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Sesame project - Deliverable D23.12 - WP12 - GUIDELINES FOR THE IMPLEMENTATION OF THE H/V SPECTRAL RATIO TECHNIQUE ON AMBIENT VIBRATIONS MEASUREMENTS, PROCESSING AND INTERPRETATION
Author(s)
Sesame Team
Sponsors
European Commission – Research General Directorate Project No. EVG1-CT-2000-00026 SESAME
Language
English
Obiettivo Specifico
4.1. Metodologie sismologiche per l'ingegneria sismica
Status
Published
Peer review journal
No
Issued date
December 2004
Alternative Location
Series/Report No.
D23.12
Keywords
Abstract
A significant part of damage observed in destructive earthquakes around the world is
associated with seismic wave amplification due to local site effects. Site response analysis is
therefore a fundamental part of assessing seismic hazard in earthquake prone areas. A
number of experiments are required to evaluate local site effects. Among the empirical
methods the H/V spectral ratios on ambient vibrations is probably one of the most common
approaches. The method, also called the „Nakamura technique“ (Nakamura, 1989), was first
introduced by Nogoshi and Igarashi (1971) based on the initial studies of Kanai and Tanaka
(1961). Since then, many investigators in different parts of the world have conducted a large
number of applications.
An important requirement for the implementation of the H/V method is a good knowledge of
engineering seismology combined with background information on local geological conditions
supported by geophysical and geotechnical data. The method is typically applied in
microzonation studies and in the investigation of the local response of specific sites. In the
present document, the application of the H/V technique in assessing local site effects due to
dynamic earthquake excitations, is the main focus, whereas other applications regarding the
static aspects are not considered.
In the framework of the European research project SESAME (Site Effects Assessment Using
Ambient Excitations: Contract No. EVG1-CT-2000-00026), the use of ambient vibrations in
understanding local site effects has been studied in detail. The present guidelines on the H/V
spectral ratio technique are the result of comprehensive and detailed analyses performed by
the SESAME participants during the last three years. In this respect, the guidelines represent
the state-of-the-art of the present knowledge of this method and its applications, and are
based on the consensus reached by a large group of participants. It reflects the synthesis of
a considerable amount of data collection and subsequent analysis and interpretations.
In general, due to the experimental character of the H/V method, the absolute values
obtained for a given site require careful examination. In this respect visual inspection of the
data both during data collection and processing is necessary. Especially during the
interpretation of the results there should be frequent interaction with regard to the choices of
the parameters for processing.
The guidelines presented here outline the recommendations that should be taken into
account in studies of local site effects using the H/V technique on ambient vibrations. The
recommendations given apply basically for the case where the method is used alone in
assessing the natural frequency of sites of interest and are therefore based on a rather strict
set of criteria. The recommended use of the H/V method is however, to combine several
other geophysical and geotechnical approaches with sufficient understanding of the local
geological conditions. In such a case, the interpretation of the H/V results can be improved
significantly in the light of the complementary data.
The guidelines are organised in two separate parts; the quick field reference and
interpretation guidelines (Part I) and detailed technical guidelines (Part II). Part I aims to
summarise the most critical factors that influence the data collection, analysis and
interpretation and provides schematic recommendations on the interpretation of results. Part
II includes a detailed description of the technical requirements, standard data processing and
the interpretation of results. Several examples of the criteria described in Part I and II are
given in Appendix A. In addition, some physical explanations of the results based on
theoretical considerations are given in Appendix B. In Part II, section 1, the results of the experiments performed within the framework of the SESAME project are given in smaller
fonts to separate these from the recommendations and the explanations given in the
guidelines. The word „soil“ should be considered as a generic term used throughout the text
to refer to all kinds of deposits overlying bedrock without taking into account their specific
origin.
The processing software J-SESAME developed specifically for using in H/V technique, is
explained (provided on a separate CD accompanying the guidelines) in Part II. However, the
recommendations given in the guidelines are meant for general application of the method
with any other similar software. J-SESAME is provided as a tool for the easy implementation
of the recommendations outlined in this document. Regarding the processing of the data,
several options can be chosen, but the recommended processing options are provided as
defaults by the J-SESAME software.
associated with seismic wave amplification due to local site effects. Site response analysis is
therefore a fundamental part of assessing seismic hazard in earthquake prone areas. A
number of experiments are required to evaluate local site effects. Among the empirical
methods the H/V spectral ratios on ambient vibrations is probably one of the most common
approaches. The method, also called the „Nakamura technique“ (Nakamura, 1989), was first
introduced by Nogoshi and Igarashi (1971) based on the initial studies of Kanai and Tanaka
(1961). Since then, many investigators in different parts of the world have conducted a large
number of applications.
An important requirement for the implementation of the H/V method is a good knowledge of
engineering seismology combined with background information on local geological conditions
supported by geophysical and geotechnical data. The method is typically applied in
microzonation studies and in the investigation of the local response of specific sites. In the
present document, the application of the H/V technique in assessing local site effects due to
dynamic earthquake excitations, is the main focus, whereas other applications regarding the
static aspects are not considered.
In the framework of the European research project SESAME (Site Effects Assessment Using
Ambient Excitations: Contract No. EVG1-CT-2000-00026), the use of ambient vibrations in
understanding local site effects has been studied in detail. The present guidelines on the H/V
spectral ratio technique are the result of comprehensive and detailed analyses performed by
the SESAME participants during the last three years. In this respect, the guidelines represent
the state-of-the-art of the present knowledge of this method and its applications, and are
based on the consensus reached by a large group of participants. It reflects the synthesis of
a considerable amount of data collection and subsequent analysis and interpretations.
In general, due to the experimental character of the H/V method, the absolute values
obtained for a given site require careful examination. In this respect visual inspection of the
data both during data collection and processing is necessary. Especially during the
interpretation of the results there should be frequent interaction with regard to the choices of
the parameters for processing.
The guidelines presented here outline the recommendations that should be taken into
account in studies of local site effects using the H/V technique on ambient vibrations. The
recommendations given apply basically for the case where the method is used alone in
assessing the natural frequency of sites of interest and are therefore based on a rather strict
set of criteria. The recommended use of the H/V method is however, to combine several
other geophysical and geotechnical approaches with sufficient understanding of the local
geological conditions. In such a case, the interpretation of the H/V results can be improved
significantly in the light of the complementary data.
The guidelines are organised in two separate parts; the quick field reference and
interpretation guidelines (Part I) and detailed technical guidelines (Part II). Part I aims to
summarise the most critical factors that influence the data collection, analysis and
interpretation and provides schematic recommendations on the interpretation of results. Part
II includes a detailed description of the technical requirements, standard data processing and
the interpretation of results. Several examples of the criteria described in Part I and II are
given in Appendix A. In addition, some physical explanations of the results based on
theoretical considerations are given in Appendix B. In Part II, section 1, the results of the experiments performed within the framework of the SESAME project are given in smaller
fonts to separate these from the recommendations and the explanations given in the
guidelines. The word „soil“ should be considered as a generic term used throughout the text
to refer to all kinds of deposits overlying bedrock without taking into account their specific
origin.
The processing software J-SESAME developed specifically for using in H/V technique, is
explained (provided on a separate CD accompanying the guidelines) in Part II. However, the
recommendations given in the guidelines are meant for general application of the method
with any other similar software. J-SESAME is provided as a tool for the easy implementation
of the recommendations outlined in this document. Regarding the processing of the data,
several options can be chosen, but the recommended processing options are provided as
defaults by the J-SESAME software.
References
Atakan K., A-M. Duval, N. Theodulidis, P-Y. Bard and the SESAME-Team. 2004, On the
reliability of the H/V Spectral Ratio Technique, ICSDEE & ICEGE, Berkeley, CA, USA.
Atakan K., A.-M. Duval, N. Theodulidis, B. Guillier, J.-L. Chatelain, P.-Y. Bard and SESAME-
Team. 2004. The H/V spectral ratio technique: experimental conditions, data
processing and empirical reliability assessment. 13th world conference in Earthquake
Engineering, Vancouver, Paper # 2268.
Bard P.-Y., and SESAME participants, 2004. The SESAME project: an overview and main
results. Proceedings of the 13th World Conference in Earthquake Engineering,
Vancouver, August 2004, Paper # 2207.
Bard P.-Y., 1998. Microtremor measurements: A tool for site effect estimation ? Proceeding
of the Second International Symposium on the Effects of Surface Geology on Seismic
Motion. Yokohama, Japan, 3. pp. 1251-1279.
Bonnefoy-Claudet S., C. Cornou, J. Kristek, M. Ohrnberger, M Wathelet, P.-Y. Bard, D. Fäh,
P. Moczo, F. Cotton, 2004. Simulation of seismic ambient vibrations: I. H/V and array
techniques on canonical models. 13th world conference in Earthquake Engineering,
Vancouver, Paper # 1120.
Cornou, C., G. Di Giulio, M. Ohrnberger, J. Kristek, M. Wathelet, 2004. Simulated Vs
observed seismic ambient noise in the Colfiorito basin: site effect estimation and noise
wavefield characteristics. XXIXth European Seismological Commission, Session F3,
September 2004.
Cornou C., J. Kristek, S. Bonnefoy-Claudet, D. Fäh, P.-Y. Bard, P. Moczo, M. Ohrnberger, M
Wathelet, 2004. Simulation of seismic ambient vibrations: II. H/V and array techniques
for real sites. Proceedings of the 13th World Conference on Earthquake Engineering,
Vancouver, Canada, August 2004, Paper # 1130.
Cultrera G., R. Azzara, F. Cara, R. d’Anna, G. Di Giulio, M. S. Giammarinaro, G.
Passafiume, A. Rovelli and P. Vallone, 2004. Microtremor Measurements in Palermo,
Italy: a comparison with macroseismic intensity and earthquake ground motion.
Proceedings of the 13th World Conference on Earthquake Engineering, Vancouver,
August 2004, Paper # 915.
Dubos, N., A. Souriau, C. Ponsolles, J.-F. Fels and G. Sénéchal, 2003. Etude des effets de
site dans la ville de Lourdes (Pyrénées, France) par la méthode des rapports
spectraux. Bull. Soc. Géol. Fr., 174-1, 33-44.
Dubos, N., 2003. Contribution à l'évaluation du risque sismique dans les Pyrénées Centrales.
Thèse de l'Université Paul Sabatier (Toulouse III), 210 pages.
Dunand F., P.-Y. Bard, J.-L. Chatelin, Ph. Guéguen, T. Vassail, M.N. Farsi. 2002. Damping
and frequency from randomec method applied to in-situ measurements of ambient
vibrations: Evidence for effective soil structure interaction. 12th European Conference
on Earthquake Engineering, London. Paper # 869.
Duval A.-M., J.-L. Chatelain, B.Guillier and SESAME Project WP02 Team, 2004. Influence of
experimental conditions on H/V determination using ambient vibrations (noise),
Proceedings of the 13th World Conference on Earthquake Engineering, Vancouver,
August 2004, Paper # 306.
Duval A.-M., J.-L. Chatelain, B. Guillier and the SESAME WP02 Team. 2004, Influence of
experimental conditions on H/V determination using ambient vibrations (noise),
ICSDEE & ICEGE, Berkeley, CA, USA.
Kanai K. and T. Tanaka, 1961. On microtremors. VIII. Bulletin of the Earthquake Research
Institute, 39- 97-114.
Koller M. G., J.-L. Chatelain, B. Guillier, A.-M. Duval, K. Atakan, C. Lacave, P.-Y. Bard and
the SESAME participants, 2004. Practical user guidelines and software for the
implementation of the H/V ratio technique : measuring conditions, processing method
and results interpretation, 13th World Conference on Earthquake Engineering,
Vancouver, Paper # 3132.
Konno K. and T. Ohmachi, 1998. Ground motion characteristics estimated from spectral ratio
between horizontal and vertical components of microtremors. Bull. seism. Soc. Am., 88-
1, 228-241.
Kudo K., 1995. Practical estimates of site response. State-of-the- art report. Proceedings of
the fifth Internationnal Conference on Seismic Zonation. Nice, France.
Malischewsky, P., and F. Scherbaum, 2004;Love's formula and H/V ratio (ellipticity) of
Rayliegh waves, Wave motion, 40-1, 57-67..
Nakamura Y., 1989. A method for dynamic characteristics estimation of subsurface using
microtremor on the ground surface. Quaterly Report Railway Tech. Res. Inst., 30-1, 25-
30.
Nogoshi M. and T. Igarashi, 1971. On the amplitude characteristics of microtremor (part 2)
(in japanese with english abstract). Jour. Seism. Soc. Japan, 24, 26-40.
Panou A. A. , N. P. Theodulidis, P. M. Hatzidimitriou , A. S. Savvaidis and C. B.
Papazachos, Reliability of ambient noise horizontal-to-vertical spectral ratio in urban
environment: The case of Thessaloniki city (Northern Greece), PAGEOPH, 2005 (in
press).
Panou A. A. , N. Theodulidis , P. Hatzidimitriou , K. Stylianidis and C.B. Papazachos,
Ambient noise horizontal-to-vertical spectral ratio in site effects estimation and
correlation with seismic damage distribution in urban environment: The case of the city
of Thessaloniki (Northern Greece), Soil Dyn. & Earthq. Engin., 2004 (accepted for
publication).
SESAME European project, 2002. Controlled instrumentation specification, Deliverable
D01.02.
SESAME European project, 2003. Nature of noise wavefield. Deliverable D13.08.
SESAME European project, 2003. H/V technique : experimental conditions, Deliverable
D08.02
SESAME European project, 2003. Multi-platform H/V processing software J-SESAME.
Deliverable D09.03.
SESAME European project, 2004. J-SESAME User Manual, Version 1.08.
SESAME European project, 2004. Report on parameter studies. Deliverable D12.09.
SESAME European project, 2004. Overall comparisons for test sites. Deliverable D17.10.
Stephenson, W.R., 2003. Factors bounding prograde rayleigh-wave particle motion in a soft-
soil layer, Proceedings of the 2003 Pacific Conference on Earthquake Engineering, 13-
15 February 2003, Christchurch, New-Zealand, Paper # 56, 8 pages
Teves-Costa, P., L. Senos and C.S. Oliveira, 2004. Correlation between damage distribution
and soil behaviour estimated with ambient vibrations. Proceedings of the 13th World
Conference on Earthquake Engineering, Vancouver, August 2004, Paper # 1004.
Theodulidis N., G. Cultrera, A. Tento, D. Faeh, K. Atakan, P.-Y. Bard, A. Panou and the
SESAME-Team, 2004. Empirical evaluation of the horizontal-to-vertical spectral ratio technique: results from the SESAME project. Proceedings of the 13th World
Conference on Earthquake Engineering, Vancouver, August 2004, Paper # 2323.
reliability of the H/V Spectral Ratio Technique, ICSDEE & ICEGE, Berkeley, CA, USA.
Atakan K., A.-M. Duval, N. Theodulidis, B. Guillier, J.-L. Chatelain, P.-Y. Bard and SESAME-
Team. 2004. The H/V spectral ratio technique: experimental conditions, data
processing and empirical reliability assessment. 13th world conference in Earthquake
Engineering, Vancouver, Paper # 2268.
Bard P.-Y., and SESAME participants, 2004. The SESAME project: an overview and main
results. Proceedings of the 13th World Conference in Earthquake Engineering,
Vancouver, August 2004, Paper # 2207.
Bard P.-Y., 1998. Microtremor measurements: A tool for site effect estimation ? Proceeding
of the Second International Symposium on the Effects of Surface Geology on Seismic
Motion. Yokohama, Japan, 3. pp. 1251-1279.
Bonnefoy-Claudet S., C. Cornou, J. Kristek, M. Ohrnberger, M Wathelet, P.-Y. Bard, D. Fäh,
P. Moczo, F. Cotton, 2004. Simulation of seismic ambient vibrations: I. H/V and array
techniques on canonical models. 13th world conference in Earthquake Engineering,
Vancouver, Paper # 1120.
Cornou, C., G. Di Giulio, M. Ohrnberger, J. Kristek, M. Wathelet, 2004. Simulated Vs
observed seismic ambient noise in the Colfiorito basin: site effect estimation and noise
wavefield characteristics. XXIXth European Seismological Commission, Session F3,
September 2004.
Cornou C., J. Kristek, S. Bonnefoy-Claudet, D. Fäh, P.-Y. Bard, P. Moczo, M. Ohrnberger, M
Wathelet, 2004. Simulation of seismic ambient vibrations: II. H/V and array techniques
for real sites. Proceedings of the 13th World Conference on Earthquake Engineering,
Vancouver, Canada, August 2004, Paper # 1130.
Cultrera G., R. Azzara, F. Cara, R. d’Anna, G. Di Giulio, M. S. Giammarinaro, G.
Passafiume, A. Rovelli and P. Vallone, 2004. Microtremor Measurements in Palermo,
Italy: a comparison with macroseismic intensity and earthquake ground motion.
Proceedings of the 13th World Conference on Earthquake Engineering, Vancouver,
August 2004, Paper # 915.
Dubos, N., A. Souriau, C. Ponsolles, J.-F. Fels and G. Sénéchal, 2003. Etude des effets de
site dans la ville de Lourdes (Pyrénées, France) par la méthode des rapports
spectraux. Bull. Soc. Géol. Fr., 174-1, 33-44.
Dubos, N., 2003. Contribution à l'évaluation du risque sismique dans les Pyrénées Centrales.
Thèse de l'Université Paul Sabatier (Toulouse III), 210 pages.
Dunand F., P.-Y. Bard, J.-L. Chatelin, Ph. Guéguen, T. Vassail, M.N. Farsi. 2002. Damping
and frequency from randomec method applied to in-situ measurements of ambient
vibrations: Evidence for effective soil structure interaction. 12th European Conference
on Earthquake Engineering, London. Paper # 869.
Duval A.-M., J.-L. Chatelain, B.Guillier and SESAME Project WP02 Team, 2004. Influence of
experimental conditions on H/V determination using ambient vibrations (noise),
Proceedings of the 13th World Conference on Earthquake Engineering, Vancouver,
August 2004, Paper # 306.
Duval A.-M., J.-L. Chatelain, B. Guillier and the SESAME WP02 Team. 2004, Influence of
experimental conditions on H/V determination using ambient vibrations (noise),
ICSDEE & ICEGE, Berkeley, CA, USA.
Kanai K. and T. Tanaka, 1961. On microtremors. VIII. Bulletin of the Earthquake Research
Institute, 39- 97-114.
Koller M. G., J.-L. Chatelain, B. Guillier, A.-M. Duval, K. Atakan, C. Lacave, P.-Y. Bard and
the SESAME participants, 2004. Practical user guidelines and software for the
implementation of the H/V ratio technique : measuring conditions, processing method
and results interpretation, 13th World Conference on Earthquake Engineering,
Vancouver, Paper # 3132.
Konno K. and T. Ohmachi, 1998. Ground motion characteristics estimated from spectral ratio
between horizontal and vertical components of microtremors. Bull. seism. Soc. Am., 88-
1, 228-241.
Kudo K., 1995. Practical estimates of site response. State-of-the- art report. Proceedings of
the fifth Internationnal Conference on Seismic Zonation. Nice, France.
Malischewsky, P., and F. Scherbaum, 2004;Love's formula and H/V ratio (ellipticity) of
Rayliegh waves, Wave motion, 40-1, 57-67..
Nakamura Y., 1989. A method for dynamic characteristics estimation of subsurface using
microtremor on the ground surface. Quaterly Report Railway Tech. Res. Inst., 30-1, 25-
30.
Nogoshi M. and T. Igarashi, 1971. On the amplitude characteristics of microtremor (part 2)
(in japanese with english abstract). Jour. Seism. Soc. Japan, 24, 26-40.
Panou A. A. , N. P. Theodulidis, P. M. Hatzidimitriou , A. S. Savvaidis and C. B.
Papazachos, Reliability of ambient noise horizontal-to-vertical spectral ratio in urban
environment: The case of Thessaloniki city (Northern Greece), PAGEOPH, 2005 (in
press).
Panou A. A. , N. Theodulidis , P. Hatzidimitriou , K. Stylianidis and C.B. Papazachos,
Ambient noise horizontal-to-vertical spectral ratio in site effects estimation and
correlation with seismic damage distribution in urban environment: The case of the city
of Thessaloniki (Northern Greece), Soil Dyn. & Earthq. Engin., 2004 (accepted for
publication).
SESAME European project, 2002. Controlled instrumentation specification, Deliverable
D01.02.
SESAME European project, 2003. Nature of noise wavefield. Deliverable D13.08.
SESAME European project, 2003. H/V technique : experimental conditions, Deliverable
D08.02
SESAME European project, 2003. Multi-platform H/V processing software J-SESAME.
Deliverable D09.03.
SESAME European project, 2004. J-SESAME User Manual, Version 1.08.
SESAME European project, 2004. Report on parameter studies. Deliverable D12.09.
SESAME European project, 2004. Overall comparisons for test sites. Deliverable D17.10.
Stephenson, W.R., 2003. Factors bounding prograde rayleigh-wave particle motion in a soft-
soil layer, Proceedings of the 2003 Pacific Conference on Earthquake Engineering, 13-
15 February 2003, Christchurch, New-Zealand, Paper # 56, 8 pages
Teves-Costa, P., L. Senos and C.S. Oliveira, 2004. Correlation between damage distribution
and soil behaviour estimated with ambient vibrations. Proceedings of the 13th World
Conference on Earthquake Engineering, Vancouver, August 2004, Paper # 1004.
Theodulidis N., G. Cultrera, A. Tento, D. Faeh, K. Atakan, P.-Y. Bard, A. Panou and the
SESAME-Team, 2004. Empirical evaluation of the horizontal-to-vertical spectral ratio technique: results from the SESAME project. Proceedings of the 13th World
Conference on Earthquake Engineering, Vancouver, August 2004, Paper # 2323.
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