3. Earthquakes
3.1. Elastic rebound theory
Rocks at the edges of tectonic plates are subject to tremendous forces resulting in intense
deformation. The force per unit area acting on a rock is called stress. The three types of
directional stress experienced by rocks are compressional, tensional, and shear stress (Fig. 26).

Figure 26: Types of stress and associated types of fault. Arrows indicate the direction of forces applied to the rocks.

If the stress is large enough, rocks undergo deformation, i.e. a change of shape and/or volume.
The amount of deformation experienced by a rock is called strain. The behavior of a rock in
response to stress can be elastic, brittle or ductile. A rock behaves in an elastic manner when it
recovers its original shape after the stress is removed. When the stress exceeds a value called therock strength, the rock experiences a permanent deformation. The deformation can be either
brittle in which case the rock breaks, producing a fracture called a fault (Fig. 27A), or ductile(plastic) in which case the rock is deformed without breaking. An example of ductile deformation isa fold (Fig. 27B). Note that rocks may first be folded and then fractured as stress increases.

Figure 27: Examples of rock deformations. (A) Brittle deformation (faults in northwestern Australia, source: Google
Earth: lat.: -18.0556, long.: 126.5107) and (B) ductile deformation (folds in the Appalachian Mountains, USA,source: Google Earth, lat.: 40.562241, long.: -76.716128).

In the upper part of the lithosphere, rocks tend to behave in a brittle manner and the rock strength
increases with increasing pressure (depth). Ductile behavior is promoted by high temperature andhigh pressure, which is why rocks of the asthenosphere can flow in convective currents.
Decreasing the strain rate also promotes ductile deformation (think about the behavior of modelingclay as you stretch it slowly or fast). Another factor influencing the behavior of rocks is their mineralcomposition (e.g. peridotite becomes ductile at a higher temperature than granite –remember thehigh melting temperature of olivine–).
Earthquakes are produced by the brittle deformation of rocks. They are confined to the cold rigid
lithosphere, mostly the crust, where rocks behave in a brittle manner. Rocks of the asthenosphere
under conditions of high temperature and high pressure display a ductile behavior.
Prior to a rupture event producing an earthquake, a body of rock experiences a certain amount ofelastic deformation during which energy is stored (strain energy). Once the stress applied to therocks exceeds the rock strength, rupture occurs along a fault plane and the rocks on both sides of16the fault slip past each other and recover their original shape (= elastic rebound, Fig. 28). During
the rupture event, strain energy is released in the form of frictional heat and seismic waves (seesection 7.3. for more details about the nature of seismic waves). The slipping motion of the two
blocks starts at a point called the focus of the earthquake. The epicenter of the earthquake is thepoint on the Earth’s surface directly above the focus. After the rupture event, stress buildup
resumes until the next earthquake occurs. This is called the elastic rebound theory which
explains the recurrence of earthquakes along active faults and is illustrated by the saw-tooth shapeof the stress vs. time plot in figure 28.

Figure 28: Elastic rebound theory. Between t1 and t2, strain energy accumulates and the rocks undergo elastic
deformation until rock strength is reached. Between t2 and t3, the rocks break along a fault plane and energy isreleased as heat and seismic waves. After t3, strain energy starts to build up again. The recurrence interval ofthearthquakes in this model is the time interval between t1 and t3. Source: Understanding Earth 6 edition.

In reality, the frequency of earthquakes is not as regular as figure 28 suggests. If it was, it would bemuch easier to predict their timing. Irregularity can be attributed to the following factors (Fig. 29):
1. incomplete stress release during earthquakes
2. change in stress intensity (stress partially released by movement along a nearby fault)
3. change in rock strength (e.g. the infiltration of fluids in faults may decrease frictional strength
due to the lubrication effect of fluids)

Figure 29: Factors influencing the frequency of earthquakes: (1) incomplete stress release, (2) change in stressintensity, and (3) change in rock strength. Blue lines represent the release of stress during successive earthquakes.
thSource: adapted from Understanding Earth 6 edition.

3.2. Earthquakes and plate tectonics
Most earthquakes are distributed along active plate boundaries. The depth at which they occur(focal depth) varies according to the tectonic setting (Figs. 30 & 31).
Earthquakes occurring along divergent margins are shallow and associated with tensional forces(Fig. 31A). Shallow earthquakes also occur along transform faults. Transform faults associatedwith mid-ocean ridges produce earthquakes along the portion of the fault where the two plates
move in opposite directions (Fig. 31B). The deepest earthquakes are related to convergent
margins, particularly subduction zones (Fig. 31B). In this setting, the cold, brittle oceanic plate
plunges into the asthenospheric mantle. The subducting plate remains brittle until it reaches adepth where temperature and pressure are too high for brittle deformation to occur. The deepest
earthquakes are generated at around 700 km. Earthquakes associated with a continental collision
may be deep as well but not as deep as those related to subduction zones. The maximum focal

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depth recorded in the Himalayas is approximately 100 km. Below that depth, continental crustal
rocks tend to deform in a ductile manner. Remember also that the brittle strength of crustal rocks
increases with increasing pressure (depth).
Earthquakes may also occur far from plate boundaries (Fig. 30). These intraplate earthquakes
are linked to hot spots or old faults related to ancient plate boundaries (e.g. the 2011 Virginia
earthquake in the United States occurred in an area which used to be part of a collision zone
between two ancient continents).

Figure 30: Global distribution of earthquakes. Here earthquakes are classified in three categories according to theirfocal depth: shallow (< or = 50 km, blue dots), deep (50-300 km, green dots), and very deep earthquakes (>300 km,th
red dots). Each dots represent a epicenter. Source: Understanding Earth 6 edition (M. Boettcher and T. Jordan).

Figure 31: Focal depth of earthquakes in different tectonic settings. The orange line delineates the lower limit of theseismogenic zone. (A) Mid-ocean ridge, (B) transform fault, (C) subduction zone, and (D) continental collision.

3.3. Seismic waves
During an earthquake, the rocks are affected by three types of movements corresponding to three
distinct groups of seismic waves (Fig. 32):
1. P-waves (primary waves): compressional waves (push and pull motion, much like sound)traveling at 6 km/s in solid rocks and more slowly in liquids and gases.
2. S-waves (secondary waves): shear waves (sideways motion –at right angle to the direction ofwave propagation–) traveling more slowly than P-waves and unable to propagate in liquids andgases.
3. Surface waves: confined to the surface of the Earth with two components:(1) the Rayleigh wave: an elliptical motion decreasing with depth (similar to ocean waves).
(2) the Love wave: a lateral motion (sideways shaking).

Figure 32: Seismic waves. (A) Primary wave, (B) secondary wave, and (C) surface wave (Love and Rayleighwaves). Source: adapted from USGS.



Surface waves are responsible for most of the ground shaking during an earthquake.

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When an earthquake occurs, P-waves and S-waves travel in all directions within the Earth. Surface
waves travel exclusively at the surface of the Earth and are slower than P- and S-waves. S-waves
travel more slowly than P-waves (Fig. 34). The speed of P- and S-waves depends on the physicalproperties of rocks. The harder the rock, the faster the wave. Therefore, wave speed depends onrock density –hence pressure, temperature and the rock mineral composition–. The relationshipbetween the speed of seismic waves and rock density combined with the properties of wave
refraction and reflection at the interface between Earth’s layers can be used to reconstruct thestructure of Earth’s interior (see Chapter 7).

3.4. Earthquake characterization: localization, magnitude, and intensity
The measure of seismic waves amplitude and frequency is achieved by using an instrument calleda seismograph (Fig. 33). A seismograph is built to record vertical and horizontal groundmovements. The basic principle is very simple: a mass is loosely attached to a frame which isanchored to earth. The fixed mass is equipped with a pen which records the difference in motion
between the mass and the frame on a revolving drum –the drum moves with the frame–. The mass
must be heavy enough to remain at rest relative to the frame. A mass attached to a spring is used
to record vertical ground movements (Fig. 33, right). A mass attached to a hinge is used to detecthorizontal ground movements (N-S and E-W components, Fig. 33, left). The graphs obtained are
representations of seismic waves and called seismograms (Fig. 34).

Figure 33: The seismograph. Instrument recording horizontal ground movements (left) and vertical groundmovements (right). See text for explanations. Source: USGS.

Figure 34: Seismogram of a distant earthquake recorded in United Kingdom. Source: British Geological Survey.

How can we determine the location of an earthquake?
Since P-waves travel faster than S-waves, the greater the distance from an earthquake, thegreater the difference between the arrival times of P-waves and S-waves (P-S intervals). The
relationship between P-S intervals and the distance from the epicenter of an earthquake ispredictable over thousands of kilometers. Seismologists have established travel-time curves thatcan be used to pinpoint the distance from the epicenter of an earthquake (Fig. 35). These
travel-time curves are based on data from a great number of earthquakes and many seismographs
around the world. Providing you have at least three seismographs in different geographic locations
recording the same waves, you can locate precisely the epicenter of the earthquake. The focal
depth can be determined based on further analyses of seismograms.

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Figure 35: Travel-time curves of seismic waves and three seismograms from three stations recording seismic
waves from the same earthquake. Matching these seismograms with the travel-time curves allows to determine thedistance between each stations and the earthquake focus. Source: USGS.

How can we determine the size of an earthquake?
The size of an earthquake can be determined based on two different techniques:
1. Measure of the amount of energy released (magnitude scales).
2. Estimate of the destructive effects of ground shaking (intensity scales).
The first widely used magnitude scale was the Richter scale. The Richter magnitude of anearthquake depends on the logarithm of the amplitude of the largest wave and the distance fromthe epicenter –the time lag between the P-wave and S-wave– (Fig. 36). Magnitudes are
expressed as whole numbers and decimal fractions (e.g. 3.5, 5.2, 6.4…). An increase of one unit of
the Richter magnitude corresponds to a tenfold increase in wave amplitude (and 32 times moreenergy released)!

Figure 36: Graphic representation of the relationship between the Richter magnitude of an earthquake, theamplitude of the largest wave (in this example, 23 mm measured on the seismogram) and the difference in arrival
time between the P wave and S wave (in this example, 24 s). Note that for a given distance from the epicenter, an
increase in one unit of magnitude corresponds to a tenfold increase in the wave amplitude. Source: USGS.

A scale that is more widely used nowadays is the moment magnitude scale. The moment
magnitude is a function of the seismic moment. The seismic moment is proportional to the area offaulting and the average fault offset. Like the Richter magnitude, the moment magnitude can becalculated based on the analysis of seismograms. In the moment magnitude scale, an increase of
one unit of magnitude corresponds to a tenfold increase in the area of faulting. The values ofmoment magnitudes are roughly similar to those of the Richter scale. For example, if anearthquake measures 5.5 on the Richter scale, its moment magnitude will be approximately 5.5too.
The other way to evaluate the size of an earthquake is to establish a scale related to thedestructiveness of earthquakes. This is the intensity scale. An intensity scale that is commonlyused today is the modified Mercalli scale (Fig. 37).
Richter’s magnitude (ML) = log A + 2.56 log D – 1.67, where A is the amplitude of ground motion (in μm) and D is the distancefrom the epicenter (in km) (source: British Geological Survey). Hence for a given value of D, each increment of 1 unit ofmagnitude M corresponds to a tenfold increase of the amplitude A.
The energy released during an earthquake (E) is proportional to 10(1.5M). If E1 is the energy of an earthquake of magnitude M
and E2 is the energy of an earthquake of magnitude M+1, E2/E1 = 101.5 = 32 (source: British Geological Survey).


Moment magnitude (MW) = 2/3 log MO – 6.06. The seismic moment (MO) = μ  rupture area  slip length, where μ is the shear
modulus of the crust (3x1010 N/m2). The shear modulus is the measure of the resistance of a material to shear strain (source:
British Geological Survey).

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Figure 37: Modified Mercalli scale compared with the Richter magnitude scale (source: Missouri Department of
Natural Resources) and a modified Mercalli intensity map of the 1906 San Francisco earthquake (source: USGS,
authors: John Boatwright and Howard Bundock).

In Japan, it is the intensity scale established by the Japan Meteorological agency that ispreferentially used (the JMA or Shindo scale). It is analogous to the Mercalli scale but comprises
only 7 levels of intensity instead of 12 (http://www.jma.go.jp/jma/en/Activities/inttable.html).

3.4. Fault mechanisms
In order to fully characterize an earthquake, we not only need to know its focus, origin time,magnitude and intensity, but we also need to describe the characteristics of the fault which
triggered the earthquake or fault mechanism: the direction of the fault strike* (e.g. north-south,
east-west), the angle and direction of the fault dip (e.g. 60° south, 75° east), and the type of fault
involved (normal, reverse, or strike-slip –right lateral or left-lateral–, Fig. 38).

Figure 38: The three basic types of fault. Note that strike-slip faults can be either right-lateral or left-lateral. In theformer case, one observer standing on one side of the fault sees the other side moving to the right (i.e. right-lateral).
In the latter case, the observer sees it moving to the left (i.e. left-lateral).

For faults that can be observed at the surface of the Earth, the fault mechanism can be determinedbased on field observations. But for faults that are too deep to break the surface or faults at thebottom of the ocean, the fault mechanism must be deduced from the analysis of seismograms.
Seismologists look at the first ground movement recorded by seismographs located at different
places around the earthquake’s epicenter. The first ground movement is determined on aseismogram by looking at the shape of the first P-wave. For example, on a seismogram recording
horizontal ground movements, if the line of the seismogram goes up first, it means that the groundhas moved away from the earthquake’s epicenter (extension). If the line goes down first, it means
the ground has moved closer to the earthquake’s epicenter (compression) (Fig. 39). This allows
the identification of two perpendicular planes, one of which is the fault plane. This method alone
does not allow distinguishing the fault plane from the other one. Additional information is needed todetermine which one is the fault plane.

* the fault strike is the intersection of the fault plane and a horizontal surface.

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Figure 39: Schematic relationship between the first ground motion (horizontal in this example) recorded onseismograms and the fault mechanism. The figure shows a bird’s eye view of the ground. The center of the large
circle represents the earthquake’s epicenter. Black dots are seismographs recording a first ground displacementaway from the epicenter (line going up first). White dots are seismographs recording a first ground displacement
toward the epicenter (line going down first). One of the two perpendicular lines delineating the four quadrants is thefault plane. Source: adapted from USGS.

3.5. Seismic hazards and risks
Seismic hazards are the natural phenomena related to earthquakes that may be potentiallyharmful to human populations. Seismic hazards directly caused by an earthquakes are called
primary hazards: faulting and ground shaking. These may in turn cause secondary hazards, suchas landslides, soil liquefaction, tsunami (see below for more details about these secondary
hazards). Probabilistic seismic hazard maps display the probability that a given site will
experience ground shaking exceeding a given value within a given period of time (see the end of
this chapter for more information about earthquake prediction). Figure 40 intends to show thedifficulty to accurately predict that a large earthquake will occur at a particular place within a certain
period of time.

Figure 40: Probabilistic seismic hazard map of Japan showing the probability (0-100% chance it happens) ofground shaking of intensity “6-lower” or higher (on the JMA seismic intensity scale) during a 30-year period startingin January 2010. Note that the large 2011 Tohoku earthquake was not predicted by this model. Source: Robert J.
Geller (2011) in Nature, v. 472, 407-409.

The Seismic risk is a measure of the damage expected in a given interval of time in a particularregion. The seismic risk in a city with buildings engineered to resist large earthquakes will be much
lower than in a city in which building codes are not adapted even if these two cities are exposed tothe same seismic hazards. Seismic hazards must be determined prior to the assessment ofseismic risks.
Besides ground shaking and faulting, three important secondary seismic hazards that can cause
great damages are landslides, soil liquefaction, and tsunamis. Landslides and soil liquefaction
are due to ground instabilities resulting from ground shaking. The former occur when material on aslope becomes unstable and moves down the slope as a result of this instability (Fig. 41). Soilliquefaction refers to a layer of water-saturated sediment losing its cohesion and behaving as aliquid when shaken (Fig. 42). The shaking causes the grains to loose contact between each other,
therefore allowing the sediment to flow like a liquid (Fig. 42A).

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Figure 41: Landslides in El Salvador caused by a large earthquake in 2001 (left, source: USGS) and in Fukushima,
Japan, caused by the 2011 Tohoku earthquake (right, source: Public Works Research Institute, Landslide Research
Team, Erosion and Sediment Control Research Group).

Figure 42: Schematic representation of sediment liquefaction (left) and example of the damages caused byliquefaction during the 1964 Niigata earthquake, Japan (right, source: Japan National Committee on Earthquake
Engineering, Proceedings of the 3rd World Conference in Earthquake Engineering, Volume III, pp s.78-s.105).

A tsunami represents another important secondary seismic hazard. The effect of a tsunami can bea lot more disastrous than ground shaking. During an earthquake, a tsunami forms when a portionof the seafloor moves vertically along a fault plane. The above water mass is displaced andcreates a set of waves which propagate in all directions. Large tsunami can be generated at
subduction zones where the overriding plate gets squeezed by the subducting plate and aconsiderable amount of stress accumulates. Stress is released when a portion of the crust springs
seaward, raising the seafloor and pushing a large water mass up (Fig. 43). Tsunami waves travel
very fast (up to 800 km/h) and have a very long wavelength (hundreds of kilometers between two
successive waves). As they approach the shoreline, waves slow down by friction against theseafloor and their height increase (conversion of kinetic energy to potential energy).

Figure 43: Process of tsunami formation at subduction zone. (A) a portion of the overriding plate (1) is pushed
landward by the subducting plate (2) and stress accumulates. (B) Stress is suddenly released as the portion of theoverriding plate springs seaward along a thrust fault (low-angle reverse fault), generating an earthquake andpushing a water mass up. (C) The displacement of the water mass creates a set of tsunami waves at the surface
which propagates in all directions.

Tsunami can travel over a considerable distance and can still be detected thousands of kilometers
away from their origin (Fig. 44).

Figure 44: Simulation of the maximum wave amplitude related to the 2011 Tohoku tsunami based on data frombuoys and sea-floor sensors. Source: NOAA.

When it comes to improving public safety in areas prone to earthquakes, there are two
fundamental questions which have to be considered: (1) how can seismic risk be reduced? and (2)can earthquakes be predicted?

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How can seismic risk be reduced?
 Hazard characterization
 Land-use policies
 Earthquake-proof engineering Emergency preparedness and response Warning systems (for earthquakes and tsunamis)
Can earthquakes be predicted?
With our current knowledge and technology, geologists cannot yet predict an earthquake earlyenough to evacuate the area. As we have seen earlier, probabilistic models exist but they makepredictions over the long term (30 or 50 years) and sometimes fail to predict large earthquakes. In
order to make predictions, geologists need to estimate the recurrence interval of earthquakes in aparticular region. There are two ways to do it:(1) One is to study historical data to infer the probability of future earthquakes. One can also goback further in time by looking at the geological record and dating earthquake-induced
deformations of sediment layers or tsunami-lain sediments.
(2) Another way is to measure how much strain (deformation) accumulates along a fault every
year (e.g. using GPS). Knowing when this fault slipped for the last time and how much strain
was released, it is possible to estimate the timing of the next earthquake based on strain
accumulation measurements. This kind of data is still relatively rare because it requires
monitoring fault systems for a long time.
Earthquake prediction is complicated by the fact that faults are often not isolated but form complex
networks. The release of stress in one fault segment may decrease or increase stress in anotherfault segment. It is therefore essential to understand how stress is distributed in these fault
systems and how individual faults influence each other in order to improve the reliability ofearthquake predictions. Geologists have been trying to use small earthquakes (foreshocks)
occurring before larger seismic events to predict large earthquakes days or weeks before theyoccur. However, it is very difficult to distinguish foreshocks from the seismic background and themethod is not yet reliable for most quake-prone areas.

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