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JOURNAL OF GEOPHYSICAL RESEARCH, VOL. 107, NO. B4, 2059, 10.1029/2000JB000059, 2002 New images of the Earth’s upper mantle from measurements of surface wave phase velocity anomalies Lapo Boschi and Göran Ekström Department of Earth and Planetary Sciences, Harvard University, Cambridge, Massachusetts, USA Received 14 November 2000; revised 24 September 2001; accepted 29 September 2001; published 11 April 2002. [1] The sensitivity of a surface wave to the lateral structure of the Earth’s mantle depends on the local structure and thickness of the crust; particularly at short periods, the strong lateral heterogeneity of the crust has a significant nonlinear effect on the surface wave ‘‘sensitivity functions.’’ Thus far, this effect has not been quantified, and tomographic studies of the upper mantle based on surface wave observations have not taken it into account. On the basis of a Jeffreys-Wentzel-Kramers-Brillouin (JWKB) description of surface wave propagation we find and discuss the lateral variations of the sensitivity of Love and Rayleigh waves to mantle seismic anomalies, associated with a realistic model of the crust [Mooney et al., 1998]. We then use the resulting laterally varying sensitivity kernels to determine a new tomographic image of horizontally and vertically polarized shear velocity in the upper mantle from Love and Rayleigh wave phase velocity measurements (periods from 35 to 300 s). In terms of large-scale patterns of high and low velocity our model is similar to previously published ones, confirming, among other features, the anomalous anisotropy underlying the central Pacific [Ekström and Dziewonski, 1998]; we find, however, that the lateral dependence of the surface wave sensitivity kernels has a significant effect on the absolute amplitude of the anomalies, which should not be neglected as we attempt to obtain higher-resolution images of the upper mantle. INDEX TERMS: 7218 Seismology: Lithosphere and upper mantle; 7255 Seismology: Surface waves and free oscillations; 8180 Tectonophysics: Tomography; KEYWORDS: Tomography, surface waves, JWKB theory, anisotropy, continental roots, upper mantle 1. Introduction [2] Measurements of Love and Rayleigh waves at short and intermediate periods provide the principal seismological constraint, on a global scale, on the properties of the Earth’s crust and upper mantle [e.g., Ekström, 2000]. Today, the crust has been characterized successfully by local seismic reflection and refraction studies, and accurate laterally varying global models of its structure and thickness are becoming available [e.g., Mooney et al., 1998]. The next step, then, is to make use of surface wave measurements to achieve an equally accurate understanding of the upper mantle three-dimensional (3-D) structure. [3] In practice, the local perturbations to surface wave velocity specifically due to the crust can be estimated a priori by a theoretical calculation [e.g., Woodhouse and Dziewonski, 1984], based on existing 3-D crustal models like CRUST-5.1 [Mooney et al., 1998]. These perturbations are then subtracted from the original measurements, and the resulting, ‘‘corrected’’ velocity anomalies should be the result of anomalous mantle structure only. A set of sensitivity functions that relate surface wave measurements to the underlying heterogeneities of the parameters that we wish to constrain (horizontal and vertical shear and compressional velocity, density, etc.) is then used to set up a linear inverse problem, whose solution is a 3-D model of the upper mantle [e.g., Montagner and Tanimoto, 1991; Masters et al., 1996; Ekström and Dziewonski, 1997, 1998; Ritsema et al., 1999; Ekström, 2000; Ritsema and van Heijst, 2000]. [4] Because the Earth’s crust is characterized by strong lateral heterogeneities, the sensitivity of surface waves to the underlying structure must also vary with latitude and longitude: Copyright 2002 by the American Geophysical Union. 0148-0227/02/2000JB000059$09.00 ESE depending on the local values of thickness, density, and seismic velocities of the crust, the propagation of a surface wave along the surface might be affected in different ways by a mantle anomaly located at a given depth. Nevertheless, in all global tomographic studies of the upper mantle thus far [e.g., Montagner and Tanimoto, 1991; Masters et al., 1996; Ekström and Dziewonski, 1997, 1998; Ritsema and van Heijst, 2000; Ekström, 2000], lateral variations of the sensitivity functions have been neglected. The partitioned waveform inversion algorithm of Nolet [1990] (later employed, for example, by van der Lee and Nolet [1997] and Simons et al. [1999]) allows for a 3-D reference model but requires that the reference model (and thus the sensitivity functions) be averaged along each source-station path, when the second step of the inversion is carried out to determine the structure of the mantle; since a teleseismic surface wave ray path usually spans a portion of the Earth large enough to include significant variations of crustal structure, the problem that we address remains. [ 5 ] In the Jeffreys-Wentzel-Kramers-Brillouin (JWKB) approximation [e.g., Tromp and Dahlen, 1992a, 1992b] the propagation of surface waves through a 3-D Earth is governed by ‘‘local’’ normal-mode eigenfunctions, coinciding, at any given location, with those of a 1-D Earth model whose properties are everywhere equal to those of the 3-D Earth at the same location [Tromp and Dahlen, 1992a, section 2.4]. After finding the local eigenfunctions of a 3-D starting model that includes an accurate map of the crust, we can use them to determine, everywhere on the Earth’s surface, the local sensitivity functions that are naturally associated with them; the resulting set of laterally varying kernels can then be used, in a linear inverse problem, to constrain the laterally varying structure of the upper mantle [Wang and Dahlen, 1994]. This way, the lateral variations in sensitivity associated with the crust are taken into account, within 1-1 ESE 1-2 BOSCHI AND EKSTRÖM: SURFACE WAVE UPPER MANTLE TOMOGRAPHY the accuracy of the JWKB approximation. Application of this technique to our set of high-quality surface wave measurements has resulted in a new 3-D, transversely isotropic image of shear velocity in the upper mantle; we discuss this model in comparison with previous results, focusing on the specific effect of our new treatment of sensitivity. 2. Tomographic Inversions of Observed Surface Wave Phase Velocity Anomalies 2.1. Phase Velocity Maps [6] Given a spherically symmetric reference Earth model, a theoretical Rayleigh or Love wave seismogram for any sourcestation geometry can be calculated and written, as a function of frequency w, in the form iw ; uðwÞ ¼ AðwÞ exp cðwÞ ð1Þ where denotes the epicentral distance, A(w) denotes the wave amplitude, and c(w) is the surface wave phase velocity at a frequency w. [7] We can use a perturbation approach to write a mathematical expression for a seismogram associated with a 3-D Earth [e.g., Ekström et al., 1997], iw þ dðwÞ ; uðwÞ þ duðwÞ ¼ ½AðwÞ þ dAðwÞ exp cðwÞ ð2Þ where dA(w) and d(w) are small perturbations to the amplitude and phase of the seismogram, respectively. In particular, the phase anomaly can be written Z parameters are density, horizontally polarized compressional velocity vPH, vertically polarized compressional velocity vPV, horizontally polarized shear velocity vSH, vertically polarized shear velocity vSV, the nondimensional parameter h (described, for example, by Dziewonski and Anderson [1981]), and the attenuation factors qK and qm [e.g., Dziewonski and Anderson, 1981]. [10] We denote pi(r) + dpi(r, q, f) the values of the same structural parameters in a 3-D Earth. Then, assuming that the phase slowness p is a function of the local radial structure only [Jordan, 1978], dp(q, f; w) must depend on the dpi via Z I X a dpðq; f; wÞ ¼ 0 ð4Þ where a is the Earth’s radius and the functions Ki usually are referred to as ‘‘sensitivity kernels’’ or simply ‘‘partial derivatives’’ [Anderson and Dziewonski, 1982]. The functions Ki are determined numerically on the basis of normal mode theory [e.g., Takeuchi and Saito, 1972]. [11] Let us substitute (4) into (3). We find a relation between the phase anomaly and the heterogeneities dpi, Z Z a dðwÞ ¼ w 0 I X 0 Ki ðr; wÞdpi ½r; qðsÞ; fðsÞdrds: ð5Þ i¼1 Given our set of phase anomaly measurements, (5) can be used to constrain dpi, thereby obtaining a 3-D model of the upper mantle: first, the dpi need to be expanded over a set of basis functions fk(r, q, f) (k = 1, 2,. . ., K ), dpi ðr; q; fÞ ¼ K X xik fk ðr; q; fÞ; ð6Þ k¼1 dðwÞ ¼ w Ki ðr; wÞdpi ðr; q; fÞdr; i¼1 dpðqðsÞ; fðsÞ; wÞds ð3Þ 0 where dp(q, f; w) is the difference between the surface wave phase slownesses p = 1/c associated with the 3-D Earth and the initial, one-dimensional (1-D), reference model. The letters r, q, f denote radius, colatitude and longitude; the equations q = q (s) and f = f(s) describe the geometry of the ray path; here and in the following, as in most of the literature on surface wave tomography, the ray path is assumed to follow the great circle connecting source and receiver, and the lateral width of the ray is neglected. [8] Let the difference between the phase of a measured seismogram and that predicted by the 1-D reference model be denoted d(w). A large set of such phase anomaly measurements, collected according to the procedure devised by Ekström et al. [1997], is available. We then treat dp(q, f; w) as the unknown solution to the inverse problem implicitly defined by (3) and expand it over a set of basis functions (of q and f only); the resulting linear system of equations is then solved to obtain twodimensional phase velocity maps of Earth [e.g., Montagner and Tanimoto, 1990; Trampert and Woodhouse, 1995; Laske and Masters, 1996; Zhang and Lay, 1996; Ekström et al., 1997; Boschi and Dziewonski, 1999]. 2.2. Three-Dimensional Heterogeneities With Respect to a Spherical Reference Model [9] The phase velocity of surface waves is a function of the velocity and density structure of the top few hundred kilometers of the Earth. Consequently, measurements of surface wave velocity (or phase) anomalies can provide information about the crust and upper mantle. Let us denote pi(r) (i = 1, 2,. . ., I ) the set of I parameters that define our reference 1-D Earth model; in a transversely isotropic (radially anisotropic) Earth, I = 8, and the eight which holds for i = 1, 2,. . ., I. Equation (6) can then be substituted into (5), dj ðwÞ ¼ w I X K X i¼1 k¼1 Z j Z a Ki ðr; wÞfk ðr; q; fÞdrds; xik 0 ð7Þ 0 where the additional subscript j = 1, 2,. . ., M is simply used to distinguish each of the M measurements available in our data set. [12] We simplify the notation by establishing a one-to-one correspondence between the couples of indexes i, k and a single index l. Let L be the total number of combinations i, k. We subsequently call Ajl the double integral in (7), which can now be calculated numerically for each j and l. Equation (7) collapses to dj ðwÞ ¼ w L X Ajl xl ð8Þ l¼1 ( j = 1, 2,. . ., M ), a linear system that can be solved for the unknown vector x, and therefore the model vector dpi(r, q, f), in a regularized least squares sense. As discussed below, (8) is usually corrected to account a priori for the 3-D structure of the crust. An alternative approach is to treat the properties of the crust, and in particular its thickness, as free parameters of the least squares inversion [Li and Romanowicz, 1996]; in this case, no further manipulation of (8) is necessary. 2.3. Three-Dimensional Heterogeneities With Respect to a 3-D Reference Model [13] If the reference model is chosen to be 3-D, (1) has no meaning (the phase velocity c now being dependent on the location BOSCHI AND EKSTRÖM: SURFACE WAVE UPPER MANTLE TOMOGRAPHY ESE 1-3 Earth’s crust by applying a crustal correction, as in (9), but then neglecting the inherent lateral variations of the sensitivity kernels Ki, which are still assumed to be constant with respect to q and f [e.g., Woodhouse and Dziewonski, 1984; Nataf et al., 1986; Montagner and Tanimoto, 1991; Masters et al., 1996; Ekström and Dziewonski, 1997, 1998; Ekström, 2000]. Here, instead, we replace the 1-D kernels Ki(r) by the appropriate JWKB 3-D kernels, which we shall denote Ki0(r, q, f; w). [16] In the JWKB approximation the local radial eigenfunctions (and dispersion relation) at (q, f) are precisely those of a 1-D Earth model whose properties are everywhere equal to those of our 3-D model at (q, f); we can therefore find Ki0(r, q, f; w) with the same procedure used in the entirely 1-D case (section 2.1), repeated at all the nodes of a fine (q, f) grid, depending on the lateral resolution of the 3-D reference model, using at each node the appropriate set of local eigenfunctions. This approach is computationally intense, but feasible. Equation (7) is replaced by d00j ðwÞ ¼ w I X K X i¼1 k¼1 Figure 1. (a) Sensitivity of 300-s Rayleigh waves to vSV (solid lines) and vSH (dashed lines) at two locations: Tibet (solid lines) and a region of 25-km-thick crust in Antarctica (shaded lines). (b) Sensitivity of 300-s Rayleigh waves to vPV (solid lines) and vPH, at the same two locations as in Figure 1a. (c, d) Same as Figures 1a and 1b, respectively, but for 35-s Rayleigh waves. Following Anderson and Dziewonski [1982], we denote the sensitivity dT/T: We define it as the relative perturbation in the surface wave period, produced by a uniform 1% perturbation in velocity over a 1-km-thick shell, whose depth is plotted on the horizontal axis. Here and in Figure 2, the sensitivity curve only extends to the local Moho depth: the crustal structure, in fact, is not treated as a free parameter in our least squares inversions (see section 2.3). q, f), and the above treatment does not hold. Remaining in the framework of geometrical optics ray theory, we shall then follow the description of Wang and Dahlen [1994], based upon the JWKB approximation [Tromp and Dahlen, 1992a, 1992b]. In this approach, the propagation of surface waves is governed by local normal-mode eigenfunctions (changing as functions of q and f), naturally giving rise to local sensitivity kernels, when the theory is used to formulate a tomographic inverse problem. [14] Once a 3-D reference model pi(r) + dpi(r, q, f) (i = 1, 2,. . ., I ) is chosen, we can calculate the associated local surface wave slowness p(q, f; w) via normal mode theory, finding at each block the appropriate local eigenfunctions [e.g., Tromp and Dahlen, 1992a], and subsequently determine, with a line integral along every path j, the phase anomaly with respect to the initial, 1-D reference; we shall denote it dj0(w). Each datum dj(w), which is also a phase anomaly measured with respect to the 1-D reference, is then replaced by d00j ðwÞ ¼ dj ðwÞ d0j ðwÞ; ð9Þ with j = 1, 2,. . ., M. [15] In the existing literature on upper mantle tomography, there are attempts to account for the laterally varying properties of the Z j Z xik 0 0 a Ki0 ðr; q; f; wÞfk ðr; q; fÞdrds; ð10Þ which can also be rewritten in the form of (8), to define the linear inverse problem associated with the chosen 3-D reference model. [17] The modeling technique described in this section represents a theoretical improvement with respect to the previous attempts at accounting for the strong lateral anomalies of a 3-D reference model that includes a realistic crustal structure; the ‘‘partitioned waveform inversion’’ method of Nolet [1990] and the ‘‘path average’’ approximation of Woodhouse and Dziewonski [1984] both involve averaging of the reference model along each sourcestation path, while within the limits of the JWKB approximation we treat our reference model strictly as 3-D. A further step forward could consist in quantifying the effects of ray curvature, already treated by Wang and Dahlen [1994] but, for simplicity, neglected here. 3. Sensitivity Kernels Associated With a 3-D Reference Earth Model [18] In this study we determine tomographic models of the upper mantle, defined in terms of perturbations to a 3-D reference model. Our reference model, which we shall refer to as model A, is spherically symmetric everywhere below the local depth of the Moho discontinuity. It coincides with preliminary reference Earth model (PREM) at depths >220 km; above this depth, all parameters vary linearly with slopes equal to those between 400 and 220 km depth: in contrast to PREM, model A is entirely isotropic. The surface topography, crustal structure, and depth of the Moho discontinuity of model A change laterally as in model CRUST5.1 of Mooney et al. [1998]. [19] Once the reference model is given, we can compute the corresponding sensitivity kernels Ki0(r, q, f; w), as described in section 2.3. CRUST-5.1 is defined in terms of a discrete, 5 5 block parameterization. In order to determine Ki0(r, q, f; w) unambiguously it is therefore sufficient to perform the computation once for each one of these blocks. By construction, the sensitivity kernels will be zero within the crust, whose effect has been taken into account with the correction (9); this choice rests on the assumption that CRUST-5.1 be an accurate image of the crust at spatial wavelengths of 5 5 or larger. In Figure 1 we show the sensitivity of fundamental mode Rayleigh waves at periods 300 s (Figures 1a and 1b) and 35 s (Figures 1c and 1d) to horizontally (dashed lines) and vertically (solid lines) polarized, shear (Figures 1a and 1c) and compressional (Figures 1b and 1d) velocities within the Earth’s mantle, as a function of depth. As a general rule, we know that surface waves of longer period are sensitive to deeper structure; it ESE 1-4 BOSCHI AND EKSTRÖM: SURFACE WAVE UPPER MANTLE TOMOGRAPHY Figure 2. Sensitivity of (left) Rayleigh and (right) Love waves, at periods of (top) 35 s and (bottom) 300 s, to perturbations in vertical and horizontal shear velocities, respectively, at a depth of 70 km. The quantity plotted, dT/T, is the same as in Figures 1 and 3. See color version of this figure at back of this issue. is evident from Figure 1 that 35-s Rayleigh waves are only sensitive to very shallow structure, while 300-s Rayleigh waves sample the entire upper mantle. [20] Figure 1 includes a set of sensitivity kernels for two locations on the Earth, one characterized by a particularly thick continental crust (solid lines; Tibet/Himalaya, 90E, 30N) and the other characterized by a thinner ( 25 km) crust (shaded lines; 260E, 75S); the differences in crustal structure and thickness significantly affect the values of Ki0(r, q, f; w) within the upper mantle, at least at shallow depths. This effect is also seen in Figure 2 (left), where the sensitivity of 35- and 300-s Rayleigh waves to vSV is shown as a function of longitude and latitude, at a fixed depth of 70 km below the Earth’s mean surface; the lateral variations of Ki0(r, q, f; w) are significant at both short and long periods. The most prominent feature of the Rayleigh wave sensitivity maps of Figure 2 is the systematic contrast between the values of Ki0(r, q, f; w) in continents and in oceans; the ratios between the highest and lowest values of sensitivity of 35- and 300-s Rayleigh waves to vSV are 2 and 1.5, respectively. [21] Love waves (Figure 3) are more sensitive to shallow structure than Rayleigh waves, and model A’s crustal heterogeneities thus result in large lateral variations of the corresponding sensitivity functions. As to be expected, this effect is particularly evident at short periods (Figure 3b). Figure 2 (right), showing the kernels Ki0(r, q, f; w) associated with vSH for Love waves at periods of 35 and 300 s, as functions of q and f and at a fixed depth of 70 km, confirms that the lateral variations of the Love wave sensitivity kernels are more significant than those of the Rayleigh wave ones. For example, the ratio between the highest and lowest values of sensitivity of 35-s Love waves to vSH is 5; at this depth and period the value of Ki0(r, q, f; w) is highest in areas underlying the oceanic crust, away from mid-ocean ridges and therefore characterized by a thick water layer and lowest in regions with thick sedimentary layers. [22] Neglecting the lateral dependence of Ki0(r, q, f; w) is equivalent to assuming, for inversion purposes, a constant crustal thickness, even if the correction (9) is derived from a reference model of variable crustal thickness. A consequence of this approx- imation is that in regions of thick crust the sensitivity to mantle structure is assumed to be nonzero at depths that fall within the crust and, likewise, in regions of thin crust the sensitivity is assumed to be zero (unless crustal structure is inverted for) throughout the shallowest mantle. Figures 1 and 3 indicate that this effect can be significant even at long periods. 4. New Tomographic Images of the Earth’s Upper Mantle 4.1. Three-Dimensional Parameterization and Phase Anomaly Measurements [23] The 3-D tomographic images presented in this study are defined as linear combinations of all the products between the surface cells of Figure 4a and the radial cubic splines [e.g., Lancaster and Šalkauskas, 1986] of Figure 4b (i.e., these products are the basis functions fk(r, q, f) introduced in section 2.2). The choice of a block parameterization of the Earth’s surface allows us to treat CRUST-5.1, which is given in terms of 5 5 blocks, as a reference model, without any intermediate step. Naturally, this requires that the boundaries between neighboring blocks in our parameterization always coincide with the boundaries of CRUST5.1, even though the size of our blocks is occasionally larger (Figure 4a). [24] The choice of a radial parameterization, on the other hand, must be related to the capability of the available data to resolve structure at different depths. Our data set is an expanded version of the one assembled by Ekström et al. [1997], with approximately twice as many observations [Larson, 2000]. It consists mostly of phase anomaly measurements associated with Love and Rayleigh waves of 35- to 150-s period, very sensitive, as discussed in section 3, to crustal and shallow mantle structure. We therefore expect to have good resolution of shallow mantle structure and choose for this region a fine radial parameterization, with five spline functions centered every 60 km, from 0 to 240 km depth (Figure 4b). [25] In order to achieve a better resolution of the deeper portion of the upper mantle we have also collected minor arc and major arc BOSCHI AND EKSTRÖM: SURFACE WAVE UPPER MANTLE TOMOGRAPHY ESE 1-5 within the upper mantle, by accounting for the different properties of phase anomaly measurements associated with different types and periods of surface waves. In fact, after a number of preliminary inversions we found that the quality of the fit strongly depends on the period and type of the measured surface wave. Our goal is to obtain a solution that explains equally well the data associated with all the different periods of Love and Rayleigh waves included in our data set; we achieve it by assigning different weights to different subsets of data. In practice, we multiply all the rows of the linear system resulting from (10), corresponding to a certain period and type of wave, by 2P 6 weightðwÞ ¼ 4 M ð wÞ j h i2 312 d00j ðwÞ d00 ðwÞ 7 5 : M ðwÞ ð11Þ This quantity is a measure of the deviation of a set of M phase anomalies, observed at a frequency w, from their mean value d00 ðwÞ. 4.2. Inversion Procedure [27] The 3-D tomographic images of the upper mantle that we obtain are solutions to the inverse problem implied by (10), simplified by the assumption that the sensitivity of our data to Figure 3. (a) Sensitivity of 300-s Love waves to vSV (solid lines) and vSH (dashed lines) at the same two locations (solid and shaded lines) as Figure 1. (b) Same as Figure 3a, but for 35-s Love waves. The propagation of Love waves is mostly affected by heterogeneities in vSH; their sensitivity to vSV is, in comparison, negligible, and their sensitivity to compressional velocities is exactly zero. phase anomaly measurements for longer-period (200 – 300 s) surface waves and included them in the tomographic inverse problem. However, short- and intermediate-period data are far more numerous than long-period ones, and our data set is most likely unable to resolve small-scale radial variations of the Earth’s structure at depths >300 km; there we make use of a coarser parameterization, with splines of larger radial extent, centered at depths of 450, 600, and 750 km. [26] In addition to choosing an adequate parameterization we attempt to optimize our resolution of lateral structure, at all depths Figure 4. (a) The grid of approximately equal-area blocks (5 5 at the equator) that we employ as the surface parameterization of our model. (b) The set of nine radial splines that we use to describe its radial dependence. These splines are part of a whole mantle parameterization, normalized so that their summed values be equal to 1 at any depth; in this study, we have excluded the splines centered at depths >800 km. ESE 1-6 BOSCHI AND EKSTRÖM: SURFACE WAVE UPPER MANTLE TOMOGRAPHY Figure 5. Model B percent lateral perturbations (relative to the 3-D reference model A) in (left) vertical and (middle) horizontal S velocity and (right) their difference, at four depths in the upper mantle (50 to 200 km as indicated, top to bottom). The average perturbation of each map has been subtracted from it in order to focus on lateral variations; it is plotted separately, as a function of depth, in Figure 6. See color version of this figure at back of this issue. lateral variations of parameters other than vPH, vPV, vSH, and vSV can be neglected. [28] In order to limit the amount of computer memory needed to find a least squares solution to (10), we also take into account laboratory observations of compressional and shear velocity anisotropy found in upper mantle rocks [Peselnick and Nicolas, 1978; Christensen and Salisbury, 1979; Anderson, 1989]; although a clear correlation exists between the signs of compressional and shear velocity anisotropy (vPH > vPV is always associated with vSH > vSV, and vice versa), the available data are not enough to determine a scaling factor relating the two quantities. We simply assume dvSH/vSH = dvPH/vPH, and, likewise, dvSV/vSV = dvPV/vPV, everywhere in the upper mantle. (We have also solved the inverse problem in the assumption of no sensitivity to compressional velocity. The resulting solution differed only marginally from the models discussed below.) Using these equations in the treatment of section 2.3 results in a reduction, by a factor 2, in the number of free parameters. In practice, we are left with only two unknown velocity distributions, dvSH/vSH and dvSV/vSV, and the corresponding sensitivity kernels, K20 + K40 and K30 + K50. [29] We further reduce the size of the inverse problem by grouping the original measurements into summary data: Given an equal-area (2 2 at the equator) grid of indexed blocks spanning the entire surface of the Earth, we identify each datum by the block indexes of the corresponding seismic source and station (or vice versa); we then replace the subset of data corresponding to each combination of source-block and station-block with their mean value; the summary source and station associated with a summary datum are placed in the mean locations of the actual sources and stations. [30] The crustal structure of our 3-D reference model coincides with the crustal model CRUST-5.1, derived from a variety of data whose resolution of crustal properties is higher than that achievable from surface wave observations [Mooney et al., 1998]. We therefore rely on the accuracy of CRUST-5.1 and constrain the solutions to our inversions to equal the reference model exactly within the crust. As mentioned in section 3, this is achieved by defining the sensitivity kernels Ki0(r, q, f; w) to be zero anywhere at values of r larger than the local radius (at q, f) of the Moho discontinuity. In Figure 6. Model B globally averaged values of vSV (thick dashed line) and vSH (thick solid line), as functions of depth, compared with PREM and with the isotropic model A. BOSCHI AND EKSTRÖM: SURFACE WAVE UPPER MANTLE TOMOGRAPHY ESE 1-7 Figure 7. Local corrections to the constant value of 35-s Love wave phase velocity associated with PREM, due to (a) model A, including crustal heterogeneities from CRUST-5.1, (b) the lateral upper mantle anomalies of Figure 5 (model B), and (c) their combined effect. (d) Phase velocity map resulting from a direct inversion of 35-s Love wave phase anomalies. The similarity of Figures 7c and 7d demonstrates the internal consistency of our procedure. See color version of this figure at back of this issue. this approach, crustal heterogeneities not accounted for by CRUST5.1 are likely to map into the solution; this effect could be made more severe by lateral variations in the sensitivity of surface waves to crustal structure: If a spatial resolution higher than that of CRUST-5.1 is to be achieved, the reference model should include a finer image of the crust. [31] We use the LSQR algorithm of Paige and Saunders [1982] to find a least squares solution; the mixed-determined linear system is regularized by means of norm and roughness minimization [e.g., Boschi and Dziewonski, 1999, 2000]. We define the norm and roughness of each parameter of the model (dvSH/vSH, dvSV/vSV) as the integrals, over the entire upper mantle, of the squared norm and Figure 8. Same as Figure 7, but for 150-s Rayleigh waves. See color version of this figure at back of this issue. ESE 1-8 BOSCHI AND EKSTRÖM: SURFACE WAVE UPPER MANTLE TOMOGRAPHY anisotropic anomaly that Ekström and Dziewonski [1998] found to characterize the Pacific region around the depths of 50 and 150 km. Model B is also anisotropic, with vSH larger than vSV, under eastern Asia and northeastern America, at 100 and 150 km depth, and under the East Pacific Rise, at 200 km; in the same areas, the maps of Ekström and Dziewonski [1998] show a less significant anisotropy. [33] Figure 6 shows the globally averaged profiles of vSH and vSV associated with model B. Even though the reference model A is isotropic and includes no mantle discontinuities shallower than 400 km depth, model B is characterized, on average, by a significant radial anisotropy similar to that of PREM, with the discontinuity at 220 km (the so-called Lehmann discontinuity [see Revenaugh and Jordan, 1991]) replaced by a very rapid, but smooth change in both vSH and vSV. 4.4. Phase Velocity Maps [34] Once a 3-D model is found, equation (4) gives the corresponding phase velocity of a Love or Rayleigh wave at Figure 9. Model B average perturbations to (a) Rayleigh and (b) Love waves phase velocities with respect to their PREM constant values for all the periods considered here. The values obtained from independent direct inversions of the phase anomaly measurements (dot-dashed line, pluses) are compared with those computed based on the 3-D model discussed in section 4.3 (solid line, circles); the latter values are the sum of two contributions: that of the mantle heterogeneities of model B (short-dashed line, triangles) and that of the reference model A (long-dashed line, squares), including CRUST-5.1 and the 1-D upper mantle model described in section 3. squared horizontal gradient of the parameter itself; the vertical gradient, therefore, is not minimized. 4.3. A New Radially Anisotropic Image of the Earth’s Upper Mantle [32] In Figures 5 and 6 we show a new tomographic image of the Earth’s upper mantle, which we refer to as model B. Although resulting from a different tomographic procedure, model B is consistent, at least in terms of its large-scale pattern, with recent images of the upper mantle. Ekström and Dziewonski [1998] derived their anisotropic upper mantle model S20A from a different reference model (PREM, with a uniform crust and a discontinuity at 220 km depth), with a coarser parameterization and a different set of measurements. Nevertheless, our model and S20A share the same long-wavelength features. Figure 5, in fact, shows the robust Figure 10. Variance reduction, with respect to the constant values of phase velocity associated with PREM, achieved by our (a) Rayleigh wave and (b) Love wave phase velocity maps. The fit to the data achieved by theoretical maps based on our 3-D model (solid line and circles for minor arc data; long-dashed line and diamonds for major arc data) is compared with that achieved by phase velocity maps obtained through independent direct inversions of the phase anomaly data (short-dashed line, pluses). At each period where both minor arc and major arc measurements were available, they were used together in a single inversion to obtain a single-phase velocity map. BOSCHI AND EKSTRÖM: SURFACE WAVE UPPER MANTLE TOMOGRAPHY ESE 1-9 Figure 11. Model C, shown in the same fashion as model B in Figure 5, in terms of percent perturbations relative to model A (the average perturbation, previously subtracted from these plots, is shown separately in Figure 12). This new image results from a second iteration of our procedure, with model B as the starting point. See color version of this figure at back of this issue. any period, as a function of longitude and latitude. In Figures 7 and 8 we compare the resulting (‘‘two-step’’) 2-D maps, for 35-s Love and 150-s Rayleigh waves, respectively, with the corresponding maps obtained by an independent, direct inversion (‘‘one-step’’) of the phase anomaly data dj(w) as described in section 2.1. In this exercise the phase anomaly data are not corrected to account for the 3-D reference model; therefore, for every type and period of surface waves the phase velocity maps are defined as relative perturbation with respect to the constant phase velocity of PREM. [35] In order to find the phase velocity anomalies, with respect to PREM, predicted by our final 3-D model, the quantities dpi(r, q, f) in (4) must now be defined as perturbations with respect to PREM. The phase velocity maps are then obtained by summing two contributions: the anomalies in phase velocity arising from the differences between PREM and our 3-D reference model A and those due to the lateral heterogeneities of the upper mantle shown in Figure 5. At each value of q and f we calculate these two components of the total phase velocity anomaly and plot them in Figures 7a and 7b (or Figures 8a and 8b), respectively. [36] In practice, since the differences between PREM and model A are purely one-dimensional below the Moho discontinuity, all the lateral structure seen in Figures 7a and 8a originates from the 3-D heterogeneities of CRUST-5.1. As is to be expected, this ‘‘crustal’’ component of the total velocity anomaly dominates short-period Love wave velocity, which is most sensitive to shallow structure, while the effect of mantle anomalies clearly becomes more important for Rayleigh waves, especially at relatively long periods. The two-step phase velocity maps, shown in Figures 7c and 8c, are simply the sum of maps in Figures 7a, 7b, 8a, and 8b. Their consistency with the one-step maps (Figures 7d and 8d) is an important measure of the stability of our model. [37] For both Love and Rayleigh waves and at all the periods considered in this study, we repeat systematically the analysis of Figures 7 and 8. Figure 9 shows the mean phase velocity anomalies associated with all the phase velocity maps that we computed. The agreement between the one-step and two-step images is confirmed at all periods. [38] We also calculate the variance reduction, with respect to PREM, achieved by each of the two-step phase velocity maps; in Figure 10 we compare it with the value of variance reduction Figure 12. Globally averaged values of vSV (dashed lines) and vSH (solid lines) for model B (section 4.3, thin lines) and model C (section 5, thick lines). ESE 1 - 10 BOSCHI AND EKSTRÖM: SURFACE WAVE UPPER MANTLE TOMOGRAPHY We thus compute the new sensitivity kernels, associated with model B; in principle, they should account more accurately for the actual dependence of the surface wave signal to the underlying structure. Then we carry out a new least squares inversion, regularized in the same fashion as the previous one. [40] The solution model (hereinafter model C) is shown in Figure 11 in terms of lateral perturbations with respect to model A. The mean values of vSH (solid lines) and vSV (dashed lines) in model C are shown as functions of depth in Figure 12 (thick lines), where they are directly compared with those of model B (thin lines); model B appears to be slightly more isotropic between 50 and 100 km depth and more anisotropic around 150 km depth. However, these discrepancies are minor, and, as we can infer from a comparison of Figures 5 and 11, probably smaller than the actual precision of our models; we have also verified that these fluctuations keep diminishing as more iterations are performed. [41] As in section 4.4, we then find from (4) the perturbations dc(q, f, w) = dp(q, f,w)/p2(w) to the phase velocity c of Love and Rayleigh waves, at all the values of frequency w considered here. Their lateral variations (not shown here) and average values (Figure 13) are substantially similar to those obtained from model B (Figures 7 and 8); minor differences, visible in Figure 13, result from the approximate character of (4): as new sensitivity kernels associated with model B are computed, the same calculation is carried out, again, in an exact fashion, and the resulting discrep- Figure 13. Model C average perturbations to the constant PREM values of (a) Rayleigh and (b) Love waves phase velocities for all the periods considered here. As in Figure 9, the specific contributions of the reference model B (long-dashed lines, squares) and of the mantle perturbations of model C (dot-dashed lines, triangles) are shown separately. obtained in the corresponding direct inversion for each period and type of surface waves. As a general rule, we find that phase velocity maps directly obtained from the data explain them better than those calculated from the 3-D model. This result was to be expected: While the 3-D model is obtained in one simultaneous inversion of all the measurements, the direct phase-velocity inversions are independent from each other, each being allowed to fit the phase anomalies with a solution model not necessarily consistent with the others. This effect is particularly significant at long periods, corresponding to deeper structure, which is more difficult to constrain. However, a visual comparison of Figures 7c and 8c and Figures 7d and 8d, and of analogous maps at different periods, shows a high correlation. 5. Iterative Inversion Procedure [39] The technique that we have developed leaves us free to choose any convenient 3-D model as reference. A reasonable choice of a new reference is model B, which naturally explains our surface wave measurements better than the initial one, model A. Figure 14. Variance reduction achieved by model C (thick lines), with respect to PREM, plotted as a function of period for both (a) Rayleigh and (b) Love wave data. For comparison, the curves of Figure 10, obtained from model B, are also shown (thin lines). BOSCHI AND EKSTRÖM: SURFACE WAVE UPPER MANTLE TOMOGRAPHY ESE 1 - 11 Figure 15. Radial profiles of vSV (thick dashed lines) and vSH (thick solid lines), as a function of depth, averaged over four different regions: (a) central Pacific Ocean, (b) Canadian shield, (c) western United States, and (d) Western Australia. Model C (black lines) is compared to S20A [Ekström and Dziewonski, 1998] (blue) and to the isotropic vS model S20RTS of Ritsema and van Heijst [2000] (orange), derived from measurements mostly sensitive, within the upper mantle, to dvSV. Model A is shown as a thin black solid line. See color version of this figure at back of this issue. ancy is an indication of the slight inadequacy of the sensitivity kernels used in the first iteration. [42] Figure 14 shows the values of variance reduction, with respect to PREM, achieved by models B (thin lines) and C (thick lines) at different periods for both Rayleigh (Figure 14a) and Love (Figure 14b) waves. At short periods the two models explain the data equally well; in fact, short-period measurements are mostly sensitive to the crust, whose structure has remained, by definition, Figure 16. Globally averaged profiles of vSV (dashed lines) and vSH (solid lines) for models B (section 4.3, thin lines) and B0 (section 6, thick lines). ESE 1 - 12 BOSCHI AND EKSTRÖM: SURFACE WAVE UPPER MANTLE TOMOGRAPHY Figure 17. The lateral perturbations associated with model B, minus those of model B0. We have found model B0 after suppressing the lateral dependence of the surface wave sensitivity kernels. See color version of this figure at back of this issue. constant. At intermediate periods, model C achieves a slightly better variance reduction than model B; the opposite is true at periods >200 s. 5.1. A Discussion of Our Model in Relation to Published Images of the Upper Mantle [43] In Figure 15 we show the mean values of vSH (solid lines) and vSV (dashed lines) in model C, as functions of depth, computed within four different regions; for comparison, we include the mean vSH and vSV, in the same regions and depth range, from two published global images of the upper mantle: the radially anisotropic S20A and the primarily vSV model S20RTS of Ritsema and van Heijst [2000]. The radial profiles derived from model C are everywhere smooth at 220 km depth: the sharp discontinuity included in PREM, and thereby present in S20A and S20RTS (both derived with PREM as a reference model), at that depth does not appear to be required by observations. [44] The central Pacific Ocean (Figure 15a; longitude 180E to 215E, latitude 0N to 30N), where model C is remarkably consistent with S20A and S20RTS, is characterized by a large anisotropic anomaly, reaching its maximum (with vSH > vSV) at a depth of 150 km. This very anomalous feature was first identified by Ekström and Dziewonski [1998], who showed that in this region the observed anisotropic lateral variations are as large as the corresponding variations in isotropic shear velocity vS [Ekström and Dziewonski, 1998, Figure 3]. Our study clearly demonstrates that this result cannot be simply explained as a fictitious effect of crustal heterogeneities, or neglected lateral variations of the sensitivity kernels. [45] Beneath the Canadian shield (Figure 15b; longitude 250E to 280E, latitude 45N to 60N), model C is characterized by a a very large positive anomaly, both in vSH and vSV, as to be expected in continental cratons [e.g., Gee and Jordan, 1988]. Although not as prominent in S20A and S20RTS, this feature is shared by model SNA [Grand and Helmberger, 1984] and, within approximately the same region, the vSV model NA95 [van der Lee and Nolet, 1997], with values of vSV locally as large as 4.8 km s1. The radial profiles of model C have a peak at a depth of 60 km, while those of NA95 are smoother, S velocity being maximum between 100 and 150 km. [46] A comparison with the results of van der Lee and Nolet [1997] can be attempted also for the western United States region (Figure 15c; longitude 236E to 255E, latitude 33N to 55N). The overall slow character of NA95 in this region is seen also in model C, between 100 and 200 km depth; the slow anomaly is strongest at a depth of 150 km according to our model and 100 km according to NA95. While NA95, a regional model with nominal resolution 1, includes values of vSV as small as 3.9 km s1, in the same region, S20A and S20RTS (global images of long spatial wavelength) do not differ substantially from PREM; the slow anomaly of model C (whose nominal resolution is, perhaps, 1000 km; the cumulative lateral extent of two neighboring blocks in our parameterization), higher than that of S20A and S20RTS, is only slightly more pronounced. As a general rule, global tomographic inversions often fail to resolve lateral anomalies of strong amplitude but limited spatial extent, which are best imaged by regional studies: a problem that should always be taken into account as tomographic maps are used to test geological hypotheses. [47] Last, the radial profile of model C underneath Australia (Figure 15d; longitude 110E to 145E, latitude 40S to 10S) supports the observation by Simons et al. [1999] of a relatively thin continental root in this region; both models have their highest velocity at a depth of 80 km, where Simons et al. [1999] observe a local maximum vSV of 4.8 km s1. The slowest regions of Simons et al.’s [1999] model (vSV locally down to 4.3 km s1) are located between 140 and 300 km depth, which is also in agreement with Figure 15. BOSCHI AND EKSTRÖM: SURFACE WAVE UPPER MANTLE TOMOGRAPHY 6. Lateral Variations of Surface Wave Sensitivity Kernels: Practical Implications for Global Tomography [48] Although we have thoroughly discussed, from a theoretical standpoint, the implications of lateral changes in the sensitivity of surface waves to the properties of the Earth’s mantle, a quantitative evaluation of the consequences of this effect on global tomographic models is still necessary. A simple comparison between our results and those already published would not be sufficient; other authors have derived their maps from different sets of data, with different reference models, different parameterizations, and different regularization schemes: It would be very difficult to isolate the net effect of our novel treatment of the sensitivity kernels. For this reason, we determine one more tomographic image of the upper mantle, applying, to the same data set, exactly the same procedure described above, including the regularization scheme that led to the determination of model B. The only difference is that we assume that the sensitivity of surface waves to the Earth’s structure is, at all longitudes and latitudes, equal to that computed for block 3352 of CRUST-5.1 (randomly chosen among all blocks characterized by a crustal thickness of 25 km, as in PREM; see shaded lines in Figures 1 and 3). Following section 2.2, we impose the crustal correction (equation (9)) on the measurements, although our reference Earth is now, strictly speaking, 1-D. [49] The general character of the solution model, which we shall refer to as model B0, is qualitatively consistent with that of model B, fast and slow anomalies being distributed throughout the mantle according to a similar large-scale pattern. Discrepancies between the two models, however, are significant enough to possibly affect a geophysical interpretation of the images. This is evident, in the first place, from Figure 16, where the radial dependence of globally averaged S velocity perturbation is shown; model B0 is, on average, most anisotropic at a depth of 180 km, larger than the 150 km of model B. The average lateral anomalies, both in vSH and vSV, are, in absolute value, smaller at shallow depths ( 200 km and above) and larger as the depth increases. The magnitude of these discrepancies can be as large as 0.1 km s1 ( 2%). [50] We subtract the lateral S velocity anomalies of model B0 from those of model B and in Figure 17 show the resulting maps of the upper mantle; they are dominated by a coherent, long-wavelength pattern, resembling, to some extent and mostly at shallow depths, the distribution of oceans and continents. As expected, the most significant discrepancies, as large as 2% (in percent perturbation with respect to model A, minus the average correction of Figure 16) are localized at various depths in areas where the crust is particularly anomalous with respect to its globally averaged properties. The Tibetan Plateau and the Canadian and Eurasian shields, for example, are characterized by a relatively large crustal thickness; if the depth of the Moho is treated as constant (model B0), in these areas, fictitious structure can be projected into the mantle immediately underlying it. Regions of anomalously thin crust give rise to a similar but opposite problem. Anomalous topography also has an effect on the sensitivity of surface waves to mantle structure; in the southeast Pacific mid-oceanic ridge the water layer, to which Rayleigh waves are sensitive, is thinner than in the surrounding ocean, while the seafloor topography is elevated (which affects the propagation of Love waves). ESE 1 - 13 heterogeneities strongly affect the propagation of surface waves; an effect that has therefore to be somehow ‘‘removed’’ if the underlying mantle is to be imaged. They have done so in an approximate fashion, described in section 2.2, subtracting from the data the contribution of crustal heterogeneities, as predicted by realistic crustal models. However, they have not attempted to account for the effect of such crustal heterogeneities on the sensitivity of surface waves to mantle structure. [52] We have shown here, making use of the JWKB treatment of Tromp and Dahlen [1992a, 1992b] and Wang and Dahlen [1994], how lateral changes in the properties of the crust and, most importantly, in the depth of the Moho discontinuity result in a different shape of the kernels that relate the propagation of surface waves to the heterogeneity of the mantle. We have then accounted for this effect in the determination of a new tomographic model of the upper mantle. We have compared our new model to an image that we obtained from the same data with the same regularization and parameterization but with the above mentioned approximate treatment of crustal anomalies, and we have found significant discrepancies between the two models (section 6). We therefore suggest that as tomographers attempt to improve their resolution of the shallow mantle, it will become necessary to also take into account the lateral variations of the sensitivity kernels. This next step should be accompanied by the development of more refined maps of the crust. The tomographic inverse problem could be further complicated by consideration of ray curvature [Wang and Dahlen, 1994; Laske, 1995; Larson, 2000], which we have neglected thus far. 7.2. Current Understanding of the Upper Mantle Lateral Structure [53] Numerous large-scale features that have characterized previous images of the Earth’s upper mantle are confirmed by ours (section 5.1); in particular, the important anisotropic anomaly of the central Pacific Ocean first identified (with the ‘‘traditional’’ approach) by Ekström and Dziewonski [1998]. Our images (Figure 5) still include a radially anisotropic Pacific upper mantle, with dvSV > dvSH in the top portion of the upper mantle (50 km depth and above) and dvSV < dvSH below; most other features of model S20A are also present in our new images, in spite of the many differences between our technique and that of Ekström and Dziewonski [1998]. [54] An important difference between the approach of Ekström and Dziewonski [1998] and ours lies in the choice of the reference model. In the first iteration of our procedure we formulate the inverse problem with respect to the completely isotropic model A, which is continuous at 220 km depth; Ekström and Dziewonski [1998], instead, refer to the radially anisotropic PREM, including the 220-km discontinuity. Here we have found shear velocity models whose vertical profiles (Figures 6, 12, and 15) at those depths are smooth and monotonous: an indication (within the resolution limits of surface-wave measurements) that the presence of a sharp discontinuity at 220 km is not required to explain our data. [55] Acknowledgments. We thank Adam Dziewonski, Jeroen Tromp, and Guy Masters for many helpful discussions; Jeroen Ritsema for making his Earth model easily available; and Suzan van der Lee, Don Forsyth, Barbara Romanowicz, and an anonymous reviewer. 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Lay, Global surface wave phase velocity variations, J. Geophys. Res., 101, 8415 – 8436, 1996. L. Boschi and G. Ekström, Department of Earth and Planetary Sciences, Harvard University, 20 Oxford Street, Cambridge, MA 02138, USA. ([email protected]) Rayleigh, 35 s, VSV Love, 35 s, VSH JOURNAL OF GEOPHYSICAL RESEARCH, VOL. 107, NO. B4, 10.1029/2000JB000059, 2002 -0.0150 -0.0079 -0.0100 Rayleigh, 300 s, VSV -0.00062 -0.0021 Love, 300 s, VSH -0.00042 -0.0041 -0.0031 Figure 2. Sensitivity of (left) Rayleigh and (right) Love waves, at periods of (top) 35 s and (bottom) 300 s, to perturbations in vertical and horizontal shear velocities, respectively, at a depth of 70 km. The quantity plotted, dT/T, is the same as in Figures 1 and 3. ESE 1-4 JOURNAL OF GEOPHYSICAL RESEARCH, VOL. 107, NO. B4, 10.1029/2000JB000059, 2002 Figure 5. Model B percent lateral perturbations (relative to the 3-D reference model A) in (left) vertical and (middle) horizontal S velocity and (right) their difference, at four depths in the upper mantle (50 to 200 km as indicated, top to bottom). The average perturbation of each map has been subtracted from it in order to focus on lateral variations; it is plotted separately, as a function of depth, in Figure 6. ESE 1-6 JOURNAL OF GEOPHYSICAL RESEARCH, VOL. 107, NO. B4, 10.1029/2000JB000059, 2002 Figure 7. Local corrections to the constant value of 35-s Love wave phase velocity associated with PREM, due to (a) model A, including crustal heterogeneities from CRUST-5.1, (b) the lateral upper mantle anomalies of Figure 5 (model B), and (c) their combined effect. (d) Phase velocity map resulting from a direct inversion of 35-s Love wave phase anomalies. The similarity of Figures 7c and 7d demonstrates the internal consistency of our procedure. Figure 8. Same as Figure 7, but for 150-s Rayleigh waves. ESE 1-7 JOURNAL OF GEOPHYSICAL RESEARCH, VOL. 107, NO. B4, 10.1029/2000JB000059, 2002 Figure 11. Model C, shown in the same fashion as model B in Figure 5, in terms of percent perturbations relative to model A (the average perturbation, previously subtracted from these plots, is shown separately in Figure 12). This new image results from a second iteration of our procedure, with model B as the starting point. ESE 1-9 JOURNAL OF GEOPHYSICAL RESEARCH, VOL. 107, NO. B4, 10.1029/2000JB000059, 2002 Figure 15. Radial profiles of vSV (thick dashed lines) and vSH (thick solid lines), as a function of depth, averaged over four different regions: (a) central Pacific Ocean, (b) Canadian shield, (c) western United States, and (d) Western Australia. Model C (black lines) is compared to S20A [Ekström and Dziewonski, 1998] (blue) and to the isotropic vS model S20RTS of Ritsema and van Heijst [2000] (orange), derived from measurements mostly sensitive, within the upper mantle, to dvSV. Model A is shown as a thin black solid line. ESE 1 - 11 JOURNAL OF GEOPHYSICAL RESEARCH, VOL. 107, NO. B4, 10.1029/2000JB000059, 2002 Figure 17. The lateral perturbations associated with model B, minus those of model B0. We have found model B0 after suppressing the lateral dependence of the surface wave sensitivity kernels. ESE 1 - 12