Moment Tensor Resolvability: Application to Southwest...

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Moment Tensor Resolvability: Application to Southwest Iberia 1 2 Jiˇ ı Zahradn´ ık 1 and Susana Cust´odio 2 3 1 Charles University in Prague, Faculty of Mathematics and Physics, Czech Republic 4 2 University of Coimbra, Centre for Geophysics – Geophysical Institute, Portugal 5 6 August 1, 2011 7 8 Jiˇ ı Zahradn´ ık (corresponding author): 9 Charles University in Prague, Faculty of Mathematics and Physics, V Holesovickach 2, 180 10 00 Prague 8, Czech Republic, Czech Republic, jiri.zahradnik@mff.cuni.cz 11 1

Transcript of Moment Tensor Resolvability: Application to Southwest...

  • Moment Tensor Resolvability: Application to Southwest Iberia1

    2

    Jǐŕı Zahradńık1 and Susana Custódio23

    1Charles University in Prague, Faculty of Mathematics and Physics, Czech Republic4

    2University of Coimbra, Centre for Geophysics – Geophysical Institute, Portugal5

    6

    August 1, 20117

    8

    Jǐŕı Zahradńık (corresponding author):9

    Charles University in Prague, Faculty of Mathematics and Physics, V Holesovickach 2, 18010

    00 Prague 8, Czech Republic, Czech Republic, [email protected]

    1

  • Abstract12

    We present a method to assess the uncertainty of earthquake focal mechanisms13

    based on the standard theory of linear inverse problems. We start by computing the14

    uncertainty of the moment tensor, M. We then map the uncertainty of M into uncer-15

    tainties of strike, dip, and rake. The inputs are: source and station locations, crustal16

    model, frequency band of interest, and an estimate of data error. The output is a17

    6D error ellipsoid, which shows the uncertainty of the individual parameters of M.18

    We focus on the double-couple (DC) part of M. The method is applicable when data19

    (waveform) are available, as well as when no waveforms are available. The latter is20

    particularly useful for network design. One of the most interesting applications that we21

    show are maps of DC resolvability, which are computed without waveforms. Examples22

    are shown for earthquakes in Southwest Europe. We find that the resolvability de-23

    pends critically on source depth. Shallow DC sources (10 km) are theoretically better24

    resolved than deeper sources (40 and 60 km). The DC resolvability of the 40-km deep25

    event improves considerably when the Portuguese network is supplemented by stations26

    in Spain and Morocco. Adding a few OBS stations would improve the resolvability.27

    However, a similar improvement in resolvability can be achieved with a densification28

    of land stations. A dense land network is able to resolve M well in spite of the large29

    azimuthal gap, which spans ∼ 200o.30

    2

  • 1 Introduction31

    Earthquake models can be divided into two broad categories: point- and finite-sources.32

    Finite-fault models contain information about the spatial evolution of slip on the fault.33

    Point-source models simplify the earthquake as slip that occurs on a single point in space.34

    Point-source models are useful to describe the geometry of faulting as well as non-shear35

    components of the source, even for small and moderate-size earthquakes. These parameters36

    are quite useful, e.g. to understand the tectonics of a given region. The most general and37

    widely-used description of a seismic point source is the moment tensor (M), a 2nd-rank,38

    three-by-three, symmetric tensor [Gilbert , 1971; Aki and Richards , 2002]. M describes any39

    source of deformation in an elastic medium in terms of force-couples. The moment tensor40

    of shear/tectonic earthquakes represents a simple double couple of forces. In this case,41

    M contains information both about the magnitude of the earthquake and the geometry of42

    faulting. The strike, dip and rake angles can be derived from M.43

    At present, seismologists use ground-motion waveforms to infer M on a routine basis.44

    The problem of studying the seismic source given observed ground motion is an inverse45

    problem (the corresponding direct problem is to compute the ground motion caused by a46

    seismic source). The result of any inverse problem has limited reliability. The inversion of M47

    is now common practice, however the errors of M are rarely reported. The assessment of the48

    reliability of M is particularly important when the dataset is less-than-perfect, e.g., when49

    only a few stations are available, when a large azimuthal gap exists, or when the signal-50

    to-noise (S/N) ratio is low in the frequency band of interest. Why are the uncertainties51

    3

  • of M not routinely reported? We can identify two main reasons: (i) It is relatively easy52

    to compute error estimates for the individual components of M, because they are linearly53

    related to the waveforms (for a fixed depth and origin time). However, the more intuitive54

    faulting parameters – strike, dip and rake angles – are not linearly related to the waveforms,55

    so their uncertainties are more difficult to estimate. (ii) The evaluation of the absolute errors56

    of M requires an assessment of data error, which in principle cannot be obtained. A third57

    reason may be suggested: Users of M (or strike, dip and rake) are often more interested in a58

    final result than in a lengthy/extensive discussion of error. However, using the results of an59

    inversion without thinking about its errors is dangerous: A solution to an inverse problem60

    can always be found; however the solution will be meaningless if the errors are too large.61

    This paper focuses on the uncertainty of M. We address both issues stated above: (i) We62

    show how to compute the errors of M and how to translate them into errors of strike, dip63

    and rake; (ii) We discuss data errors, point ways to estimate their magnitude, and indicate64

    applications for which an actual assessment of data error is not needed. Finally, the method65

    that we present is simple and fast; thus it can be implemented for routine inversions of M.66

    The resolution of the moment tensors retrieved from waveform inversions has been a67

    concern to seismologists for long [e.g. Riedesel and Jordan, 1989; Vasco, 1990]. Nevertheless,68

    the issue remains a topic of active research. Riedesel and Jordan [1989] showed how to use69

    the covariance of M (a 4th-rank tensor) to graphically visualize the uncertainty of moment70

    tensors. However their method is based on perturbation theory, hence only applicable to71

    small parameter variations [Vasco, 1990]. Vasco [1990] studied the errors in M arising72

    from noise in data and imperfect Green’s functions. He proposed a method to map data73

    4

  • errors into bounds of three invariants of M: the trace (which corresponds to the isotropic74

    component of the source), the determinant, and the sum of the diagonal minors of the75

    determinant. More recently Yagi and Fukahata [2011] proposed an inversion algorithm that76

    takes into account the uncertainty of the Green’s functions (their method concerned a finite-77

    fault inversion). They computed the covariance matrix from the misfit between observed and78

    synthetic waveforms. Then they rigorously included the covariance in the inverse problem79

    to iteratively improve the estimate of the model parameters. Vavryčuk [2007]; Bukchin80

    et al. [2010] showed that trade-offs between individual components of the moment tensor81

    impose limits on the resolvability of M, even for error-free data and Green’s functions (GFs).82

    Such trade-offs are caused by symmetries in the seismic wave field and/or source-station83

    configuration. In such situations, different earthquakes (as defined by M) generate indistinct84

    waveforms at the stations where data is recorded.85

    A popular approach to assess the robustness of M is to find a family of acceptable86

    solutions rather than just one best-fitting solution. In this case, the family itself is used to87

    define the confidence intervals of the model parameters. For example, Š́ılený [1998] generated88

    families of acceptable Ms using a genetic algorithm. Some authors repeat their inversions89

    with data contaminated with artificial noise; e.g. Hingee et al. [2011] considered noise as high90

    as 100% of the data amplitude. Others repeat the inversions in artificially perturbed crustal91

    models [Š́ılený , 2004; Wéber , 2006; Vavryčuk , 2007]. Ford et al. [2009] discussed inaccurate92

    crustal models in a very practical way: in terms of temporal shifts between observed and93

    synthetic waveforms. Ford et al. [2010] proposed the network sensitivity solution (NSS), a94

    way to assess the reliability of the non-DC components of M. The NSS is obtained through95

    5

  • a grid search over the whole space of model parameters. Misfits (or equivalently, variance96

    reductions) are computed for all possible source models. The results are displayed using a97

    source type plot, which allows the easy identification of shear vs volumetric components of98

    M [Hudson et al., 1989]. All methods above provide families of acceptable solutions without99

    specifying absolute confidence intervals. In fact, absolute confidence intervals can only be100

    computed given an independent assessment of data error (which cannot be obtained). The101

    studies described above show that defining a range of acceptable solutions is useful, even if102

    just in a relative sense (i.e., without determining absolute probabilities for specific confidence103

    levels).104

    In this paper we present a simple approach: We use the well-established theory of linear105

    inverse problems to map data errors into errors of the model parameters [e.g. Menke, 1989;106

    Press et al., 1992; Parker , 1994]. Thus we obtain an estimate of the uncertainty of M. We107

    then map the uncertainty of M into uncertainties of strike, dip, and rake. Our approach108

    is similar to that of Vasco [1990] in that we numerically map data errors into errors of109

    the model parameters. Another method that shares similarities with ours is the NSS of110

    Ford et al. [2010]. The NSS extensively explores the parameter space in order to image111

    the uncertainty of M. However, the NSS requires the repeated computation of synthetic112

    ground-motion and variance reduction (or misfit). Our method does not require the actual113

    computation of synthetic ground-motion, it is simply based on the analysis of the Green’s114

    functions. Also, our method allows an easy assessment of the resolvability of pure double115

    couple (DC) sources. The uncertainty of pure DC sources is not visualized in the NSS116

    because all pure DC solutions are plotted on a single point of the source-type plot.117

    6

  • The uncertainty analysis presented in this paper uses the full moment tensor. However,118

    we focus on the DC part of M, leaving the resolvability of non-DC components for a separate119

    study. The uncertainty of M, as presented in this paper, is useful in two distinct situations:120

    (i) Waveforms are available, they have been inverted to find M, and the resulting source121

    parameters need “error bars”; (ii) No waveforms are available, but we are still interested122

    in the resolvability of a given focal mechanism. The latter is typical of network design or123

    experiment planning. The tools that we present in this paper are quite simple and based on124

    standard theory; nevertheless they provide a fast and computationally cheap way to assess125

    the resolvability of M, both with and without data.126

    Examples of the assessment of DC uncertainty are shown for earthquakes in Southwest127

    Iberia. First, we study the resolvability of a reference earthquake located offshore. We then128

    investigate how the resolvability of DC solutions varies with earthquake depth, frequency129

    range, crustal structure, station configuration, and data error. We also present maps of130

    resolvability for different network configurations. Some of the questions that we answer are:131

    Is it enough to use the Portuguese network in order to resolve DC parameters for offshore132

    earthquakes? Or do we need to add stations from neighbor countries? Or do we even need133

    to add ocean bottom seismometers (OBSs), thus improving the azimuthal coverage? This134

    last question has practical implications, because the deployment of OBS stations is more135

    expensive and difficult than that of traditional land stations.136

    7

  • 2 Method137

    In this section we describe the linear inverse problem of finding the moment tensor M given138

    observed ground motion. We then show how to compute the resolvability of the inferred139

    model parameters. We also indicate how these values can be translated into uncertainties140

    of strike, dip, and rake. Intentionally, part of the theory is presented in an Appendix; both141

    because the theory behind the computations is standard and because moving the theory to142

    the Appendix allows a more intuitive interpretation of the concepts.143

    2.1 The Moment Tensor144

    Ground motion is linearly related to the moment tensor:145

    di(t) =6∑

    j=1

    Gij(t)mj (1)

    In the symbolic equation above di(t) are the displacement waveforms (each one recorded146

    on a different station/component i), Gij(t) is the matrix of Green’s functions (which we147

    compute based on crustal structure, source location, station location, and frequency range),148

    and mj are the unknown parameters which fully determine M. Suppose that we have N149

    waveforms to use in the inversion, such that i = 1, . . . , N . The number of model parameters150

    to determine is six, equal to the number of independent components of M. Then d(t) is a151

    column vector of size N × 1, G(t) is a matrix N × 6, and m is a column vector of size 6× 1.152

    The inversion is formally over-determined when N À 6.153

    The six parameters mj may be the actual moment tensor components. More conve-154

    8

  • niently, mj may also be the coefficients of elementary focal mechanisms, which in turn are155

    linear combinations of the independent components of M [Kikuchi and Kanamori , 1991;156

    Zahradńık et al., 2005, 2008a,b]. In this case, the columns of G are the so-called elementary157

    seismograms, which correspond to the six elementary moment tensors M1, . . . ,M6. The158

    moment tensor M is constructed as a linear combination of Mi:159

    M = m1M1 + . . . + m6M6 (2)

    In our analysis we assume that the time dependence of M is known (e.g. the source160

    time function is a delta function). We further assume that the earthquake origin time and161

    location are known. Finding M, or solving (1) and (2), is then a linear problem.162

    2.2 Best Solution vs Range of Acceptable Solutions163

    The goal of the inverse problem is to find a set of model parameters (mj), which generates164

    synthetic ground motion that agrees with the data. The solution to this problem is found165

    by minimizing the misfit between observed data (di) and synthetics (si). Synthetics are166

    given by the right-hand side of (1), such that s = Gm. We can proceed in two ways:167

    (a) We can compute a single “best” (minimum-misfit) solution, e.g. through least-squares168

    minimization, LSQ; (b) We can use a global minimization method, e.g grid search, to obtain a169

    set of acceptable solutions with misfits ranging from a minimum to a threshold value. Option170

    (a) is attractive when we look for a single solution for a genuinely linear problem, like the171

    inversion of M. However, we favor option (b) as it provides a distribution of acceptable172

    parameters (e.g. strike, dip, and rake angles), or a distribution of the deviations from their173

    9

  • optimal values. Option (b) allows us to learn about non-optimal solutions, which still match174

    the data well.175

    Let us start with case (a): We want to find a single “best” solution. The least-squares176

    procedure minimizes a misfit e, which is given by the sum of the squared residuals:177

    e =∑

    i

    (di − si)2 (3)

    The summation is performed over all stations, components and times. In the Appendix178

    we outline two different ways of obtaining the LSQ solution (using normal equations or179

    singular value decomposition, SVD). An obvious drawback of this approach is that if the180

    Green’s functions are inaccurate or the observed waveforms are noisy, their perfect match by181

    synthetic seismograms is misleading. Therefore, a better strategy is to introduce a weighted182

    misfit that takes into account the data variance, σ2i , corresponding to the standard deviation,183

    σi, of data i:184

    χ2 =∑

    i

    (di − si

    σi

    )2(4)

    Note that only statistical errors are taken into account in σi (i.e., errors that would vanish185

    if we could repeat one observation enough times and then compute an average). Systematic186

    errors (those that would not disappear with repetition and average) are not taken into187

    account in σi. Let us assume that all the waveforms are affected by the same data variance188

    σ2d. (We make this assumption for the sake of simplicity. An analogous derivation using189

    different σi for each data piece is straightforward.) In this case σi = σd for all waveforms i,190

    and (4) simplifies to:191

    10

  • χ2 =

    ∑i(di − si)2

    σ2d(5)

    The set of model parameters that generates the lowest χ2 is the optimal solution, which192

    we will name the χ2min-solution.193

    Now let us consider case (b): We are interested not only in the optimal solution (χ2min-194

    solution), but also in a family of reasonable solutions. We define the class of acceptable195

    solutions as those for which the weighted misfit has a maximum value of χ2th, where the196

    subscript th stands for threshold.197

    χ2th = χ2min + ∆χ

    2 (6)

    ∆χ2 is the tolerated increase in misfit with respect to the minimum-misfit solution. We198

    can then define the family of acceptable solutions as those for which, e.g., ∆χ2 < 1:199

    ∆χ2 = χ2th − χ2min < 1 (7)200

    (d− sth)2σ2d

    − (d− smin)2

    σ2d< 1 (8)

    201

    e2th < e2min + σ

    2d (9)

    We can easily see that the solutions for which ∆χ2 < 1 are those whose misfits (e2th)202

    are larger than the minimum misfit (e2min) by less than the data variance (σ2d). The number203

    of solutions within ∆χ2 < 1 depends explicitly on data error. More (or less) solutions are204

    accepted when σ2d is larger (or smaller).205

    11

  • In actual moment-tensor inverse problems, it is common practice to maximize the variance206

    reduction, VR, instead of minimizing the misfit e.207

    VR = 1−∑

    i(di − si)2∑i d

    2i

    (10)

    We can also express ∆χ2=1 in terms of VR, using (5), (7) and (10):208

    ∑i

    d2i (VRmin − VRth) = σ2d (11)

    or209

    VRth = VRmin − σ2d∑i d

    2i

    (12)

    The equations above demonstrate that choosing a set of acceptable solutions via prescrip-210

    tion of a variance reduction threshold, VRth, is in fact equivalent to assigning a value to the211

    data variance, σ2d. For example, accepting only the optimal solution (i.e. VRth = VRmin) is212

    equivalent to assuming that the data is error-free (σd = 0). Equation (12) also shows that a213

    good numerical value for the variance reduction (i.e., VR close to VRmin) is meaningless if214

    σ2d is underestimated.215

    In this section we introduced the concept of an ensemble of acceptable solutions based216

    on data error. This concept is very natural if we have a dataset, and various solutions match217

    the data almost as well as the optimal solution. Another important point of this section is218

    that we must take into account data error in order to compute meaningful uncertainties of219

    the model parameters. The next section will focus on the determination of the ensemble of220

    acceptable solutions according to the χ2 criterium.221

    12

  • 2.3 Resolvability of the Moment Tensor222

    Above we explored a situation in which we had a dataset with data variance σ2d, and wanted223

    to find a family of acceptable solutions of M. The same idea can be applied to a situation224

    where no data are available, but we are still interested in the uncertainty of a given focal225

    mechanism. For example, we want to know how a given network resolves the moment tensor226

    of offshore vs onshore earthquakes. Or we want to know how the resolvability of a deep227

    event compares with that of a shallow event. Or we want to estimate the error of a solution228

    reported by an agency, but we do not have the actual data. Or we plan a future deployment,229

    and want to know what station configuration is best. In the situations above we need to230

    evaluate the uncertainty (or resolvability) of a given focal mechanism without using data.231

    The family of acceptable solutions (∆χ2 < ∆χ2threshold) can be defined by prescribing σ2d,232

    exactly as explained in the previous section. However, if we have no data, how can we233

    find a family of acceptable solutions? The theory of linear inverse problems has a simple234

    answer for such question: Errors of the model parameters are related to data errors through235

    the Green’s functions matrix G. Therefore, we can mathematically analyze a given source-236

    station configuration, prescribe σ2d, and compute the uncertainty of a given focal mechanism.237

    The data itself is actually not needed to compute parameter uncertainties.238

    In moment tensor inversions, we need to determine six model parameters, m1, ...,m6239

    (Equations (1) and (2)). Thus the theoretical uncertainty region is six-dimensional (6D)240

    [e.g. Press et al., 1992]. In linear problems, the surfaces of constant L2 misfit (e.g. constant241

    e, χ2, ∆χ2, or VR) are ellipsoids in the 6D model space. The use of an L2 formulation242

    13

  • implicitly assumes that the data errors are Gaussian (i.e. normally distributed). The shape243

    of the 6D region will, in general, be more complex if data errors are non-Gaussian or if the244

    problem is non-linear. The reader is probably familiar with the error ellipsoids used for245

    earthquake locations. A few striking differences between the error ellipsoids of earthquake246

    locations and those of moment tensors are worth mentioning: The main difference is that the247

    location of earthquakes is a strongly non-linear problem; thus the location error ellipsoids248

    are of little interest (they are valid only for the linearized problem). The proper assessment249

    of location errors requires the computation of non-elliptical 3D error volumes [e.g. Lomax ,250

    2005]. On the other hand, the error ellipsoids of M cannot be fully visualized because they251

    are six-dimensional. Thus, and although available in closed mathematical form, the error252

    ellipsoid of M has to be transformed into more meaningful quantities in order to become253

    useful.254

    Throughout this paper we will present uncertainty regions (or error ellipsoids) rather255

    than confidence regions (as strictly defined in a statistical sense). The error ellipsoid can256

    be “translated” into a confidence region (e.g., a 90% confidence region) only if data errors257

    are normally distributed and their exact absolute value is known. We refer the reader to258

    section 15.6 of Press et al. [1992] for more details on how to compute ellipsoids of different259

    confidence levels. Next we briefly explain how to compute the error ellipsoid of M; the260

    Appendix contains a full-detail description of the algorithm.261

    The errors of the model parameters σ(m) depend exclusively on the Green’s functions G262

    and on the data variance σ2d. In fact, the shape and orientation in model space of the error263

    ellipsoid is computed from the eigenvalues and eigenvectors of the matrix GTG (Figure 1;264

    14

  • see the Appendix for more details). The data variance σ2d scales the size of the ellipsoid. In265

    order to compute the error of the model parameters σ(m) we need the following information:266

    location of the earthquake (epicenter and depth), station coordinates, crustal model, and267

    frequency band (all these parameters enter the computation of G); and an estimate of268

    data error σd. We use the discrete wavenumber method, which takes as input 1D layered269

    models of velocity-density-attenuation, in order to compute Green’s functions [Bouchon,270

    1981; Coutant , 1989]. Data error is extensively discussed in the next section.271

    The error ellipsoid is centered at a point mref of the parameter space. In the situation272

    where we have data, mref corresponds to the optimal solution (∆χ2=0). If we do not have273

    actual data, mref is the focal mechanism (or M) whose resolvability we wish to assess. Let274

    us consider the ellipsoid defined by ∆χ2 ≤ 1. This choice of ∆χ2 threshold is arbitrary:275

    We will not use ∆χ2 to assign a probability to a specific confidence level. The family of276

    acceptable solutions inside the ellipsoid, including its surface, is defined as:277

    macceptable = mref + ∆m (13)

    In the equation above, macceptable is an acceptable solution and ∆m is a radius vector from278

    the center of the ellipsoid to a point in the surface of the ellipsoid. In order to numerically279

    find the family of acceptable solutions, we simply perform a 6D grid search around mref280

    and find the solutions for which ∆χ2 ≤ 1. Thus we determine which δmj (variations of mj281

    around mref ) fall inside the ellipsoid for all j = 1, . . . , 6. Or in other words, we determine282

    the amount by which we can vary the source parameters, δmj, without leaving the ∆χ2 ≤ 1283

    region. Because the inverse problem is linear in Mi, the same 6D ellipsoid (set of points284

    15

  • ∆m) is valid for investigating the uncertainty of any mref . That is, we can use the same285

    error ellipsoid to study the resolvability of an earthquake with any focal mechanism (notice286

    that the actual knowledge of M is not required to compute the error ellipsoid). This method287

    of exploring the parameter space is considerably faster than other sensitivity studies which288

    need to use seismograms and compute misfits.289

    The 6D error ellipsoid contains information about the uncertainty of the full moment290

    tensor, including trade-offs between individual components of M. We then have to translate291

    these uncertainties into meaningful quantities. We will focus on the double-couple (DC)292

    component of M, as described by the strike, dip and rake angles. The relation between M293

    and strike, dip, and rake is non-linear. Therefore in order to compute a family of acceptable294

    solutions in terms of strike, dip and rake, we must choose a source mechanism mref . The295

    family of acceptable DC solutions can be displayed using nodal lines. In addition, we use296

    the “Kagan’s angle” [Kagan, 1991], hereafter K-angle, in order to characterize the family297

    of aceptable solutions. K-angle is the smallest rotation between two orthogonal bases de-298

    scribing different DCs (e.g. the smallest angle between the P, T, and B bases of two DCs;299

    or the smallest angle between the slip vectors of two DCs). In our application, the K-angle300

    corresponds to the smallest amount by which we have to rotate each acceptable solution in301

    order to get mref . Although less intuitive than strike, dip, and rake, K-angle conveniently302

    quantifies the deviation of the family of aceptable solutions from mref using one single value.303

    The K-angle is especially useful to plot maps of resolvability, which show the geographical304

    variation of DC resolvability (in this case we need one single parameter do characterize the305

    resolvability) – see section 3.8.306

    16

  • 2.4 Data Error307

    A key parameter in the estimation of the uncertainty of M is data error. In principle, one can308

    never know the exact value of data error. In this section we discuss several ways to estimate309

    σd. Let us start by considering the situation when we do have a dataset to perform the310

    inversion. Vasco [1990] proposed that the value of the data error be the maximum between311

    the noise background level (σn) and the misfit between observed and synthetic waveforms:312

    σd = max (σn, |d− s|) (14)

    The noise term σn generally produces values for data error which are on the order of 1%313

    – 10% of the data amplitude (noisier data are normally left out of the inversion). The term314

    arising from the misfit between data and synthetics (|d− s|) can lead to considerably higher315

    estimates of σd.316

    Let us now consider the case in which we do not have data, but still want to assess the317

    resolvability of M. In this case we can estimate the order of magnitude of expectable data318

    error from empirical arguments. Let the data error, as defined by its standard deviation σd,319

    be related to data amplitude by:320

    σd = C.G.M0 (15)

    Where C is a constant, G is the peak displacement of the medium in response to a unit-321

    moment source dislocation (in the studied source-station configuration and frequency band),322

    and M0 is the seismic moment of the earthquake whose resolvability we wish to assess. Note323

    17

  • that G.M0 is an estimate of the data amplitude. Thus, if C = 1, σd is of the same order of324

    magnitude as (synthetic) waveform data. What is a realistic estimate of C?325

    Equation (11) shows that σ2d is related to the data power∑

    i d2i through the variance326

    reduction difference VRmin−VRth. Consider the following thought experiment: We inverted327

    a dataset, found the strike, dip, and rake angles through grid search, and defined a family of328

    acceptable solutions by prescribing a variance reduction threshold VRth. Specifically, assume329

    that VRmin = 0.7 and we chose VRth = 0.6. According to (11), accepting such values for330

    the variance reduction is equivalent to estimating the magnitude of data variance:331

    σ2d = (0.7− 0.6)∑

    i

    d2i (16)

    Recall that the summation of the data di is made for all stations, components and times.332

    Assume that we have 7 stations, and 3 waveforms were recorded at each station. Further333

    assume that the dominant wave-group in the ground displacement is a 10-second triangle334

    with peak value P. Then:335

    σ2d = 0.1∑

    i d2i

    = 0.1 ∗ 3 ∗ 7 ∗ 102P 2

    = 10.5 ∗ P 2

    (17)

    and336

    σd = 3.2 ∗ P (18)

    Thus σd is proportional to the data amplitude (σd ∝ P ), in good agreement with (15):337

    σd ∝ G.M0. In fact, (18) is equivalent to (15) if C = 3.2. Choosing a family of acceptable338

    18

  • solutions via prescription of VRth close to VRmin is equivalent to prescribing a value for data339

    error of the same order of magnitude as the data itself. Note that in the example above data340

    error was even larger than the data amplitude (C > 1). The exact value of C depends on the341

    exact value of VRth, on the number of waveforms N , and on the source time function. This342

    example shows that choosing σ2d lower than the data amplitude is probably too optimistic.343

    One more example: Consider identical waveforms shifted with respect to each other by344

    τ . For simplification, assume that the identical waveforms are harmonic and their period is345

    T . The mismatch ² between the two waveforms is then given by:346

    ² = d(t)− d(t− τ) ≈ ḋ(t)τ = d(t)2πT

    τ (19)

    If the difference between waveforms, ², is taken as a representation of the data error σd,347

    then σd is proportional to data itself d(t). In this case, C = (2π/T )τ . Data error is smaller348

    than the data amplitude (C < 1) only for small time shifts, τ < T/2π. Although extremely349

    simple, this example is very relevant for inversions of M. In fact, time shifts between the350

    dominant quasi-periodic wavegroup of data and synthetics are common in moment tensor351

    inversions. In opposition, the amplitude of the observed and synthetic waves is normally352

    well matched. The time-shifts between data and synthetics are due to inaccurate crustal353

    models or mislocations of the earthquake hypocenter. Some practitioners introduce artificial354

    time shifts to align the observed and synthetic seismograms prior to the inversion. In case355

    τ > T/2π, such alignment corresponds to declaring C > 1, i.e. that data error is larger than356

    the data itself (e.g. Ford et al. [2009] considered time shifts up to half-cycle T/2).357

    The example above demonstrate that realistic estimates of the data error, mainly due to358

    19

  • inexact crustal models, must be relatively large and comparable to data amplitude. Thus,359

    an appropriate choice is C ≥ 1.360

    3 Applications to Earthquakes in Southwest Iberia361

    We now present examples of the assessment of DC resolvability for earthquakes on the362

    active plate boundary between Africa (Nubia) and Eurasia, west of Portugal [e.g. Buforn363

    et al., 1988; Serpelloni et al., 2007]. The region is characterized by events of various focal364

    mechanisms [Buforn et al., 1988, 1995; Borges et al., 2001; Stich et al., 2003; Buforn et al.,365

    2004; Stich et al., 2006, 2010], that occur at depths down to 60 km [Grimison and Chen, 1986;366

    Engdahl et al., 1998; Stich et al., 2010; Geissler et al., 2010]. Figure 2 shows a map of the367

    studied region, displaying both the seismicity and the seismic network. In the applications368

    below we study the resolvability of the DC component of M without using actual waveforms.369

    In the remainder of the text we will simply use the expression “resolvability” or “resolvability370

    of DC” to refer to the resolvability of the DC component of M. We investigate the effect of371

    earthquake depth, focal mechanism, station configuration, crustal structure and frequency372

    band on the resolvability of a DC. All the results are summarized in Table 1. We also assess373

    the sensibility of the results to our choice of data error σd. Finally, we compute maps of374

    resolvability for different station networks. The cases studied below were designed to mimic375

    real situations.376

    20

  • 3.1 Reference Setup377

    We will start by studying the resolvability of a DC source for a reference configuration as de-378

    termined by earthquake location (epicenter and depth), focal mechanism, crustal structure,379

    frequency band, station network, and data error. We will then change these parameters380

    one by one to investigate their effect on DC resolvability. The reference configuration is381

    defined as follows: The station network is composed of seven land stations located in Portu-382

    gal, Spain, and Morocco (hereafter named IB network). These seven stations are: PMAFR,383

    PFVI, PNCL and PBDV in Portugal; SFS in Spain; and RTC and NKM in Morocco. Many384

    more broadband stations are currently installed in Iberia and northern Africa (Figure 2).385

    We chose to use a limited set of stations in order to show a simple application of the method.386

    The analysis with a reduced set of stations is also instructive to learn about the resolvability387

    of DCs in less favorable situations, in which only a few stations are available. The refer-388

    ence earthquake is located offshore, on the Horseshoe Abyssal Plain (HAP), at 35.90oN and389

    10.31oW (Figure 2). This location was chosen after the epicenter of a MW6 earthquake that390

    occurred on February 12, 2007 [Stich et al., 2007]. The reference epicenter is located in a re-391

    gion of frequent seismic activity [Geissler et al., 2010]. The reference source depth is 40 km,392

    also chosen after the February 12, 2007, earthquake. Earthquakes occur frequently at depths393

    of 40–60 km below the HAP [e.g. Geissler et al., 2010]. The crustal structure is described394

    by the 1D layered model proposed by Stich et al. [2003] for the Hercynian basement, Meso-395

    zoic platforms and mixed propagation paths. The reference frequency band is 0.025 to 0.08396

    Hz. The reference focal mechanism mref is described by scalar moment M0 = 1 ∗ 1016 Nm,397

    21

  • and strike, dip, and rake angles equal to 128o, 46o, and 138o, respectively (or equivalently398

    250o, 61o, and 52o). We assume that data error σd is equal to 10−5 m. This value is ob-399

    tained using Eq. (15): We take the seismic moment of the February 12, 2007, earthquake400

    (M0 = 1 ∗ 1016 Nm), compute G (∼ 10−21 m/(Nm)), and set C = 1.401

    We start by determining the ∆χ2 < 1 error ellipsoid for the reference configuration402

    (described above), according to the Appendix. Once we have the error ellipsoid, we find the403

    corresponding acceptable values of the faulting angles – strike, dip and rake: 1) We take all404

    the (discrete) points inside the ellipsoid, macceptable (13); 2) We convert macceptable into actual405

    moment tensors Macceptable (2); and 3) We convert Macceptable into strike, dip and rake using406

    the standard relations between M and faulting angles. This simple transformation allows407

    an intuitive visualization of the whole family of acceptable solutions. Figure 3 (a–c) shows408

    the faulting angles plotted as a function of the misfit ∆χ2. The left- and right-hand edges409

    of the plots correspond to the center (∆χ2 = 0) and surface (∆χ2 = 1) of the ellipsoid,410

    respectively. The two strips in each panel correspond to the two DC conjugate solutions411

    (two possible faulting planes). Note that we find solutions close to the reference values of412

    strike, dip, and rake, even on the surface of the ellipsoid (we will see further ahead that413

    they do not occur simultaneously though). A qualitative analysis of Figure 3 (a–c) already414

    yields interesting results: For example, the fault plane which strikes 250o is better resolved415

    than that which strikes 128o. Figure 3(d) shows the same information as panels 3(a)–(c)416

    displayed in a different format: The deviations of strike, dip and rake from the reference417

    solution are now quantified with the K-angle. The K-angle summarizes in one single value418

    the deviation of a given solution from the reference solution. The histograms of Figure 3 (e–h)419

    22

  • show the statistical distribution of strike, dip, rake, and K-angle. Note that the histograms420

    of the strike, dip and rake angles are peaked at their reference values (one peak for each421

    conjugate solution). However K-angle is not peaked at zero, as would be expected if the422

    most frequently-occurring solution were mref . The Appendix explains that most points423

    inside the error ellipsoid are located on, or very close to, the ellipsoid surface. This sampling424

    of the error ellipsoid results from the regular sampling of the 6D parameter space. On the425

    surface of the ellipsoid, the reference values occur individually but not simultaneously. In426

    fact, the reference values occur simultaneously only at the center of the ellipsoid.427

    For the reference configuration, the mean value of the K-angle is Kmean = 14o, its max-428

    imum value is Kmax = 34o, and its standard deviation is σ(K) = 6o. These values are not429

    meaningful in an absolute sense because they depend on our order-of-magnitude estimate430

    of data error. However they are useful in a relative sense, as they allow us to compare the431

    resolvability of a given focal mechanism in different configurations of the inverse problem.432

    We will mostly use Kmean throughout the paper in order to compare the DC resolvability433

    in different situations. Kmean measures the deviation of the acceptable solutions (mostly434

    located on the surface of the ∆χ2 = 1 ellipsoid) from mref .435

    3.2 Source Depth436

    We will now repeat the analysis above using two different hypocenter depths: a shallower437

    10-km source and a deeper 60-km source. Figure 4 shows that the uncertainty of the focal438

    mechanism increases dramatically with source depth. The mathematical explanation for439

    such decrease is that different source-station configurations have different Green’s functions440

    23

  • (matrix G); hence different singular vectors and singular values, and different error ellipsoids.441

    The physical explanation is not as straightforward; nevertheless it is understandable that442

    deeper sources produce a simpler wave field, with weaker Lg waves. Thus seismograms from443

    deep sources carry less, or lower-amplitude, information about the source. Note that the444

    excellent resolvability of the shallow source (10 km) assumes that we know the exact Green’s445

    functions. The uncertainty of the DC solution for a 10-km deep source is underestimated by446

    our analysis if the shallow crustal structure is less well known than its deeper counterpart.447

    3.3 Station Network448

    We now test the resolvability of DC parameters using different station networks. The earth-449

    quakes that happen offshore SW Iberia are normally recorded by stations in Iberia and450

    northern Africa; however a large azimuthal gap does exist, which hinders the studies of seis-451

    mic sources. In order to improve our knowledge of the local earthquake activity one might452

    think of deploying a permanent ocean bottom seismometer (OBS) network. It is interesting453

    to investigate how the resolvability of M would improve using such OBS network. Thus we454

    tested the following stations configurations (Figure 2): (i) Network IB (the already-described455

    reference configuration) with 7 land stations distributed in Portugal, Spain and Morocco;456

    (ii) Network PT, composed of only four stations in Portugal; (iii) Network IB+OBS, com-457

    posed of the IB land stations plus four OBS stations; and (iv) Network IBdense, composed458

    of the IB network plus 23 land stations along the coastline of Portugal, Spain and Mo-459

    rocco, totalizing 30 stations . The location of the four OBS stations were chosen as the true460

    locations of temporary OBS stations [Geissler et al., 2010]. Figure 5 shows that, for the461

    24

  • reference network IB, the family of acceptable solutions has a mean deviation from the true462

    focal mechanism Kmean = 14o. Kmean increases to 22

    o when we use the reduced land network463

    PT, corresponding to a strong decrease in the resolvability of DCs. The resolvability is in464

    turn dramatically improved when we add four OBS stations to the IB network, with Kmean465

    dropping to 6o. A similar improvement in the resolvability is achieved with a densification of466

    the land network (Kmean = 8o for network IBdense). Notice that the resolvability of the focal467

    mechanism improves using IBdense, in spite of the large azimuthal gap. The resolvability of468

    a 10-km deep event using the IB network is similar to that of a 40-km event using IB+OBS469

    or IBdense; in both cases the resolvability of the DC is good. On the other hand, the resolv-470

    ability is very poor for a 60-km deep event using network IB, equalling the resolvability of a471

    40-km deep event using network PT.472

    3.4 Frequency Range473

    So far we worked with waveforms in the 0.025 – 0.08 Hz frequency range. If we increase474

    the low-frequency limit from 0.025 Hz to 0.05 Hz (i.e. if we remove the low frequencies475

    from the inversion), the resolvability deteriorates, with Kmean rising to 25o. This is exactly476

    what happens in real inversions of weak events, where the low frequencies cannot be used477

    due to their low S/N ratio. On the contrary, if we use higher frequencies (increase the478

    upper frequency limit from 0.08 Hz to 0.2 Hz) the resolvability improves slightly, with Kmean479

    dropping to 13o and Kmax dropping to 26o. However, the improvement in the resolvability of480

    the DC based on high frequencies is of little usage: In practice, the existing crustal models481

    do not provide realistic Green’s functions at near-regional distances up to 0.2 Hz.482

    25

  • 3.5 Crustal Structure483

    We can formally test different crustal models while keeping the source-station configuration484

    and frequency range unchanged. In this situation we alter the matrix G, thus changing485

    the error ellipsoid. We tested three different crustal structures: (i) The regional model of486

    Stich et al. [2003], used in the reference setup; (ii) The global model PREM [Dziewonski487

    and Anderson, 1981]; (iii) A homogeneous, fast, low-attenuation, mantle-like, homogeneous488

    half-space, with VP = 8.1 km/s, VS = 4.5 km/s, QP = 1340, and QS = 600; and (iv) A ho-489

    mogeneous, slow, high-attenuation, crust-like, homogeneous half-space, with VP = 5.8 km/s,490

    VS = 3.2 km/s, QP = 300, and QS = 150. Kmean for each of the models above is 14o, 14o,491

    31o, and 16o, respectively. It is interesting to notice that the resolvability of the DC is very492

    similar whether the true crustal structure resembles PREM, the regional model of Stich et al.493

    [2003], or a crust-like homogeneous half-space. However, the resolvability decreases strongly494

    if the medium is fast, in spite of low-attenuation (case iii).495

    The results stated above concern the resolvability of a DC mechanism if the true crust is496

    like that of each studied model. These results must not be confused with a test of sensibility497

    of the Green’s functions, where one would assess the effect of an erroneous crustal structure498

    on the source parameters. It is legitimate to question how the focal mechanism changes if the499

    same waveforms are inverted with various crustal models (see references in the Introduction).500

    The analysis proposed in this paper cannot address such question. When we compare crustal501

    models (i)–(iv), we simply investigate the focal-mechanism uncertainty if the true crust502

    resembles A, or if the true crust resembles B. The proposed method does not show how the503

    26

  • mechanism changes if the true crust A is erroneously represented by model B.504

    3.6 Focal Mechanism505

    A given source-station configuration provides different K-angle distributions for different506

    reference focal mechanisms, due to the previously mentioned non-linearity of the inverse507

    problem with respect to faulting angles. We tested the DC resolvability of four typical focal508

    mechanisms in the study region (Figure 2): (i) strike, dip, and rake angles equal to 128o,509

    46o, 138o (reference setup); (ii) 52o, 57o, 99o; (iii) 204o, 68o, −16o; (iv) 316o, 35o, −170o.510

    The mean K-angles obtained for each case are 14o, 14o, 16o, and 16o, respectively. These511

    results indicate that Kmean, and therefore the DC resolvability, does not vary significantly512

    with focal mechanism.513

    3.7 Data Variance514

    All the calculations above assumed a constant value for the data variance σ2d. In particular,515

    we assumed σd = 10−5 m, which we obtained by setting C = 1 in (15) (see sections 2.4516

    and 3.1). When we evaluate (16), using synthetic data in order to compute di, we obtain517

    σd = 1.4 ∗ 10−5; i.e. a similar value, C=1.4.518

    Data variance plays a key role in our analysis, controling the size of the error ellipsoid519

    (see the Appendix). By prescribing a constant value for σ2d we are able to compare the520

    uncertainty of DCs for different configurations of the inverse problem. Figure 6 shows the521

    sensitivity of K-angle to data variance σ2d. As expected, an increase in σ2d leads to an increase522

    in K-angle. K-angle is very sensitive to σ2d in the range 10−10 to 10−8 m2.523

    27

  • 3.8 Maps of Resolvability524

    The last application that we present are maps of DC resolvability. In order to plot maps525

    of resolvability we perform the analysis presented above for different source epicenters. We526

    start by choosing a station network (as defined by station locations), crustal model, fre-527

    quency range, earthquake depth, focal mechanism, and data variance. We then compute528

    the uncertainty of strike, dip, rake, and finally K-angle for several epicenters on a regular529

    grid (of source latitudes and longitudes). The maps of resolvability can be easily computed530

    and allow an immediate visualization of the geographical variation of DC resolvability; these531

    maps are a useful tool to plan seismic networks or experiments.532

    Figure 7 shows the geographical variation of K-angle (which indicates the resolvability533

    of the DC) for three different station configurations: IB, IB+OBS, and IBdense. The pa-534

    rameters used to compute the maps are those of the reference setup. The IB network is able535

    to resolve the DC parameters for onshore earthquakes better than for offshore earthquakes.536

    The addition of OBS stations (IB+OBS) allows an improvement of the resolvability of off-537

    shore sources. The dense land network, IBdense, is able to resolve DC parameters of offshore538

    earthquakes as well as the network IB+OBS. IBdense further improves the resolvability of539

    onshore earthquakes in comparison to IB and IB+OBS.540

    4 Discussion and Conclusions541

    In this paper we presented a method, based on the standard theory of inverse linear problems,542

    to compute the uncertainty of the focal mechanisms inferred from the inversion of M. The543

    28

  • input parameters are the source location (epicenter and depth), stations locations, crustal544

    model, frequency band of interest, and estimate of data error. The output is a 6D error545

    ellipsoid, which contains a family of acceptable solutions in the space of model parameters546

    mj. This 6D ellipsoid shows the deviation of the acceptable focal mechanisms from the547

    optimal (or reference) solution. The larger the data variance σ2d, the larger the variability548

    of the aceptable focal mechanisms. We restricted our analysis to the uncertainty of the549

    double-couple component of M, although the 6D error ellipsoid contains information about550

    the uncertainty of all the components of M. We mapped the uncertainties of the model551

    parameters mj into uncertainties of the faulting angles strike, dip and rake. The results are552

    useful to assess, for example, if one faulting angle (e.g. strike) is better resolved than the553

    other (e.g. dip), or which of the two possible faulting planes is better resolved. We used554

    K-angle to quantify with a single parameter the deviation of the acceptable DC solutions555

    from the reference solution.556

    The resolvability of DC sources is determined by data error and by the eigenvectors557

    and eigenvalues of the underlying inverse problem. These eigenvectors and eigenvalues are558

    computed from the Green’s functions matrix G, thus tightly related to the source-station559

    configuration. Some sets of eigenvectors and eigenvalues allow an adequate retrieval of the560

    moment tensor M, while some others do not. Large eigenvalues correspond to robust source561

    parameters. Small eigenvalues are associated with poorly-resolved parameters. The problem562

    is very similar to that of linear finite-fault inversions, although it uses a significantly smaller563

    number of model parameters [Page et al., 2009; Custódio et al., 2009; Zahradńık and Gallovič,564

    2010; Gallovič and Zahradńık , 2011].565

    29

  • The method presented in this paper is applicable to linear problems only. The inversion566

    of M is a linear problem assuming that the source location, origin time, and source time567

    function are known. The algorithm can be generalized to the non-linear case, where we568

    search for the source position and origin time, in addition to M. This generalization is the569

    focus of on-going work and will be presented in a separate paper. A non-linear approach570

    will allow the study of the trade-off between depth and non-DC components of M. The571

    uncertainty of the non-DC components can then be correctly assessed.572

    A proper assessment of data error σd is required in order to determine the uncertainty of573

    DC sources. We showed that realistic data errors must be of the same order of magnitude of574

    the data itself, mostly due to inaccurate crustal models (and respective Green’s functions).575

    Our method allows an estimation of the uncertainty of DC parameters if data is available.576

    In this case we process the available data, solve the inverse problem, and obtain a minimum-577

    misfit “best” solution. Then we prescribe a value for data error and estimate the uncertainty578

    of each faulting angle. The method can also be applied when no data (waveforms) are579

    available, which is particularly useful for network design. In this paper we present several580

    examples for which an exact knowledge of data errors is not needed. We simply choose a581

    reasonable value for σ2d, keep it fixed, and study the comparative resolvability of DC sources582

    in different scenarios. In other words, we assess the resolvability of the focal mechanism in583

    a relative sense.584

    In particular, we assessed the relative effect of source epicenter, source depth, stations585

    locations, crustal structure, frequency range, and data error on the resolvability of DCs. We586

    focused on the resolvability of earthquakes in Southwest Europe. A few stations were selected587

    30

  • to represent the seismic networks of Portugal, Spain, and Morocco. We also considered a588

    few OBS sites in the Atlantic Ocean. The analysis was performed in the frequency range589

    below 0.1 Hz, which is typical for the near-regional inversions of M. Table 1 summarizes the590

    results.591

    We find that, for a same network, the resolvability depends critically on source depth.592

    Shallow DC sources (10 km) are better resolved than deeper sources (40 and 60 km) by593

    a factor of two. Our analysis indicates that the focal mechanism of a shallow offshore594

    earthquake can be well resolved even by a small subset of land stations in Portugal (in595

    spite of the large azimuthal gap). These results are supported by unpublished inversions of596

    different-depth earthquakes [Krizova-Cervinkova, 2008]. The author repeated single-station597

    waveform inversions in a near-regional network of 10 stations in Greece for the shallow598

    Trichonis Lake earthquake [Kiratzi et al., 2008] and for the intermediate-depth Leonidio599

    earthquake [Zahradńık et al., 2008c]. The focal mechanisms inferred from single-station600

    inversions of the shallow event were all almost identical. However, all single-station inversions601

    of the intermediate-depth event failed.602

    Our uncertainty analysis also indicates that, if more stations are available, the resolv-603

    ability of the 40 to 60-km deep event can be as good as that of the shallow event using604

    less stations. The resolvability of DCs improves considerably when the Portuguese network605

    (PT) is supplemented by stations in Spain and Morocco (IB). Further improvement can be606

    achieved by adding a few OBS stations offshore. Indeed, the theoretical DC resolvability of607

    a 40-km deep event using IB+OBS is almost as good as the resolvability of the 10-km deep608

    event using only IB network. The improvement of the DC resolvability due to additional609

    31

  • OBS stations is partly due to the decrease of the azimuthal gap. Yet we showed that a610

    similar improvement in resolvability can be achieved with a densification of land stations611

    (IBdense), where the azimuthal gap remains as large as ∼ 200o. The resolvability of DC612

    sources does not depend only on azimuthal coverage. A good azimuthal coverage is useful,613

    but not always strictly necessary.614

    Finally, a word on the use of OBS waveforms in regional earthquake inversions. Within615

    project NEAREST, a temporary deployment of broadband OBS (BB-OBS) stations recorded616

    earthquakes offshore SW Iberia (Figure 2). Geissler et al. [2010] used BB-OBS first-motion617

    polarities in order to determine improved focal mechanisms of weak offshore events. The618

    use of BB-OBS waveforms of regional earthquakes is challenging due to noise and various619

    disturbances in the data, e.g. tilts [Crawford and Webb, 2000]. We attempted to use the620

    NEAREST BB-OBS waveforms in a moment-tensor inversion: We started by taking the621

    waveforms from a single MW4.5 event – the largest event in the dataset – recorded at five622

    three-component OBS stations. We then tried to remove the tilt-like disturbances from the623

    horizontal components according to Zahradńık and Plešinger [2005, 2010]. Almost no signal624

    was left in the frequency band of interest for near-regional waveform inversion after the625

    successful removal of the tilt-like disturbances. The use of BB-OBS waveforms of regional626

    earthquakes might be more successful for smaller source-station distances (

  • http://seismo.geology.upatras.gr/isola/].632

    Data and Resources633

    The software ISOLA was used to prepare the matrices for the computations of resolvability.634

    Green functions in ISOLA are computed using the AXITRA code of Coutant [1989]. GMT635

    [Wessel and Smith, 1998] and Matlab were used for figure plotting.636

    Acknowledgments637

    We thank Frantǐsek Gallovič, Efthimios Sokos and Daniel Stich for valuable discussions and638

    support. Partial funding was obtained from the grant agencies in the Czech Republic: GACR639

    210/11/0854 and MSM 0021620860. This research was supported by a Marie Curie Inter-640

    national Reintegration Grant within the 7th European Community Framework Programme641

    (PIRG03–GA–2008–230922).642

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    40

  • Jǐŕı Zahradńık780

    Charles University in Prague, Faculty of Mathematics and Physics,781

    V Holesovickach 2, 180 00 Prague 8, Czech Republic, Czech Republic.782

    [email protected]

    784

    Susana Custódio785

    Instituto Geof́ısico da Universidade de Coimbra,786

    Av. Dr. Dias da Silva, 3000-134 Coimbra, Portugal.787

    [email protected]

    789

    41

  • Table 1: Summary of K-angles for different configurations of the inverse problem. The

    underlined parameters are those which are different from the reference setup. Lower K-

    values indicate better resolved DC mechanisms.

    Source Station Frequency Crustal Focal Kmean Kmax σ(K)

    Depth Network Range Structure Mechanism (o) (o) (o)

    (km) (Hz) Strike/Dip/Rake (o)

    40 IB 0.025 – 0.08 Regional 1D 128 / 46 / 138 14 34 6

    10 IB 0.025 – 0.08 Regional 1D 128 / 46 / 138 6 14 2

    60 IB 0.025 – 0.08 Regional 1D 128 / 46 / 138 22 91 10

    40 PT 0.025 – 0.08 Regional 1D 128 / 46 / 138 22 92 11

    40 IBdense 0.025 – 0.08 Regional 1D 128 / 46 / 138 8 19 3

    40 IB+OBS 0.025 – 0.08 Regional 1D 128 / 46 / 138 6 15 2

    40 IB 0.05 – 0.08 Regional 1D 128 / 46 / 138 25 82 11

    40 IB 0.025 – 0.2 Regional 1D 128 / 46 / 138 13 26 5

    40 IB 0.025 – 0.08 PREM 128 / 46 / 138 14 35 6

    40 IB 0.025 – 0.08 Homog. Fast 128 / 46 / 138 31 91 14

    40 IB 0.025 – 0.08 Homog. Slow 128 / 46 / 138 16 35 6

    40 IB 0.025 – 0.08 Regional 1D 52 / 57 / 99 14 38 6

    40 IB 0.025 – 0.08 Regional 1D 204 / 68 / -16 16 40 6

    40 IB 0.025 – 0.08 Regional 1D 316 / 35 / -170 16 32 6

    42

  • Figure Captions790

    Figure 1. The shape and orientation of the error ellipsoid is determined by the singular791

    vectors V(i) and singular values wi. The singular vectors V(i) determine the direction of792

    the ellipsoid axes, i.e. they determine the orientation of the ellipsoid in the 6D parameter793

    space. The singular values determine the size of the ellipsoid axes, thus the shape of the794

    ellipsoid. Data error, σd, scales the size of the whole ellipsoid. The surface of the ellipsoid is795

    characterized by ∆χ2 = constant. See the Appendix for more details. Figure adapted from796

    Press et al. [1992].797

    798

    Figure 2. Map of the seismicity and seismic network in southwest Iberia. The red star indi-799

    cates the reference earthquake epicenter. Network PT – squares; Network IB – squares and800

    hexagons; Network IB+OBS – squares, hexagons and circles; Network IBdense – diamonds;801

    Small solid triangles – permanent stations; Small white triangles – temporary stations (cur-802

    rent or past). Small gray dots show the background seismicity in the instrumental record803

    (post-1960) [Martins and Mendes-Victor , 1990; Pena et al., in press; Carrilho et al., 2004;804

    Preliminary Seismic Information, 2010]. Larger dots show the locations of MW > 3.5 earth-805

    quakes in the period 2007 – 2010. The four different focal mechanisms studied are plotted806

    in the upper left corner, with their strike, dip, and rake values.807

    808

    Figure 3. (a–c) Strike, dip and rake angles for the family of acceptable solutions vs misfit,809

    ∆χ2, for the reference setup: The source-station geometry of network IB is shown in Fig-810

    43

  • ure 2; source depth is 40 km; strike, dip, rake angles are 128o, 46o, 138o, equivalent to 250o,811

    61o, 52o. (d) K-angle corresponding to the focal mechanisms shown in panels (a–c). (e–h)812

    Histograms of strike, dip, rake and K-angle.813

    814

    Figure 4. (a–c) Histograms of K-angle indicating the resolvability of a DC source for three815

    different source depths: 10, 40 and 60 km. The mean (and maximum) values of the K-angle816

    are 6o (14o), 14o (34o), and 22o (91o), respectively. Dashed lines indicate the average K-817

    angle. (d–f) The same results plotted using the more familiar nodal lines. Note the excellent818

    resolvability of the shallow source (10 km).819

    820

    Figure 5. Resolvability of the 40-km deep DC using four different station networks (Fig-821

    ure 2): (a) PT network (squares), (b) IB network (squares and hexagons), (c) IB+OBS822

    network (squares, hexagons and circles), (d) IBdense network (diamonds). The resolvability823

    of this offshore DC source is very similar whether we use IB+OBS or IBdense.824

    825

    Figure 6. Variation of the mean of K-angle, Kmean, and standard deviation, σ(K), with826

    data variance σ2d.827

    828

    Figure 7. Maps of K-angle indicating the resolvability of a DC source using different station829

    networks: (a) IB; (b) IB+OBS; (c) IBdense. Dark cells indicate better resolved DC sources.830

    The stations that compose each network are shown by white triangles. This map concerns831

    earthquake sources at depths of 40 km. Using OBSs in addition to the land IB network832

    44

  • improves the resolvability of the DC source considerably, particularly for offshore sources.833

    The dense land network, IBdense, provides a similar improvement of the DC resolvability of834

    offshore earthquakes, and further improves the resolvability of onshore earthquakes.835

    45

  • Figures836

    Figure 1

    m1

    m2 V(1)

    V(2)

    Leng

    th 1

    /w 1

    Length 1/w2

    Δχ2 =c

    onsta

    nt

    46

  • Figure 2

    −12˚

    −12˚

    −10˚

    −10˚

    −8˚

    −8˚

    −6˚

    −6˚

    −4˚

    −4˚

    34˚ 34˚

    36˚ 36˚

    38˚ 38˚

    40˚ 40˚

    42˚ 42˚

    44˚ 44˚

    (316˚, 35˚, -170˚)

    (128˚, 46˚, 138˚)

    (52˚, 57˚, 99˚)

    (204˚, 68˚, -16˚)

    47

  • Figure 3

    (a)

    0 0.2 0.4 0.6 0.8 10

    50

    100

    150

    200

    250

    300

    350

    Str

    ike

    (o)

    Δχ2

    (b)

    0 0.2 0.4 0.6 0.8 10

    10

    20

    30

    40

    50

    60

    70

    80

    90

    Dip

    (o)

    Δχ2

    48

  • Figure 3

    (c)

    0 0.2 0.4 0.6 0.8 1

    −150

    −100

    −50

    0

    50

    100

    150R

    ake

    (o)

    Δχ2

    (d)

    0 0.2 0.4 0.6 0.8 10

    10

    20

    30

    40

    50

    60

    70

    80

    90

    K-a

    ng

    le (

    o)

    Δχ2

    49

  • Figure 3

    (e)

    0 50 100 150 200 250 300 3500

    2000

    4000

    6000

    8000

    10000

    12000

    Strike (o)

    Fre

    quency (

    Num

    ber

    of S

    olu

    tions)

    (f)

    0 10 20 30 40 50 60 70 80 900

    1000

    2000

    3000

    4000

    5000

    6000

    7000

    8000

    Dip (o)

    Fre

    quency (

    Num

    ber

    of S

    olu

    tions)

    50

  • Figure 3

    (g)

    0 20 40 60 80 100 120 140 160 1800

    500

    1000

    1500

    2000

    2500

    3000

    3500

    4000

    Rake (o)

    Fre

    qu

    en

    cy (

    Nu

    mb

    er

    of

    So

    lutio

    ns)

    (h)

    0 10 20 30 40 50 600

    500

    1000

    1500

    2000

    2500

    3000

    3500

    4000

    K-angle (o)

    Fre

    quency (

    Num

    ber

    of S

    olu

    tions)

    51

  • Figure 4

    (a)

    0 10 20 30 40 50 600

    1000

    2000

    3000

    4000

    5000

    6000

    7000

    8000

    9000Depth = 10 km

    K-angle (o)

    Fre

    quency

    (N

    um

    ber

    of S

    olu

    tions) K-mean = 6˚

    (b)

    0 10 20 30 40 50 600

    500

    1000

    1500

    2000

    2500

    3000

    3500

    4000Depth = 40 km

    K-angle (o)

    Fre

    quency

    (N

    um

    ber

    of S

    olu

    tions)

    K-mean = 14˚

    52

  • Figure 4

    (c)

    0 10 20 30 40 50 600

    500

    1000

    1500

    2000

    2500Depth = 60 km

    K-angle (o)

    Fre

    quency

    (N

    um

    ber

    of S

    olu

    tions)

    K-mean = 22˚

    (d)

    53

  • Figure 4

    (e)

    (f)

    54

  • Figure 5

    (a)

    0 10 20 30 40 50 600

    200

    400

    600

    800

    1000

    1200

    1400

    1600

    K-angle (o)

    Fre

    quency

    (N

    um

    ber

    of S

    olu

    tions)

    PT

    K-mean = 22˚

    (b)

    0 10 20 30 40 50 600

    500

    1000

    1500

    2000

    2500

    3000

    3500

    4000IB

    K-angle (o)

    Fre

    quency

    (N

    um

    ber

    of S

    olu

    tions)

    K-mean = 14˚

    55

  • Figure 5

    (c)

    0 10 20 30 40 50 600

    1000

    2000

    3000

    4000

    5000

    6000

    7000

    8000

    9000

    10000

    K-angle (o)

    Fre

    quency

    (N

    um

    ber

    of S

    olu

    tions)

    IB+OBS

    K-mean = 6˚

    (d)

    0 10 20 30 40 50 600

    1000

    2000

    3000

    4000

    5000

    6000

    7000

    K-angle (o)

    Fre

    qu

    en

    cy (

    Nu

    mb

    er

    of

    So

    lutio

    ns)

    IBdense

    K-mean = 8˚

    56

  • Figure 6

    0

    10

    20

    30

    40

    50

    60

    70

    Data Variance σd2 (m2)

    K−

    angle

    (˚)

    Kmeanσ(K)

    10 −10 10 −8 10 −6 10 −4 10 −2 10 0

    57

  • Figure 7

    (a)

    14˚W 12˚W 10˚W 8˚W 6˚W 4˚W

    32˚N

    34˚N

    36˚N

    38˚N

    40˚N

    42˚N

    0 10 20 30 40

    Longitude Latit

    ude

    K-angle

    IB

    58

  • Figure 7

    (b)

    14˚W 12˚W 10˚W 8˚W 6˚W 4˚W

    32˚N

    34˚N

    36˚N

    38˚N

    40˚N

    42˚N

    0 10 20 30 40

    Longitude

    Latit

    ude

    K-angle

    IB+OBS

    59

  • Figure 7

    (c)

    14˚W 12˚W 10˚W 8˚W 6˚W 4˚W

    32˚N

    34˚N

    36˚N

    38˚N

    40˚N

    42˚N

    0 10 20 30 40

    Longitude

    Latit

    ude

    K-angle

    IBdense

    60

  • Appendix837

    This appendix focuses on the theory and algorithm employed to construct the 6D error838

    ellipsoid of M. We underscore that this analysis is standard and general for linear inverse839

    problems. Further details on the method can be found, e.g., in Menke [1989]; Press et al.840

    [1992]; Parker [1994].841

    Recall Equation (1) in the main text, which states the linear relation between ground842

    motion (d) and moment tensor parameters (m), through the Green’s functions (G):843

    d = Gm (A-1)

    In order to take into account data error, we divide both sides of (A-1) by data standard844

    deviation σd:845

    d̃i =diσd

    (A-2)

    G̃ij =Gijσd

    (A-3)

    Equation (A-1) can then be re-written as:846

    d̃ = G̃m (A-4)

    G̃ is the so-called design matrix. Solving (A-4) in order to find m is equivalent to847

    minimizing χ2 (Equation (5) in the main text). The general least-squares (LSQ) solution of848

    61

  • (A-4) can be obtained with the aid of normal equations. In this case the solution is given849

    by:850

    mmin = (G̃T G̃)−1G̃T d̃ (A-5)

    Alternatively, the solution can be obtained by means of singular value decomposition851

    (SVD) of the matrix G̃:852

    G̃ = U.W(VT ) (A-6)

    Matrices U and V are orthonormal, and matrix W is diagonal. The columns of U and V853

    are the left- and right-singular vectors of G̃, respectively. Hereafter we use “singular vectors”854

    to designate the columns of matrix V, which we represent by V(i) The diagonal elements855

    of matrix W are the singular values wi of G̃ . The model parameters mj obtained through856

    SVD are then:857

    mmin =6∑

    i=1

    (U(i).d̃

    wi

    )V(i) (A-7)

    Where the sum runs over i = 1, . . . , 6 model parameters. The parameter variances and858

    covariances can be expressed in a very transparent form, using the singular vectors V(i) and859

    singular values wi:860

    σ2(mj) =6∑

    i=1

    (Vjiwi

    )2(A-8a)

    861

    Cov(mj,mk) =6∑

    i=1

    (VjiVkiw2i

    )(A-8b)

    62

  • Within the scope of this paper we will not use the parameter co-variances. The co-862

    variance matrix contains explicit information about the trade-off between every pair of model863

    parameters. The information about parameter trade-off is also contained in the error ellip-864

    soid. The error ellipsoid of M can be obtained from the singular vectors (V(i)) and singular865

    values (wi) of G̃ (Figure 1 in the main text). The orthonormal singular vectors V(i) define866

    the direction of the ellipsoid principal axes. The length of the ellipsoid axes are inversely867

    proportional to the singular values wi. Thus, small singular values correspond to long axes of868

    the ellipsoid (poorly resolved parameters). The most robust parameters are those associated869

    with large singular values wi. The shape and orientation of the error ellipsoid is fully deter-870

    mined by V(i) and wi. The actual size of the ellipsoid is determined by the data variance871

    σ2d (which enters the computation via singular values wi) and choice of ∆χ2 threshold. The872

    surface of the ellipsoid, defined as a surface of constant ∆χ2, can then be written as [Press873

    et al., 1992]:874

    ∆χ2 = w21(V(1).δm)2 + . . . + w26(V(6).δm)

    2 (A-9)

    where δm is the vector between the center of the ellipsoid and a point in the parameter875

    space.876

    Once we know the singular vectors V(i) and singular values wi we can easily determine877

    numerically the error ellipsoid: We set the size of the ellipsoid by choosing the limiting ∆χ2878

    value, hereafter ∆χ2 = 1. Then we find the model parameters δmj which are within the879

    ellipsoid 0 ≤ ∆χ2 ≤ 1. In practice, we discretize δm1, δm2, . . . , δm6, and grid-search the880

    6D parameter space within the limits given by ±σ(m1), . . . ,±σ(m6), calculated fom (A-8a).88163

  • Note that the surface ∆χ2 = 1 is chosen arbitrarily, not associated with a specific confidence882

    level. The grid search is fast, requiring only a few seconds on a laptop (it can be relatively883

    coarse, e.g. 11 points for each axis, six nested loops, totalizing 116 numerical evaluations of884

    (A-9)).885

    Figure A-1 shows selected 2D cross-sections of ∆χ2 = 1 error ellipsoids along axes m1 and886

    m2. The center of the ellipsoid (∆χ2 = 0) is the reference solution mref . The discrete points887

    inside the ellipsoid are the family of acceptable solutions, macceptable = mref + δm. Note888

    that the projection of the ellipsoid onto the individual axes equal the individual parameter889

    standard deviations σ(mi). This is a consequence of the adopted choice of limiting ∆χ2 = 1.890

    The ellipsoid cross-sections allow a visualization of the well-known trade-offs between model891

    parameters. However the practical interest of this visualization is limited, because: 1) we892

    have to consider all six dimensions; and 2) the model parameters do not have an intuitive893

    meaning. More meaningful are the uncertainties of the faulting angles (strike, dip, and rake894

    – shown in the main text), which result from the interaction of all six model parameters.895

    Although we used SVD in this derivation, in practice we do not need to decompose G̃.896

    In fact, we only need to compute the eigenvalues and eigenvectors of GTG. This shortcut897

    further contributes to the numerical efficiency of the method. The parameter variances898

    σ2(mj) are actually the diagonal elements of G̃T G̃−1 , and σ2(mj)/σ2d are the diagonal899

    elements of GTG−1. The singular vectors V(i) of G̃ are simply the eigenvectors of GTG.900

    And the singular values of G̃ can be calculated from the eigenvalues λi of GTG:901

    wi =√

    λi/σ2d (A-10)

    64

  • and, therefore:902

    ∆χ2 =λ1(V(1).δm)

    2 + . . . + λ6(V(6).δm)2

    σ2d(A-11)

    If we now recall recall equations (7), (8), (11) (in the main text) and (A-11), we find that903

    the ∆χ2 = 1 surface can be expressed in several equivalent ways:904

    σ2d = (d− sth)2 − (d− smin)2

    =∑

    i d2i (VRmin − VRth)

    = λ1(V(1).δm)2 + . . . + λ6(V(6).δm)

    2

    (A-12)

    Equation (A-12) is an interesting by-product of our analysis: It demonstrates that chosing905

    a family of acceptable solutions via prescription of a variance-reduction threshold (in case we906

    have data) is equivalent to prescribing a value for data error σd. Moreover, σd is explicitly907

    related to the eigenvectors V (i) and λi, which we can compute without data. This equivalence908

    is not often recognized.909

    Let us next summarize the computational algorithm. Consider first that waveforms are910

    available:911

    1. Matrix G is formed; matrix GTG is computed.912

    2. Column vector d is formed.913

    3. The LSQ solution of (A-4), given by (A-5), provides the optimum solution mmin.914

    4. The LSQ solution is adopted as the reference solution mref = mmin.915

    5. The singular vectors V(i) are computed as eigenvectors of GTG, and the singular values916

    wi are computed from the eigenvalues λi of GTG according to (A-10).917

    65

  • 6. The standard deviations of the model parameters σ(m) are obtained from (A-8).918

    7. A 6D grid search is performed to obtain the discrete points δm satisfying 0 ≤ ∆χ2 ≤ 1919

    (A-9).920

    8. The set of model parameters macceptable given by macceptable = mref + δm is the family921

    of acceptable solutions.922

    If waveform data are not available, and only the uncertainty analysis is to be made, we limit923

    the analysis to steps 1 and 5 – 8. In this case, mref is chosen arbitrarily. If we are interested924

    in the resolvability of a specific focal mechanism, we can easily compute the coefficients mj925

    from strike, dip, rake and scalar moment. We then proceed as indicated above.926

    A final issue deserves attention: How does the uniform sampling of the 6D parameter927

    space relate to the sampling of the misfit ∆χ2? Figure A-2 shows the distribution of all values928

    of ∆χ2 found while grid-searching the 6D volume. The misfit ∆χ2 is sufficiently smo