EFFECTS O F M U L T I P L E M O D E S ON RAYLEIGH W A V E

DISPERSION CHARACTERISTICS
By Kohji Tokimatsu,' Associate Member, ASCE, Shuji Tamura, 2 and
Hisaya Kojima 3

ABSTRACT: The effects of multiple modes on Rayleigh wave dispersion are dis-
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cussed to reduce the ambiguity of uniqueness of shear wave velocity (Vs) profiles
estimated by the surface wave method. Based on a review of previous studies,
dispersion curves of multiple-mode Rayleigh waves induced by harmonic vertical
point loading are derived for both vertical and horizontal particle motions. Also
presented is the variation with frequency of the amplitude ratio between horizontal
and vertical particle motions. Numerical studies indicate that a stiff soil layer over-
lying a softer soil layer induces a higher mode or multiple modes, leading to an
inversely dispersive characteristic. Consideration of the effects of higher modes is
strongly recommended in the inverse process when the observed data show an
inversely dispersive trend. The ambiguity of uniqueness of the inverted soil profiles
may be reduced by using either the dispersion data of horizontal motion or the
amplitude ratio of particle motions in addition to the dispersion data of vertical
motion.

INTRODUCTION

A significant advance has been made in recent years in shallow seismic

exploration based on the observation of dispersion characteristic of Rayleigh
waves [e.g., Jones (1958), Nazarian and Stokoe (1984, 1986), Stokoe and
Nazarian (1985), Gabriels et al. (1987)]. The dispersion characteristic is
characterized by the trend in which surface waves of different frequencies
or wavelengths propagate with different velocities. The inverse analysis of
this variation of phase velocity with wavelength or frequency results in a
shear wave velocity profile.
A simple method of inversion is to assume that the shear wave velocity
is approximately equal to about 110% of the phase velocity, and the effective
sampling depth for each wavelength is equal to either one-third or a half
of that wavelength. Stokoe and Nazarian (1985) indicated that the use of
this simple inversion method normally causes some degree of error in the
shear wave velocity profiles.
Thus, most of the inversion processes in more advanced methods are
based on the theoretical formulation of wave propagation in a layered me-
dium (Thomson 1950; Haskell 1953), assuming that the observed dispersion
characteristic is that of the fundamental Rayleigh mode. In reality, however,
higher modes may be present and, in some cases, have a significant effect
on the overall propagating pattern of Rayleigh waves (Nazarian and Stokoe
1986; Sanchez-Salinero et al. 1987; Gucunski and Woods 1991). The ob-
served dispersion characteristic in such cases may not necessarily correspond
to the fundamental mode, but to a higher mode, or even multiple modes.

2
'Assoc. Prof., Tokyo Inst, of Tech., O-okayama, Meguro-ku, Tokyo 152, Japan.
3
Grad. Student, Tokyo Inst, of Tech., O-okayama, Meguro-ku, Tokyo 152, Japan.
Grad. Student, Tokyo Inst, of Tech., O-okayama, Meguro-ku, Tokyo 152, Japan.
Note. Discussion open until March 1, 1993. Separate discussions should be sub-
mitted for the individual papers in this symposium. To extend the closing date one
month, a written request must be filed with the ASCE Manager of Journals. The
manuscript for this paper was submitted for review and possible publication on July
18, 1991. This paper is part of the Journal of Geotechnical Engineering, Vol. 118
No. 10, October, 1992. ©ASCE, ISSN 0733-9410/92/0010-1529/$1.00 + $.15 per
page. Paper No. 2245.
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J. Geotech. Engrg. 1992.118:1529-1543.

 r
This leads to ambiguity of uniqueness of a soil profile inferred from an
inverse analysis if the observed dispersion characteristic is compared with
that of the theoretical fundamental mode.
One straightforward way to reduce this ambiguity is to resolve all con-
tributing modes in the field observation; however, this calls for a large
number of sensors [e.g., Gabriels et al. (1987)]. A possible alternative is to
define and use an apparent dispersion curve resulting from the propagation
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of all contributing modes and, if possible, their particle orbits in the inverse
process, without increasing the number of sensors or sensor locations used
in the field.
The object of this paper is to present an analytical solution concerning
the dispersion characteristics and the particle orbits of multiple-mode Ray-
leigh waves that are observed with a limited number of sensors. Also pre-
sented are the effects of soil layering and sensor locations on the dispersion
characteristic and particle orbits.

MODE RESOLUTION IN RAYLEIGH W A V E METHOD

The Rayleigh wave method generally consists of three steps: (1) Obser-
vation of Rayleigh waves; (2) determination of dispersion characteristics
from the observed data; and (3) estimation of shear wave velocity structures
through inverse analysis of the dispersion data. According to the type of
observed waves, the method is classified into two categories: active and
passive methods. The active method includes the spectral analysis of surface
waves (SASW method). In this method, artificially induced vibrations are
measured with a linear array of sensors, and dispersion characteristics are
determined based on spectral analyses [e.g., Nazarian and Stokoe (1984)].
The passive method, in contrast, observes Rayleigh waves in micro tremors
using a two-dimensional array of sensors and determines dispersion char-
acteristics through frequency-wave number spectral analysis on the ob-
served data [e.g., Asten and Henstridge (1984)].
It was assumed, in many of the previous studies, that the observed dis-
persion characteristic is that of the fundamental mode. However, the Ray-
leigh wave has different modes of propagation, and thus different velocities
at any frequency. The participation of each mode varies depending on soil
stratification as well as frequency (Gucunski and Wood 1991).
The mode resolution in the dispersion characteristic determined from
spectral analyses of observed waves depends on such factors as the type of
observed waves, the number of sensors used in the array, the configuration
of the array, and the type of spectral analysis adopted [e.g., Capon (1969),
Lacoss et al. (1969), Asten and Henstridge (1984)]. There are two possible
cases regarding mode resolution.

• Case 1: A dominant mode and other contributing modes are iden-

tified separately, and thus the phase velocities of all of contributing
modes can be determined.
• Case 2: A dominant mode and other contributing modes are not
resolved separately, and thus only an apparent phase velocity of the
superposed waves of all contributing modes can be determined.

Case 1 calls for a large number of sensors and large array dimensions
compared with case 2. For example, even in the active method using a linear
array, 24 sensors deployed over a long distance were used to resolve the
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J. Geotech. Engrg. 1992.118:1529-1543.

 fundamental and higher (1-6) modes (Gabriels et al. 1987) in the frequency
range of 5-30 Hz. In contrast, a pair of sensors set apart several meters at
most can determine a dispersion curve in a similar frequency range [e.g.,
Stokoe and Nazarian (1985)]; however, the mode or modes corresponding
to this characteristic may not be identified in some cases.
Because of its logistical viability and simplicity in the field, the method
using a limited number of sensors is appealing if the ambiguity involved in
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the inverse process is reduced. To reduce such ambiguity, Gucunski and

Woods (1991) presented, based on the so-called stiffness matrix method
(Kausel and Roesset 1981), the analytical results of the influence of the soil
layer properties on the participation of multiple-mode Rayleigh waves pro-
duced by an oscillating circular plate on the surface of a layered medium.
Tokimatsu et al. (1991) suggested that the use of particle orbits together
with dispersion data could also reduce the ambiguity of the inverted soil
profiles.

PARTICLE MOTIONS INDUCED BY POINT FORCE

Theoretical formulas will be developed for determining dispersion char-

acteristics of multiple-mode Rayleigh waves induced by a harmonic vertical
point loading, based on the transfer matrix method proposed by Thomson
(1950) and Haskell (1953). They developed a matrix formulation to deter-
mine the phase velocity dispersion of Rayleigh waves on a layered medium
consisting of N sublayers, as shown in Fig. 1(a). Each layer is homogeneous
and isotropic, characterized by thickness H, mass density p, P-wave velocity
Vp, and S-wave velocity Vs.
The relationship between phase velocity c„„ and wave number k„„ for
the fundamental (m = 1) and higher (m > 1) Rayleigh modes at a given
frequency / is implicitly defined by

J22 Jy. Jy
(1)
J11 ~ J2 Al •> A

in which JiS = element of the matrix J defined by Haskell (1953) and a

Vertical Point
->fc- -71
Source
jourc
Layer
No.
Thickness Mass
Density
P-Wave
Velocity
S-Wave
Velocity 5 u
Sensors
/ \
n_».r
Hi PI VPI VSI

H2 P2 VF>2 VS2

Ha Ps VP3 VS3

N-1 HN-I PN-I VPN-1 VSN-1 N-1

9N VPN VSN N
(a) ' (b)

FIG. 1. Soil Layer Model

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J. Geotech. Engrg. 1992.118:1529-1543.

 function of H, p, Vp, Vs, cm, and km; and (ulw)m = an imaginary number
of mth mode defining the amplitude ratio between the horizontal and vertical
particle velocities on the ground surface. The correlations among c,„, km, f,
and wavelength Km are defined by
cm = A,„ (2)
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cm = Y • (3)
That (iilw)m is an imaginary number means that the vertical particle mo-
tion of each mode is either behind or ahead of the horizontal one by a phase
angle of 90°. This indicates that the particle orbit of each mode is either
prograde or retrograde elliptical in the vertical plane containing the direction
of propagation of the wave and that the major and minor axes of the ellipse
coincide with the vertical and horizontal axes.
Harkrider (1964) derived integral expressions for the time-transformed
displacement field produced by simple sources using a matrix formulation,
which was extended from the theory by Haskell (1953) for the same layered
medium as shown in Fig. 1(b). The vertical and horizontal ground surface
displacements of mth Rayleigh mode at a distance r from a harmonic vertical
point force L, which oscillates at a frequency/on the ground surface, are
given by

v>JJ, r) = -i±AmHf\kmr) (4)

<?„•(/, r) = -i- AmHf\kmr) (5)

in which i = V - 1 ; [u/w]m = amplitude ratio of mth mode given by (1)

excluding imaginary sign; H^ and Hp> = Hankel functions of the second
kind of the order zero and one; km = wave number of mth mode; and Am
= medium response of mth mode, defined by

A„ = ~ ^ (6)
\Bk.
where
FR = (Jn-Wu-J^ ~ {Jii-hiWv-J**) (7)
NR = (/ 1 3 -/ 2 3)*(/ 3 1 -Ai) - (Ju-JiiyV*-'*) (8)
in which Jn = element of the matrix J defined by Haskell (1953); and *
indicates complex conjugate. The displacements of superposed waves up to
Mth mode at the distance r are given by
M

ws(f, r) = E wjf* r) (9)

m= l

M
qs if, r) = 2. qm(f> 0 ( 10 )
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 If kmr is sufficiently large, say the distance r is more than the wavelength
measured, (4) and (5) may be approximately given by

2 L
wm(f, r) « -iA„ kmr (11)
-nkmr —
2 exp
4
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2 L 3TT
qm(f, r) « -iA„ exp i kmr - (12)
-nkmr 2
Eqs. (11) and (12) indicate that relative amplitudes of vertical and horizontal
particle motions of each mode can be defined by either AJ\fk^n and A J
Vk~Z[u/w]m, or AmVc^ and AmVc^[ulw]m, respectively.

SIMULATED DISPERSION CHARACTERISTICS

The SASW method measures Rayleigh waves in vertical ground vibra-

tions, which are generated either by an impulsive source [e.g., Nazarian
and Stokoe (1984)] or an exciter oscillating with a vertical harmonic motion
[e.g., Jones (1958), Tokimatsu et al. (1991)]. In these methods, a pair of
sensors is set apart on the ground surface in a line with the source, as shown
in Fig. 1(b), and the apparent phase velocity is computed based on the phase
lag between the motions measured with the sensors.
Once the distances from the source to the two sensors, i?x and R2, are
given, the theoretical relationship of apparent phase velocity with frequency
can readily be computed for a harmonic vertical point loading as follows.
From (9), the phase lag of vertical particle motions between the sensors at
a frequency /, ((>„, is defined by

<()„ = - t a n " g»12(/) (13)

in which Kwl2 and Qwl2 = real and imaginary parts of Gwl2, which is the
cross spectrum defined by w*(f, RJwJf, R2). The apparent phase velocity
for the vertical motion, csv, can be defined by
.D_
= 2ir/ (14)
4>„
in which D = R2 - Rt.
Similarly, the phase lag of the horizontal motion between the sensors,
<f>„, is given by

§h = - t a n " QMf) (15)

Kql2(f).
in which Kql2 and Qql2 = real and imaginary parts of Gql2, which is the
cross spectrum defined by q*(f, Ri)qs(f, R2)- The apparent phase velocity
for the horizontal motion, csh, can be given by

(16)

The phase lag and amplitude ratio between horizontal and vertical mo-
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J. Geotech. Engrg. 1992.118:1529-1543.

 tions for the superposed waves at a distance r, cj>r, and [li/w^, may be given
by

4>r = - t a n - 1 (17)
Kwq(f)_
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ks(f, r)\ (18)

sign[2„,g(/)]
k(/, r)\
in which Kwq and Qwq = real and imaginary parts of Gwq, which is the cross
spectrum defined by w*(f, r)qs(f, r). By repeating this process for different
excitation frequencies, dispersion characteristics of superposed waves are
obtained.
Eq. (17) indicates that the phase lag between vertical and horizontal
particle motions of superposed waves may not necessarily be equal to 90°
or -90°. This means that, although the particle orbit of superposed waves
is prograde elliptical or retrograde elliptical, its major and minor axes may
not necessarily coincide with the vertical and horizontal axes. A positive
value of (18) means that the particle orbit is prograde and a negative value
retrograde.

FACTORS AFFECTING RAYLEIGH W A V E DISPERSION CHARACTERISTICS

Effects of Soil Layering

To demonstrate the effectiveness of the proposed formulas, the dispersion
curves and the amplitude ratio of particle orbits of multiple-mode Rayleigh
waves are computed from (14), (16), and (18) for three four-layer models
listed in Table 1. The stiffness of soil layers increases with depth in case 1,
while the stiffness varies irregularly with depth in cases 2 and 3; a stiff
surface layer overlies a soft layer in case 2, and a stiff layer is sandwiched
between soft layers in case 3.
Figs. 2-7 summarize the computed results for three cases measured with
two sensors located at Rx = 2X and R2 = 2.5X, in which X is the wavelength
of the fundamental mode. In Figs. 2,4, and 6, the phase velocities, amplitude
ratios, and medium responses of the fundamental and several higher modes
are plotted in thin lines against frequencies. The characteristics of the su-
perposed waves are indicated by circles. In part (a) of each figure, open
circles are those for the vertical motion and solid circles for the horizontal
motion. In Figs. 3 , 5 , and 7, similar plots are made against wavelengths.
In case 1 with V,, increasing with depth (Figs. 2 and 3), the medium
responses of the fundamental mode are consistently higher than those of
TABLE 1. Soil Layer Models

Thickness Density
(m/s)
Layer H P vP
number (m) (Mg/m3) (m/s) Case 1 Case 2 Case 3
(D (2) (3) (4) (5) (6) (7)
1 2 1.8 300 80 180 80
2 4 1.8 1,000 120 120 180
3 8 1.8 1,400 180 180 120
4 1.8 1,400 360 360 360

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J. Geotech. Engrg. 1992.118:1529-1543.

 Phase Velocity, c (m/s) Ww A.
100 ZOO 300 400 -10 -1 ±0.1 1 10 10' IP-* 10' 10' 10'
100

Pi I-
c
< \ \\ .
©«' \ \ <
'
° \\ \
e i \ \
•

9 ' 1 \ •
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\ Mode 4
v
I% \ \ \Mode3
«& \N V
\» '
Mode %», \Mode 2 \
.\ \ '
V*
Superposed Mode
o Vertical
* Horizontal

W (c)

FIG. 2. Variation with Frequency of Phase Velocity, Amplitude Ratio, and Medium
Response for Case 1

Phase Velocity, c (m/s) u/w

100 200 300 400 -10 -1 ±0.1 1 10
£50<

%>»--
\\v-. \ \ \ '•••-..

\ \ \ 'X Mode 4
V.\ \
\v %a\ \\
\ \ \
\Mode3
\»\ x \
\ \
\ \ \
\
\ Mode 2
Mode A \
Superposed Mode Y\
o Vertical
o Horizontal n%
(a)

FIG. 3. Variation with Wavelength of Phase Velocity and Amplitude Ratio for
Case 1

any other mode, except in the frequency range below 4.5 Hz. Thus, the
fundamental mode prevails in both vertical and horizontal motions, though
higher modes exist to a considerable extent in the horizontal motion at
frequencies below 10 Hz.
The dominance of the fundamental mode results in a normally dispersive
characteristic for the vertical motion, in which the phase velocity increases
with decreasing frequency or increasing wavelength (Gucunski and Wood
1991). A normally dispersive trend would therefore indicate a soil deposit
1535

J. Geotech. Engrg. 1992.118:1529-1543.

 f

Phase Velocity, c (m/s) il/w Am

100 200 300 400-10 -1 ±0.1 1 10 10"' 10s 10* 10" 10°
•

», J~\
l \ H?\
••.,7'--./ i
*\,
! f*N. y1 v
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Modes
,-5'")\/ ^
\Mode4 >-'4
•' --''/
* •

,A
A \\
1
4
• / *
\
- /' h
/
Superposed Mode V /J
/
° Vertical ~-—^ '
o Horizontal

(a) (c)

FIG. 4. Variation with Frequency of Phase Velocity, Amplitude Ratio, and Medium
Response for Case 2

Phase Velocity, c (m/s) u/w

100 200 300 400-10 -1 ±0.1 1 10

Mode 5 CP1. ^ ^ • ; - . . 5

\Mode4
N V, 4
\>
•'3

M
arposed

i
rt i
V , 2!

p ('
I ° /'
Si4>erposed Mode 0 /
o Vertical /
Q.._

a Horizontal /1

IP)
FIG. 5. Variation with Wavelength of Phase Velocity and Amplitude Ratio for
Case 2

in which stiffness increases with depth. Thus, the inversion using dispersion
data of the vertical motion and assuming the dominance of the fundamental
mode can generally work well if the data are normally dispersive (Gucunski
and Wood 1991).
In contrast, in cases 2 and 3, a higher mode or multiple higher modes
play a significant role in some range of frequency in addition to the fun-
damental mode. In case 2 (Figs. 4 and 5), the higher the frequency, the
higher the order of higher mode that has the maximum medium response.
1536

J. Geotech. Engrg. 1992.118:1529-1543.

 Phase Velocity, c (m/s) u/w
100 200 300 400-10 -1 ±0.1 1 10 10~7 10* 105 to' 10"'
' •

Superposed Mode
g - o Vertical
(3 \ ]; © Horizontal s\ i;
/:
Q, ^ ''l • 9 \
K) \\ .
• lis
9fo
hW ' Vi, '
n \V,4
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'£ | Y> j
•D
id ^
''-
% i ' ^ '!\

rpo
\ \ i "-„Mode4 / '•

S
! / ; ::«
^^.Mode3\
/ 2\°>
Mode 1 * , ' •

: 1 o ',[
cf>0 \ \
?
t
\\Mode2 : \. • /

i
^-o—a, \

(a) (b)

FIG. 6. Variation with Frequency of Phase Velocity, Amplitude Ratio, and Medium
Response for Case 3

Phase Velocity, c (m/s) u/w

100 200 300 400-10 -1 ±0.1 1 10

f°o08 \ X \ Mode 4
\ N\ \
. \ -\ \

r
•\ \ •
Mode 2\ *. •
\
\ \ Mode3
Model
i> 1
*

Superposed Mode
o Vertical
« Horizontal 1

(a)

FIG. 7. Variation with Wavelength of Phase Velocity and Amplitude Ratio for
Case 3

As a result, higher modes in turn dominate at frequencies greater than 30

Hz, resulting in an inversely dispersive trend in which the phase velocity
decreases with decreasing frequency or with increasing wavelength in this
frequency range. A similar trend has been pointed out by Gucunski and
Wood (1991). In case 3 (Figs. 6 and 7), either the first or second higher
mode has the highest medium response in the frequency range of 9-16 Hz,
producing an inversely dispersive trend in this range.
1537

J. Geotech. Engrg. 1992.118:1529-1543.

 The inversely dispersive trend would therefore indicate that the shear
wave velocity of the deposit varies irregularly with depth. Thus, the inversion
using the fundamental mode only cannot work well if the observed data are
inversely dispersive. One should consider the effects of multiple Rayleigh
modes in such a case. Gucunski and Wood (1991) have made a similar
recommendation.
The dispersion characteristics of the vertical and horizontal motions show
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a similar trend in any case; however, they are somewhat different when
multiple modes play a significant role at the same time. Thus, the difference
between the two dispersion curves may be indicative of the dominance of
higher or multiple modes in either vertical or horizontal motion or both.
Figs. 2{b)-l{b) show that the particle orbits are retrograde elliptical in
the high frequency range in all cases; however, their variation with frequency
is different in the lower frequency range, depending on soil stratification or
predominant mode. The comparison of particle orbits between theory and
observation may, therefore, reduce the ambiguity of the uniqueness of the
inverted model.

Effects of Sensor Location

A similar computation is made for different sensor locations, in which Rx
is assigned a value of either a half, one, two, or four times the wavelength
of the fundamental mode while the distance between the sensors is kept
constant, i.e., D is half of that wavelength. Figs. 8-10 summarize the dis-
persion curves of the superposed waves of the vertical and horizontal mo-
tions together with those of each mode for three cases.
The dispersion curves measured at different distances from the source
show fairly good agreement in cases 1 and 2, but they are different in the
frequency range where they show an inversely dispersive trend in case 3.
This suggests that the dispersion curve may vary with distance, and thus
special care must be taken in the field observation, as well as in-house
analysis, if observed data are inversely dispersive.

Phase Velocity, o (m/s) Phase Velocity, c (m/s)

100 200 300 400 100 200 300 400
.
Ri/». RiM
= 0.5 S\ \' o 0.5
•

•
l\V'
\

1 \ '. o 2 2 \ \\
A
o 2
-|

A q ^ ' 4
- f r o m Eq. (20)
°k \ \ \ v 4
-from Eq. (21)
1 3t \\ \
afc 1 *\ '•

x\
lu
a& \
\
\
\
\
'---4
vK? \

«, ^ ''
©L \
^ *
% \ \ '"- ~--.4
\
\ v
- %f§& \ S%* •-*L
*J\ \ \ \ ^ k \ ' v*L'\
V^^'\2
~~—.
\\
**t
z3 Vf***\ \\
& \ vv " Mode 1 \ J ^ ^\ .
^k. "
^ f e « -\ \ 2„ ^ " S fe°*"?
^fe, \ '
Mode T ^ A ^5fo\
•

(a) (b)

FIG. 8. Effects of Sensor Location on Dispersion Curves for Case 1

1538

J. Geotech. Engrg. 1992.118:1529-1543.

 Phase Velocity, o (m/s) Phase Velocity, c (m/s)
0 100 200 300 100 200 300
•

. •
;
I^ \ •

\x".\
Mode 1
J\Y\. Mode V:Ti V \
SIS* \ ''•••.
obit* \ \
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f\ \ "•--. -••.
^ f \ ~>- "-••.? '
x ^ v '•"••- ;-••.
1 \ \ ^-4'
P\
\
\ \ 1x\ \ \ \ -<
v, •
>
!.h \\ \\ & \\ \\
| \ \ : aft. :
RiA
o 0.5
* 1
V >
^* H ,s
^ %3\.
\
i
FW*
o 0.5
1 '
^ &
^ ! 5 _
^^-S&L'1
\
\
0
v
o 2
" 4 <^07
o 2
, 4
^ X %N U ,
^ < '
— from Eq (20) — from Eq. (21)

(a) W

FIG. 9. Effects of Sensor Location on Dispersion Curves for Case 2

Phase Velocity, c (m/s) Phase Velocity, o (m/s)

100 200 300 100 200 300

Hi IX
i\ 1 ° 0-5
4
S\ Il 1
J \ I! 0 2
o 4
A
a J pV,
ft *-fromEq.(21)
a
c

Mr-- P%EL
i
Mode 1

^^--^ \

(a) (b)

FIG. 10. Effects of Sensor Location on Dispersion Curves for Case 3

APPARENT PHASE VELOCITIES OF MULTIPLE-MODE

STOCHASTIC WAVES

Aki (1957) made a comprehensive study of the characteristics of one- and

two-dimensional stationary stochastic waves consisting of multiple modes
of which propagation patterns are statistically independent of one another.
Based on his study, the correlation among the phase velocities of one-
dimensional stochastic Rayleigh waves for a given frequency / may be de-
fined as
1539

J. Geotech. Engrg. 1992.118:1529-1543.

 f Pm cos (--*/>)
m1 = 1 \Cm I
cos l — D ) = (19)
2 P.
in which cm and c^ = phase velocities of wth and superposed modes, re-
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spectively; D = distance between two sensors; and Pm = power spectrum

density function of wth mode.
From (11) and (12), the relative powers of the vertical and horizontal
motions of mth mode can be expressed as A}ncm and (Am[u/w]m)2cm, re-
spectively. Hence, by knowing Am, cm, and [w/w]m of each mode for a
frequency/, the apparent phase velocities of vertical and horizontal motions
for a given sensor distance can be determined as
2-n/D
c,„ = (20)
2 Afncm cos ( )
m=\ \ Cm J
M
y A2C
m=\

2ir/D
(21)
M
(2>nfD\~
2
m= l
1 Am

M
U
W J c,„ cos
V Cm /
u

m= \
2 {* tn
w m/
) cm

The phase velocities computed from (20) and (21) are plotted in Figs. 8 -
10 in thick solid lines for comparison purposes. Relatively good agreement
observed in the figures suggests that (20) and (21) may be used for estimating
the average values of the apparent phase velocities measured at various
distances from a point source.

llNVERSION OF DISPERSION DATA

The proposed formulas can readily be incorporated into the computer

program of the conventional inverse analysis based on the transfer matrix
method. The inverse analysis can then be performed for a dispersion curve
obtained by the SASW method. The details of such an inverse analysis have
been described by Tokimatsu et al. (1991).
The ambiguity of uniqueness of the inverted soil profiles in the SASW
method may be reduced by using either the dispersion data of horizontal
motion or the amplitude ratio of particle motions in addition to the dis-
persion data of vertical motion. The proposed formulas can also be used
for this purpose (Tokimatsu et al. 1991).
In the passive method using microtremors, the origins of sources are
generally unclear and may not be restricted either to a single point or a
single direction. It is therefore difficult to derive the dispersion character-
istics rigorously; however, it is reasonable to consider that microtremors
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 are stationary stochastic waves. Thus, (20) may be used for the inverse
analysis of the passive method as well (Tokimatsu et al. 1992), provided
that most of the sources of microtremors are on the ground surface.

CONCLUSIONS

Theoretical formulas have been derived for determining the dispersion

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characteristics of multiple-mode Rayleigh waves, which are induced by a

vertical point force oscillating on a layered medium. The proposed formulas
can readily be incorporated into the conventional Thomson-Haskell transfer
matrix method. This enables one to assess the effects of soil layering and
sensor locations on the Rayleigh wave dispersion characteristics, which are
determined with a limited number of sensors. A preliminary assessment
made on the three four-layer models has shown the following.

1. For deposits with Vs increasing with depth, the fundamental mode

dominates throughout the frequency range of interest, though higher modes
exist to some extent. This results in a normally dispersive characteristic.
2. For deposits with Vs varying irregularly with depth, a higher mode or
multiple modes dominate in some frequency range. This results in an in-
versely dispersive trend in the corresponding frequency range.
3. The particle motions are significantly affected by soil stratification and
prevailing modes.
4. If multiple modes have dominant effects at the same time, the dis-
persion curves for the vertical and horizontal motions differ significantly,
and these dispersion curves also vary depending on the sensor location.

These findings indicate that: (1) If the observed data are normally dis-
persive, the inversion may be made assuming the first mode only, i.e.,
without considering the effects of higher modes; (2) if the observed data
are inversely dispersive, the effects of multiple modes should be taken into
account in the inverse analysis; and (3) use of either the dispersion data of
the horizontal motion or the amplitude ratio of particle motions in addition
to the dispersion data of the vertical motion may reduce the nonuniqueness
of the soil profiles resulting from the inverse analysis.
Since the proposed formulas can readily be incorporated into the con-
ventional inverse analysis, the effects of multiple modes on the Rayleigh
wave dispersion curve can be taken into account, thereby reducing the
ambiguity of uniqueness of shear wave velocity (Vs) profiles.

ACKNOWLEDGMENTS

Financial support provided by the Japanese Ministry of Education, Sci-

ence and Culture is greatly appreciated.

APPENDIX I. REFERENCES

Aki, K. (1957). "Space and time spectra of stationary stochastic waves, with special
reference to microtremors." Bull. Earthquake Res. Inst., 35(3), 415-456.
Asten, M. W., and Henstridge, J. D. (1984). "Array estimator and the use of
microseisms for reconnaissance of sedimentary basins." Geophysics, 49(11), 1828—
1837.
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 Capon, J. (1969). "High resolution frequency wavenumber spectrum analysis." Proc,
IEEE, 57(8), 1408-1418.
Gabriels, P., Snieder, R., and Nolet, G. (1987). "In situ measurements of shear-
wave velocity in sediments with higher-mode Rayleigh waves." Geophys, Pros-
pect., 35(2), 187-196.
Gucunski, N., and Wood, R. D. (1991). "Use of Rayleigh modes in interpretation
of SASW test." Proc. of the 2nd Int. Conf. on Recent Advances in Geotechnical
Earthquake Engineering and Soil Dynamics, Univ. of Missouri, Rolla, Mo., 2,
Downloaded from ascelibrary.org by PENN STATE UNIV on 08/12/14. Copyright ASCE. For personal use only; all rights reserved.

1399-1408.
Harkrider, D. G. (1964). "Surface waves in multilayered elastic media I. Rayleigh
and Love waves from buried sources in a multilayered elastic half-space." Bull.
Seismol. Soc. Am., 54(2), 627-679.
Haskell, N. A. (1953). "The dispersion of surface waves on multilayered media."
Bull. Seismol. Soc. Am., 43(1), 17-34.
Jones, R. B. (1958). "In-situ measurement of the dynamic properties of soil by
vibration methods." Geotechnique, 8(1), 1-21.
Kausel, E., and Roesset, J. M. (1981). "Stiffness matrices for layered soils." Bull.
Seismol. Soc. Am., 71(6), 1743-1761.
Lacoss, R. T., Kelly, E. J., andToksoz, M. N. (1969). "Estimation of seismic noise
structure using arrays." Geophysics, 34(1), 21-28.
Nazarian, S., and Stokoe, K. H., 11(1984). "In situ shear wave velocity from spectral
analysis of surface waves." Proc. of the 8th World Conf. on Earthquake Engi-
neering, 3, 31-38.
Nazarian, S., and Stokoe, K. H., II (1986). "Use of surface waves in pavement
evaluation." Transp. Res. Rec., 1070, 132-144.
Sanchez-Salinero, I., Roesset, J. M., Shao, K. Y., Stokoe, K. H., II, and Rix,
G. J. (1987). "Analytical evaluation of variables affecting surface wave testing of
pavements." Transp. Res. Rec, 1136, 86-95.
Stokoe, K. H., II, and Nazarian, S. (1985). "Use of Rayleigh waves in liquefaction
studies." Proc. of the Measurement and Use of Shear Wave Velocity for Evaluating
Dynamic Soil Properties, ASCE, New York, N.Y., 1-17.
Thomson, W. T. (1950). "Transmission of elastic waves through a stratified soil
medium." /. Appl. Physics, 21(2), 89-93.
Tokimatsu, K., Kuwayama, S., Tamura, S., and Miyadera, Y. (1991). "Vs deter-
mination from steady state Rayleigh wave method." Soils Found., 31(2), 153-163.
Tokimatsu, K., Shinzawa, K., and Kuwayama, S. (1992). "Use of short-period mi-
crotremors for V, profiling." /. Geotech. Engrg., ASCE, 118(10), 1544-1558.

APPENDIX II. NOTATION

The following symbols are used in this paper:

medium response of mth mode;

C C = phase velocities of mth and superposed modes, re-
spectively;
^svi Crh
^sh phase velocities of vertical and horizontal motions
of superposed mode, respectively;
D = distance between two sensors;
FR = variable given by (7);
frequency;
Gql2 - cross spectrum of horizontal motions;
Gwq = cross spectrum between vertical and horizontal mo-
tions;
G>vl2 ~ cross spectrum of vertical motions;
H = thickness;
J = transfer matrix defined by Haskell;

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 Jij = element of J;
k = wave number;
km = wave number of mth mode;
Kqi2, K„q, and Kwl2 = real parts of Gql2, Gwq, and Gwl2, respectively;
L = vertical point force;
NR = variable given by (8);
Pm = power spectrum density function of mth mode;
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Qqu, Qwq, and Qwl2 = imaginary parts of GqY2, G,vq, and Gwl2, respec-
tively;
qm = horizontal ground surface displacement of mth
mode;
qs = horizontal displacement of superposed waves up to
Mth mode;
i?!, R2 = distances from point source to sensors;
r = distance from point source;
(u/w)m = amplitude ratio between horizontal and vertical
particle velocities of mth mode defined by Haskell;
[M/VV]„, = amplitude ratio of mth mode excluding imaginary
sign;
[ii/w]s = amplitude ratio of superposed mode;
Vp = F-wave velocity;
Vs = 5-wave velocity;
wm = vertical ground surface displacement of mth mode;
ws = vertical displacement of superposed waves up to
Mth mode;
()>/, = phase lag of horizontal motions between two sen-
sors;
(j)r = phase lag between horizontal and vertical motions
of superposed waves;
4>„ = phase lag of vertical motions between two sensors;
X = wavelength of fundamental mode;
\m = wavelength of mth mode; and
p = mass density.

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