GEOPHYSICS, VOL. 78, NO. 1 (JANUARY-FEBRUARY 2013); P. KS13–KS23, 11 FIGS., 2 TABLES.
10.1190/GEO2012-0248.1
Miniature array analysis of microtremors
Ikuo Cho1, Shigeki Senna2, and Hiroyuki Fujiwara2
ABSTRACT
We suggest observing microtremors by using a miniature
array consisting of vertical-component seismometers that are
placed at the center and on the circumference of a circle with a
radius of several tens of centimeters, for identifying the phase
velocities of Rayleigh waves with wavelengths exceeding
several tens or a hundred meters. We present, as tools for
the analysis, a set comprised of the analysis methods for
the phase velocity and the evaluation method for the analysis
limit, which were recently developed by the authors on the
basis of a rigorous theory derived by generalizing a spatial
autocorrelation method. We conducted miniature-array obser-
vations using four or six servo-type seismometers, JU-215
manufactured by Hakusan Corporation, at about 50 observa-
tion points throughout a test site and urban areas in Tsukuba
City and its surroundings, which have various topographical
and geologic environments. The time required from arrival at
an observation point to retrieval averaged about 30 min. We
could determine the phase velocities of Rayleigh waves with
wavelengths of 40 and 100 m at 91% and 51% of all the ob-
servation points, respectively. Miniature array analyses can
significantly improve the mobility of observation to infer shal-
low subsurface velocity structures to the depth of several tens
of meters.
INTRODUCTION
Microtremor array exploration is a method for inferring the sub-
surface structure by identifying the phase velocity of surface waves
through array observations of microtremors (also referred to as am-
bient noise, microseisms, etc.). The frequency-wavenumber method
(FK method) (Capon, 1969) and the spatial autocorrelation method
(SPAC method) (Aki, 1957; Okada, 2003) are often used for
identifying the phase velocity. The FK method involves an
Manuscript received by the Editor 2 July 2012; published online 12 December 2012.
1
National Institute of Advanced Industrial Science and Technology, Geological Survey of Japan, Tsukuba, Japan. E-mail: ikuo-chou@aist.go.jp.
2
National Research Institute for Earth Science and Disaster Prevention, Tsukuba, Japan. E-mail: senna@bosai.go.jp; fujiwara@bosai.go.jp.
© 2012 Society of Exploration Geophysicists. All rights reserved.
KS13
irregular array of an arbitrary shape, whereas in the SPAC method,
a circular array is used. Although the FK method may appear to
be more flexible, owing to the arbitrary array shape, in reality this
method requires a considerable number of seismometers (e.g.,
Capon, 1969; Asten and Henstridge, 1984). The “circular array”
used in the SPAC method, on the other hand, can be satisfactorily
constructed by arranging a single seismometer at the center of a
circle and three seismometers on the circumference, to form a tri-
angular shape (Figure 1a; this array is referred to as a “four-point
array” in this paper) (Okada, 2003; Asten, 2006; Cho et al., 2008a).
Furthermore, the SPAC method can also be applied for wavelength
ranges much wider than those that can be handled using the FK
method (e.g., Okada, 2003).
We have developed new methods in recent years for extracting
surface wave characteristics from circular array data (Cho et al.,
2004, 2006a; Tada et al., 2006, 2007, 2009, 2010) on the basis
of a rigorous theory derived by generalizing the SPAC method
(Cho et al., 2006b). This paper presents an efficient tool that is spe-
cialized for the exploration of shallow subsurface structures to the
depth of several tens of meters; this tool is based on one of the avail-
able derivations of the SPAC method. More specifically, this paper
proposes a set of analysis methods, the centerless circular array
method (CCA; Cho et al., 2004, 2006a), and the noise-compensated
CCA method (nc-CCA; Tada et al., 2007), for identifying the phase
velocities of Rayleigh waves with wavelengths exceeding several
tens or a hundred meters through a 15-min observation of verti-
cal-component microtremors using a circular array with a radius
of several tens of centimeters (hereinafter referred to as a “miniature
array”). The paper also presents a method for evaluating the analysis
limits.
The CCA method identifies the phase velocities using an
array configured by arranging N vertical-component seismometers
on the circumference of a circle with radius r (hereinafter referred to
as an “N-point array,” Figure 1c and 1d). The shortest-wavelength
analysis limit of the CCA method is 3r, where r is the array radius.
The longest-wavelength analysis limit is determined by the noise-
to-signal (NS) ratio (the power spectral ratio of the incoherent noise
to the coherent signal contained in microtremor array data; the
KS14 Cho et al.

inverse of the signal-to-noise ratio) (Appendix A). When the NS It is also demonstrated that the resolution limit of the miniature ar-
ratio is small, the resolving power for long wavelengths is higher ray analysis can be evaluated in advance, provided that the self-
in the CCA method than in the SPAC method (Cho et al., 2006a). noise characteristics of the recording system are unvaried and that
The nc-CCA method is based on the algorithm of the CCA meth- the microtremor intensity at a targeted site is known a priori.
od and identifies the phase velocities by compensating for the
effects of the incoherent noise (Appendix A). In principle, the
METHOD
nc-CCA method should eliminate the analysis limit for the long
wavelength side of the CCA method. The nc-CCA method is Characteristics of the data from miniature arrays
applied, as well as the CCA method, and their analysis results
are compared in this research. The application of the nc-CCA meth- We formulated our array analysis methods by assuming a wave-
field of microtremors as (Cho et al., 2006b):
od requires an N þ 1-point array, owing to the requirement of eval-
uating the NS ratio. The method of estimating the NS ratio (Cho • The microtremor field is represented as an ensemble of plane
et al., 2006a) is also described in Appendix A. waves arriving from many directions with different intensities
Because the miniature arrays are easily available within the reach (i.e., the power of waves statistically depends on the arriving
of arms, the array observation is almost as easy as a single-point direction), and is dominated by Rayleigh and Love waves.
observation to carry out. Securing an installation site requires only • The fields of Rayleigh and Love waves are each represented as
the slightest effort, because the setup can be deployed at locations random fields stationary in time and space.
such as a site by the roadside or in an available space in a parking lot • The wavenumber (or phase velocities) of Rayleigh and Love
(Figure 2). In the following, we describe the characteristics of min- waves is a multivalued function of frequency.
iature array data to present the basis for successful miniature array • Rayleigh and Love waves are mutually uncorrelated.
analysis. Next, we describe the evaluation method for the resolution
limits of the CCA method, and offer theoretical explanations for the Our past experience indicates that this assumption is generally
potential of using miniature arrays for long wavelengths, such as effective. In cases where arrays span several tens of meters or more
those exceeding a hundred meters, provided that a recording system in an urban area, however, the assumption that plane waves traverse
with low self-noise is employed. Finally, the practicality of the min- an array fails to some extent because there are numerous oscillation
iature array analysis is verified by using actual data obtained at sources of microtremors near and even within such arrays (e.g.,
about 50 observation points throughout a test site and urban areas. stationary-random vibrations excited by heavy traffic, manufacturing
plants, and downtown). Other factors also negate this assumption
— incidents where the microtremor arrays are installed in such
a) b) c) d) a way that the ground that is immediately beneath the installation
r points of respective seismometers does not constitute a single com-
θ mon foundation, and frequent installation of microtremor arrays
that cross over three-dimensionally inhomogeneous or discontinu-
ous subsurface structures (e.g., sedimentary basin structures, and
fault structures). These problems are more likely to occur for larger
array sizes.
Figure 1. Circular array: r represents the radius and the black dots
represent seismometers. (a) Four-point array (N ¼ 3); (b) six-point To understand from a different point of view, sources of vibra-
array (N ¼ 5); (c) three-point array (N ¼ 3); (d) five-point array tions located in the immediate vicinity of individual seismometers
(N ¼ 5). Panel (a) is the “triangular array,” which is a standard array can be recognized as incoherent-noise generators. This issue is also
for the SPAC method. (c) and (d) are used for the CCA method, unavoidable when working with arrays of large dimensions.
whereas (a) and (b) are required for the evaluation of the analysis
limits of the CCA method and for the nc-CCA method. Because seismometers are positioned within the range of several
tens of centimeters from each other in miniature arrays, it is possible
to avoid the potential flaw in the assumption. We can easily select
an environment in which oscillation sources exist
only at large distances relative to the radius of the
miniature arrays: The stationary-random vibra-
tions excited locally by either heavy traffic or
downtown can be regarded as a signal for min-
iature arrays. There also is no problem relating to
the inhomogeneous or discontinuous structures
lying within the array. In addition to this, it is
expected that the incoherent noises are extremely
small for the miniature arrays. Perhaps the only
notable incoherent noise is the one triggered
within the recording system, namely the self-
Figure 2. Scenes from sites with implementation of miniature arrays. (Left) The instal- noise (electrical noise).
lation of a six-point array (N ¼ 5) with a radius of 0.6 m. Seismometers, JU-215, are Nonstationary noise segments, such as those
arranged over a sheet of paper printed out with a large plotter, with original-size layout
drawn using a drawing software. (Right) A scene of an observation conducted on created by a single vehicle passing near the array,
the roadside. Plastic cases are used to cover individual seismometers to shield them can be eliminated by identifying the waveform
from wind. portions during the data-editing process, prior
 Miniature array analysis
to conducting spectral analyses. The subject of discussion here
therefore pertains to the stationary-data segments remaining after
nonstationary segments have been eliminated. The miniature array
data are expected to be composed only of signals from microtremors
that completely satisfy the assumption described in the beginning of
this section and of extremely small amount of incoherent noise.
Analysis limit of the CCA method
The longest-wavelength analysis limit of the CCA method can be
defined as the point at which the realistic model function with in-
coherent noise, gðrk; ε; NÞ of equation A-4, starts to deviate from
the idealized model function, gðrk; 0; NÞ of equation A-5, hypothe-
sized to be noise-free, where k is the wavenumber and ε is the NS
ratio (Appendix A). By solving rkmin such that it satisfies equation 1
for each frequency, we can evaluate the minimum value of the
wavenumber kmin, and therefore, the maximum value of wave-
length, that can be handled by the CCA method:


rkmin
gðrkmin ; ε; NÞ ¼ g ; 0; N ; (1)
1−a
where a is an appropriately small number, describing an acceptable
level of the relative underestimation of the wavelength or phase ve-
locity. In this study, we set the value of a to 0.05 (5% underestima-
tion of the phase velocity accepted). If the true value of rk is within
the range [rkmin , rkmax ¼ 2.4], then a correct estimate can be ob-
tained using the CCA method. If the true value lies outside the range
(<rkmin ), then the value is overestimated, and therefore, the phase
velocity is underestimated. Refer to Appendix A for details.
Suppose, for example, that the value of the NS ratio is obtained as
10−4 at frequency 3 Hz, by analyzing the data from a miniature ar-
ray with radius 0.6 m and N ¼ 3. Substituting ε ¼ 10−4 and N ¼ 3
into equation 1 and solving for rkmin, we can obtain an rkmin value
of 0.035. The rk range analyzable by the CCA method is then
[0.035, 2.4]. The corresponding maximum value of the wave-
lengths, λmax ð¼ 2πr∕rkmin Þ, is 107 m (178r) and the maximum va-
lue of the phase velocity, cmax ð¼ 2πrf∕rkmin Þ, is 321 m∕s. We can
estimate the correct value of the phase velocity at 3 Hz when the true
value lies within a range smaller than 321 m∕s.
The NS ratio of ε ¼ 10−4 can be realized using observation
equipment that can inhibit the amplitude of the self-noise to
1/100 of the amplitude of microtremors, provided that miniature
array data are composed solely of the signal of microtremors and
self-noise of the recording system. Some calculation results for the
value of rkmin in relation to the NS ratio, as well as the maximum
wavelengths for the case of r ¼ 0.6 m, are shown in Table 1 for
reference.
RESULTS
Verification at test site
Observation equipment
The miniature arrays were comprised of three-component seism-
ometers, JU-215 (Senna, 2011), manufactured by Hakusan Corpora-
tion. The JU-215 is a portable microtremor seismometer with a
chassis of 165 × 165 × 240 mm, and contains servo-type acceler-
ometers (JA40GA-5A, manufactured by the Japan Aviation Electro-
nics Industry, Ltd.) and a data logger with a wide dynamic range
of 135 dB (LS7000XT, manufactured by Hakusan Corporation).
KS15
Records of individual seismometers are synchronized with a global
positioning system. This seismometer has sufficient accuracy to func-
tion as microtremor-array-observation equipment (Appendix B).
Observation and analysis
An experimental array analysis was conducted at the asphalt
parking lot within the premises of the National Institute of
Advanced Industrial Science and Technology (AIST) in Tsukuba
City of Ibaragi Prefecture on February 17, 2012, using the equip-
ment described above. There is a deep well that exceeds 600 m in
depth at the study location, where PS logging has been performed;
we also conducted microtremor observation with eight different
array radii ranging from 2.5 m to 7,350 m, performed at the exact
same spot but on different days and at different times (Cho et al.,
2006c). The validity of the analysis result of this study can be
determined based on such data.
In this instance, we used four-point arrays with a radius of 0.6 m.
The sampling time interval was 0.01 s with an observation time of
15 min. Each seismometer was covered with a plastic case to shield
it from wind.
The microtremor array analysis software BIDO (Tada et al.,
2010; http://staff.aist.go.jp/ikuo-chou/bidodl.html), downloadable
for free and having been verified to work on Linux and Windows,
was used for the analysis. This software implements both segment
averaging and spectral smoothing to estimate spectral densities
(Bendat and Piersol, 1971). The spectral window must be used with
the width set as narrow as possible, because it may cause biases
(Cho et al., 2006a). In this instance, the segment duration used
for fast Fourier transform (FFT) was set to 5.12 s, whereas the spec-
tral window width was set to 0.3 Hz. Although the JU-215 is a
three-component seismometer, we analyzed vertical records only.
The data segment extractions for the FFT were executed in the
automatic processing mode of the BIDO software, where each
segment was overlapped in time by half of the segment duration,
applying a Hanning (cosine) window with a tapering ratio of 0.5
(Carter et al., 1973). The frequency distribution of the rms value
of the amplitudes in a segment was investigated prior to tapering,
and the segments with abnormal values were considered to have
nonstationary portions and were eliminated. The segments selected
automatically in this manner were used to estimate the spectra. The
phase velocities of the Rayleigh waves were identified using equa-
tions A-5 and A-6. The power reductions attributed to the tapering
windows and zero fills were all compensated for in the BIDO
software.
Table 1. NS ratio and rkmin .
ε N rkmin λmax ½m
ðr ¼ 0.6 mÞ
10−2 3 0.345 11
5 0.269 14
10−3 3 0.111 34
5 0.086 44
10−4 3 0.035 107
5 0.027 139
KS16
Analysis results
Figure 3 (upper left) shows the theoretical phase velocities at
AIST. When calculating the theoretical values, the PS logging data
was first modeled as a horizontally stratified velocity structure (right
on the same figure). The phase-velocity dispersion curve for the
individual modes of the Rayleigh waves (the fundamental mode
and the higher modes) were then calculated. The relative intensity
of each mode, on the other hand, was hypothesized to be propor-
tional to the square of the amount obtained by dividing the medium
response to an impulse excitation on the ground surface by the
wavenumber (lower left in same figure) (Tokimatsu et al., 1992).
The program developed by Saito and Kabasawa (1993) was used
600
Phase velocity (m/s)
Mode 3
400
Mode 0
Mode 2
200
Mode 1
Equivalent
0
10-2
Mode 1
|A/k|2
Mode 2
10 -16
0 5
Frequency (Hz)
Figure 3. Top left: Phase velocity dispersion curves of Rayleigh
waves at AIST. Thin black curves indicate theoretical dispersion
curves for the four gravest modes. Thick gray curve represents the-
oretically expected equivalent phase velocities, including the effects
of all Rayleigh-wave modes. Bottom left: Relative intensities of the
four gravest Rayleigh-wave modes, assumed to be proportional to
jA∕kj2 (medium response-to-wavenumber ratio squared). Right: In
black, a 1D model of the shear velocity profile. Gray indicates PS
logging data on which the model is based.
600
Phase velocity (m/s)
400
200
0 Observation and analysis
0 5
Frequency (Hz)
Figure 4. Comparison between the observed and theoretical disper-
sion curves at AIST. Solid and broken black lines represent the
equivalent phase velocities obtained by the CCA and nc-CCA meth-
ods, respectively. Thick gray curve represents theoretically expected
equivalent phase velocities. Thin gray curve represents the higher
side of the analysis limit of the phase velocity, cmax .
Cho et al.
to calculate the phase velocities and the medium responses of
the Rayleigh waves. Finally, the spectral ratio ρcca was calculated
by hypothesizing ε ¼ 0 in equation A-3, and the calculation result is
substituted into equation A-6 to obtain a theoretical value of the
phase velocity.
During previous research, as cited in the “Introduction” section,
we assumed that the fundamental mode of the Rayleigh waves dom-
inate the wavefield when applying the CCA and nc-CCA methods.
However, if the Rayleigh-wave phase velocities are estimated using
equations A-5 and A-6 under conditions where the contributions of
the higher modes cannot be ignored, then the analysis result
obtained would not be the phase velocity of the fundamental mode;
it would rather be a quantity that takes into account the impact of the
higher modes as described in the above paragraph. Such an estimate
0 is referred to hereinafter as the equivalent phase velocity. A glance
at Figure 3 shows that the theoretical intensity of the first-order
higher mode surpasses that of the fundamental mode in the fre-
quency range between about 1 and 4 Hz and the theoretical values
20
of the equivalent phase velocities are correspondingly approaching
those of the first-order higher mode in that frequency range.
Depth(m)
Figure 4 shows the comparison between the theoretical and
estimated equivalent phase velocities of the Rayleigh waves. This
40
Mode 0
figure indicates that the equivalent phase velocities estimated using
the actual data matches relatively well the theoretically expected
ones over a wide frequency range. The limit on the low-frequency
60 side in the matching range is 3.2 Hz, whereas the corresponding
Mode 3
equivalent phase velocities are 320 m∕s (depicted by an arrow in
the figure), which converts into a wavelength of about 100 m.
10 0 200 400 600 Although not illustrated here, it was confirmed that the obtained
Shear velocity (m/s)
dispersion curve connects smoothly with the dispersion curves from
the microtremor-array observation performed by Cho et al. (2006c).
Figure 5 shows the analysis result for the NS ratio. This figure
suggests that the NS ratio is about 10−4 at 3.2 Hz. It was mentioned
in the previous section that if the NS ratio is about 10−4 , waves with
wavelengths up to 100 m could be analyzed using a miniature array
with radius of 0.6 m (Table 1). This theoretical prediction was
verified by the actual data analysis.
At each frequency, we substituted the obtained value of the NS
ratio and N ¼ 3 into equation 1 to solve for rkmin, which was then
converted into cmax and plotted in Figure 4. In the figure, the esti-
mated phase velocities fit well with the theoretical phase velocities
c max
within the range where the phase velocities are lower than cmax : We
nc-CCA
can estimate the correct value of the phase velocity when the true
CCA
Theoretical
value lies within the range lower than cmax .
It is also seen in Figure 4 that the longest-wavelength resolution
limit of the nc-CCA method is not very different from that of the
CCA method. We will discuss the details on this problem in the
“Discussion” section.
Demonstration conducted in urban areas
10
Miniature array observations were conducted using the JU-215
system at 47 sites in Tsukuba City and surrounding areas of Ibaraki
Prefecture over two periods, between October and November of
2011 and March and April of 2012. The topography of the area
(Wakamatsu et al., 2004) consists of mountainous and hilly areas
at six sites; loam plateaus at 20 sites; and back marsh, delta, natural
levee, and valley bottoms at 21 sites. We intended to include as
 Miniature array analysis KS17

diverse geologic environments as possible by selecting respective
topographical classifications referring to an environmental geology
chart (Unozawa et al., 1988).
Six-point arrays were used at 42 sites, whereas four-point arrays
were used at the remaining five sites. The radius of the miniature
arrays was set to 0.4 m (at 12 sites) or 0.6 m (at 35 sites). These
arrays were installed on an asphalt road or in a parking lot at almost
all sites (41 sites). The remaining sites were at parking lots or
riverbeds with hardened mud.
The arrays were depicted using drawing software, and the images
were printed out at actual size on a sheet of paper using a large
plotter. This sheet was laid down directly on the ground and the
self-noise of JU-215, as Pnoise ¼ −128 dB, to be constant regard-
less of the frequency.
The maximum wavelength that can be handled using miniature
arrays is determined by the NS ratio. Because the NS ratio is the
power spectral ratio between the self-noise of the recording system
and the signal of the microtremors, if the self-noise characteristics
are known and unvaried, and if the microtremor intensity at the
10-1

Noise-to-signal ratio
seismometers were installed as shown in Figure 2 and then covered 10-2
to protect them against the wind. The time required from arrival
at the observation site to retrieval averaged about 30 min.
The manner in which the analyses were conducted, as well as the 10-3
parameter values, were all identical to those for the test site.
10-4
Microtremor levels and resolution of miniature arrays

The power spectral densities of vertical-component microtremors 10-5

at all observation points are shown in Figure 6a. The noise model 0 5 10
(NHNM, NLNM) of Peterson (1993) is also depicted for reference. Frequency (Hz)
Levels higher than NHNM by 10 dB or more (>1 Hz) were
detected at many sites in the urban areas of Tsukuba City. Observa- Figure 5. NS ratio obtained by the data analyses.
tion points in the same figure, where the micro-
tremor intensities were below NHNM, were a) b)
located primarily in mountainous and hilly areas. Total power (All) Incoherent noise (All)
–70 –70
Acceleration power (dB re m 2s –3)

Figure 6b shows the power spectral densities

for the incoherent noise of all array data, which
– 90 – 90
are obtained by multiplying 1∕ð1 þ 1∕εÞ by the NHNM
corresponding power spectra at the center point
–110 –110
of the array. The power of the incoherent noise
remains almost constant (at −128 dB), showing a
–130 –130
slight increase as a function of frequency. The Pnoise
shape of the spectra of the incoherent noise,
–150 –150
which include absolute values, are about the
same as the self-noise characteristics of the NLNM
–170 –170
JA40GA presented by Senna (2011), and are 0.2 1 10 20 0.2 1 10 20
considered here to represent the self-noise of Frequency (Hz) Frequency (Hz)
the recording system.
Because observations were conducted during c) d)
Total power (Failed to retrieve c 40m) Total power (Failed to retrieve c 100m)
day and night, the maximum difference in tem- –70 –70
Acceleration power (dB re m 2s –3)

perature among locations can range up to 10°C, Figure 7c

but no effort was made in this observation to cre-
ate any environment where the temperature in the –90 –90
P100m
vicinity of the seismometers was kept constant. P40m
Furthermore, the time it took for observation
to start after turning on the power supply of –110 –110
the seismometers was, in general, comparatively Figure 7d
short (about 10 min). There was very little varia-
tion with regard to the self-noise of the JU-215 –130 –130
Pnoise Pnoise
system, even under such observation conditions.
It should be noted that, when we interpret the 0.2 1 10 20 0.2 1 10 20
analysis results of the NS ratios in the high- Frequency (Hz) Frequency (Hz)
frequency ranges (above 10 Hz in case of this
figure), the analysis results may be overestimated Figure 6. (a) Power spectral densities of vertical-component microtremors; (b) power
spectral densities of incoherent noise; (c) power spectral densities for the observation
by systematic errors, or the directional aliasing points at which c40 m could not be identified (an array of r ¼ 0.6 m and N ¼ 5). (d)
(Henstrdige, 1979; Cho et al., 2006b): Refer to Power spectral densities for the observation points at which c40 m could be identified
Appendix C for details. We model here the but c100 m could not (r ¼ 0.6 m and N ¼ 5), two of which are also shown in Figure 7.
KS18 Cho et al.
targeted site is known a priori, the resolutions of the miniature
arrays can be evaluated in advance.
Let us consider, for example, whether or not the phase velocity
for the wave with a wavelength of 40 m (hereafter described as
c40 m ) can be identified by a four-point array (N ¼ 3) with a radius
of 0.6 m. First, substitute 0.094 and 3 as the respective values of
rkmin and N that correspond to this setting into equation 1. Solving
this equation for ε yields ε ¼ 7.2 × 10−4 . Next, calculate the power
of the microtremor necessary to identify c40 m (hereinafter ex-
pressed as P40 m ) by multiplying Pnoise by 1 þ 1∕ε, from which
we obtain −97 dB. Therefore, if the microtremor intensity at a tar-
geted site exceeds P40 m ¼ −97 db, this miniature array analysis
should be applicable. Table 2 shows for reference the power spectral
ratios of microtermor intensity and the incoherent noise, which are
necessary to identify c40 m and c100 m , for some patterns of minia-
ture arrays.
Figure 6c shows the power spectral densities for the sites where
c40 m could not be identified (a case where r ¼ 0.6 m and N ¼ 5). It
is evident that, at those sites, microtremor intensities were small and
P40 m was not attained in all cases. These results support the validity
of the consideration given in the above paragraphs. These sites were
located in mountainous and hilly areas.
Figure 6d shows the power spectral densities for sites where c40 m
could be identified but c100 m could not (a case where r ¼ 0.6 m and
N ¼ 5). Line types are changed for easier viewing. The gray line
represents sites where the microtremor intensity did not reach the
power of the microtremor necessary to identify c100 m (hereinafter
expressed as P100 m ) over the entire frequency range. The dotted line
and thin solid line represent the sites where the microtremor inten-
sity did not reach P100 m at less than 5 Hz and 3 Hz, respectively.
This figure indicates that, even when c100 m could not be identified,
it is not necessarily the case that the microtremor intensity was small
over the entire frequency range.
Definitely, the analysis of c40 m could be performed at 91% of all
observation points, whereas c100 m could be analyzed at 51% of all
observation points. Whether or not c100 m could be identified de-
pends on whether or not the microtremor intensity reached
P100 m at the frequency f 100 m. Let us verify this aspect by reviewing
individual analysis examples next.
Individual analysis examples
Figure 7 shows an analysis example of the power spectra and
equivalent phase velocities for individual sites; P40 m , P100 m ,
and Pnoise are also plotted. Respective identification of c40 m and
Table 2. Power spectral ratio of microtremors to self-noise
necessary for the identification of c40 m and c100 m .
r½m
N 10 Log P40 m ∕Pnoise ½dB
10 Log P100 m ∕Pnoise ½dB

0.3 3 37 45
5 35 43
0.6 3 31 39
5 29 37
0.9 3 28 36
5 26 34
c100 m can be expected when f 40 m and f 100 m lie within the
frequency ranges where the powers of microtremors exceed
P40 m and P100 m . The power spectra on the left side of
Figure 7a–7d all indicate that the microtremor intensity exceeds
P40 m in all cases for the frequency ranges higher than 2.5 Hz. Thus,
it should be possible to identify c40 m if the relaxed condition of
f 40 m > 2.5 Hz can be satisfied at respective observation points.
In fact, the panel on the right side indicates that all c40 m could
be identified. Incidentally, straight lines that correspond to the
wavelengths of 40 m and 100 m have also been plotted in the dia-
gram for reference; the intersections of these straight lines and the
dispersion curve correspond to (f 40 m , c40 m ) and (f 100 m , c100 m ),
respectively.
The microtremor intensity reached P100 m only at (a), (b), and (c),
for limited frequency ranges. According to the analysis results of
the phase velocity, c100 m could be identified for (a) and (b), but
it could not be identified for (c). The values of f 100 m were
3.5 Hz and 2.6 Hz, respectively, for (a) and (b); these values
are within the desired range, but it is clear that the value for (c)
exceeded the desired range (f 100 m < 1.7 Hz).
In summary, the microtremor intensity at the observation points
of this experiment consistently exceeded P40 m in the frequency
ranges considered to include f 40 m , which made it possible to iden-
tify c40 m with high probability. The variable c100 m could be iden-
tified only at sites where the microtremor intensities happened to be
strong and had reached P100 m in the frequency ranges over which
f 100 m is distributed (mainly, 2–4 Hz). In other words, the probabil-
ity of identifying c100 m was dominated by the uncertain factor of
microtremor intensity, or, the possibility of identifying c100 m could
be evaluated in advance if the microtremor intensity at a targeted
site was known a priori.
To ensure that c100 m can be identified with high probability,
seismometers with lower self-noise must be used. For instance,
if one uses observation equipment with self-noise levels that are
about two orders lower than the JU-215 system (i.e., −148 dB),
then P100 m becomes −109 dB according to Table 2 when
r ¼ 0.6 m and N ¼ 3; It should be possible to identify c100 m
at all sites other than mountainous or hilly areas, by referring to
Figure 6a, as long as f 100 m is distributed in the frequency range
of 2 to 4 Hz.
Figure 7e and 7f provides examples wherein the interpretation of
analysis results requires particular caution. The equivalent phase
velocities are almost identical to cmax or higher than cmax in value
for these examples. In such cases, the estimates were possibly un-
derestimated due to the upper limit of the estimates being restricted
by the effects of the incoherent noise. It is, therefore, safer to inter-
pret such identification results for equivalent phase velocities as
lower bounds of the estimates.
Again, in Figure 7, the analysis results show that the longest-wa-
velength resolution limits of the nc-CCA method does not tend to be
very different from those of the CCA method as seen in the test site.
DISCUSSION
Benefits of miniature arrays
The most important benefit of miniature arrays is the mobility of
observation. A single observer working on site for about 30 min can
obtain data for an exploration depth of several tens of meters
or more.
 Miniature array analysis KS19

Another important benefit is the fact that pinpoint data can be Methods of using analysis results
obtained. Conventional microtremor array explorations and surface
wave explorations require relatively long measuring lines, even in It was revealed that c40 m can be identified with high probability
cases where the objective was to explore subsurface structures at in the environs of Tsukuba City. When c40 m is identified, the aver-
very shallow depths reaching only a several meters deep, which age S-wave velocity to the depth of 30 m (AVS30) can be obtained
made lowering of the horizontal resolution unavoidable. The reso- based on empirical formulas (e.g., Brown et al., 2000; Konno and
lution in the horizontal direction can be improved by applying the Kataoka, 2000; Martin and Diehl, 2004; Cho et al., 2008b; Albar-
miniature array analysis. ello and Gargani, 2010). Once the parameter AVS30 is obtained, it
The third important benefit is the predictability of analysis limits is possible to use it for a variety of applications, such as converting
(maximum wavelengths). If the self-noise of the recording system is the figures into amplification factors of earthquake motions. Such
known and unvaried, as demonstrated in this study, and if it is pos- simplified analysis is an effective application of miniature array
sible to gain understanding of the microtremor intensity at a targeted analysis, with which large volumes of data can easily be obtained.
site, then it should be possible to get a rough idea of the applicability It is, of course, possible to perform detailed analysis of inferring
of the miniature array analysis by calculating the NS ratio in 1D velocity structures based on the dispersion curves, as with the
advance. conventional microtremor array explorations. Perhaps we have to

a) d)
SSZ/L/Tg, Six-point array, r = 0.4m, c40m = 245m/s , c100m = 345m/s HJO/L/A, Six-point array, r = 0.6m, c40m = 255m/s, c100m = N.A.
–80 1.2 –80 1.2

Acceleration power (dB re m 2s–3 )

Acceleration power (dB re m 2s–3 )

0m
cmax cmax

10
–90

Phase velocity (km/s)

–90
Phase velocity (km/s)

λ=
CCA CCA
nc-CCA nc-CCA
–100 –100 10r
P100m 10r P100m
0.6 3r 0.6 3r 40
m
P40m P40m
–110 –110 λ=
Pnoise Pnoise
Total power Total power
–120 Incoherent noise –120
Incoherent noise

–130 0 –130 0
0 5 10 15 20 0 5 10 15 20 0 5 10 15 20 0 5 10 15 20
Frequency (Hz) Frequency (Hz) Frequency (Hz) Frequency (Hz)

b) e)
KHO/H/Jm, Six-point array, r = 0.4m, c40m = 204m/s , c100m = 257m/s KOKAI/L/A, Six-point array, r = 0.6m, c 40m = 170m/s, c 100m = 290m/s
1.2 –80
Acceleration power (dB re m 2s–3 )

–80 1.2
Acceleration power (dB re m 2s–3 )

0m
0m

10
10

–90
Phase velocity (km/s)

Phase velocity (km/s)

–90

λ=
λ=

–100 –100
m m
40 40
0.6 λ= 0.6 λ=
–110 –110

–120 –120

–130 0 –130 0
0 5 10 15 20 0 5 10 15 20 0 5 10 15 20 0 5 10 15 20
Frequency (Hz) Frequency (Hz) Frequency (Hz) Frequency (Hz)

c) f)
MR4/H/r, Six-point array, r = 0.6m, c 40m = 100m/s, c100m = N.A. HJY/M/t, Six-point array, r = 0.6m, c40m = N.A. , c100m = N.A.
–80 –80 1.2
Acceleration power (dB re m 2s–3 )

1.2
Acceleration power (dB re m 2 s–3 )
0m

0m
10

–90
Phase velocity [km/s)
Phase velocity [km/s)

10

–90
λ=

λ=

–100 m –100
40 m
λ= 40
0.6 0.6 λ=
–110 –110

–120 –120

–130 0 –130 0
0 5 10 15 20 0 5 10 15 20 0 5 10 15 20 0 5 10 15 20
Frequency (Hz) Frequency (Hz) Frequency (Hz) Frequency (Hz)

Figure 7. Examples of analysis. (Left) Power spectral densities. (Right) Equivalent phase velocity and the maximum phase velocity analyzable
(cmax ). Information on observation point code, topographical code (M stands for mountainous and hilly areas; H for loam plateaus; L for back
marshes, deltas, natural levees, and valley bottoms), geologic code (r stands for reclaimed land; A for alluvial formations; t, Tg and Jm for
sediments from the mid and late Pleistocene), array geometry, and c40 m and c100 m are provided on the top of each panel.
KS20 Cho et al.

consider in general the impact of the higher modes because targets
for the miniature arrays mainly include a variety of velocity struc-
tures at shallow depths, which are often intercalated with layers of
very slow velocities. It was revealed at the test site of this study that
the first-order higher mode dominated the wavefield in the fre-
quency range from 1 to 4 Hz (Figure 3). An inverse dispersion ten-
dency was also often seen in other data analysis results (for instance,
about 15 Hz in Figure 7a; 5 to 10 Hz in Figure 7b).
Approaches such as the one employed by Tokimatsu et al.
(1992), for instance, are potentially available to deal with the higher
modes, as indicated by a case at the test site in this study. Taking
into consideration higher modes and using other kinds of data
such as H/V spectra to implement a joint inversion (e.g., Arai
and Tokimatsu, 2005) would improve the estimation accuracy of
subsurface structures.
The CCA and nc-CCA methods
In this study, the analysis limit of the CCA method did not extend
clearly toward the long wavelength side when the nc-CCA method
was used. An exhaustive discussion of the reason for this has been
presented by Tada et al. (2007). An excerpt of essential points in-
dicate that the CCA method with noise compensation is considered
to exhibit higher analysis performance than the noncompensated
CCA method, provided that the estimation errors of the NS ratio
is significantly smaller than the NS ratio itself.
However we can say that, at least, the resolving power of the nc-
CCA method for long wavelengths will not be inferior to that of the
CCA method. In our experience, it sometimes happens that the re-
solving power of the nc-CCA method for long wavelengths is evi-
dently superior to that of the CCA method. Figure 8 illustrates such
an example; the results of miniature array analyses with a radius of
0.4 m at the exact same spot of the test site of this study, but on a
different day and using different equipment. This figure indicates
that the nc-CCA method is able to resolve the wavelengths well
over 160 m, which corresponds to 400 times the array radius,
whereas the analyzable range of the CCA method is restricted
by cmax, with the longest-wavelength limit of about 80 m (200r).
It is also true, on the other hand, that there is no tool for evaluating
the analysis limit of the nc-CCA method. Therefore, we suggest
always adopting the whole methods (i.e., nc-CCA method, the
800
m
CCA method and the evaluation method for the resolution limits
of the CCA method) and interpreting them collectively for better
understanding.
CONCLUSIONS
We suggest observing microtremors by using a miniature array of
vertical-component seismometers with a radius up to 1 m for esti-
mating either average S-wave velocities or 1D S-wave velocity
structures up to several tens of meters underground. We presented,
as tools for analyses, a set comprised of the analysis methods for the
phase velocity (CCA method and nc-CCA method) and the evalua-
tion method for the analysis limit.
We demonstrated miniature array analyses of actual data re-
corded at about 50 points in and around the Tsukuba City, Japan,
where servo-type seismometers, JU-215 manufactured by Hakusan
Corporation were used. We could identify the phase velocities of
Rayleigh waves with a wavelength of 40 m with high probability
(>90%) through thirty-minute observations at each observation
point. We expect that the resolution limit on the longer side of
the wavelengths can be extended by adopting an observation equip-
ment with lower self-noise.
By using miniature array analyses, we can improve the mobility
of observation and the horizontal resolution of shallow subsurface
structures. We can also get a rough idea of the applicability of the
miniature array analysis in advance, by calculating the NS ratio
based on, for example, the information on the microtremor intensity
at a targeted site and the self-noise characteristics of the recording
system.
ACKNOWLEDGMENTS
The observation equipment for Figure 8 was borrowed from
Masayuki Yoshimi.
APPENDIX A
THE CCA AND NC-CCA METHODS
In the CCA method, microtremors are measured using an N-point
array, which is configured by arranging N vertical-component
seismometers on the circumference of a circle with a radius of r.
The record obtained at time t using the jth seismometer is expressed
as dj ðtÞ. The waveform obtained by simple directional averaging of
the record from each seismometer is expressed as

c max
1X N
160

nc-CCA
Phase velocity (m/s)

dave ðtÞ ¼ d ðtÞ; (A-1)

λ=

CCA
N j¼1 j
m

Theoretical
80
=
λ

400
40
m where we assume for simplicity that the N seismometers are equi-
λ=
distantly placed along the circumference. The weight of expðiθÞ
is added to perform directional averaging to derive the complex
waveform, where i is an imaginary unit, and θ is the azimuth of
0 the seismometer:
0 5 10 15


Frequency (Hz)
1X N
2πiðj − 1Þ
dwave ðtÞ ¼ dj ðtÞ exp : (A-2)
Figure 8. Results of the miniature array analysis using four-point N j¼1 N
array with a radius of 0.4 m installed at the test site. The observation
was done from 16:00 to 16:15 on 1 June 2012. The observation
equipment consisted of the moving-coil-type seismometers, SE- These equations are used to calculate the respective power spectral
312, manufactured by Tokyo Sokushin Corporation, and the data density function and the spectral ratio of them (A-1 to A-2), which
loggers, LS8800, manufactured by Hakusan Corporation. is denoted as ρcca . The spectral ratio ρcca for each frequency is
 Miniature array analysis KS21

pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
associated with the wavenumber of the Rayleigh waves as (Cho −B − B2 − 4AC
et al., 2006a) ε¼ ; (A-7)
2A
PM
αl J20 ðrkl Þ þ ε∕N
ρcca ¼ Pl¼0
M α J 2 ðrk Þ þ ε∕N
. (A-3)
l¼0 l 1 l 8
>
> A ¼ −ρ2 ;
The variable M is an order of the maximum mode for the Rayleigh >
< ρ2
B ¼ coh 2 − 2ρ − N :
2 1
waves that exists in the wavefield and the fundamental mode is

counted as the 0th in this paper; Jm ð·Þ is the mth order Bessel func- >
>
>
: C ¼ ρ coh2 − 1
2 1
tion of the first kind, and kl is the wavenumber of the lth mode of
the Rayleigh waves, αl is the power partition ratio of the lth mode to
the total power of the Rayleigh waves, and ε is the NS ratio. The variable ρ is the SPAC coefficient originally defined in Aki
When a single mode is surpassed, the following equation is (1957) and can be obtained by directionally averaging the cross-
obtained by setting M ¼ 0 in equation A-3 (abbreviating the spectral densities between the records on the circumference and
subscript k) at the center point, and then normalizing by the power spectral den-
sity at the center point. Note that we should follow this definition as
J 20 ðrkÞ þ ε∕N
ρcca ¼ ≡ gðrk; ε; NÞ: (A-4) is for the calculation of the NS ratio, although in the practical data
J 21 ðrkÞ þ ε∕N processing for the SPAC method a geometrical mean of the power
spectral densities on the circumference and at the center point is
The CCA method uses the following equation obtained by as-
often used for the denominator to calculate the SPAC coefficient
suming as an ideal condition ε ¼ 0 in equation A-4
(in other words, directional averaging of the complex coherence
is taken as the SPAC coefficient) (e.g., Okada, 2003). The variable
J20 ðrkÞ
ρcca ¼ ¼ gðrk; 0; NÞ: (A-5)
J21 ðrkÞ
In the CCA method, after substituting an observed value of ρcca into
a) b) Analyzable range
Analyzable range
equation A-5, an inverse analysis is executed to obtain rk. Because
104 10 4
the array radius, r, is known, the value of the phase velocity, c, can ρCCA Equation A-5
be obtained through relation c ¼ 2πfr∕rk, where f is the fre- Equation A-4
quency. In our previous researches, we performed inverse analysis
Spectral ratio

102 10 2
over the range where the model function gðrk; 0; NÞ and the argu-
ment rk have one-to-one correspondence, i.e., the range of
100 10 0
0 < rk < rkmax ¼ 2.4, or ranges where the wavelength that corre-
sponds to the array radius exceeds 2.6r (Figure A-1a). We use
the same range of rk in this research.
0.01 rk 0.1 1 rkmax=2.4 0.01 0.1 1
The function (equation A-5) of the noise-free model rapidly in- rkmin
rk rk
creases with the decrease of rk, but in reality, the spectral ratios sub-
ject to the impact of the incoherent noise hits the ceiling at a certain c) d)
level (equation A-4; Figure A-1b and A-1c). Inverse-analyzing rk by
assuming the function of the noise-free model of such a noise- 104 10 4
Analyzable range
ρ CCA0
affected spectral ratio (ρcca of Figure A-1d) leads to overestimation
Spectral ratio

ρ
of rk and, consequently, leads to underestimation of the phase velo- 102
CCA
10 2
city. The point where the noise-affected spectral ratio starts to deviate Equation A-4

from the noise-free model can be defined as the analysis limit rkmin
100 10 0
for the side with smaller rk (long wavelength side) in the CCA
method (Figure A-1b and A-1c).
The nc-CCA method (Tada et al., 2007) is intended for eliminat- rk
0.01 0.1 rkmin 1 0.01 rk0 0.1 1
ing the analysis limit for the long wavelength side of the CCA meth-
rk rk
od. In the nc-CCA method, we obtain the phase velocity using
the following equation, which is deduced by adopting the long-
wavelength approximation of the Bessel function in equation
Figure A-1. (a) The function of the noise-free model that represents
A-4, under an assumption that the wavelength is sufficiently longer the idealized spectral ratio for the CCA method (equation A-5). The
than the array radius r black arrow indicates the image of inverse analyzing rk from the
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi observed spectral ratio ρcca . (b) A case where the realistic spectral
ratios (thin lines) affected by the incoherent noise were drawn over
2 þ ρcca each other. A case of ε ¼ 10−4 was used in equation A-4, where N
c ¼ πfr : (A-6)
1 þ Nε þ ερNcca is set to three, is shown. The gray arrow represents the analyzable
range for the CCA method. (c) The same as in (b), but ε ¼ 10−2 . (d)
An image where the estimates of rk is obtained when the true
We need to estimate the NS ratio, ε, to adopt the above equation. value of the spectral ratio, ρcca0 , is underestimated (ρcca ) due to
The NS ratio ε can be identified by using the following equations the incoherent noise and, as a result, the true value of rk, rk0 , is
(Cho et al., 2006a) overestimated (rk).
KS22 Cho et al.

coh2 is the magnitude-squared coherence (Bendat and Piersol, APPENDIX C

1971) between dave ðtÞ and the center point.
IMPACT OF DIRECTIONAL ALIASING
APPENDIX B FOR EVALUATION OF NS RATIO
ACCURACY OF OBSERVATION EQUIPMENT The omission of information pertaining to the wavefield arising
from replacing a circular array with a three-point or five-point array
Observation equipment for microtremor array analysis is required
is a consequence of biases in the analysis results, referred to as
to exhibit a uniform response to very small signals of microtremors.
directional aliasing (Henstrdige, 1979; Cho et al., 2006b). Direc-
The uniformity of responses is therefore ordinarily checked using
tional aliasing in general surpasses the range of wavelength that
records of local microtremors prior to performing an analysis of
is considered short relative to the array radius.
phase velocities. In the case of this research, a test was done to Let us assume the simplest case involving the surpassing of a
verify the consistency of the records by installing multiple seism- single mode and the arrival of isotropic waves for theoretically eval-
ometers at the same location at the test site based on the following uating the biased estimates of the NS ratio. In this case, although the
three aspects: If the power spectra match well, if the magnitude- true value of coh2 , appearing on the right side of the equation A-7, is
squared coherences are near one, and if the phases match well. expressed as (Cho et al., 2006a)
The results are shown in Figure B-1. The power spectral densities
are extremely consistent, with the four lines overlapping to appear J20 ðrkÞ
as a single line. The magnitude-squared coherences are also gener- coh2 ¼
 ; (C-1)
ally close to one. A detailed study reveals that the coherence values J20 ðrkÞ þ Nε ð1 þ εÞ
depend on the powers of the microtremor and fall below 0.94 in
ranges under 1 Hz, where the powers are low. A value of 0.98
the biased estimate is expressed as
or higher is sustained in the range from 1.1 Hz to 10 Hz. The con-
sistency of the phase was also favorable, with the phase difference J20 ðrkÞ
in relation to the records at the center point remaining within the coh2 ¼
 : (C-2)
P∞
range of 2° and 3° for 10 Hz and 20 Hz, respectively. J 2 ðrkÞ þ ε ð1 þ εÞ
j¼−∞ jN N

To derive equation C-2, equation 114 of Cho et al. (2006b)

Acceleration power (dB re m 2s–3 )

Magnitude-squared coherence

–80 3
1.00 was used.
Phase difference (deg)

–90 We can evaluate the biased estimate of the NS ratio, ε, by sub-

stituting the biased estimate of coh2 , coh2 , in equation A-7. It
–100 0
should be noted that the estimate ε for the NS ratio is overestimated
–110 0.95 by several orders when the value for rk becomes larger (wavelength
becomes shorter) as shown in Figure C-1. Also, the value of rk for
–120 -3
0.2 1 10 20
which the estimate and the true value diverge depends on the value
0.2 1 10 20 0.2 1 10 20
Frequency (Hz) Frequency (Hz) Frequency (Hz) of the NS ratio itself. For example, we can obtain correct estimates
of the NS ratio, not biased by the directional aliasing, only in the rk
Figure B-1. Result of a huddle test. (Left) Power spectral densities ranges smaller than 0.7 and 0.2 (wavelength ranges longer than 9r
of vertical-component records of four seismometers. They are and 31r) when the true values lie at 10−3 and 10−6 , respectively.
overlapped to appear as one line. (Center) Magnitude-squared
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