Soil Dynamics and Earthquake Engineering 161 (2022) 107395

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Soil Dynamics and Earthquake Engineering

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Hazard consistent vertical design spectra for active regions of India

Sreejaya K.P.a, Bhargavi Podili a, *, Raghukanth S.T.G.a
a
Department of Civil Engineering, Indian Institute of Technology Madras, India

A R T I C L E I N F O A B S T R A C T

Keywords: According to the current Indian Standard earthquake-resistant design code (IS 1893, 2016), the vertical design
Vertical design spectra spectrum is assumed as two-thirds of the horizontal spectrum. However, a previous investigation of the Indian
Probabilistic seismic hazard analysis ground motion records suggests that the vertical spectra exceeded the horizontal in many instances, which would
Ground motion prediction equation
render the previous consideration inadequate. Therefore, the current study aims at developing an appropriate
Vertical-to-Horizontal spectral ratio
Seismic code
recommendation for obtaining vertical design spectra, through development of hazard consistent vertical design
spectra for the active regions of India. The vertical design spectrum is generated through scaling of a weighted
average vertical-to-horizontal ratio (V/H) ground motion prediction equation (GMPE) to the horizontal
component of the uniform hazard spectrum. The uniform hazard spectrum is obtained for the two active regions
of India– the Western Himalayas and the North East India through probabilistic seismic hazard analysis and the
weighted average V/H model is obtained by combining the V/H GMPE developed for India with several global
models. Based on the proposed relations, a structural engineer can obtain site-specific vertical design spectra
with ease and accuracy.

1. Introduction
In standard seismic design practices, earthquake loads are usually
obtained for the horizontal component of ground motion. Conversely,
the vertical component in seismic design is often overlooked due to the
misguided notion that the horizontal component is the predominant
contributor to structural damage. Therefore, most of the structures are
designed for nominal vertical effect, which is usually assumed to be
some fraction of the horizontal. The Indian code of practice for
earthquake-resistant design of structures (IS 1893) specifies that “The
design acceleration spectrum for vertical motions, when required, may
be taken as two-thirds of the design horizontal acceleration spectrum”.
Several seismic design codes across the world such as the NBC 105, UBC
97, EUROCODE 8 (1994), etc. used to follow a similar assumption of a
constant V/H ratio. However, an impetus for a special focus on the
vertical component was gained during the aftermath of the 1989 Loma
Prieta, the 1994 Northridge, the 1995 Kobe, and the 1999 Chi-Chi
earthquakes; where the vertical component of the ground motion
often exceeded the horizontal component [1]. To understand the effect
of vertical components on structures, attenuation characteristics of the
vertical ground motion have been examined by many researchers. The
studies of Niazi and Bozorgnia [2] and similar subsequent works proved
that the V/H ratio is period dependent. Collier and Elnashai [3]
confirmed that the V/H ratio exceeds 1.0 within a 5 km radius from the
earthquake source and exceeds 2/3, within a radius of 25 km. Further,
Bozorgnia and Campbell [4] showed that, for near-fault events, the V/H
ratio contains a peak that exceeds the value of 2/3 at shorter periods.
Kunnath et al. [5] have also highlighted the vulnerability of short-period
structures at near field distances to the vertical component of ground
shaking. Sriwastav and Basu [6] also noted the inadequacy of the seismic
code recommendations and highlighted the importance of vertical
spectra’s dependency on magnitude and distance parameters. Therefore,
depending on the period, the distance to the fault, and the local site
conditions of interest, the use of the traditional V/H spectral ratio
assumption i.e., 2/3, can result in either an under or overestimation of
the expected vertical ground motions. In addition, we have conducted a
thorough analysis of the recorded V/H spectral ratios of India and have
proposed a period-dependent ground motion prediction equation
(GMPE) for the same [7]. The results corroborated that most of the
recorded data exceeded the Indian design code specified norm of 2/3.
Thus, the current seismic code provisions on vertical design consider­
ations can be assumed superficial and non-conservative, specifically for
short period structures as well as important structures such as
base-isolated buildings, long-span bridges, nuclear power plants, dams,
tall cantilevered structures, etc. In order to validate the above assertion,
one needs to verify the sensitivity of the design spectrum to the vertical

* Corresponding author.
E-mail address: bhargavi19892@gmail.com (B. Podili).

https://doi.org/10.1016/j.soildyn.2022.107395
Received 10 January 2022; Received in revised form 10 June 2022; Accepted 12 June 2022
Available online 22 June 2022
0267-7261/© 2022 Elsevier Ltd. All rights reserved.
K.P. Sreejaya et al. Soil Dynamics and Earthquake Engineering 161 (2022) 107395

Table 1
Definitions of vertical design spectrum from seismic codes considered.
Design code constant spectral Spectral acceleration at constant Use of Short/long period vertical Decay Site class dependence
acceleration plateau (s) plateau spectral rate
range acceleration (SAVS or SAV1)

IS 0–6s 2/3 of horizontal spectra NA NA NA

1893–2016
IBC 2015 0.05–0.15s 0.8CvSMS SAVSused 0.75 Coefficients depends on site
class
EC8-2004 0.05–0.15 3Avgn NA 1 No dependence

Fig. 1. Fault map of India and adjoining regions along with the epicentres of past events. Fault details are taken from GIS [23,24]. Some of the selected cities and
great earthquakes [20] are also mentioned. [ MCT-Main Central Thrust, MBT-Main Boundary Thrust, GBF – Great Boundary Fault, MDF- Mahendragarh- Dehradun
Fault, MKT –Main Karakoram Thrust, , LF – Lucknow fault, ADF-Agucha–Dariba fault, MSRF- Munger Sahasra Ridge fault].

Fig. 2. (a)Seismic hazard curves of the horizontal components, for typical rock sites at Delhi and (b) the corresponding UHRSH for a 2475 year return period.

component of ground motion records. Therefore, there is a need to
obtain hazard consistent vertical design spectra that can be used further
in traditional seismic design practices.
Vertical design spectra can be obtained through probabilistic seismic
hazard assessment (PSHA), using GMPEs developed for the vertical
component. The main challenge in this approach is to ensure the con­
sistency between horizontal and vertical design scenarios, wherein the
deaggregation of PSHA may result in different contributing magnitude-
distance combinations for both the cases. To avoid this issue, the alter­
native is to employ a V/H spectral ratio GMPE such that the vertical
design spectrum can be obtained by scaling this V/H GMPE with a
hazard consistent horizontal spectrum [8]. The period-dependent V/H
ratio models available in literature can be grouped mainly into two
classes. The first category includes models that are derived through
obtaining the ratio of independent vertical as well as horizontal GMPEs
[9,10]; and [11]. The second category includes models derived for the
direct prediction of V/H ratios and it is more convenient to use the latter.
The only model available for India is provided by Bhargavi et al. [7] for
the Western Himalayas and North-East India (NEI). This model was
derived using a dataset that is a consortium of all the PESMOS, COSMOS,
and CIGN records of Indian ground motions, which is relatively sparse.
However, currently, there are seven global models available worldwide:
Gulerce and Abrahamson [12] – GA2011, Bommer et al. [8] – BAK2011,
Akkar et al. [13] – ASA2014 [14], – SZ2016, Haji-Soltani et al. [15] –
HSA2017, Zolfaghari and Darzi [16] – ZD2019, and Tan and Hu [17].
The GA2011 model was developed using the PEER NGA-West1 database;
the BAK2011 and ASA2014 models were developed using the Middle
East and European database; whereas the HSA2017 was derived using
the Gulf coast dataset of the NGA East database. Therefore, to overcome
the limitations resulting from the confined dataset of the local model
[7], it can be combined with these global models in a logic tree approach
to obtain vertical spectra.

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K.P. Sreejaya et al. Soil Dynamics and Earthquake Engineering 161 (2022) 107395

Fig. 3. Horizontal spectral acceleration contours (NDMA 2020).

Fig. 4. Deaggregation of hazard at T = 0.2s, and 1s for (a) Delhi, (b) Faizabad and (c) Guwahati.

In addition, it can be noted that all the previous hazard studies in
India focused only on the horizontal component of ground motion. From
the earlier works of Khattri [18] on the PSHA map of Himalaya and the
PSHA of various regions in India by Seeber et al. [19], to the seismic
hazard maps of NDMA [20], all of these studies deal only with the
horizontal component in hazard calculations. Consequently, it is
necessary to study and discuss vertical hazard aspects for the Indian
scenario. Therefore, the primary objective of the current study is to
obtain a hazard consistent vertical design spectrum, through scaling of
the horizontal spectrum with the V/H spectral ratio model, which can be
obtained through a weighted linear combination of the Bhargavi et al.
[7] model and other global GMPEs. Based on the results following, the
ultimate goal is to arrive at new alternatives or specifications regarding
the current seismic code provisions for the vertical design spectrum.
2. Status of vertical design spectra from seismic design codes
This section provides a thorough review of the Indian as well as a few
global seismic design codes regarding the vertical design spectrum
specifications. The UBC (1997) was the first design code to give explicit
consideration to the vertical ground motion in seismic design, which
stated that the vertical component if needed could be obtained by simply
scaling the horizontal component by a factor of two-thirds.

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K.P. Sreejaya et al. Soil Dynamics and Earthquake Engineering 161 (2022) 107395

Fig. 5. Contour maps of Deaggregation parameters (Mc and Rc) for active regions in India for T = 0.2s and 1s (2475 year RP).

2.2. ASCE 7–16 (2017)

Table 2
Details of V/H GMPEs considered.
The previous version of the American design code i.e., ASCE 41-13
Sl Study Abbreviation Region Period Magnitude Distance (2013) specified that the vertical forces can be obtained either from
No range range range site-specific analysis or by scaling the horizontal response spectrum by a
(km)
factor of 2/3. Moreover, the code also specifies that the vertical
1 [12] GA2011 World 0–10s 5.0–8.0 0–200 component requires it to be considered only for cantilevered members,
wide
pre-stressed members, and heavy gravity-loaded members.
(PEER-
NGA The updated ASCE standards also specify vertical design consider­
database) ations for the seismic load to a specific category of structures (Type C, D,
2 [8] BAK2011 Europe 0–3s 3.0–7.6 0–200 E, and F, based on the seismic design/risk category). This procedure,
and the which is also adopted by the IBC [22], is based on the 2009 NEHRP
Middle
East
provisions, which were further based on the studies of horizontal and
3 [13] ASA2014 Europe 0–4s 4.0–8.0 0–200 vertical ground motions conducted by Bozorgnia and Campbell [4]. The
region vertical spectra are consistent with the horizontal spectra where the
4 [15] HSA2017 Gulf Coast 0–10 3.4–5.74 20–1000 short-period spectral acceleration (at T = 0.2s) for the maximum
Region
considered earthquake (MCER) at the site, obtained from the site-specific
5 [16] ZD2019 Iran 0–10s 4.5–7.4 0–200
6 [14] SZ2016 Northern 0–4s 4.1–7.3 0–300 spectrum for a 2475-year return period. According to this code, the
Iran vertical response spectrum can either be calculated using the code rec­
ommendations or through site-specific analysis. In the case where a
vertical response spectrum is required by this standard and site-specific
2.1. EC8 (2004) procedures are not used, the MCER vertical response spectral accelera­
tion (SaMv), is given as a function of Cv, MCER spectral response accel­
In their previous version i.e., the EC8-1998, the vertical spectrum is eration parameter at short periods (SMS) and period (Tv). This is also a
defined as a function of the horizontal spectrum, wherein it is taken as piecewise functional form, varying for period ranges 0–0.025s,
0.7 and 0.5 times of the horizontal spectrum for periods below 0.15s and 0.025–0.05s, 0.05–0.15s and 0.15–0.2s. The values obtained using these
above 0.5s respectively. The intermediate values between these periods functions should not be less than one-half of the corresponding hori­
are to be obtained using linear interpolation. zontal components. However, if the short period vertical component
Later, the vertical design spectra considerations of EC8-1998 were to be derived from site-specific studies, the resulting value shall not
(EUROCODE8) are modified based on the studies of Elnashai and be less than 80% of the above SaMv value. The SaMv for periods greater
Papazoglou [21]. According to these modifications, the vertical than 2.0s shall be developed using a site-specific procedure, with the
component of the seismic action was represented by a piecewise elastic resulting value to be at least half of the corresponding horizontal
response spectrum Svc(T) defined by four functional forms, varying with component.
respect to periods between 0 and 4s [43]. These functional forms were
given in terms of the period (T), damping correction factor (η), design
ground acceleration in the vertical direction (avg), and period bounds TB, 2.3. IS 1893: Part 1 (2016)
TC, and TD. Further, the code specifies Type I and Type II spectral shapes
based on the seismicity of the region, wherein the latter four parameters As per the general principles and design criteria specified by the IS
- avg, TB, TC, and TD vary between these two types. It was noticed that the 1893, earthquake-generated vertical inertia forces are to be considered
vertical peak ground acceleration (PGA) for the high seismicity (Type II) in design unless checked and proven by specimen calculations to be not
region is 90% and for the low seismicity (Type I) region is 45% of the significant. However, the code also stresses that it is only necessary to
horizontal PGA. verify the structure under vertical motion if it exhibits one or more
special features including large spans, structures in which stability is a

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K.P. Sreejaya et al. Soil Dynamics and Earthquake Engineering 161 (2022) 107395

Fig. 6. Distribution of normalized residuals and likelihood values (LH) for (a) Himalayan region (b) North east India. Note that the LH distribution and median value
of LH distribution for each of the candidate GMPEs are shown in inset.

Table 3
Ranking of V/H GMPEs with respect to average ranking Indices for Himalaya.
Himalaya 0–3s

Sl.No GMPE LLH LLHN LH LHN EDR EDRN RN Weights Rank

1 BSR2021 1.420 1.000 0.512 1 1.731 1.000 1.000 0.205 1

2 GA2011 1.800 1.268 0.327 1.347 2.382 1.377 1.342 0.152 2
3 BAK2011 1.700 1.197 0.425 1.150 3.258 1.883 1.528 0.134 3
4 ASA2014 1.820 1.282 0.347 1.306 3.301 1.908 1.601 0.128 6
5 HSA2017 1.685 1.187 0.424 1.152 3.344 1.932 1.551 0.132 4
6 ZD2021 1.939 1.365 0.295 1.410 3.040 1.757 1.572 0.130 5
7 SZ2016 2.512 1.769 0.120 1.761 2.888 1.669 1.717 0.119 7

Himalaya 3–10s
GMPE LLH LLHN LH LHN EDR EDRN RN Weights Rank
1 BSR2021 1.380 1.000 0.539 1.000 3.010 1.000 1.000 0.293 1
2 GA2011 1.656 1.200 0.589 1.177 3.400 1.130 1.159 0.253 3
3 HSA2017 1.645 1.192 0.357 1.287 3.030 1.007 1.123 0.261 2
4 ZD2021 1.764 1.278 0.406 1.187 5.450 1.811 1.522 0.193 4

criterion for design, pre-stressed or cantilevered beams, girders, and
slabs, etc. When effects due to vertical earthquake loads are to be
considered, the design vertical force shall be calculated in accordance
with the criterion that the design acceleration spectrum for vertical
motions may be taken as two-thirds of the design horizontal acceleration
spectrum.
Table 1 gives the details of the vertical spectral shape considered in
EC8 and ASCE 7–16 codes. Even though simpler relations were assumed
between the vertical and horizontal components, most of the interna­
tional codes eventually adapted a separate vertical design spectrum.
Consequently, seismic codes such as EC8 and ASCE 7–16 provide sepa­
rate period-dependent expressions for arriving at vertical spectra from
the site-specific horizontal spectrum. However, there are still many
seismic design codes that follow the same practice of considering the 2/
3rd assumption in arriving at the vertical design spectra (IS 2800-05;
NBC105 2020; IS 1893–2016). Therefore, in this context, the Indian
seismic code provisions for the design vertical component should be
revisited and redefined.
3. The Indian scenario
Since there is a need to conduct a probabilistic seismic hazard
analysis to obtain horizontal spectra for the active regions of India, the
present section focuses on the tectonics and ground motion records of
the study region.
3.1. Seismotectonics of the study region
Based on the seismic activity pattern, regional seismo-tectonics, and
geology, NDMA [20] have identified seismic zones in the study region
as, Western Himalaya, Central Himalaya, Eastern Himalaya, Mishmi
block, Assam valley, Shillong Plateau and Mikir Hills, Naga thrust,
Arakan-Yoma Folded Belt and Bengal Basin and Tibetan region, for
hazard estimation. However, in the current study, the entire area is

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K.P. Sreejaya et al. Soil Dynamics and Earthquake Engineering 161 (2022) 107395

Table 4
Ranking of V/H GMPEs with respect to average ranking Indices for NEI.
NEI 0–3s

Sl.No GMPE LLH LLHN LH LHN EDR EDRN RN Weights Rank

1 BSR2021 1.471 1.001 0.483 1.000 1.713 1.000 1.000 0.213 1

2 GA2011 1.815 1.234 0.335 1.330 2.428 1.417 1.350 0.158 2
3 BAK2011 1.751 1.191 0.416 1.168 3.393 1.981 1.580 0.135 3
4 ASA2014 1.806 1.228 0.333 1.334 3.543 2.068 1.674 0.127 5
5 HSA2017 1.685 1.146 0.461 1.077 4.399 2.567 1.839 0.116 7
6 ZD2021 1.939 1.319 0.291 1.417 3.057 1.784 1.576 0.135 4
7 SZ2016 2.432 1.655 0.136 1.727 3.301 1.927 1.809 0.118 6

NEI 3–10s
GMPE LLH LLHN LH LHN EDR EDRN RN Weights Rank
1 BSR2021 1.540 1.000 0.502 1.000 3.566 1.000 1.000 0.296 1
2 GA2011 1.643 1.067 0.596 1.192 4.309 1.208 1.169 0.253 3
3 HSA2017 1.612 1.047 0.473 1.055 4.351 1.220 1.135 0.261 2
4 ZD2021 1.682 1.092 0.426 1.148 7.141 2.002 1.561 0.190 4

Fig. 7. Weighted average V/H ratio from different GMPEs for the controlling earthquakes at T=0.2s and 1s for (a) Delhi, (b) Faizabad and (c) Guwahati. Note that
the weighted average V/H ratio from the ranking schemes of [41] is shown in black solid line.

6
K.P. Sreejaya et al.
Fig. 8. V/H ratio contour maps for active regions of India at spectral periods 0s, 0.05s, 0.2s, and 2s. Note that the yellow regions indicate the V/H values exceeding
2/3.
broadly identified under two active regions: the Western Himalayas
(WH) and the North-East India (NEI). Fig. 1 shows the seismicity, fault
map, and important cities in the study area. The active under-thrusting
of the Indian landmass below the Eurasian plate has resulted in several
major and minor fault structures across the region [25]. The
seismo-tectonic Atlas [23] of India has delineated the faults identified in
India and adjoining regions to construct a fault map of India. The thrust
type faults, which indicate the thrusting of the Eurasian plate over the
Indian plate, are the main category of faults present in WH (Main
Boundary Thrust (MBT) fault, Himalayan Frontal Thrust (HFT) fault,
Main Central Thrust (MCT) fault, etc.). The seismo-tectonic setting of
NEI is different from WH due to the E-W convergence and oblique
subduction of the Indian plate beneath the Burma plate. Here, the
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Soil Dynamics and Earthquake Engineering 161 (2022) 107395
striking feature is the E-W trending Dauki fault, though many N–S
trending faults contribute to the seismo-tectonic characteristics of the
region (Um Ngotfault (UGF), Barapani shear zone (BSZ), Jamuna fault,
Dudhnai fault, Kopili fault zone, etc.). These faults and fracture zones
have a higher rupture potential to generate major events in the region
(1905 Mw7.8 Kangra, 1934Mw8 Bihar-Nepal, 1991 Mw6.8 Uttarkashi,
1999 Mw 6.8 Chamoli, 2011 Mw6.9 Sikkim and 2015 Mw7.9 Nepal
events). Hence, the identification of these potential rupture areas is very
important for the seismic hazard analysis of the region.
3.2. Ground motion database
The ground motion database compiled by Bhargavi et al. [7] is used
K.P. Sreejaya et al.
Fig. 9. Flow chart showing the procedure to develop vertical spectrum from horizontal spectrum for a typical rock site at Delhi, for 2475 year return period.
to observe the behavior of V/H spectral ratios at different periods. The
database is a consortium of COSMOS (Consortium of Organizations for
Strong-Motion Observation Systems, http://db.cosmos-eq.org), PES­
MOS (Program for Excellence in Strong Motion Studies, www.pesmos.
in), CESMD (Center for Engineering Strong Motion Data), IITR (Indian
Institute of Technology, Roorkee), and the CIGN (Central Indo-Gangetic
Plains Network) networks. It includes a total of 484 records with mag­
nitudes between Mw 3.0 and Mw 7.9 and 236 records with magnitudes
between Mw 3.7 and Mw 6.8, of WH and NEI respectively. This database
is mainly used to obtain residuals for all the estimates of global V/H
ground motion models, which are further used in obtaining ranks for all
the GMPEs. It can be further observed from Bhargavi et al. [7] that the
recorded values of the V/H spectral ratios exceed 2/3 for most of the WH
and NEI records, even for lower magnitude events. This observation
further emphasizes the necessity to obtain a vertical design spectrum for
the Indian scenario and compare it with the code-based spectrum.
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Soil Dynamics and Earthquake Engineering 161 (2022) 107395
4. Hazard analysis of horizontal component
4.1. Probabilistic seismic hazard analysis
In the present study, the horizontal hazard values are obtained in
tandem with Sreejaya et al. [26], where the Probabilistic seismic hazard
analysis (PSHA) is performed for the upgradation of the national seismic
zone map of India. PSHA of the horizontal component of spectral ac­
celeration (Sa) at various periods is carried out across the active regions
of India on a grid size of 0.1◦ × 0.1◦ between latitudes 25◦ N − 40◦ N and
longitudes 65◦ E − 100◦ E. The seismic hazard is estimated based on
fault oriented spatially smoothed seismicity approach. As a result, each
grid point is presumed to be a point source. Any site is assumed to get
affected by events occurring within a radius of influence up to 500 km.
Within this circle of influence, normally there will be several sources
that can give rise to earthquakes of differing strength. We used the
procedure described by Ref. [27] to perform PSHA, in which the seismic
hazard associated with the individual sources within the circle of in­
fluence is calculated first and then combined to get the aggregate hazard
at a site. Thus, if there are ‘K’ probable sources, the mean annual rate of
K.P. Sreejaya et al. Soil Dynamics and Earthquake Engineering 161 (2022) 107395

Fig. 10. Vertical UHRS obtained from the weighted average V/H ratio at selected cities in the region. The IS 1893–2016 spectra as well as the 2/3 scaled spectra are
also shown.

Fig. 11. Median and simplified V/H ratio at all grid points for rock type site class.

exceedance (μy*) of the ground motion intensity ‘y*’ at the site is esti­ sources are considered as point sources, located at the center of each of
mated as follows, the grid cells. Further, the hazard is computed using a suitable logic tree,
m∫max which addresses the epistemic uncertainty in two different parameters,
∑ viz. The method of calculation of recurrence parameters and the choices
K
μy ∗ = ni (m0 )
̃ P[Y > y∗ |ri , m]fM i (m)dm (1)
i=1 of GMPE. The probabilistic weight in the logic tree for the method of
arriving at recurrence parameters is assumed as 0.5 each for the [28,29]
m=m0

where fM i (m) is the probability density for the magnitude and
P[Y > y∗ |ri , m] is the conditional probability that the ground motion
value y* would be exceeded if the distance from the source to the site is ri
and magnitude is m. Note that Equation (1) is applicable when the
methods. To address the epistemic uncertainty in the attenuation re­
lations, each branch of the logic tree is assigned with the weights ob­
tained after ranking the GMPEs for horizontal spectral acceleration [26].

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K.P. Sreejaya et al. Soil Dynamics and Earthquake Engineering 161 (2022) 107395

Fig. 12. Median and simplified V/H ratio for each Mc and Rc bins.

Fig. 13. Median and simplified V/H ratio at all grid points for medium soil (vs30 = 560 m/s) and soft soil (vs30 = 360 m/s).

4.2. Uniform hazard response spectra and PSHA map
The results of the PSHA are obtained as hazard curves for various
natural periods. The hazard results are reported for rock site class. The
estimated hazard curve at the capital city - Delhi for a few natural pe­
riods is illustrated in Fig. 2. As the engineering interest lies in obtaining
design response spectra at a site, the hazard is calculated at all natural
periods, where the spectral acceleration at each period has an equal
probability of exceedance at a given time interval. The site-specific
uniform hazard response spectrum thus obtained is shown for Delhi at
rock level, for a 2475 year return period. Note that the PGA obtained at
Delhi (Zone-IV as per IS 1893–2016) using PSHA is ~0.4 g, which is 1.7
times higher than the zone-specific PGA suggested by IS 1893–2016. It is
noted that the cities in the most seismic active zone (zone V of IS1893-

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K.P. Sreejaya et al. Soil Dynamics and Earthquake Engineering 161 (2022) 107395

Fig. 14. Proposed trilinear V/H ratio model for India.

4.3. Hazard deaggregation

Table 5
Parameters of trilinear approximation for the V/H model (Equation (6)).
Deaggregation is commonly used to identify the earthquake scenario
Rock Medium soil Soft soil that contributes the most to the hazard at a given location. This infor­
TA 0.06s 0.06s 0.06s mation can be used to select suitable ground motion time histories for
TB 0.15s 0.15s 0.2s non-linear structural analysis. The deaggregation parameters are also
TL 5s 5s 5s used to generate hazard consistent vertical spectral accelerations
AVH0 0.8 0.82 0.85
m − 1.481 − 1.704 − 1.309
(Gulerce and Abrahamson, 2011). Note that the deaggregation is per­
c 0.889 0.928 0.928 formed for exceedance and not for the rate of occurrence. The mean
AVHL 2/3 2/3 2/3 annual rate of exceedance (μy∗ ) is differentiated with respect to the
magnitude M, distance R, and ground motion error term ε [34–36] as
follows;
2016) show higher spectral ordinates at all periods than the code-
specified spectral values. This observation is also supported by various ∑
K
{
∫∫∫
}
hazard investigations for the region [30,31]. According to those studies, μy ∗ = ni (m0 )
̃ P[Y > y∗ |m, r, ε]fM,R,ε (m, r, ε)dmdrdε i
(2)
the seismic hazard at Delhi is 1.5–2 times higher than the zone factor
i=1

stipulated by IS 1893–2016. This can be attributed to the reason that the
seismic code zone map, which is derived based on iso-seismal map of
past earthquakes, uses an empirically determined zone factor. When the
highest intensity values of past earthquakes (MMI IX or X) reported in
India are converted to PGA using global conversion relations [32,33],
PGA values of 0.68–1.8 g are reported for MMI IX-X. This demonstrates
that seismic code provisions in India severely underestimate PGA values.
Furthermore, the hazard curves are computed at each grid point
throughout India.PGA and spectral acceleration at 0.2s and 1s are
calculated from these hazard curves at all grid sites. The results are
provided as contour maps for 2475-year return period to better
comprehend the spatial variation of PGA and spectral acceleration. The
corresponding plots for PGA are shown in Fig. 3(a) and the Sa plots at T
= 0.2s and 1s are given in Fig. 3(b) and (c) respectively. The active re­
gions of both the Northern Himalaya of WH and NEI are having rela­
tively higher hazard values compared to the Indo-Gangetic plain of WH.
where, fM,R,ε corresponds to the joint probability density function of
magnitude, distance and ground motion error term. P[Y > y∗ |m, r, ε] Is
the conditional probability obtained from the ground motion relation. In
this case, the magnitudes (4 ≤ M ≤ Mmax) and distances (0 ≤ R ≤ 200
km) are binned at 0.5 and 20 km intervals. Hazard deaggregation is
conducted for 0, 0.5, 1, 1.5, 2, 2.5, and 3 as only ground motions equal to
or greater than the median value are considered. The corresponding
results are compiled for the rock site at spectral accelerations of 0.2s and
1s for a return period of 2475 years.
Fig. 4 shows the M-R bins for Delhi, Faizabad, and Guwahati. It was
observed that near sources (~8 km) predominantly contribute to the
short period hazard (0–0.2s) and far sources with high controlling
magnitude control the long period hazard at Delhi city. Also, it is
interesting to note that the deaggregation plots at Faizabad (Fig. 4(b))
indicate that the local faults influence short period hazard and farther
Himalayan faults contribute to the long period hazard. However, at
Guwahati, both the short and long period hazard is controlled by the
local faults near the site, which can even produce earthquakes of size as

11
K.P. Sreejaya et al. Soil Dynamics and Earthquake Engineering 161 (2022) 107395

Fig. 15. Vertical spectral acceleration contours obtained from the simplified trilinear approximation of V/H ratio for (a) PGA (Sa at T = 0s) (b) Sa at 0.2s (c) Sa at 1s.

∑∑∑
Table 6 MHmrε
Vertical PGA values for selected cities. m r ε
Mc = ∑ ∑ ∑
Sl. City IS 1893 Vertical PGA from Vertical PGA from this Hmrε
No Zone IS1893 study m r ε
∑∑∑
1 Srinagar V 0.24 0.61 ln RHmrε
2 Delhi IV 0.16 0.33 ln Rc = m∑r∑ε∑ (3)
3 Jaipur II 0.07 0.18 Hmrε
4 Kanpur III 0.11 0.13 m r ε
5 Faizabad IV 0.16 0.17 ∑∑∑
6 Varanasi III 0.11 0.06 εHmrε
7 Guwahati V 0.24 0.62 m
εc = ∑ r
∑ ε
∑
8 Itanagar V 0.24 0.61 Hmrε
m r ε

high as ~ Mw 7.6. Hence it can be noted that the controlling magnitude
at a site can be identified just by recognizing the contributions at short
(T = 0.2s) and long periods (T = 1s), instead of considering the entire
period of interest. Furthermore, for design, analysis, or other seismic risk
decisions, a single scenario with a single M-R-ε combination character­
izing the highest threat is necessary [34]. proposes a simple yet effective
method for this to use the mean values of the joint probability distri­
butions. To cover the range of deaggregation parameters at both short
and long periods, the mean deaggregation parameters can be obtained at
all period ranges or specific periods of interest such as 0.2s or 1s (ASCE
7, USNRC, 2007). As a result, in the present study, the mean values of the
joint probability distributions are determined at spectral periods of 0.2s
and 1s. First the ground motion level is determined for a selected
probability of exceedance (i.e., 2475 year return period in the present
study). Then the contribution Hmrε from each M, R, ε bin to the hazard is
determined. The controlling parameters are then determined using
Equation (3) following [37].
where, Hmrε is probability that the ground motion is greater than the
selected value for the bin M, R. M and R denotes the average magnitude
and distances of the bin.The expressions in Equation (3) denotes the
joint probability density function of magnitude, distance and ε from
deaggregation conditional to the exceedance of the threshold. Thus
these controlling parameters (Mc, Rc, εc ) can be used to approximately
determine the seismic sources resulting a critical ground-motion. Using
this procedure, deaggregation is performed at a grid of sites with a
spacing of 0.20 × 0.2◦ across the study area, to understand the spatial
variation of these controlling parameters. Fig. 5 shows the mean
magnitude and distance contours from the deaggregation analysis for
the region. It is obvious that a higher magnitude-shorter distance com­
bination results in a higher seismic hazard at a site. Overall, the appli­
cation of these seismic hazard maps is broad as they can be used in
identifying the critical magnitude and distance comabinations at any
site located in the active regions of India.
5. GMPES for V/H spectral ratio

The details of all the global V/H GMPEs considered in the present
study along with the [7] model are provided in Table 2. The models
GA2011, HSA2017, and ZD2019 give spectral ratios till 10s; whereas the
models BAK2011, ASA2014, and SZ2016 are valid till a maximum
spectral period of 3s or 4s. Since most of these models are developed for
different databases across the world, the applicability of these models to
the Indian scenario should be checked by ranking these GMPEs in the

12
K.P. Sreejaya et al.
Fig. 16. Comparison of vertical UHRS for selected cities in the study region
from the weighted average V/H ratio and simplified trilinear approximation of
V/H ratio.
order of the best fitting GMPE to the recorded data. This can be achieved
through residual analysis between the observed ground motion measure
and corresponding estimates from each of the GMPE. However, a
rigorous quantitative evaluation method is preferred to interpret the
goodness of fit over a simple visual inspection. There are three such
methods available that can provide rankings to the GMPEs based on the
goodness of fit: Likelihood (LH), Log-likelihood (LLH), and Euclidean
distance methods.
The LH method [38], determines the exceedance probabilities cor­
responding to normalized residual distribution, wherein each ground
motion model is assumed as a log-normal distribution. The LH distri­
bution is characterized by its median value. The median value of 0.5
represents the residuals as a standard normal distribution. As the devi­
ation of the median LH value from 0.5 increases, the matching of the
model with the observed dataset decreases. Fig. 6 represents the distri­
bution of normalized residuals of V/H ratios and the corresponding LH
distributions. The LLH method [39] assumes the GMPE estimates as a
log-normal distribution and calculates the likelihood of the resulting
continuous function g(x) approaching f(x), which is the observed data.
The smaller the LLH values, the better match will be seen between the
recorded and predicted datasets. It is observed from Tables 3 and 4 that
near close LH and LLH values are noticed for most of the models. Hence,
for finding the rank, a distance-based approach is also followed along
with the likelihood approaches. Euclidean Distance-based ranking
13
Soil Dynamics and Earthquake Engineering 161 (2022) 107395
(EDR) method [40] makes use of the residual analysis concept and also
addresses the aleatory variability through the standard deviation of the
GMPE. The absolute difference between observed and estimated data is
calculated as the Euclidean distance (DE), thus resulting in a smaller
EDR value for the best matching GMPE. The results reported in Tables 3
and 4 indicate that each of the above three methods would result in
different ranking orders. Therefore, a weighted average system pro­
posed by Kale et al. [41] is adopted here.
A normalized ranking index is obtained by normalizing each entry of
the group against its best entry [41]. Hence, LHN, LLHN, EDRN are the
normalized ranking indices for the LH method, LLH method, and EDR
method respectively (Tables 3 and 4). The final ranking Index (RN) value
is arrived from the normalized ranking indices by giving weights of 0.25
each for Likelihood (LHN) as well as Log-likelihood (LLHN) methods and
0.5 for the EDRN method. The final weights are obtained from the
ranking index RN using the expression given in Equation (4).
log2 (RN )
2−
wj = ∑k (4)
− log2 (RNj )
j=1 2
Tables 3 and 4 give the normalized ranking indices, final ranks, and
corresponding weights as well, for all the V/H GMPEs considered.
Further, these GMPEs with the assigned weights are suitably used in
hazard calculation to obtain site-specific vertical spectra. The procedure
followed to obtain the same for the region is illustrated in the following
section.
6. Vertical spectra for active regions of India
6.1. Weighted average V/H ratio
Once the weights for each of the candidate GMPEs are obtained, the
next step is to obtain the weighted average V/H ratio from each of the
models. First, the V/H ratio is estimated for each site based on the
GMPEs listed in Table 2 for the controlling magnitude and distances.
Then the weighted average V/H ratio is obtained by assigning suitable
weights (Tables 3 and 4) to each of the GMPEs. Fig. 7 shows the pre­
diction from each of the individual GMPEs and the weighted average V/
H ratio for a typical rock site at Delhi, Faizabad, and Guwahati. It is clear
from the figure that the individual V/H (PGA) estimates range between
0.5 and 0.85. The weighted average V/H ratio at T = 0s is around 0.6
and the maximum value is found around T = 0.05–0.06s, which exceeds
2/3. Further, to understand the spatial variation of V/H ratio, the
weighted average V/H ratio is estimated at grids of 0.20 × 0.2◦ across
WH and NEI. Fig. 8 shows the V/H ratio at T = 0s, 0.05s, 0.2s, and 2s
obtained from the controlling events at short and long periods respec­
tively. The regions with a V/H value exceeding 2/3 are marked with
yellow color. The V/H is found to exceed 2/3 at T = 0.05s for all over the
region, whereas at T = 0.2s and 1s, the values are less than 2/3. At larger
periods (T = 2s and T = 5s), the regions with lower seismicity show V/H
values of more than 2/3. This is evident from the trend of the V/H ratio
that for higher magnitudes, the effect will be larger at short periods than
at long periods.
6.2. Vertical response spectra
Hazard consistent vertical spectra can be obtained by scaling the
weighted average V/H spectral ratio with the horizontal uniform hazard
response spectra (UHRSH). The UHRSH does not represent a single event
as the hazard is computed independently for each period. Hence, to
develop consistent vertical spectra from the UHRSH, first, deaggregation
is performed and the V/H ratio is computed for the controlling earth­
quake (Fig. 4). The vertical spectrum, which is return period-dependent,
is obtained as
Sav(T) = UHRSH (T) x V/H (Mc(T), Rc(T),T) (5)
K.P. Sreejaya et al.
where V/H (Mc(T), Rc(T), T) is the V/H ratio which is dependent on the
magnitude (Mc), distance (Rc) as well as period (T). It is observed that
the spectrum obtained from this method results in conservative values
[12]. Hence, the use of the UHRS spectrum is appropriate for the design
of structures. A preliminary study has been carried out to arrive at the
vertical spectra for Delhi, for the 2475-year return period. Fig. 9 shows
the procedure to develop vertical spectra which is consistent with the
horizontal hazard at Delhi. The site-specific horizontal spectra are ob­
tained based on the fault-oriented smoothed seismicity approach as
discussed in section 4. The magnitude-distance (Mc-Rc) combination
that contributes more to the hazard at Delhi is identified using the
deaggregation procedure. The V/H ratio is calculated from the candi­
date GMPEs for the Mc-Rc combination. The weighted average V/H
spectral ratio is obtained using the logic tree weights shown in Tables 3
and 4 The final vertical spectrum for Delhi is obtained by multiplying the
horizontal spectra with the weighted average V/H ratio. Fig. 9 also
shows the vertical spectra for Delhi along with the design spectra sug­
gested in various seismic codal provisions. It is observed that for the
short period range between 0.01s and 0.2s, the vertical spectra specified
by IS 1893 is underestimating the spectra for Delhi, and for larger pe­
riods, it gives a conservative estimate. On contrary to that, the vertical
response spectrum from EC8 gives a conservative estimate at shorter
periods and underestimates the spectra at T > 1s i.e., longer periods.
However, it is interesting to note that the seismic provisions of ASCE/SEI
7–16, are in agreement with the hazard consistent vertical spectra
developed for Delhi over a broader period range. Based on the above
procedure, the hazard consistent vertical spectra are developed for some
major cities located in the active regions of India. Fig. 10 shows the
horizontal and vertical spectra developed for those cities at rock type
site class. The top to bottom panels respectively shows the cities
distributed across various seismic zones, from zone V and zone II
(IS1893-2016). Accordingly, the 2/3rd assumption of design codal
spectra is plotted for all these cities in the right panel. It is observed that
for the majority of cities, the seismic considerations from IS 1893, 2016
gives a conservative estimate at longer periods. However, the codal
values resulting from IS 1893, 2016 are lower than the calculated values
at shorter periods. This pattern is observed for low seismicity (Zone II) as
well as high seismicity regions (Zone V) of WH and NEI. The figure also
shows the UHRSH scaled using a factor of 2/3, as suggested by the code.
It can be observed that the 2/3rd assumption still results in lower values
at shorter periods (T < 0.15s).
7. A new alternative for code based vertical design spectra
The results obtained in the previous section proves that the V/H
values exceed the code-based norm of 2/3, especially at short (T:
0.05–0.06s) and relatively long periods (T > 2s) (Fig. 8). Therefore, a
new basis for the vertical design spectrum can be obtained, based on
these results. However, for practical engineering applications, a more
generalized representation of the V/H spectral ratio is preferred.
Therefore, the expected V/H ratio is approximated to a simplified tri-
linear model. To achieve this purpose, the target V/H ratio at all grid
points for the controlling magnitude–distance combination is obtained
(for rock type) and a trilinear approximation for the median V/H ratio is
fitted (Fig. 11). The maximum value of this median V/H is found to be
~0.8 at 0.06s. Hence the short period V/H is assumed as 0.8. Between
intermediate to long periods, the 2/3rd assumption of the V/H ratio
gives a conservative median estimate. To check the appropriateness of
the proposed model, the median V/H spectral ratio from various mag­
nitudes and distance bins are compared with the trilinear approximation
(Fig. 12). It is noted that for each of the selected bins, the trilinear
approximated model gives a conservative estimate.
Further, it is noted previously that the V/H ratio depends on the site
conditions [7]. Hence, the analysis is performed for medium soil (Vs30
= 560 m/s) and soft soil (Vs30 = 360 m/s) as well. As the site class
changes from rock to soil, an increase in the amplitude of median V/H
14
Soil Dynamics and Earthquake Engineering 161 (2022) 107395
and a spectral shift towards the longer periods is observed (Fig. 13).
Fig. 14 shows the recommended spectral ratio for India for all soil types.
Therefore, the above observations of period shift and increase in the
amplitude of the median V/H from rock to soil type are considered while
fitting the trilinear simplified model for V/H ratio. The mathematical
expression for the proposed trilinear model is as follows,
⎧
⎪ AVH0, T ≤ TA
⎪
⎨
AVH = mT + c, TA < T ≤ TB (6)
⎪
⎪
⎩
AVHL, T > TB
where TA and TB indicate the corner periods of short period and long
period plateau. AVH0 and AVHL are the V/H value at the short period and
long period plateau of the proposed model. Table 5 lists the parameters
of Equation (6) for rock, medium soil, and soft soil conditions. In the
trilinear approximation, the first corner period (TA) is kept constant at T
= 0.06s for all three soil classes, as the maximum values are observed
near 0.06s in all the cases. The approximate V/H value at this corner
period (AVH0) is fixed as 0.8, 0.82, and 0.85 for rock, medium soil, and
soft soil respectively. It was observed that AVH0 increases by 6% from
rock type to soft soil class. The second corner period (TB) controls the
period shift, which is predominant as site class changes from rock type to
soft soil. TB for rock and medium soil is taken as 0.15s; whereas for soft
soil the value of TB is noted at 0.2s. Beyond the second corner period, the
V/H ratio i.e., AVHL is assumed constant with the code recommended
value of 2/3.
In order to verify these new recommendations, hazard consistent
vertical PGA and spectral acceleration maps at T = 0.2s, and 1s are
developed using the simplified trilinear V/H spectral ratio model
(Fig. 14) and horizontal spectral acceleration maps (Fig. 3) (Fig. 15). The
results indicate that a vertical PGA of around 0.6–0.8 g is noticed at the
Hindukush-Pamir region and at Northeast India. In addition, Table 6
lists the PGA obtained at some of the selected cities in these regions. It is
noted that at many of these cities, the vertical PGA values resulting from
the present study are much higher than the maximum vertical PGA of
0.24 (Zone V; Z = 0.36), which is recommended by the zone maps of IS
1893 [42]. Furthermore, the vertical response spectra at some of the
selected cities in the region are developed using the simplified V/H
model (Fig. 16). At shorter periods, the spectra from the weighted
average V/H ratio and simplified model give values in a similar range. In
conclusion, the vertical spectra obtained from the simplified V/H model
gives a more conservative estimate than the IS code recommended
scaling of 2/3 (Fig. 10), for all the cities.
8. Conclusion
The present study attempts to develop hazard consistent vertical
design spectra for active regions of India. The appropriateness in the
traditional design approach of scaling the horizontal spectra with a
period independent factor of 2/3 is investigated through this work. First,
the horizontal hazard is computed using probabilistic seismic hazard
analysis. Then a weighted average V/H ratio is calculated for each site
from the available global GMPEs using the weights given in Tables 3 and
4 The vertical design spectrum is generated through scaling of the
weighted average V/H ratio GMPE to the uniform hazard spectrum
obtained for the horizontal component. Based on this procedure, hazard
consistent vertical spectra are developed for some of the selected cities
in the region. It is observed that the IS 1893 considerations underesti­
mate the vertical spectral behavior at short periods. It is also noted that
at many of the important cities, the PGA values from the present study
are much higher than the maximum vertical PGA of 0.24 (Zone V; Z =
3.6), which is recommended by the IS 1893–2016 zone maps. Therefore,
a new recommendation for the vertical design spectrum, which is
simplified in terms of the V/H spectral ratio, is obtained in the current
study. The results are also provided as contour maps of vertical spectral
K.P. Sreejaya et al.
acceleration and response spectra (2475 year return period) at selected
cities in the study region. The study thus emphasizes the importance of
estimating hazard consistent site-specific vertical spectra, for the design
of structures in the active regions of India.
Author statement
Sreejaya KP: Software, Validation, Formal analysis, Investigation,
Writing – Original Draft, Writing – Review & Editing, Supervision,
Visualization, Project Administration, Bhargavi Podili: Writing – Orig­
inal Draft, Writing – Review & Editing, Project Administration, Raghu­
kanth STG: Conceptualization, Methodology, Resources, Supervision.
Declaration of competing interest
The authors declare that they have no known competing financial
interests or personal relationships that could have appeared to influence
the work reported in this paper.
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