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Nonreflection seismic and inversion of surface and guided waves

MASW for geotechnical site investigation


CHOON PARK, Park Seismic LLC

ultichannel anaylsis of surface waves (MASW) is a seismic surface-wave technique developed specically for near-surface applications at depths usually shallower than a few tens of meters (Park et al., 1999). Since its introduction in the late 1990s, use of the technique has rapidly increased for two reasons: (1) it provides the shear-wave velocity (VS) of ground materials, which is one of the most important geotechnical parameters in civil engineering, and (2) it is easier to use than other common seismic approaches (e.g., refraction, reection, and surface-wave surveys). Elastic moduli are commonly used in geotechnical engineering to describe the behavior of Earth materials under stress, which is ultimately related to such tasks as properly designing earthworks and structural foundations, risk assessment under specic site conditions, and monitoring various types of existing infrastructures for public safety. Among three primary types of modulusYoungs (E), shear (), and bulk () modulithe rst two are most commonly used because of what they represent. Youngs modulus simply describes the deformation tendency along the axis of stress, whereas the shear modulus describes the tendency of shape deformation (shearing) that, in turn, is related to the viscosity of material. Youngs and shear moduli are determined from the parameters of density (), shear-wave velocity (VS), and Poissons ratio () (Figure 1). From the two dening equations shown in the gure, it is obvious that VS plays the most important role as it is included as squared terms. In addition, VS in reality changes through a broader range than density and Poissons ratio. Therefore, accurate evaluation of VS can be extremely valuable in geotechnical engineering. As shown in the equations, the shear modulus can be determined fairly accurately once VS is known. On the other hand, Youngs modulus requires Poissons ratio to obtain a comparable accuracy. MASW provides VS information of ground materials by processing Rayleigh-type surface waves that are dispersive when travelling through a layered media (dierent frequencies travel at dierent speeds). This dispersion property is determined from a materials shear-wave velocity (VS) (by more than 95%), P-wave velocity (VP) ( 3%), and density () ( 2%). By analyzing dispersion properties, we can therefore determine VS fairly accurately by assuming some realistic values for VP and . The accurate evaluation of the dispersion property is most important with any surface-wave method in this sense. By using a 2D waveeld transformation (for example, f-k transformation), the MASW method converts raw eld data in a time-oset (t-x) domain directly into a frequency-phase velocity (f-v) domain in which dispersion patterns are evident through the waveeld maxima. The remaining procedure extracts a dispersion curve of, usually, fundamental mode that will be used in a subsequent process in search for the onedimensional (1D) VS prole. An accurate dispersion analysis is obviously an important part of data processing, and this is
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Figure 1. Dening equations for Youngs and shear moduli showing relationship with shear-wave velocity ( VS ) and other parameters.

Figure 2. A diagram showing the relative amplitude change with oset among surface waves, body waves, and ambient noise indicating that the most commonly used oset range for MASW data acquisition is usually shorter than 100 m. This almost always falls into the optimum oset due to the strong energy of surface waves. Site Class A (Hard rock) B (Rock) C (Very dense soil and soft rock) D (Sti soil) E (Soft clay soil) S-velocity (VS) (ft/s) > 5000 25005000 12002500 S-velocity (VS) (m/s) > 1500 7601500 360760

6001200 < 600

180360 < 180 < 180, and meeting some additional conditions

F < 600, and meeting (Soils requiring some additional additional response) conditions

Table 1. NEHRP seismic site classication based on shear-wave velocity ( V ) ranges. S

Nonreflection seismic and inversion of surface and guided waves

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why it is often the signal-to-noise ratio (SNR) of dispersion image that directly inuences reliability of MASW results. A high SNR is required in all types of wave-based techniques to achieve highly accurate results. The surface-wave method utilizes Rayleigh waves as signalthe most troublesome source-generated noise in the history of exploration seismology, commonly known as ground roll. Surface waves provide the highest SNR possible in any type of seismic approach. As a consequence, the eld operation for data acquisition and subsequent data analysis become extremely simple and eective, almost always ensuring the most reliable results. MASW is the most advanced surface-wave method because of its full adaptation of the multichannel principles long used in seismic exploration for natural resources. Figure 2 illustrates the tolerance in data acquisition with MASW by showing that the common range of source-receiver osets required for most geotechnical projectsusually shorter than 100 mis optimal within which a high SNR is almost always guaranteed. The area too close to the source (for example, 5 m) is usually avoided because of the near-eld eects that prevent full development of surface waves. On the other hand, an excessively far oset (for example, 100 m) is also avoided because of far-eld eects that can make the energy level of surface waves drop below that of ambient noise. Because shear-wave velocity (VS) information is a good indicator of the material stiness, MASW is often applied in civil engineering to deal with mechanical aspects of ground materials (for example, assessment of load-bearing capacity, ground behavior under continuous and prolonged vibration, and ground amplication and liquefaction potential under earthquake). MASW also nds application in mapping the soil/bedrock interface, which is often more usefully and realistically dened from the stiness concept than any other characteristics (Miller et al., 1999). Seismic site classicationVs30m One application of MASW in earthquake engineering, such

as liquefaction evaluation, is related to the elastic property of VS that is closely linked to the viscosity of material; the lower the VS, the more viscous is the material. On the other hand, ground amplication for a given earthquake magnitude, which causes most earthquake-related damages, changes with ground stiness at relatively shallow depths. Based on the premise established from empirical studies that the top 30 m inuences the most, and also from the fact that the shear-wave velocity (VS) is the best indicator of stiness, the average VS in the top 30 m (usually denoted as Vs30m) is used as an important criterion in the design of building structures. In general, a site with a lower Vs30m would be subject to a greater ground amplication (and suer more damage from an earthquake). The National Earthquake Hazard Reduction Program (NEHRP) established by the U.S. Congress in 1977 adopts this criterion and classies a site into one of several categories (Table 1). The International Building Code (IBC) published the same classication designations in 2000 as one of the parameters that should be accounted for in structural design. Calculation of the average VS for a certain depth range (for example, the top 30 m) can be accomplished in two ways: (1) based on relative thickness-contribution of each layer (method 1 in Figure 3), and (2) based on the denition of velocitytotal distance (di) divided by total travel time (ti) that is calculated by summation of thickness (di) divided by velocity (Vsi) of each layer (method 2 in Figure 3). Both methods can yield signicantly dierent results for the same VS prole as illustrated by using a simple two-layer VS prole. Vs30m as dened in International Building Code (IBC 2000 and later editions) uses the second method, which tends to put a heavier weight on the lower VS: Vs30m = di / ti = 30 / (di/Vsi) (m/s) (1)

One of the most demanding applications for Vs30m evaluation occurs in wind-turbine site characterization (Park and Miller, 2005). In this case, the VS value provided by MASW is important to account in the foundation design not only for the potential earthquake hazard, but also for the continuous and prolonged vibration of the ground produced by rotating blades. Vs30m values and corresponding site classes presented in Figure 4 are selected from sites at several dierent wind farms in the midwest and the northeast. They are presented in the typical format to deliver the results to the engineers. Site characterization of a potential nuclear power plant Another example of the application of MASW for 1D (depth) site characterization comes from the seismic hazard assessment of potential nuclear power
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Figure 3. Two possible ways to calculate an average shear-wave velocity ( VS ). The second method used for Vs30m tends to put a heavier weight on the lower VS .

Nonreflection seismic and inversion of surface and guided waves

plants that are routinely subjected to machinery vibration and potential ground motion from earthquake. An instance recently implemented at Thyspunt, South Africa, is presented. To meet the increasing demands for electricity generation, the government of South Africa is committed to the construction of several new nuclear power plants, with the coastal site at Thyspunt, west of Port Elizabeth, being considered as one of the sites for characterization (Figure 5) (Bommer et al., 2013). Although South Africa is not a region of elevated seismicity, destructive earthquakes have occurred. The most recent had a magnitude 6.2 and occurred in 1969. Commissioned by the state-owned energy utility (Eskom), the Council for Geoscience (CGS), one of the National Science Councils of South Africa, conducted a seismic hazard analysis following the most stringent international standards. The MASW survey, adopted as one of the several Figure 4. Shear-wave velocity (VS ) proles selected from ve dierent wind-turbine sites that fall into each dierent class in seismic site classication (as dened in Table 1). approaches for this comprehensive analysis, was conducted at six dierent locations in the area (Figure 5). The purpose was to evaluate VS structure to depths as deep as possible, preferably down to 100 m. Because of the unusually deep investigation depth being sought, both active and passive surveys were conducted using a 48-channel seismic acquisition system and 4.5-Hz geophones as receivers. Since all the sites were in remote coastal areas without strong vibration sources available, such as trac, passive surveys relied on ocean activities for lower frequency surface waves (for example, 10 Hz or lower). In addition, two dierent active surveys were conducted at each site: one with relatively short receiver spacing (dx) of 1 m and a 5-kg sledge Figure 5. Site map of a potential nuclear power plant in Thyspunt, South Africa, that shows six hammer source, and another with MASW sites and deep borehole sites. a longer dx of 4 m and a rock-drop source facilitated by a tracked hoe (Figure 6). The former generated sucient energy at frequencies as low as 10 Hz and survey setup was designed to investigate relatively shallow lower at some sites (Figure 7). The passive survey adopted a depths (for example, 30 m) and the latter was designed to two-dimensional cross-receiver array with a 10-m separation investigate deeper depths ( 50 m). between receivers (Figure 6). Most sites had soft sandy overburden of varying thickDispersion imaging results from these passive surveys also nesses, thereby attenuating surface waves quite rapidly, showed remarkable energy at the lowest frequencies in the especially in the short-spread surveys using a sledge hammer range of 420 Hz (Figure 7). The results from the long-spread source. The long spread surveys with the rock-drop source active surveys were quite similar, with dierences mainly in
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Nonreflection seismic and inversion of surface and guided waves

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the higher-frequency content and resolution. All three types of dispersion images were stacked on top of each other to extend the usable bandwidth and increase the overall SNR of images. This stacking also enhanced higher-mode patterns that existed in dierent frequency bands on dierent images (Figure 7). The inversion process to produce a 1D VS prole at each site consisted of two phases. The rst phase used only the fundamental-mode (M0) curve to produce the rst approximation of the velocity prole. Then, using this as an initial model in the second phase, fundamental and higher-mode dispersion curves were generated through the forward modeling process. These multimodal dispersion curves were then examined against observed patterns in the stacked dispersion image. This second phase of multimodal inversion was carried out and repeated after manually changing the velocity (VS) and thickness models until satisfactory matches were found. Figure 8 shows the nal VS proles at all six sites obtained through this two-phase inversion approach. Theoretical bounds for 50% change in dispersion curves are also indicated in the prole. Borehole data from PS-suspension logging are also presented in Figure 9 with their locations marked on the map in Figure 5. No borehole sites were close enough to any MASW site to allow a meaningful direct comparison. Nonetheless, borehole data can show possible VS ranges of overburden and bedrock in the area. They show bedrock depths change signicantly from one site to another in an unpredictable manner. They indicate VS of overburden at about 200 m/s and that of bedrock at about 15003500 m/s with uctuations between the two. MASW results also show VS values of bedrock in a similar but slightly lower range and almost the same VS of overburden (Figure 8). Depths of bedrock are also observed changing without any predictable pattern. Underground mine investigation Another common application area of MASW is mapping bedrock in depth and relative competence related to stress
Figure 7. Dispersion images obtained from passive and active data sets acquired at site 1 in Thyspunt, South Africa. The image created from combining (stacking) the two images is shown at the bottom.

Figure 6. A costal view (left) from an MASW site at the potential nuclear power-plant location in Thyspunt, South Africa. Ocean activities generated surface waves for passive surveys that used a 2D receiver array (center). A rock-drop source using a tracked hoe (right) was used for the active survey.
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Nonreflection seismic and inversion of surface and guided waves

from overburden and cultural activities. The interface be- these newly constructed highway segments as a means to tween overburden and underlying bedrock can be a sharp monitor the general condition of the bedrock. MASW surboundary such as soil over competent basement rock, or a veys were conducted as one of the approaches at the four gradational transition such as the buried bedrock inuenced target locations marked on the map in Figure 10. The main by a severe weathering process with no physically distinct purpose of the MASW surveying was to map the general toboundary. From a perspective of elastic property, the inter- pography of bedrock and any other noteworthy subsurface face is also a sharp boundary in the former case, whereas it is features that could be linked to potential progression of beda gradational change in the latter case because the weathered rock weakening or vertical migration of collapse structures. To simultaneously survey two 12-ft wide lanes (both drivtop portion would consist of varying degree of rock stiness. This suggests the stiness mapping by MASW would show ing and passing), a specially built double land streamer was the interface from a highly realistic standpoint. MASW is known to provide highly eective and accurate information about bedrock depth, especially at depths shallower than 20 m or so. This is because surface-wave dispersion properties are highly sensitive to change in this depth range. Although the shear-wave velocity (VS) of overburden can be accurately estimated, VS of the bedrock tends to be slightly underestimated as depth increases beyond the most sensitive range of 20 m unless special care is taken during the initial model creation at the beginning of inversion process. Naturally, a common application would be the bedrock mapping in association with public safety where a potential hazard of bedrock collapse exists due to man-made or natu- Figure 8. MASW results of ve-layer shear-wave velocity ( V ) proles at six sites in Thyspunt, S ral causes in the subsurface such as South Africa. mining and karst sinkhole development. Mapping bedrock topography can delineate the collapsed features, whereas a zone of bedrock with signicantly lower VS than adjacent areas may indicate a potential for vertical migration of a void. In 2009, the Minnesota Department of Transportation (MnDOT) built a special type of pavement called CRCP (continuously reinforced concrete pavement) along several segments of Trunk Highway (TH) 169 in Chisholm, Minnesota (Figure 10). This construction followed several surface collapse features in the area near TH169 that were deemed to be related to previous mining activities for more than 100 years that left a subsurface maze of abandoned mine shafts and tunnels (Figure 10). In 2011, the Oce of MnDOT Materials launched a project that included geophysical approaches to in- Figure 9. Deep borehole data from PS-suspension logging at six locations in Thyspunt, South vestigate subsurface conditions below Africa.
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Nonreflection seismic and inversion of surface and guided waves

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Figure 10. Aerial map showing locations of four MASW survey lines on Trunk Highway (TH) 169 near Chisholm, Minnesota. Locations of mine properties and workings are also shown.

Figure 11. The double land streamers (24-channel acquisition each) built at the Minnesota Department of Transportation (MnDOT) for the simultaneous MASW surveys over two (driving and passing) lanes on TH169. The weight-drop source shown in the inset used a polyethylene impact plate that tends to increase surface-wave energy at lower frequencies. To minimize trac-generated noise and the burden of trac control, surveys took place during the night.

Figure 12. Typical eld records from MASW surveys on TH169, and their corresponding dispersion images from each land streamer that show almost ideal signal-to-noise ratio of 100% signal.

used to collect surface-wave data by using a 48-channel acquisition system with each land streamer equipped with 24 4.5-Hz geophones installed at 1-m spacing (Figure 11). The left- and right-side land streamers (facing from source) were connected to channels 124 and 2548 of the seismograph, surveying on driving and passing lanes, respectively. A powerful weight-drop source specially designed and built at the University of Saskatchewan in Canada was used to generate surface waves 6 m ahead and at the midpoint between the two streamers (Figure 11). To minimize trac control and to avoid trac-generated noise as much as possible, surveying took place during the night. Figure 12 shows typical eld records from each land streamer and corresponding images of fundamental-mode dispersion patterns that possess an almost ideal SNR (i.e., 100% signal) in a broad frequency band of approximately 540 Hz. Figure 13 shows analyzed 2D shear-wave velocity

(VS) maps for the longest survey line on the eastbound lanes (line 3) that were obtained with a maximum analysis depth of 25 m. The bedrock surface is denoted by a relatively sharp transition boundary of velocities from approximately 200 m/s to 500 m/s. The bedrock depth is shown to gradually increase from about 7 m on the western end to the maximum depth of about 20 m on the eastern end, and this general trend conformed to the boring results from several locations along or near the surveyed line. Interoverburden layers of higher velocity materials are probably lenses of gravels and boulders. They can be identied on both maps of driving and passing lanes, appearing as localized lenses and continuous layers. This interpretation is consistent with the general geology of the area as conrmed from borings and other sources. Although the two maps from each lane look identical at a regional scale, dierences are noticeable when examined from a local perspective. For example, bedrock is slightly deeper on the eastern half of the passing-lane map, and interoverburden layers have slightly dierent depths and lateral extent. Considering the identical and consistent acquisition conditions
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Nonreflection seismic and inversion of surface and guided waves

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Figure 13. MASW results of 2D shear-wave velocity (VS ) maps for line 3 from the surveys on TH169. Results from left (channels 124, driving lane) and right (2548, passing lane) land streamers are shown.

the two land streamers were subjected to, it is reasonable to attribute these dierences to subtle subsurface realities.
References
Bommer, J. J., K. J. Coppersmith, E. Hattingh, and A. P. Nel, 2013, An application of the SSHAC level 3 process to the probabilistic seismic hazard assessment for the Thyspunt nuclear site in South Africa: Proceedings, 22nd International Conference on Structural Mechanics in Reactor Technology (SMiRT22). Miller, R. D., J. Xia, C. B. Park, and J. M. Ivanov, 1999, Multichannel analysis of surface waves to map bedrock: The Leading Edge, 18, no. 12, 13921396, http://dx.doi.org/10.1190/1.1438226. Park, C. B., R. D. Miller, and J. Xia, 1999, Multichannel analysis of surface waves: Geophysics, 64, no. 3, 800808, http://dx.doi. org/10.1190/1.1444590. Park, C. B. and R. D. Miller, 2005, Seismic characterization of wind turbine sites near Lawton, Oklahoma, by the MASW method: Kansas Geological Survey Open-le Report 2005-22.

generosity in allowing TH169 data to be used for this publication as well as sharing other related information. Corresponding author: choon@parkseismic.com

Acknowledgments: I thank ocials at Eskom in South Africa for permission to use the data sets in this article. Julian J. Bommer at Imperial College, London, UK, and Artur Cichowicz at the Council for Geosciences (CGS) in South Africa played critical roles in getting permissions. I also acknowledge all those actively involved in the eld operation during the MASW surveys at the Thyspunt nuclear site. Cichowicz and Denver Birch from CGS made major contributions to the MASW work. Henni de Beer of ESKOM facilitated access to the site and provided assistance in clearing the MASW test locations. Vincent Jele, Robert Kometsi, and Leonard Tabane of the CGS assisted Birch and two TI team members, Ellen Rathje and Adrian Rodriguez-Marek, with the MASW eld work. Wits University provided some equipment for use in the active MASW testing. Institute of Mining Seismology (IMS) performed the passive MASW experiments. Special thanks to Jason Richter at Minnesota Department of Transportation (MnDOT) for the

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