GeoCongress 2012 © ASCE 2012 2776

Analysis of Surface-wave Data Including Higher Modes

Using the Genetic Algorithm

K. Hayashi

Geometrics, 2190 Fortune Drive, San Jose, CA 95131; PH (408) 954-0522; FAX
(408) 954-0902; email: khayashi@geometrics.com

ABSTRACT
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Analysis of surface wave data generally assumes that a dispersion curve

mainly consists of a fundamental mode. Higher modes may dominate in several types
of velocity structures, such as a model in which a high-velocity layer overlays on a
low-velocity layer or a model in which a high-velocity layer is embedded in low-
velocity layers. In these types of complex velocity structures, higher modes may
dominate in particular frequency range and observed dispersion curves look very
complex. It is generally difficult to separate the fundamental mode and the higher
modes correctly and traditional inversion methods based on the Jacobiam matrix
cannot be applied. In order to overcome these difficulties, we have developed a new
inversion method using a genetic algorithm (GA). In this new method, phase
velocities and relative amplitude for the fundamental and higher modes are
calculated. For each frequency, residual between observed and theoretical phase
velocities is defined as the difference of an observed phase velocity and a synthetic
phase velocity that has maximum relative amplitude in all modes. The GA is applied
to obtain a velocity model that provides minimum residual. In this paper, we describe
typical examples of dispersion curves in which higher modes dominate. Secondly, the
theory of the new inversion method and numerical examples are shown. Finally,
application of the new method to an engineering site investigation is demonstrated.

INTRODUCTION

It is well known that a phase velocity of surface waves (Rayleigh waves)

reflects the S-wave velocity of the ground. Over the past few decades, a considerable
number of studies have been made of the development of seismic methods using
surface waves. The first researcher to give much attention to the high frequency
surface waves is Aki. He investigated microtremors as surface waves and proposed
the theory of spatial auto-correlation (SPAC) (Aki, 1957). A microtremor array
measurement (MAM) based mainly on SPAC was developed by Okada in order to
estimate deep S-wave velocity structures. Okada (2003) summarized the detailed
theory of MAM and provided an example of actual field data. Tokimatsu studied the
development of seismic methods using active-source surface waves. Tokimatsu
(1997) summarizes his enormous effort to develop active-source surface wave
methods. The Kansas Geological Survey (KGS) developed Tokimatsu’s active-source
surface wave method further and proposed the multi-channel analysis of the surface-
waves (Park et al., 1999). The multi-channel approach has greatly improved accuracy
and reliability of surface-wave methods. The KGS has also proposed a two-

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dimensional survey method using surface waves (Xia et al., 1999). Their enormous
effort to develop surface wave methods has inspired many researchers. The most
important theory in surface wave methods is the calculation of phase-velocity for
layered velocity models. Saito (1979) and Saito and Kabasawa (1993) have
developed an efficient method for phase velocity calculation.
Most surface wave methods have assumed that a dispersion curve mainly
consists of the fundamental mode and analysis including higher modes remained at a
research stage. The higher modes may, however, dominate in several types of
velocity structures, such as a model in which a high-velocity layer overlays on a low-
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velocity layer or a model in which a high-velocity layer is embedded in low-velocity

layers. What seems to be lacking is that a development of analysis including the
higher modes and application of these methods to real engineering problems.
Therefore, we have started the development of an analysis including higher modes
and applied the method to real engineering problems.

EXAMPLE OF OBSERVED WAVEFORM DATA

Figure 1 and 2 show examples of waveform data and their phase velocity
images in the frequency domain.
The waveform data in Figure 1 was recorded at an alluvium plain where a
high-velocity thin layer overlays a low-velocity peat layer. In the phase-velocity
image (Figure 1b), above 5 Hz, phase velocity increases as frequency increases but
the dispersion curve is discontinuous at frequencies above 10 Hz. This type of
dispersion curve cannot be explained by a fundamental mode of Rayleigh waves.
This type of dispersion curve and a velocity model are noted as Case-1 in following
discussion.
Source= -0.5m Time (msec)
a) 0 200 400 600 800 1000 1200 1400 1600 1800 2000 a) Source= -1.0m
0 200 400 600 800
Time (msec)
1000 1200 1400 1600 1800 2000

0 0
2 2
4 4
6 6
8 8
Distance (m)

Distance (m)

10 10
12 12
14 14
16 16
18 18
20 20
22 22
24 24

sxif0501.sg2 shot_460.5m_BPF_Median.sg2
300
b)
200
180
b) 280
260
160 240
220
140 200
Phase-velocity(m/s)
Phase-velocity(m/s)

120 180
160
100 140
80 120
100
60 80
40 60
40
20 20
0 0
0 10 20 30 40 50 60 0 10 20 30 40 50
Frequency(Hz) Frequency(Hz)
Figure 1. Observed waveform (a) and its Figure 2. Observed waveform (a) and its
phase velocity image (b) for a model Case-1. phase velocity image (b) for a model Case-2.

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The waveform data in Figure 2 was recorded at a tidal flat where a high-
velocity thin sand or gravel layer is embedded in low-velocity soft clay layers. In the
phase velocity image (Figure 2b), a dispersion curve is clearly discontinuous at a
frequency of 10 Hz and greater. It is obvious that phase velocities above 10 Hz are
not the fundamental mode. Above a frequency of 10 Hz, there is a vague dispersion
curve below a phase velocity of 100 m/sec. This vague dispersion curve may be the
fundamental mode of Rayleigh waves. It is difficult, however, to use this vague
dispersion curve for inversion of the fundamental mode. This type of dispersion curve
and a velocity model are noted as Case-2 in following discussion.
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S-wave velocity models that generate similar phase velocity images shown in
Figure 1 and 2 have been obtained by trial and error. Figure 3 shows estimated
velocity models. Figure 4 shows theoretical waveforms (a and b) for models
calculated by the discrete wave number method (DWM) (Bouchon and Aki, 1977)
and phase velocity images (c and d) for these theoretical waveforms are calculated by
the multi-channel analysis of surface waves (MASW) method. DWM can calculate
the full waveform including body waves using the same source-receiver configuration
and we can consider these waveforms as exact replicates of observed data in terms of
phase velocity and amplitude. We can see that the theoretical phase velocity images
(Figure 4c and 4d) look similar to the observed phase velocity images shown in
Figure 1b and 2b.

INTERPRETATION OF DISPERSION CURVE IN TERMS OF NORMAL

MODE

As mentioned before, complex dispersion curves cannot be explained by a

fundamental mode of Rayleigh waves. Complex curves are sometimes discontinuous
and it seems that several different modes compose these dispersion curves. We
investigate these complex dispersion curves further in terms of a Normal Mode
Solution (NMS), including higher modes, by solving a characteristic equation of
Rayleigh waves (Saito and Kabasawa, 1993). Both phase velocity and relative
amplitude are calculated for each mode of Rayleigh waves. The NMS only takes into
account surface waves and a source at infinity is assumed.
Figure 5 shows fundamental and higher mode dispersion curves and their
relative amplitude for the velocity models shown in Figure 3 with phase velocity
images for theoretical waveform data calculated by DWM. In Figure 5, solid lines
indicate dispersion curves, broken lines indicate relative amplitudes, and white circles
indicate phase velocities whose amplitude is maximum at each frequency. We see
from these figures that observed dispersion curves can be explained as phase
velocities whose amplitude is maximum at each frequency and discontinuity of
dispersion curves is associated with transition from one mode to another mode. It
should be noted that the fundamental mode cannot be observed through the whole
frequency range. It is also important that the mode to which observed phase velocities
belong may be difficult to recognize in actual observed data.
We may, therefore, reasonably conclude that higher modes may dominate at
complex velocity models such as a model in which a high-velocity thin layer overlays
a low-velocity layer or a model in which a high-velocity layer is embedded in low-

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S-velocity(m/s) S-velocity(m/s)
a) 0
0 20 40 60 80 100 120 140 160 180 200 220 240 b) 0 20 40 60 80 100 120 140 160 180 200 220 240
0

1 2

2 4

3 6

4 8
Depth(m)

Depth(m)
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5 10

6 12

7 14

8 16

9 18

10 20

Figure 3. Estimated velocity models for Case-1 (a) and Case-2(b)

obtained by try and error.

a) Source= -0.5m Time (msec)

b) Source= -0.5m Time (msec)
0 200 400 600 800 1000 1200 1400 1600 1800 2000 0 200 400 600 800 1000 1200 1400 1600 1800 2000

0 0
2 2
4 4
6 6
8 8
Distance (m)
Distance (m)

10 10
12 12
14 14
16 16
18 18
20 20
22
22
24
24
Case-2_Theoretical_waveform_data_512.sg2
Case-1_Theoretical_wavefomr_data_512.sg2
200 300
c) 180 d) 280
260
160 240
140 220
200
Phase-velocity(m/s)
Phase-velocity(m/s)

120 180
100 160
140
80 120
100
60 80
40 60
40
20 20
0 0
0 10 20 30 40 50 60 0 10 20 30 40 50
Frequency(Hz) Frequency(Hz)

Figure 4. Theoretical waveform and its phase velocity image for

Case-1 (a and c) and Case-2 (b and d).
velocity layers. In these complex velocity models, an observed dispersion curve can
be considered as a series of phase velocities whose amplitude is maximum at each
frequency. The fundamental mode may not be observed through whole frequency
range and a conventional inversion based on the fundamental mode simply cannot be
applied.

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200
a)
180

160

140
Phase-velocity(m/s)
120

100

80
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60

40

20

0
0 10 20 30 40 50 60

Frequency(Hz)
300
b) 280

260

240

220
Phase-velocity(m/s)

200

180

160

140

120

100

80

60

40

20

0
0 10 20 30 40 50
Frequency(Hz)
Figure 5. Fundamental and higher mode dispersion curves (solid lines) and their
relative amplitude (broken lines) with a phase-velocity image of theoretical
waveform data calculated by the DWM for Case-1 (a) and Case-2 (b).
Here, we propose an alternative inversion that uses phase velocities with
maximum amplitude at each frequency in order to estimate S-wave velocity models
in such complex geological situations. In this method, maximum amplitude phase
velocities are compared with observed phase velocities obtained through MASW.

INVERSION USING GENETIC ALGORITHM

Several researchers (e.g. Xia et al., 2000; Supranata et al., 2007) have already
proposed inversion methods including higher modes of Rayleigh waves. They

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introduced an inversion method that assigns mode number to each observed phase
velocity data and compares the assigned phase velocity with each mode of theoretical
phase velocity. Assigning mode number, however, may be difficult for actual
observed data as shown in Figure 1 or 2. In our proposed method, observed data is
defined as maximum amplitude phase velocity in each frequency of phase velocity
image calculated by MASW. Observed phase velocities are compared with
theoretical phase velocities defined as the maximum amplitude mode at each
frequency as described above. The method uses a NMS for theoretical phase velocity
calculation and assumes a source is located at infinite distance. It takes into account
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only surface waves and neglects body waves. Calculating the full waveform using
actual source-receiver geometry is more accurate as O’Neill (2004) proposed. Most
of full-waveform calculation requires long computation time however, and we
concluded that NMS is the best method for our forward modeling.
Observed dispersion curves including higher modes may look discontinuous
due to the transition of modes as mentioned above. Our theoretical dispersion curve is
defined as phase velocities as the maximum amplitude mode at each frequency.
Theoretical calculation shows that the maximum amplitude is very sensitive to small
changes in velocity. This means that a maximum amplitude mode can easily cross
from one mode to another mode and the partial derivative cannot be calculated for
theoretical phase velocities. Conventional inversion methods for dispersion curves
generally use an iterative non-linear least squares method and calculation of partial
derivatives is required. Our dispersion curves, both observed and theoretical, can be
discontinuous and the conventional least squares method based on the partial
derivatives cannot be applied because the partial derivative cannot be calculated for
discontinuous data.
In order to estimate velocity models without the calculation of partial
derivatives, we introduce a genetic algorithm (GA). The method is characterized as a
global search method and can avoid local minima to which the inversion of
dispersion curve may fall. Several researchers have been applied GA to the inversion
of dispersion curves (e.g. Yamanaka and Ishida, 1996). One clear disadvantage of GA
is that the method requires a large amount of forward modeling compared to the
conventional iterative non-linear least squares method. From this point of view, the
NMS is much better than the full-waveform calculation for forward modeling of
inversion.
Figure 6 shows theoretical dispersion curves calculated by DWM (full
waveform) compared with phase velocities with the maximum amplitude mode
calculated by the NMS. The phase velocities agree very well which indicates that the
NMS can be used for forward modeling for dispersion curve inversion using higher
modes. We combine the NMS with GA and apply them to numerical data and real
site investigation in next sections.

NUMERICAL EXAMPLE

Dispersion curves shown in Figure 6 calculated by DWM (solid lines) are

used as observed data. Figure 7 shows initial S-wave velocity models created by a
simple wavelength transformation in which wavelength is calculated from phase

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120 300
a) 110 b) 280
260
DWM
Normal mode
100 Wave-length=23m
240
90 220 Wave-length=1m

Phase-velocity(m/s)
Phase-velocity(m/s)
80 200
70 180
160
60
140
50 120
40 100
30 DWM 80
Normal mode 60
20
Wave-length=23m 40
10 Wave-length=1m 20
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0 0
0 10 20 30 40 50 60 0 10 20 30 40 50
Frequency(Hz) Frequency(Hz)

Figure 6. Dispersion curves calculated by DWM and NMS for Case-1

(a) and Case-2 (b).
a) S-velocity(m/s)
b) S-velocity(m/s)
0 20 40 60 80 100 120 140 160 180 200 220 240 0 20 40 60 80 100 120 140 160 180 200 220 240
0 0

1 2

2 Initial model 4

3
λ/3 6
Minimum
4 8
Maximum
Depth(m)
Depth(m)

5 10

6 12
Initial model
7 14
λ/3
8 16 Minimum

9 18 Maximum

10 20

Figure 7. Initial S-wave velocity models and GA search areas Case-1

(a) and Case-2 (b).
velocity divided by frequency, then divided by three, and plotted at depth. S-wave
velocity models are represented as 15 thin layers and the S-wave velocity of each
layer is optimized by GA. The search area of S-wave velocity in GA is set to ±50% of
the initial S-wave velocity. The number of the population and generations are 200,
the number of bit is 5, and the mutation and crossover probability is 70%. When the
next generation is reproduced, the best member who has minimum residual is always
reproduced for the following generation in our inversion. The number of higher
modes in NMS is up to 15 modes.
The calculation is performed 15 times with different first generation members.
Figure 8 shows the velocity models that have a minimum residual and Figure 9 shows
a comparison of observed (calculated by DWM) and theoretical (calculated by NMS)
dispersion curves. Although the obtained velocity models are smoother compared
with true models, we can see that almost true-velocity models are obtained and the
residual between observed and theoretical dispersion curves is much smaller than the

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a) S-velocity(m/s) b) S-velocity(m/s)
0 20 40 60 80 100 120 140 160 180 200 220 240 0 20 40 60 80 100 120 140 160 180 200 220 240
0 0

1 2
Model
2 GA result 4

Minimum
3 6
Maximum
4 8
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Depth(m)

Depth(m)
5 10
Model
6 12
GA result
7 14 Minimum
Maximum
8 16

9 18

10 20

Figure 8. Resultant S-wave velocity models for Case-1 (a) and Case-2 (b).

120 300
a) 110
b) 280 Observed(DWM)
260 Initial model
100
240 Best solution
90 220 Wave-length=23m
80 200 Wave-length=1m
Phase-velocity(m/s)

Phase-velocity(m/s)

70 180
160
60
140
50 120
40 100
Observed(DWM) 80
30
Initial model
60
20 Best solution
40
10 Wave-length=23m
Wave-length=1m 20
0 0
0 10 20 30 40 50 60 0 10 20 30 40 50
Frequency(Hz) Frequency(Hz)

Figure 9. Comparison of observed (DWM) and theoretical (NMS)

dispersion curves for Case-1 (a) and Case-2 (b).
initial models. In Figure 8b, the stiff bottom layer in the model is not identified in the
inversion because the lack of low frequency observed data.

APPLICATION TO CIVIL ENGINEERING SITE INVESTIGATION

Figure 10 shows an example of waveform data and its phase velocity image.
At first, a CMP cross-correlation (CMPCC) analysis (Hayashi and Suzuki, 2004) is
applied to shot gathers and CMPCC gathers are calculated. Secondly, MASW is
applied to each CMPCC gather and dispersion curves are obtained. Finally, a
proposed inversion using GA is applied to each dispersion curve. The resultant S-
wave velocity model is shown in Figure 11. We can see that there is a thin high-
velocity layer overlying a low-velocity layer between 0 to 60m. In order to confirm

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a) b) 200
Source= -0.5m Time (msec)
0 100 200 300 400 500 600 700 800 900 1000
180

0
160
2 140

Phase-velocity(m/s)
4
6 120
8
100
Depth (m)

10
12 80
14
16 60
18
40
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20
22 20
24
0
sxsv0001.sg2
0 5 10 15 20 25 30
Frequency(Hz)

Figure 10. Example waveform data (a) and its phase velocity image (b).
SWS-C SWS-B SWS-A
-8.0
5 10 15 20
-6.0
-4.0 S-wave velocity
120 2
160
140
-2.0 5 10 15 20 5 10 15 20
150
500 4

-0.0 100 130 6

360
Depth (m)

2.0 2 2 110 8

4.0 4 4
180 280
6.0 6 6
80 220
8.0 8 8 90 160
10 10
10.0 130
12 12
12.0 100
14.0
16.0 70
220 240 260
18.0 200 40
0.0 5.0 10.0 15.0 20.0 25.0 30.0 35.0 40.0 45.0 50.0 55.0 60.0 65.0 70.0 75.0 80.0 85.0 90.0 95.0 100.0 105.0 (m/sec)
Distance (m)

Figure 11. S-wave velocity model obtained by the surface wave method
and results of Swedish weighted soundings.
the existence of the low-velocity layer beneath the high-velocity layer, Swedish
weighted soundings are performed at three places on the survey line. Results of the
soundings are also shown in Figure 11. There is an extremely soft layer (N is smaller
than 5) beneath a thin stiff layer (N is about 10) at the SWS-B and C. In contrast,
these soft and stiff layers do not exist at the SWS-A. We can see that the S-wave
velocity model obtained by the surface wave method agrees very well with the
sounding results. The purpose of the survey is to estimate a cause of a landslide
around the survey line. The result of the investigation indicates that a thick low-
velocity layer beneath the high-velocity layer caused the landslide.

CONCLUSIONS

This paper summarizes the character of Rayleigh wave higher modes and
proposes an alternative inversion method for their handling. Higher modes may
dominate in complex velocity models such as where a high-velocity thin layer
overlays on a slow-velocity layer or where a high-velocity layer is embedded in low-
velocity layers. Observed dispersion can be explained by the maximum amplitude
mode at each frequency. The dispersion curves may be discontinuous and a
conventional non-linear least squares method cannot be applied. An alternative

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inversion method that consists of a NMS and GA has been developed and applied to
both numerical data and real site investigations. The results of these applications
show that the proposed inversion enables us to apply surface wave methods to much
complex geological situations.

REFERENCES

Aki, K. (1957). “Space and time spectra of stationary stochastic waves, with special
reference to microtremors.” Bull. Earthq. Res. Ins., SSA, 35, 415-456,
Downloaded from ascelibrary.org by New York University on 07/31/15. Copyright ASCE. For personal use only; all rights reserved.

Bouchon, M. and Aki, K. (1979) “Discrete wave number representation of elastic

wave fields in three-space dimensions.” Journal of Geophysical Research,
AGU, 84, 3609-3614.
Hayashi, K. and Suzuki, H (2004) “CMP cross-correlation analysis of multi-channel
surface-wave data.” Exploration Geophysics, 35, 7-13.
Okada, H. (2003) The microtremor survey method, Society of Exploration
Geophysicist, Tulsa.
O’Neill, A. (2004) “Full waveform reflectivity for inversion of surface wave
dispersion in shallow site investigations.” Symposium on the application of
geophysics to engineering and environmental problems 2004 proceedings,
EEGS, 1565-1576.
Park, C. B., Miller, R. D., and Xia, J. (1999) “Multimodal analysis of high frequency
surface waves.” Proceedings of the symposium on the application of
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Saito, M. (1979) “Computation of reflectivity and surface wave dispersion curves for
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(in Japanese) .
Saito, M. and Kabasawa, H. (1993) “Computation of reflectivity and surface wave
dispersion curves for layered media 2. Rayleigh wave calculations.” Butsuri-
tansa, SEGJ, 46, 283-298, (in Japanese).
Supranata, Y. E., Kalinski, M. E., and Ye, Q. (2007) “Improving the uniqueness of
surface wave inversion using multiple-mode dispersion data.” International
Journal of Geomechanics, ASCE, September/October, 333-343.
Tokimatsu, K. (1997) “Geotechnical site-characterization using surface-waves.”
Earthquake geotechnical engineering, Ishihara (ed.), Balkema, Rotterdam,
1333-1368.
Xia, j., Miller, R. D. and Park, C. B. (1999) “Configuration of near-surface shear-
wave velocity by inverting surface wave.” Proceedings of the symposium on
the application of geophysics to engineering and environmental problems '99,
EEGS, 95-104.
Xia, J., Miller, R. and Park, C. (2000) “Advantages of calculating shear-wave
velocity from surface waves with higher modes.” 70th Ann. Internat. Mtg: Soc.
of Expl. Geophys., SEG, 1295-1298.
Yamanaka, H., and Ishida, H. (1996) “Application of Generic algorithms to an
inversion of surface-wave dispersion data.” Bulletin of Seismological Society
of America, SSA, 86, 436-444.

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