RR CM 0310

CSIR Centre for Mathematical

Modelling and Computer
Simulation

SEISMIC MICROZONATION:
METHODOLOGY AND
APPROACH

IMTIYAZ A PARVEZ

Research Report CM 0310

NOVEMBER 2003
Bangalore 560 037, India

Seismic Microzonation: Methodology and Approach

Imtiyaz A. Parvez
CSIR Centre for Mathematical Modelling and Computer Simulation
NAL Belur Campus, Bangalore 560037
Abstract:
The spate of Earthquakes in the country has heightened the sensitivity of
administrators, engineers and even lay people to risks due to earthquakes. Many
metropolitan and big cities in India are situated in the severe earthquake hazard threat in
the vicinity of Himalayan region and even in peninsular shield. On January 26, 2001, one
of the most destructive earthquakes ever to strike India occurred in the Kachchh region of
Gujarat in western India. The earthquake was of magnitude 7.7 (Mw) and the damage
was spread over a radius of 400 kilometers including major cities like Ahmedabad,
Bhavnagar and Surat at a distance of 240 km, 275 km and 350 km respectively. One can
not ruled out a similar threat to Delhi the capital from local and probable catastrophic
earthquake due in central Himalaya. There are several other cities like Mumbai, Kolkata,
Dehradun, Guwahati and many more sitting in thick sedimentary basins along IndoGangetic plane and Bramhaputra valley.
To mitigate the seismic hazard, it is necessary to define a correct response in
terms of both the peak ground acceleration and spectral amplification. These factors are
highly dependent on the local soil conditions and on the source characterization of the
expected earthquakes. This is the time to learn a lesson from Bhuj earthquake and to go
for a detailed seismic ground motion modeling for microzonation studies in large urban
areas and metroplotan cities of India. The present paper will discuss these issues, the
methodologies and some example of site-effects in Delhi city.
Key words: seismic microzonation, site effects, megacities, peak ground acceleration.
Introduction:
A quantitative ground motion prediction is a key for assessing and mitigating the
earthquake disaster. Three major factors that control the level of strong ground motion
are source, path and site effects. Among them, site effects have sometimes played
principal role on damage to buildings, as seen from the Mexico, Kobe, Loma Prieta, Izmit
and very recently Bhuj earthquakes. It is inevitable to validate the effects of local site for
estimating strong motions and mitigating earthquake disaster. For the purpose, it is
keenly required to develop the method for characterizing site effects and to understand
soil behaviors during strong shaking. As it has been observed from many earthquake
scenarios, the major damage to the buildings and man-made structures is mostly found in
the area of soft sediments. The constructive interference of incoming waves due to the
effect of 2D or 3D geological structure produced very strong ground motions. One of the
basic problems associated with the study of seismic zonation/microzonation is to
determine the seismic ground motion, at a given site, due to an earthquake with a given
magnitude (or moment) and epicentral distance. The ideal solution for such a problem
could be to use wide database of recorded strong motions and to group those

accelerograms that have similar source, path and site-effects. In practice, however, such a
database is not available particularly to the country like India. Actually, the number of
recorded signals is relatively low and the installation of local arrays in each zone with a
high level of seismicity is too expensive an operation that requires a long time interval to
gather statistically significant data sets. Alternatively, one has to choose some analytical,
empirical or numerical solutions based on theoretical knowledge of seismic waves, their
propagation and excitation due to soft sedimentary layers.
Methodology:
There are several methods proposed to investigate the behaviour of soft
sedimentary structure to the excitation of seismic waves. The most common procedure,
introduced by Borcherdt (1970), and applied by numerous researchers, is to compare the
spectra of seismograms of earthquakes with the ones obtained at a nearby reference
station located on competent bedrock. The factors of epicentral distance and source
radiation, therefore, are practically the same for both neighbouring sites and the
differences in the response can be ascribed to the local geological or topographical
characteristics of the site. This technique needs the occurrence of earthquakes and to
assume that the radiation pattern and epicentral distances for both the sites are similar.
Besides it is needed to deploy instruments at all the sites of interest.
Nakamura (1989) developed a simple technique based on the ratio of the spectra
of the horizontal to the vertical components of ground motion generated by microtremors
or ambient noise. Lermo and Chavez-Garcia (1994) indicate that the method assumes that
the surface layers do not amplify the vertical tremor. Besides it is assumed that, for a
wide range of frequencies, the ratio of the horizontal to the vertical spectrum at the base
of the system, has a value near unity. According to them, this later assumption was
experimentally verified by Nakamura using microtremors recorded in a borehole. Thus,
Nakamura concluded that the spectral ratio between the horizontal and vertical
component of motion in the same site can be used as an estimate of site effects for
internal waves.
Despite the apparent appeal of Nakamuras method (source, radiation patterns,
directivity and path effects are discarded), the validity of its results and assumptions has
not yet been established, especially with complex and deep soft layered structures. Field
and Jacob (1993) worked a 3D model in a simpler layer on a half space with
microtremors under a random distribution in space and time of forces applied in selected
points on top of the layer. By using Green functions, the horizontal and vertical
amplitudes were evaluated and compared with the response spectrum at the surface for
the incident SH waves to vertical plane. The peak frequency in both the cases was
coincident with the resonance natural frequency of the layer for shear waves vertically
incident. Lachet and Bard (1995) concluded that Nakamuras technique may be used to
determine the natural resonance frequency of a soft layer, but it fails to predict the
amplification of surface waves. Moreover, they showed that the natural frequency of the
layer obtained with Nakamuras technique and ambient noise simulations is independent
of the excitation source, dependent of Poissons ratio and controlled by the polarization

curve of the Rayleigh waves. However, the method based on the assumption, not always
fulfilled, that the propagation of the vertical component of motion is not perturbed by the
uppermost surface layers, and can therefore be used to remove source and path effects
from the horizontal components. This method produced some unsatisfactory results, as
verified in recent severe earthquakes.
As a matter of fact, instead of waiting for data accumulation, either based on the
computation of the spectral ratio between the signal recorded at soft soil and nearby
bedrock site, or generation of microtremors of ambient noise to be used for H/V ratio
technique, it is more wiser to apply the preventive tool given by realistic modeling, based
on computer codes developed from the knowledge of the seismic source and of the
propagation of seismic waves associated with the given earthquake scenario. With such
approach, source, path and site effect are all taken into account and a detailed study of
wave field that propagates at large distances from the epicenter is possible. Actually, the
realistic modeling of ground motion requires simultaneous knowledge of the
geotechnical, lithological, geophysical parameters and topography of the medium, on one
side, and tectonic, historical, palaeoseismological, seismotectonic models, on the other,
for the best possible definition of the probable seismic source. The initial stage of the
realistic modeling is thus devoted to the collection of all available data concerning the
shallow geology, and the construction of a three-dimensional structural model to be used
in the numerical simulation of ground motion.
A powerful hybrid technique has been developed by Fh et al., 1993a and 1993b
which combines the modal summation (Panza, 1985; Panza and Suhadolc, 1987; Florsch
et al., 1991; Panza el al., 2001) and Finite-difference scheme (Virieux, 1984; 1986;),
exploiting both the methods to their best. However, the most fundamental data like
geotechnical information, S-wave velocity structure at a site where a prediction of ground
motion is required, are generally insufficient, therefore, the reliability of the modeling of
strong ground motion due to 2D/3D structure is highly dependent on the structure of
shallow geology over the bed rock. There are several exploration technique used to obtain
the S-velocity structure but the conventional seismic methods are difficult or impossible
to implement in urban areas or environmental sensitive areas. To overcome this
difficulty, recently very popular technique of Microtremor Array Observation is being
applied which makes use of microtremors (ambient noise) found in abundance anywhere
in the surface of the earth. The Array Measurement of Mirotremors to obtain the Svelocity structure of surface geology, H/V ratio technique and Numerical simulation
technique to ground motion simulation will be discussed in the next part.

Array Measurement of Mirotremors

Array observations of the vertical component of microtremors are frequently
conducted to estimate subsurface structures as a shear-wave velocity distribution in urban
or environmentally sensitive areas. A key technique developed to comply with the desire
is the microtremor survey method (Okada, 1998; Okada et al., 1990) which makes use
of microtremors found in abundance anywhere on the surface of the earth; that is, the

frequency-wave number power spectral method (f-k method) (Asten and Henstridge,
1984; Horike, 1985; Matsushima and Okada, 1990; Yamanaka et al., 1999) and the
spatial autocorrelation (SPAC) method (Aki, 1957; Henstridge, J.D., 1979; Okada, 1998).
In recent years both the methods have become of major interest as a tool that could yield
more quantitative information such as shear-wave velocity and thickness of sediments
over basement. Both f-k and SPAC methods are based on the assumptions that
microtremors are a spatiotemporally stationary stochastic process. The f-k method is an
application of the technique developed to detect nuclear explosion using a seismic
network with a diameter as large as 200 km. The statistical parameter called the
frequency-wavenumber power spectral density (f-k spectrum) played a central role in the
detection of nuclear explosions. Its principle is to detect relatively powerful seismic
signals from noise and it can separate multimode surface waves as well as body waves,
but it requires a seismometers array with sets of stations that are distributed uniformly in
azimuth, with a variety of distances between stations to ensure high resolution estimates
for the f-k power spectrum. This technique requires large number of stations in the array
at least seven for reliable results (Kudo et al., 2002).

Figure 1. A flow of observation and analysis in the SPAC method for estimating S-wave velocity
structures using Array observation of microtremors (after Kudo et al., 2002)

On the other hand, SPAC method requires fewer stations (practically three or four
stations as a minimum requirement) and is based on the theory developed by Aki (1957).
He gave a theoretical basis of the spatial autocorrelation coefficient defined for
microtremors data and developed a method to estimate the phase velocity dispersion of
surface waves contained in microtremors using a specially designed circular array.
Henstridge (1979) also introduced a licit expression of the relationship between the
spatial autocorrelation coefficient and the phase velocity of fundamental-mode Rayleigh
waves. Okada (1998) extended it to an exploration method and is currently called the
SPAC method. The flow of the observation and analysis in applying the method is
shown in figure 1.
For a circular array of stations for microtremor observation, let us represent
harmonic waves of frequency
of microtremors by the velocity wave forms
u (0,0, , t ) and u ( r , , , t ) observed at the centre of the array C (0,0) and at point
X ( r , ) of the array. The spatial autocorrelation function is defined as

( r , , ) = u (0,0, , t ).u (r , , , t ),

(1)

where u (t ) is the average velocity of the wave form in the time domain. The
is defined as the average of the autocorrelation
spatial autocorrelation coefficient
function in all directions over the circular array:

(r, ) =

1
( r , , ) d
2 . (0, ) 0

(2)

where (0, ) is the SPAC function at the centre C(0,0) of the circular array. By
integration of equation (2) one can find

(r, ) = J 0

r
c( )

(3)

where J0(x) is the zero-order Bessel function of first kind of x and c( ) is the
phase velocity at frequency . The SPAC coefficient (r , ) may be obtained in the
frequency domain using the Fourier Transform of the observed microtremors:

(r, ) =

1
2

Re [S CX ( , r , )]
S C ( ).S X ( , r , )

(4)

where S C ( ) and S X ( , r , ) are the power spectral densities of microtremors at

sites C and X respectively, and S CX ( , r , ) is the cross spectrum between ground
motions at these two sites. Thus the SPAC coefficients may be obtained from averaging
normalized coherence function defined as the co-spectrum between point C and X in the
direction . From the SPAC coefficients ( r , ) , the phase velocity is obtained for

every frequency from the Bessel function argument of equation (3), and the velocity
model can be inverted.
By numerical simulations using array of seven stations, as shown in figure 1,
Miyakoshi et al., 1996 concluded that the observable maximum wavelength is
approximately 10 times the array radius by the SPAC method, independent of the
directions of the waves and their numbers; and roughly five times or the less of the array
radius by the f-k method in the case of plural wave-propagations. The observable
minimum wavelength, which is essentially limited by the spatial aliasing or by the
minimum distance between stations, has no significance difference between the SPAC
and f-k methods (Okada, 1998)
Nakamura H/V ratio technique for resonance frequency

The other most popular technique of Nakamura (1989) is very widely used to
obtain quick Microzonation map of any large urban area with the use of microtremor
measurements for the estimation of resonance frequency and site-effects. However, the
site amplification obtained by this technique is questionable, as reported in many papers.
This technique has been described in several papers and is based on the assumptions for
the fundamental characteristics of microtremors.
Usually it is assumed that the transfer functions of surface layers can be given by
the ratio

ST =

HS
HB

However, considering the great contribution of Rayleigh wave propagation for the
ambient noise, it will be necessary to convert the ratio HS/HB, in order to estimate a
transfer function for microtremor measurements. Assuming that the vertical tremor is not
amplified by the surface layers (figure 2), the ratio ER defined below should represent the
effect of the Rayleigh wave on the vertical motion.

ER =

VS
VB
VS

Surface

HS
LR

Soft Layer

VB

Substratum

HB

Figure 2. Illustration of the simple model assumed for the interpretation of microtremor H/V ratio
as defined by Nakamura (1989)

Assuming that the effect of the Rayleigh wave is equal for vertical and horizontal
components, it is possible to define a corrected modified spectral ratio,

SM =

ST
H HB
= S
ER
VS VB

As a final condition it is assumed that for all frequencies of interest

HB
=1
VB
Thus, an estimate of the transfer function is given by the spectral ratio between
the horizontal and the vertical components of the motion at the surface

SM =

HS
VS

Some of the above conditions were already tested, experimentally and

theoretically by different authors (Jensen, 2000; Bour et al., 1998; Teves-Costa et al.,
1995; Lerno and Chavez-Gacia, 1994; Nakamura, 1989 etc.).
Numerical Simulation of Strong Ground Motion:

Fh et al., (1993a, 1993b) developed a hybrid method that combines the modal
summation technique, valid for laterally homogeneous anelastic media, with finite
difference that include the lateral heterogeneity of the 2-D subsurface geological structure
and optimises the use of the advantage of both methods. The modal summation technique
is applied to simulate propagation from the source position to the sedimentary basin or
the local irregular feature of interest and the finite difference method is used in the
laterally heterogeneous part of the structural model, which contains the sedimentary basin
(See Figure 3).
This hybrid approach allows us to calculate the local wavefield from a seismic
event, both for small (a few kilometers) and large (a few hundreds of kilometers)
epicentral distances. The use of the mode summation method helps to include an
extended source, which can be modelled by a sum of point sources appropriately
distributed in time and space. This allows the simulation of a realistic rupture process of
the fault. The path from the source position to the sedimentary basin or the local
heterogeneity can be approximated by a structure composed of flat 1-D homogeneous
layers. The finite difference method applied to treat wave propagation in the sedimentary
basin, permits to modelling of wave propagation in complicated and rapidly varying 2-D
velocity structures. The coupling of the two methods is carried out by introducing the
resulting time series obtained with the mode summation method into the finite-difference
computations. The ground motion time series computed for the 1-D modal contain all
possible body waves and surface waves consistent with the pre-assigned phase velocity
and frequency interval. To excite the finite-difference grid, ground motion time series are
computed at adjacent points lying on one side of the 2-D part of the model and sampling
different depths along two vertical lines that belong to the regular grid used for
discretization of the medium (Fh et al., 1990). In this way the seismic wavefield

generated and propagated in the 1-D medium is used to excite the 2-D part of the
structural model.

Figure 3. Schematic diagram of the hybrid (Modal summation and finite difference
method).

The anelasticity is treated in the finite difference computations by introducing into

the equation of motion a convolution term. This additional term is represented by a
system of differential equations that define a low-order rational function. This function
approximates the viscoelastic modules of the generalized Maxwell body and is
introduced into the stress-strain relation. The solution of this equation developed as a
system of n ordinary differential equations of the first order is possible using a numerical
algorithm if the quality factor is constant within a defined frequency band. For the SH
wave propagation, the computation scheme follows Emmerich and Korn (1987), for PSV case by Emmerich (1992). Furthermore, the ground agreement of the 1-D analytical
and hybrid method results allows establishing to which depth the grid as to be extracted
to guarantee the completeness of all the signals introduced into the 2-D model. In this

way, it is possible to study the wave propagation in 2-D heterogeneous media, as

sedimentary basins, with a significant accuracy in computations (Panza et al., 2001)
The initial stage of this work requires collection of all available data concerning
the shallow geology, and the construction of cross-sections along which to model the
ground motion. It is a multidisciplinary activity by nature, since the required information
is obtained from different disciplines, as seismology, history, archaeology, geology and
geophysics. Final product is a map of expected ground motions, which in turn constitutes
the basis for realistic modeling of ground motion Thus, a complete database in terms of
hazard parameters can be constructed immediately, until more experimental evidence and
recordings become available. This database would then, naturally be updated
continuously by comparison with incoming new experimental data.
Numerical simulation of ground motion for site-effects in Delhi city: an example

Delhi represents a typical example of a megacity, which is under severe seismic

threats not only from the local earthquakes but also from the Himalayan earthquakes,
located just 200-250 km from the city. The city has already suffered serious damages in
the past because of the degraded conditions of the historical built environment, and
because of severe local site amplification. In the present scenario, the high density of
population and the kind of built environment increase the vulnerability of many parts of
this megacity. Such vulnerability may be reduced through the retrofitting of ancient
buildings and monuments and through the design of reinforced concrete structures that
are able to better resist the high amplitudes of the seismic ground motion. Sound antiseismic construction requires the knowledge of seismic site response, both in terms of
peak ground acceleration and response spectral ratio.
Parvez et al., 2002a, 2002b & 2004 have worked on site specific microzonation of
Delhi city using hybrid technique discussed above for realistic modeling of ground
motion along 2-D structures. They generated synthetic seismograms along two
representative geological cross-sections in Delhi City, the NS cross-section runs from
ISBT to Sewanagar and another EW cross-section from Tilak Bridge to Punjabibagh.
These profiles, initially available up to 30-35 m of depth, have been further extended
down, to approximate the bedrock depth level, using Iyengar (2000) data. The details of
the material properties of these cross-sections are given in Parvez et al., 2002a, 2002b &
2004.

Figure 4: The NS Cross section and corresponding synthetic strong motion records computed for
1720 earthquake. The maximum amplitude value in cm/sec2 is also indicated.

The synthetic seismograms (SH- and P-SV-waves) have been computed with the
hybrid method for an array of 100 sites regularly spaced, every 100 meters, along the NS
cross section for a source of July 15, 1720 (M =7.4). Figure 4 shows the three-component
synthetic strong motion accelerograms computed which clearly define the trend of the
amplification effects which very well reflect the geometry of the cross section models.
Peak acceleration (AMAX) of 1.6 g is estimated in the transverse component at 10.2 km
of epicentral distance from the source which is a quite large value and represents a severe
seismic hazard, as it can be expected in the epicentral area of an event of magnitude 7.4.
We believe that the peak value within 10 km of epicentral distance is saturated for a large
event in terms of damage/ground motion like what is observed at the epicenter. Such high
values of AMAX are in agreement with the reports of the damage caused by the 1720
earthquake (Iyengar, 2000). The radial components of ground motion exhibit peak values
in the range from 0.41 to 0.59 g, and the vertical components reaches similar peak
amplitudes, in the range from 0.42 to 0.43 g.

10

(14.0, 4.7, 3.6)

(18.0, 2.8, 5.7)

(18.2, 3.6, 6.1)

Figure 5: The NS cross-section and the corresponding plot of response spectra ratio (RSR) versus
frequency. The numbers in brackets represent in order the distance in km, frequency in Hz and value of
peak RSR, where maximum amplification is found.

The response spectra ratio (RSR), i.e. the response spectra computed from the
signals synthesized along the local model normalized by the response spectra computed
from the corresponding (same epicentral distance) signals synthesized for the regional
bedrock model, is another parameter known as site amplification, relevant for earthquake
engineering purposes. The distribution of RSR as a function of frequency and epicentral
distance along the profile, up to a maximum frequency of 5 Hz is shown for the three

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components in figure. For each component of motion, the numbers in parenthesis identify
the maximum amplification. In order, the distance from the source in km, the frequency
in Hz and the value of RSR are given. A 5% damping of the response spectra is
considered since reinforced concrete buildings are already or will be built in the area.
There are sites, where the amplifications are relevant in all the three components, even if
the maximum amplifications are always found in the horizontal components. The RSR is
5 to 10 in the frequency range of 2.8 to 3.7 Hz, for the radial and transverse components
of motion. The amplification of the vertical component is large at high frequency (> 4
Hz) whereas it is negligible in lower frequency range.
Acknowledgement:

The author is thankful to Dr. Gangan Prathap, Scientist-in-Charge, C-MMACS

for his support and permission to publish this article.
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