 1
−5 3
depth [m]
Pi/P0
H/V
−10 2 0.5
−15 1
−20 0 −1 0 1 2
0
−1 0 1 2
0 200 400 600 10 10 10 10 10 10 10 10
Vs [m/s] Hz Hz
C) decrease ratio in H/V peak amplitude E) Rayleigh: Vertical component (ratio)
2 2
0m
H/Vi / H/V0
0.1 m
Pi/P0
0.2 m
1 1
0.3 m
0.4 m
0.5 m
0.6 m 0 −1 0 1 2
0 −1 0 1 2
10 10 10 10 10 10 10 10
0.7 m Hz Hz
0.8 m
0.9 m
F) Love: Horizontal component (ratio)
1
1.0 m
Pi/P0
0.5
0 −1 0 1 2
10 10 10 10
Hz
Figure 12
Results from modelling. A) subsoil model (black solid line: 15 m soft layer ? bedrock, blue solid line: 0.1 m
stiff artificial layer, 14.9 m soft layer ? bedrock, cyan solid line: 0.2 m stiff artificial layer, 14.8 m soft layer ?
bedrock etc.), B) modelled Rayleigh H/V ratio for each subsoil model, C) Rayleigh H/V depression ratio =
(H/V)i / (H/V)0, where (H/V)i = H/V ratio in presence of the i-th stiff artificial layer and (H/V)0 = H/V ratio on
natural soil, D) Pi/P0, where Pi = horizontal Rayleigh wave in presence of the i-th stiff artificial layer and P0
= horizontal Rayleigh wave on natural soil; E) as D) for the vertical Rayleigh wave, F) as D) for the horizontal
Love wave. Fundamental modes only are considered.
P
; ð2Þ
P0
where P is the spectrum of the horizontal or vertical component on stiff artificial soil and
P0 on natural soil. We will consider simple models (a single soft layer above the half-
space) and study the effect of another superficial stiff layer above it. All the models are
produced by assuming a constant Poisson ratio = 0.38 (see also MALISCHEWSKY and
SCHERBAUM, 2004, for a theoretical study of the effect of Poisson ratio on H/V ratio of
Rayleigh waves).
4.1.1. Effect on a H/V peak at 3.3 Hz (bedrock at 15 m depth). Let us analyze a subsoil
model with a 15-m thick soft layer (Vs = 200 m/s) above a bedrock-like substratum
(Vs = 500 m/s). The theoretical ellipticity curve or Rayleigh waves shows a peak at
3.3 Hz with an amplitude equal 3 (black curve in Fig. 12B). Adding a superficial stiff
layer (Vs = 300 m/s) of thickness varying from 0.1 to 1 m (step 0.1 m) produces a
decrease of the H/V peak amplitude from 3 to 1 (Fig. 12B). The H/V ratio (equation
1) is shown, as a function of frequency, in Figure 12C. In Figure 12D-F the spectra of
the Rayleigh waves (horizontal and vertical, respectively) and of the Love waves
(horizontal component) are plotted normalized to those in absence of the stiff artificial
layer (Pi/P0, equation 2) for each thickness of the stiff layer i. It can be observed that
the horizontal Rayleigh components are decreased in the entire frequency domain
while the vertical component increases from about 3 to 20 Hz. As a final result, the H/
V curve is lowered in amplitude from 40 to about 1 Hz by the presence of a stiff
superficial layer. Note how the (horizontal) Love spectral amplitude is also
always depressed by the presence of the superficial stiff layer. Love waves are not
included in panel B since they only corroborate the effect and produce a further
depression of H/V.
These examples show that even a very thin stiff artificial soil is capable of severely
altering the H/V curve down to low frequencies.
4.1.2. Generalization. Let us now attempt some general remarks. Since the relevant
variables are several, one of them is fixed to build a plot which can be more easily
understood. Let us therefore consider a stiff artificial soil 0.3-m thick, density = 2 9
103 kg/m3 and Vs = 600 m/s (which is a very typical case for the paving of city centers).
Similarly we take 5 subsoil models with depths to bedrock (Vs = 600 m/s), respectively
equal to: 5 m (black solid line in Fig. 13), 10 m (blue solid line in Fig. 13), 20 m (cyan
solid line in Fig. 13), 30 m (green solid line in Fig. 13) and 50 m (red solid line in
Fig. 13). Let us consider, for each of the 5 depths to bedrock, 6 different velocities for the
soft layer overlying the bedrock: 250 m/s (cross in Fig. 13), 300 m/s (diamond), 350 m/s
(circle), 400 m/s (plus), 450 m/s (star), 500 m/s (triangle). Figure 13 shows the depression
ratio of the H/V peak (equation 1) induced by the stiff artificial layer for each subsoil
geometry described above.
As expected, the most dramatic effect is at high frequencies nonetheless the effect is
still evident on H/V peaks at 2 Hz. For example, 0.3 m of stiff artificial soil lowers H/V
peaks to 2 Hz, inducing a decrease of 25% in the amplitude of the peak relative to the
30-m thick 250 m/s layer above the bedrock.
Does the addition of higher modes modify our conclusions? Weighting the energy of
the different modes requires a physical model for their interaction. The physics of the
seismic noise field is still under development and at the moment it can only be stated that
a statistical rather than a deterministic description seems required (WEAVER, 1982),
although not in terms of a diffuse acoustic wavefield (MULARGIA and CASTELLARO, 2008).
Multiple scattering appears nevertheless to dominate the field dynamics, and therefore
an isothermal condition is perhaps a viable option for modal weighting. Under this
condition, the fundamental Rayleigh mode carries the most substantial energy at the
surface in 1-D stratified media (Fig. 15). The relative decay in the H/V peak amplitude is
marginally affected by the addition of higher modes (dotted lines in Fig. 13).
A further question regards the effect of body waves on microtremor. H/V models
based on S waves only would show a similar trend albeit to a lower extent (Fig. 14). This
would suggest that surface waves play a major role in the observed phenomenology.
decrease ratio in H/V peak amplitude

0.9
0.8
0.7
0.6
0.5 250/600 = 0.4

300/600 = 0.5
350/600 = 0.6
0.4
400/600 = 0.66
450/600 = 0.75
0.3
500/600 = 0.8
0.2
0 1
10 10
frequency [Hz]
Figure 13
Decrease ratio in H/V peak amplitude = (H/V)i / (H/V)0 as a function of the frequency, where (H/V)i = H/V
ratio in presence of a stiff artificial layer and H/V0 = H/V ratio on natural soil. Stiff artificial layer parameters
(fixed): thickness 0.3 m, Vs = 600 m/s. Solid lines refer to models based on the fundamental mode of Rayleigh
wave only, dotted lines refer to models based on the first 3 modes. Subsoil model: black line: 5 m soft layer
above bedrock, blue line: 10 m soft layer above bedrock, cyan line: 20 m soft layer above bedrock, green line:
30 m soft layer above bedrock, red line: 50 m soft layer above bedrock. Bedrock Vs = 600 m/s. Symbols:
cross: soft layer Vs = 250 m/s, diamond: soft layer Vs = 300 m/s, circle: soft layer Vs = 350 m/s, plus: soft
layer Vs = 400 m/s, star: soft layer Vs = 450 m/s, triangle: soft layer Vs = 500 m/s.
1
decrease ratio in H/V peak amplitude
0.99
0.98
0.97
250/600 = 0.4
350/600 = 0.6
0.96 450/600 = 0.75
0.95 0 1
10 10
frequency [Hz]
Figure 14
As in Figure 13 but for a H/V model based on S-waves.
3.5
mode 0
Energy (relative amplitude)

3 mode 1
mode 2
2.5
1.5
0.5
0
0 1 2 3 4 5 6
Adimensional period vs1 /(ν h)
Figure 15
Energy in the first 3 Rayleigh modes for a soft layer over a half space with Vs2/Vs1 = 4. m is the frequency, is
the layer thickness.
The interaction between soil and structure (i.e., the place where the seismic
instrument is set, which partly resembles the effect of taking a recording on a stiff
artificial layer) was studied by CROUSE et al. (1984), CROUSE and HUSMAND (1989) and
BYCROFT (1978). Soil-structure coupling acts in two opposite ways: 1) Tall pedestals have
the effect of amplifying the horizontal components of motion while 2) short and large
(with respect to horizontal wave length) foundations, as those studied in this work,
decrease the horizontal components.
4.2. Some Practical Cases

Let us now analyze a number of practical cases of shallow velocity inversions
generated by stiff artificial soils.
We will present cases in which the H/V decrease effect is apparent only at high
frequency and cases in which such effect is important down to low frequencies.
4.2.1. Case I. We performed several ambient noise recordings in a very narrow area
(20 9 1 m), where stratigraphy is well known from five boreholes and consists of
3.5–4.5 m clays (the thickness of this layer varies slightly from site to site), a very stiff
gravel bank 4-m thick and underlying softer clays.
Within this area, we performed 4 microtremor recordings on a stiff artificial soil
composed of a very thin or absent cement layer over about 30 cm of compact small
grain gravel and brick fragments. At one site the artificial soil is simply a paved gate-
step. We then took 6 recordings on natural soil (grass of a public garden) at a few
meters (for two measurements only centimeters) distance and a few centimeters from
the drilling sites. The recordings taken in different days/seasons have shown no
significant differences.
The results of the measurements on grass are shown in panel C of Figure 16 (thin
lines). Recordings on natural soil show a strong H/V peak at 11–17 Hz (slight variations
from site to site), which passes all the SESAME (2004) significance tests and which is
linked to the resonance of the 3.5–4.5 m clay layer above the gravels. As standard, the
H/V peak shows an eye-shaped spectral pattern with a local minimum of the vertical
spectral component (black arrow in Fig. 16E).
Results of the measurements taken with and without artificial soil are shown side by
side in panel C of Figure 16 (thick lines). It is easy to see that the H/V peak identifying
the clay/gravel contact at 4-m depth totally disappears while, excluding the first 30 cm of
artificial soil, the subsoil stratigraphy remains identical (Fig. 16A, B).
We have modelled H/V for stratigraphy (50% Rayleigh and 50% Love waves in the
fundamental mode) without and with the thin stiff artificial layer (0.3 m, Vs = 400 m/s)
and in Figure 16D we observe that the modelled H/V curves reproduce the same pattern
of the experimental ones. The H/V peak at about 15 Hz disappears when the recording is
taken on a stiff artificial layer and the whole H/V curve is affected down to 5 Hz, just as it
is apparent experimentally.
A) NATURAL SOIL C) EXPERIMENTAL H/V E) Typical spectra ON NATURAL SOIL

−2
amplitude spectra [mm/s/Hz]
0 4 10
on natural soil NS
−1 on stiff artificial soil EW
3 Z
depth [m]
−2
H/V
−3
2 10
−3
1
−4
−4
−5 0 0 1
10 0 1
0 200 400 600 10 10 10 10
Vs [m/s] frequency [Hz] frequency [Hz]
B) STIFF ARTIFICIAL SOIL D) MODELLED H/V F) Typical spectra on STIFF ARTIFICIAL SOIL
−2
0 4 10
On natural soil NS
−1 On stiff artificial soil EW
3 Z
depth [m]
−2
H/V
−3
2 10
−3
1
−4
−4
−5 0 0 1
10 0 1
0 200 400 600 10 10 10 10
Figure 16
Case I. A) stratigraphy on natural soil; B) stratigraphy on stiff artificial soil; C) experimental H/V curves on
natural (thin lines) and on stiff artificial (thick lines) soil, D) modelled H/V for the case on natural soil A) (thin
line) and on stiff artificial soil B) (thick line); E) typical spectra on natural soil; F) typical spectra on stiff
artificial soil recorded at the same site at different times. The arrow indicates the ‘eye-shaped’ spectral pattern
responsible for the H/V peak on natural soil (panel E) and the same pattern on stiff artificial soil (panel F) which,
due to the H/V amplitude reversal, cannot result in a H/V larger than 1.
A closer look at the single component spectra (Figs. 16E, F) reveals that horizontal
components are lowered. An interesting feature is that the vertical component appears to
be much less affected and still shows a clear local minimum in correspondence of the
expected H/V peak (black arrow in panel F of Fig. 16). This suggests that even in the
presence of velocity inversions which force the H/V curve below 1, the signature of
the ‘hidden’ layer can still be recognized in the single spectra. In addition to this, if the
experimental H/V curve is magnified, expanding the vertical scale between 0 and 1, a
local maximum can still be recognized. This implies that in the presence of a shallow
velocity inversion, one must carefully consider the local minima of the vertical
component associated with flat or local maxima in the horizontal ones, since they may
hide important H/V peaks.
This also implies that recordings on stiff artificial soils should be avoided to the extent
possible. In this case, even the simple cement step of a gate (few centimeters thick but
laterally wide) causes the H/V peak to disappear. In practice, the velocity inversion
causes the H/V to be lowered around or below 1 and compressed vertically over a long
frequency range.
To better evaluate the single spectra modifications we compared the spectra obtained
from two simultaneous recordings taken respectively on natural and artificial soil at a
distance of 2 m with two instruments of identical response. The results (Fig. 17) confirm
that the vertical component is mostly unaffected while the horizontal ones fall
considerably above 5 Hz.
It is important to exclude that this different response on stiff artificial soil is due to a
poor soil/instrument coupling. A quick test reveals that this is not the case. Namely, the
test consisted of comparing two recordings taken on the same natural soil (above the
grass), one with a good coupling (instrument long nail spikes all tightly inserted in
the soil) and the other with the instrument simply set on the ground with no spikes. This
represents a coupling worse than on stiff soil. As shown in Figure 18 no difference exists
between the two measurements. In short, when working on natural soil without shallow
velocity inversions, independent of the instrument coupling, the H/V peak does not
disappear and H/V > 1.
4.2.2. Case II. The stratigraphy at this site is composed of eluvial sediments overlying
limestones located at about 25-m depth. This produces a H/V peak at 5 Hz with an
amplitude equal to 10 (Fig. 19). The recording taken 3 m apart on a thin artificial layer
(20 cm cement only) alters the H/V curve down to 3-4 Hz and decreases the H/V
amplitude from 10 to 6. The whole experimental H/V curve appears to be affected down
to 2 Hz, while the modelled curve is affected down to 4 Hz. An increase in the spectral
vertical component of motion is apparent at the frequency of the resonance peak as
predicted by theory (Fig. 12), while the horizontal components decrease is dominant at
higher frequencies.
This example is particularly important since it was recorded at a site of a
seismometric network. The recording on the stiff layer was taken on the same platform on
−3
x 10
4
On natural soil
On stiff artificial soil
Z [mm/s/Hz]
0
−1 0 1
10 10 10
frequency [Hz]
−3
x 10
4
On natural soil
NS [mm/s/Hz}
3 On stiff artificial soil
0
−1 0 1
10 10 10
frequency[Hz]
−3
x 10
4
On natural soil
EW [mm/s/Hz]
3 On stiff artificial soil
0
−1 0 1
10 10 10
frequency [Hz]
Figure 17
Case I. Comparison between single spectral components recorded on natural soil vs. stiff artificial soil at the
same time at two very close sites. The drop of the horizontal components is evident.
On natural soil
5
Good coupling (with spikes)
Poor coupling (without spikes)
4
3
H/V
0
−1 0 1
10 10 10
frequency [Hz]
Figure 18
Comparison between H/V recorded on natural soil with and without fixing the instrument to the ground through
its spikes.
which the seismometers are set and the recording on natural soil was taken just outside
the seismic station. From these experiments we conclude that this station records
amplified vertical motions and deamplified horizontal motions down to 2 Hz so that the
A) NATURAL SOIL C) EXPERIMENTAL H/V E) ON NATURAL SOIL

−2
0 10
10 on natural soil
−5 on stiff artificial soil
8 −3
10
depth [m]
−10
H/V
6
−15
4 −4
10
−20 NS
EW
2
−25 Z
−5
0 0 1
10 0 1
0 200 400 600 800 10 10 10 10
B) STIFF ARTIFICIAL SOIL D) MODELLED H/V F) ON STIFF ARTIFICIAL SOIL

−2
0 10
10 on natural soil
−0.5 on stiff artificial soil
8 −3
−1 10
depth [m]
ZOOM (for
H/V
z < −0.2 m 6
−1.5
stratigraphy as
in subplot A) 4 −4
−2 10
−2.5 2
−5
−3 0 0 1 10
0 200 400 600 800 0 1
10 10 10 10
Figure 19
Case II. As in Figure 16 for site II.
difference between the motion recorded in the free field and the one recorded by the
station can be as high as 40%.
4.2.3. Case III. Similar to Case II but with an effect extending to even lower frequency
(1 Hz in the experiment, 2 Hz in the model), a third case is presented in Figure 20. Here
we have a gravel subsoil above a limestone bedrock at about 25-m depth. This config-
uration generates a H/V peak at 4 Hz with amplitude 4. A recording taken on the same
subsoil but on a concrete platform (0.5-m thick) shows a decrease of the H/V peak below
2 and a general depression of the whole H/V curve down to 1 Hz. The decrease of the
spectral horizontal component dominates at higher frequencies while the vertical com-
ponent rise tends to dominate at the resonance frequency interval (Figs. 20E, F). The
modelled H/V (Fig. 20D) closely follows the experimental findings.
4.2.4. Case IV. The fourth case (Fig. 21) shows the effect of 0.4 m of artificial soil (small
pebbles and brick fragments). Extensive drillings and other geophysical prospection
identified the presence of a bank of river sandy-gravels at a depth varying from 11 to
13 m. Above this layer, silty soils are present. The H/V signature of the sandy-gravels can
be seen on the recordings taken on the natural soil surrounding the paved area as a peak
centered at 4–5 Hz and it consists of the usual eye-shaped spectral pattern (black arrow in
panel E of Fig. 21). Although the H/V peak is not very high, due to the modest
impedance contrast between layers, it satisfies the SESAME (2004) significance tests.
Recordings taken on artificial soil decrease the H/V ratio below 1 and make the H/V peak

−3
0 4 10
on natural soil
−5 on stiff artificial soil
3
depth [m]
−10
H/V
−4
2 10
−15
1 NS
−20 EW
Z
−5
−25 0 0 1
10 0 1
0 200 400 600 800 10 10 10 10
B) STIFF ARTIFICIAL SOIL D) MODELLED H/V F) ON STIFF ARTIFICIAL SOIL

−3
0 4 10
on natural soil
−1
ZOOM (for 3 on stiff artificial soil
z < −0.5 m
depth [m]
−2 stratigraphy as
H/V
−4
in 2 10
−3 subplot A)
NS
1
−4 EW
Z
−5
−5 0 0 1
10 0 1
0 200 400 600 800 10 10 10 10
Figure 20
Case III. As in Figure 16 for site III.

−2
0 5 10
on natural soil
−5 4 on stiff artificial soil
depth [m]
−10 3
H/V
−3
10
−15 2
NS
−20 1 EW
Z
−4
−25 0 −1 0 1
10 0 1
0 200 400 600 10 10 10 10 10
B) ASPHALT D) MODELLED H/V F) ON STIFF ARTIFICIAL SOIL
−2
0 5 10
on natural soil
−1 4 on stiff artificial soil
ZOOM (for
depth [m]
−2 z < −0.4 m 3
H/V
stratigraphy −3
10
as in
−3 subplot A) 2
NS
−4 1 EW
Z
−4
−5 0 −1 0 1
10 0 1
0 200 400 600 10 10 10 10 10
Figure 21
Case IV. As in Figure 16 for site IV.
at 4-5 Hz disappear. However, also in this case a closer look at the single spectral
components (black arrow in panel F of Fig. 21) shows a clear local minimum in the
vertical component at 5 Hz, indicating the presence of an important contrast of imped-
ance that is missed by the depressed H/V curve.
The comparison of the experimental H/V curves taken on artificial and natural soil
shows that the effect of the stiff artificial soil is evident down to 2 Hz.
The modelled H/V in Figure 21D confirms the experimental pattern and the strong
H/V modification induced by the stiff artificial layer down to 2 Hz.
The comparison of the single spectral components makes it clear that the effect of a
superficial stiff artificial soil is to dramatically decrease the horizontal components, while
the vertical one is less affected and still reveals a local minimum which suggests the
presence of a hidden high-velocity layer at 5 Hz.
4.2.5. Case V. In this case a strong H/V peak at 8 Hz (gravel layer at about 8-m depth,
between two clayey deposits) can still be seen both on a recording taken directly on
natural soil and a recording taken, 2 m apart, on a very thin road asphalt (Fig. 22). The
asphalt layer still induces a superficial velocity inversion (horizontal/vertical component
reversal down to 12 Hz and horizontal component depressed down to 5 Hz) with respect
to clay nonetheless the impedance contrast of the gravel is strong enough to counter this
effect and the related H/V peak amplitude is only decreased from 3 to 2. As in case II, this

−2
0 5 10
on natural soil NS
−5 on asphalt EW
4
Z
−10
depth [m]
3
H/V
−3
−15 10
2
−20
−25 1
−4
−30 0 −1 0 1
10 0 1
0 200 400 600 10 10 10 10 10
B) ASPHALT D) MODELLED H/V F) ON ASPHALT

−2
0 5 10
on natural soil NS
−0.5 on asphalt EW
4
Z
−1
depth [m]
3
H/V
−3
−1.5 10
2
−2
−2.5 1
−4
−3 0 −1 0 1
10 0 1
0 200 400 600 10 10 10 10 10
Figure 22
Case V. As in Figure 16 for site V. The spike at 3.5 Hz on the EW component is due to a directional anthropic
noise.
A B C
3 4 3
on natural soil on natural soil
on natural soil
3 on stiff artificial soil on stiff artificial soil
2 on stiff artificial soil 2
H/V
H/V
H/V
2
1 1
1
0 0 0
−1 0 1 −1 0 1 −1 0 1
10 10 10 10 10 10 10 10 10
frequency [Hz] frequency [Hz] frequency [Hz]
D E F
4 4 2.5
on natural soil on natural soil on natural soil
2
3 on stiff artificial soil 3 on stiff artificial soil on stiff artificial soil
H/V
H/V
H/V
2 2
1
1 1
0 0 0
−1 0 1 −1 0 1 −1 0 1
10 10 10 10 10 10 10 10 10
G H I
3 5 5
on natural soil
on natural soil on natural soil
4 4 on stiff artificial soil
on stiff artificial soil on stiff artificial soil
2
3 3
H/V
H/V
H/V
2 2
1
1 1
0 0 0
−1 0 1 −1 0 1 −1 0 1
10 10 10 10 10 10 10 10 10
Figure 23
Comparison between average H/V curves and 95% confidence intervals taken on natural soil (dashed line) and
stiff artificial soils (solid line). See text.
means that recording on stiff artificial soil may lead, under some circumstances, to merely
lower H/V amplitudes. This also is potentially a serious problem since the peak amplitude
can be decreased to the point that it is ignored according to SESAME (2004) criteria,
which state as significant only peaks with amplitude larger than two.
It should be observed (Fig. 22D) that the modelled H/V curves match the
experimental ones in the entire frequency range and that the stratigraphic differ-
ence between the natural soil model and the one with asphalt is simply a 10-cm stiffer soil
(Vs = 300 m/s only). This thin layer alone is capable of decreasing the whole H/V
curve down to 5 Hz in the theoretical model also.
The comparison between single component spectra shows that the presence of stiff
artificial soil mostly affects the horizontal components, which are heavily lowered. The
spike at 3.5 Hz on the EW component is due to a directional anthropic noise.
4.3. Other Cases

We present a further selection of cases which illustrate that taking H/V measurements
on stiff artificial soil can hide important subsoil resonance frequencies and strongly
deamplifies the H/V curve.
In Figure 23 we illustrate the effect that a stiff artificial coupling soil has on the H/V
curve, compared to the corresponding recording taken on natural soil. The artificial
coupling soils are: A) asphalt, B) a concrete platform about 20-cm thick, C) 30 cm of
stabilized soil (pebbles), D) asphalt, E) and F) a 15-cm concrete platform, G) a few
centimeters of cement pavement, H) a cement platform about 20-cm thick, I) a cement
platform about 20-cm thick.
In no case were the artificial soils constructed ad hoc nevertheless they were all
encountered in the H/V field practice (asphalt is road asphalt, pavements are sidewalk
pavements, tiles are those used to pave public squares, cement is that used to pave
sidewalks or similar, etc.).
All these cases confirm that the effect of a superficial stiff artificial soil is to create a
shallow velocity inversion which lowers the H/V curve to an amplitude below 1. The
amplitude of the H/V curve and peaks is depressed in a frequency range which varies as a
function of the inversion contrast, of positive contrasts and of the size (both width and
thickness) of the superficial stiff artificial layer.
5. Discussion
The evidence we have shown above may have important consequences not only on
the noise H/V measurements but also on the earthquake H/V and Hsite/Hbedrock
(BORCHERDT, 1970), at least for the part of the seismograms composed of surface
waves.
We have seen that both theory and experiments consistently support that an artificial
layer (like pavements, concrete, road asphalts but also the cement platforms inside
buildings on which seismic stations are often set) stiffer than the underlying soil may
affect the H/V ratios with respect to the free field curve in a wide frequency range from
several tens of Hz to 1 Hz.
Stiff artificial layers generally have a seismic wave velocity also higher than some
sedimentary rocks such as siltstones, sandstones, etc. In Figure 24 we show an example
of recordings taken 2 meters apart, respectively on a sedimentary rock of intermediate
rigidity (a Flysch) and on a thin cement layer above it. As expected, the record taken
directly on rock has a flat H/V ratio with amplitude equal to 1 in the entire frequency
domain 0.1–70 Hz. Concurrently, the thin (few decimeters) artificial soil affects the H/V
curve down to 6 Hz. This also implies that the reference horizontal spectrum (Hbedrock)
recorded on some seismic stations might suffer this problem.
In any case, the theoretical and phenomenological evidence presented above suggests
caution particularly—but not only—in considering recordings taken at different sites and
with different instrument-soil couplings, since the latter may substantially alter the
recorded motion in a wide frequency range down to 1 Hz.
In summary, all the microtremor H/V curves which show H/V values below 1 at high
frequency and for a wide range of frequencies must be carefully scrutinized. In particular:
A
3
on rock (Flysch)
on cement
2
H/V
0
−1 0 1
10 10 10
frequency [Hz]
Figure 24
Comparison between average H/V curve taken on a sedimentary rock (H/V flat and equal 1) and on a thin
cement platform above it (solid line).
1. Significant peaks may disappear. In such cases a local minimum in the vertical
component and flat or with local maxima in the horizontal components are strong
indicators of a resonance at the same frequency. The H/V > 2 rule of thumb proposed
by SESAME (2004) does not hold, and leads to reject significant resonance peaks both
for stratigraphic and seismic microzonation purposes;
2. the H/V ratio is decreased at least down to (and including the amplitude of) the first
strong resonance of the subsoil.
The examples shown in this study support the premise that the H/V signature we
suggest for velocity inversions does not depend on the specific instrument used.
However, to provide evidence as definite as possible we have chosen to show the
comparison between the instruments used in this study and two broad-band reference
seismometers on two particular settings. Namely, the recordings in Figures 1–2 were
taken just a couple of meters apart; the first one on a thin cement base and the second
directly on the grass. In the first case, the effect of the velocity inversion is clear on
all instruments above 9 Hz. In the second case, this effect does not exist. It should
also be observed that the H/V peak at 6 Hz (Fig. 2), which would be significant
according to SESAME (2004) criteria, is decreased to amplitudes < 1 as the result of
the shallow artificial velocity inversion (Fig. 1) while the stratigraphy is obviously the
same.
6. Conclusions
We have presented the phenomenological signature of seismic velocity inversions in

the H/V curves in the frequency range 1–50 Hz. This signature consists of a H/V ratio
below 1 for a wide range of frequencies, due to the decrease of the horizontal spectral
components (compared to the case of no velocity inversion) and to a possible rise of the
vertical component. This is obviously not the only cause for H/V < 1 which may have a
different origin (e.g., Rayleigh wave ellipticity, strong transients on the vertical
components, etc.) over a restricted frequency range. However, seismic velocity inversions
appear in many cases to be a likely origin for H/V < 1 patterns in a wide frequency range.
This effect can be observed not only in the presence of natural velocity inversions like,
e.g., cavities or stiff gravel banks overlying soft clays, but also on very thin stiff artificial
soils like asphalt, cement, pavements, tiles, etc. above sediments. The adverse effect on
microtremor recordings taken on stiff artificial soils can be dramatic since it hides even
strong H/V peaks, which can often be rescued by analyzing the single spectra. The H/V
deamplification appears in fact to be caused by a decay in the horizontal component
spectra, while the vertical component is generally less affected.
This effect may also occur on rock sites: A cement layer above incompetent rocks
(e.g., strongly layered sedimentary rocks, fractured rocks etc., see also STEIDL et al., 1996)
may induce a decrease in the whole H/V curve down to a few Hz. This puts a question
mark not only on the seismic stations sitting on cement platforms above soft sediments to
evaluate site effects, but also on those sited on rigid platforms on softer rock.
In short, performing measurements on concrete/asphalt/pavements or other stiff
artificial soils should always be avoided. If this were practically impossible, the H/V
curve should be carefully analyzed together with single spectral components.
Finally, we caution against excessively broad generalizations: There are cases in
which a stiff artificial soil does not induce velocity inversions. This depends on the local
geology.
Acknowledgments
We are grateful to the geologists Dario Battistella, Paolo Di Marcantonio, Luca Tondi
and Emidio Valmori for the geotechnical data regarding the sites investigated and to
Thiep Doanh and the NISMIST European Project, 2005–2008.
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Pure appl. geophys.

166 (2009) 567–592 Ó Birkhäuser Verlag, Basel, 2009

The Effect of Velocity Inversions on H/V

Key words: Microtremor, H/V, Velocity inversion.

2. Data Acquisition and Procedure of Analysis

3.1. No Velocity Inversions

Case1 Case2 Case3 Case4

Case5 Case6 Case7 Case8

It is well known that on stiff rock no amplification is expected on any spectral

3.2. Velocity Inversions

Case1 Case2 Case3 Case4

Case5 Case6 Case7 Case8

Case1 Case2 Case3 Case4

Case5 Case6 Case7

Case1 Case2 Case3 Case4

4. The Effect of Velocity Inversions on the H/V curves

The above phenomenological signature of velocity inversions raises a number of

4.1. Theoretical Modelling

A) Subsoil model B) H/V D) Rayleigh: Horizontal component (ratio)

decrease ratio in H/V peak amplitude

0.5 250/600 = 0.4

Energy (relative amplitude)

4.2. Some Practical Cases

A) NATURAL SOIL C) EXPERIMENTAL H/V E) Typical spectra ON NATURAL SOIL

3 On stiff artificial soil

3 On stiff artificial soil

A) NATURAL SOIL C) EXPERIMENTAL H/V E) ON NATURAL SOIL

amplitude spectra [mm/s/Hz]

B) STIFF ARTIFICIAL SOIL D) MODELLED H/V F) ON STIFF ARTIFICIAL SOIL

amplitude spectra [mm/s/Hz]

A) NATURAL SOIL C) EXPERIMENTAL H/V E) ON NATURAL SOIL

amplitude spectra [mm/s/Hz]

B) STIFF ARTIFICIAL SOIL D) MODELLED H/V F) ON STIFF ARTIFICIAL SOIL

amplitude spectra [mm/s/Hz]

A) NATURAL SOIL C) EXPERIMENTAL H/V E) ON NATURAL SOIL

A) NATURAL SOIL C) EXPERIMENTAL H/V E) ON NATURAL SOIL

B) ASPHALT D) MODELLED H/V F) ON ASPHALT

4.3. Other Cases

We have presented the phenomenological signature of seismic velocity inversions in

(Received April 6, 2008, revised July 18, 2008)

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