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ATe E!

Seismic evaluation and retrofit


of concrete buildings
Volume 1

aTe Applied Technology Council ", ...


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• ._~ .~ CALIFORNIA SEISMIC SAFETY COMMISSION


o .
Proposition 122 Seismic Retrofit Practices Improvement Program
Report sse 96-01
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Seismic Evaluation and Retrofit


of Concrete Buildings
Volume 1
by
APPLIED TECHNOLOGY COUNCIL
555. Twin Dolphin Drive, Suite 550
Redwood City, California 94065

Funded by

SEISMIC SAFETY COMMISSION


State of California
Products 1.2 and 1.3 of the Proposition 122
Seismic Retrofit Practices Improvement Program

PRlNCIPAL :INVESTIGATOR
Craig D. Comartin

CO-PRINCIPAL IN''"VESTIGATOR
PRQJECT DIRECTOR
Richard W. Niewiarowski

SENIOR ADVISOR
Christopher Rojabn

Report No. sse 96-01


November 1996

II " 11I1 If 1111


2494/R
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Preface
Proposition 122 passed by California's voters in . This document is organized into two volumes.
1990, created the Earthquake Safety and Public Volume One contains the main body of the
Buildings Rehabilitation Fund of 1990, sup- evaluation and retrofit methodology, presented
ported by a $300 million general obligation in 13 chapters, with a glossary and a list of ref-
bond program for the seismic retrofit of state _ _erences, J1d~ volume contains all ofthe parts of
and local government buildings. As a part of the document required for the' evaluation and
the program, Proposition 122 authorizes the retrofit of btrildings. Volume Two consists of
California Seismic Safety Commission (CSSC). Appendices containing supporting materials re-
to use up to 1% of the proceeds of the bonds, or lated to the methodology: four example building
approximately $3 million, to carry out a range case study reports, a cost effectiveness study
of activities that will capitalize on the seismic related to the four building studies, and a review
retrofit experience in the private sector to im- of research on the effects of foundation condi-
prove seismic retrofit practices for government tions on the seismic performance of concrete
buildings. The purpose of California's Proposi- buildings.
tion 122 research and development program is
to develop state-of-the-practice recommenda- This report was prepared under the direction of
tions to address current needs for seismic retro- ATe Senior Consultant Craig Comartin, who
fit provisions and seismic risk decision tools. It served as Principal Investigator, and Richard W.
is focused specifically on vulnerable concrete Niewiarowski, who served as Co-Principal In-
structures consistent with the types of concrete vestigator and Project Director. Fred Turner
buildings that make up a significant portion of served as esse Project Manager. Overview
California's state and local government invento- and guidance were provided by the Proposition
ries. 122 Oversight Panel consisting of Frederick M.
Herman (Chair), Richard Conrad, Ross Cran-
In 1994, as part of the Proposition 122 Seismic mer, Wilfred Iwan, Roy Johnston, Frank
Retrofit Practices Improvement Program, the McClure, Gary McGavin, Joel McRonald, J 0-
Commission awarded the Applied Technology seph P. Nicoletti, Stanley Scott, and Lowell
Council (ATC) a contract to develop a recom- Shields. The Product 1.2 methodology and
mended methodology and commentary for the commentary were prepared by Sigmund A.
seismic evaluation and retrofit of existing con- Freeman, Ronald o. Hamburger, William T.
crete buildings (product 1.2). In 1995·the Holmes, Charles Kircher, Jack P: Moehle,
Commission awarded a second, related contract Thomas A. Sabol, and N abib. Youssef (Product
to ATC to expand the Product 1.2 effort to in- 1.2 Senior Advisory Panel). The Product 1.3
clude effects of foundations on the seismic per- GeotechnicallStructural Working Group con-
formance of existing concrete buildings sisted of Sunil Gupta, Geoffrey Martin, Mar-
(Product 1.3). The results of the two projects shall Lew, and Lelio Mejia. William T.Hol-
have been combined and are presented in this mes, Yoshi Moriwaki, Maurice Power and
ATC-40 Report (also known as SSC-96-01). Nabih Youssef served on the Product ~.3 Senior
Advisory Panel. Gregory P. Luth and Tom H.
TV/o other reports recently published by the Hale, respectively, served as the Quality .A,..SSUf-
California Seismic Safety Commission, the ance Consultant and the Cost Effectiveness
Provisional Commentary for Seismic Retrofit Study Consultant. Wendy Rule served as Tech-
(1994) and the Review of Seismic Research Re- nical Editor, and Gail Hynes Shea served as
sults on Existing Buildings (1994), are Products Publications Consultant.
1.1 and 3.1 of the Proposition 122 Program, re-
spectively. These two previous reports provide Richard McCarthy
the primary basis for the development of the CSSC Executive Director
recommended methodology and commentary
contained in this document. Christopher Rojahn
ATC Executive Director & ATC-40" Senior
Advisor
:

.·oversight. Panei far·


._.----- ~Propositla~-,-2-2--5eism·ic .Re~roFrt· -pracflces-------- --._-.--' . .
Improvement program
Frederick M. Herman, Chair Richard Conrad Ross Cranmer
Seismic Safety Commission \ Building Standards Commis- Building Official
Local Government/Building sion Structural Engineer
Official
Roy Johnston Frank McClure
Dr. Wilfred Iwan Structural Engineer Structural Engineer
Mechanical Engineer
Joel McRonald Joseph P. Nicoletti
Gary McGavin Division of the State Architect Structural Engineer
Seismic Safety Commission
Architect Lowell E: Shields (
Seismic Safety Commission (
Stanley Scott Mechanical Engineer (
Research Political Scientist -e :
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S~ismi~ Safety Commission Staff


Richard McCarthy Fred Turner
Executive Director Project Manager

Karen Cogan Chris Lindstrom


Deborah Penny Ed Hensley
Carmen Marquez Ten DeVriend
Kathy Goodell

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product 1.2" Senior" Advisory Panel
Sigmund A. Freeman Ronald O. Hamburger William T. Holmes
Wiss, Janney, Elstner & Asso- EQE International Rutherford & Chekene
ciates
Jack Moehle Thomas A. Sabol
Charles Kircher Earthquake Engineering Re- Engelkirk & Sabol
Charles Kircher & Associates search Center

N abih F. Youssef
Nabih Youssef & Associates

Product 1.3 Senior Advisory Panel


William T. Holmes Maurice Power
Rutherford & Chekene Geomatrix Consultants, Inc.

Yoshi Mori waki N abih F . Youssef


Woodward-Clyde Consultants Nabih Youssef & Associates

Product 1.3 Geotechnical/Structural working Group


Sunil Gupta Geoffrey R. Martin
EQ Tech Consultants University of Southern Californ.ia

Marshall Lew Lelio Mejia


Law/Crandall, Inc. Woodward-Clyde Consultants

Quality Assurance Consultant Technical Editor


Gregory P. Luth Wendy Rule
Gregory P. Luth & Associates Richmond, CA

Cost Effectiveness study consuttarrt PUblications consultant


Tom H. Hale Gail Hynes Shea
Jimmy R. Yee Consulting Engineers Albany, CA

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vi
:

Seismic Evaluation and Retrofit of Concrete Buildings

Products 1.2 and 1.3 of the proposition 122


Seismic Retrofit Practices Improvement Program

T bl n n
Volume 1
Preface iii
Glossary " xi
Executive Summary xv
Chapter 1 Introduction 1-1
1. 1 Purpose 1-1
1.2 Scope 1-2
1.3 Organization and Contents 1-5
Chapter 2 Overview ~ 2-1
2.1 Introduction 2-1
2.2 Changes in Perspective 2-3
2.3 Getting Started ' 2-6
2.4 Basic Evaluation and Retrofit Strategy 2-11
2.5 Evaluation and Retrofit Concept 2-14
2.6 Final Design and Construction 2-19
Chapter 3 Performance Objectives 3-1
3-.1 Introduction 3-1
3.2 Performance Levels 3-1
3.3 Earthquake Ground Motion 3-8
3.4 Performance Objectives 3-9
3.5 Assignment of Performance Objectives 3-12
Chapter 4 Seismic Hazard 4-1
4.1 Scope 4-1
4.2 Earthquake Ground Shaking Hazard Levels 4-1
4.3 Ground Failure 4-2
4.4 Primary Ground Shaking Criteria 4-5
4.5 Specification of Supplementary Criteria 4-12
Chapter 5 Determination of Deficiencies 5-1
5.1 Introduction 5-1

Table of contents vi i
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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

5.2 Description: Typical Layouts and Details 5-1


5~3 Seismic Performance "'_'" .~ •. ~ ._.~._.,._._._.. ~ .._.. _.~~.-_- _.._._.5",5--- ._- _.. _.- ._~-:- -- -
5.4 Data Collection .i ~ ~: ~ : 5-12 . ~:
5.5 Review of Seismic Hazard 5-17
5.6 Identification of Potential Deficiencies 5-18
5.7 Preliminary Evaluation of Anticipated Seismic Performance 5-20
5.8 Preliminary Evaluation Conclusions and Recommendations 5-21
Chapter 6 Retrofit Strategies 6-1
6.1 Introduction 6-1
6.2 Alternative Retrofit Strategies 6-4
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6.3 Design Constraints and Considerations 6-24
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6.4 Strategy Selection ; : 6-27
6.5 Preliminary Design 6-30
Chapter 7 Quality,Assurance Procedures 7-1
7.1 General 7-1
7.2 Peer Review 7-2
7.3' Plan Check 7-8-
7.4 Construction Quality Assurance 7-10
Chapter 8 Nonlinear Static Analysis Procedures 8-1 (
8.1 Introduction 8-1 ~

8.2 Methodsto P~rf0fI!l Simplified Nonlinear Analysis 8-3 (


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8.3 Illustrative Example 8-34
8.4 Other Analysis Methods ' 8-54
8.5 Basics of Structural Dynamics 8-57
Chapter 9 Modeling Rules 9-1
9'.1 General 9-1
9.2 Loads 9-2
9.3 Global Building Considerations 9-4
9.4 Element Models : 9-7 (

9.5 Component Models 9-19 (


9.6 Notations ; 9-46
Chapter 10 Foundation Effects 10-1
10.1 General · 10-1
10.2 Foundation System and Global Structural Model 10-2
10.3 Foundation Elements 10-7
10.4 Properties of Geotechnical Components . ~ ................•........... 10-12
10.5 Characterization of Site Soils 10-20
10.6 Response Limits and Acceptability Criteria.. r 10-28
10.7 Modifications to Foundation Systems 10-29
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Chapter 11 Response Limits 11-1
11.1 General 11-1 (
11.2 Descriptive Limits of Expected Performance 11-2
11.3 Global Building Acceptability Limits 11-2
11.4 Element and Component Acceptability Limits 11-5
Chapter 12 Nonstructural Components 12-1 (
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viii Table of Contents


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12.1 Introduction 12-1


. 12.2. Acceptability Criteria 12-1
Chapter 13 Conclusions and Future Directions 13-1
13.1 Introduction .. " " 13-1
13.2 Additional Data 13-1
13.3 Potential Benefits 13-4
13.4 Major Challenges 13-5
13.5 Recommended Action Plan 13-6
References 14-1

Volume 2-Appendices
Appendix A Escondido Village Midrise, Stanford, California : A-I
Appendix B Barrington Medical Center, Los Angeles, California B-1
Appendix C Administration Building, California State University at Northridge,
Northridge, California C-l
Appendix D Holiday Inn, Van Nuys, California D-1
Appendix E Cost Effectiveness Study. _ " '" E-1
Appendix F Supplemental Information on Foundation Effects F-l
Appendix G Applied Technology Council Projects and Report Information G-l

Table of contents
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Glossary
Acceptability (response) limits: Refers to response spectrum (demand spectrum)
specific limiting values for the representation of the earthquake's
deformations and loadings, for displacement demand on the structure. The
deformation-controlled and force- intersection is the performance point, and
controlled components respectively, which the displacement coordinate, dp, of the
constitute criteria for acceptable seismic performance point is the estimated
performance. . displacement demand on the structure for
the specified level of seismic hazard.
Brittle: see nonductile.
Components: The local concrete members that
Capacity: The expected ultimate strength (in comprise the major structural elements of
flexure, shear, or axial loading) of a the building such as columns, beams,
structural component excluding the slabs, wall panels, boundary members,
reduction (<j» factors commonly used in joints, etc.
design of concrete members. The capacity
usually refers to the strength at the yield Concrete frame building: A building with a
point of the element or structure's capacity monolithically cast concrete structural
curve. For deformation-controlled framing system composed of horizontal
components, capacity beyond the elastic and vertical elements which support all
limit generally includes the effects of vertical gravity loads and also provide
strain hardening. resistance to all lateral loads through
bending of the framing elements.
Capacity curve: The plot of the total lateral
force, V, on a structure, against the lateral Concrete frame-wall building: A building with a
deflection, d, of the roof of the structure. structural system composed of an
This is often referred to as the 'pushover' essentially complete concrete frame system
curve. to support all gravity loads and concrete
walls to provide resistance to lateral loads,
Capacity spectrum: The capacity curve primarily in shear.
transformed from shear force vs. roof
displacement (V vs. d) coordinates into Deformation-controlled: Refers to components,
spectral acceleration vs. spectral elements, actions, or systems which can,
displacement (Sa vs. Sd) coordinates. and are permitted to, exceed their elastic
limit ina ductile manner. Force or stress
Capacity spectrum. method: A nonlinear static levels for these components are of lesser
analysis procedure that provides a importance than the amount or extent of
graphical representation of the expected deformation beyond the yield point (see
seismic performance of the existing or ductility demand).
retrofitted structure by the intersection of
the structure's capacity spectrum with a

Glossary xi
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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

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Degradation: Refers to the loss of strength that a target displacement. The point on the (
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.component or structure may suffer when capacity curve at the target.displacementis
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subjected to more than one cycle of the equivalent of the performance point. in'
deformation beyond its elastic limit. the capacity spectrum method.
Degrading components are generally
referred to as being force-controlled, Ductile: see ductility. (
brittle, or nonductile. Some or all of their
flexural, shear or axial loading must be Ductility: The ability of a structural component,
redistributed to other, more ductile, element, or system to undergo both large
components in the structural system. deformations andlor several cycles of
deformations"beyond its yield point or (

Demand: A representation of the earthquake elastic limit and maintain its strength (
ground motion or shaking that the building without significant degradation or abrupt (

failure. These elements, only experience a (


is subjected to. hi nonlinear .static analysis
procedures, demand is represented by an reduction in effective stiffness after
estimation of the- displacements or yielding and are generally referred to as
deformations that the structure is expected being deformation controlled or ductile.
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to undergo. This is in contrast to
conventional, linear elastic analysis Ductility demand: Refers tothe extent of
procedures in which demand is represented deformation (rotation or displacement)
by prescribed lateral forces applied to the beyond the elastic limit, expressed
structure. numerically as 'the .ratio of the maximum
deformation tothe yield deformation.
Demand spectrum: The reduced response
spectrum used to represent the earthquake Elastic (linear) behavior: Refers to the first
ground motion in the capacity spectrum segment of the bi-linear load-deformation
method. relationship plot of a component, element,
or structure, between the unloaded (

Displacement-based: Refers to analysis condition and the elastic limit or yield


procedures, such as the nonlinear static point. This segment is a straight line (

whose slope represents the initial elastic (


analysis procedures recommended in this
methodology, whose basis lies in stiffness of the component.
estimating the realistic, and generally
inelastic, lateral displacements or Elastic limit: See yield point.
deformations expected due to actual Elastic response spectrum: The 5 % damped
earthquake, ground motion. Component response spectrum for the (each) seismic
forces are then determined based on the hazard level of interest, representing the
deformations. maximum response of the structure, in
Displacement coefficient Method: A nonlinear terms of spectral acceleration Sa, at any
static analysis procedure that provides a time during an earthquake as a function of
numerical process for' estimating the period of vibration; T.
displacement demand on the structure, by Elements: Major horizontal or vertical portions (
using a bilinear representation of the of the building's structural systems that act (
capacity curve and a series of modification to resist lateral force'S or support. vertical (
factors, or coefficients, to calculate a

xii ctossarv
gravity loads such as frames, shear walls, performance level is the combination of a
frame-walls; diaphragms, and.foundations .. structural, performance. level and a
Elements are composed of components. nonstructural performance level.

Force-controlled: Refers to components, Performance objective: A desired level of


elements, actions, or systems which are seismic performance of the building
not permitted to exceed their elastic limits. (performance level), generally described
This category of elements, generally by specifying the maximum allowable (or
referred to as brittle or nonductile, acceptable) structural and nonstructural
experiences significant degradation after damage, for a specified level of seismic
only limited post-yield deformation, hazard.

Nonductile: Refers to a component or behavior Performance point: The intersection of the


that is not ductile and is generally subject capacity spectrum with the appropriate
to strength degradation beyond the elastic demand spectrum ill the capacity spectrum
limit. These components are generally method (the displacement at the
force-controlled. performance point is equivalent to the
target displacement in the coefficient
Nonlinear static (analysis) procedure: The method).
generic name for the group of simplified
nonlinear analysis methods central to this ap, d p: coordinates of the performance point on
methodology characterized by: use of a the capacity spectrum,
static pushover analysis to create a
capacity curve representing the structure's api, dpi: coordinates of successive iterations (i = 1,
available lateral force resistance, a 2, etc.) of the performance point,
representation of the actual displacement
demand on the structure due to a specified ay, d y: coordinates of the effective yield point on
level of seismic hazard, and verification of the capacity spectrum.
acceptable performance by a comparison
Primary elements: Refers to those structural
of the two.
components or elements that provide a
Performance-based: Refers to a methodology in significant portion of the structure's lateral
which structural criteria are expressed in force' resisting stiffness and strength at the
terms of achieving a performance performance point. These are the elements
objective. This is contrasted to a that are needed to resist lateral loads after
conventional method in which structural several cycles of inelastic response to the
criteria are defined by limits on member earthquake ground motion.
forces resulting from a prescribed level of
Pushover curve: see capacity curve.
applied shear force.
Pushover analysis: An incremental static analysis
Performance level: A limiting damage state or used to determine the force-displacement
condition described by the physical
relationship, or the capacity curve, for a
damage within the building, the threat to
structure or structural element. The
life safety of the building's occupants due
analysis involves applying horizontal
to the damage, and the post-earthquake
loads, in a prescribed pattern, to a
serviceability of the building. A building

Glossary
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SEISMIC EVALUATION AND RETRO'F!T OF COt:U::iETE BUILDINGS


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computer model of the structure, Seismic hazard: The level of ground motion or
incrementally; i.e.•- "pushing." the - .shaking at the- site for- a-given-earthquake.
structure; and plotting the total applied Three standard levels of seismic hazard are (
shear force and associated lateral specified in the methodology; (
displacement at each increment, until the (
structure reaches a limit state or collapse Serviceability Earthquake (SE); 50% (
condition. chance of being exceeded in 50 years,

Retrofit strategy: The basic overall approach Design Earthquake (DE); 10% chance of
adopted to improve the probable seismic being excee_ded in 50 years,
performance of the building or to
Maximum Earthquake (ME); 5 % chance
otherwise reduce the existing risk to an
of being exceeded in 50 years.
acceptable level.
Strength: See capacity.
Retrofit system: The specific method used to
implement the overall retrofit strategy. (
Target displacement; In the displacement
coefficient method. the target displacement (
Secant (effective) stiffness. The slope of a
is the equivalent of the performance point (
straight line drawn from the origin of the
in the capacity spectrum method. The (
capacity curve for abuilding (or other' ~
target displacement is calculated by use of
structural element) to a point on the curve (
a series of coefficients.
at a displacement "d", beyond the elastic (

limit, represents the secant or effective Yield (effective yield) point: The point along the
stiffness of the structure (or.element) when capacity spectrum where the ultimate
deformed by an earthquake to that capacity is reached and the initial linear
displacement. The secant stiffness will elastic force-deformation relationship ends
always be less than the elastic stiffness of (
and effective stiffness begins to decrease. (
the structure. For larger elements or entire structural (
systems composed of many components,
Secondary elements: Refers to those structural
the effective yield point (on the bi-linear (
components or elements that are not, or
representation of the capacity spectrum)
are not needed to be, primary elements of
represents the point at which a' sufficient
the lateral load resisting system. However.
number of individual components or
secondary elements may be needed to (,
elements have yielded and the global
support vertical gravity loads and may t...
structure begins to experience inelastic
resist some lateral loads.
deformation.
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SEISMiC eVALUATION .AND RETROFIT OF CONCRETE BUU..DINGS

Executive- ·Summary

II Existing concrete methodology and Product. 1.3 for the inclusion of


buildings pose a great foundation effects).
chanenge in ·California • The challenge spans·a
Concrete is popular as a building material in
broad spectrum from highly
California. For the most part, it serves its
functions well; however concrete is inherently technical engineering details
brittle and performs poorly during earthquakes if to general issues of public
not reinforced properly. The San Fernando policy
Earthquake of 1971 dramatically demonstrated this This document has a dual focus. On a
characteristic. Shortly thereafter, code writers tecbnicallevel, engineers will find systematic
revised the design 'provisions for new concrete guidance on how to investigate concrete buildings
buildings to provide adequate ductility to resist subject to seismic shaking. Depending on the
strong ground shaking. There remain, nonetheless, specific characteristics of a particular building,
millions of square feet of nonductile concrete they may select from an array of alternatives.
buildings in California. These technical procedures are not alone sufficient
The consequences of neglecting this general for effective evaluation and retrofit. Owners,
risk are inevitably catastrophic for some individual architects, building officials, and others must
buildings. The collapse of a single building has the make critical decisions based on technical
potential for more loss of life than any other information coming from the engineers.
catastrophe in California since 1906. The potential Conversely, policy and management issues affect
defects in these buildings are often not readily the course of the technical analysis. The
apparent. Condemnation of all to mandatory recommended approach advocates a broad context
retrofit is an unacceptable economic burden. for the process to expand the perspectives of all
Unfortunately, procedures to identify and to involved.
retrofit efficiently those that are vulnerable to
collapse have not been available. As.a part of its
mandate under the California Earthquake Hazards
II Multipie performance
Reduction Act of 1986, the Seismic Safety objectives are the context
Commission is moving aggressively to meet this for defining and managing
need by helping to develop standards for the seismic risk
evaluation and retrofit of existing concrete In TurningLoss to Gain (CSSC 1995) its
buildings with this document, Seismic Evaluation report to Governor Wilson on the Northridge
and Retrofit of Concrete Buildings (Product Earthquake, the Seismic Safety Commission
1.2/1.3). It contains the combined results of two identifies a fundamental drawback of the seismic
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contracts with the Applied Technology Council provisions of current building codes. The seismic
(Product 1.2 for the development of an analytical

Executive summary xv
SeISM!C EVALUAT!ON AND RETROFIT OF CONCRETE sun.DINGS

performance that can be expected from a building In reality, large earthquakes can severely damage
designed.in accordance with the code is not - buildings causing inelastic behavior- that dissipates--
explicit. The implication is that buildings will not ~net~.!The ~Silmption thatbuildings remain .
collapse in large earthquakes. Owners rarely blastic simplifies the engineer's work but obscures
recognize that this goal allows for substantial a basic understanding of actual performance. The
damage contributing to the potential for large use of traditional procedures for existing buildings
capital losses and business interruption. In spite of can lead to erroneous conclusions on deficiencies
significant improvements in codes after and unnecessarily high retrofit costs. More
earthquakes inthe past, their traditional approach disturbingly, they can miss important defects in
is not conducive to effective overall management some buildings. Foundations are a good example.
of seismic' risks in California. This is particularly Traditional analyses normally assume that
true of existing buildings fdr' which codes for new buildings are rigid at their base, which can lead to
buildings are effectively meaningless when it the prediction of high forces implying extensive
comes to seismic performance, The Commission retrofitting measures for walls and floors. It also
concludes that multiple performance objectives are can underestimate the structural displacements that (
required to define alternatives and quantify' , control damage to other parts of the structure, I
acceptable risks. such as columns. In reality, foundations often are (
A seismic performance objective has two quite flexible. Rocking or yielding of the (

essential parts-e-a damage state and' a level of supporting soil material might reduce forces and
hazard. "Life safety" and "immediate occupancy" the need to retrofit the shear walls. The foundation
are descriptors of damage states that do not movements. however, also lead to larger
constitute performance objectives until they are displacements which may. imply potential collapse
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associated with a specific level of seismic' hazard. of columns. (
The hazard might be an earthquake (M7.0 on the Relatively new analysis procedures descr;i.bed (
Hayward Fault adjacent to a site) or a probability in this document help describe the inelastic
of an intensity of ground shaking (10% chance of behavior of the structural components of a
being exceeded in 50 years). Defined in this way. building. These techniques can estimate more
a performance objective represents a specific risk. accurately the actual behavior of a building during (
Using the new analysis procedures in this a specific ground motion. The document provides (

document as a technical tool, it is possible to extensive guidance on the use ofthese procedures
investigate buildings for multiple performance including properties for concrete components and
objecti:v-es...-'IlJis-appr.oach~prmlides..~ilding detailed information to incorporate foundation
owners and others a framework for informed effects. Using this information. the engineer
judgments on the acceptability of various risks and formulates a component model of the building.
the benefits of mitigative action in light of the structure. The. analysis procedure tells how to
associated costs. identify which part of the building will. fail first.
As the load and displacement increase, other
III NeW' structural an~lysis
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elements begin to yield and deform inelastically. (

The resulting graphic "curve" is an easy-to- (


procedures give engineers a
visualize representation of the capacity of the
mare realistic pic;ture of building: Several alternative techniques allow the (
building performance. during demand from a specific earthquake or intensity of
earthquakes ground shaking to be correlated with the capacity
Traditional retrofit design techniques assume curve to generate a point on the curve where (
that buildings respond elastically to 'earthquakes, capacity and demand are equal. This "performance (
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xvi EXecutive summary' (
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SE!SM!C EYALUATION AND RETROFIT, OF CONCRETE BUiI.DINGS

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point II is an estimate of the actual displacement of marketplace for engineering services could resolve
. the .building. for the-specified ground.motion, ...... . this aspect of complexity. . -..- _ _..
Using thisperformance point, the engineer can The document provides guidance applicable to
characterize the associated damage state for the all concrete buildings. Within a general framework
structure and compare it with the desired . for evaluation and retrofit, new procedures for
performance objective. This allows the engineer to inelastic analysis are alternatives to. simpler .
pinpoint deficiencies in each building part and traditional methods for detailed analysis of some,
address them directly with retrofit measures only but not all, buildings. The dividing line between
where necessary. In short, the procedure gives the buildings that can benefit from inelastic analysis
engineer a better understanding of the seismic and those that will not can b~ subtle, however...
performance characteristics of the building and Every building has its own characteristics and .
results in a more effective and cost-efficient often only experienced engineers can decide when
retrofit. traditional design methods are adequate. This
necessity of experience and judgment on the part.
II The new
techn~lagies of the engineer. extends beyond the selection of
appropriate analysis techniques. The. new inelastic
require extensive
procedures require many decisions 0ll component
engineering jud.gment properties and modeling techniques that involve
A large team of earthquake engineering considerable. judgment. :Tl1e interpretation of
experts compiled and generated the information in results must carefully include consideration of
this document. A panel of respected leaders in the inherent uncertainties' and the limitations. of basic
field periodically reviewed the development as assumptions. Qualifying experience and judgment
representatives of the Seismic Safety Commission. is not the exclusive domain of a select few
Practitioners from throughout California voiced engineers or firms. No one is capable of infallible
their opinions at a series of"workshops on the prediction of the seismic performance of concrete
document: There is a consensus that the technical
procedures ate complex. There are several sources
to
buildings. The solution this unavoidable .
complexity is to eliminate complete 'reliance on-the
and implications of this complexity.·The nature of judgment of a single engineer and, instead, rely on
the inelastic analysis itself requires a basic constructive and cooperative peer review
understanding of the principles of structural processes. The Seismic Safety Commission, in
dynamics arid mechanics of materials. The scope Turning Loss to Gain, advocates such a change in
of the analysis typically requires computer-aided the California Building Code to require
solutions. While most competent engineers with independent peer review of complex buildings.
seismic design experience in California are capable
of dealing with these issues, traditional design Ii Effective and efficient
procedures commonly used in current practice do
not demand that they do.· Unfortunately, in the
seismic evaluation and
competitive .design environment, most uninformed retrofit of concrete buildings
owners are not yet willing to pay larger fees for demand fundamental
the more time-consuming approach. Although the changes
benefits to owners in reduced construction costs,
The need for technical peer review is only one
more reliable building performance, and reduced
of the changes to conventional planning and design
costs to repair damage due to future earthquakes
processes. The design engineers themselves face
can justify the higher fees in many cases, this has
the challenge to develop and maintain their
not yet been widely comniunicated. In the future,'
technical skills beyond those that they currently
better communication and changes in the

Executive summary xvii


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use in practice. Architects must recognize the California is not acting alone in pursuing
impact ofseismic risk on-building. function and-the . .effecti-ve-evaluation-and-retrofit-methodologies.-In _... (
importance of nonstructural damage to building fact, many of the individuals responsible forthis (

performance. Building officials are accustomed to document are also involved on the federal (
designs that can be easily checked against initiative to develop national guidelines for the r
prescriptive codes and standards. They must seismic rehabilitation of buildings. They initially (
/
expand or supplement their own skills and capitalized on the federal effort by using it as a
implement procedures to monitor performance- Springboard Jar further development. In return, Cr
based designs. As important as these changes for key enhancements from Product 1.211.3 have been (
design and buildingprofessionals are, they alone funneled back into the federal document. There are ['
will do little without the demand and support of at least two desirable outcomes of this synergism. (
building owners for change. Product 1. 211.3 uses concepts and language
The perspective of building owners is the key compatible with the federal guidelines. This
to progress. If a buildingmeetsthe code under consistency will raise..thecomfort level of ~. /

which it was built and there is no legal involved and accelerate the implementation of the (
requirement to retrofit it, owners generally have procedures. The federal government, through the /
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been satisfied. Few understand the risks they Federal Emergency Management Agency and the
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actually face. Performance-based evaluation of National Science Foundation, hasplans to continue
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buildings can give them a picture of how the development of performance-based design
c.
earthquakes impact their businesses and aggressively. The benefit for existing concrete (
investments, They can then begin to make buildings will include iJ:!l:proved information on the ;'
informed decisions to manage and reduce risks in a inelastic properties of both structural and (
cost-efficient way. The most basic change that nonstructural components, /
owners will face is the realization that they are the The interest on the part of structural engineers (
decision maker. Engineers can advise them on . in inelastic analysis procedures is very high. The
relative risks, but acceptability rests with the Structural Engineers Association of Northern
owner. This concept runs counter to the prevailing California recently sponsored a seminar on the
attitude that it is the design professional who subjectand had to turn people away. Future
/
decides on acceptable risk. sessions are planned and interest probably will (
spread through the larger state organization. (

II Product '1.2/'1.3 initiates Focused sessions are required for geotechnical and (
the tffii'isitiGn with a step In . structural engineers. The importance of foundation
effects on the seismic performance of some
the right direction buildings requires. greater communication and I:
The new technical analysis procedures, cooperation. Training sessions are also essential
coupled with performance-based evaluation and for building officials throughout California. This
design concepts, have great promise. Realistically, . document is a natural curriculum for these efforts
their implementation and complete development' and the Seismic Safety Commission encourages its
will take some time. The' realization of the full . use.
potential of the new approaches demands technical A concerted effort to educate building .owners
information and data not currently available. on effective seismic risk management is essential.
Significant changes to business as usual are First of all, the benefits of the new procedures (
required on the part of all involved in the need to be documented with extended example
evaluation and retrofit process. There are several building studies. The proposed procedures have
important strategies that can enhance future been used successfully by others andtheir stories
progress. (
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Executive Summary (

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need to be told. Side by side comparison of the established to allow users to submit suggestions
results of the.proposed procedures with. those .of and.share experiences on evaluation and retrofit
traditional methods including retrofit costs would projects.
quantify the differences. State agencies are a The Seismic Safety Commission is confident
natural starting point for workshops and seminars that California can meet the challenge of concrete
aimed at the management level. These could be buildings with improved understanding and
expanded to the private sector through information. Product 1.211.3 provides the basis
organizations such as the Building Owners and for improved understanding of the actual behavior
Managers Association. This initiative to engage of structures for realistic earthquakes and for
building owners has not yet been implemented in informed management of seismic risks. With
any effective program. continued vigilant effort on the part of design
Finally, this document needs to be continually professionals, building officials, and owners to
updated to reflect advancement in the state of the enhance the process, the risks to safety and
art and the valuable lessons from practical economy posed by earthquakes can be steadily
application. A repository of information should be reduced to acceptable levels.

Executive summary
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Chapter 1
Introduction
AUdience Interest spectrum
Owner Architect Bldg. Official Engineer AnalYst

1.1 Purpose approaches to retrofit may not deliver appropriate


or cos~-effective designs. Unrealistic or inadequate
1.1.1 ceneral assessment of buildings may not identify the true
A major portion of state and local government failure modes, leading to unsafe retrofit designs,
buildings in California are cast-in-place concrete or may produce overly conservative retrofits
structures designed and constructed before the mid where none is needed to meet the Owner's
to late 1970s. The seismic performance of these performance objective, leading to unnecessarily
older buildings has been observed to be relatively costly retrofit designs. Therefore, more
poor compared to the performance of modem, post sophisticated "methods that consider both the actual
1970s concrete buildings. Accordingly, a growing loading and inelastic responses buildings
number of these buildings have been evaluated and experience in large earthquakes are needed.
retrofit in recent years and many more will be The primary purpose of this document is to
retrofit in the near future. provide an analysis and design methodology and
Very little has been, or is currently, available supporting commentary for use in the seismic
in the way of guidelines for use in the retrofit of evaluation and retrofit of existing state and local
existing concrete buildings. Therefore, most of the government concrete buildings in California. This
retrofit design and construction to date has been methodology is intended to serve as the basis for
based on the use of the simple equivalent lateral the future development of building code provisions
force analysis procedures prescribed in building and standards and to provide guidelines for interim
codes for the design of new buildings. These use until the more formal provisions are available.
procedures do not directly address the actual It is expected that this document will be used
forces induced in buildings by earthquake ground by both retrofit design professionals performing
motions. More importantly, since buildings will seismic evaluations and retrofit designs and
respond to the earthquake ground motions in an government agency personnel and policy makers
inelastic manner, the linear elastic equivalent" charged with implementing retrofit programs.
lateral force procedures do not provide a direct Portions of the document will be of interest to
method to determine the resulting maximum others, such as building owners and architects,
displacements. involved in various aspects of building retrofit
Given these shortcomings of the simple projects. However, the engineering expertise of a
procedures, the concern has arisen that present design professional, in particular the expertise of a
structural engineer experienced in building retrofit

Chapter 1, Introduction
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design, is a prerequisite for appropriate use of the .. Product 1: Provisions and commentary for the (
analytical.procedures at the core of this design of seismic retrofits-for· existing .... --- ... :-~
methodology. government buildings
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1.1.2 proposition 122 seismic Retrofit .. Product-Ze Risk-management-tools for use. in ; (


(
practices Improvement Program seismic retrofit decision making by facility
owners and managers (
Passed by California's voters, Proposition 122 (
.. Product 3: Short-term research projects to
created the Earthquake Safety and Public Buildings
RehabilitarionPund of 1990, supported by a $300 support the first two activities Ce·..
million general obligation bond program for the .. Product 4:.Information transfer activities to (
seismic retrofit of state and local government inform government officials, facility owners
buildings. and managers, and design professionals about (
As a part of the program, Proposition 122 the other products
authorizes the Seismic Safety Commission to use
This document reports the results of two
up to 1 % of the proceeds of the bonds issued and
separate but related projects conducted as part of
sold, or approximately Ss million,' to carry out a (
the commission's Proposition 122 Seismic Retrofit
range of activities that will capitalize on the (
Practices Improvement Program: Product 1.2,
seismic retrofit experience in the private sector to (
Development of a Recommended Methodology for
improve seismic retrofit practices for government
the Seismic Evaluation and Retrofit of Existing (
buildings. b.t
Concrete BUildings and Product .1.3, Effects of (
The overall purpose of California's
Foundations on the Seismic Performance of ( .
Proposition 122 research and development
Existing Concrete Buildings. (
program is to develop state-of-the-practice
Two other reports recently published by the
recommendations and methods to address current
California Seismic Safety Commission, the
needs for uniform seismic retrofit provisions and
Provisional Commentary for Seismic Retrofit
seismic risk decision tools. It is focused
(CSSC 1994a) and the Review of Seismic Research
specifically on vulnerable concrete structures
Results on Existing Buildings (eSSe 1994b), are
consistent with the types of concrete buildings that
Products 1.1 and 3.1 of the program, respectively.
make up a significant portion of California's state
These two previous reports provide the primary
and local government inventories. (
basis for the development of the recommended
The two primary goals of the commission's I
methodology and commentary contained in this (
Seismic Retrofit Practices Improvement Program
document: )
are:
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.. To achieve cost-effective expenditure of state ..·.2 Scope
and local government funds allocated for the
seismic retrofit of government buildings 1.2.1 General
.. To obtainseismic retrofit designs that This document provides a comprehensive,
consistently and reliably achieve their intended technically sound recommended methodology and
seismic performance objectives supporting commentary for. the seismic evaluation i

and retrofit design of existing concrete buildings. (


A 1991 Commission report titled Breaking the Althouzh it is not intended for the design of .new I
o
Pattern (CSS'C 1991a) outlines four products to be buildings, the analytical procedures are applicable. (
developed over the multiyear program: The document applies to the overall structural I

system and its elements (concrete fraines, shear (


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1·2 Chapter 1, Introduction


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SEISMIC eVALUATION AND RETROFIT OF CONCRETE BUU"DINGS

walls, diaphragms, foundations) and components uncertainty lie in the characterization of seismic
(stiffness" strength, and. deformability, of.columns.. ground.shaking.. the.determination of materials
beams, walls, slabs, and joints). Consideration of properties and of existing structural and
nonstructural systems and components is also' geotechnical component capacities, and the
included in this document. assignment of the acceptance limits on structural
The methodology is performance based: the behavior. These uncertainties, for the most part
evaluation and retrofit design criteria are stemming from the lack of and!or the imperfect
expressed as performance objectives, which define reliability of the specific supporting data available,
desired levels of seismic performance when the affect all analytical methods and procedures
building is subjected to specified levels of seismic applied to the challenge' of seismic evaluation and
ground motion. Acceptable performance is retrofit.
measured by the level of structuraland/or The performance-based methodology presented
nonstructural damage expected from the in this document cannot and does not eliminate
earthquake shaking. Damage is expressed in terms these uncertainties. However, through the use of
of post yield, inelastic deformation limits for simplified nonlinear static analysis, it provides a
various structural components and elements found more sophisticated arid direct approach to address
in concrete buildings. The analytical procedure the uncertainties than'do traditional linear analysis
incorporated in the methodology accounts for procedures. By explicit consideration of the post-
postelastic deformations of the,structure by using yield behavior of individual structural components,
simplified nonlinear static analysis methods. . estimation of the degradation of member stiffness '
This type of performance-based methodology and strength, and representation of foundation
for evaluation and retrofit design represents a effects, the methodology provides a more. realistic,
fundamental change for the structural engineering generally conservative, estimate or approximation
profession. This type of analytical procedure is of the actual deformations which. will occur in the .
more complex than traditional force-based} building in response to.seismic ground motion. As
prescriptive procedures such as those embodied in a result, it is a useful and reliable design tool for
building codes for the design of new buildings. assessment of expected building behavior and
Although the use of simplifiednonlinear static verification of proposed retrofit designs.
analysis procedures and their application to
evaluation and retrofit design of existing buildings 1.2.3 Procedure for Evaluation and
has grown over the past 15 to 20 years, Retrofit Design
widespread acceptance of these methods by the The methodology is presented in the form of a
profession will come only through a considerable step-by-step procedure for both evaluation and
information transfer and learning process. Full retrofit of existing buildings. The procedure
acceptance will be achieved only when the ability recognizes, however, that some steps may be de-
of this method to identify potential structural emphasized or performed in a different order on a
deficiencies and to produce economical retrofit case-by-case basis.
designs better than conventional practice has been The primary components of the methodology
demonstrated. used in various steps of the evaluation and retrofit
procedure include:
1.2.2 uncertainty and Reliability
Uncertainty is a condition associated with
+ Definitions of seismic performance levels and
seismic demand criteria for establishing
essentially all aspects of.earthquake related science
seismic performance objectives
and engineering and of the evaluation and retrofit,
of existing buildings. The principle sources of

Chapter 1, tntroductlon
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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS
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+ Guidance for the review of existing conditions, 1.2.4.1 Materials, components, and
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preliminary determinationof deficiencies,' - -.- . ---- --~ -.--.Elements- ... -----" -."'-" .. - --- -.- (
formulation of a retrofit strategy, and for Modeling rules and acceptance limits are (
establishing an appropriate quality assurance provided for a variety of reinforced cast-in-place (
program concrete elements and components found in the (
+ Analytical methods or techniques for detailed two building types, including beam-column (
investigations to assess seismic capacity and frames; slab-column frames; solid, coupled, and (

expected seismic performance of existing perforated shear walls; concrete diaphragms; and (
'-<-""-(~

buildings and for verification of retrofit foundations. Unreinforced masonry infill and
performance . precast concrete components are not considered in (
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+ Materials characteristics rules and assumptions this document. These rues, assumptions, and
limits are included for existing, non-complying
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for use in modeling, assignment of capacities,
and .assessment of acceptable performance elements and components, and for new,
complying, elements and components used in
The owner's orbuilding code official's retrofits.
selection of the performance objective that should
be achieved by a building retrofit is beyond the 1.2.4.2 Foundation·Soil EFFects
scope of this document. This includes the The methodology includes guidelines for the
identification of the level of.seismichazard that consideration of foundation-soil effects. Detailed
should be combined with the selected performance modeling rules and acceptance limits for various
level. Once those decisionshave.been made, types. of foundations and foundation-structure
however, and a performance objective has thus combinations in various soil conditions are
been established, this methodology- provides included in this document.
guidelines to meet that objective. Compliance with
the procedures and requirements of this document 1.2.4.3 Diaphragms
will be deemed adequatefor these purposes. The methodology includes detailed guidelines
However, due to the uncertainties noted in Section for modeling rules and acceptance limits for
1.2.2, the seismic performance incorporated into concrete slab diaphragms, which may be
the performance objective is not guaranteed. considered to be rigid. Although general (
guidelines and commentary for the consideration (
1.2.4 Building Types . of flexible diaphragms are included, the provision (

Two specific types of older, cast-in-place of detailed rules and assumptions for flexible (
concrete buildings which were designed and diaphragms is not included in this document. ~

constructed prior to the late 1970s, when ductile (


detailing requirements were first incorporated into 1.2.5 Alternative Analytical Methods
building standards, and which are common to A variety of alternative analytical methods,
California state and local government building using either simple (linear, static) procedures,
inventories, will be the focus of the methodology: approximate inelastic (simplified nonlinear static)
capacity procedures, or complex inelastic
• Concrete frame buildings, generally (nonlinear time history) procedures, are available
constructed from the 1940s to the mid-1970s for use within the overall evaluation and retrofit
• Concrete.frame buildings with concrete walls, methodology. The type of analytical approach
generally constructed from the early 1900s to described in this document is simplified nonlinear
the mid-1970s static analysis. Several methods of performing
nonlinear static analyses are presented, and the

1-4 Chapter 1, tntrcetuctlon


capacity spectrum method is emphasized. Other description of the content of each of the chapters
analytical methods. are.also, noted, and,discussion.is- ., . and supporting .study. reports .__._. .... -..... _..... .
provided to assist the retrofit professional in the
selection of an analytical procedure appropriate for 1.3. 1.2 Chapter 2: Overview
use in the detailed analysis of a particular building. Chapter 2 presents an overview of the general
evaluation and retrofit methodology. The broad
1..3 Organization and audience this document is intended to address is
discussed and an Audience Interest Spectrum is
Contents provided to assist individuals in identifying which
This document is organized into two volumes. portions may be of interest or appropriate to them.
Volume One contains the main body of the Then, following a logical sequence of steps
evaluation and retrofit methodology, presented in through the evaluation andretrofit design process,
13 chapters, with a glossary and a list of this chapter also serves as a road map for use of
references. This volume contains all the parts of the document, with references to the appropriate
the document required for application and use of chapters and sections at each step.
the methodology for evaluation and retrofit of a
building. Volume Two consists of various 1.~ 1.:5 Chapter 5: Performance
Appendices containing supporting materials related . Objectives
to the methodology; four example building case Chapter 3 presents a detailed discussion of
study reports, a cost effectiveness study report seismic performance objectives and how they are
related to the four building studies, and a review formed. Definitions, or damage state descriptions
of research on foundation effects on the seismic consistent with those included in other
performance of concrete buildings. performance-based design documents, are
provided for six standard structural performance
1.3.1 Volume· One Chapter summaries levels:· .
The methodology has been organized into 13 .. SP-l, Im.m.ediate Occupancy
chapters. The first seven address the more general
and conceptual aspects of the methodology, which .. SP-2, Damage Control
will be of interest to the broader range of the + SP-3, Life Safety
expected audience of building owners and agency
+ SPA, Limited Safety
representatives, architects, and building officials,
as well as structural engineers and analysts. The + SP-5, Structural Stability
next five chapters, 8 through 12, address the more + SP-6, Not Considered
technical and analytical aspects of the
methodology, expected to be of primary interest and five standard nonstructural performance
only to the structural engineer/analystmembers of levels:
the audience. The last chapter, 13, provides .. NP-A, Operational
summary concluding remarks which are of interest
+ NP-B, Immediate Occupancy
to the broader audience..The title page of each
chapter contains an audience spectrum bar to assist + NP-C, Life Safety
the reader in assessing the appropriate level of +' NP-D, Hazards Reduced
interest.
+ NP-E, Not Considered
1.:5.1.1 Chapter 1: mtroauction Performance levels for a building are formed
Chapter I provides a statement of the
purpose by combining a structural and a nonstructural
and scope of this document, followed by a brief performance level to describe a complete building

Chapter 1, Introduction
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SEISMIC EVALUATION AND RETROFIT --bF CONCRETE 'BUILDINGS
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damage state. Performance objectives are then seismic deficiencies and their-severity, based on (
formed.by combining a.desired, bnilding . _... _ the collected.data.ris.discussed.. Also., . . -_ .
performance level with a given earthquake ground considerations for establishing the extent of
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motion. The chapter describes the process of further, more detailed analysis that may be (
selecting appropriate performance objectives, and required to supplement the-available as-built data, (
one standard performance objective, called the and preliminary determination of the need for (
Basic Safety Objective, is defined. retrofit, are also discussed,' - ,~... . ' (

1~5.1_4 Chapter 4: seismic Hazard 1.~ '1.6 Chapter 6: Retrofit strategies


Chapter 4 provides guidelines for quantifying Chapter 6 provides. an overview of the process (
the seismic hazard atasite due to ground shaking of developing retrofit strategies (the basic ,
for three levels of earthquake hazard: the approaches to improve the seismic performance of
Serviceability Earthquake, the Design Earthquake, buildings) and preliminary retrofit designs for
and the Maximum Earthquake. Brief discussions buildings. Discussion of various alternative retrofit
of seismic ground failure .hazards oilier than strategies and the design constraints affecting
shaking are also provided, retrofit strategy selection is provided. The process (
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The chapter describes the primary ground of selecting a retrofit strategy after an evaluation
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shaking criteria, site geology and soil has indicated the presence of unacceptable seismic
characteristics, site seismicity characteristics, and deficiencies and the decision to retrofit has been . (
site response spectra required for seismic made is described. Considerations of alternative ~
evaluation and retrofit design of ~uildings. For strategies, evaluation of their applicability given (
various combinations of site soil-profile types and the identified deficiencies, and selection of the
site seismic zone factors, site seismicity most appropriate strategy in light of the existing (
coefficients are defined from which site response design constraints are.discussed. Guidance for (

spectra may be constructed for any site in selection of an appropriate retrofit system to (
California. The chapter also provides guidance and implement the chosen strategy and for (I
general criteria for the use of acceleration time development of preliminary retrofit designs is also
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histories and duration of ground shaking. provided. C-
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1.5.1.5 Chapter 5: Determination of 1.~ 1.7 Chapter 7: ouality Assurance
Deficiencies Procedures C
Chapter 5 provides guidelines for a qualitative, Chapter 7 provides guidelines for the various
preliminary evaluation of existing cast-in-place quality control procedures that may be required to
concrete frame and frame-wall buildings prior to ensure appropriate application of the methodology. (
the performance of detailed or extensive analytical. Guidelines for peer review, plan check, and
work. A description of the common characteristics construction quality assurance procedures are
of these types of construction is provided, along presented and discussed. Although comprehensive
with a discussion of their past seismic performance programs are presented, conditions for which
and typical deficiencies. Guidelines for collection varying levels of review may be appropriate,
of as-built information, including physical testing depending on the complexity of a particular
of materials and exploration of existing conditions, building, are discussed. Minimum requirements
appropriate to the level of detail of evaluation or for field observation of the retrofit construction are (

retrofit studies are provided. provided, as are guidelines for field verification, (
Assessment of the seismic -characteristics of testing, and inspection. .
existing buildings and determination of their

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Chapter 1; Introduction
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SEI$MIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

1.5.1.8 Chapter S: Nonline.arstatic foundations); and component models (columns,


.Analysis. procedl!res-..- -- ---.._._-_.. beams, joints,..wall~·and slabs)..- ... - ...
Chapter 8 presents the generalized nonlinear .
1.:5.1.. 10 Chapter 10: Foundation Effects
static analysis procedure characterized by use of a
static pushover analysis method to represent the Chapter 10 provides guidelines for the
structure's lateral force resisting .capacity, a inclusion of foundation effects in the overall
representation of the actual earthquake methodology for evaluation and retrofit design of
displacement. demand on the structure, and existing concrete buildings. Guidelines are
verification of acceptable performance by a provided for modeling of geotechnical, components
comparison of the structure's available capacity to for various types of shallow and deep foundation
the earthquake's demand. A detailed description of systems. Discussion is provided on response limits
each of the three primary elements of the nonlinear and accepta~~lity criteria...
static analysis procedure is presented: the step-by- 1.5.1.. 11 Chapter 11:' Response limits
step development of the capacity curve of a Chapter 11 provides the': guidelines,
structure, the various alternative methods to
considerations, and assumptions required to assess
determine displacement demand by use of reduced
the acceptability of the seismic response of the
demand spectra or target displacement
various components and elements of the .structural
coefficients, and the resulting identification of the
and nonstructural systems. Qualitative descriptions
performance point or target displacement and the.
of damage states are included for structural and
subsequent .check for acceptable performance.
nonstructural systems and quantitative limits are
Additional considerations, including the
provided for the structural systems. Strength limits
distinction between primary and secondary
are provided for both ductile, deformation-
members, the effects of torsion, 'and the effects of
controlled .components and brittle, force-controlled
higher modes, are discussed. 'An example is
components.. Component and element .
provided to demonstrate the application of the
deformability limits considering the Immediate
nonlinear static procedure to abuilding.
Occupancy, Life Safety, and Structural Stability
Alternative methods, including-linear elastic static , performance levels are presented. .
and dynamic methods, the secant stiffness
nonlinear static method, and nonlinear time history 1.5..1.12 Chapter 12: Nonstructural
analysis methods, are discussed. The chapter components
closes with a brief summary of the fundamental Chapter 12 describes the minimum acceptance
structuraldynamics basis of the nonlinear static criteria that are expected to provide the
analysis procedures. . . Operational, Immediate Occupancy, Life Safety,
1.5.1.9 Chapter 9: ModeiingRules and Hazards Reduced levels of performance for
nonstructural systems and components. Acceptance
Chapter 9 provides the guidelines, rules, and
criteria consist of listings' of those systems and
assumptions required to develop the analytical
components that should be investigated for each
model of buildings as two- or.three-dimensional
performance level.
systems with nonlinear load-deformation
properties. The guidelines for modeling the 1.3.1.15 Chapter 13: Conclusions and
structural systems include application of loads; Future Directions
global building modeling considerations; materials Chapter 13 provides a detailed discussion of
models; elements models (concrete frames, the various supplemental engineering studies
concrete walls, concrete diaphragms, and reported in the six Appendices in Volume 2 and a
summary of the principal conclusions drawn from

Chapter 1 r tntroductlon
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the development of this Product. The conclusions valuable insights into the assumptions and
are presented in a.discussion of the.potential., .- . . . dgments.made.--.-- _
.. engmeermg.ju .
benefits of, and the challenges posed by, the (
analysis and retrofit design methodology presented 1.5.2.2 Appendix E:
Cost EFFectiveness study (
in this document. Benefits are discussed in terms (
of the engineer's improved understanding of This section contains the report of a study
performed to evaluate the cost-effectiveness and (
seismic performance of buildings as well as the
owner's enhanced options for implementing usability of the evaluation and retrofit
seismic retrofit goals in their buildings. Challenges methodology. The approximate construction cost
are discussed in terms of both specific.technical of the various retrofit concept designs developed in (
issues and broader practice issuesThe chapter the four example building studies is estimated and
concludes with recommendations .,for future action, then compared to cost ranges from traditional (
. in terms of basic research to address the technical retrofit approaches and the estimated cost of
challenges and training and communication demolition and replacement. The cost effectiveness (
programs to address the practice issues. relationships observed between the extent of I

retrofit/improved seismic performance and (


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1.3.2 voiume Two Appendices' construction costs is discussed.' In addition; the ~
Summaries ease of use and consistency of application of the
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proposed methodology, as demonstrated by the (
1.3.2.1 Appendices A~D: four example building studies; is assessed and
EXample Building stuates discussed.
'These four Appendices cont:rln the reports of
engineering studies of four example buildings. The 1.5.2.3 Appendix F: (
studies were performed primarily to test the Supplemental InFormation on r
proposed nonlinear static analysis methodology in Foundation EFFects (
three ways by comparisons to actual observed This section contains a report of a review of I
('
earthquake-caused damage to the selected research on the affects of foundations on the \
buildings, to the results of limited linear elastic seismic performance of concrete, buildings.
analyses, and to the results of limited time history Presented in a format similar to the Review of
(
analyses. In addition, these studies' also Seismic Research Results on Existing Buildings
(CSSC 1994b), but in smaller scale, this review (
demonstrate the application of the proposed
methodology to actual buildings. The nonlinear provides an overview of the existing, pertinent (
static procedure was used to evaluate the expected research supporting Chapter 10 Foundation Effects' C
performance of the unmodified buildings, and then, in Volume One of the document. The report (
to develop retrofit concept designs to achieve one contains discussions of past seismic performance;
or two specified levels of improved structural experimental and theoretical studies, and analysis
performance. The reports describe the results of and design issues for both shallow and deep
the four studies, discuss observed strengths and a
foundation systems, and collection of brief
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limitations of the methodology, and provide some review summaries of selected published articles, \

papers, and reports. (


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Chapter 1 r uitroduction

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Chapter 2
Overview·: 0. :.

AUdience Interest spectrum .


Owner Architect. Bldg. Offldal J;ngineer AnalY5t

_ • •f!~"l
2.1 Introduction specific-factors. In the future, more direct and
The seismic evaluation and retrofit of existing definitive processes may emerge. The procedures
concrete buildings pose a great challenge for the presented here are a step in the right direction.
owners, architects, engineers, and building The intended audience for this document
officials of California. The risks, measured in both includes building owners, building officials,
lives and dollars, .are high. Equally high is the architects, engineers, and others who may have a
inevitable uncertainty of where, when, and how direct or peripheral interest in the seismic
large future earthquakes will be. The inherent evaluation and retrofit of cop-crete. buildings. This
complexity of concrete buildings and of their document is not a code, or even a comprehensive
performance during earthquakes compounds the guideline. In one sense it is a commentary with a
uncertainty. Traditional design and analysis very broad perspective. Current technologies are
procedures developed primarily for new developed and placed in context within the larger
construction are not wholly adequate tools for picture. Guidance on the selection of alternatives
meeting this challenge'. ' is offered. The objective of the document extends
This d~cument presents a general methodology beyond the general, however, to the pragmatic.
developed specifically to address' the seismic Using it as a manual, qualified engineers can apply
evaluation and retrofit. of concrete buildings in ' the general principles to the evaluation and retrofit
California. Promising new performance-based of actual buildings,
technical procedures can provide engineers with Not every chapter of this document is meant
valuable insight about the actual performance of for detailed study by all readers. Within the
buildings during earthquakes. These and other general methodology are some very technical
changes from the status quo can greatly improve, procedures of interest only to structural engineers '
the process. It is important to emphasize, and analysts. The audience interest spectrum
however, that straightforward, simple solutions (Figure 2-1) is provided to assist the reader in
that will cost-effectively produce acceptable assessing the appropriateness of each chapter to his
seismic performance for all buildings do not exist. or her particular perspective. The audience interest
Within the general methodology described below, spectrum bar for each chapter is also shown on the
there are branches and paths that engineers and respective chapter's title page. Within each
owners can select on the basis of the chapter. key points and basic concepts are
characteristics of a given building, the desired highlighted in sidebars, figures, tables, and
performance, cost limitations, and other project- bulleted lists for the more casual reader.

Chapter 2, overview.
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SEISMIC EVAUJATIO'N AND RETROFIT OF CO'NCRETE BUn,DINGS (
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• ..... _ ..,._._.. ..8uDdlng.... _..... _..... , ... . . _ ... ...._ .._ .. --
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Owner Architect Official Engineer Analyst--


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1.

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3.
Introduction

overview

Performance Objectives
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4. selsmle Haz~rd
~i.: ".1:- -~
Deficiencies
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6. Retrofit ~trategies (
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7. Quality Procedures (

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Analytical Procedures (
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9. Modeling Rules ~
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10. Foundation Effects
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11. Response Limits
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12. Nonstructural ~omponents
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13. Conclusions

A·D Example Building studies·

E Cost Effectiveness study; ..

F Foundation Supplement

key

Primary interest; thorough reading recommended


seconoarv interest; general overview recommended
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Limited interest; selective review recommended
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Figure 2-1. AUdience Interest spectrum (
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Chapter 2, overview ('
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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

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2.2 Changes in perspective involved in predicting performance can affect the


Meeting the challenge 'of concrete buildings-·--·....c..··_- _.._-. decision-making.process.- Owners. must understand
demands a change in perspective on the part of .' . ~at they are playing a role in balancing relative
everyone involved .. The design and construction of nsks rather than transferring risk to design
new buildings follow a familiar pattern that has professionals or contractors. The process is a
evolved over many years. Evaluation and retrofit change from the conventional; it requires that
are similar in some respects to new construction architects and engineers provide guidance for
but the differences greatly influence the ' building owners.
effectiveness of the outcome. Just how should key 2.2.2 Architects
participants in the pro~ess expect seismic ..
evaluation and retrofit to impact their . '; . Most seismic retrofit work is conducted as part
responsibilities? of a rehabilitation project of larger scope. In some
cases this is because disabled access, fire and life
2.2.1 Building Owners' : safety, or other issues must be addressed at the
For new construction projects, building same time. Often, too, it is '~xpedient to modernize
owners rarely make explicit decisions with respect and correct planning or programmatic problems
to design criteria. Most owners feel that . with buildings at the time that seismic deficiencies
compliance with prevailing building codes and are corrected. For this reason, architects generally
standards is adequate for.. theirpurposes. Few have had, and will continue to have, an important
recognize that these ar~ prescriptive standards and, role in seismic retrofit work.
at best, merely imply an unspecified level of' . Performance-based design requires a change in
seismic performance. Owners rely on design perspective on the part of architects. It is
professionals--architects and engineers--and important for architects
.. l'C.--
~.
to learn
.'
more of the details
I'

building officials to select, apply, and enforce of ~e functional aspects of a}iCility so that they
appropriate design criteria for their projects. A can assist owners in making decisions about
similar situation applies to the retrofit and . performance goals. Fot example, certain
rehabilitation of buildings; Th;~ptive codes equipment may be essential for the continued
in place today normally allow for repairs, operation of a facility after earthquakes, while
additions, or alterations to buildings provided that other systems could sustain damage without
any new construction conforms to current code seriously impeding building functions. In addition,
requirements. Changes to the building must not some concrete buildings may be historic
structures. Historic preservation can often impose
diminish its strength or, specifically, its ability to
resist seismic forces. Building owners, again, have restrictions on the 'type and extent of seismic
relied on' design professionals and building retrofit measures that may be performed.
officials to work out the specifics of these Table 2-1, adapted from Architectural Practice
requirements for rehabilitation or retrofit projects. and Earthquake Hazards (eSSe 1992), provides
Performance objectives form the basis of the guidance for architects seeldng to improve their
methodology for evaluating and retrofitting practice in seismic hazard mitigation.
concrete buildings. Building owners must be
informed about the alternatives for each specific
building. Performance-based guidelines. give
building owners the flexibility to coordinate
seismic performance goals with other goals for the
use of their facilities. The ~ereI:l.t uncertainty
J>'

Chapter 2, overview.
- ~ .
SEISMIC EVALUATION AND REY'ROFIT dF' CONCRETE Bun.DINGS

.' .. .Table 2-1•... options..ForImpl"ovlngArchitectul"aJ.seismic-Design-practice --_. -------.- .---.,

. participate in post earthquake site visits to examine damage and study patterns' .
of building behavior.

. Ensure tJ::l;3t conceptual andschematic designs are developed With joint


.i:ltchiteetleifQineer participation. .

(
.. Develop formal architeettengineer interaction tecnntques todeat with basic
seismic issues, such as a professional interaction guide for all critical aspects of (
design (site characteristics, configuration, structural system and performance, (
and nonstructurat components). (
(~
.. seel< appropriate compensation for seismic design (based on defined scope of
work and servlcesi,
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.. Educate builderS on seismic design issues.Encourage owners to discussseismic (
design issues with builders.

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There is no checklist with true-or-false (
2.2.3 Building 'Officials responses in a performance-based design. It
The capabilities of building officials and requires some flexibilityon .the part of building
building departments throughout the state of departments in their plan checking and review
California vary widely. In urban jurisdictions, procedures. Complicated evaluation and retrofit (
some state agencies have relatively, large building projects for concrete buildings may ultimately be
departments, which often include technical staff. approved by a general consensus among the
Smaller cities and counties may rely on private designers, peerreviewers, and building. officials.
sector engineers and architects to check design This is quite different from normal building !
drawings as part of the permitting process/The department operations. Performance-based design, (
shift from prescriptive standards to those based on in general, and seismic evaluation and retrofit, in (

performance is a major change for building particular, benefit greatly from the involvement of (
officials. Performance guidelines demand a lot of building officials early in the process and on a (

judgment on the part of design professionals, peer continuing basis. A basic understanding and spirit (
reviewers, and building officials. of cooperation can be developed from the (

beginning, and building officials can determine (


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Chapter "2, overview (

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Seismic Design Approaches

---'Prescriptive Performance ."

Building codes; Basic Format Safety/damage/downtime goals


checklists for specific seismic hazard

Owner's Choices
Umited MUltiple

Familiarity of Relatively new concept


Routine
Architects/Engineers

Directly applicable New Buildings Supplemental enhancement


to prescriptive

Partially applicable Existing Buildings Fully applicable


but limited-

Plan check normally Review


Peer review
sufficient Requirements "normally required

Traditional ., Design Effort/Cost

Chapter 2, overview" "


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SEISMIC EVALUATiDN AND RETROFIT OF' CONCRETE BUILDINGS
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early on whether they will need the assistance of an concrete buildings make it vitally important that (
outside peer reviewer or whether they-might be.able.. experienced engineers. actively participate. in the
to handle some or all of the review with their own modeling and analysis process. Extensive (
I.,
staff. communication with and guidance from those who
(
can'fnterpret overall structural behavior is required (
2.2.4 Engineers to avoid unrealistic .results, If the results do not (
For many years engineers have been using make sense, there is a good chance they are not i
unrealistic simplified static lateral force procedures right. Modem analysis techniques can only (
to design buildings to resist seismic forces and augment the experience and intuition of a qualified T'
displacements. While traditional methods can result engineer when it comes to understanding the (
in adequate designs, they obscure a basic seismic behavior 'of concrete buildings. l
understanding of actual structural behavior and (
(
performance during earthquakes. Most engineers in 2.3 Getting started
California, particularly those experienced in seismic The following sections of this chapter
retrofit work, are capable of grasping the basic constitute the general methodology for the seismic
principles of the hew procedures' emerging for (
evaluation and retrofit of concrete buildings. This
evaluation and retrofit. However, the majority are chapter takes the reader step-by-step through the (
still unfamiliar with these new methods. The entire process, following the 12 steps indicated in
effective use of the new procedures requires a basic the "Step-by-Step" sidebar on the following page. (
understanding of structural dynamics, ductility, and Along the way, the purpose and use of each of the ~
inelastic behavior of structural materials. Since subsequent chapters emerges. & with 'other design (
these procedures are relatively untested, peer and analysis processes, the path to a solution is not
review becomes an important part of the process. (
always direct. Reconsideration, changes, and
Many individuals are understandably anxious when recycling through the steps are to be expected.
others review their work. For this reason, peer (
(
review should happen early in the process with a (-
cooperative and collegial attitude on the part of all
involved.. .
Initiate the PI'"cess I.
A building .owner might choose to' evaluate and (
Performance-based design requires effective
communication among the engineer, the architect, possibly retrofit an existing concrete building for a
(
and the building owner. The engineer must number of reasons. In the past, collapse prevention (

carefully explain the alternatives for performance and the reduction of the risk to life safety for (
objectives and the implications for costs. In many occupants have been the primary goals; for most l

instances, engineers are accustomed to "staying in "Voluntary retrofits. In the future, life safety will
the back room" and deferring to their architectural remain the primary objective motivation for
colleagues when it comes to communication with evaluation and retrofit. Increasingly, however,
the owner. This traditional arrangement impedes building owners recognize the benefits. of better
the effectiveness of seismic evaluation and retrofit seismic performance in mitigating potential
projects. ,-" .economic. losses as:. well. This._'"is particularly true
.Jf. .• " '.- . f:·...
'.. with respect to the.loss of income from a facility (
Within many engineering offices, younger
engineers, more familiar with computer software that fails to function after earthquakes.
and structural modeling techniques than their Seismic issues are rarely the sole consideration
mentors, do the detailed structural analyses. The for the scope of a change or addition to an existing (
complexity and uncertainty inherent in the behavior building. Seismic performance evaluation and (

of many structural elements and components of improvement may be secondary considerations of a (


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Chapter 2~ Overview
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SEISMIC EVALUATION AND RETROFIT Oi= CONCRETE- BUH..DI.NGS

-·-----.,--Step by' Step ---- - ..- _._-.'._ ....-..... _.. -_..


~ __.- -- _.._...._..

S Initiate the process o ~Pertinent

IT]
Chapters
T Jurisdictional Requirements
Architectural Changes
R Voluntary Upgrade
A Select Qualified Professionals
T
E
~ Structural Engineer
Architect
Establish Performance Objectives
0
G
y ~ Structural Stability
Limited Safety
life Safety
D : f aControl
CB0
Imm . te Occupancy
Review Building Conditions

[1] Review Drawings


Visual Inspection
0CD
Prelininary Calculations
Formulate a Strategy

ffiJ Simplified Procedures


Inelastic Capacity Methods
Complex Analyses
~
Begin the Approval Process

C ·ffiJ Building Official


Peer Review
Conduct Detailed Investigations
®:D
0
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[I] Site Analysis
Material Properties
Construction Details
0:D
C Characterize Seismic Capacity

~
E Modeling Rules
CD®§
Force and Displacement
p
Determine Seismic Demand
T
[[] Seismic Hazard
Interdependence with Capacity
Target Displacement

Verify Performance
+ [9
D
Global Response Limits
Component Acceptability
Conceptual Approval
~

E Prepare Construction Documents

T [] Similarity to New Construction


Plan Check
Form of Construction Contract
®:D
A
Monitor Construction Quality

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Submittals, Tests, and Inspections
(2)
L Verification of Existing Conditions
Construction Observation b Desi er
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'r 2, overview 2·7


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~j~lr~~6J:l~~ ert;;;; un~n for any , best" to follow a selection procedu, (sin
number .of reasons. Even if seismic performance...._:;+-- ---f.oll.owina:
. , 0 . .
improvement is the primary motivation, it is wise 1. Generate a list of potentially qual.. I. «>
to consider a broader potential scope at the candidates. This can be from past e. lerif
beginning ofthe project. Potential considerations and general familiarity on the part ot ).s\0\-
include the following: or from references from others who ha 'if
• Fire and life safety improvements similar projects. Public agencies' may dex lOp
request for qualifications announcement Wi .
• Hazardous material abatement
minimum criteria specified. \
• Disabled ~ccess improvement
2. Request written submittals of statements of
• Change in programmatic use qualifications. The request should state the
• Functional improvements preliminary scope of the project to the extent
'. possible.
• BUildin~:~ysten;s improvements
3. Select several qualified candidates to submit
• Historic preservation formal proposals; In some cases's available
Some of these are voluntary and may simply drawings or other documents might be
make sense to include. Others may be required by provided to the proposers. Site visits are also
law when changes are made to a building. beneficial.
Jurisdictional requirements vary, and it is prudent
4. Interview one or more of thri cmdidates on the
to make conservative assumptions early in the
. I basis of a review of the proposals. The
process. Theactual scope may not emerge until
interview is an opportunity to imagine the.
later in the project, when more information
working relationship between an owner and tl
becomes available. The expert advice of design
. potentialdesign team. Are the personalities
professionals, including an architect and an
compatible? Even if qualifications are
engineer, is normally needed to finalize the scope
excellent, the relationship between the owner
of a project. -Table 2-2 is a guideline to issues
and the consultants must also be -conducive tc
pertinent to the rehabilitation and retrofit process
success.
scope of work. ,
5. Thoroughly check references on similar
Slf!lect Quali#ied projects. Ask references specific questions
about the performance of the candidates and
pJ:oFessiDntlls about the results of the job:
Some owners have ongoing relationships with
6. Make a selection and negotiate acontract,
design professionals whom they know and trust.
Keep in mind that the scope may change on
Others may never have dealt with architects or
the' evaluation and retrofit strategy is
engineers. Public agencies are required to select
developed in the initial stages'of the projec
project teams-according to prescribed procedures.
In any event, the careful selection of qualified This' selection process can be tailored to th
professional assistance is more important with the needs of individual projects. In most cases, at
evaluation and retrofit of existing concrete of design professionals led by either an archite
buildings than with most other projects. This is structural engineer is sought In some cases, a
because of the complexity of the building type, the structural engineer might fill the role without
uncertainties of earthquake technology, and the . architectural assistance. An example 'would be
. _:,.~.}Vp"en. a; Pr.~limi:p.ary,',S~dYi to determine deficit
lack of establishedprecedents indesign and"
analysis methodologies. Therefore, it is usually and develop conceptual remedial structural

Chapter 2, OVE
SEISMIC EVALUATJON- AND -RETROFIT OF CONCRETE BUU.DINGS

Table 2-2. Seismic l!~sign (:hecklist fO Facilit;1t.e,l.;JrchitectiEngineer Interaction

structural stability
Limited safety {structural>
Hazards Reduced (non structurall
Life safety
structural
Nonstru ctural i

Damagecontrol
Immediate tcontlnuern Occupancy
Continued post earthquake function

Near fault
Ground failure possibility [landslide,
liquefaction, subsidence) -
Soft soil (long periods, amplification,
duration)

vertical discontinuity
soft story
Setback
Offset
Resistance elements
Plan discontinuity
Adjacency-pounding possibility
Dynamic resonance
Diaphragm flexibility
Torsion
Redundancy
Deformation compatibility
out-of-plane vibration
Unbalanced resistance
Resistance location
Driftlinterstory effects
strong column/weak beam condition
structural performance
Ductility
Inelastic demand
Constant or degrading stiffness
Damping

Chapter 2,OVerviEiJw
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Table 2-2 (Continued) Seismic Design Checklist to Facilitate A,rChite.ct/e.ngineerInteraction

Energy dissipation capacttv


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Yield/fracture behavior -. (

special system (e.g., seismic Isolation) (


Mixed system
Repairability
Up-slope or down-slope conditions,
collapse-hazard buildinQs nearby
(
Cladding, glazing
Deformation compatibility (
Mounting system
(
Random infill
Accessibility <lifelines, access/egress) (

Height - .~;:.~
(
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Size effect
Architectural concept
ceiling attachment
Partition attachment
Rigid
Floating
Replaceable partitions
stairs
Equipment (Mech.lElec}Plumb.l (
special equipment
Computer/communications (
I
equipment
special building contents
(

Source: Architectural Practice and Earthquake Hazards (CSSC 1992). (


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2-10 Chapter 2, overvieW
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measures is sufficient. An architect might be hired ascertain the .cost of attaining that level of
later,. as.the situation dictatesc.ln.either.case, the.... performanceearly.in, the. project. .The. architect.and
qualifications of the structural engineer.are the engineer are not starting with a clean slate as with
most pertinent to the seismic evaluation and a new building. What are the strengths and
retrofit process. The key requirements are: deficiencies of an existing building? How
.. Demonstrated experience in the analysis, compatible are these with the owner's objectives?
design, and retrofit of concrete buildings in Is it worth while to spend a lot of money on
seismically. hazardous regions sophisticated analyses? Is it better for the owner
to simply accept the performance that can be
.. Basic familiarity with the principles of economically attained? These and other questions
performance-based seismic engineering and can only be answered as the project unfolds.
design Recognizing this at the start and planning a
.. Experience with inelastic analysis procedures flexible strategy to adjust to information as it
and thorough understanding of reinforced emerges are the keys to success.
concrete materials behavior
.. Fundamental grasp of structural dynamics and .Establish PerFDrmance
the behavior of structures subject to strong Dbjec-cives
ground motion At 'the beginning of an evaluation 'project, the
+ Registration as a structural engineering design team should meet With the building owner
authority in California to discuss seismic performance objectives. These
There are some very qualified engineers in the are presented in detail in Chapter 3. Thepurpose
state who do not necessarily have all of the primary of these initial meetings is to review with
credentials above. This does not mean that they the owner the various options for seismic
should be eliminated from consideration. An performance. It is important to remember that
example might be an engineer with a small . . attaining a performance objective consists of
practice who has a good working relationship with achieving a certain level of performance for a
a building owner. This individual might be specific level of seismic hazard. Chapter 4
perfectly capable of coordinating and . contains a detailed treatment of seismic hazard
implementing a fairly sophisticated evaluation and from ground shaking and addresses the potential
retrofit design with the assistance of an expert for ground displacement due to liquefaction,
subconsultant with supplementary qualifications. surface faulting, and landsliding.
The consequences of earthquakes on buildings
2~4 . Basic: Evaluntian nnd can be categorized into three types of losses:
Retrofit strategy • Life Safety: deaths and injuries to building .-
occupants and passersby
For the construction of anew project, the path
from start to finish is fairly clear from the + Capital Losses: costs to repair or replace the
beginning. The owner has a good idea of what a building or its contents
new building should be like, and with a little + Functional Losses: loss of revenue or
advice, the cost is fairly easy to estimate. increase in expenses related to the inability of
However, the course of an existing building a facility to function normally after
evaluation and retrofit project is often very earthquakes
different from that imagined at the outset. An
owner might have an idea about the desired
seismic performance, but rarely is it easy to

Chapter 2, overview 2·11


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The level of performance for a building during- engineer should also consider the potential site
.earthquakes is. measured.by, the.nature.and.extent ,.. . , hazards.covered. m-Chapter-4_-------- ----
of these potential losses. Obviously, the level of At some point during this initial process, (
performance is affected by the strength of each . another meeting or series of meetings usually takes (
earthquake. It is reasonable to expect that a place with the building 'owner, engineer, and (

building remain safe, i.e., not cause life loss, for architect. On the basis "ofthe preliminary field (
rare large earthquakes and that it remain usable for investigation, the engineer can often qualitatively
more-frequent moderate events. A performance describe to the owner what it might take to meet
objective is a goal that a building achieve a certain preliminary performance goals. In light of these
level of performance for a specific level of seismic discussions, the owner and design team might .
ground shaking hazard. An owner might decide decide to revise or augment the performance
that the goals for a 'building should' be to remain objectives. For example, if a building owner is
life safe for the Maximum Earthquake hazard level initially interested only in life safety; the engineer
and functional after a Serviceability Earthquake' may be able' to determine from preliminary
hazard level event. " investigations of the building that a performance
It is important that building owners understand, goal. beyond life safety could be achieved without a
that the process of seismic evaluation and-retrofit . much greater investment. Of course, in many ,
is a: risk-reduction process. The goals that owners cases the opposite course must be taken: "
select for building performance are just " performance goals and expectations may have to (
that--goals. Qualified design professionals who be lowered on the basis of what is determined in
sense this Understanding in their. clients can be
"_.,
the field. Supplemental detailed investigations of (0
extremely effective in helping owners to manage existing conditions may be required at a later stage
risk and deal with uncertainty. They will be less in the process. '
effective, on the other hand, for poorly informed
clients who try to transfer risk: and ,who expect
"guaranteed" building performance. ' pc,mulelte' a stl'Dtegy
After the owner revises or confirms the
performance objectives, the design team should
Review Bunding develop a plan for the detailed evaluation and
Conditions possible retrofit. There are many possible
Chapter 5 provides detailed guidelines for a alternatives to mitigate seismic risks, as discussed
preliminary investigation' of a building by an in Chapter 6. The owner should continue to
engineer. This process normally involves a site remain involved during this planning process.
visit to physically inspect the building and a search This document presents relatively. new
for and review of existing drawings or other technology that allows engineers to gain a more
documents that may describe the structural realistic picture of the: potential seismic
characteristics of the building. The structural performance characteristics of buildings. These
engineer might also do some preliminary . nonlinear static procedures constitute an inelastic
calculations to determine whether any of the analysis that considers what happens to buildings
features of the building are potential seismic after they begin to crack and yield in response to (
deficiencies in terms of the preliminary realistic earthquake motions. This approach differs (

performance goals; Chapter 5 includes from traditional linear static procedures that (
recommendations on the types of information that reduce seismic forces to levels that allow engineers (

the engineer should compile. At this point, the to design buildings under the assumption that they' (

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Chapter '2, Overview (

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remain undamaged. Although unrealistic and Simplified procedures generally will not identify
potentially misleading" this.simplistic.approach can, this deficiency, Simplified procedures can also
work well for new buildings and for smaller, result in overly conservative designs. This is .
simpler, and regular existing buildings. The appropriate, since the level of detail required for
advantage of the newer, nonlinear static analysis in the simplified procedures is less
procedures, when applied to existing buildings, is extensive than that for the more sophisticated
that they credit the good features of buildings at approach, so the additional conservatism is
the same time that they identify deficiencies. In warranted. In some cases, however, this additional
spite of its improvements over traditional analysis, conservatism can result.in excessively high
this new approach may not be appropriate for all construction
. costs. Also a consideration
-~ . is the
buildings. , ' potential for disruption and possible closure of
Some buildings may be too complex to rely on buildings for retrofit. The simplified procedures
the nonlinear static procedures. These cases may tend to require more-extensive retrofits and are
require time history' analyses of the nonlinear more likely to cause disruption andlor the need for
behavior of structures during example vacating buildings.
earthquakes. The kinds of buildings that may Another situation where use of simplified
require these specialized analyses are those that procedures is appropriate is when existing
are highly irregular or complicated. Other structural systems are so inadequate that complete
examples of building systems that may necessitate new systems must be installed in any event. In this
more-sophisticated analysis are energy dissipation case. the simplified procedure does not give up
or base isolation systems. ' much by neglecting the strength of existing .
At the other end of the spectrum are simpler systems. Also, if architectural considerations and
buildings for which use of nonlinear static.analysis historical restrictions are not significant, the
is not necessary. Although there are no hard and freedom of placing resisting elements where they
fast rules to identify them, buildings that possess are most effective can provide an opportunity for
one or more of the following characteristics should simplified procedures. Furthermore, if a building
be considered candidates: '; is highly redundant, not particularly irregular, and
• Small size of good construction quality, the scope of retrofit,
even if determined' by simplified procedures, is
+ Low-rise (one or two stories) likely to be small, and the benefits of more-
• Uncomplicated (regular) structural systems sophisticated analysis may be relatively
+ Highly redundant lateral force resisting system insignificant.
Simplified procedures have the advantage that
+ Low occupancy most engineers currently find them easier to use
For those cases, use of simpler, linear elastic than the new, nonlinear static procedures outlined
analysis procedures may be sufficient: There are a in this document. This is because the simplified
number of such procedures, briefly reviewed in procedures more closely parallel the design
Section 804.1, that may be utilized, depending on approaches that have traditionally been used in
the specific characteristics of-a given building. structural engineering practice. It will take time
In some cases, however, the simplified for engineers to assimilate the new procedures.
procedures do not identify specific seismic In addition, the simpler analysis procedures
deficiencies. For example, in shear wall buildings lead to lower costs forevaluation and retrofit
the columns can be subject to excessive design fees. In a competitive market, the lower
displacement and potentially fail when the shear design cost approach is attractive to owners.
walls begin tocrack or rock at the foundation. However, professional fees are not the critical cost

Chapter 2, overvie,:"
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consideration in seismic evaluation and retrofit. In more information about the specific characteristics
the long run..:..
-OFners_will.begin.to recognize rhe, .... _of a particular building~[O.ne..oLthe.reasOD..S.,.thaL_._ ....
benefits of the better information obtained from' careful planning and approval by all involved are (
use of the more sophisticated analysis procedures. important in the early stages of the project is that . (
Better information leads to much-mere-significant these tests and inspections often can be expensive. (

economy in the reduction of both construction Some ofthe detailed options are reviewed in (
costs and actual earthquake losses. ChapterS• .
In some cases the lack 'of drawings and other
B~,gin the Approval documenration for a particular building may
Process significantly affect the selection of an evaluation
procedure. In fact, simplified procedures may be
Once a plan for the evaluation of the building
most appropriate for buildings about which little is
is formulated, the basic strategy should be
known. In- these cases it often can be most cost-
reviewed in detail with the building official. This
effective to simply provide a completely new
sequence is somewhat different from that for .
seismic force resisting system rather than try to
traditional design and construction, where the
thoroughly investigate and document existing -
building official sometimes is not:consulted until
conditions for more-sophisticated analyses.' .
the end of the design process, The complexity and
The activities up to this point in the overall
uncertainty inherent in the seismic evaluation of
evaluation of the retrofit process can beviewedas
concrete buildings demand much greater
a strategic planning effort. The complexity and
collaboration between the design team. and the
uncertainty involved in the overall process make
building official. At this point in the planning
this stage extremely important in controlling both
process, the extent of the required peer review for
the costs and the quality of the work: In some .
the project should be discussed. The scope of the
instances. the resulting plan may allow for .
peer review depends on' a number of factors,
contingencies and changes based on what is
including the complexity of the building itself ana
discovered later 'on, For example, a nonlinear
the proposed. evaluation procedures, the ability of
static procedure may be considered' the most (
the building department to understand and review
the evaluation and retrofit design, and the
effective analysis procedure in the beginning. C
However, detailed investigations of field (
capability and experience of the structural engineer (
conditions might lead to the conclusion that a
and design team. In most cases it is advisable to (
simplified analysis could economically satisfy the
. have a peer review panel. engaged early to evaluate
performance- goals. -.
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the strategy for the evaluation and retrofit. In some
e
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instances, however, it may be acceptable to forego


formal peer review until the completion of the
2.5 Evaluation and Retr.ofit
evaluation and a conceptual design. Chapter 7
con:cept _ ' . ".
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covers some of the more detailed aspects of the The essence of virtually all seismic evaluation (
peer review process and other quality control procedures is a comparison between some measure
measures. of the "demand" that earthquakes place on a .
structure to a measure-of the "capacity" of the I
building to resist. Traditional design procedures (
CDnduce DetD/led characterize demand and capacity as forces. Base
Investiga~iDns shear (total horizontal force at the lowest level of (
the building) is the normal-parameter that is used
The plan for the evaluation and retrofit process
for this purpose. The engineer calculates the' base
often includes detailed tests and inspections to gain (
shear demand that would be generated by a given
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earthquake, or intensity of ground motion, and demand to the capacity of a structure. This
compares.. this.to.the. base .shear-capacity .of.the. ._.. _.- - -' --_.. approach..includes consideration-ofthe ductility of
building. The capacity of the building is an the structure on an element by element basis. The
estimate of a base shear that would be inelastic capacity of a.building is then a measure
"acceptable." If the building were subjected to a of its ability to dissipate earthquake energy. The
force equal to its base shear capacity some current trend in seismic analysis is toward these
deformation and yielding might occur in some simplified inelastic procedures. Chapter 8 is a
structural elements, but the building would not detailed presentation of how they are used to
collapse or reach an otherwise undesirable overall compare the capacity of a structure to the demand
level of damage. If the demand generated by the imposed on it by a given ground motion.
earthquake is less than 'the capacity then the design
is deemed acceptable.
The first formal seismic design procedures
recognized that the earthquake accelerations would .
generate forces proportional to the weight of the
building. 'Over the years empirical knowledge
EI Characterize seismic
capacity
The recommended central methodology in this
document concentrates on the formulation of the
about the actual behavior of real structures in ,
inelastic capacity curve for the structure as
earthquakes and theoretical understanding of
structural, dynamics advanced. The basic procedure presented in Chapter 8. This curve is a plot of the
was modified to reflect the fact that the demand horizontal movement of a structure as it is pushed
generated by the earthquake accelerations was also to one side. Initially the plot is a straight line as
a function of the stiffness of the structure. the structure moves linearly. As the parts of the
structure yield the plot begins to curve as the
Engineers also began to recognize the
inherently better behavior of some buildings over structure softens. The engineer generates this
others. Consequently, they reduced seismic curve by building a model of the entire, structure
demand based on the characteristics of the basic from nonlinear representations of all of its
structuralmaterial and systein. The motivation to elements and components. Most often this is. t.,

reduce seismic demand for design came because accomplished with a computer and structural
engineers could not rationalize theoretically how analysis software. Using-the modeling rules of
structures resisted the forces generated by Chapters 9 and 10 the engineer specifies force
earthquakes. This was partially the result of their and displacement characteristics for each piece of
fundamental assumption that structures resisted the structure resisting the earthquake demand.
loads linearly without yielding or permanent These pieces are assembled geometrically to
structural, deformation. represent the complete lateral load resisting
An important measure-the capacity of a system. The resulting model is then subject to
structure to resist seismic demand-is aproperty increasing increments of load in a pattern .
known as ductility. Ductility is the ability to determined by its dynamic properties. The '
deform beyond initial yielding without failing corresponding displacements define the inelastic
abruptly. If a pencil is bent up to and beyond its capacity curve for the building. The generation of
yield point, it snaps. In contrast, a coat hanger the capacity curve defines the capacity of the
deforms permanently way beyond its initial yield. building uniquely and independently of any
It is ductile compared to the pencil. This property specific seismic demand. In this sense, it replaces
is a critical component of structural capacity. the base shear capacity of traditional procedures.
Instead of comparing forces, nonlinear static
procedures use displacements to compare seismic

Chapter 2, Overview
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SEISMIC EVAl.UATION AND RETROFIT' OF COrn:RETE BUILDINGS

":1

Evolution of Seismic De~ign


+f- d Earthquake
Displacement

v
Lack of Knowledge
Historical Approach on Earthquake (
Demand and (

Earthquake forces proportional to Building Capacity


(
building mass
'(V des =5-10% of WL), (
• Linear design using "factors-of
, safety" to account for uncertainty
- iu earthquake, pemand and
building capacity

Traditional Code Basis v


Elastic earthquake forces reduced for
linear design _
(V d.. =V max. I R) (
R. varies based' on typical inelastic
response of structural types

Reduction justified by expected Inelastic


ductility, 11 IDOX I 11 yield Response
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yield
, Current Trend (
Sa Demand Reduced Based
\-
Inelastic earthquake demand based on, on Inelastic Capacity

_---tIl::--m--~m1mng
inelastic capacity of building
l
Resolution of demand vs, capacity
generates Performance Point
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• Design based on displacement,
A des
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Chapter 2, overview
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!3EISMI't .EVALUATI.ON AND RETROFIT OF CONCRETE BUILDINGS'

::

When an earthquake displaces the building case as most analyses include some inelastic
laterally,..its..response is represented bya..point.on nonlinear behavior. _.. .
this curve. A point on the curve defmes a specific To find the point where demand and capacity
damage state for the building, since the are equal, the engineer assumes a point on the
deformation of all of its components can be related. capac~ty spe.ctrum as an initial estimate. Using the
to the global displacement of the structure. spectral acceleration and displacement from this
point, the engineer then can calculate reduction
~ Determine seismic: factors to apply to the 5 ~ elastic spectrum to
. . . Demand account for the hysteretic energy dissipation
associated with the .specific point. These reduction
The capacity of a particular buildirig and the
factors have the effect of pulling the demand
demand imposed upon it by a given earthquake
spectrum down. If the reduced demand spectrum
motion are not independent. One source of this
intersects the capacity spectrum at or near the
mutual dependence is evident from the capacity
initial assumed point, then it is the .solution for the
curve itself. As the demand increases the structure
unique "performance point" where capacity equals
eventually yields and, as its stiffness decreases, its
demand. If the intersection is not reasonably close
period lengthens. Conversion of the capacity curve
to the initial point, then the engineer can assume a
to spectral ordinates (ADRS) outlined in Chapter
new point somewhere between and repeat the
8 makes this concept easy to visualize. Since the process until a solution for the performance point
seismic accelerations depend on period, demand is reached.
also changes as the structure yields. Another Chapter 8 also presents an alternative for
source of mutual dependence between capacity and
estimating the "performance point" where capacity
demand is effective damping. As a building yields
and demand all equal for a given earthquake
in response to seismic demand it dissipates energy motion. The proposed federal guidelines (ATC,
with hysteretic damping. Buildings that have large,
1996a) presents one of these called the
stable hysteresis loops during cyclic yielding
Displacement Coefficient Method. It uses a series
dissipate more than those with pinched loops
of coefficients to modify the hypothetical elastic
caused by degradation of strength and stiffness.
response of a building to estimate its inelastic
Since the energy that is dissipated need not.be
displacement demand.
stored in the structure, the damping has the effect
of diminishing displacement demand.
Chapter 8 devotes much attention to the
development and presentation of the Capacity
Spectrum Method. The Capacity Spectrum Method
·m Verify Performance
Once the performance point for a demand
characterizes seismic demand initially using a 5 % earthquake is estimated, the engineer checks the
damped elastic response spectrum as detailed in resulting performance of the building using the
Chapter 4. This spectrum is plotted in spectral . acceptability criteria in Chapters 10 and 11. The
ordinates (ADRS) format showing the spectral performance is checked on two levels. First, there
acceleration as a function of spectral displacement. are global-limits for displacement of the structure
This format allows the demand spectrum to be for each performance objective. For example, the
"overlaid" on the capacity spectrum for the roof of a building might move four inches during
building. The intersection of the demand and . ' , " 1 ,..,.,. an earthquake for· which it should be life safe. For
capacity spectra, if located in the linear range of the same building the total roof displacement
the capacity, would define the actual displacement might be limited to two inches for a more frequent
for the structure; however this is not normally the earthquake in order to meet a damage control

Chapter 2, ove~view
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.Capacity-vs: -D'emaricf-c---------------.:-------- .

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/Ra:uced seismic
demand (

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Performance ,
point (

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Chapter 2, overview (

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SEISMIC EVALUAY·ION AND RETROFIT OF CONCRETE EUULDINCS

performance goal. Similarly, the. engineer checks the engineer can pinpoint deficiencies within the
individual. structural elements.against acceptability.. :_- ... structure., This.facilitates.a.directed retrofit. strategy.
limits which depend on the global performance >. that is both effective and cost efficient.
goal. The nature of the element acceptability limits In order to meet some or all of the performance
vary according to the specific element. Inelastic' goals for abuilding, retrofit may be required to
rotation is the acceptability parameter for beams, improve performance. If the performance goals are
for example. The limits on inelastic. rotation are . met by the existing structure then retrofit may not
recommended based on observations from tests and be necessary. There are several strategies to
performance in past earthquakes. A similar, though develop appropriate retrofit measures as discussed
somewhat more qualitative procedure measures the . in Chapter 6. The choice depends on the type of
acceptability. of nonstructural components. structure, the nature of the deficiencies, the
The nonlinear static procedures, including the constraints of the architecture and planning, and the
Capacity Spectrum Method, can appear to some to funds available. In some cases, the owner may
be tedious and complicated compared to. traditional decide to accept lesser performance in deference to
design procedures. There are, however, some these constraints. The effectiveness of a selected
distinct benefits. retrofit strategy is tested by adding or modifying
First, the entire process of generating the elements in the structural model, then re-analyzing
capacity curve and dealing directly with the the model as before. Often several different
interdependence of capacity and demand gives the strategies are investigated before settling on a
engineer a greatly enhanced understanding of the preferred concept.
actual performance of the specific building. This
enables the engineer to apply the necessary 2 ..& Fingl Design and
experience and judgment at a much more refmed construction
level than traditional procedures.
This document concentrates on the conceptual
Also advantageous are the significantly more
phase of seismic evaluation and retrofit projects. In
useful results of the analysis. The performance
reality, the detailed design work represents a major
point at which the seismic capacity equals the
portion of the effort and occurs after the owner's
demand characterizes performance as a specific
preferred concept is developed. This process,
building damage state for a specific earthquake
however, is similar to that for conventional'
intensity. The probability of occurrence of the
construction of new buildings.
earthquake intensity defines the risk of occurrence
for the damage state.

m
Although the accuracy of this estimate is limited
by unavoidable uncertainties, this explicit Prepare Construction
relationship between performance and risk is Documeni:s
superior to the implicit intent of current code The structural details for the retrofit typically
procedures. Component deformations, directly conform to code requirements for new work. As the
related to damage, are a much better parameter than design continues, the peer reviewer checks to see
forces for performance evaluation. In contrast to that the approved concept is faithfully implemented
force-based traditional methods, the damage state by the engineer, as discussed in Chapter 7. These
from nonlinear static procedures characterizes the reviews usually occur at the end of the design
deformation of building components for comparison development phase and near the completion of
with acceptability criteria depending on the desired construction documents. Before issuing a permit for
performance. With the tabulation of the construction, the building official will normally
acceptability of individual element deformations, have a plan check made of all project documents.

Chapter 2, overview
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In the absence of legal restrictions, the form of


.contract for retrofitconstruction.may be. one. oL....
many, similar to new construction. Lump sum
- m;
· ,!,~n1..t~1' conse,uction,
-l,1u~/'ty·-------------

The actual seismic performance of buildings is


._....
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bidding is best suited to projects where the existing (
conditions of the building are relatively welllmown extremely sensitive to construction quality. This is (
especially true for .retrofitted buildings. Field
and the retrofit measures comprise. normal
conditions in existing buildings routinely vary from
(
construction practices. Where field conditions are .(
uncertain or retrofit measures are innovative or those shown on drawings or implied by visual (.
unique, a construction management approach can be inspections during the evaluation process. These 'f
very effective. In fact, engaging a contractor during changes can,have significant impact on retrofit
design can often provide valuable assistance to the designs. Some retrofit techniques are sophisticated
~d require special inspections and tests. It is vitally
engineer, in the selection of cost-efficient retrofit (
techniques and details of construction. A unique Important that the engineer prepare a project-
specific construction quality assurance plan. The (
contractual arrangement. may be appropriate- in (
some cases--for instance, where there are plan should identify required jests, inspections,
submittals, and personnel qualifications. The
(
specialized retrofit procedures, such as seismic (

isolation or energy dissipation devices. engineer of record should make. regular inspections
. . and receive immediate .notification of any field
"j problems,

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2-20 Chapter i~ overview


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building performance levels are given titles and are complete back-up utility systems could be put in
escribed.below. ,., ",.,._._. ., .... _ .... .., ,., codes.fot.use.of.building.designeis.Jt. may.not... be _
Commentary: The four building performance practical to attain an Operational building ,
.vels; Operational, Immediate Occupancy, Life performance level without significant
~afety, and Structural Stability; are 'given' titles facility-specific input from the owner-operator.
.onsistent with the titles of their structural and + Life Safety, 3-C: This level is intended to
-mstructural components. Reference can also be achieve a damage state that presents an
made to their SP-NP designations, I-A, I-B, 3-C. extremely low probability of threats to life
-id5-E. Rather than developing titles for all other safety, either from structural damage or from
combinations, some of whicb will seldom be falfug or tipping of nonstructural building
- nployed, it is recommended that the SP-NP components. User-furnished contents,
designations be used. however, ar:e not controlled, and could create
... Operational, I-A: This is the performance falling hazards or secondary hazards, such as
level related to functionality. Damage to the chemical releases or fire. This performance
building's structure is limited so that continued level is intended to be less than 'the
safe occupancy is not in question, and any performance that is expected of code designed
required repairs are minor and can be carried new buildings.
out without significant disruption to occupants. + Structural Stability, 5-E: This damage state
Similarly, damage to nonstructural systems and addresses only the main building frame or
contents related to functionality is minor and vertic~ load carrying system arid requires only
will not jeopardize functions in the building. stabi.Iji:y under vertical loads.. No margin
'Most importantly, vital servicesfrom outside against collapse in aftershocks may be
the building such as utilities, transportation, or . available. Life threatening external or internal
communications must be provided withback-up falling hazards from cladding,' nonstructural
facilities or planning as required to allow finishes, or 'even structuraldamage may have
functions to continue if these services are occurred. Review of performance of
unavailable. Since important aspects of this nonstructural elements from' expected forces or
performance objective involve contingency structural 'drifts is not required so their
planning and design of back-up systems, performance can be' highly unreliable,
development of acceptability criteria is not
included in this document. + Other Commonly Used 'Combinations
Immediate Occupancy, I-B: This corresponds o Building Performance Level 3-D: This
to the most widely used criteria for essential level combines life safety structural
facilities. The building's spaces and systems are performance with the reduced hazard
expected to be reasonably usable, but continuity nonstructural performance, thus accepting
of all services, either primary or backup, is not a slight risk to life safety from
necessarily provided. Contents may be nonstructural systems. Although large and
damaged. highly vulnerable nonstructural elements
should remain in place, the majority of
Commentary: Although most codes require
nonstructural elements such as
jairly complete and effective seismic anchorage and
mechanical/electrical equipment and
tacing for building systems and equipment, the
distribution systems, partitions, and typical
actual operational aspects of a facility are normally ,. ,

tveloped by the owner-operator. Although some


operational aspects, such as requirements for more

chclpter 3, Performance Objectives


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cleanup should be expected, all equipment and injury to groups of people, such as parapets,
.machinery. should.be..working; Ho;wever,--.-- masonry. exterior walls, .cladding,..or large, -. (
external utilities, which may not be available heavy ceilings. While isolated serious injury (
due to significant off-site damage, .must be could occur, risk of failures that could put (
locally backed up. Contingency plans to deal large numbers of people at risk within or ((
with possible difficulties with external outside the building is very low.
communication, transportation, and availability Commentary: Nonstructural elements have
of supplies should be in place. not been considered in any systematic manner in
Although this level is defined here, most retrofit work to date. Major hazards,
development of design criteria must include however, are most often mitigated. This level is
building-specific planning and back-up systems therefore an attempt to formalize common (
and is beyond the scope of this document. practice.
.. Immediate Occupancy, NP-B: The • Not Considered, NP-E: Nonstructural
post-earthquake damage state in which elements, other than those -that have an effect (
nonstructural elements and systems are on structural response, are not.evaluated.
generally in place. Minor disruption and Commentary: This is not a performance level, (
cleanup should be expected, particularly due to but provides a designation for the common case
damage or shifting of contents. Although where nonstructural elements.are not surveyed or (
equipment and machinery are generally evaluated unless theyhave .fJ. direct effect on (",I.r=
anchored or braced, their ability to function. structural response, such as infill masonry walls or
after strong shaking is not considered and some other heavy partitions. The. designation is needed '.
limitations on use or functionality may exist. to accurately describe the Building Performance
All external utilities may not be locally backed Level of Structural Stability for which
up. Seismic safety status should not be affected.
(
nonstruetural elements are; in fact, not
+- Life Safety, NP-C:. This post-earthquake considered. Also, it is included to allow it to be. (
damage state could include considerable coupled with structural level SP-4, a building
damage to nonstructural components and performance level often encountered. Furthermore, (
systems but should not include collapse or choosing not to consider nonstructural elements
falling of items heavy enough to cause severe may sometimes be a risk management approach
injuries either within or outside the building. used in combination with other higher structural
Secondary hazards from breaks in performance levels. The explicit inclusion of the
high-pressure, toxic, or fire suppression piping NP-E, plot Considered nonstructural performance (
should not be present. Nonstructural systems, level in a building performance level is also a
equipment, and machinery may not be useful communication tool between designer and
functional without replacement or repair. While owner/operator. (
injuries during the earthquake may occur, the (
risk of life-threatening injury from 3.2.3 Building Performance Levels
nonstructural damage is very low. Combinations of a structural performance level
and a nonstructural performance level form a
.. Reduced Hazard, NP-D: Thispost-earthquake Building Performance Level to completely (
damage state could include extensive damage to describe the desired limiting damage state for a .
nonstructural components and systems but building. Possible combinations are shown in (
should not include collapse or falling of large Table 3-1. The four most commonly referenced
and heavy items that could cause significant (

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Ch~Pter 3, ,performan~e Objectives 3=5· .
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SEISMIC EVALUATION AND RETROFIT OF' COlNCR'ETE" BUILDINGS'

for the situation where a 'retrofit may not meet done with caution, as this could imply a high
..all.the.structural.requirements of the, Life_ Safety__ . . pr..obabililjLojcollapse.fotany.larget: event. __.. _.-:-~_. __.
level, but is better than the level of Structural .. Not Considered, SP-6; This 'is not a
Stability. These circumstances include cases performance levekbut provides ~ placeholder
when the complete Life Safety level is not-cost for situations where only nonstructural seismic
effective, or when only some critical structural evaluation or retrofit is..performed:
.deficiencies are mitigated Commentary: Although. unusual,
(The nonstructural performance level used in nonstruetural seismic improvements are sometimes
this .range varies and will depend on the intent made with no review of the structure. This might
of the damage control). . .' occur in locations ofhigh and obvious
I Structural Stability, SP-5: This level is the vulnerability, such as at a computer room or for
lirni ting post-earthquake structural damage state. important equipment. The explicit inclusion of a
in which the' building's structural system is on Not Considered structuralperformance level in the
the verge of experiencing partial or total building performance level-is also usefula
collapse" Substantial damage to the structure communication tool between designer and 'owner. .
has occurred,: potentially including significant
degradation"hi the stiffness and strength of the 3.2.2 Nonstructural Performance
lateral force resisting-system. However, all Levels
significant components of the gravity load Nonstructural performance levels are assigned
resisting 'system continue to -carry their gravity a title and, for ease of reference; a letter. The
demands. Although thebuilding retains its letter is called the nonstructural performance letter
overall' stability, significant risk of injury due to and is abbreviated NP-n (where n is the designated
falling hazards may exist both within and.._ .', -: ';>;!\~.tteJ;"j'. -,;,\~ ·~:,;r;.' . .
outside the building and significant aftershocks ., The nonstructural performance levels '-
may lead to collapse. It should be expected that Operational, Immediate Occupancy, Life Safety ~
significant major structural repair will be and Hazards Reduced -. are discrete damage states
necessary prior to reoccupancy .. In the older and can be used directly in evaluation and retrofit
concrete building types considered in this procedures to define technical criteria. ·The other
document, it is very likely that the damage will nonstructural performance designation - Not
not be technically or economically repairable. Considered - is an important placeholder to allow
Falling' hazards are not specifically direct reference to the wide variety 'of building:
prevented to achieve this performance level. performance levels that 'might be desirable to
Therefore NP-E (nonstructural performance not owners for evaluation or retrofit.
considered) is normally combined with SP-5. Commentary: Performance levels have been
Commentary: This level is provided primarily selected to allow combinations with structural"
o enable a specific verification of continued levels that will correspond to single performance
structural stability for the maximum earthquake levels proposed by FEMA 273 and Vision 2000 and
jround motions. Although such performance is provide the flexibility to formalize de facto
" implied (SEAOC 1990) for new buildings in combined performance-levels commonly used in
Ealifomia, and is considered desirable in all practice.
seismic regions, there has previously been no .. Operational, NP-A: The post-earthquake
J ormalized method of verification. The combination damage state in which nonstructural elements
,t this structural performance level with earthquake and systems are generally in place and
ground shaking less than the maximum should be functional. Although 'minor disruption and

3-4 Chapter 3, performance 'Objectives


- -,"",--,"=",,""'
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are similar to those used in FEMA 273 (ATC reparability is so undefined that the term is no
1996a) .. These descriptions are.also.similar in__ . _.mor.e..u.sefuLthan.Damage-Contr.oLIL is expected (
concept, if not in terminology, to those proposed in that many projects may have special demands for (

the Vision 2000 Progress Report (SEAOC 1995b). which criteria greater than Life Safety will be (
.. Immediate Occupancy, SP-l: The appropriate. Although not a level, per se, it is far (c
post-earthquake damage state in which only simpler to reference this range ofperformance
very limited structural damage has occurred. levels using a placeholder. within the context of
The basic vertical and lateral force resisting standard designations (e.g. SP-2) than to formally
systems of the building retain nearly all of their . define both levels and ranges.
pre-earthquake characteristics and capacities. .. Life Safety, SP-3: The post-earthquake
The risk of life-threatening injury from damage state in which significant damage to (
structural failure . the structure
is negligible, and may have (
the building' occurred but in
should be safe for" which some
unlimited egress, margin against (
ingress, and . either total or
occupancy. partial (
.. Damage Control, structural ~

SP-2: This term collapse (


is actually not a remains, The' ~ ..

specific level but level of damage


a range of is lower than
post-earthquake that- for the
damage states that Structural
could vary from SP-I, Immediate Occupancy to Stability level. Major structural components
SP-3, Life Safety. It provides a placeholder for have not become dislodged and fallen,
the many situations where it may be desirable threatening life safety either within or outside
to limit structural damage beyond the Life the building. While injuries during the
Safety level, but occupancy is not the issue. earthquake may occur, the risk of (

Examples of damage control include protection life-threatening injury from structural damage (
of significant architectural features of historic is very low. It should be expected that
buildings or valuable contents. extensive structural repairs will likely be
necessary prior to reoccupation of the
Commentary: The Damage Control range, also
building, although the damage may not always
sometimes called Limited Damage, is' defined to .
be economically repairable. This level of
allow reference to performance levels between
structural performance is intended to be less
Immediate Occupancy and Life Safety. Although not.
than the level of performance expected of fully
specifically defined in other current documents, the
code compliant new buildings.
expected performance of most new buildings for the
10 percent/50-year event (see Section 3.3) would +- Limited Safety, SP-4: This term is actually
probably fall in this range (EERI 1994). A not a specific level but a range of
performance equivalent to that expected of new post-earthquake damage states that are less
(
buildings is also sometimes called Repairable than SP-3, Life Safety and better
- than SP-5 ,
(
Damage, but economic or technological Structural Stability. It provides a placeholder

Chapter 3, Perform~nce Qbjectives


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SEISMIC EVALU'ATioN AN'D RETROFIT OF CONCRETE' BUILDINGS

-able ~-1. Combinations of structural and Nonstructural perFormance Levels


to Form Building PerFormance Levels , )' .:; ,~, "

I
NP-A
operational
NP-B
Immediate
occupancy
~ Is, •

NP-C
Life Safety

NP-D
Hazards
Reduced
NP-E
Not consloereo

Legend
Commonly referenced Building Performance Levels (SP-NP)
Other possible combinations of SP-NP
Not recommended combinations of SP-NP

~ombination of a structural performance level and a The Structural Performance Levels-


uonstructural performance level and are designated Immediate Occupancy, Lif6 Safety, and Structural .
'lY the applicable number and letter combination Stability-are discrete damage states, and can ,be
such as I-A, 3-C, etc. as shown in-Table 3-1. used directly in evaluation ,3.Pd retrofit procedures
. t~"defui~techJiiGafcnteiia': The other structural
'. ~
,

';.2.1 structural perform~i;'ce Levels performance designations-Damage Control,


and Ranges Limited Safety, and Not Considered-are
Structural performance levels and ranges are important placeholders in the numbering scheme to
.ssigned a title and, for ease of reference, a allow direct reference to the wide variety of
number. The number is called the structural building performance levels that might be
~L)erformance numberand is abbreviated SP-n desirable to owners for evaluation or retrofit.
(where n is the designated number). Commentary: These descriptions of
acceptable damage at various performance levels

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Chapter :5 (
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~~.f-c;J r·~~,~_~~_~~"j_~~tiJl.
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s_
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AUdience Interest spectrum


(
, Owner Architect' BIC/g. Official . Engineer Analvst (

-. BII C
3..1 Introduction systems and several commonly used combinations (
A performance objective specifies the desired of structural and nonstructurallevels, called (
seismic performance of the,building: Seismic ' Building Performance Levels. Standard earthquake
performance is described by designating the hazard levels are introduced and the process of (
maximum allowable damage state (performance selecting appropriate performance objectives is
level) for an identified seismic hazard (earthquake described. A detailed discussion of seismic hazard
ground motion). A performance objective may is contained in Chapter 4,"
(
include consideration of damage states for several
levels of ground motion and would then be termed 3 ..2 Performance Levels (
a dual- or multiple-level performance objective. A performance level describes a limiting
Once the building .owner selects a performance . damage condition: which may be considered (
objective, the engineer can identify the seismic satisfactory for a given building and a given
demand to be used in the analysis and the ground motion. The limiting condition is described
acceptability criteria by the physical damage
to be used for within the building, the (
evaluation and threat to life safety of the (
design of the building's occupants
building's structural created by the damage, and (
and nonstructural the post-earthquake
systems. While the serviceability of the
majority of building.
retrofitted buildings Target performance (
are expected to meet levels for structural and
or exceed the nonstructural systems are
assigned specified independently"
performance level-when exposed to the ground Structural performance levels are given names and (
motion implied by the selected hazard level, such number designations, while nonstructural
(
performance should not be considered guaranteed. performance levels are given names and letter
This chapter defmes several standard designations, Building Performance Levels are a (
performance levels for structural and nonstructural
(
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Chapter 3, perforlt!anCe Objectives


.•··;rio:,r.·.,. ., . . . .

SEISMIC EVALUATION AND RETROFIT 0;: CONCRETE BUILDINGS

ceilings and light fixtures have not been It Building Performance Levels 2-A, 2-B,
braced.or. anchored.and.could. be.highly... -- ---' 2-C,-2-D:.-Within- the broad structural- .
disrupted and produce falling hazards. performance range of Damage Control, an
Commentary: The vast majority of all retrofits equally wide range of nonstructural
completed to date have been designed to provide protection might be appropriate. It is
performance similar to this level for the code unlikely, but possible, to find it desirable
prescribed 10 percent/50 year earthquake ground to combine structural Damage Control
motion. A common design criteria has incorporated with less thorough nonstructural protection
75% of the lateral force required for new buildings. than NP-C. It is necessary to develop
Although most of these retrofits were designed to building specific criteria for these cases to
prescriptive provisions and were therefore not suit the systems needing special protection.
performance based, the intent was to achieve II Building Performance LeveI3-A: This
structural life safety, and included mitigation of building code requirements for new
major and obvious falling hazards such as parapets buildings is generally thought to be
or heavy decorative ceiling in large rooms. intended to provide seismic performance
Extensive surveys of other nonstructural elements similar to Performance Level 2C for the
rarely have been included. 10 percent/50 years ground motion.
e Building Performance Level 3-B: This
Qa Building Performance Level 3-E: This
level presents a risk of structural damage
. level might be used if structural work is
that could prevent the building from being
minor or localized, or if limited funding
occupied. However, nearly complete
precludes expenditures for extensive
nonstructural protection will prevent .
nonstructural upgrading.
significant internal disruption, particularly
in low levels of shaking. Although only • Building Performance Levels 4-C, 4-D,
seldom applied to a whole building, this 4-E: Similar to SP-4, these levels are
level is more commonly applied to . primarily placeholders for structural risk
particular areas or rooms, such as computer l . reduction that does not meet a
facilities. predescribed level. A variety of
Commentary: Building Performance Level 3-B nonstructural improvements may also be
might be assigned to buildings where occupancy made.
and/or function is important, but the cost of 8 Building Performance Levels 5-C, 5-D,
providing more structural protection is high, or if 6-C,6-D: 1-1 some cases, improved
the structure already meets the Life Safety nonstructural performance may be
performance level. In these cases, structural work desirable with little or no consideration of
may be extremely undesirable, but added structural performance. As mentioned
nonstructural protection is judged cost effective. previously, use of the SP-NP designation
• Other Less Common Combinations forces recognition of structural risks when
such decisions are made.
II Building Performance Level l-C: This
combination might represent the desire to • Not Recommended Combinations: Certain
avoid a red or yellow tag structurally, but combinations of structural and nonstructural
the willingness to accept considerable performance levels will seldom, if ever, be
cleanup before the building's spaces are cost effective because of an imbalance in effort
fully usable. (It is unlikely that SP-l would on structural and nonstructural systems. Such
be combined with less than NP-C. imbalances may also create rnisperceptions of

chapter :3, Per.formance Objectives


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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS (
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expectations by owners or tenants. Although motion with a 5 percent chance of being
assignment of these,building,performance.levels .-.exceeded.in.a5.Q.,-ye.a.r.period: _ . __ _.
is not prohibited, the· Not Recorrunended Commentary: The ground motion with-a 20 (
designation was addedboth to avoid poor percent chance of being exceeded in 50 ye'!rs has (
decisions and to simplify Table 3-1. also been used in some projects. This ground I
(
··lft(jtiontypicallyrepresentsabrJutlWlFthir~w···· .

3.3 Earthquake·Ground -three-quarters ofthe demand ofthe more standard-


Motion DE of10 percent/50 years. This reduced seismic r
Earthquake ground motion is combined with a
demand is roughly equivalent to the lower design
force level often used in the past for evaluation
C (
desired performance !e:vel to form a performance
objective. The earthquake ground motion can be
and retrofit of existing buildings, e.g., ATC-14 (
. (ATC 1981), FEMA 178 (
expressed either by (
(BSSC 1992), the San
specifying a level of
Francisco Building
shaking associated with a (
. Code Section- 104f
given probability of
(City and County of San
occurrence (a (
Francisco 1991). (
probabilistic approach),
. Although the (
or in terms of the .'
" recommended system of
maximum shaking
creating and assigning
expected from a single
performance objectives (
event of a specified
allows and encourages (
magnitude on a specified
use 'of many levels of
source fault (a (
performance and'
deterministic approach).
, ground motions, a
The level of ground (
.' . common measure is
motion is expressed in
" needed to ;enable
terms of engineering (
comparison of
characteristics' for use in
performance objectives with that expectedfrom (
design, A response spectra or an equivalent series
familiar designs, such as new buildings. The most I
of simulated recordings of earthquake motions are
common and consistent thread for designs for the (
used for this purpose. .
last 20 years is the 10 percent/50 years ground I
The following three levels of earthquake ground (
motion and it is recommended that this motion be
motion are defined in Chapter 4. .
maintained for the basic Design Earthquake.
.. The Serviceability Earthquake (SE): Ground Lower criteria that have often been used for
motion with a 50 percent chance of being (
existing building, usually in consideration- of the
exceeded in a 50-year period . (
high cost of retrofit, should be taken'into. account (
.. The Design Earthquake (DE): Ground motion directly by setting appropriate peif0T17ll!:'!oce levels. ~ ..
with a 10 percent chance of being exceeded in a As noted earlier, the Life Safety Performance Level
50-year period is intended to be a lesser criteria than the code for (
new buildings and to accomplish a purpose similar
.. The Maximum Earthquake (ME): Maximum (
to the use of smaller design forces. However, with
level of ground motion expected within the
performance based design, it is hoped that
known geologic framework due to a specified (
communication of expectations to owners and
single' event (median attenuation), or the ground (
tenants will be inore straightforward.
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3.4 Performance Objectives A dual- or multiple-level performance


A seismic'performance-objective is-defined by~- _....-. -o?jecti.:ve. c~- be created. by.selecting.two or more
selecting a desired building performance level for a different desired performances, each for a
given level of earthquake ground motion, as shown different level of ground motion, as shown in
in Table 3-2a. Table 3-2b.

Table 5·2a. Definition of a performance Objective

operational

Serviceability
EQ ISEl

Table 5·2b. Definition of a Dual-Level Performance Objective

Chapter 3,.Performance Objectives


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Table 5-3. The Basic safety Performance Objective' ;
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Operational (

serviceabilty (
,.,
EO (SE)
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3.4.1 Basic Safety Objective . differences between the DE and the ME. However,
The Basic Safety Objective, shown in in complex buildings that incorporate lateral force (
Table 3-3, is a dual-level performance objective resisting elements ofwidely different character-
defmed as performance achieving the Building istics, the range of'performance from Life Safety to (
Performance Level Life Safety, 3-C, for the Structural Stability damage levels is likely to be
Design Earthquake level-of ground motion and the inconsistent and unpredictable; and a specific ("
Building Performance Level Structural Stability, check against collapse 'is probably warranted.
5-E, for the Maximum Earthquake level of ground Much of the central valley of California is (.
motion. characterized by a significant difference between
the DE and the ME, based on actual probabilistic (
Commentary: This performance objective is
intended to be an enhanced substitute for the values for the DE (Code seismic zones for these
'areas are artificially high). This would suggest (
Substantial Life Safety performance goal shown in
Table 1 of Policy on Acceptable Levels of , . .(hat a specific check against collapse for a rare
(
Earthquake Risk in State Buildings, (CSSC 1991b). 'large event (ME) should be made if the actual
Consideration of seismic performance for the probwilimcmm~a~u~d~rrneDR (
ME has been included in several codes (Anny The details of exceptions to a dual level
1986; Title 24 for hospitals (CBSC1995)), but has criteria for the Basic Safety Objective cannot be (
been ineffectual due to lack of adequate criteria as developed prior to completion of additional trial
well as lack of clarity as to intent. It has often designs and fine tuning oj verification criteria.
been suggested for use nationally to account for
the relatively large variation in the ratio ofDE to 3.4.2 other Performance Objectives
ME across the country. Primarily due to the lack , The wide variety of building performance
levels (Table 3-1) can be combined with various
(
of reliability and the potential brittleness of many
systems in existing or retrofit buildings, it is levels of ground motion to form many possible
included in FEMA 273 for the nationally performance objectives. Performance objectives
recommended Basic Safety Objective. A complete for any building may be assigned using functional, (
set of acceptability criteria for all materials has policy, preservation, or cost considerations.
also been developed. Commentary: Combinations that have been
The dual-level check may prove unnecessary in used as performance objectives in the past or that
California for small, simple buildings or buildings otherwise may form logical objectives. are shown in
with no brittle elements or at sites with small Table.s 3-4a, 3-4b, and 3-4c.
(

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3-10 Chapter 3, Performance Objectives
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SEIS.MIC EVALUATION AND RETROFIT OF COfU:RETE BUn,DINGS

. Table ·3-4a. Sample p-erfor.mance_Objectives_for. Important.suildings.

Combined Performance Lerrel


SE 18
DE 18 1A 18
ME 3C 5E 1A 1C

Table 3-4b. Sample performance Objectives fqr Normal Buildings

Combined Performance Level


SE
DE 2C 3D 3C 1C
ME 5E 3D

Table 3·4c. Sample Economically Driven performance Objectives

combined perFormance Level


SE 3D
DE 5E
ME 5E

Chapter 3, Performance Objectives


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3.5 Assignment of 3.5.3 Relationship to other,.standards
.'J. Or-Risk...Levels '- (
--Performance
, R!Jpidexpansion in development of both the
Objectives (
philos6P:biC'~ and technical-aspects of .
- performance-based design has created the potential (
3.5.1 Initial performance Objective -
for inconsistencies or conflicts between
A complete performance objective will be
documents. Verification criteria should not be (
assigned by the building's owner (for a private
interchanged without careful review of the ,r.

building) or the state or local government agency


acting :s the owner (for a public building) for each
definitions of performance, seismic hazard, and e
the assumptions used for the development of
building prior to evaluation or retrofitting. The (
criteria.
engineer of record should provide technical
Performance levels and performance
- assistance to the owner to provide better assurance (
objectives, similar to those defined above, have
that the assignment of the initial performance
been defined or described in several, other, ' (
objective isthe result-of an informed decision
documents, including Guidelines and Commentary
process arid-is appropriate ·to the existing
for l~e. Seismic Rehabilitation ofBuildings, FEMA (
conditions. _. 273 (ATe 1996a), Vision2000,Progress Report
Preparation of a statement defining .the seismic (
, (sEAOC 1995b), and the predecessor of this
goals and expectations fo~ the evaluation or retrofit \
document, Provisional Commentary for Seismic
project can help the owner and ?esign team reach
Retrofit (CS~C 1994a). Although substantive ("
agreement on performance objectives that are
rlifferen.ces are not apparent, consensus has.not
reasonably in line with available resources.
been reached on all 'terminology or exact " '
(
Table 3-5, a modification of a similar form .
de:funtions. Untfid'~uch time as standard terms and
contained in Architectural Practice and (
definitions can be determined, care must be taken
Earthquake Hazards (CSSC 1992), presents an
to maintain internal consistency when using any (
example of a form that may be used to begin
one of these documents.
preparation of such a preliminary seismic
, The performance levels and objectives in this
performance expectations statement.
document are intended to be used as targets for
3.5.2 Final Performance Objective performance in future earthquakes and serve as a (
m~ans of setting engineering design' and -
The initial objective may be revised or refined
verification criteria. They are not intended to
by the owner, in consultation with the engineer of
describe or imply the probable performance of
record and the owner's peer reviewer, in response (
existing concrete buildings inCalifomia.
to considerations of cost, historic preservation,
Furthermore, they were not developed to establish
remaining life of the building, or other conditions
priorities for retrofitting" Other sources; such as
or constraints. The final performance objective
State Building Seismic Program, Report and (
used in the evaluation or retrofit design should be .
Recommendations prepared by the Division of the
stated in the evaluation report and on the retrofit
drawings, respectively, along with an .
State Architect (CnGS 1994), must be consulted (
for such priorities.
acknowledgment that achievement of the objective J (
should not be considered guaranteed.
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3-12 Chapter 3, performance Objectives
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Table $-5_ Seismic performance Expectations

Low-Moderate (SE)
Moderate-Severe (DEl
Severe-Very severe (MEl

Notes: 1. Ground Motion Effects of Nearby Earthquakes:


Low-Moderate Shaking: (SE) Serviceability Earthquake (50%/50 yrs)
Moderate-Severe Shaking: (DE) Design Earthquake (10%/50 yrs)
Severe-Very Severe Shaking: (ME) Maximum Earthquake (5%/50 yrs)
2. Classification of earthquake effects and extent of anticipated damage may be modified by site conditions-such as poor soils,
ground failure potential, or vulnerable adjacent structures-which may result in stronger shaking and greater damage.
3. Time to reoccupy building is not necessarily directly related to specific structural performance levels.
4. Time to restore fimctions is not necessarily directly related to specific nonstructural performance levels.

Chapter 3, Performance Objectives


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Chapter 4
Seismic Hazard
AUdience Interest spectrum
Owner Architect Bldg. Official Engineer Analyst

4 ..1 Scope sites susceptible to liquefaction, landsliding or


This chapter provides guidelines for surface rupture.
quantifying seismic hazard at a site due to ground
shaking for each of the three earthquake hazard 4 ..2 Earthquake Ground
levels: Shaking Hazard Levels
+ The Serviceability Earthquake (SE) Three levels of earthquake hazard are used to
define ground shaking: the Serviceability .
+ The Design Earthquake (DE)
Earthquake, the Design Earthquake, and the
+ The Maximum Earthquake (ME) Maximum Earthquake. These levels of earthquake
Commentary: Seismic ground shaking is hazard are defined below in the following sections ~
defined using site soil factors and other terms that Commentary: The Design Earthquake and
have been developed by the SEAOC Seismology Maximum Earthquake hazard levels are based on
Committee as part of a code change proposal UBe (and CBC) definitions of ground shaking that
(ICBO 1996) for the 1997 Edition of the Uniform will likely remain unchanged until sometime after
Building Code or UBC (ICBO 1994). It is expected the year 2000. Other definitions of seismic criteria
that this proposal after review and refinement will have been developed for incorporation into the
be adopted both for the 1997 UBC and for related 1997 edition of the NEHRP Provisions ( BSSe
editions of the California Building Code or eBe 1996) for design of new buildings and will also
(CESe 1995). likely be adopted by the FEMA Guidelines (ATe
This Section also provides guidelines for 1996a) for seismic rehabilitation of existing
determining when the seismic hazard due to buildings.
ground failure warrants consideration, although
the evaluation of such hazards is beyond the scope 4.2.1 Serviceability Earthquake
of this document. The Serviceability Earthquake (SE) is defined
Commentary: The focus of this document is probabilistically as the level of ground shaking that
on ground shaking since ground shaking is the has a 50 percent chance of being exceeded in a 50-
predominant cause of earthquake damage to year period. This ievel of earthquake ground
buildings. Groundfailure hazard is also included, shaking is typically about 0.5 times the level of
since ground failure should also be considered for ground shaking of the Design Earthquake.

Chapter 4, seismic Hazard


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SEISMIC EVALUATION AND RETROi::IT OF CONCRETE' BUILDINGS (


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Commentary: The SE represents afrequent return period of about 1, 000 years, whereas the
level of ground shaking that is likely to.be felt. . Maximum Considered Earthquakehas a.return; .. (
during the life of the building. The SE has a mean p~riod ofabout 2,500 years (i.e., groundsha7dilg .
return period of approximately 75 years. wzth. a 2~ 1?m~abil!ty of being exceeded fn.5Q. (
years). .', "' .
4.2.2 Design Earthquake (
The Design Earthquake (DE) is defined 4.3 Ground Failure (
probabilistically as the level of ground shaking that Ground failure can be the result of the
has a 10 percent chance of being exceeded in a 50- following hazards: (
year period.
Commentary: . The DE represents an • Liquefaction (
infrequent level of ground shaking that can occur • Landsliding
during the life of the building. The DE has a mean (
• Surface fault rupture
return period of approximately 500 years. The DE
Liquefaction and landsliding are discussed in
has the same definition as the level of ground
the following sections, and guidelines (triggers)
shaking currently used as the basis for the seismic (
are provided for determining when a detailed study
design of new buildings I7y the UBC and the CBC.
of these hazards might be warranted. In general,
surface expression of fault rupture below a (
4.2.3 Maximum ~arthquake
The Maximum Earthquake (ME) is defined
deterministically as the maximum level of
building is considered too remote a possibility to
warrant design consideration. r:
. Commentary: Although unlikely, buildings
earthquake ground shaking which may ever be (
sztuated very close to active faults could be
expected at the building site within the mown
destroyed by the surface expression offault (
geologic framework. In Seismic Zones 3 and 4, .
rupture. It is recommended that special
this intensity of ground shaking may be calculated
as the level of earthquake ground motion that has a
consideration be given to buildings located within (
5 percent probability of being.exceeded in a 50- the Special Studies Zone (Alquist-Priolo Act,
January 31, 1979). Relocation, rather than (
year time period. This level of ground shaking is
retrofit, may be more appropriate for buildings
typically about 1.25 to 1.5 times the level of (
straddling the trace of an .active fault (CDMG'
ground shaking of the Design Earthquake.
1985).
Commentary: The ME has the same definition (
as the Maximum Capable Earthquake (MCE) 4.3.1 Liquefaction
required by the CBC for design of hospitals and l7y
Liquefaction can occur in certain types-of
both the CBC and UBC for design and testing of
saturated soils that are shaken strongly enough and
buildings with base isolation systems. This
long enough for the soil to lose a substantial
earthquake definition is intended to represent an amount of strength (because; of high pore water, (
upper-bound on the level of ground shaking that
pressure). Liquefaction can cause settlement as
could be reasonably expected to occur at the well as lateral spreading or slides of certain soils. (
building site. .
In either case, permanent ground surface
The definition of the ME ( and the MCE of the deformation occurs that can cause the foundation (
UBC and CBC) is substantially different from the or a portion of the foundation, ofthe building to '
definition of the Maximum Considered Earthquake (
settle or displace downward and/or laterally.
proposedfor both the 1997 NEHRP Provisions and The site's susceptibility to liquefaction is
the FEMA Guidelines for rehabilitation .of existing (
typically described by the terms: very high, high,
buildings. In probabilistic terms, the ME has a
(

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4·2 Chapte'r 4, seismic Hazard
Table 4-1. Ground shaking Levels at Which Liquefaction ShoUld Be
.__ Co!!.€!.t:f§.!:!lf!.J?J1.~l!l~_~rf.i/(?1Y.====- ====:::::::=====

very high Any 0.15


High 0.15 0.2
Moderate 0.2 0.3
Low 0.4 Not considered likely
very low. Not considered possible Not considered likely

moderate, low, and very low. Table 4-1 (adapted level at which a 50 percent or greater chance of
from NIBS 1996) provides guidance for liquefaction has been determined to exist. These
determining the ievel of ground shaking at which EPA levels have been determined based on the
liquefaction should be considered. The level (or assumptions that the site has a relatively high
levels) of ground motion used to evaluate the water table (within 10 -- 20 feet of the surface) and
likelihood of liquefaction should be the same as that shaking is due toa relatively large magnitude
that (those) used to perform ground shaking event (Mw ;:::: 6.5). Small magnitude events are not
analyses. expected to shake the ground long enough to
Liquefaction should be considered possible at trigger significant liquefaction.
any level of ground shaking when the site has a Liquefaction susceptibility may be identified
very high susceptibility to liquefaction, and from maps developed by the California Division of
conversely, liquefaction should not be considered Mines and Geology (and others), although
possible (or likely) even for high levels of ground susceptibility maps are not yet available for most
shaking when the site has a very low susceptibility areas within California. For areas that do not have
to liquefaction. For sites of moderate liquefaction existing liquefaction susceptibility maps,
susceptibility, Table 4-1 indicates that the effective liquefaction susceptibility may be estimated on the
peak acceleration (EPA) of the ground must be at basis of the soil type and geologic conditions of
least O.2g for liquefaction to be considered the site. A method for rating relative liquefaction
possible and at least O.3g for liquefaction to be susceptibility on the basis of the general
considered likely. depositional environment and the geologic age of
The guidance given in Table 4-1 is based on deposits has been developed by Youd and Perkins
the work of Liao, Veneziano, and Whitman (1988) (1978).
as modified and incorporated into the national A geotechnical engineer would be required to
earthquake loss estimation methodology being determine soil/geologic conditions at the site and
developed by the National Institute of Building to determine the liquefaction susceptibility. For
Sciences for the Federal Emergency Management sites where liquefaction is considered to be
Agency (NIBS 1996). The EPA level at which possible or likely, the geotechnical engineer should
liquefaction is considered "possible" is the level at be required to evaluate the amount of permanent
which, approximately, a 15 percent or greater ground deformation expected at the site and its
chance of liquefaction has been determined to exist effect on the foundation of the building. It is
at the site. Similarly, the EPA level at which recommended that the geotechnical engineer
is
liquefaction considered to be "likely" is the investigate liquefaction effects for the ME, even if

Chapter 4, Seismic Hazard


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Table 4-2. around shaking levels at Which landsliding should bl! Considered Possib,e.
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strongly cemented rock (crystalline None None None 0.7 0.5 0.3 Any
rock and well-cemented sandstone)
(
,.
weakly cemented rock and soil None None 0.5 0.4 0.2 0.1 Any (
(sandy soils and poorly cemented .
sandstone)
(
Argillaceous rock (shales, clayey soil, None 0.3 0.2 0.1 Any Any Any
existing landslides, poorly (
compacted fills)
,.

(
strongly cemented rock (crystalline None None 0.5 0.4 0.2 0.1 Any
rock and well-cemented sandstone) (

weakly cemented rock and soil None 0.3 0.2 0.1 Any Any Any (
(sandy soils and poorly cemented
.,
sandstone)
Aiglllaeeous rock (shales, clayey· soil, None 0.1 Any Any Any Any Any (
existing landslides, poorly
compacted fills)
(

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the ME is not required for ground shaking Whether landsliding should be considered in
analysis. the design depends on the site's susceptibility to
landsliding, which depends on the soil!geologic
4.3.2 Landsliding (
conditions. the slope angle. and the critical
Earthquake-induced landsliding of a slope can acceleration (i.e.• the level of shaking required-to (
occur when earthquake ~d gravity forces within initiate landsliding). Table 4-2 (adapted from NIBS
the slide mass temporarily exceed slope stability. 1996) provides guidance. for determining when .
The value of ground acceleration within the slide landsliding should be .considered;the factors to be
mass required to initiate slope instability is called considered are site susceptibility and shaking level.
the critical or yield acceleration. Landsliding can The level (or levels) of ground motion used to
cause relatively minor slides or affect a large evaluate lanclsliding should be the same as that (
hillside. Typically, slide displacement accUID'!lates (those) used to perform ground shaking analyses ..
(gets larger and larger) with each cycle of According to Table 4-2. landsliding should be
earthquake shaking' that exceeds the critical considered possible in strongly cemented rock
acceleration level. Large landslides can affect (with dry slope conditions) only when the EPA
buildings situated on the slide mass as well as exceeds O.7g for 15° - 25° slopes, O.5g for 25° - 35° (
buildings just below the slide. slopes. and O.3g for 35° - 45° slopes; and it should
be considered possible for all EPA values when (
(

(~­
4·4 Chapter 4, Seismic Hazard
(
SEISMIC EVALUATIQN AND RETROFIT OF CONCRETE BlULDING:;

.:

slope angle exceeds 45°. Conversely, Table 4-2 Commentary: Site geology and soil
indicates..t hat landsliding.. should-be-considered.. ---_.- ._. -_.. ---characteristics and site seismicity- characteristics..·
possi~~e in existing .lan~slide areas (with wet slope' are based directly on the requirements proposed by
conditions) for all significant EPA levels, except the SEAOC Seismology Committee (ICBO 1996)
for sites that are' essentially flat (i.e., with a slope for the 1997 UBC. These requirements are'
angle less than 5°). repeated (with editorial modification) in the
The guidance given above is based on following sections.
relationships developed by Wilson and Keefer
(1985) as modified and incorporated into the .. 4.4.1 Site Geology and Soil
national earthquake loss estimation' methodology Characteristics
(NIBS 1996). The work of Wilson and Keefer
conservatively represents the most landslide-
4.4. 1. 1 General
susceptible geologic types likely to be found in a Each site is assigned a s~il profile type based
geologic group and may be considered to represent on properly substantiated geotechnical data using
a shaking level (EPA) .that has about a 25 percent the site categorization procedure of
chance of producing a landslide at a given site. Section 4.4.1.3.
A geotechnical engineer would be required to Exception: VYhen the soil properties are not
determine the soil/geologic conditions at the site known in sufficient detail to determine the Soil
and to determine the Iandsliding susceptibility. For Profile Type, Type SD 17lG)J be used. So'il Profile
sites where it is considered possible to have Types SE or SF need not be assumed unless the
landsliding, the geotechnical engineer would be building official determines that Types SE or SF may
required to evaluate the extent of landsliding be present at the site 'or in the event that Types SE
expected and the effect of such landsliding on the or SF are established by geotechnical data.
foundation of the building. 4.4.1.2 Soil ProFile Type' ...
It is recommended that the geotechnical
Soil Profile Types SA, SB, Sc, Sn, SE are
engineer investigate lands liding effects for the
defined in Table 4-3 (adapted from ICBO 1996).
ME, even if the ME is not required for ground
shaking analysis. . Soil Profile Type SF is defined as soils requiring
site-specific evaluation, as follows:
4.4 primary Ground .. Soils vulnerable to potential failure or collapse
under seismic loading, such as liquefiable
Shaking Criteria soils, quick and highly sensitive clays, and
This section specifies the primary ground collapsible weakly cemented soils
shaking criteria for the evaluation of buildings.
Primary ground shaking criteria are those criteria .. Peats and/or highly organic clays where the
that will be required for the design of all . thickness of peat or highly organic clay
buildings. Primary criteria include the following: exceeds 10 feet
... Site geology and soil characteristics + Very high plasticity clays with a plasticity
index greater than 75 (PI > 75) and where the
• Site seismicity characteristics depth of clay exceeds 25 feet .
... Site response spectra
.. Very thick soft/medium-stiff clays where the
depth of clay exceeds 120 feet

chapter 4, Seismic Hazard


(
SEISMIC EVAUJATICN AND RETROI=IT OF CONCRETE BUILDINGS (
" I

-/
(
(
Table 4-5. Soil profile Types

SA1 Hard Rock Vs > 5,000 Not APplicable (


Sa Rocl< 2,500 < Vs s 5,000 Not APplicable
(
Sc very Dense Soil and" " 1,200 < Vs s 2,500 N > 50 Su > 2,000
Soft Rocl< (
So Stiff Soil Profile 600 s Vs ~ 1,200 15 s N s 50 1,000 ~ s, s 2,000 (
Se 2 soft soil profile Vs < 600 N < 15 s~ < 1,000

Sr? soil Requiring Site-specific Evaluation

1 Soil profile type SA (bard rock) is not applicable to sites in California.


2 Soil profile type SE also includes any soil profile with more than 10 feet of soft clay defined as a soil with PI > 20, WMC ~ 40 % and Su < (
500 psf. The plasticity index (PI) is determined in accordance with ASTM 04318-93 and the moisture content (WMC) is determined in
accordance with ASTM D2216-92. (-¢"',
"3 See Section 4.4.1.2 for description of soils requiring site-specific evaluation.
(

4.4.1.:5 Site categorization properties computed in all cases in accordance


The soil profile type for the site is established with Section 4.4.1.4 and the criteria of Table 4-3.
by using the following procedure. + Use V s for the top 100 feet of the soil profile
Step 1: Check for the four categories of (the Vs method)
Soil Profile SF requiring site-specific evaluation. If
the site corresponds to any of these categories, + Use N for the top 100 feet of the soil profile (
classify the site as Soil Profile" SF and conduct a (the N method)
site-specific evaluation. (
Step 2: Check for the existence of a total + Use N CH for cohesionless .soillayers (pI" <
thickness of soft clay >"10 ft, where a soft clay 20) and Su for cohesive soil layers in the top
layer is defined by: undrained shear strength, 100 feet of the soil profile. If N CH and
Su < 500 psf, moisture content, WM~ 40 percent,
Su criteria differ, the soil profile with the
and plasticity index, PI > 20. If all of these
criteria are satisfied, classify the site as Soil larger seismic coefficient is used for design
Profile Type SE. (sumethod)
The plasticity index (PI) is determined in The shear wave velocity for rock (soil profile
accordance with ASTM D4318-93 and the type SB) is either measured on site or estimated by
moisture content (WMC) is determined in a geotechnical engineer or engineering
accordance with ASTM D2216-92. geologist/seismologist for competent rock with
Step 3: Categorize the site using one of the moderate fracturing and weathering. Softer and
following three methods with average soil profile more highly fractured and weathered rock is either

4 ...6 Chapter 4, Seismic Hazard


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUn.DENG5

.-

measured on site for shear wave velocity or standard penetration resistance


NCH,i
. classified as.soil. profile. type'Sc..._. .__._.._. __ .- of cohesionless soil layer i~ .
The soil profile type should not be taken as directly measured in the field
rock (soil profile type SB) if there is more than 10 without corrections in
feet of soil between the rock surface and the accordance with ASTM D 1586-
bottom of the spread footing or mat foundation. 84, but not to exceed 100
4.4.1.4 Average Soil properties blows/ft.
The average undrained shear strength, su, is
Average soil properties are calculated by using
the formulas of this section. Soil profiles determined by the following formula:
- de . (4-4)
containing distinctly different soil layers should be s =--
subdivided into those layers. Each soil layer is u !~
SU.)
designated by a number that ranges from i .= 1 at j;.,J

the top to i = n at the bottom, where there are a where: de = 'total thickness of cohesive soil
total of n distinct layers in the upper 100 feet of layers, 'in the top 100 feet (100 -
the soil profile. dCH)
The average shear wave velocity, vs " is SU,i - undrained shear strength, in psf,
determined by the following formula: measured in accordance with
ASTM D2166-91 or D2850-87,
Vs = ds (4-1) but not to .exceed 5000 psf.
:t~
1=1 VSJ 4.4.2 Site Seismicity Characteristics
where: d, = thickness of layer i, in feet
4.4.2.1 cenerst
ds = total thickness of soil profile (100
feet) . Seismicity characteristics for the site are based
on the seismic zone, the proximity of the site to
VS,i = shear wave velocity of layer i, in
active seismic sources, and site soil profile
feet/sec.
The average standard penetration resistance, characteristics.
N or N CH ' is determined by the 'following 4.4.2.2 Seismic Zone
formulas :' Each site is assigned a seismic zone in .
N=~ (4-2) accordance with the requirements of the California
t~ Building Code (CBSC 1995). Each structure is
1=1 N, assigned a seismic zone factor Z, in accordance
with Table 4-4.
(4-3)
Commentary: Traditionally, all of California
has been classified as either seismic zone 3 or 4,
although the ground shaking hazard at sites in
where: d CB = total thickness of all cohesionless seismic zone 3 situatedfar from active faults may
soil layers, in feet
be significantly overestimated by a seismic zone
dCH, i = thickness of cohesionless soil layer
factor ofZ= 0.3. For these sites, response spectra
i, in feet
N, = standard penetration resistance. of based on contour maps or site-specific hazard
layer i, directly measured in the analysis would be expected to be significantly less
field without corrections in than response spectra based on Z= 0.3.
accordance with ASTM D1586-84,
but not to exceed 100 blows/ft

Chapter 4, Seismic Hazard


SEISMIC EVALUATION AND RETROFIT OF CONCRETE- Bu:U,DINGS

4.4.2.3 Near-source Factor 4.4~5.1 Spectral Contour Maps (USGS)


.--- EaGh- site -is-assigned- a-near-source factor- in- . - .---Speetral contour maps-for-reck-sites--developed----
accordance with Table 4-5 (lCBO 1996) and based by the USGS for Project 91 (Frankel et al. 1996) (
on seismic source type, as specified in Table 4-6 may be used to construct elastic response spectra (
(ICBO 1996). for a site, provided the basis for these maps is (
Commentary: Values of the near source factor consistent with the definition of the earthquake (
given in Table 4-5 may significantly underestimate level(s) of interest (Section 4.2). (

ground shaldng at certain near-source sites. In the For sites situated on soil type SB, the value of (
(7
direction normal to the plane offault rupture, CA should be taken to be equal to 0.4 times the
(
ground shaldng may be as much as 50 percent spectral response acceleration (units of g) at a
greater than that predicted using the N factors of period of 0.3 seconds and the value of Cv should
Table 4-5 (Somerville 1996). be taken to be equal to 1.0 times the spectral (
response acceleration (units of g) at a period of 1.0 (
4.4.2.4 Seismic Coefficients second. Alternatively for sites situated on soil SB, (
For each earthquake hazard level, the structure ME values of CA and Cv may be based on the (
is assigned a seismic coefficient CA in accordance formulas: (
with Table 4-7 (ICBO 1996) and a seismic (
coe-fficient Cv in accordance-with Table 4-8 (lCBO C A = O.48 MS : (4-5) (
1996). In lieu of a sire-specific seismic hazard (
analysis, the seismic coefficient, CA, may be taken c:;, = 8 M1 (4-6)
CL <.
to be the default value of the effective peak
(
acceleration (EPA) of the ground. where:
S MS = spectral acceleration in the short-
(
4.4.3 Elastic Site Response spectra 'period range for Site Class B for (
Elastic response spectra for a site are based on MCE, as prescribed by 1991
estimates of CA and Cv using one, or more, of the NEHRP Provisions (BSSC 1996). (
following: S Ml = spectral acceleration at a 1.0-
+ Site seismic coefficients (Tables 4-7 and 4-8) (
second period for Site Class B for
+ Spectral contour maps (developed by the MCE, as prescribed by 1997 (
USGS for Project 97 (Frankel er al. 1996» NEHRP Provisions (BSSC 1996).
(
+ Site-specific hazard analysis studies
For sites situated on other soil types, the ~.J
The construction of elastic response spectra (
values of CA and Cv based on soil type SB should
using estimates of CA and Cv is described in
be increased in proportion to the increase in the
Section 4.4.3.3.
site coefficients of Tables 4-1 and 4-8,
Commentary: In all cases, elastic site
respectively, for the soil type of the site.
response spectra are described by a standard (two- (
The values of CA and Cv should not be taken as
domain) shape defined by the coefficients CA and
less than 80 percent," and need not be taken to be (
Cv. Elastic response spectra are described l:Jy a -
greater than 100 percent, of the values specified in
standard shape to simplify the application of these
Table 4-1 and Table 4-8, respectively.
spectra to nonlinear static analysis procedures
(Chapter 8).

Chapter 4, seismic Hazard


Table 4·4. -seismto Zone Factor Z .

Seismic zones I, 2A and 2B are not applicable to sites in California.

Table 4·5. Near source Factor. NA and Nv1

A 1.5 2.0 1.2 1.6 1.0 1.2 1.0 1.0


B 1.3 1.6 1.0 1.2 1.0 1.0 1.0 1.0
c 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0

The near-source factor may be based on the linear interpolation of values for distances other than those shown in the table.
2 The location and type of seismic sources to be used for design shall be established based on approved geotechnical data (e.g., most recent
mapping of active faults by the United States Geological Survey Drthe California Division of Mines and Geology).
3 The closest distance to seismic source shall be taken as the minimum distance between the site and the area described by the vertical projection
of source on the surface (i.e., surface projection of fault plane). The surface projection need not include portions of the source at depths of 10
krn or greater. The largest value of the near-source factor considering all sources shall be used for design.

Table 4-6. Seismic Source Type

A rautts that are capable of producing large magnitude


events and Which have a high rate of seismic activity
M::::: 7.0 SR::::: 5
B All faults other than types A and C Not Applicable Not APplicable
C Faults that are not capable of producing large
magnitude earthquakes and that have a relatively low
M < 6.5 SR < 2
rate of seismic activity

Chapter 4, Seismic Hazard


(=
j
(
(
SEISMIC EVALUATION IlND RETROFIT OF" CONCRETE gUU.DINCS ((
: (
(
(
.. Table 4-:~ ~~ismic Coelficjent,~c A .__ . - . - - .--".•- - - - - - - - - - - - - - - - - - - - - - .. -(

(
S8 0.08 0.15 0.20 0.30 0.40 1.O<ZENJ (
Sc 0.09 0.18 0.24 0.33 0.40 1.0<ZENJ
So 0.12 0.22 0.2B 0.36 0.44 1.1(ZENJ (
SE 0.19 0.30 0.34 0.36 0.36 0.9(ZENJ
(
SF Site-specific geotechnical investigation required to determine CA

The value of E "used to determine the product, ZEN, -should be taken to be equal to 0.5 for the Serviceability Earthquake,
1.0 for the Design Earthquake, and 1.25 (Zone 4 sites),or 1.5 (Zone 3 sites) for the Maximum Earthquake. (
(
2 Seismic coefficient CA should be determined by linear interpolation for values of the product ZEN other than those shown in the table.
(
(
(
Table 4-8. Seismic coeFFicient, C v ! ~
( ,,0,

{
58 0.08 0.15 0.20 0.30 0.40' 1.O<ZENJ
(
Sc 0.13 0.25 0.32 -0.45 0.56 1.4(ZENJ
("
So O.1B 0.32 0.40 0.54 0.64 1.6(ZENJ (
SE 0.26 0.50 0.64 0.84 0.96 2.4<ZENJ
(
SF Site-specific geotechnical investigation required to determine Cv \

The value of E used to determine the product, ZEN, should be taken to be equal to 0.5 for the Serviceability ·Earthquake,
1.0 for the Design Earthquake and L25 (Zone 4 sites) or 1".5 (Zone 3 sites) for the Maximum Earthquake.
2 Seismic coefficient Cv should be based on the linear interpolation of values for shaking intensities other than those shown in the table.

(-
4-10 Chapter 4, Seismic Hazard"
(

(
(

SEISMIC EVALUATION AND RETROFIT OF C@NCRETE BUU.DIINlGS

- Ground -Motion· & Response-Spectra


a
t Ground motion recordings (accelerograms) indicate that ground
HIlHIHfl~IfIDt1M~,-.- shaking is an extremely complex waveform, containing oscillatory
motion components over a broad range of frequencies.

By performing a time history analysis of a structure


]-g~
.
~
it is possible to determine the peak acceleration, .-<:
velocity and displacement of the structure's response to T

tee
a ground motion. If such analyses are performed for
a series of single degree of freedom structures, each having a
different period, T, and the peak response accelerations. velocities ~
and displacements are plotted vs. the period of the structures, the _ T
resulting graphs are termed respectively acceleration, velocity and

~L
displacement response spectra. ~
..!!

~ T
Period
Researchers commonly display response spectra on a 3-
axis plot known as a tri-partite plot in which peak response
acceleration, velocity and displacement are all plotted
simultaneously against structnral period. Researchers .
(Newmark and Hall, 1982) have found that response spectra for'
typical records can be enveloped by a plot with three distinct
ranges: a constant peak spectral acceleration (PSA), constant
peak spectral velocity (PSV) and constant peak spectral
displacement (PSD).
PSA
21'C(PSV)/I'
Response spectra contained in the building code .§
indicate the constant acceleration and velocity ranges E
... plotted in an acceleration vs period domain. This is ~
convenient to the code design procedure which is ]
based on forces (or strength) which are proportional
., to acceleration.
Period - T
For nonlinear analysis, both force and deformation
21'C(PSV)/I'
are important. Therefore, spectra are plotted in an
acceleration vs, displacement domain, which has been
termed ADRS (acceleration-displacement response spectra)
T2
(Mahaneyet al.,1993). Period in these ADRS are
represented by a series of radial lines extending
from the origin of the plot. See also Converting
to ADRS Spectra in Chapter 8.

Chapter 4, Seismic Hazard


(-~
~(

(
(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS (
"
(
(

4.4.5.2 Site-speciFic Hazard Analysis'· (


..- Studies. . ... .. .. --'---'- ....-..- .. -.-.r-:-=..-,.,..".--=,........,....."",...."..,.---.,..,....."....,.,..,.....",,----~ ,
.. (
Site-specific hazard analysis studies should be
performed for buildings situated on site soil profile . Control Periods (
type SF, and are recommended for buildings on site . 1 2 •SCA I Ts = Cyl2.5C A
soil profile type.SE. Site-specific studies should also TA =D.2Ts (
be performed for certain buildings situated near . ·.. (
active sources and for buildings with special design
requirements (e.g., hospitals, base-isolated
·i
t I~PA=CAI
buildings). In all cases, the assumptions and (
methods used in the site-specific studies should be ,
~.
,.
consistent with:·the definition of the earthquake
hazard level(s) of interest given in Section 4.2.
··i (
The site specific studies should develop
Period (Seconds)
estimates of short- and long-period response for (
each hazard level of interest. The value of CA
Figure 4-'1. construction of a 5 percent-Damped (
should be taken to be equal to 0.4 times the spectral Elastic Response spectrum
response acceleration (units of g) at a period of 0.3
seconds. The value of Cv should be taken to be (
acceleration response in the velocity domain. I"!!
equal to the greater of either 1.0 times the spectral Figure 4-1 illustrates the construction of an elastic ('"
response acceleration (in units of g) at a period of response spectrum.
1.0 seconds or 1/Tefftimes the spectral response (
acceleration (in units of g) at the effective period 4.5~ Specification of
Teff of the building. The effective period Teris based (
on the secant stiffness at the point of maximum supplementarv" Criteria
response, as described in Chapter 7. (
For each hazard level of interest, the values of 4.5.1 Acceleration Time Histories t,

CA and Cv should not be taken as less than 80 . When required for analysis, not less than three (
percent, and need not be taken to be greater than pairs of horizontal time history components should
be selected from earthquake groundmotion records. (
100 percent, of the values specified in Table 4-7
and Table 4-8, respectively. . A set of sev~n or more pairs of time history
components is recommended and would be
4.4.~.~ Construction of an Elastic necessary for the design to be based on the average
Response spectrum (rather than the maximum) value ofrhe response
An elastic response spectrum, for each quantity of interest.
earthquake hazard level of interest at a site, is based Recorded earthquakes should be selected to
on the site seismic coefficients CA 'and Cv, defined have a magnitude, source characteristics, and (
in the previous sections. The seismic coefficient CA distance from source to site that is the same as (or
represents the effective peak acceleration (EPA) of consistent with) the magnitude, source (
the ground. A factor of about 2.5 times CA characteristics and source-to-site distance of the
represents the average value of peak response of a 5 event that dominates the ground shaking hazard at
percent-damped short-period system in the the building site. Recorded earthquakes should also
(
acceleration domain. The seismic coefficient Cv be selected to have site conditions that are the same
represents 5 percent-damped response of a l-second as (or consistent with) the site conditions of the (
system and when divided by period defines building. When three appropri~te recorded ground
(
,

4-12 Chapter 4, Seismic Hazard ~


(

(
Table 4·9. Earthquake Records at Soil Sites crester Than 10 Km From Sources

1 7.1 1949 western washington station 325 USGS1


2 6.5 1954 Eureka, California station 022 USGS
3 6.6 1971 san Fernando, California station 241 USGS
4 6.6 1971 san Fernando, California station 458 USGS
5 7.1 ,1989 Lorna Prieta, California Hollister, south & Pine CDMG2
6 7.1 1989 Lorna Prieta, California Gilroy #2 CDMG
7 7.5 1992 Landers, california Yermo CDMG
8 7.5 1992 Landers, california Joshua Tree CDMG
9 6.7 1994 Northridge, California Moorpark CDMG
10 6.7 1994 Northridge, California century City LACC NQJ1h CDMG

l. USGS: United State Geological Survey


2, CDMG: California Division of Mines and Geology

motion time history pairs are not available, 4.5.1.2 Earthquake Ground Motion
appropriate simulated ground motion time history Records
pairs may be used to make up the total number Two sets of ,10 earthquake records each have
required. been identifiedas suitable candidates for time
The intent of these requirements is that each history analysis. One .set contains records at sites
pair of time history components have an appro- at least 10.kin from fault rupture and the other set
priate duration, contain near-source pulses (for contains records at sites near fault rupture (e.g.,
sites within 10 Ian of active faults) and include sites within about 5 kID of fault rupture). Tables
other time domain characteristics that represent the 4-9 and 4-10 list these earthquake records,
ground shaking expected at the building site. respectively. and summarize key attributes.
Each pair of horizontal ground motion All ground motion records listed in Tables 4-9
components should be scaled in 'the time domain and 4-10 meet the following criteria:
such that the average value of the spectra of all + Free-field station (or ground floor of a small
scaled time history components matches the site building) ,
response spectrum over the period range of
interest. The period range 'of interest includes, but + Stiff or medium soil site conditions
is not limited to, periods at or near the effective • Large-magnitude earthquake (M;::: 6.5)
period of the building associated with the
+ Peak ground acceleration of at least O.2g
performance point determined by the nonlinear
(before scaling)
static analysis procedure (Chapter 8). If higher-
mode effects are being considered, then the period These records, after appropriate scaling, are
range of interest should also include periods at or suitable for time history analysis of buildings at all
near each higher-mode period of interest. sites (except soft or very soft soil sites) for ground
Commentary: A ground motion expert should shaking of 0.2 or greater EPA.
assist the structural engineer in the selection and
scaling of appropriate time histories.

Chapter 4, seismic Hazard


(=
(
(
(
((
:

c
(
Table 4·10. Earthquake Records at soil sites Near Sources
--- .-, ,-(

(
1 6.5 1979 Imperial valley, california EI centro Array station 6 USGS'!
2 6.5 1979 Imperial valley, California EI centro Array station 7 USGS (
3 7.1 1989 Lorna prieta, california corralitos COMG2
4 7.1 1989 Lorna prieta, California capitola COMG
(
5 6.9 1992 Cape Mendocino, canrornla Petrolia COMG (
6 6.7 1994 Northridge, california NeWhall Fire Station COMG
7 6.7 1994 Northridge, California svlmar Hospital COMG (
8 6.7 1994 Northridge, california . sylmar Converter station LAOWp3
(
9 6.7 1994 Northridge, California SVlmar converter sta. East LAOWP
10 6.7 "1994" Northridge, californi~ Rinaldi Treatment Plant LAOWP (
(
l. USGS: United States Geological Survey
2. CDMG: California Division of Mines and Geology
3. LADWP: Los Angeles Department of Water and Power
(
(1:
Figure 4-2 is a plot of 40 percent-damped smooth design spectra can significantly (
response spectra of the two horizontal components underpredict or overpredict response (and
of each of the 10 earthquake time histories listed in perforinance) that the building actually experiences (
Table 4-9 and the mean and mean + 1 standard during the design earthquake.
deviation of these 20 spectra. A dampinglevel of (
40 percent is used to represent the equivalent 4.5.2 criteria for Duration of Ground
viscous damping of a building that has yielded Shaking .
... \dO'.-... i
significantly, as described in Chapter 8. Each of The duration .of ground shaking should be
considered when selecting time histories and when
(
the 10 pairs of horizontal components have been
scaled such that their 5 percent-damped response determining an appropriate level of effective (
spectra approximately match the response spec- damping for the structural system. Effective
trum shown in Figure 4-1 for CA = 0.4 and,Cv = damping is usedto determine the response level of (I.
0.6. demand spectra, as described in Chapter 8.
Figure 4-2 compares the response spectrum of Structural systems that degrade with repeated
each' earthquake component and the mean (or cycles of high seismic demand will have reduced
mean + 1 sigma) response spectrum of the energy absorption (damping) capacity. The amount (
ensemble of all earthquake components. of degradation and the associated reduction in (

(
Significant differences typically exist between effective damping increases 'with the number of
mean (or mean + 1 sigma) response and that of cycles at or near the peak demand level.
individual components, even though each Two distinctly different earthquake scenarios
component represents the same site and source should be considered when evaluating duration
conditions and has been scaled to match a common effects on potential structural degradation and
target spectrum. Figure 4-2 illustrates that reduction in damping capacity. The first (
predictions of response (and performance) using

" -.
(-
4·14 Chapter 4, seisinic Hazard
(
:

spectrum (i.e., small/moderate spectral demand


.over.a.relatively long duration) ... Although, ground ....
shaking is not as strong in the second scenario, a
~ 0.6
c
longer duration of shaking increases the potential
o for degradation of the structural system. For the
~ 0.4 purpose of determining an appropriate level of
Cii
o
o
<:(
effective damping (Section 8.2.2), sites located In
ro... 0.2 seismic zone 3 should be assumed to have long-
ti
Q) duration ground shaking unless a properly
o,
en 0.0 +-----+-----+------1-----1 substantiated geotechnical study recommends
o 246 6 otherwise.
Spectral Displacement (Inches) For sites located in seismic zone 4 (with a
near-source factor of N < 1.2), ground shaking
Figure 4-2. Response spectra (40% Damping) of the duration ( in terms of the number of cycles of
Earthquake Records Listed in Table 4-9 demand at or near the peak demand level described
by the site spectrum), will depend on the
earthquake scenario is important for sites near a magnitude of the earthquake and the site soil
seismic source (fault). In this case, a relatively profile (and possibly other factors). For the
short duration of very strong shaking would be purpose of determining an appropriate level of
expected because of the proximity of the site to effective damping (Section 8.2.2), sites located in
fault rupture. The ground may shake for a seismic zone 4 (with a near-source factor of N <
considerable period of time (depending on the 1.2) should be assumed to have long-period
earthquake magnitude), but there would likely be ground shaking unless either the seismic source
only a few cycles of very strong pulses at the level. that governs ground shaking hazard at the site has
of response described by the site spectrum (i.e., a maximum moment magnitude of M::; 6.5 and the
large spectral demand over a relatively short site soil profile is rock or stiff soil (i.e., soil
duration). For the purpose of determining an profile type SB, Sc or SD), or a properly
appropriate level of effective damping substantiated geotechnical study recommends
(Section 8.2.2), sites with a near-source factor, N otherwise.
~ 1.2, may be assumed to have short-duration Commentary: An important potential
ground shaking. contributor to duration could be long-period
The second earthquake scenario is important resonance at soil sites due to basin effects. Long
for sites far from fault rupture (far from the duration ground shaking should be assumed for
causative source). In this case, a much longer soft soil sites unless a geotechnical study
duration of ground shaking would be expected at recorrunends otherwise.
the level of response described by the site

Chapter 4, seismic Hazard


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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUUDINGS

Chapter s
Determination of Deficiencies
AUdience Interest spectrum
owner Architect Bldg. Official

5a'l Introduction function as the lateral force resisting systems. In


A general sense of expected building concrete frame-wall buildings, walls provide all or
performance should be developed before part of the lateral force resisting systems. In some
performing a detailed analysis. This chapter is instances, such as at stair and elevator cores ,
intended to help develop such a sense. Emphasis is concrete walls may also carry some local vertical
placed on qualitative assessment relative to typical gravity loads.
concrete buildings.
5.2.1 Concrete Frame Systems
The following sections discuss observed
Concrete frames are monolithically cast
performance of existing concrete buildings and
systems of horizontal framing beams and vertical
present the basic steps of a preliminary evaluation
using simplified analysis. Preliminary evaluation framing columns that provide lateral resistance
involves acquisition of building data, review of the through bending of horizontal and vertical framing
elements (see Figure 5-1). Concrete frame
seismic hazard, identification of building
buildings commonly include interior beam-column
attributes, limited analysis, and characterization of
frames and perimeter pier-spandrel frames. Other
potential seismic deficiencies. With sufficient data
interior framing systems, designed only for
from documents, tests, and site visits, a useful set
vertical loads, should also be considered in the
of potential seismic deficiencies can be identified
evaluation of the building's ability to resist lateral
and used to inform engineering decisions or more
forces. These interior gravity load supporting
detailed investigations. The NEHRP Handbookfor
the Seismic Evaluation of Existing Buildings frame systems often include horizontal one or two-
(ESSC 1992),referred to as FEMA 178 is way flat slabs or joist framing in lieu of beams.
adopted as the primary basis for the preliminary Code minimum required proportions and
details for reinforced concrete buildings changed
evaluation procedures discussed in this Chapter.
dramatically in the early 1970s. Where earlier
codes focused on providing strengths to resist
Sa2 Description: Typical
code-specified lateral forces, around 1970 codes
Layouts and Details began to focus on aspects of proportioning and
Two main building types are discussed. Both detailing to achieve overall ductility or
feature a concrete frame carrying vertical gravity deformability as well as strength requirements.
loads. In concrete frame buildings, frames also Nonductile concrete frames, although often

Chapter 5, Determination of Deficiencies·


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SEISMIC EVALUATION AND RETROFIT OF CONCREtE Bun.DiNGS
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D: : : : : 0: : : : : 8: : : : : [J: : : ==0: : : : : [J: : : : tt : : == : tt : : : : :tl


Figure 5-1. Typical Concrete Frame Layout

designed to resist lateral forces, did not discontinued throughout the mid-span region of the
incorporate the special detailing provisions now beam. i..
required for ductile concrete. The affect of these typical conditions and
(
In pre-1970s concrete frame construction, it is deficiencies on seismic performance is discussed (
common to find inadequate lap splices for mai:D. below. (
reinforcing bars and a lack of adequate transverse (

reinforcing ties (see Figure 5-2). Lap splices in (


columns generally occurred just above the floor (

level where stress levels are highest. In addition, (


the column lap splices were generally very short, .1

often only 30 bar diameters or less in length, and (


(
were typically not confined with closely spaced
column ties. Main beam reinforcing was generally
Discontinuous
Reinforcement
(
designed for code force levels, not considering 1._--- Widely spaced (
effects of post-yield behavior. Beam topbars were ties
often terminated 6 to 8 feet from the coluiDn face.
Beam bottom bars were typically discontinued at !~--- Short lap
splice in high
the face of the supporting column or provided. with stress region
only a short lap centered on the column. The .
spacing of beam and column ties was typically
wide by today's standards. Column ties often
consisted of a single hoop with 90 degree hooks (
(
spaced at 12" to 18" on center. Beam ties, often
sized only for gravity shear loads, were spaced
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closely near the column face but widely spaced or Figure 5-2_ Typical pre-1970s Frame Elevation (

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Chapters, oetermination of Deficiencies (

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Figure 5-5. Typical Concrete Frame-Wall Layout

5.2.2 Concrete Frame-Wall Systems Floor plans that induce torsion, lack significant
Concrete frame-wall buildings typically torsional rigidity or have eccentric or skewed walls
possess a complete gravity frame system, often resulted. Perimeter walls typically contain
essentially independent of the concrete walls, to numerous window and door openings. In
support vertical loads (see Figure 5-3). However, multistory buildings, the openings were frequently
in some instances concrete walls may carry some arranged in a regular grid. This pattern of
local vertical gravity loads. openings gives rise to the pier and spandrel system
Concrete frame-wall buildings can include, for composed of relatively deep spandrel beams and
example, exterior perforated walls with short piers relatively short and wide wall piers. Floor framing
and deep spandrels, interior concrete walls near systems were often not designed to function as
stair and elevator cores, or perimeter frames with diaphragms, with collectors, drags and struts,
concrete infill walls. The buildings in this category capable of distributing floor inertial loads to The
generally have monolithically cast-in-place isolated interior andlor perimeter walls. Also,
reinforced concrete horizontal floor and roof adequate provisions to transfer the lateral load out
systems. Various concrete floor and roof framing of the walls into the foundation system are often:
systems used with this building type include flat lacking.
plate, pan joist or beam, one-way slab, and two- In existing, pre-1970s construction, it is
way slab or waffle slab systems. Concrete frame- common to find walls without confined boundary
wall buildings were popular for institutional uses, elements (see Figure 5-4). Vertical reinforcement
such as government offices, hospital wards, lap splices were usually designed for compression
schools, university buildings, court buildings, and loads only, in which case they may' be inadequate
prisons. for the flexural tension that may develop under
The layout of wall locations was, to a large realistic earthquake loads. Horizontal
part, dictated by functional considerations. In reinforcement also may be inadequately anchored.
many older buildings it was the only consideration.

Chapter 5, Determination of Deficiencies


---~.

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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS
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Boundaty exceeds O.2fe, confined boundary steel is placed. (
v: element _. _This. boundary..reinforcing_steelis_often.not presenL ..__
- . . ---Without - - .__.-- ,(
-----~
Open
confinement in older construction.
Where substantial wall openings are aligned (
vertically, the connecting segments may be
V Short lap
lengths
designed as coupling beams. Ductile coupling (
beams in buildings designed to meet current U. S.
codes are detailed with continuous top and bottom
I I
--1---------1" (and possibly diagonal) reinforcement that is well
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reinfolCing
anchored into the wall. As required by some
current codes, deeper coupling beams may be
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,
beams in older construction often lack many of ('
these detailing characteristics,
Beam transverse reinforcement with closed (
hoops having 135 degree hooks, provides shear

,~
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i- 4 1
r longitudinal bar buckling. Shear reinforcement is
\
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now proportioned to resist the shear corresponding (
<,
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....._
cu .choiaga
to development of beam flexural strengths.
In pre-1930s construction, it is common to
find concrete infill walls. The concrete infill was
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typically on the order of 6 to 8 inches thick and


Figure 5·4. Typical ere-tsros Wall configuration generally contained light reinforcement, such as (
3/8-inch diameter bars at 24 inches on center, in a
Wall thickness and transverse reinforcement single curtain near the center of the wall. In many (
were often sized to resist code-specified lateral cases, the reinforcing of the infill did not continue
forces rather than the shear corresponding to into the surrounding gravity frame, creating a
development of the wall's flexural capacity, so weakened plane around the infill boundaries.
almost all walls in these older buildings are shear Furthermore, the concrete used in the infill was
critical. Often, adequate attention was not paid to generally of lower quality than that used in the
construction joints, resulting in there being surrounding gravity frames. The concrete frames (
weakened planes in the vertical wall system. for these· buildings were designed exclusively as
Walls with openings have been designed and gravity-load-supporting frames. As a result, these
detailed in a variety of ways, the choice depending frames do not have the lateral stiffness and
on the expected behavior of the wall. Analysis strength to resist code-level design lateral forces.
methods used in design were commonly based on Furthermore, they generally lack the reinforcing-
the assumption that the openings did not interrupt continuous beam bottom bars through joints,
the monolithic form of the wall; interrupted continuous top beam bars at midspans, and shear (
reinforcement is placed at the boundary of the reinforcement or ties throughout the full beam
opening and diagonal steel may be placed across (
span-necessary to resist even moderate lateral '-
the comers to control cracking. forces. (

Where openings are more substantial, current The affects of these typical conditions on (
V .S. practice is to calculate stresses at the seismic performance is discussed below.
boundaries of the wall segments. lithe stress (
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chapter 5, Determination of Deficiencies t


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SEISMIC EVAl.UATION AND RETROFIT OF CONCRETE BUILDINGS

5.3 Seismic Performance elastic behavior that abruptly terminates in


material.rupture and subsequent.rapid.deterioration
5.3.1 csneral or disintegration. Once a critical force is reached
The seismic performance of a structure is in the element/connection, it experiences a rapid
dependent upon the performance characteristics of drop in· stiffness and strength. This is frequently
its critical components. The critical.components described as brittle behavior. Deformation
are those that are necessary for vertical stability controlled behavior is characterized by essentially
and those that comprise the seismic load path. In elastic performance until a critical force threshold
all buildings.' seismic inertial forces originate in is attained beyond which deformation continues
the components of the structure and are transferred with little or no increase, or decrease, in capacity.
through connections to horizontal diaphragm At this plateau, the component can continue to
systems. The horizontal diaphragm systems deform until material strain limits are exceeded at
distribute these inertial forces to vertical lateral which point rupture, crushing, fracture or slippage
force resisting elements which in tum transfer occurs. At this limiting deformation, a sudden loss
these forces to the foundations. When connections of stiffness and/or strength may also occur. This is
or elements along this seismic load path are' frequently described as a ductile behavior pattern.
subjected to forces and/or deformations that Unacceptable seismic performance in concrete
produce unacceptable damage states, deficiencies frame and frame-wall buildings, especially those
exist. When the elements of the structure that designed and constructed before the early 1970s, is
provide vertical stability can no longer maintain most often attributable to force controlled or brittle
that capability, deficiencies exist. failure mechanisms. General discussions of the
Through observation of building performance seismic performance of concrete systems and
in past earthquakes, a number of general building individual members found in frame and frame-wall
characteristics have been identified that have been buildings are available in several recent
responsible for localized component deficiencies. publications such as Paulay and Priestly (1992)
These characteristics include a discontinuous and Ferguson et al. (1988).
seismic load path, lack of redundancy in the
5.3.2 Concrete Frame systems
vertical shear'resisting system, vertical
irregularities (abrupt changes in stiffness, strength, 5.5..2. 1 General
or mass), plan configuration irregularities, and the
Concrete frame construction has several
presence of adjacent structures which may
potential failure modes that directly threaten the
potentially interact under seismic excitation. Any
structure's ability to' sustain vertical loads and
of these characteristics could occur in concrete
maintain stable lateral behavior. The largest
frame or concrete frame-wall buildings. Detailed
concern.is a brittle c~lumn failure mode caused by
analytical procedures can be used to establish to shear failure or compression crushing (due to
what extent these building characteristics cause
combined axial, flexural, and P-L1 effects) of the
unacceptable building performance, However, .
concrete. Systems that exhibit some (limited)
recognizing that these factors exist in a building is
yielding modes can also eventually form dangerous
a key consideration in developing an understanding-
collapse mechanisms as a result of stiffness or
of the building's expected seismic performance.
strength degradation at sections without ductile
Component and connection seismic
detailing. Punching shear failure in two-way slab
performance can be thought of in terms of
systems, for example, can instigate local collapse
response characteristics that are either force
of the floor. Also, localized concentrations of drift
controlled or deformation controlled. Force
due to-soft or weak story configurations are of
controlled behavior is characterized by essentially
serious concern. The challenge for the engineer is

Chapter 5, Determination of Deficiencies


(
(

SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILD_NGSt (


(
(
(
to identify all possible ways a frame building can entrant comers, or diaphragm openings and
fail, .determine.the..sequence, of failure..and.then. . discontinuities..These.deficienciea.often cause-. ---- _.. _.-_.
find ways to preclude catastrophic modes of significant differences between the building's
response to seismic ground motion. centers of mass. and rigidity (in one or more (
stories), resulting in the torsional response of the
5..3.2.2 Typical conFiguration building to seismic ground motions. Such torsional
DeFiciencies irregularities lead to concentrated demands on
Configurational deficiencies commonly found diaphragms and excessive deflections at building (
in concrete frame structural systems, such as an . ends. In many cases, conditions at adjacent stories
o
I

incomplete load path, vertical and/or horizontal can affect the stiffness properties of the irregular (
irregularities, and inappropriate columnlbeam story.
relative strengths can Iead to failure of individual (
5.3~2.2.4 Weak Column/Strong Beam.
members and connections. Optimum seismic performance is gained when (
5.3.2.2.1 Incomplete Load Path. A frame members have shear strengths greater than
complete and continuous seismic load path is bending strengths and when bending strengths of (
essential for the proper seismic behavior of a the columns are greater than the beams. These
structure. Missing links in the load' path must be features provide a controlled failure mode and, in
identified. Load path evaluation should begin by .multistory frames, increase the total energy
establishing the source of all lateral loads absorption capacity of the system. In older (
generated throughout the building, and then concrete frame buildings, where the beams are
tracking how those forces travel through the often stronger than the columns, column hinging
structurai systems; from the diaphragms to the can lead to a story mechanism, creating latge. p- (
vertical lateral force resisting elements, through delta effects and inelastic rotations in the columns.
various joints and connections, to the foundations. Column hinging is undesirable since this may lead
5.3.2.2.2 Vertical Irregularities. Vertical to loss of the column's gravity load carrying
irregularities typically occur in a story which is ability after only a very few cycles. Furthermore, (
significantly weaker, more flexible or heavier (due although isolated column hinging may be tolerable
to a greater mass) than stories above or below. in some circumstances, hinging of most or all of (
These irregularities are normally due to significant the columns on a single level will result in the loss
changes in building configuration such as setbacks, of lateral stability. FEMA 178.provides local joint (
discontinuous vertical elements, or changes in analyses for frames to evaluate the potential for
story heights. However, they sometimes arise due these effects.
to more subtle and less easily observed changes to
column dimensions, size and number of main 5.5.2.8 Detailing concerns
reinforcing steel, or column tie spacing. Vertical In general, most concrete frame buildings built
irregularities are difficult to appreciate by a visual before 1973 will contain an array of nonductile (

inspection or simplified estimation. FEMA 178 detailing of the reinforcing steel. As a result, these
(ESSC 1992) provides quick checking procedures nonductile frame buildings exhibit a wide range of
for concrete frame story capacities and drifts that generally poor seismic performance, .especially
can provide preliminary assessment for vertical once the elastic deformation limits of the concrete
irregularities. ' members are exceeded. Reinforcement detailing (
5.3.2.2.3 Horizontal Irregularities. conditions which should be investigated for
Horizontal irregularities of the concrete frame deficiencies in the preliminary evaluation include (
buildings are typically due to odd plan shapes, re- the following: (

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Chapter 5, Determination of Deficie-ncies
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(
SEISMU:: EVAL,UATION AND RETROFIT OF CONCRETE BUU.DINGS

• Quantity, size, and spacing of column 5.3.2.3.3 Beam/Column Joints. The lateral
transverse reinforcement-ties __. . stability ofthe frame. is dependent.upon the.. beam-
column joint remaining stable under large frame
.. Column ties in exterior columnlbeam joints
deformations. Adequate strength and toughness
+ Location and length of coliimn and beam main must be provided in the joint to sustain repeated
bar splices in critical regions cyclic stress reversals without the loss of joint
• Continuity of top and bottom beam bars integrity. In pre-1973 buildings, it is common for
through colurnnlbeam joints beams to frame eccentrically to the column. Also,
bottom longitudinal reinforcement may terminate a
• Use of bent longitudinal beam bars for shear short distance into the joint creating potential for
reinforcem~nt
bar pullout under moment reversals. In exterior
• Anchorage of-beam stirrups and column ties joints, hooked bars were normally bent away from
into the concrete core with 135 degree hooks the joint rather than into the joint. Column bars
• Continuous bars at flat slab (or plate) joints were often poorly distributed around the joint
with columns acting as a frame perimeter and spliced just above the beam-column
joint. In addition, transverse reinforcement in the
5.3.2.3.1 Beams. Transverse reinforcement
joint was often minimal or none at all. The lack of
in pre-1973 concrete buildings was designed to
joint transverse reinforcement may reduce the
resist code specified lateral forces rather than the
strength and ductility of the joint or the adjacent
shear corresponding to the development of the
framing members. Also, the presence of column
beam's flexural capacity. Also, concrete was
lap splices and discontinuous beam bars in
assumed to contribute to the shear strength in
adjacent framing members can limit the input
beam hinge regions. The resulting beam may
energy from those members so that premature joint
develop shear failure before or shortly after e,
failure is avoided.
development of flexural yielding and, as a result,
5.3.2.3.4 Flat Slab/ColUmn Frame
may undergo progressive deterioration and loss of
Systems. Older slab-column frames require special
deformation capacity at the face of the column.
attention in moment frame buildings, which may
5.3.2.3.2 Columns. In pre-1973 buildings,
experience large drifts during earthquakes. Pre-
the longitudinal column reinforcement bars were
1973 slab-column frames commonly do not have
commonly designed to resist moments generated
continuous slab reinforcement, and in particular,
by code-specified lateral forces rather than the
continuous bottom slab reinforcement, through the
moments associated with the capacities of the
column cage. Continuous bottom reinforcement
connecting beams. As opposed to current ductile
acts as flexural reinforcement when the moments
detailing requirements, which allow columns to
reverse under lateral load. It also acts to suspend
form plastic hinges and sustain frame
the slab through catenary action if a punching
displacements beyond their elastic limit while
shear failure of the slab occurs.
maintaining vertical load carrying capability, these
older columns are often weaker than the beams, 5.3.3 Concrete Frame-Wall system
leading to early column hinging and an undesirable
column side sway mechanism. However, it is 5.5..5.. 1 General
worth noting that the column design formulas and Historically, there have been relatively few
allowable stresses in these older codes were often cases of the collapse or partial collapse of frame-
more conservative than current provisions, wall buildings in past earthquakes. This generally
resulting in columns with substantial elastic good seismic performance is largely due to the
capacity in some cases. presence of the relatively stiff walls that prevent
the frames from experiencing very large lateral

Chapter 5, netermlnatton of Deficiencies


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Vertical discontinuity
-- --(
Wall
infill (
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\(.l Foundation
1.-

Figure 5-5. Typical vertical DiscontinuitY


(
displacements and deformations. Also, the presence the discontinued wall are subjected to large,
of an essentially complete vertical load carrying concentrated overturning reactions (see Figure 5-5). (
space frame eliminates the need for the walls to Frequently, these columns have been designed to
retain their vertical load carrying resistance resist only gravity loads. Under extreme seismic (
"
throughout the seismic response. Where collapses loading, the columns can experience forces well in
have occurred, they have been traced to irregular excess of their compressive capacity and suddenly
wall layouts, insufficient connections along the lose their ability to sustain gravity loads. These
seismic load path, poor concrete quality, inadequate- columns may also experience net uplift tension
reinforcement anchorage, or a grossly inadequate forces for which insufficient reinforcement has been
(
quantity or distribution of the walls. provided. These types of force controlled failures
The presence of these building attributes can can be sudden and catastrophic. They are (
give rise to a range of specific building considered serious deficiencies when the seismic
component/connection failure mechanisms. These force levels exceed the available column axial load
mechanisms include vertical discontinuities, weak capacities. A secondary structural impact of this
stories, perforated walls, coupling beams, shear type of deficiency is that the diaphragm at the level (
cracking, diagonal tension/compression, sliding of the discontinuity is required to transfer large
shear, reinforcement anchorage and confinement shear forces from the discontinued wall and (
and foundation anchorage and uplift. The challenge redistribute it to other available walls below. -Often,
to the engineer is to identify the possible ways the floor diaphragms are not designed for this (
frame-wall buildings can degrade, to determine the redistribution of wall shears and can become very
sequence of failure, and to find ways to control the highly overloaded
degradation to preclude catastrophic modes of 5.3.3.2.2 Weak Stories. Irregular placement (
response. of interior wall panels can result in significant
changes in strength and stiffness from floor t~ (-
5.:5.:5.2 Typical DeFiciencies floor. Of particular concern is a reduction in the
5.3.3.2.1 Vertical Discontinuity. The number of shear wall panels at the ground floor (
primary negative structural impact of a vertically level. This abrupt strength and stiffness reduction (

irregular placement of wall panels, in which an results in a floor level whose vertical shear resisting (
upper level wall (particularly one at an interior elements are likely to reach their limit response
column line) is not continued directly down to its states before the walls in the floors above have (
foundation, is that the columns below the ends of (

(
(
Chapter 5, Determination of Deficiencies
(
, (
:

Coupling
.. beams

Shear
wall ..

Coupling Beam Actions

Foundation
Figure 5-6. Typical coupling Beam

reached the elastic limit of their response. As a elements. The spandrel elements will perform in a
result, the weak or soft story will undergo large manner similar to frame beams. As noted for
lateral displacements in comparison to the floors coupling beams, these elements can be a
above. This concentration of lateral displacement deficiency if they are not reinforced adequately for
can lead to severe demands on the columns that theforces they develop in the piers. The behavior
provide the structure's vertical stability. A weak of these elements will typically be deformation
story is considered a deficiency if it can lead to a controlled but can be a serious deficiency if.
loss of vertical stability at the seismic hazard level yielding occurs at very low lateral force levels.
associated with the target performance objectives. This is true for all performance levels.
5.3.3.2.3 Perforated Walls and 5.3.3.2.4 Coupling Beams. Beam elements
Pier/Spandrel Conditions. Perimeter walls that are attached to adjacent shear walls tend to
frequently feature a large number of openings for couple the seismic resistance of the walls as if they
windows and doors. These openings typically were columns joined in a moment frame. If the
occur on a repeated module that provide an depth of the beam is sufficient, its stiffness may be
appealing symmetry. The perforated wall that great enough to restrain the rotation of the walls
results, acts to resist seismic forces as a significantly. However, the spandrel beam must be·
wall/frame wherein the piers act as column strong enough to sustain the corresponding shear
elements and the spandrels act as beams. In older forces and end moments associated with this
frame-wall buildings, the piers are often only frame-like behavior and, in many older buildings,
lightly reinforced, for both shear and flexure. there often is not sufficient reinforcement provided
While concentrated amounts of vertical reinforcing to accomplish this. Differences in taller wall pier
may be found at locations where a concrete stiffnesses due to axial tension and compression
column occurs, most often the column occurs at forces can cause tension to occur in coupling
the middle of the wall piers and does not beams as the pier, in compression, resists more
appreciably contribute to the lateral capacities of load than the pier in tension. As a consequence,
the wall pier. As a result, the piers are under- shear wall coupling beams can exhibit rapid
reinforced for both the shear forces and the diagonal tension failures (see Figure 5-6) similar
concentrated flexural tensile and compressive to that described in Section 5.3.3.2.5 below.
forces that result in the pier due to seismic actions. The failure of these elements can result in
The limited amount of tensile reinforcement can spalling of the concrete at or near the joint to the
result in relatively low flexural capacity of these

Chapter 5, Determination of Deficiencies


- )

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:: (
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V· Seismic shear
~
Shear wall
Reinforcement ~....,..,.........",=,...,,~_. -- ~--'----- ---,----
Diagonal crack-
Rapidly opening pattern (
cracks can lead to
spalling of concrete and
reinforcement buckling
when seismic fOrc~
,
reverse direction • r,
Foundation

Figure 5·7. Typical Shear cracking pattern


(
wall sections. Since coupling beams are frequently deformation controlled, behavior is maintained; (
located either on the perimeter of the building or More extensive shear cracking is considered
over areas of the structure that serve as exit acceptable for both the Life Safety and Structural
corridors, the degradation of these elements can Stability performance objectives. in all instances, (

create a falling hazard, which poses a minor to shear cracking is an acceptable damage state for . (
moderate Hie safety ~rsk to passersby or persons concrete shear walls provided that adequate
exiting .from the building. reinforcement is' provided to control the width of
Additionally, failure of these elements de- the cracks. When the reinforcement is insufficient,
couple the adjacent shear walls, thereby changing the widths of cracks open rapidly, which can lead
their effective stiffness. Often, this can represent a to buckling of the reinforcement and degradation
beneficial effect. Thus, coupling beam deficiencies of the wall's ability to sustain vertical loads (see
may be considered acceptable seismic performance Figure 5-7). A shear wall that is substantially
for both the Life Safety and "Structural Stability under-reinforced can thus exhibit brittle, force
performance objectives provided that any resulting controlled behavior and represent a serious
permanent offset of the structure is within . deficiency, once the force level associated with I

permissible bounds, stability Under gravity loads is initial cracking is reached, for higher levels of (
maintained, and falling debris does not jeopardize desired performance.
life safety. Walls that are more heavily reinforced and are (
5.3.3.2.5 Shear Cracking .and Diagonal subjected to extreme seismic demands may also
Tension/Compression. Walls that resist exhibit force controlled behavior related to shear
earthquake forces can exhibit diagonal patterns of cracking. This can occur when compressive
cracking that are attributable to the development of stresses are developed that exceed the concrete's
stresses in the concrete that exceed the concrete's compressive strength. When diagonal tension
principal tensile stress. The onset of shear cracking cracks form, it is generally held that a series of
is generally not considered a serious deficiency inclined tension and compression struts. act to resist
unless there is an insufficient amount of the shearing forces in the wall panel. When the
reinforcing steel in the wall to maintain compression strut force exceeds the compressive (
deformation controlled behavior. capacity of the concrete, crushing will occur (see I

Minor shear cracking is considered an Figure 5-8). Such a failure mode, when subjected (
acceptable damage state for even the Immediate to repeated reversing cycles of earthquake loading,
(
Occupancy performance objective if ductile, can lead to the generally gradual loss of the

Ii
C
5-10 Chapter 5, Determination o~ beficientles

(
:

V-Seismic shear
--..- Shear wall
__ . ..__ .. ._.' . ... .. . .. _ r - - - - - - , . , ; . ". __. ... ... .._.. _ . __ .. -.
Reinforcement Diagonal crack
pattern

Compressive
strut

Compressive
forces exceed
concrete capacity
Foundation
and a crushing
. - ' - - - ' - 1 - - - - - - - ' - - - , failure occurs

Figure s-e. Typical Combined Shear cracking / compression Failure

wall's ability to sustain large gravity loads. A considered acceptable s~ismic performance for
deficiency of this type can occur When there is a both the Life Safety and Structural Stability
grossly inadequate amount of wall provided, weak performance objectives provided that any resulting
or disintegrated concrete is present, and the wall is permanent offset of the structure is within
subjected to large gravity loads. Similar to . permissible bounds and stability under gravity
coupling beam failures, shear cracking/diagonal loads is maintained. .
tension failures can be considered acceptable if 5.3.3.2.7 Reinforcement Anchorage and
permanent offsets are within permissible bounds Confinement. The lengths of reinforcing bar lap
and stability under gravity loads is maintained. splicing used in older concrete buildings is often
5.3.3.2.6 Sliding Shear. Sliding shear not sufficient to develop the yield capacity of bars.
failure can occurat a weak plane, such asa In shear walls, where flexural behavior is
construction joint, or along flexural cracks that important, insufficient lap lengths of the boundary
have opened up or propagated, after several reinforcing can lead to bar slip before the
cycles of loading, to form a shear failure plane. In development of yield stresses in the reinforcing.
addition, formation of a shear failure plane can . Inadequate confinement of the concrete at wall
occur after concrete crushing has occurred at both boundaries can also limit the effectiveness of the
ends of a wall. lap splices used for vertical boundary reinforcing
Once a crack has been established across the 3.J."1.d of the anchorage of horizontal wall
section, shear forces are resisted only by the reinforcing. Premature slippage of reinforcing is a
doweling action of the reinforcing steel crossing significant modeling concern that should be
the crack or joint. Continued cycles of seismic accounted for by the use of a reduced reinforcing
load reversal can cause kinking or fracturing of capacity. Once reinforcing slippage begins to
this reinforcement. Once a significant number of occur, a brittle, force controlled mechanism can
reinforcing bars have been bent or broken, result. In the case of vertical boundary
resistance to seismic shearing forces can only be reinforcement, slippage can be accompanied by a
mobilized through frictional resistance along the loss of flexural resistance which leads to a
shear plane. This form of resistance is force progressive deterioration of the wall boundaries.
controlled and can lead to significant permanent The slippage of horizontal wall reinforcement can
offsets which, if great enough, can result in aggravate development of shear cracking in the
vertical instability. Sliding Shear failures can be wall. The damages resulting from this type of

Chapter 5, Determination of Deficiencies 5-11


(
(
(
(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUn.DINGS (
(

:
(

(
deficiency may be considered to be acceptable The potential for foundation flexibility or rocking
seismic...performance for.either the. Life Safety-or-_ ... .should be.assessed.during..the..preliminary----. -_... - . . ..
Structural Stability performance objectives evaluation of deficiencies.
provided that any resulting permanent offset of the
structure is within permissible limits and stability 5.4 Data Collection
under gravity loads is maintained.
5.3.3.2.8 Foundation Anchorage and 5.4.1 Introduction (

Uplift. Analogous to the lap splice condition The seismic evaluation of existing concrete l~(
described in Section 5.3.3.2.7 above, the length of buildings depends on data collection as a factual
embedment used in older buildings for anchorage basis. The data collection process includes (
of the vertical wall reinforcing into the foundations acquisition of available documents, field (
is often not sufficient to develop the yield capacity observations, field investigations, materials
of the bars. The resulting slippage of the testing, and documentation. While the extent of the (
reinforcement can lead to the same kind of data acquisition process will vary from building to
performance as described for inadequate lap building and will depend on the availability of (
(
splices. drawings and the level of evaluation being
In older concrete buildings, the footings that performed, i.e. preliminary evaluation, detailed (
support concrete walls were sized for gravity evaluation and analysis, or preparation of final
(
loads. The large retrofit construction -
concentration of documents, accurate
force at the ends of building information is
shear walls necessary, in any event,
resisting seismic <.in the following areas:
loads can exceed . • Building geometry,
both the tributary configuration, and
dead load at the mass (including (
foundation or the structural,
compressive architectural and
bearing strength of mechanical systems)
(
the soils. Such • Elements of the
conditions can give seismic load path, (
rise to foundation rocking. The phenomena of including frames, walls, diaphragms,
foundation rocking tends to reduce the effective . foundations, and connections
stiffness of the wall. This can have a variety of + Configuration and layout of structural
effects, either beneficial or detrimental, on the members, including size of members, size of
building's seismic performance. Rocking could reinforcing, tie spacing, splice locations, and
lengthen the building period sufficiently to actually concrete cover
reduce the force demand, thus actually protecting • Properties of the materials used in the
force critical elements in some cases. Rocking structural system, such as concrete and steel
could, however, also lead to significantly larger reinforcing (
displacements than would be predicted by fixed • Anchorage of nonstructural elements
base modeling and thus contribute to potential
vertical load carrying instabilities due to the P - L1 Tables 5-1 through 5-4 summarize the data I

effect. A detailed discussion of foundation effects collection process as it relates to availability of (


on seismic performance is provided in Chapter 10. drawings and level of evaluation. The tables

5-112 Chapter 5, Determination of Deficiencies


provide guidance for the applicability of the building. If drawings cannot be located, substantial
specific data.collection,items.for.which the__ ... .....effort,will be.required.to, document.the..existing - .
following sections provide more detailed construction, even for preliminary evaluation of
descriptions. deficiencies, and a detailed evaluation of the
Commentary: The amount of information structure will require extensive field testing.
gathered should be sufficient to perform the In addition to construction drawings, it may be
various levels of evaluation and analysis discussed . helpful to acquire, to the extent possible, the
in this document, yet it may be imprudent to col- following documents:
lect more information than necessary for a specific .. Structural calculations
stage in the evaluation process. For example, if it
.. Site seismicity I geotechnical reports
is not clear whether retrofitwill be required; the
data collection process should be geared towards .. Foundation reports
gathering just enough information to make that .. Prior building assessments
determination, whereas once the determination to
retrofit has been made, the data collection process 5.4.3 Field Observations
will usually be much more extensive. It is of paramount importance that the
It may not be necessary to identify the evaluating engineer conduct field observations of
configuration and layout of all structural members the building. Though the extent will vary
in the building. However, as required by the level depending on the evaluation requirements, primary
of evaluation, information should be acquired for purposes and types of the field observations typical
all structural members that either are part of the for most projects are as follows:
seismic load path (e.g. walls and diaphragms) or
• Verification of the accuracy of the original
are necessary for vertical stability of the structure
drawings or determination of basic building
and may be susceptible to failure because of
information if no drawings are available
building accelerations or displacements during
earthquakes. .. Identification of major alterations not shown
on the original construction documents. Major
5.4.2 Acquisition of Available additions and alterations are not uncommon
Documents and may have significant impacts on the '*
The single most important step in the data seismic performance of the building
collection process is the acquisition of documents .. Identification of visible structural damage,
describing the existing construction. The review of such as concrete cracking or spalling.
construction drawings will simplify field work and Structural damage or cyclic degradation caused
lead to a more complete understanding of the by prior earthquakes, deterioration, or poor
building, especially considering that no amount of quality original construction may reduce the
field investigation and testing can substitute for the available structural capacity of the building
information available in the original drawings.
Acquisition of the original architectural and .. Identification of potential nonstructural falling
structural construction drawings is often critical to hazards, including ceilings, partitions, curtain
an accurate and cost effective evaluation. Potential walls, veneer, mechanical systems, fixtures,
resources include the current building owner, and other nonstructural building elements
building departments, and the original architects .. Documentation of existing conditions with
/engineers. In some cases, drawings may also be photographs at key locations. These
available from architects or engineers who have photographs often serve as a useful verification
performed prior evaluations for the specific tool during the evaluation process

Chapter 5, Determination of. Deficiencies .


:

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Table 5-1. inFormation Ilequir"ed For preliminary seismic Evaluation When original .
._co..nstructi~/!-,~~a.rJ!!!1!fls..~/:.eA.v.aj!F!P.!..f!!. .__ _. _. . . ._. .
(
(
(
structural calculations x Helpful but not essential
(
Site selsmtcltv, geotechnical x Helpful but updated report should be none (
report
Foundation report x Helpful but not essential
prior seismic assessment reports x Helpful but not essential
Condition survey of building x
(
Alteration and as built assessment x (
walk through dimensioning .X unless required by undocumented alterations (
Nonstructural wall< through . x Identify falling hazards, weight. (

Core testing x Unless concrete appears substandard (


(
Rebound hammer testing .x Unless concrete appears substandard
Aggregate testing x
Reinforcement testing x
Reinf. location verification x unless insufficient info. on drawings
Nonstructural exploration x

Table 5-2. Information Ilequired For prMiminary seismic Evaluation When original
Construction Drawings are Not Available
:

Table 5-5. Information eequired For a Detailed seismic Evaluation When Original
. __
constructfqn.p..r?.wiJ1g?-~rfE...-9.Yf!fJ?!lj!l.. .._ . __.__ .... . ----.-.-- . .. ._ ---

structural calculations x could be very helpful


site seismicity, geotech rpt, x Helpful but not essential
Foundation report x Helpful but not essential
prior seismic assessmentreports x Helpful.but not essential
Condition survey of building .' x
Arteratton and as built assessment x
l!I!alkthrough dtmenstonlns x spot checking is appropriate
Nonstructural wi:3lk through _ Identify falling hazards, weight
core testing x Minimum 2 per floor, 8 per building
Rebound hammer testing x Minimum 8 per floor, 16 per building
Aggregate testing x Each core
Reinforcement testing x optional
Reinforcement location verification x pachometer @ 10% of critical locations, visual @ 2
locations
Nonstructural exploration x verify anchorage and bracing conditions for
components sensitive to Building performa'nce

Table 5-4. Information eequired For a Detailed Seismic Evaluation When original
construction Drawings are-Not Available .

structural calculations .x could be very helPful


site seismicity, geotech rpt, x Helpful but not essential
Foundation report x Helpful but not essential
prior seismic assessmentreports x Helpful but not essential
Condition survey of building x
Alteration and as built assessment x
Walk through dimensioning x Must be done very thoroughly, particularly if structure
will be retrofitted
Nonstructural walK through x Identify falling hazards, weight
core testing Minimum 2 per floor, 8 per building
Rebound hammer testing x Minimum 8 per floor, 16 per building
Aggregate testing x Each core
Reinforcement testing x 2 per type-
Reinforcement location verification x Pachometer for all critical elements, visual on 25%
Nonstructural exploration x Verify anchorage and bracing conditions for
components sensitive to Building performan'ce

Chapter 5, Determination of Def!ciendes


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SEISMIC EVALUATION' 4MD RETROFIT 'OF CONCRETE aUILDINGS (

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5.4.4 Materials Testing . pachometer or exploration) in order to avoid
.. -. ---If-ori.ginal-constructiQn-doGuments-·are-a-vailable---- .Q<;Jrnaging..the_existing-stlUCtural-s-ystem..- ---'------
and no deterioration has been observed during the : Commentary: The in situ concrete compressive
field observations, a preliminary evaluation may be . strength is typically higher than specified on the (
completed by using 'materials strength 'data from the construction documents. The testing, therefore, will
documents.' However, the techniques for detailed typically benefit the evaluation process by (
evaluations and analyses require accurate material demonstrating the actual capacity of the existing
properties for evaluating the strength and stiffness building materials. In some situations, however,
of the building systems; elements, and connections. testing may identify low concrete strengths
If original construction data regarding the strengths. attributable to poor quality of the original
of the materials are not available, a materials testing construction or to deterioration due to adverse
program should be established to determine the in . environmental conditions.
situ strength of the concrete and reiiiforcing steel
5.4.4.2 Rebound Hammer Testing
that serve as the primary structuralmaterials. Even
when the specified material strength data are S41ce the number of core samples that can be
available, a testing program should be undertaken to taken is limited because of the destructive nature of
establish and/or verify the actual materials strength sampling, rebound hammer testing should be (
data for detailed analytical studies; . performed to supplement the concrete strength data.
A typical detailed testing program should A minimum of eight rebound hammer tests should
include pachometer (resistance meter) testing to be taken at each floor level, with a minimum of 16
verify the existence and spacing of reinforcing bars, test locations per building. Calibration of the
concrete core testing; "rebound hammer testing of rebound hammer testing should occur adjacent to
concrete, unit weight testing, of concrete aggregate, core test locations.
and testing of steel reinforcement. Also, the 5.4.4..3 Aggregate Testing
concrete cover should be removed in a limited .. The unit weight of the concrete should be tested
number of locations to verify the accuracy of the (
to:determine whether lightweight aggregates were
pachometer readings and the bar sizes. The
used in the concrete construction. This information
evaluating engineer should determine the types and ! .

can generally be obtained from the core samples


extent of testing based on the requirements of each
used for compression testing. (
specific project. .
5.4.4..4 ReinFOrcement Testing
5.4.4.1 Core Testing
Reinforcing samples should be taken from the
.Core testing provides a reliable method for the
building to determine the strength and deformability
determination of concrete compressive strength to
of the steel. Minimum test data should include
be used in the evaluation and analysis process. Core
stress' and straininformation at Yield and at rupture.
samples should be taken from critical structural
When required by the analysis procedures, a
elements such as shear walls, frames, and
minimum of two samples should be tested from
diaphragms. Because of the destructive nature of
each type of reinforcement (e.g., beam longitudinal
the coring process, however, testing can generally steel, beam "ties, column longitudinal steel, column
be limited to two concrete"core samples for each ties, slab reinforcing, wall reinforcing). In addition,
floor level, with a minimuin of eight samples per if potential retrofit schemes include the welding of
building. However, if testing results vary widely, existingreinforcing, chemical analysis of the steel
additional core samples may be required. Prior to samples should be performed. to determine
coring, the existing ste~l should be located (e.g. by equivalent carbon content.
(

5-16 Chapter 5, Determination of Deficiencies


:

5.4.5 Detailed Field Investigation deformation controlled component behavior cannot


. . ... If adequate coastruotion decume1.lts--are----.--- - .. ..... be.made. in a.reliable.manner.without.this.L, .-- ..... ....
available, detailed field investigation is not information.
necessary for a preliminary evaluation, Well- Several techniques are useful in determining the
developed construction drawings, as confirmed by as-built reinforcement configuration in existing
field observations, are generally adequate to buildings. In general, nondestructive testing such as
identify the seismic load path, identify reinforcing pachometer or X-ray testing Can be used to
configurations, calculate the weight/mass of determine the location and quantity of the
building systems, and reinforcement. Exploratory probes
identify the anchorage of should be made in localized areas to
nonstructural elements. remove concrete cover and expose the
If construction reinforcement and confirm the results
documents for the building of the nondestructive testing.
are not available, detailed As information is collected, record
field investigations will be drawings should be developed for the
necessary to collect the . building to document the gathered
building data described information and identify areas where
above. Field investigations additional information/investigation is
for the collection of required. As a minimum, record
building data can be a drawings should include structural
daunting task, especially in reinforced concrete plan layouts of each floor level, details of
structures. The field investigation program must be reinforcing conditions, identification of materials
tailored to each specific project, striking a balance strengths, and typical details used to brace
between obtaining the necessary data and keeping nonstructural elements. The documentation should
the cost of the investigation program reasonable. In contain sufficient information to make it possible to
many cases the structural elements are covered with evaluate the strength and deforrnability of the
architectural finishes, and some removal and/or soft building systems. .
demolition may be required in order to obtain the
necessary information. Furthermore; it will not be 5 ..5 Review of Seismic
possible to perform a detailed investigation on each Hazard
element of the structural system. Sound engineering Site characterization and seismic hazard
judgment will be required to conservatively derivation are discussed in Chapter 4. There, 5
extrapolate results from a representative sample of
percent damped elastic response spectra for various
detailed inspections to the global building system. hazard levels are defined in terms of coefficients CA
Detailed building survey data should be .recorded in and Cv. These coefficients may also be used with
a set of drawings that depict the buildings primary, FEMA 178 base shear equations for preliminary
vertical and lateral force resisting system. analyses described in Sections 5.6 and 5.7.
To perform detailed analyticalevaluations, it is
The potential for ground failure should be
necessary that a materials testing program, similar . reviewed as described in Section 4.3. When ground
to the one described above, be used, whether failure is deemed likely, the preliminary evaluation
drawings are available or not. To predict seismic described in Sections 5.6 and 5.7 is not sufficient.
performance using the analytical procedures in this
Commentary: The simplified analysis methods
document, it is necessary that concrete and
used for preliminary evaluation are not considered
reinforcing strengths be well defined.
adequate to account for ground failure or complex
Determination of the onset of force controlled and
soil-structure effects. "When ground failure is

Chapter 5, oeterminatiqn .o.f Deficiencies.


(
(
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SEISMIC EVALUATION AND RtsTRDFIT OF CONCRETl'!f BUII.DINGS (-
(
(
(
indicated, a geotechnical engineer should extremely weak or brittle components. When \

recommend-mitigation. measures-or- pro.vide---.-" "- .components-on-the...seismie-Ioad.path-are.. subjected~- - .


parameters for a detailed analysis. to forces or deformations that produce unacceptable
damage, deficiencies exist. (
5 ..6 Identification of To define the seismic load path, first locate the
principal mass elements. In concrete buildings, (
Potential Deficiencies
floor and roof diaphragms usually account for most
5.6.1 Introduction of the mass, and the lateral load resisting system
.it;seIf accounts for much of the rest. Next, identify
Potential deficiencies are conditions that might
shear-resisting elements in each story that "link the
lead to unacceptable performance at a local or . -
global level. Identification of potential deficiencies
"masses to each other, typically walls and frame (
c~l~. Determine,~:the method(s) of connecting
requires only quick and limited analyses based on
vertical shear resisting elements to horizontal (
available building information. These conservative
diaphragms.
simplified analyses' are intended to find potential' ,
(
deficiencies that require detailed evaluation. 5.6.3" seteetlon of Evaluation
Commentary: A list ofpotential deficiencies Statements (
will generally serve as the basis for more detailed
The recommended procedure for' identifying :
analyses (Chapters 8-11) used to check acceptability (
potential seismic deficiencies is based on "the
of the existing or retrofitted building, In some ..
TruelFalse "evaluation statement" methodology ~f
instances it may be possible to identify deficiencies
FEMA 178-(BSSC 1992). After aseismic load path
of such a serious nature that the decision to retrofit
for the structure has been defined, the most
or abandon the structure can be made without
appropriate set of FEMA 17.8 evaluation: statements
further study. This may be particularly true for
is selected.
Performance Objectives r:equiring Immediate
Commentary: For most concrete buildings, only
Occupancy. . (
three sets of evaluation statements will be needed:
The engineer should understand the limited
General Evaluation Statements for foundations 'and
precision of simplified analyses and should.define
nonstruetural elements, Building Type 8 statements
potential deficiencies accordingly, Deficiencies
for Concrete Moment Frames, and Building Type 9
identified in this manner may not represent (
statementsfor Concrete Shear Walls.
conditions hazardous enough to jeopardize
For purposes ofpreliminary. evaluation, FEMA (
structural stability or life safety. In most cases,
178 evaluation statements q.re most useful as
more detailed investigations are required to check
indicators of qualitative deficiencies. Their
acceptability at the desired performance levels, .
systematic use by experienced engineers can be
hence the label "potential." .
expected to find deficiencies associated with
5.6.2 Definition of Seismic load Path irregular building configurations, incomplete or
To identify potential seismic deficiencies, the
poorly-conceived structural systems, and some E
inadequate- details. They should not be expected to
first step is to define the components (including (
identify specific "local deficiencies without further
connections) that constitute the seismic load path. A
analysis. Refer t? Section5.6.4.3 commentary. (
complete and adequate seismic load path is
fundamental to acceptable" seismic performance. All
existing buildings have a lateral load path of some (
kind. Non-engineered structures and older buildings
not designed for lateral load resistance may have a (
\.
lateral load path that relies partly on friction or on
(
\.;.

(
5-18 Chapter 5, DeterminatiOn of Deficiencies
5.6.4 Simplified Analysis flexural load may require reasonably accurate
_ _. ._. _._.._.._ _. ._.-. _.-- ----------.-.. -----~- ---. --. -.estimates.of- gm.vity..load.---,-_-- -- ---- -.- -- .
5.6.4.1 General
A simplified analysis provides relative 5.6.4.3 Global Demand
quantitative data for the preliminary evaluation Because the preliminary evaluation is intended
discussed further in.Section 5.7. Simplified analysis to identify broad patterns of expected behavior,
results can also yield useful results can be
insights useful for obtained with any set of
modeling elements and lateral forces that
components for approximates. the
detailed analysis building's modal
(Chapter 9). response. A building
Commentary: code or FEMA 178
Because simplified force level and
analyses with linear distribution is simple,
elastic properties do convenient, and
not account for sufficiently accurate. (If
inelastic deformations, FEMA 178 demands are
degrading strength, or force redistributions, . used, CA and. Cv values
component forces are best understood ·in relative . from Chapter 4 may be used.) It is important to
terms. For example, where inelasticity is. keep in mind, however, that codes and handbook
anticipated, simplified analysis results can indicate documents like FEMA 178 often reflect particular
which components have the highest demands or are performance objectives that may be different from
likely to hinge first, but can not reliably predict those chosen for the subject building (see Chapter
absolute stresses or plastic rotations. In general, 3). Thus, while simplified analysis with these
the analysis procedures ofFEMA 178 are demands may yield useful results, actual expected
acceptable-. Refer to Section 5.6.4.3 commentary. demands (Chapters 3 and 4) may be quite different.
Commentary: FEMA 178 demands and
5.6.4.2 Mass response coefficients (R values) imply a
Seismic forces are proportional to the inertial Performance Objective ofLife Safety in a modified
mass of the structure. The simplified analysis Design Earthquake. If the subject building's
requires mass estimates at each level of the performance objective involves a different
structure, considering both structural and earthquake or a different desired performance level,
architectural elements. The estimate should include FEMA 178 acceptance criteria might not be
ceilings, roof coverings, floor toppings, wall appropriate. For preliminary evaluation, however,
covering, and other items considered permanent the goal is a general understanding of expected
parts of the building. response, so absolute demand levels and
Commentary: In general, simplified analysis for quantitative acceptance criteria are unimportant.
identifying potential deficiencies requires relative
forces only" However, if a detailed analysis per 5.6.4.4 Component Demand
Chapters 8 through 11 is anticipated, the use of The seismic demand forces derived in
dead load plus likely live load (see Section 9.2) for accordance with Section 5.6.4.3 must be distributed
this simplified analysis can avoid some duplication to the various components (including connections)
of effort. Also, useful demand/capacity ratios for that constitute the seismic load path. The
columns and other components subject to axial- distribution may be made on the basis of relative

Chapter 5, Determination of Deficiencies


SEISMIC EVALUATION· AND RETROFIT OF CONCRETE BUILDINGS

; ( ,
".

rigidities of horizontal diaphragms and vertical in contrast to the "detailed" approaches described in ( ~
shear. resisting elements.. Particular.artention.should.; _. ..Chapters B_thrOllg1Lll_The.prelimina ry_ ev:a1uation-- _.._..(
be paid to portions of the load path where vertical is intended to help develop a general sense of the I"

elements are discontinuous. structure's expected performance in the absence of (


Commentary: Approximate force distributions a detailed analysis. The preliminary evaluation is
and hand calculations are appropriate for and based on potential deficiencies determined in ( I.

consistent with the precision of this simplified " acpordan.c~ with Section 5.6. ( -.
analysis. Labor intensive' Commentary:~,
refinements will not .Potential deficiencies (
appreciably improve the include high
precision ofthe'FEMA 178 ': demand/capacity ratios ('
methodology. . and False evaluation
statements. As noted in- (
5.6.4.5 Deficiency Section 5.6.43, the global
Definition demand usedfor simplified (
To identify potential analysis may or ma:y not
deficiencies, the force '..approximate the seismic (
actions are compared to '. forces derived in
corresponding capacities 3$ . accordance with Chapter 4
demand/capacity ratios for the building's .
(DCRs). Demands for DCR'calculations must performance objective. If they do, then rough'
include gravity effects. Evaluation statement thresholds for acceptable DCRs ma:y be set based on
responses should be reviewed and completed in engineering judgment and project-specific
light of calculated DCRs: High'Df'Rs and
conditions that yield 'False statements indicate
requirements. If they do not, then absolute DCR .
values must be read with. careful consideration of'
r \
I
potential deficiencies. differences between applied and expected demands. (
Commentary: Capacities for DCR calculations In general, the location and distribution of the
\
J
may be established with the FEMA 178 guidelines critical. highest DCRs is most instructive. C \
and other reference sources that provide an estimate
of usable strength. "High DCRs" must be judged
The most critical potential deficiencies are those ( ,
which, if realized in an earthquake, can alter the '.
considering the demands and capacities used arid building's overall inelastic response. The
the building's actual performance objective.
(
consequences of potential inelastic response should \.
Assuming FEMA 178 demands and capacities, and
a performance objective consistent w~th that
be considered at both local and global levels, as
discussed in the following sections.
C',
I
assumed 1:Jy FEMA 178; DCRs approaching 1.0 (or
higher) indicate potential deficiencies, whose 5.7.1 Member Inelasticity (r
I
significance must be evaluated 1:Jy the engineer For the highest demand/capacity ratio at each (
(refer to Section 5.6.4.3 commentary). floor and at each part of the load path (the locally
highest DCR), determine whether the associated
5.7 preliminary EVfJlluation behavior is force-controlled or deformation-
(
of Anticipated. Seismic controlled (refer to Figure 5-9 in Section 5.7.2, and \
Section 9.5.4.1). Force-controlled actions more
Performance (
frequently produce unacceptable seismic \
The analyses and assessment methods described perforinance. The highest force-controlled DCR ( ,
in this chapter constitute a "preliminary evaluation" should be determined. Review the list of typical
(
\-':'

(
5-20 Chapter 5, Determination of Deficiencies' \,

(
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:

Deformation- DCR demands must include gravity ejJeets. If


_________. --,. , ..
controlled ._...,. ... _...t_he.uroootti if- .
e.propottum.ot.capacuy.use . ar.gtasity,
dfc . 1oad.--._._
behavior
vanes wz e y among cruica components, the .
• id. I .. 1
sequence of hinging may be better approximated by
DEICE ratios as recommended by FEMA 178. 112 this

~Force­
ratio, the demand is due to seismic loads only, and
the capacity is reduced to that available for seismic
controlled loads after gravity loads have been applied.
behavior
The horizontal distribution of the highest
demand/capacity ratios should be noted. High
Deformation DCRs concentrated 'at'one end or in one portion of
the structure, indicate a potential for local failure or
loss of torsional stability. High ratios that are
Figure 5-9: comparison of rorce-ws. Deformation-
.controlled Behavior scattered suggest that the onset of post elastic
structural behavior will be well distributed, a
beneficial attribute.
deficiencies (Sections' 5.3.2.2 and 5.3.3.2) for The vertical distribution and magnitude of the
Concrete Frame and Concrete Frame-Wall . highest demand/capacity ratios should be noted.
buildings and identify corresponding DCRs. High ratios in vertical shear-resisting elements
Locally highest DCRs in force-controlled concentrated at a particular level indicate a potential
actions such as shear are critical deficiencies, and weak story. As previouslynoted, such a deficiency
locally highest DCRs in deformation-controlled is common to Concrete Frame-Wall buildings.
components may be critical deficiencies. Very high
DCRs in deformation-controlled components are 5.8 preliminary Evaluation
likely to reflect deficiencies since early yielding of. Conclusions and
these elements will concentrate inelastic Recommendations
deformations among just a few members as opposed
to a more desirable distribution among many 5.8.1 General
members. Preliminary evaluation findings should be
5.7.2 Respons~ Scenario reported in a context that facilitates appropriate
decision making. In general, the preliminary
Global inelastic response can be understood as
evaluation will support one of three basic options
the sequential yielding and degrading of individual
(although others are certainly conceivable):
load path components. The sequence of yielding can
Retrofitting Recommended, Detailed Evaluation
be approximated by listing demand/capacity ratios
Recommended, Performance Acceptable.
from highest to lowest: Combined with
considerations of horizontal and vertical DCR 5.8.2 Retrofitting Recommended
distributions, such a list suggests a "response
When the preliminary evaluation reveals a
scenario," i.e. a conceptual representation of the
significant number of critical force-controlled
structure's anticipated seismic performance. deficiencies, then a more detailed analysis may not
Commentary: Because forces in a real structure be needed to conclude that retrofit is required.
are redistributed after some components hinge or Conditions that may lead to this conclusion include
degrade, this approximation of hinging sequence is critical DCRs in force-controlled load path elements
only reasonable for the first few hinges, and only if without backup systems, locally highest DCRs
their DCRs are relatively close in value. clustered at one floor (suggesting a weak story), and

Chapter 5, Determination of De.ficiencies


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SEISMIC EVALuaTION AND RETROFIT OF' CONCRETE BUILDINGS (
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critical deficiencies at the perimeter of the building affect the expected performance, then retrofit
(suggestingtorsional.instability). .Even.when..__._.__._. __ .. __ . modifications.to.mitigate.its.effects-should be--.--....
preliminary evaluation suggests strongly that retrofit recommended even if the' building is otherwise
is required, detailed evaluation (Chapters 8-11) is acceptable. This is .true for potential ground failures (
still expected to provide a more thorough ,. as well.
understanding of expected performance. (
5.8.5.2 Potential Nonstructural
5.8.3 Detailed Evaluation DeFiciencies
Recommended - Identification of nonstructural deficiencies is
For structures whose critical elements and presented in Chapter 12. Preliminary evaluation
components are deformation-controlled, detailed conclusions should consider thenature and extent of (
evaluation (Chapters 8 through 11) is usually nonstructural deficiencies.
appropriate. Unless the critical demand/capacity Normally, life safety concerns associated with. (
ratios are clustered or are extremely high, . nonstructural components are of greatest concern
deformation-controlled deficiencies may not be so (see Table 5-5). Besides the potential risk of (
severe so as to prevent acceptable performance. A components falling directly on building occupants,
detailed evaluation may demonstrate acceptable some components (e.g. hazardous materials, (
performance in structures that appear from pressurized piping) pose secondary hazards. Life
simplified analysis to be deficient. safety also depends on the ease of egress from an (
affected building under emergency conditions. Both
5.8.4 Acceptable Performance high accelerations and' large relative displacements
Only in very rare circumstances can acceptable can damage nonstructural·components. Chapter 12
performance be reliably assured without detailed provides further guidance on- the acceptability of
analysis. As such, no general criteria for reaching' nonstructural damage depending on-the overall (J
this conclusion are available, although it is clear performance goals for the building. ' f
that acceptable performance.based on preliminary Commentary: If the scope of nonstructural (
evaluation would certainly require very low deficiencies is extensive, retrofitting may be the
demand/capacity ratios (considering the actual most cost effective approach. If architectural
Performance Objective), "True" responses to all or finishes must be removed in large areas in order to
most evaluation statements, and reliable building mitigate nonstructural deficiencies, a significant (
response scenarios. portion of the cost of modifying' an underlying
(
structural component will already be incurred.
5.8.5 other considerations
.- . 5.8.5.. :5 Additional Testing
5.8.5.1 Related structural Hazards When preliminary evaluation conclusions rely
Adjacent structures that may interact seismically on assumptions or incomplete information,
with the subject building should be considered in additional testing may be warranted before a course, (
the preliminary evaluation conclusions and of action is determined. Additional testing. can also
recommendations: If pounding appears likely to' be used to rule out potential deficiencies.

(
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5-22 Chapter 5, Determi~~tion of Deficie~cies
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Table 5-5. cenerst Characteristics of Nonstructural component (adapted From ATc;. 1996al

Exterior skin Adhered veneer ./ ./ ./

Glass blocks ./ ./ ./

prefabricated panels ./ ./ ./

Glazing systems ./ ./ ./

Partitions Heavy ./ ./ ./

Light ./ ./

stone, including marble ./ ./ ./


Interior veneers
Ceramic tile ./ ./ ./

Ceilings Directly applied to ./

structure
Dropped, furred gyp.bd ./

suspended lath & ./ ./


plaster
suspended jntegrated -: ./

Parapets and appendages ./ ./

canopies and marquees ./ ./

Chimneys and stacks ./ ./

stairs ./ ./

Equipment Boilers and furnaces ./ ./

Mfg. and process mach. ./

HVAC eouio.usoiatern ./

HVAcequip. ./

tnonlsolatern
storage vessels structural supported ./

Flat bottomed ./

High pressure piping ./ ./ ./

Fire suppression piping ./ ./ ./

Fluid piping Hazardous materials ./ ./ ./

Non-hazardous ./ ./

DuctworK ./ ./

Chapter 5, Determination o~ Defi~ienCi.es


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SEISMIC EVALUATION AND' RETROi='IT OF CONCRETEr SUU.DINGS

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-1'
-T-able-s-S.-fContinuedJ-oeneraJ.characreristiG5-of-NonstrUGrupal-Gomponent-fsdapted-Fpom-A-TG;-- -_. ----.- .--(
199Ga) (
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Light fixtures Recessed
Surface mounted
Ct
Integrated ceiling (.
pendant (
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storage racks (
.1
Bookcases
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computer floors
Hazardous materials storage (
cornputer/comrn. racks (

Elevators
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conveyors

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Chapter 5 Determination of Deficiencies
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......... _-_._ ..- -.~'-_ .. --_.._._.__ _._-_._---_._ ..__.- - _..-. _. -- _ _.

Chapter 6
etrofit strategies
AUdience Interest spectrum
Owner Architect· Bldg. Official

6 .. 'I Intrcduct·ion capable, in its existing configuration, of providing


this performance and, if not, the extent of the any
6.1.1 General existing deficiencies.
This chapter presents an overview of the Commentary: Traditionally, engineers
process used to develop a retrofit strategy and performing seismic evaluations and retrofit designs
preliminary retrofit design for a building once an have used a code-based approach. The process
evaluation has been conducted in accordance with was initiated by evaluating the adequacy of the
Chapter 5 and the presence of unacceptable seismic building to resist lateral forces with a specified
deficiencies has been detected. It includes "base shear, " typically taken to be in the range of
discussion of alternative retrofit strategies, 75 percent to 100 percent of the base shear .
evaluation of their applicability given the identified specified by the building code for design of new
seismic deficiencies and the various design structures. Typical deficiencies identified in such
constraints, selection of the most appropriate an evaluation would be that certain elements of the
strategy in light of these constraints, and within the building's lateral force resisting system were
context of the selected strategy, selection of an 'significantly "overstressed" or that lateral drifts
appropriate retrofit system and development of a were excessive. Based on these findings, engineers
preliminary retrofit design. would then design new supplemental lateral force
For most buildings and performance resisting elements, such as shear walls or braced
objectives, a number of alternative strategies and frames, in order to eliminate the calculated
systems may result in acceptable design solutions. overstress conditions and reduce lateral drifts to
Prior to adopting a particular strategy, the engineer acceptable levels. In some extreme cases,
should evaluate a number of alternatives for engineers would design the new elements to
feasibility and applicability and, together with the provide the entire lateral force resistance for the
owner, should select the strategy or combination of structure, negating their need, if not the build-
strategies that appears to provide the most ing's, to rely on the existing element's behavior.
favorable overall solution. It is not possible to do This traditional approach is both
this until the owner's performance objectives for straight-forward and simple to apply. However, it
the building have been identified and an evaluation frequently leads to design solutions that are less
of the building has been performed. This than optimal given considerations of cost, effect on
evaluation will determine whether the building is building appearance, and other pertinent factors.
Further, in many cases this traditional approach

Chapter 6, Retrofit strategies


- .... ~.

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will not lead to a technically acceptable design strength and stiffness to the lateral force resisting
solutioiu.lhe. building code provisions.for. new. . --_._. __ ._-system.- detailed.evaluation: of-man:y- alter.p.ativ.e..~-_ ...- -
construction have closely related requirements for strategies is neither warranted nor necessary. I
both lateral strength and detailing. It is typically Nevertheless, forlarge structures or for;,builtf,ings (
impossible to upgrade an existing building to ., 1'ff.th 'complex structural systems, the additional I
conform with the detailing requirements of the effort involved in the evaluation of alternative (
current building codes. Upgrades that address only retrofit strategies, as suggested in this chapter, can
the code strength requirements without also result in significant reductions in retrofit cost and l-
addressing the detailing requirements can not be lead to design solutions that are more appropriate
expected to provide the same performance as that than those that would otherwise be obtained.
intended for new buildings. , Prior to embarldng on a program that includes
Finally, there is the issue ofperformance itself. consideration of many design alternatives, the
The performance objectives inherent in the building engineer should exercise his or her individual
code provisions for new construction are based on judgment to determine whether such effort is
consensus judgment as to an appropriate balance warranted, given the configuration; deficiencies, (
between initial construction costs, occupant safety and performance objectives intended for the (

and life time costs. This same balance may not be building. (
appropriate for many existing buildings, suggesting Following selection of the retrofit strategy, it (

that other performance objectives should be is necessary to select a specific retrofit system and (
selected as a basis for design. Unfortunately, the perform a preliminary design. The retrofit system
building code provisions do not currently provide a and preliminary designare selected within the .
means to design for alternative performance context of the selected strategy. Generally, the
objectives. same factors considered in the strategy selection .
The purpose of this chapter is to provide the must also be kept in mind during system selection
engineer with a systematic approach for evaluating and preliminary design. (

the various strategies and systems that may be Once a preliminary design is obtained, (
applicable to a seismic upgrade project andfor verification of the adequacy of this design 'must be
selecting the strategy and system that provide an performed in accordance with the procedures of.·
(
optimal design solution, given the desired Chapter 8 and using the acceptance criteria of
(
performance objectives, building characteristics Chapter 11. If the preliminary design is- found to
and technical features of the existing structure. In be inadequate, then it must be modified and the
(
addition to the traditional retrofit approaches process repeated. When the verification analysis
described above, this chapter also includes indicates that acceptable performance tan be
consideration of a number of strategies that are obtained, final detailing of the design may be
more technically complex. performed.
The methodology indicated for the evaluation (

of these various strategies to determine their 6.1.2 Definitions (


applicability is also somewhat complex compared
6.1.2.1 RetroFit strategies
with traditional code-based approaches of .
structural evaluation. Often, the effort involved in A retrofit strategy is a basic approach adopted
to improve the probable seismic performance of (
evaluating multiple upgrade strategies and
selecting an optimal one can by itself be quite time the building or otherwise reduce the existing risk
consuming and costly. For simple structures, with to an acceptable "level. Both technical strategies
deficiencies that can be simply and economically and management strategies can be employed to
mitigated with the introduction of additional obtain seismic risk reduction. Technical strategies

Chapter 6, Retrofit strategies /


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a. Unstrengthened building b. Building with retofit braced frame c. Building with retofit infill windows

Figure 5-1. Building with Perimeter concrete Walls

include such approaches as increasing building this strategy could include addition of new shear
strength, correcting critical deficiencies, altering- walls, thickening of existing shear walls, and
stiffness, and reducing demand. Management addition of braced frames. While the retrofit
strategies include such approaches as change of systems are closely tied to the strategies, it is not
occupancy, incremental improvement, and phased necessary to select a specific system in order to
construction. evaluate the applicability of a given strategy.
Commentary: Engineers sometimes confuse However, it is necessary to select a specific system
systems and strategies. Strategies relate to in order to complete a design.
modification or control of the basic parameters Commentary: One of the most important
that affect a building's earthquake performance. considerations in the selection and design of a
These include the building's stiffness, strength, retrofit system is its deflection compatibility with
deformation capacity, and ability to dissipate the existing structure. Some existing buildings are
energy, as well as the strength and character of both weak and brittle, while also being quite stiff.
ground motion transmitted to the building and the A common strategy for upgrading such a building
occupant and contents exposure within the is to provide supplemental lateral strength. If such
building. Seismic risk reduction strategies include strengthening is to be effective, the supplemental
such approaches as increasing strength, increasing. elements provided to add this strength must be
stif.fness, increasing deformability, increasing sufficiently stiff that the added strength can be
damping, reducing occupancy exposure, and mobilized prior to the onset of unacceptable
modifying the character of the ground motion . damage to the existing elements.
transmitted to the building. Strategies can also As an illustrative example, consider the
include combinations of these approaches. Retrofit concrete shear wall building illustrated in
systems are specific methods used to implement the Figure 6-1a. This building's seismic behavior is
strategy such as, for example, the addition of controlled by the wall piers, present between the
shear walls or bracedframes to increase stiffness windows. These wall piers have low shear strength
and strength, the use of confinement jackets to and could experience brittle shear failure if the
enhance deformability. building experiences strong ground motion.
Although relatively weak, these piers are also quite
6.1.2.2 Retrofit system stiff. For the purpose of this example, it is
A retrofit system is the specific method used to presumed that it has been decided to adopt a
achieve the selected strategy. For example, if the strategy of structural strengthening.
basic strategy is to increase building strength, then
alternative systems that may be used to accomplish

Chapter 6, Retrofit strategies


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Structural strengthening can be achieved by a construction, the systems thatmust remain
_.number...oJ-alterniztiY~stems,..two...otwhich..aT.cc...e
shown in the figure. Figure 6-1b illustrates a
oper.able..du:ting...aruLafter:...construction,..the_exteut.--- ..
to which floor layouts and visual effects may
-c('(
system consisting of the addition of supplemental change. and. the types of earthquake damage that (
braced steel frames. Figure 6-1c shows a system may be acceptable; the building official, .andfire .
consisting ofreinforced concrete infills within .marshal, who determine the extent to which.
I
existing window spaces. The braced frame system. collateral (i.e., disabled access andfire/life safety)
may be incompatible with the existing building. upgrades must be performed; historic preservation C
That is, although the bracedframe could add boards, which determine the permissible extent of
substantial strength to the building, it may not.be alteration to historic fabrics and spaces; and
practical to make this frame as rigid as the . various special interest groups within the
existing wall piers, which would therefore still community, which may have a significant ability to
experience shear failure before the bracedframe affect the way in which a project is executed or
became effective. The window infills, shown in" even prevent its execution. (

Figure 6-1c, however, having stiffness in excess of (


that of the original building piers, would be able 6 ..2 Alternative Retrofit
to adequately protect the building against such strategies
damage.
A wide range of technical and management
The methodology presented in this document
strategies are available for reducing the seismic
has been specifically developed to ensure appro-
risk inherent in an existing building. Technical
priate consideration of the deflection compatibility
strategies are approaches to modifying the basic
of retrofit systems with the existing structure.
demand and response parameters of the building
(
6.1.2.:5 Design constraints for the Design'Earthquake. These strategies
Design constraints are factors other than the include system completion, system strengthening, C
(

building's structural characteristics that affect the system stiffening, enhancing deformation capacity, (
ability of a retrofit strategy or system to be enhancing energy dissipation capacity, and (

effectively implemented. Design constraints that reducing building demand. ('


may affect the applicability of a given retrofit Commentary: In the past, many engineers
strategy include the intended performance have adopted a strategy of retrofitting the building
objectives, design and construction cost limits, the to "meet current code" or to provide a specified
project schedule, historic preservation . fraction 'of the base shear capacity contained in the
requirements, the effects on building appearance current code. This is not really a strategy at all,
and floor space layout, the effects on building but rather a design criterion, often inappropriate,'
occupancy both during and after project fOT use with one of the aforementioned strategies.
construction, and issues of project risk. Basic approaches such as strengthening a (
Commentary: Design constraints are building, or stiffening it, or adding energy (
typically set by persons other than the design team. dissipation capacity, aTe all strategies. Design
These can include political figures, who determine criteria pertain to the amount of strength," stiffness,
the prioritization and scope of programs affecting energy dissipation capacity, or other attributes
state-owned buildings': the client agency, which that are required in order to meet given
determines project cost and schedule constraints; performance objectives. In this methodology, the I

basic design criterion is to maintain damage to (


the building occupants, who determine the func- (
tions that must occur in the building, the extent to critical elements of the building within levels
(
which the building will be occupied during appropriate to the designperformance objective by
(

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Chapter 6, Retrofit strategies (

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controlling lateral drift. Chapters 9 and 10 provide will be within their elastic (linear) range and no
... .design criteria that may be-used.respeciiveiy: in .. . damage.will.occur..At higher levels. of response,
judging the acceptability of likely damage to element deformations will exceed their linear
structural and nonstructural components and elastic capacities and the building will experience
elements of the building under the Design damage. In order to provide reliable seismic
Earthquake. In general, these are not directly tied performance, a building must have a complete
to the building code. lateral force resisting system, capable of limiting
In addition to technical strategies, a number of earthquake-induced lateral displacements to levels
alternative management strategies should also be at which the damage sustained by the building's
considered. Management strategies could include elements will be within acceptable levels for the
decisions to implement the retrofit while the intended performance objective. The basic factors
building remained occupied; to vacate the building that affect the lateral force resisting system's
until the retrofit could be performed; to accept the ability to do this include the building's mass,
existing risk and not retrofit; to change building stiffness, damping, and configuration; the
occupancy so that the risk is acceptable; to deformation capacity of its elements; and the
demolish the building and replace it with an strength and character of the ground motion it
alternative facility; to implement the technical must resist.
strategy on a phased basis over a number of years; Commentary: The technical strategies
or to retrofit on a temporary basis until described in this methodology provide for
replacement facilities can be obtained. Additional improved seismic performance by directly
management strategies could include performing operating on these basic response factors, either
all work on the building exterior. possibly to individually or in concert. The traditional
minimize the impact on building occupants, and approaches to seismic retrofit - the addition of
performing all work on the building interior, in bracedframes and shear walls - operate on
order to preserve the building's exterior building stiffness and strength. Energy dissipation
appearance. systems operate on the structure's damping
Commentary: Management strategies have capability. Base isolation operates on the
often been regarded as beyond the design character and strength of ground motion
engineer's scope of concern. Nevertheless, it is transmitted to the structure.
ve7Y important that the engineer consider these There are a number of analysis procedures
alternative management strategies and assist the (see Chapter 8) that compare measures of seismic
client in selecting an appropriate strategy. The capacity and seismic demand to evaluate existing
management strategy selected can have a great structures. These methods are also useful to
effect on the feasibility and cost of implementing investigate or verify the effectiveness of technical
the various technical strategies. Further, the best retrofit strategies. The following discussion uses
solution for a building is often one that involves the Capacity Spectrum Method to illustrate the
management rather than technical action, such as basic process.
changing the building occupancy or constructing a The capacity spectrum is derived from an
replacement facility. approximate nonlinear, incremental static analysis
for the structure. In the process of performing this
6.2.1 Technical strategies incremental nonlinear static analysis, a capacity
As a building responds to earthquake ground curve is developed for the building. This capacity
motion, it experiences lateral displacements and, curve is simply a plot of the total lateral seismic
in turn, deformations of its individual elements. At shear demand, "V," on the structure, at various
low levels of response, the element deformations

Chapter 6, Retrofit strategies


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SEISMIC EVA'LUAiION AND RETROFIT OF CONCRETE" 'BUIl.DINGS (
;

v
,.' Effective stiffness
,.,.,. at displacement. Q
ai
,.,.
e0 ,.,.
u..
,.,.
, ,. (
t-
al
m
.r:
en
eS!
ttl
1. .- - Immediate Occupancy
level , ,.'
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,.,.
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ute
Safety level .;
,,
...J
"iii CollapseBll!>'

Damage
Unear
elastic
Control
"'...;L.-\J~
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/ ~:Pyr("- D
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d!, " Lateral Displacement at'Roof

Increasing earthquake demand - -....... (


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Figu~e 6-2. TypIcal capacity curve

increments of loading, against the lateral deflection particular type of damage, such as spalling of cover I

of the building at the roof level, under that applied concrete on a column or shear failure of a spandrel C
lateral force. If a building had infinite linear elastic element. Each point is determined by a different
capacity, this capacity curve would be' a straight analysis sequence described in Section 8.2.1. Then,
line with a slope equal to the global stiffness of the by evaluating the cumulative effects"of &image 1

structure. Since 'real buildings do riot have infinite sustained at each of the individual events, arid the (
linear elastic capacities, the capacity curve overall behavior of the structure at increasing
typically consists of a series of straight-line lateral displacements, it is possible to determine
segments with decreasing slope, representing the and indicate on the capacity curve"those total
progressive degradation in structural "stiffness that structural lateral displacements that represent limits
occurs as the building is subjected to increased on the various structural performance levels, as has
lateral displacement, yielding, and damage. The 'it. been done in Figure 6-2. Chapter 11 provides
slope of a straight line drawn from the origin of the specific guidance on"acceptance criteria that may be
plot for this curve to a point on the curve at any used to determine the "lateral deformations for a
lateral displacement, "d," represents the secant or specific structure that correspond to these
"effective" stiffness of the structure when pushed performance limits based on story drift as well as
laterally to that displacement A typical capacity element and component strength and deformation
curve is shown in Figure 6-2. capacities.
In Figure 6-2, the discrete points indicated by Commentary: The process of defining lateral
(
the symbol ... represent the occurrence of deformation points on the capacity curve at which (
important events in the lateral response history of specific structural performance levels may be said
the structure. Such an event may be the initiation of to have "occurred requires the exercise of consid- (
yield in a particular structural element or a erable judgment on the part of the engineer. For
(
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Chapter 6. Retrofit strategies
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SEISMIC EVALUATION AND RETROFIT OF CONCRETE ~UIILDING$

.:

each of the several structural performance levels secondary elements does not have a significant
defined in Chapter 3,._ Chapterl lof this method- . effect.on.the lateral load.resisting.capability of the.
ology defines global system response limits as well building. If in the development of the capacity
as acceptance criteria for the individual structural curve it is determined that a few elements fail to
elements that make up typical buildings. These meet the acceptance criteria for a given
acceptance criteria generally consist of limiting performance level at an increment of lateral
values of element deformation parameters, such as loading and displacement, the engineer has the
the plastic chord rotation of a beam or shear angle ability to designate these "nonconforming"
of a wall. These limiting values have been selected elements as secondary, enabling the use ofmore
as reasonable approximate estimates of the average liberal acceptance criteria for these few elements.
deformations at which certain types of element Care must be exercised not to designate an
behavior such as cracking, yielding, spalling, or excessive number of elements that are effective in
crushing, may be expected to occur. As the resisting lateral forces as secondary. Chapter 9
incremental static nonlinear analyses are provides further guidance on this issue.
performed, the engineer must monitor the The capacity spectrum curve for the structure is
cumulative deformations of all important structural obtained by transforming the capacity curve from
elements and evaluate them against the acceptance lateral force (V) vs. lateral displacement (d)
criteria contained in Chapter 11. coordinates to spectral acceleration (Sa) vs. spec-
The point on the capacity curve at which the tral displacement (Sd) coordinates using the modal
first element exceeds the permissible deformation shape vectors, participation factors and modal
parameter for a structural performance level does masses obtained from a modal analysis of the
not necessarily represent the point at which the structure (see "Conversion to ADRS Spectra"
structure as a whole reaches that structural per- sidebar).
formance level. Most structures contain many When the capacity curve is plotted in Sa VS. S«
elements and have considerable redundancy. Con- coordinates, radial lines drawn from the origin of
sequently, the onset of unacceptable damage to a the plot through the curve at various spectral
small percentage of these elements may not repre- displacements have a slope (ofi, where 00' is the
sent an unacceptable condition with regard to the radial frequency of the effective (or secant)
overall performance of the building. When deter- first-mode response of the structure if pushed by an
mining the points along the capacity curve for a earthquake to that spectral displacement.
structure at which the various structural perform- Using the relationship T' = 21Clm', it is pos-
ance levels may be said to be reached, the engi- sible to calculate, for each of these radial lines, the
neer must view the performance of the building as a effective period of the structure if it is pushed to
whole and consider the importance of damage given spectral displacements. Figure 6-3 is a
predicted for the various elements on the overall capacity spectrum plot obtained from the capacity
behavior of the building. curve shown in Figure 6-2 and plotted with the
This methodology incorporates the concept of effective modal periods shown. The particular
"primary" and "secondary" elements to assist the structure represented by this plot would have an
engineer in making these judgments. Primary ele- elastic period of approximately 1/2 second. At is
ments are those that are required as part of the pushed progressively farther by stronger ground
lateral force resisting system for the structure. All motion, this period lengthens. The building repre-
other elements are designated as secondary ele- sented in Figures 6-2 and 6-3 would experience
ments. For a given performance level, secondary collapse before having its stiffness degraded
elements are generally permitted to sustain more enough enough to produce an effective period of 2
damage than primary elemen.ts since degradation of seconds.

Chapter 6, Retrofit strategies


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SEISMIC EVAI.UATION AND RETROFIT OF CONCRE!TE BUILDINGS
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Conversion to ADRS Spectra


(
Application of the Capacity-Spectrum technique requires that both the demand response
spectra and structural capacity (or pushover) curves be plotted in the spectral acceleration (
vs. spectral displacement domain. Spectra plotted in this format are known as
Acceleration-Displacement Response Spectra (ADRS) after Mahaney et al., 1993.
Every point on a response spectrum curve has
associated with it a unique spectral acceleration.,- Sa'
E Sa
:::::l spectral velocity, S", spectral displacement, Sdand
l-
t) c I
I
period, T. To convert a spectrum. from the standard (
G) 0 I
0.-- I Sa vs T format found in the building code to ADRS
f})~ I
------,----- I
format, it is necessary to determine the value of (
G) G) I I
fI) > '--_---'_ _-'--_T Sdi for each point on the curve, Soi> T i • This can be
J:: C To' T; done with the equation: (
o 0 Standard Format (Sa vs 1:') ,£2
0.0
fI)
G)
Sa. = 4~2 Sa;g (
a: /
/
Standard demand response spectra contain a (
/
/
range of constant spectral acceleration and a
Sar L
/
;:
second range of constant spectral velocity.
/
F_ _ "_-
-
Spectral acceleration and displacement at period
Ti are given by:
2tr 1; (
Sa,g=-s. =;;;:s.
1;
Sdi
oU' C
C In order to develop the capacity spectrum from
o (
the capacity (or pushover) curve, it is necessary
'Ci) (
I- to do a point by point conversion to first mode .
('
~ spectral coor-dinates.Any point Vi' 400f on the (
C capacity curve is converted to the corresponding
o
c point Sail Sdi on the capacity spectrum using
E the equations: RoofDisplacement -.1,-
:::s
l- S '= VJW/
t) ai /~I
Capacity Curve
G)
0.
f}) S - !:lroof I
~ di - / (PF X I tPI,roof ) {
'um where. a1 and PF1 are respectively the modal mass (
0. coefficient and participation factors for the first
es
(.). natural mode of the structure and $ l,roofis the roof
level amplitude of the first mode. See also Section
8.5, Basics of Structural Dynamics. Spectral Displacement - ~
Capacity Spectrum

(
(:b_
Chapter 6, Retrofit strategies
(
(
o ;.
~,
~'
...... '
,/1 "
(1)1' f.., "
C I
.Q i
co I

lii 0.6g "


(jj I.--- Im,nediate Occupancy
~ 0.5g I~vel
~
"0 0.4g
Ql
Collapse
6r 0.3g
0.2g

0.1g

0.5" 1.0" 1.5" 2.0" 2.5" 3" 3.5" 4" 4.5'" 5" 5.5" 6" 6.5" 7"
Spectral Displacement, ~

Figure 6-$. Typical capacityspectrum

The capacity of a particular building and the response spectrum described in Chapter 4. This
demand imposed upon it by a given earthquake spectrum. is plotted in spectral ordiIiates (ADRS)
motion are not independent. One source of this format showing the spectral acceleration as a
mutual dependence is evident from the capacity function of spectral displacement. This format
curve itself. As the demand increases, the allows the demand spectrum to be overlaid" on fl

structure eventually yields and, as its stiffness the capacity spectrum for the building. The
decreases, its period lengthens. Conversion of the intersection of the demand and capacity spectra, if
capacity curve to spectral ordinates (ADRS) makes located in the linear range of the capacity, would
this concept easier to visualize. Since the seismic define the actual displacement for the structure;
accelerations depend on period, demand also . however this is not normally the case as most
changes as the structure yields. Another source- of analyses include some inelastic: nonlinear behavior.
mutual dependence between capacity and demand To find the point where demand and capacity are
is effective damping. As a building yields in equal, the engineer selects a point on the capacity
response to seismic demand it dissipates energy spectrum. as an initial estimate. Using the spectral
with hysteretic damping. Buildings that havelarge, acceleration and displacement defined by this
stable hysteresis loops during cyclic yielding point, the engineer then can calculate reduction
dissipate more energy than those with pinched factors to apply to the 5 % elastic spectrum to ac-
loops caused by degradation of strength and count for the hysteretic energy dissipation, or ef-
stiffness. Since the energy that is dissipated need fective damping, associated with the specific point.
not be stored in the structure, the effective If the reduced demand spectrum intersects the
damping diminishes displacement demand. capacity spectrum at or near the initial assumed
The capacity spectrum method initially point, then it is the solution for the unique point
characterizes seismic demand using an elastic where capacity equals demand. If the intersection

Chapter 6, Retrofit strategies


(
(

(
(
(
(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS (
(

: (
(

(
(

(
j (
~---
....... (
II' (
l..,,' Demand spectra for different
(
\.
damping values calculated
rn'" based on estimated dp (
r:=
o (
'Ii Performance point
:n 0.69 where capacity equals demand
(.
J 0.59
\. ..~/
a p=O.32g , dp=2.5"
s
(ij

Q)
O.4g t - - - - +

c% 0.3g

0.29
---
0.19 (
-- --- (
(

0.5" 1.0' 1.5" 2.0" 2..5" 3" 3..5" 4" 4.5" S' 5..5" 6" 6.5" 7"
Spectral Displacement, Sd

Figure 6-4. Determination of PerFormance Point

is not reasonably close to the initial point, then the same technique is used throughout the balance of (.
engineer can assume a new point somewhere this chapter to illustrate the way in which the (
between and repeat the process until a solution is various alternative retrofit strategies may be used (

reached. This is the performance point where the to design for project performance objectives. (
capacity of the structure matches the demand for Commentary: The methodology described (

the specific earthquake. here for the determination of the performance (


Once the performance point has been point is an approximate approach to determining
determined, the acceptability of a rehabilitation the nonlinear response of a building to a given
design to meet the project performance objectives ground motion. It should not be considered to be
can be judged by evaluating where the an exact solution with regard to the estimates of
performance point falls on the capacity curve. For displacement response it predicts. For a given
the structure and earthquake represented by the ground motion time history, a dynamic nonlinear
overlay indicated in Figure 6-4, the performance analysis of the structure may result in somewhat
point occurs within the central portion of the- different predictions ofmaximum structural (

damage control performance range as shown in displacement than does this method. However, (
Figure 6-3, indicating that for this earthquake this - such dynamic nonlinear analyses will result in
structure would have less damage than permitted different predictions of displacement even for
i
for the Life Safety level and more than would be multiple time histories enveloped by the same (
permitted for the hnmediate Occupancy level. response spectrum but having different records.
With this information, the effectiveness of the Recent studies have indicated that for structures (
particular rehabilitation strategy to achieve the dominated by first mode response, the capacity
project performance objectives can be judged. This spectrum methodology described here provides a (
I
(
(~

6-10 Chapter 6, Retrofit strategies ( -


(
j
(
:

good average estimate of the displacements 6.2.1.1.1 Chords, Collectors, and Drags.
predicted by multiple time. history analyses using Diaphragm.chords.icollectors; and drags may..be...
different records with the same enveloping constructed of new reinforced concrete
spectrum. The method may not be quite as effective beams/struts or of flush-mounted steel plates or
for structures with significant higher mode members with drilled-in anchors. Where there are
participation in their earthquake response. existing beams, these may be converted to
collector elements by enhancing their capacity or
6.2.1.1 system completion providing strengthening at end connections. This
System completion strategies are applicable to approach is very common for timber diaphragms,
structures that have the basic components of an a common element of some older concrete
adequate lateral force resisting system, including construction.
diaphragms and walls or frames, but that lack Commentary: The provision of adequate
some details required to make the system complete attachments between new elements and the existing
or to ensure that the system behaves as intended. ones is an important consideration for this
The capacity spectrum for such a structure would strategy. Drilled-in anchors, commonly used to
typically intersect the demand spectra at an attach new elements to existing concrete, often
acceptable performance point; before reaching that have limited ductility. If inelastic behavior is
point, however, some local failure events would expected of the new element, the new anchors must
occur. Common deficiencies that may lead to such have adequate strength to transfer the teal
local failures include a lack of adequate chord and demands on the element without brittle failure.
collector elements at diaphragms, inadequate Attachments between retrofit steel elements and
bearing length at precast element supports, and existing concrete often consist of bolted
inadequate anchorage or bracing of structural or connections. These bolted connections inherently
nonstructural components. Correction of these include some «slop, " resulting from the oversize
deficiencies through provision of the missing holes in the steel members. Before these elements
elements would enable the structure to behave in can become -effective, sufficient displacement of the
the desired manner, Often this strategy must be structure must occur to take up this slop. The
implemented together with other strategies to result could be the onset ofsignificant damage to
obtain a building with the desired seismic the structure before the retrofit elements become
performance capabilities. effective.
Commentary: Precast concrete tilt-up 6.2.1.1.2 Element Connectivity. Most
buildings are an example of a class of building for concrete structures are monolithically constructed
which system completion strategies are often and have adequate nominal interconnection
appropriate. These buildings commonly have between elements. Buildings that incorporate
adequate shear walls and diaphragms. If a precast elements may require some supplemental
capacity spectrum curvefor such a building were interconnection of elements. This is typically
to be constructed, it would be found capable of achieved by adding steel hardware between
meeting acceptable structural performance levels. elements at their end connections.
However,. a common deficiency of these buildings 6.2.1.1.3 Anchorage and Bracing of
is a lack of adequate anchorage between the Components. To achieve some performance
precast wall panels and the diaphragms. An objectives, the architectural, mechanical, and
appropriate strategy for such a building is to electrical components of the building must be
complete the existing structural system through adequately braced and anchored to resist inertial
provision of adequate out-of-plane anchorage forces and the drifts the building is expected to
between the walls and diaphragms.

Chapter 6, Retrofit strategies 6 ..11


SEISMIC EVALUATION AND RETROFIT- OF CONCRETE BUILDINGS

Ii
_.. _. __ .~L .
...."", . .----=-:-:-:----:-:-~--:-.._..
Reduceifdemand spectra
- -- " --
III (
g.,1 for strengthened structure
Elastic I (
Demand " Reduced demand spectra (
rJJ'" I for original structure (
I
g I

~Gl I
Performance
I point - strengthened
J I
I
I
structure
C.
(-

~s 0. 359 Periormance
7.sd:-
't' ::_- (

rJJ point - original - C


structure
T' =_~~~.;.-
----

4" 6" 8" 10"


Spectral Displacement, 5.t

Figure 6-5. EFFect of sYstem strengthening on perFormance

experience in response to earthquake ground lateral force resisting systems. The two are closely
motion. related but different. The effect of strengthening a
Commentary: The adequacy of attachment of structure is to increase the amount of total lateral
nonstruetural.components to a building can not force required to initiate damage events within the
generally be determined by using the capacity structure. If this strengthening is done without (
spectrum technique. The more traditional stiffening, then the effect is to permit the structure (

equivalent lateral force technique is typically used to achieve larger lateral displacements without (
to evaluate the effectiveness of existing anchorage damage. Figure 6-5 uses a demand/capacity
and bracing systems and to design retrofit spectrum plot to illustrate the effect of system
anchorage and bracing. Chapter 10 outlines the strengthening on earthquake performance.
recommended methodology for this aspect of In Figure 6-5, the capacity spectrum defined
seismic retrofitting. However, the capacity by the curve A-B-C-D represents the performance
spectrum method does provide an excellent tool for of an unstrengthened structure. It has an initial
estimating the drift the building may experience in elastic period of one second, a spectral
the Design Earthquake and therefore, does provide acceleration capacity at first significant yield of (

some valuable information for the seismic upgrade O.05g, ultimate spectral acceleration capacity of (
of nonstructural components that are drift O.lOg and ultimate spectral deformation capacity
sensitive. of approximately six inches. The performance
point for this unstrengthened structure occurs at
6.2.1.2 System strengthening and point "D" indicating that the structure just meets
StiFfening the Structural Stability performance level for this
System strengthening and stiffening are the earthquake. The curve A-B-E-F-G-H is one
most common seismic performance improvement possible capacity curve for the structure after it
strategies adopted for buildings with inadequate has been strengthened. Note that the initial elastic

p
( _.,
&-12 Chapter 6, Retrofit strategies
(

0
ilJl'
·s;·- -.. - . -- . '~f _. .- .-- ....... ,.
.,,<3;'"
Elastic ,II,' "\. ...
~~ ....
Demand " ,,
W
~
1
1
,,
§ Reducedl
...
.~ Demand' Performance
"*g I
point - stiffened
1
~ 1
structure

~i
W I
"
0.35g -----:-------------, 'X~:s_.-6~--;;;;---·":::ll~~~
... ....--.Y"',,-..-,,-.
'"
,., seC _.
'1:-.:'---
0.22g. ) C .. _
" 81
" _---- I : --- point- original
-.:_::-----------:----6
1 __ structure
A-fF-......::.:=.----+-------''-------'--'---+
0" 2" 4" 6" 8" 10" 12"
Spectral Displacement. Sd

Figure 5-5. Effect of system stiffening on Performance

period for the structure remains at one second, addition of walls or frames, will also increase
indicating that the structure has not been stiffened. structural stiffness. Exceptions to this are
Also, the ultimate spectral displacement capacity relatively local-retrofit measures that strengthen
for the structure remains at approximately six existing elements without greatly altering their
inches, indicating it has not been provided with stiffness. For example, a common deficiency of
additional deformation capacity. However, the older concrete frames-is that the longitudinal
structure has been strengthened resulting in an reinforcing in these frames has inadequate lap
increase in its spectral acceleration capacity at first splice lengths, resulting in a low flexural strength.
significant yieldto O.22g and an ultimate spectral . Provision of confinement around the splices can
acceleration capacity of O.35g. This improve their performance and allow the frame to
"strengthened" curve has a new performance develop greater strength without substantially
point, at about 4 inches displacement, well within affecting its stiffness. Such measures are also
the requirements for the Structural Stability likely to enhance the frame's deformation capacity,
structural performance level. however. The example indicated in Figure 6-5
Commentary: Figure 6-5 illustrates the effect should therefore be regarded as an abstract,
of a retrofit system that includes pure strength- intended to illustrate the way structural
ening without affecting either the original stiffness strengthening affects the behavior of a structure.
of the structure, as illustrated by the slope of the . The effect of stiffening a structure is illustrated
initial segment of the capacity spectra, ·or the in Figure 6-6. Curve A-B-C-D-E in the figure is
deformation capacity of the structure, as the perforinance curve for an unstiffened structure.
illustrated by the fact that the capacity spectra It has an initial elastic period of approximately 1.5
shown for both the original and the strengthened seconds, a spectral acceleration capacity at first
structure reach their ultimate strength at the same significant yield of O.22g and an ultimate spectral
deformation level. In reality, most retrofit systems acceleration capacity of O.35g. Curve A-F-G-H-I
that increase structural strength, such as the is the performance curve for the same structure

Chapter 6, Retrofit strategies


__ -.:.-__.._..
u~.

.-::;:;;>""'-=a.':'=-.

SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUII.DINGS

(
\. v

(
after it has been stiffened. The initial elastic period bases, that may require supplemental foundation
..of the.stiffened. structure is.L second, while. the. work; whichis. often. expensive: - _.- --- .-_._-_ .
spectral acceleration capacities at first yield and 6.2.1.2.2 Braced Frames. Braced "steel
ultimate remain unchanged. The effect of this frames are another common method of enhancing (
stiffening modification is to shift the performance an existing building's stiffness and strength.
('
point from a deflection of approximately 4-1/2 Typically, braced frames provide lower levels of
inches to a deflection of approximately 4 inches. stiffness and strength than do shear walls, but
This does not result in significant change in the they add far less mass to the structure than do
structural performance of the lateral force resisting shear walls, can be constructed with less
system. However, the performance of elements of dismption of the building, result in less loss of
a
the structure that donot participate to significant light, and have a smaller effect on traffic patterns
extent in resisting lateral forces but that are . within the building.
sensitive to induced lateral deformations'can be Commentary: It is often difficult to effectively
significant. Such elements could include attach bracedframes to a concrete building
non-ductile gravity load bearing columns; flat slab because relatively large forces must be transferred
systems and architectural partitions and cladding. between the structure and the bracedframes.
System strengthening and stiffening are nearly Typical attachment methods employ drilled-in (
always performed as concurrent strategies, since anchors, which have relatively low strength. The
most systems that will strengthen a structure also solution is often to use long drag or collector ele-
simultaneously stiffen it; similarly, stiffening tech- ments that attach the new steel frame to the exist-
'niques also usually result in a strength increase. ing concrete structure by means. of a large number
Typical systems employed for stiffening and offasteners, lfthese drag elements are not ade-
strengthening include the addition of new vertical quately rigid and strong local deformation of the
elements, including shear walls, braced frames, drag can result in excessive demand on the con-
buttresses, or moment resisting frames. nectors. This can cause an "Unzipping" effect, in
Diaphragms may need to be added as well. which connectors along the length of the drag are
6.2.1.2.1 Shear Walls. The introduction of sequentially overstressed and fait shedding the
shear walls into an existing 'concrete structure is excessive loads to the next group of connectors.
one of the most commonly employed approaches Some failures have occurred in seismically retro-
to seismic upgrading. It is an extremely effective fitted structures in the past as a result of this
method of increasing both building strength and effect.
stiffness. A shear wall system is often economical 6.2.1.2.3 Buttresses. Buttresses are braced
and tends to be readily compatible with most frames or shear walls installed perpendicular" to an
existing concrete structures. exterior wall of the structure to provide
Commentary: The addition of shear walls to supplemental stiffness and strength. This system is
an existing structure can have some adverse often a convenient one to use when a building must
impacts that the engineer should be aware of. If a remain occupied during construction, as most of
large number of shear walls are added to a . the construction work can be performed on the
building, they can result in a significant increase building exterior, rn.inimizing the inconvenience to
in building mass and therefore increase seismic building occupants. Sometimes a building addition
forces and strength requirements. Shear walls can intended to provide additional floor space can be
often result in significant architectural impact " used to buttress the original structure for added (
through the loss of windows and the introduction seismic resistance.
of barriers within areas offloor space. They also Commentary: Braced frames and shear walls
tend to produce large overturning forces at their placed within a building can often be designed to
(

6·14 Chapter G, Retrofit strategies

(
(

seiSMIC EVALUATION AND ·RETIIUJFIT @F CONCR~T~ !i;;UJn.DnNG~


- -
:

mobilize the weight of the structure to resist performance of a building. If significant


overturning. demands. Buttresses, situated outside diaphragm.deformation.orinelastic. behavior is
the structure cannot do this and typically require expected in the building, then this behavior should
the construction offoundations to provide the be modeled in the building analysis and the
necessary overturning resistance. Because the resulting deformations included in the construction
work is performed outside the building line, of the capacity curve for the building.
however, the cost of buttresses may be
substantially lower than that for interior shear 6.2.1.3 Enhancing DeFormation capacity
walls or braced frames, even given the added Improvement in building seismic performance
foundation requirement. Because they are located through enhancement of the ability of individual
at the building exterior, buttresses can have elements within the building to resist deformations
significant aesthetic impact; they are seldom induced by the building response is a relatively
appropriate for buildings that are considered new method of seismic upgrading for concrete .
historically important. buildings. Figure 6-7 illustrates the effect of
6.2.1.2.4 Moment Resisting Frames. enhancing deformation capacity on building
Moment-resisting frames can be an effective performance.
system to add strength to a building without As illustrated in the figure the capacity curve
substantially increasing the building's stiffness. for the original building (A-B-C-D-E) is unable to
Moment frames have the advantage of being intersect the demand curve at a performance point
relatively open and therefore can be installed with because critical failure of an element occurs prior
relatively minimal impact on floor space. to this intersection. If this critical element is
Commentary: Deflection compatibility is often modified, such that its deformation capacity is
a problemfor this system, since moment-resisting increased, then the capacity curve for the building
frames must experience relatively large lateral can extend (A-B-C-D-F-G) to larger spectral
deflections before their strength can be mobilized. displacements, allowing the performance point
Marry 'concrete buildingshave relatively limited at
intersection to occur an acceptable structural
deformation capacity, and therefore the usefulness performance level. .
of this system in the retrofit of concrete structures Systematic methods of enhancing deformation
is somewhat. limited. capacity include adding confinement to existing
6.2.1.2.5 Diaphragm Strengthening. Most elements, making local reductions in stiffness,
concrete buildings pave adequate diaphragms. modifying columns to alter mechanisms, and
Exceptions occur where large openings are present providing supplemental support at areas subject to
or where offsets in the vertical elements of the deformation-induced failure. These methods often
system produce locally high demands. Methods of have significantly less architectural impact than do
enhancing diaphragms include the provision of approaches that involve structural strengthening
topping slabs, metal plates laminated onto the top and/or stiffening.
surface of the slab, or horizontal braced Commentary: This strategy is typically most
diaphragms beneath the concrete slabs. For effective when the necessary enhanced deformation
. buildings with timber diaphragms, diaphragm capacity can be obtained by modifying only a few
strengthening can be achieved by increasing the existing elements. If the required modifications
existing nailing in the sheathing, replacing the must be placed throughout the structure, this
sheathing with stronger material, or overlaying the strategy can become quite costly and disruptive of
existing sheathing with plywood. occupancy during construction.
Commentary: It is important to consider the 6.2.1.3.1 Adding Confinement. The
behavior of diaphragms when evaluating the deformation capacity of nonductile concrete

Chapter 6, Retrofit strategies


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDIINGS

:
(

(
IJ,
. ------.--.. - ... - -. ··-S- -_. .--- - - !1/-
""' ..--- .-:
a q /
Elastic t.. / (
Demand ,
,/ (
(
Reduced'
Demandt ( I
/ (
I

/
/
(
,
I (
,
/ l' ",'1_~_--
I -- --
" "
, " " -----E "" -~--.._-----
,,,,," -----
A -:.- -::::.::-----------
on T 4 U
6n 8 U
10"
Spectral Displacement, 5.t (
(
(
Figure 6-7. Effect of Deformation Enhancement on structural performance (
~
columns can be enhanced through provision of develops within the story in which the mechanism (::-
exterior confinement jacketing. Jacketing may OCCll...TS. The concentration of these displacement
consist of continuous steel plates encasing the demands within the single story results in very
existing element, reinforced concrete annuluses, large local inelastic deformation demands on the
and fiber-reinforced plastic fabrics. columns at relatively low levels of total structure
Commentary: Confinement jacketing can lateral displacement. If the- columns can be
improve the deformation capacity of concrete- strengthened such that the beams become the
elements in much the same way that closely spaced weaker elements, this will inhibit the formation of (
hoops in ductile concrete elements do. To be story mechanisms and will permit much larger
effective, the jacketing material must resist the overall structural drifts to be attained.
bursting pressure exerted 1Yy the existing concrete Commentary: .Strengthening columns to
element (under the influence of compressive prevent the formation ofstory mechanisms may be
stresses.) in a rigid manner. Circular or oval difficult to accomplish effectively. In addition to
jackets can provide the necessary confinement in strengthening the columns, it is necessary to
an efficient manner through the development of strengthen the connection between the beams and
hoop stresses. Rectangular jackets tend to be less columns to allow development of the larger
effective and require cross ties in order to develop moments. In addition, many concrete frames are (
the required stiffness. not reinforced to permit reversing flexural yielding (
6.2.1.3.2 Column Strengthening. Many of the beams. Thus the ductility of a frame in (
older concrete frames incorporate a strong which the columns have been strengthened may' (

beam-weak column configuration. Buildings with still be quite limited. (


this configuration tend to develop single-story 6.2.1.3.3 Local Stiffness Reductions. Local I
mechanisms in which all of the inelastic reductions in stiffness can be an effective way to (
deformation demand produced by the earthquake prevent undesirable damage modes as well as to (

(
(

(
.~
Chapter 6, Retrofit strategies ( ~~
(

(
(

(
minimize damage to a few scattered elements that more-conventional approaches. However, these
are not essential to the building's overall special systems do have the. added.benefit of ....
.performance. Many older concrete structures are providing for reduced demands on building
subject to short-column failures at perimeter walls, contents. Consequently, these approaches are often
resulting from the presence of deep spandrels. appropriate for buildings housing critical
These effects can often be reduced by introducing occupancies with sensitive equipment or a need to
joints between the face of the column and adjacent attain rapid postearthquake functionality. They
architectural elements, such as spandrel panels or may also be attractive for the retrofitting of
infiIls, that create the condition. Some buildings historic structures because they may make it
may have one or more walls that are present for possible to retrofit the structure to be retrofitted
architectural rather than structural reasons. These without extensive invasive construction within the
walls may be quite stiff and either attract more historic spaces. This benefit can sometimes be
lateral force than they can resist or introduce over estimated, however, and many structures
torsional response or discontinuous load paths into employing a strategy of reducing earthquake
the structure. Local demolition of these elements, demands also require supplemental strengthening
or modification of them to reduce their stiffness, and stiffening.
can result in a cost-effective performance Commentary: Seismic retrofits that
improvement for the structure. incorporate base isolation and energy dissipation
6.2.1.3.4 Supplemental Support. This systems have drawn the structural engineering
approach can be effective for the mitigation of industry's attention in recent years, and many
deficient gravity load bearing elements that are not engineers are eager to apply these technologies in
significant to the lateral force resistance of the retrofit projects. The practical applicability of both
structure but whose support can be jeopardized by ofthese technologies is somewhat limited,
large lateral building deflections. For example, flat however. Further, since these technologies are
slabs that may be subject to punching shear complex, a significant amount of engineering effort
failures due to induced lateral building is often required in order to develop a preliminary
deformations could be provided with supplemental design incorporating them. Engineers should be
bearing supports at columns. Similarly, precast cautious in committing to detailed evaluations of
beams with inadequate bearing length could be the applicability of either ofthese systems unless
provided with supplemental bearing supports. the added cost appears to be warranted. Further
information on the conditions most likely to result
6.2.1.4 Reducing Earthquake Demands in favorable application of these technologies is
Rather than modifying the capacity of the provided below.
building to withstand earthquake-induced forces 6.2.1.4.1 Base Isolation. This approach
and deformations, this strategy involves requires the insertion of compliant bearings within
modification of the response of the structure such a single level of the building's vertical load
that the demand forces and deformations are carrying system, typically near its base. The
reduced. In effect, the demand spectrum for the bearings are designed to have relatively low
structure, rather than the capacity spectrum, is stiffness, extensive lateral deformation capacity
modified. Methods for achieving this strategy and may also have superior energy dissipation
include reductions in the building's mass and the characteristics. Installation of an isolation system
installation of systems for base isolation and/or results in a substantial increase in the building's
energy dissipation. The installation of these special fundamental response period and, potentially, its
protective systems within a building typically effective damping. Since the isolation bearings
entails a significantly larger investment than do have much greater lateral compliance than does the

Chapter 6, Retrofit strategies


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

(
"

(
NOTE: The family of (
reduced.demand .._ _ . __ T'=; 112 sec ..
spectra reflect the iT=fseC .
I I
effect of damping on I I ,
I I (
response. See I I T'=2sec
ChapterS I d ;=4" I
"'" "'" Family of reduced
(
0.60g
: d'p;=8" /" "'" "'" demand spectra (
/" "'"
uf I
I -'- depending on (
maximum
6 0.50g f-~~~L.,
displacement dfor
! system without (
~ 0.40g isolators and d' for t:
~ system with (
~ 0.30g isolators.

w
S- 0.20g (
("

0.10g

(
4" S" 12" 16" 20" 24" r
Spectral Displacement, ScI
FIgure 6-8. Typical EFfect of Base Isolation on Demands and capacities

structure itself; lateral deformation demands The effective elastic period of the base isolated
produced by the earthquake tend to concentrate in structure is lengthened to approx-imately 2.5
the bearings themselves. Together these effects seconds. Initial yielding of the fIxed-base structure
result in greatly. reduced lateral demands on the (point B) occurs at a spectral displacement of
portion of the building located above the isolation approximately 1/2 inch. For the isolated structure,
(
bearings. Figure 6-8 illustrates the combiried effect this same yield behavior (point B') occurs at a
on the demand and capacity spectra of introducing spectral displacement of approximately 4 inches.
base isolation into a building. Similarly, ultimate spectral displacement capacity
In the figure, Curve A-B-C-D-E represents of the isolated structure increases from six
the capacity spectrum for the original, unretrofitted inches (point D) to approximately 24 inches ,r
structure. This structure has an initial elastic period (point D'). (
of approximately 1/2 second, and an ultimate When a structure is base isolated, the energy
deformation capacity of about 6 inches. First dissipation that occurs at a given displacement is (
significant yielding occurs at point "B" and the significantly different from that which occurs for
ultimate strength is developed at point D. Since the the same structure in a fixed-base condition.
capacity spectrum does not intersect a demand curve Consequently, in order to overlay the demand and
from the dp family at a corresponding max-imum capacity spectra for a base isolated structure, it
displacement, the structure would not survive the becomes necessary to recompute the effective
design earthquake. Curve A-A'-B'-C'-D'-E' damping of the family of demand curves at various
is the capacity curve for the structure with base maximum structural displacements. This is
isolation installed. The yield and ultimate strengths denoted in the figure by the d'» values indicated
of the structure remain unchanged; however, the for each of the demand spectra. As can be seen,
displacements at which yielding and ultimate because the base isolation bearings introduce sig-
behavior occur are greatly increased by the nificant reductions in overall structural stiffness, it
displacement contribution of the isolation bearings. takes greater displacements to achieve the same

6 ..18 Chapter 6, Retrofit strategies


effective damping. However, because the isolated performing substantial modifications to the
systemis capable of safety accommodating far superstructure, thus sparing the important historic
greater displacements than the fixed base fabric oj the building from damage during the
structure, it is also capable of mobilizing much construction period. Often, however, substantial
larger effective damping once it is isolated. modification to the superstructure has been
The performance point for the base isolated necessary in order to obtain the required stiffness
structure, as shown in Figure 6-8, occurs at a and strength above the isolators. When this
spectral displacement of approximately 14 inches. occurs. it has resulted in some very large project
Of this 14-inch displacement, approximately costs as well as a loss of the presumed benefits for
12 inches, the distance along the displacement axis historic preservation.
of the plot between the performance point and the Base isolation ma:y be most effective as a
corresponding point on the fixed-base curve, is retrofit system when applied in buildings for which
accommodated by the isolator. The structure itself there are enhanced performance objectives. The
displaces only the residual amount, approximately significant reduction in displacement response and
two inches. It should be noted that all of these accelerations that occur within the superstructure
displacements are in spectral coordinates. In order of an isolated building results in much better
to determine the actual displacements, it would be performance of equipment, systems, and other
necessary to transform the isolated capacity nonstructural elements than is attainable with most
spectrum back into a capacity curve (base shear other retrofit systems.
vs. roof displacement coordinates). Chapter 8 6.2.1.4.2 Energy Dissipation Systems.
provides guidance on the procedure for doing this. Energy dissipation systems directly increase the
Commentary: For base isolation to be ability of the structure to dampen earthquake
effective, most of the displacement induced into the response in a benign manner, through either
isolated structural system must occur within the viscous or hysteretic damping. This approach
isolators. In order for this to occur, the structure requires the installation of energy dissipation units
above the isolation system must have an effective (EDUs) within the lateral force resisting system.
stiffness that is significantly in excess of that of the The EDDs dissipate energy and in the process
isolation bearings. The effective stiffness of the reduce the displacement demands on the structure.
superstructure is a junction of both its elastic The installation of EDUs often requires the
stiffness and the amount oj inelastic behavior it installation of vertical braced frames to serve as a
exhibits under the residual demands transmitted by mounting platform for the units and therefore,
the isolators. Base isolation works best for typically results in a simultaneous increase in
structures that have an initial, unmodified elastic system stiffness. Energy dissipation systems
stiffness of 1 second or less. Further, isolation is typically have a greater cost than conventional
most effective if the superstructure can. remain systems for stiffening and strengthening a building
nearly elastic under the residual demands but have the potential to provide enhanced
delivered by the isolators. In order to achieve performance.
these two conditions, the installation of a base Figure 6-9 illustrates the effect of energy
isolation retrofit frequently also requires stiffening dissipation on the capacity and demand curves for
and strengthening of the structure as well. a retrofitted structure. Curve A-B-C-D is the
Base isolation has most commonly been used capacity spectrum for the structure without energy
in the past as a method of retrofitting historic dissipation units. A performance point occurs for
structures. Initially the decision to use base this unretrofitted structure at a spectral
isolation for this purpose is often based on a belief displacement of approximately 5 inches resulting
that the upgrade can be accomplished without

Chapter 6, Retrofit strategies


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

(
NOTE: The family of
Family of reduced (
reduced demand .. - --demand-spectra-
-spectra'reflect the
depending on
effect of damping on
maximum
response. See
displacement d for
(
Chapter 8 '
system without (
0.50g energy dissipators (
and d' for system with (
cIJ energy dissipators
c:
0 0.4Og
(
:;::
T'=2sec (
s(J)
iii
-' f
0
~
0.30g Initial performance (,
ets point
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(J)
0-
0.20g T'=3se~.
(
C/)
--- (
0.10g {
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4" 6" SD 10" (
Spectral Displacement, &! (
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,
Figure 6-9. EfFect ofEnhanced Damping on Building perFormance

in a Structural Stability structural performance the individual EDUs and the displacement across (
(
level. Curve A-B' -C' -D'-E' is the capacity the EDUs. If a bitilding is relatively rigid, the
spectrum for the structure after installation of the energy dissipation system will not be able to
r
EDUs. This curve indicates a structure that has effectively dampen its response before damage has (
both added stiffness, the initial elastic period has occurred. Therefore, these systems are most r
shifted from approximately 1.5 seconds to applicable to frame structures. (,
approximately 0.75 second, and also somewhat An important aspect of buildings retrofitted
greater strength. The most important effect with energy dissipation systems is that the damping (
however is on the demand spectra. The efficiency of building response provided by these systems
of the EDUs in dissipating energy results in much - greatly reduces the amount of motion delivered to
greater effective damping at any displacement. building contents. As a result, the use of energy
This is evidenced by the lower d p values com- dissipation systems should be considered for
pared to dp values for the demand spectra. The buildings for which the protection of critical
result is that the performance point for the retro- systems or contents is important. r
fitted structure shifts to a.spectral displacement 6.2.1.4.3 Mass Reduction. The performance (
that is slightly less than three inches, resulting in of some buildings can be greatly improved by - (
attainment of the Life Safety structural reducing the building mass. Building mass (
performance -level. reductions reduce the building's natural period, the
Commentary: Energy dissipation systems are amount of inertial force that develops during its (
most effective when installed in structures that response, and the total displacement demand on
have a significant lateral deformation capacity. the structure. Mass can be reduced by removing (
The amount of energy dissipated by these systems tf
heavy nonstructural elements, such as cladding,
(
is directly proportional to the force developed by water tanks, and storage. In the extreme, mass
Ii
(
if
&-20 Chapter 6, Retrofit strategies (~-

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:

reduction can be attained by removing one or more level, but not the Immediate Occupancy level
building. stories. . would not be an acceptable risk.for an acute care
Commentary: Although mass reduction can be facility at a hospital. It might be very adequate,
a very effective method of improving a building's however, for use as a day care center or for
seismic performance, it is also a relatively radical medical offices. An appropriate strategy for such a
technique and consequently is seldom actually situation may be to use the existing building for
implemented. In most cases, the reductions in one of these latter occupancies and construct a new
building mass that can be achieved by removing acute care facility. The desirability of this
contents are quite limited in comparison to the approach would obviously depend on a number of
overall weight of the structure. The removal of factors, including a need for the building in the
building stories can result in more significant alternative use, the availability of funding to
reductions in weight but has obvious detrimental construct a replacement facility, and the
impacts with regard to the amount offloor space availability of land.
available.
6.2.2.2 nemoutton
6.2.2 Management strategies In some cases, the cost of improving a
Management strategies are programmatic in building's seismic performance to the desired level
nature and are typically controlled by the building may exceed its economic value. In others, the
owner rather than the design team. Management required structural modifications may render the
strategies tend to be of two types: strategies that building undesirable for its intended occupancy.
affect the acceptability of the building's probable The best approach to improving the seismic risk of
performance and strategies that regulate the way in such buildings may be demolition. As an example,
which a technical strategy is implemented. They consider the case of a large warehouse with many
include such approaches as occupancy change, large truck loading doors. The doors may render
demolition, temporary retrofit, phased retrofit, the shear walls incapable of meeting the Life
retrofit while occupied, retrofit while vacant, Safety structural performance level. Retrofitting
exterior retrofit, and interior retrofit. would require a strengthening strategy, consisting
Commentary: While the engineer typically either of infilling selected truck doors or placing
does not have the latitude to select from among new braced frames or shear walls within the
management strategies, these are an important warehouse space. The building owner might
consideration in the way a seismic risk reduction determine that the reduced truck access space or
project is executed and should be considered by loss of interior space would make the building
the engineer and discussed with the client. Often, unrentable as a warehouse. This may trigger a
the client for a retrofit project, being unfamiliar decision to demolish the structure and replace it
with these issues, may not be aware of some of the with a new building.
alternative strategies that are available. Commentary: The decision to demolish rather
than seismically retrofit a building is often the
6.2.2.1 Occupancy Change result of a cost-benefit study. While nearly all
Some buildings with inadequate performance buildings can be successfully retrofitted to provide
capability for the current occupancy may be an acceptable performance, the cost ofperforming
acceptable seismic risk if assigned other such work may be prohibitively high and could
occupancies. The best risk reduction approach for approach or even exceed the cost of constructing a
such buildings may simply be to alter the use of replacement facility. Unless a building is an
the building. For example, a building capable of important landmark or contains functions that
meeting the Substantial Life Safety performance cannot be taken out of service or relocated, it

Chapter 6, Retrofit strategies


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SEISMIC EVAI.UATION AND RETROFIT OF CONCRETE BUILDINGS (
. "(
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seldom makes sense to invest greater resources in more severe. As an extreme example, consider
the seismicretrofiuing.of a.building than would.be that an.owner wishes to strengthen.aframe .
required to replace it. building in phases, to coincide with the turnover of (
tenants in leased spaces. It would not be
6.2.2.5 Temporary RetroFit appropriate to add shear walls or braced frames in
In some rare cases it may be desirable to an upper story before performing the work in a
retrofit a building in a highly economical manner lower story, as this would create a soft/weak story
for continued short-term service. The technical condition. Similarly, it would not be desirable to
approach used to retrofit the building under this install the retrofit measures on only one side of the
strategy may be quite unacceptable for normal building, as this could create a torsional
applications and may include extensive use of irregularity. Care should be taken to ensure that at (
exposed structural elements, shoring, bracing, and I,
the completion of each stage, the building's
the like. This approach would make it possible to (
probable performance is at least as good as it was (,
provide economical protection of the building
occupants and contents while plans are developed
prior to the performance of the work.
When performing phased retrofit, it is
e (
and financing is obtained for complete building desirable to perform the design work for all phases ( ,
replacement or, possibly, facility phase-out. concurrently. This ensures that when taken r
6.2.2.4 Phased RetroFit together, the various phases will result in a (
complete and integrated structure with the desired \
Building owners may elect to implement a (
seismic performance characteristics.
retrofit in phases for a number of reasons, such as ~
Com.mentary: There is not unanimous (~
an inability to obtain funding for a complete
agreement that when phased retrofit workis
retrofit, a wish not to disturb certain tenants or (.
r
performed on a building, no phase should make
functions within the building, or a desire to
the building more vulnerable than it was prior to
perform the retrofit work concurrently with tenant
the initiation ofthe work. Some believe that as
improvements in various areas of the building.
long as the increase in risk caused by phased \
When a phased retrofit is selected because of
construction is temporary, the short-term (
economic constraints, it is usually desirable to
additional risk is acceptable. The problem with
obtain a complete incremental improvement in the
such an approach is that with phased construction
building's probable performance with each phase
projects. there is always a risk that the project will
of the work. As an example, consider a frame
be terminated before all phases are completed.
building with a weak first story as well as
This could occur as a result of a number of events:
inadequate capacity in the stories above. The weak
change of building ownership, .change of
first story could result in collapse in relatively
occupancy. economic limitations, and similar
moderate earthquakes, while the deficient upper
issues. Thus, a phase of construction that was
stories would be judged capable of resisting
intended to result in a short-term condition of
collapse except in very large earthquakes. A
reduced building capacity and increased risk could
phased approach that might be desirable for this
result in a permanent high-risk condition. (
structure would be to strengthen the weak first
story in one phase and address the balance of the 6.2.2.5 RetroFit During Occupancy (
building deficiencies in later stages. One of the largest costs of a retrofit project
When performing a phased retrofit, it is may be the loss of use of building floor space
important to ensure that the work installed in any during the construction phase of the project. When
particular phase does not unintentionally create a a building is vacated to allow retrofit work to be (
serious seismic deficiency or make an existing one performed, the tenants must find alternative space
(

(
6-22 Chapter 6, Retrofit strategies

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and bear the moving costs. Upon completion of the 6.2.2.7 Exterior RetroFit
work, the owner must.find.new tenants to occupy -When an owner-elects to retrofit a-building-
the space, which may take many months. while it remains occupied, it is often beneficial to
Consequently, many owners will desire to perform perform as much work as possible at the exterior
retrofit work while the building remains occupied. of the building so as to minimize interruption of
Although it is often possible to do this, a number internal functions and inconvenience to tenants.
of challenges are posed to the design team, Technical strategies that can be implemented in
contractor, and tenants. Often in these situations this manner include building stiffening and
work must be performed in phases to allow strengthening and demand reduction. Stiffening
temporary relocation of tenants. Work involving and strengthening can be accomplished through the
excessive noise or disruption of building utilities addition of exterior buttresses and/or shear walls
usually must be performed during evening or and braced frames aligned with the existing
weekend shifts. Precautions must be taken to perimeter wall lines. Demand reduction strategies
ensure the security of the construction site as well can be implemented from outside the building by
as the safety of the building tenants. The cost of placing damping devices within exterior braced
construction in an occupied building may be as frames or between exterior buttresses and the
much as 50 percent more than the same work in a building. In at least one case, a mid-rise building
vacant building. In addition, construction was base isolated while it remained occupied, by
schedules can be substantially lengthened when the using an "exterior" strategy. In this case, the base
work is performed in occupied spaces. isolation system was installed within the building's
Commentary: Prior to making a decision to first story, which was essentially a lobby and was
perform a seismic retrofit project while a building not part of the normally occupied building space.
remains occupied, a cost-benefit analysis should Work on the upper stories was done on the
be performed to determine the advisability of exterior surface of the perimeter walls,
adopting this approach. Often it may be found that It should be noted that most exterior retrofit
the apparent savings to the tenants and building projects involve, some interior work. Required
owner are outweighed by the added cost and interior work may include the addition of
schedule of construction and the inconvenience to diaphragm drags and collectors to deliver seismic
building operations during the work. Even when'a forces to the new exterior elements and the bracing
building remains occupied during construction, it and anchoring of internal nonstructural
is usually necessary to temporarily relocate components.
occupants away from areas of direct construction. Commentary: Obviously, exterior retrofit
This results in cost as well as inefficiency for the approaches are not generally applicable to
occupants. historically significant buildings.
6.2.2.6 RetroFit of Vacant Building 6.2.2.8 Interior RetroFit
This is the typical approach to seismic An important consideration in the retrofit of
retrofitting and results in the lowest direct costs of many buildings is the preservation of exterior
construction as well as the most rapid project appearance. Except in a few cases, the braced
execution schedules. As noted inSection 6.2.2.4, frames, shear walls, and buttresses commonly
however, many building owners will desire not to employed in retrofitting are viewed as an
take this approach. In some cases, particularly unacceptable modification of a building's
when extensive work must be done on the character. Even the simple wall anchors used to tie
building, this is the only practical approach. exterior walls to diaphragms can be viewed by
some as an unacceptable alteration of building

Chapter 6, Retrofit strategies


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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS


"(
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appearance. These concerns are particularly code for new buildings or to some fraction of that
important.for historic structures and..arcbitectural resistance; In such. cases the. viability of phased or
landmarks. partial retrofit strategies may be affected.
In such cases, the owner may direct that all (or Nonstructural code considerations can have a (
nearly all) retrofit work be performed from inside significant impact on project cost. Seismic retrofit (
the building. In historic buildings, interior spaces work commonly triggers collateral upgrades for (
and fabric niay be as significant as exterior disabled access and fire life safety systems. Often (
features. Cases of this type usuallyrequire that these collateral upgrades are limited to those (

work be performed in spaces normally hidden spaces in which actual structural retrofit work is (
from public view or that new vertical elements of f
performed and along the "path of travel" to the
the lateral force resisting system "are placed in the work area. As an example, if retrofit work is (
(
same location as historic elements and are finished performed in the second story of a two-story (
to have the same appearance as the original building, collateral upgrades may have to be
historic materials. As an example, an existing performed in the actual work areas as well as at (
hollow clay tile wall could be replaced with a new the building entrance, along corridors, in
reinforced concrete shear wall with plaster finishes elevators, and in stairways leading to the (
matching those of the original construction. second-floor work areas, since these are within the
path of travel. Retrofit projects in which work is (
6.3 Design constraints and performed on relatively limited locations in a
Considerations building will generally trigger fewer collateral
upgrades than projects that entail work throughout
(
,
(c;::-,
The selection of an appropriate retrofit
the structure. (
strategy requires evaluation of the important (
Commentary: Qualified historic structures ",
design constraints. These typically include code
may not be 'subject to the same code restrictions as (
requirements, performance objectives, available
other buildings. In California, the modification, (
budget and schedule, aesthetics, construction
alteration, and repair ofhistoric structures is
period occupancy disruptions, and permanent
governed by the state's Historic Building Code
impacts on occupancy and function. In addition,
(SHBCB 1993). This code encourages. alternative
project risk can be an important design constraint (
solutions that would not normally be permitted in
in the selection of an appropriate design
most other buildings.
alternative. (
Another important consideration is the
6..3.1 Code Requirements presence of hazardous materials. Worker safety
(
The legal constraints on a retrofit project laws and environmental protection regulations
result in increasing restrictions on the way retrofit
should be established prior to embarking on the
projects are performed.-Work -involving removal
development of particular retrofit strategies. Code
requirements' include both structural and or disturbance of asbestos-containing materials and
nonstructural considerations, The primary lead-based paint can result in significant project
cost impacts, as can excavation for foundations on (
structural code considerations include limitations
on the design criteria employed and potential a site with subsoils- contaminated by materials
deemed to be hazardous. The selection of (
restrictions with regard to partial or phased
retrofits. Some municipalities require that when . strategies that minimize the potential for such
impacts can be beneficial. An appropriate level of (
substantive work is done on a building, the entire
building be upgraded to provide lateral force hazardous materials investigation during the (
resistance equivalent to that specified by current project development phase can help to identify
these potential impacts. For many buildings there (
(
6-24 Chapter 6, Retrofit strategies
:

are likely to be existing survey reports on relating to the loss of use of floor space both
asbestos-containing materials. Reports.on .. during and.after construction,. and the. owner's.
lead-based paint are less likely to exist. If a project management and supervision costs.
building has a substantial quantity of structural Generalizations with regard to the likely costs of
steel, the presence of lead-based paint should be different strategies are difficult to make, as the
suspected and an evaluation obtained. Typically, if cost of a particular strategy is directly dependent
soil borings are obtained in order to develop on the characteristics of the individual building .
foundation design recommendations, the and the project performance objectives.. Projects
geotechnical engineer will also evaluate soil that call for Immediate Occupancy or Damage
samples for the presence of hazardous materials. Control will, however, be significantly more
costly on the average than projects with lower
6.3.2 Performance Objectives performance objectives. Although costs are
The project performance objectives are extremely important to the selection of a" strategy,
perhaps the most important design constraint. they are also very difficult to assess without a
Performance objectives can range from avoidance well-defined design plan. It is usually necessary to
of collapse under a specified design earthquake, to develop a schematic-level design for each strategy
protection of building contents, to rapid considered in order to assess the probable cost
postearthquake recovery of function.. A given impacts with any reliability.
retrofit strategy may be appropriate to some
objectives but not to others. Strategies that involve 6.5.4 Aesthetics
strengthening and stiffening of a structure are Aesthetics are often an important factor in
highly effective at achieving Structural Stability selecting a retrofit strategy. Retrofit elements
and Substantial Life Safety performance placed at the exterior of a building, including infill
objectives. However, such strategies may not be walls, new walls, buttresses, and braced frames,
appropriate to the protection of building contents: are typically perceived as having a negative impact
In fact, stiffening and strengthening a building will on building appearance. To the extent that these
often deliver more-severe forces to the building's elements are viewed as degrading the building's
contents, potentially resulting in damage. A appearance, they detract from its value. In some
demand reduction strategy, such as the cases, architectural redesign of the building
introduction of a base isolation or energy exterior can mask the new structural elements or
dissipation system is often more appropriate for incorporate them into the building's design. The
obtaining performance objectives involving cost of such remodeling is typically high,
protection of contents or immediate postearthquake however.
occupancy. Aesthetic impacts must also be considered
within the interior spaces of buildings. Retrofit
6.~.3 Project Budget measures that result in decreased ceiling heights or
Cost is often the overriding factor in narrow corridors are often viewed as undesirable,
determining the project performance objectives, even if the spaces are within the legally specified
the retrofit strategy employed, and even whether a requirements. In many occupancies, exposed
retrofit will be performed. Different strategies can structural elements are perceived as undesirable
have widely different costs. When evaluating the aesthetically unless special precautions are made to
costs related to a particular strategy, it is important provide a "finished" look to the elements. As an
to include all cost components. These include example, braced frames that incorporate bolted
design fees, construction costs, operating and connections will often be viewed negatively by
maintenance costs, tenant relocation costs, costs building occupants. Similar bracing with welded

Chapter 6, Retrofit strategies


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SEISMIC EVALUATION' AND RETROFIT OF ·CONCRETE BUILDINGS

(
connections that have been ground smooth may placement of dowels and anchors. It is advisable to (
provide. an acceptable appearance,.. however.. . .. perform such.operations.in.off-houra. such as- --- .
The issue of aesthetics is most important in evenings and weekends, to minimize the disruption
historic landmark structures. The retrofit strategies to building occupants. Although such off-hour
selected for these buildings should result in construction activities increase direct labor costs, (
(
minimal impact on the building configuration or they may actually result in a decrease in total
appearance and, to the extent possible, minimal project costs through avoided costs related to (
alteration of the actual materials and fabric that tenant relocation.
make up the building. Base isolation may often be Other considerations related to work on
occupied buildings include the need to keep
r
an appropriate strategy for such structures. (
Although base isolation is highly disruptive of a utilities in service and the need to ensure a secure
building's base story, using this approach may work area and maintain a safe working (
make it possible to minimize the work that must be environment for the occupants. Construction sites
performed at levels above the base, where are potentially dangerous, and precautions must be (
important historic features may be situated. taken to ensure that building occupants do not have (

Another technique that can be useful in historic free access to' areas where work is actively being (
buildings is to place new shear walls behind performed. In addition, protection of occupant
existing walls, using the existing wall as a veneer. safety requires that construction operations not (
(
block exits or corridors. Additional care must also
6.3.5 construction Period occupancy . be taken to contain potentially hazardous .materials
(
Disruption used or exposed in the construction process, since
The ability of tenants to continue to occupy a building occupants will not in general be wearing
building during retrofit construction can have a' protective clothing. (
significant benefit with regard to overall project (
cost. This can make strategies. that permit such 6.3.6 Permanent o~cupancy Impacts (
construction period occupancy more attractive. As Many retrofit strategies will result in some
previously stated, strategies that make it possible permanent impairment of the future occupancy and (
to perform retrofit work from the building exterior use of the building. As.an example, the installation
are the most conducive to continued occupancy of vertical braced frames or shear walls within the (
during the construction period. But, even interior of a building will limit future traffic
(
strategies that entail substantial work within the patterns within. the building as well as limit the
building interior can be implemented in partially possibility for placing partitions in certain areas. (
occupied buildings. If it is possible to temporarily' The placement of frames or walls at the perimeter
relocate a portion of a building's occupancy during of a building may reduce the amount of natural
the construction period, then if is possible to rotate light available and make office space less
other occupants from their normal locations to the desirable.
empty space, giving access to discrete areas of the Seismic retrofitting can also confer an
building for construction operations. occupancy benefit. A building that has been (
Most retrofit work. entails a substantial amount retrofitted to provide immediate postearthquake
(
of noise and dust, which the occupants of a occupancy should have significantly more value to
building must be prepared to live with if they are tenants than a building which must be closed for (
to remain in residence during the construction repairs following an earthquake. The extent of this {
period. The most noisy retrofit construction value will be related to the cost of finding (
activities include selective demolition by means of replacement space and the cost of relocating
chip hammers and rotc-hammer drilling for the equipment and contents within the building. (
(
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6-26 Chapter 6, Retrofit strategies

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-----------------------------------,---,-~,~--,-------,----.-.= -'-'"

6.3.7 project Risk approaches. One way is to include project risk as


Typically the selection of a retrofit-strategy an actual.design. constraint; evaluating it along
and system occurs early in the design process and with the other design constraints when selecting a
must be based on only very limited study of the strategy. A more common method of treating
various options. Consequently, at the time the project risk in the evaluation is to assign a unique
evaluation of the alternatives is made there are cost contingency allowance, based on the
likely to be a number of poorly. defined factors that perceived uncertainty, to the estimated project
could affect the cost and even the feasibility of one cost. A system that seems to have a high risk could
or more of the design alternatives evaluated. These be assigned a contingency allowance on the order
factors could include such things as unknown .of 30 percent or more, while approaches that
materials strengths, undefined foundation . appear to be relatively free of risk could be
conditions, incomplete structural analyses, and assigned lower contingencies, perhaps on the
grossly estimated element sizes. The level of risk order qf10 percent.
associated with these undefined design conditions
should be evaluated independently for each SA Strategy Selection
strategy and system. In general it will not be the In order to select a retrofit strategy, it is
same for all of the alternatives. necessary to establish the basic performance
Another source of project risk that should be objectives desired for the building and the existing
considered is construction risk. Although seismic deficiencies relative to those performance
retrofit design projects typically include some objective. Once these have been determined, it is
exploration of the existing condition and possible to evaluate each of the various strategies
configuration of a building, it is not usually to determine whether they are technically and
feasible to verify all conditions that will be practically capable of mitigating the identified
encountered during construction. One of the deficiencies. If the engineer has an adequate
largest sources of project delays and cost overruns understanding of the various design constraints
on retrofit construction projects is the discovery of before starting this process, it may often be
unexpected conditions when selective demolition is possible to eliminate many of the available
performed during construction. Retrofit systems strategies without detailed study. It is important,
that require frequent attachment to the existing therefore, to meet with the building owner prior to
structure generally have a greater risk in this starting this process to define these design
regard. constraints and their relative importance.
Commentary: The risk associated with Table 6-1 is a checklist that may be useful in
discovering unanticipated conditions during the obtaining an understanding of these issues.
construction phase can not be overemphasized. Table 6-11ists several of the more important
The unanticipated conditions can include such design constraints, discussed previously in
things as framing that does not conform to original Section 6.3. Each of these constraints will. apply in
construction documents, materials that are some degree to every project. Their relative
substantially different than expected, and similar importance on a given project will not be the
features that could affect the feasibility of same, however, and it will vary from one project
constructing the design as intended. In order to to another. It is important to understand the
minimize such risks, it is extremely important that relative importance of each for the specific project
there be an appropriate program of investigation being considered. Project cost limitations should
of the building during the design phase. be established as early as possible. Unless a study
There are several ways to include potential of retrofit alternatives has been performed, the
project risk in an evaluation of alternative retrofit

Chapter 6, Retrofit strategies


SEISMIC EVA.LUA.TION AND RETROFIT OF CONCRETE BUILDINGS

--Table 6-1. Checklist ofRetrofit Design CORsider-ations- _. --- - --- .. -.- --"

Performance structural level_


(
(
objective for_ % in 50 years
Nonstructurallevel_for
(
(
_ % In 50 years
(
f'
project cost constr: $,-- _
other: $ _ (
(

project schedule _ _ _ months


(

Construction,
occupancy = Building vacant
Partial occupancy
Full occupancy
{

Hazardous materials none known


(
l
known present
(
Intended remediation
6
(,
Building appearance _ May be altered r
MUstbe preserved
(
t.
Floor space impact No obstruction
Obstruction allowed (
{

(
I(
(
building owner will typically have noidea as to Building appearance is nearly always '\
how much the project could or should cost. , important. However, alteration of a building's (
,r
However, most owners will be able to determine a appearance does not always result in a less
maximum cost beyond which the project would not attractive building. If there are specific reasons for (
proceed. An understanding of this limit will assist
in eliminating some strategies from consideration.
preserving the appearance of a building (for
example, if the structure is a landmark), these
c- -(

Construction schedule may be nearly as should be understood before a strategy is selected.


important as cost. Often retrofit projects are Many buildings are constructed for a given
conducted simultaneously with other occupancy and use and are expected to remain in (
improvements to a building, such as modifications that use throughout their lives. As an example, a (

to accommodate a new tenant. Some strategies classroom building on a college campus can be (
(
may require a significantly longer design and expected to house individual classrooms ,

construction duration than others 'andmay throughout its life. In such a building, the (
(
therefore be eliminated quickly through replacement of non-structural partitions with
consideration"of this constraint. structural walls would probably be acceptable. In (
(
an office building however, it is highly desirable
(
(
(
~
&-28 Chapter 6, Retrofit strategies
~-
(

(
:

retne 5-2. sample strategy Evaluation Matrix

Importance 10 3 7 3 10
(1·10; 10 very importantl
system completion 0 0 0 0 0 0 Not viable
system strengthening 9 10 7 10 6 259
and stiffening
Exterior shear w.alls 9 10 7 10 6 228
Exterior braced frames 10 9 3 10 5 228
Interior shear waus 7 8 10 0 6 224
Interior braced frames 8 7 10 0 5 221
Exterior buttresses 9 10 3 10 6 231
Demand reduction
Base isolation 3 5 10 0 10 215
Enhanced damping 0 0 0 0 0 0 NotviabJe
Mass reduction 0 0 0 0 0 0 Not viable

to retain flexibility in the layout of offices to constraints. This evaluation should include
accommodate the needs of different tenants over development of preliminary cost estimates, project
the years. The installation of permanent walls schedules, schematic floor plans, and elevations
within such a structure would be less desirable. for the retrofitted building and any other .materials
Once the deficiencies and design constraints that may be helpful to the building owner and
are properly understood, the evaluation of occupants in understanding the potential impacts of
alternative strategies can begin. In general, it will the proposed work. A matrix format similar to that
be necessary to generate a design for each viable presented in Table 6-2"may be useful in evaluating
strategy to at least a schematic level so that the the relative merits of each strategy and in selecting
alternative strategies can be compared. Capacity a final strategy for development of the design.
and demand spectra should be drawn for the In the matrix shown in Table 6-2, alternative
structure in the unmodified state in order to strategies for retrofit of a particular building have
determine the types and extent of retrofitting been evaluated. A relative weight, presumably
required, as described in Section 6.2 and below. based on discussions with the owner, has been
The viability of and approximate requirements assigned to each of the design constraints, based
for various strategies can be judged directly from presumably on discussions with the Owner" Then
the demand-capacity plots, as described in the for each strategy that is viable, an evaluation
Section on Preliminary Design. Once a schematic rating is assigned for each design constraints"
design has been developed, cost estimates can be Ratings range from 1 to 10, with 10 representing
generated and the impacts on building appearance, little impact or the most desirable effect and 1
and function judged. representing the least desirable impacts. A
For each strategy investigated and found to be weighted score is then obtained for each strategy,
viable, an evaluation should be made of the extent consisting of the sum of the individual evaluation
to which the strategy can meet the design scores factored by the weight for each design

Chapter 5, Retrofit strategies


( -=

SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

::

(
(
constraint. In this particular case, a system the structure is incapable of meeting the desired (
streng~ening_strategy_consisting o f the installation. _.... _ performance.objectives.at.the performance.point;
of extenor shear walls was rated the most than the specific deficiencies should be identified.
favorably. For other projects, however, each Structural performance is most closely tied to the
de~ign cons~~~would be ~signed a different lateral deflection induced in the building by the
~elght and individual strategies would have earthquake ground motions. If the performance ('
different scores. predicted for the unretrofitted structure is ( I

Commentary: The specific design constraints unacceptable, the capacity curve for the structure (

that are contained in the evaluation matrix will be should be evaluated in order to determine a target (
(~
unique to each project, as will the relative weights lateral displacement at which acceptable
that are assigned to them. The specific evaluation performance can be attained. Data required for use (
criteria used, and their relative assigned weights, in performing a preliminary design of retrofit
should be based on discussions with the client elemerits can then be obtained by adjusting the ['
agency, the building occupants, and other capacity and demand spectra in an appropriate (
stakeholders. manner relative to the retrofit strategy, as
explained in previous Sections of this Chapter, and
6 . .5 Preliminary Design by then obtaining data on the required
Once a retrofit strategy has been selected, it is supplemental strength, stiffness, period or
necessary to develop a preliminary retrofit design. effective damping from the adjusted curves. The
A preliminary design should include the following sections describe the application of this
approximate sizes and preferred locations for all technique to specific retrofit strategies.
major elements of the retrofit strategy including
6.5. '1 stiffening and strengthening
braced frames, shear walls, buttresses, base
isolators, and energy dissipation units. The Stiffening and strengthening of a structure will
preliminary design may be used for several typically be accomplished by the addition of
purposes including coordination. between the braced frames, shear walls, buttresses and similar
various design disciplines, for example elements that add both strength and stiffness to the
architectural, mechanical, and electrical; structure. The effect of this will be to shift the
development of preliminary cost estimates; and, performance point for the structure to a lower
development of the strategy evaluation matrices spectral displacement (or .lateral deflection). In
(described in the.previous Section). The order to perform a preliminary design for this
preliminary design also provides a basis upon strategy, it is necessary to decide what target
which to perform a structural verification analysis spectral displacement is desired for the retrofitted
used to ensure that the design approach is capable structure, and then, to determine the approximate
of meeting the project performance objective and additional strength and stiffness that will shift the
for determining forces used in the final detailing of performance point to this spectral displacement.
the retrofit structural elements. . Figure 6-10 illustrates the way this information (

The first step in the preliminary design process may be obtained for a representative structure. In (
is to prepare and overlay demand and capacity the figure, the capacity spectrum for the
unretrofitted structure, shown as a bold curve, (
spectra for the unretrofitted structure, using the
procedures described In Chapters 4 and 8. The indicates an initial period for the structure of
approximately 1.5 seconds and an ultimate spectral (
performance point for the unretrofitted structure
should be determined and the behavior of the acceleration capacity of approximately O.lg. The (
structure at this performance point understood. If first step is to determine what spectral displace- (
ment would result in acceptable performance (

(
6-30 Chapter 6, Retrofit Strategies
(

NOTE: The family of T' = 1/2 sec


reduced demand I
spectra reflect the I Elastic displacement

,,
effect of damping on I
response. See
line
Family of reduced
Chapter 8 demand spectra
dol=2"
,,,
I
depending on
.
U>
0.70g maximum
displacement d.

.e 0.60g d ,=4",
I

"§ Target displacement


"*oo 0.50g /l""'1f-'r.------j at desired performance
<:( OAOg T' = 2 sec
~
o
d ~~c----I Desired performance -'
U>
&. 0.30g
----'------
,
, I
point for retrofit
, I~,
0.20g
I
I I / / J
Performance
point - original
T'
--- -- -
= 3 sec

-.-
I /
0.10g - T-I/-----------_~
--- structure
-;"',-'---J.-------.-j
I
/-
/ .
- - - - I - - -

0" 2" 4" 6" 8" 10" 12"


Spectral Displacement, S d

Figure 6-10. preliminary calculation for Retrofit Using strengthening andstiffening

for the retrofitted structure. For this example, For the purpose of developing a preliminary
assume that examination of the damage state that design for a strengthening and stiffening strategy it
exists at each of the various points on the capacity is appropriate to make several approximate
curve indicates that acceptable performance can be simplifying assumptions. The first of these
obtained at a spectral displacement of 4 inches. assumptions is that the demand spectra for the
This is illustrated in the figure by the vertical structure will not be significantly affected by the
dashed line drawn at a spectral displacement of 4 retrofit and that therefore, the same demand
inches and labeled as the target displacement for spectra used in finding the initial performance
the desired performance. Note that this target point can be used on a preliminary basis to solve
displacement will be different for every structure for the retrofitted performance point. In reality,
and every structural performance level. The strengthening and stiffening the structure will
displacement of 4 inches used in this example has result in somewhat altered demand spectra.
simply been selected for illustrative purposes only. However, this assumption will typically lead to a
Similarly, the ultimate shear capacity for the conservative solution for the preliminary design.
structure of O.lg has been arbitrarily selected for Therefore, the approximate solution for the
the purposes of this example. The actual ultimate retrofitted performance point is obtained by
shear capacity for a given structure should be . extending the 'vertical line at the target spectral
determined directly from the capacity curve for displacement, 4 inches in the case of the example
that structure. illustrated by the figure, until it intersects the
demand curve calculated using a value of d p equal

Chapter 6, Retrofit strategies


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

to this target displacement. This point is annotated


on the figureas the "desiredperformance point•." T=032 Sd5%
-- - - - S' .- - . - -- .- (6-2).
A horizontal line extending from the desired a5%

performance point to the y axis indicates the where T' is the target initial period for the
minimum spectral acceleration capacity desired for retrofitted structure, Sd5% is the target displacement
the retrofitted structure. With this information and, S~$ is the: spectral. acceleration corresponding
mown, the required ultimate base shear capacity to the mtersection of the target displacement line
for the retrofitted structure can be obtained from with the elastic response spectrum, expressed in
the following equation: units of the acceleration due to gravity, g. For the
case illustrated in the figure, Sd5% is 4 inches, Sa5%
S' is O.6g and T' is calculated as 0.8 seconds.
Vrequi red = S au Vu (6-1) . The target stiffness for the retrofitted structure
au
can than be calculated from the equation:
where V required is the desired ultimate shear capacity
for the retrofitted structure, S'ou is the spectral
acceleration at the desired performance point, Sau Kr=K{~r (6-3) (
is the ultimate spectral acceleration for the
where Kr is the stiffness required of the retrofitted (
original, unretrofitted structure and Vu is the .(
structure, Xi is the initial stiffness of the
ultimate base shear capacity for the original
unretrofitted structure and Ti and T' are (
structure. In the case of the example illustrated in (
respectively the initial periods for the unretrofitted
figure, S'au is 0.3g and Sou is 0.1 g, indicating that .~
structure and the retrofitted structure.
the retrofitted structure should have a lateral shear
Once the required stiffness and strength for the C'
strength that is three times (O.3g/0.1g) times th~t {'
retrofit elements has been determined, as indicated (
of the original structure, or, that the retrofit
above, it is possible to develop preliminary sizes
elements should have twice the lateral shear (.
for shear walls, braced frames or other elements to
strength of the existing structure.
provide these properties. While this approach is (
The next step is to determine an appropriate
suitably accurate to lead to a preliminary design (
initial stiffness for the retrofitted structure. As an
solution, it is extremely important that the actual (
approximation, an estimate of the initial period (
demand and capacity spectra for the retrofitted
required for the retrofitted structure can be'
structure-be formally computed as part of the final
obtained by extending the vertical line through the (
design process. A number of simplifying
desired performance point until it intersects with
assumptions bave been made in the formulation of
the elastic response spectrum (demand spectnim
the .~ove equations and approach and designs
(
for 5 percent viscous damping). In the example
denved by the method described may either be
shown in the figure, this demand curve is the one
excessively conservative or inadequate for
labeled as having a dp. value of two inches. A (.
individual structures. Design verification, through
radial line, drawn from the origin of the
development of the revised demand!capacity (
demand/capacity spectrum plot through the
spectra is an essential part of the final design (
intersection of the vertical target displacement line
process. (
with the elastic response spectrum defines the (
desired initial stiffness for the retrofitted structure 6.5.2 Base Isolation
expressed as a period with units of seconds. This ' (
Most base isolated buildings have a period that
period can be calculated from the equation:
ranges between two to three seconds and effective
viscous damping ratios that range from fifteen to
(
twenty-five percent. Consequently, in order to (
(

&·32 Chapter 6, Retrofit strategies


:

,
5% damping ""J;'
~4r;/
I .<:,:,
,
en" I
I

, ,,
,,
I
I
c
,,
o I

~0> I Approximate structural


(j) I
o 20% dampif'g performance point
o

~
<l:
,
, Target performance
ti
0> ,, point
,,
0- I
en
I A'
0.17g I , ,
-7- ,"'- :;-r- - ... =-_-- . - T':::: 3 s~ ---
f ,r.r
/' , .... ' .. _
....' .. - I
1
----
/~-:;/'::_-:.- »> -- t- -- --

A ----- I
0" 4" 8" 12" 16" 20" 24"
Spectral Displacement, Sd

Figure 6-11. Approximate Solution for Base Isolation preliminary Design

perform a preliminary design for base isolation it line representing a period of 2-112 seconds. This
is convenient to assume that the base isolated line will have a slope equal to 0.0164 g/in. The
structure will have an effective period of 2-1/2 intersection of the 2-112 second period line with
seconds and an effective damping of twenty the 20 percent damped spectrum solves for the
percent. By overlaying the capacity spectrum target performance point for the preliminary
developed for the unretrofitted structure with an design of the base isolated structure. In the case of
appropriate demand curve for 20 percent effective the example shown in Figure 6-11, this is
viscous damping, it is possible to evaluate the represented by a spectral acceleration of O.17g and
feasibility and requirements for a base isolated a spectral displacement of approximately 10.4
design. This is illustrated in Figure 6- n. inches.
As shown in the figure, the first step is to Once the target performance point is known,
overlay the capacity spectrum for the unretrofitted the structural performance point, for the
structure with the 20 percent damped demand superstructure should be solved for. This is
spectrum. The 20 percent damped demand obtained by drawing a horizontal line from the y
spectrum may be derived by using values of SRA axis through the target performance point. The
and SRv of 0.55 and O.65,-respectively, in the intersection of this line with the capacity curve for
Chapter 8 procedures for developing families of the structure indicates the structural performance
demand spectra. The next step is to draw the radial point for the isolated structure. This will either

Chapter 6, Retrofit strategies


(=
f
(
,"
(
SEISMIC EVALUATION AND RETROFIT OF C'ONCRETE BUILDINGS
-;.
(
~ I"
(
,
(

# (
(;:I
......
1/1
5% damping t.,,'
,I

I
I
,
I

I
,
I
Target performance point for
I
200/0dampirg superstructure - alone

Target performance
, point

A'
0.179
, »>" - - - - - -
I ___,!,-==- s~_-------
I
---------~------

4" 8" 12" 16" 20" 24"


Spectral Displacement, Sd
Figure 6-12. preliminary Determination of strengthening and stiFFeningl Base Isolated structure

occur at an acceptable performance level, for the experience any yielding under the project
project performance objectives, or not. If it does performance objectives. Consequently, a vertical
not represent an acceptable performance level then line has been drawn through. the spectral
this indicates that for base isolation to be an displacement at which this occurs, ill this case
appropriate strategy, it is necessary to perform. approximately one inch. The intersection of this
supplemental stiffening and strengthening of the vertical line with the horizontal line drawn at
structure in addition to base isolation. 0.17g represents the target performance point for
In order to determine the amount of stiffening the retrofittted superstructure, independent of the
and strengthening required, it is necessary to base isolation system. With this information the
examine the capacity curve for the unretrofitted required supplemental stiffness and strength of the
structure to determine the maximum spectral. retrofit elements can be determined as previously
displacement associated with an acceptable. indicated in Section 6.5.1. The radial line drawn
structural performance. Similar to the procedure from the origin of the figure to the target
indicated in Section 6.5.1, a vertical line should be performance point for the superstructure alone
drawn through this new target displacement for the provides the period T' for the retrofitted structure
superstructure. The intersection of the vertical line for use in the formulas of Section 6.5.1. In those
drawn through the target displacement with the formulas, the term Sa20% should be substituted for
horizontal line drawn through the intersection of the term. Sa5%. The value for Sao« is simply given (
the 2-112 second period line and the 20 percent by the intersection of the horizontal line through "'

damped response spectrum defines the required this target performance point and the vertical axis, (
stiffness and strength of the retrofitted structure if in this case 0.17g. The term Sd20% should be
base isolation is to achieve the project performance substituted for the term Sd5%. The Sd20% value is (
objectives. Figure 6-12 illustrates this approach. obtained as the intersection of the vertical line
In Figure 6-12, it has been assumed that the through this target performance point and the
base isolated structure will not be permitted to horizontal axis, in this case one inch. (

(
(

(
~~
Chapter 6, Retrofit strategies c;
I
(
::

Preliminary design for the base isolators In addition to determining the size of the base
themselves should be done with the assistance of isolators, it is necessary to select a location for the
one or more of the several suppliers of these plane of isolation in the structure. This consists of
devices who have design tools available to assist in a horizontal plane, cut though the structure, in
the selection of isolators. The design displacement which the isolation bearings are placed. The
for the isolators is obtained as the difference in isolation system displacement occurs across this
spectral displacements at the target performance plane. It is typically necessary to provide
point and the structural performance point horizontal diaphragms above and below this
respectively, converted back to actual isolation plane. The diaphragm above the isolation
displacement (rather than spectral displacement) plane must distribute the lateral forces from the
coordinates using the procedures of Chapter 8. superstructure to the individual isolator bearings,
Base isolated structures behave as almost ideal in proportion to their relative stiffnesses. Note that
single degree of freedom systems. Consequently, it is likely that several different size isolators will
the modal participation factor and modal mass be recommended by the isolation system vendor,
contribution for base isolated structures is very depending on the dead and live column loads that
nearly 1. Therefore, for a first order are supported, each having somewhat different
approximation, the spectral displacements from the stiffness. The diaphragm below the isolation plane
demand/capacity spectra plots may be taken as must be capable of distributing the lateral loads
equal to the actual displacements, without further from the individual isolators to the foundation
conversion. In figure 6-11, the isolation system system for the structure. If each individual isolator
displacement would be calculated as a spectral is provided with a foundation capable of resisting
displacements of 10.4 inches - 3 inches, or the forces from the isolator, this diaphragm may
approximately 7.4 inches. If the superstructure is not be required.
strengthened and stiffened, as indicated in Note that the procedures indicated above are
Figure 6-12, then this would be obtained as the not adequate for a final design either of the
difference in spectral displacements between the superstructure retrofit or of the isolation system.
target performance point and target performance The procedures contained in Chapter 8,
point for the superstructure alone. In the case of supplemented as appropriate by the procedures of
the structure represented by figure 6-12, this the building code should be used to perform the
would be 10.4 inches - 1 inch, or approximately final design of base isolation retrofits.
9.4 inches. This data will be required by the base
isolation bearing supplier to perform a preliminary 6.5.3 Energy Dissipation
,size of the bearings, as well as the estimated Most retrofits employing energy dissipation
weight on each bearing and the estimated design units will have an effective viscous damping
base shear in the, structure. The estimated design ranging between 20 percent and 40 percent. In
base shear is obtained from the equation: order to determine if a retrofit employing EDUs is
appropriate, the first step is to prepare a plot of the
V=Sa20%W (6-4) capacity curve for the unretrofitted structure,
overlaid with damped spectra for 5 percent, 10
where W is the effective seismic weight of the percent, 20 percent, 30 percent and 40 percent
structure as defined elsewhere in this viscous damping. Such a curve is shown in
methodology. Figure 6-13. The intersection of the capacity curve
with each of these spectra indicates the
performance point that would be obtained if

Chapter 6, Retrofit strategies


-c=
c
(
SEISIIIIUC EVALUATION AND RETROFIT OF CONCRETE BUI~DINGS
(
(
:
(
r
(
(

5% damping

(
20%
(
(

(
A'

>:----_---------r-=:~5~-------­
~:-=--~

4" aa 12a 16" 20" 24" /.

Spectral Displacement. Sd (

(
Figure 6-13. preliminary Design of RetroFit With Energy Dissipation Units (

(
EDDs capable of providing the indicated damping is determined to be effective, it is necessary to
were to be installed. select the particular EDDs that will be used, on a
fe, iiifJ

The demand spectra for the different effective preliminary basis, and the method of installation of
viscous damping ratios can be obtained using the these units in the structure.
(
procedures of Chapter 8 and values for the There are a number of different EDD systems (
coefficients SRA and SRvobtained from Table 6-3. available in the market, each of which have
significantly different force-displacement and
Table 6-5. Values of the coeFFicients force-velocity relationships. Consequently, there
SRA andS~v are no readily available rules of thumb that can be
used to select a generic EDD for the basis of
preliminary design. Preliminary selection of EDDs
5% 1.0 1.0 should be done with the assistance of a supplier of
10% 0.77 0.82 . these devices. The supplier will need to know the
20% 0.55
characteristics of the structure, including its mass
0.65
and existing stiffness; the effective damping
30% 0.42 0.55
desired, represented by the coefficient p,
40% 0.33 0.48 determined from the demand/capacity spectrum
plot and the displacement or interstory drift in
Once the capacity spectra and various damped which this effective damping must be developed.
demand spectra have been drawn, the performance With this information, the vendor will be able to
points for each effective damping should be make a preliminary determination of the required
examined to determine if the indicated damping damper size and also provide an estimate of the
would result in acceptable performance in forces that will develop in the EDUs. These forces
accordance with project performance objectives. If must be developed into the structure. EDDs are
performance for a given level of effective damping typically installed in structures as part of lateral
/
(
Chapter 6, Retrofit strategies
SEISMIC EVALUATION AND RETROFIT OF CONCRETE IiUULDUliGS

Existing frame

Figure 6-14. tvptcst mstsustion of Energy Dissipation Units

bracing systems. Figure 6-14 indicates two ways in approach. For such systems, it will be necessary to
which such dampers can be installed. Once the perform a nonlinear response history analysis.
forces in the dampers have been estimated by the
damper supplier, it is possible to use these forces 6.5.4 other strategies
directly in the preliminary design of the bracing Preliminary designs for retrofits employing
elements as well as to check the adequacy of the strategies other than stiffening and strengthening,
existing structure and foundations to resist these base isolation and energy dissipation must be
forces. performed using a trial and error process. In this
As with other retrofit strategies, [mal design of process. a retrofit design is assumed, the resulting
retrofits employing EDUs will require that the capacity and demand spectra developed and the
capacity and demand spectra be redeveloped using performance point determined. If the assumed
the procedures of Chapter 8 and that the design-results in an acceptable performance point
performance point be evaluated for adequacy. It for the project performance objectives, then the
may not be possible to characterize the behavior of design is adequate. If not, then the design must be
some types of EDUs using the capacity spectrum revised and the process repeated or an alternative
strategy employed.

Chapter 6, Retrofit strategies


:

(
(
(
Chapter 7
Quality Assur nee Proce ures
AUdience Interest spectrum
Owner Architect Bldg. OFficia; Engineer Analyst
11t.III_r~~f:'{;;;\W.i"':;!.;1

7.1 Ceneral design team, a testing and inspection program, and


To ensure the appropriate application of the a contractor's quality control plan.
methodology during the evaluation, design and Comprehensive programs for each of these
construction phases, a quality assurance program processes are presented; however, it is likely that
should be required. Since performance-based design the circumstances surrounding a particular building
and the methodologies presented in this document project will require varying levels of the scope
are relatively new and may be somewhat unfamiliar outlined below. The owner should require some .
to the broad engineering community, procedures for form of a quality assurance program on all projects,
assuring the appropriate criteria and application of and this program should be developed and
the methodologies are critical. Even though the initialized during the preliminary evaluation/design
procedures 1..."1 this document do not explicitly extend phase of the project. It is the responsibility of
into the construction phase, the importance of owner and/or building official, in consultation with
construction quality on building performance in the design team, to ensure that the program
general and the likelihood of encountering implemented satisfies the needs of the particular
unforeseen conditions in retrofit construction in project.
particular warrant special attention to construction Though the extent and formality of the quality
monitoring and quality assurance. assurance program should be tailored to the
This chapter presents the major features of such particular project, such a program should
a program consisting of the following three encompass the major phases of the project and
processes: peer review, plan check, and address, within the above framework, the following
construction quality assurance. Peer review issues:
provides an independent second opinion regarding + The adequacy of the information generated by
the building evaluation and retrofit design criteria, the field investigations (see Chapter 5)
retrofit strategies, and issues involving engineering + The adequacy and appropriate application of the
judgment. Plan check provides a more detailed analytical methods used to identify and quantify
review of the construction documents for the building response and vulnerabilities
conformance to the established criteria and
strategies. Construction quality assurance provides + The validity of the proposed retrofit concepts
a measure of confidence that the retrofit design + The completeness and accuracy of the design
intent is properly implemented during construction calculations
and includes site observations on the part of the

Chapter 7, ouality Assurance procedures


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

.. The adequacy and proper execution of the services associated with peer review are additional
items of scope which should be reflected in the (
testing and inspection program during
engineering contract. f
construction
.. The conformance of construction materials and 7.2.1 purpose (
execution with design requirements
The purpose of the project peer review is to
improve public safety and to enhance the quality,
7.2 Peer Review reliability, and performance of the retrofitted
Because of the complexity and uncertainty building. The project peer review team fulfills this
inherently involved in the seismic evaluation and purpose by confirming the overall criteria,
retrofit of concrete buildings, an independent concepts, strategies, and execution of concepts;
second opinion in the form of a project peer review providing a second opinion on issues involving (
can enhance the quality and reliability of the design. engineering judgment; and providing added (
(
Moreover, since the procedures and methodologies assurance that new and/or complex analysis
(
outlined in this document require the thoughtful methodologies or retrofit strategies are applied
(
exercise of engineering judgment supported by appropriately. The owner, with input from the (
relatively new and unfamiliar and sometimes design team, will determine appropriate objectives (
complex analysis procedures, a project peer review for the project peer review. (~- -
should be implemented in order to assure the owner Commentary: Performance based design and ~(

that these procedures and methodologies have been the analysis techniques presented in this document (
appropriately applied and followed. are relatively new and advanced methodologies. J,-
Commentary: Though peer reviews have been There will be a certain amount of time before the C-
.(
performed for some time, f017rtalized peer review engineering community becomes familiar and
standards and requirements are less established comfortable with these techniques, and there will be
(
and, in some cases, still in development. This an associated learning curve leading to the effective
(
section should serve as a guide towards establishing use ofthem. Additionally there are often differences (
a project peer review process for a specific building of opinion on the applicability and use of the ( ~

project. There are several standards that are methodologies for a specific building project. It is
currently in use for peer review including ASCE's for these reasons that a project peer review should
Standard for Independent Peer Review (ASCE be viewed as not only beneficial but essential when (
1995), Recommended Guidelines for the Practice of these methodologies are employed. (
Structural Engineering in California (SEAOC (
1995a), and Guidelines for the Seismic Retrofit of 7.2.2 Objectives ~ "

State Buildings (DSA 1995). Among the objectives that may be appropriate ?
When project peer review. is implemented, the for a given project are the following: (
owner, or in some cases the building official, will .. To stimulate thought and discussion ofa
contract directly with the project peer review team. collaborative nature by examining the basis for (
The structural engineer of record will be the evaluations and judgments made and
responsible for meeting with the team at regular offering alternative interpretations and solutions (
intervals, providing them with information (which for consideration by the design team ( .
may include a preliminary investigation plan, a (
.. To provide confirmation of the appropriateness (
proposed analysis methodology, conceptual design
of performance objectives, basic assumptions,
schemes, progress sets of design documents and
and design criteria (
calculations, and a testing and inspection plan), and
(
responding to the team's review comments. The
(
(
(
Chapter 7, Quality Ass'urance procedures
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+ To review the proposed analysis methodology deficiencies are discovered and corrected.
for appropriateness Furthermore, any suggestions regarding economy
and constructibility of the retrofit that result from
.. To provide independent validation of
the peer review are both desirable and appropriate.
engineering judgments that contribute to the
Peer review is not intended to be a checkfor
evaluation, retrofit design, and assessment of
code compliance, although some code issues will be
seismic performance
addressed in the process of defining design criteria
.. To provide review and comment regarding the and objectives. Code compliance is addressed more
reliability, constructibility, and economy of the explicitly in the plan check process.
retrofit design solution
.. To track the progress of the evaluation and
7.2.3 Requirements
design process to ensure a comprehensive Project peer review is recommended on all
vulnerability assessment and retrofit solution projects unless the owner (and in some cases the
building official), in consultation with the structural
+ To review the final design documents to ensure engineer of record, determines that the project
that the concepts developed during evaluation qualifies as a "simple" project. In order for the
and preliminary design are implemented in the project to qualify as simple, the following
actual retrofit conditions should be present:
• To provide review and comment regarding the .. The building is one or two stories.
performance of non-structural components
+ Complete as-built drawings are available.
Commentary: In most cases the following three
junctions are provided solely by the structural • Observed existing conditions substantially
engineer of record. They are included here for the conform to as-built drawings.
rare instances when the complexity of the +- Any existing structural irregularities do not
construction process or unforeseen conditions might specifically affect the building's dynamic
warrant the objective oversight function as an added response.
quality assurance measure.
• Conventional (linear elastic) analysis procedures
• To provide review and comment regarding are used.
special construction such as shoring or special
Commentary: The above list is by no means
sequences that may be required
comprehensive. Other considerations include the
+ To provide review and comment regarding the size of the building (relatively small), the regularity
completeness and appropriateness of the testing and redundancy of the lateral force resisting system,
and inspection plan the occupancy (no special functions or contents),
.. To monitor the progress of the construction and the performance required (no special damage
process to ensure that the quality assurance control or lower seismic hazard). The judgment as
plan is implemented to whether eliminating the peer review is warranted
must be made by the owner or building official with
The peer review process is not intended to be a
the input of the design team.
value engineering exercise. However, the process
often yields a similar economic benefit simply by
providing the added assurance that all the

Chapter 7, ouautv Assurance procedures


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Drawings/cales submitted;
Panel or individual tracks
reviewed by individual; written Basic Process (
progress of engineer- of -record
. comments returned

Familiarity with code Equal to


requirements Qualifications of Reviewer(s) engineer-of-record

Not required Strategy for Evaluation and Retrofit Should be reviewed .

Not reviewed Conceptual Design Consensus required

Detailed review Check for conformance


Construction Documents with concept
(
Primary focus Code Compliance Secondary focus (

Not explicitly (-
considered Seismic Performance Primary focus
f0-

e
Not considered Potential forum for
Construction Cost Control discussion
Included in permit Additional but (
fees Cost of Review normally reasonable
i
Conflict Resolution (-
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SEISMIC EVALUATION AND RETROFIT ~F. CONCRETE BUILDINGS

7.2.4 Qualifications of Peer Review evaluation or preliminary analysis and design


Team phase and should serve through the review of
The project peer review team should consist of essentially complete (90-100 percent) construction
one or more engineers whose collective experience documents. Although covering most of the project
spans the technical issues anticipated in the design design schedule, the peer review process will
project, especially a strong background in usually be completed as a series of discrete
performance-based design and the nonlinear static reviews at defmed project milestones, such as the
analysis procedures presented in this document. In following:
order to be effective, the review team should + Conceptual phase-focusing on evaluation
possess qualifications at least equal to those of the criteria and performance design basis
design team in analysis methods, a thorough
., Preliminary evaluation and conceptual design
understanding of materials and system behavior,
phase-focusing on results of preliminary
and familiarity with construction means and
investigation, identification of deficiencies,
methods. The lead peer review engineer should be
assessment of expected performance, decision
a California registered structural engineer, familiar
to retrofit, and proposed detailed analysis
with the regulations governing the retrofit work
being reviewed, and experienced in the seismic + Design development phase-focusing on
retrofit of similar concrete structures. analysis and preliminary retrofit design
The project peer review team must not have strategies and reconfirmation of criteria and
involvement in the project other than the tasks performance basis.
associated with the peer review. • Construction document phase-focusing on the
Commentary: One possible exception to this design of systems used to implement the
prohibition exists. In the case where the owner is retrofit strategy and conformance to
not subject to plan check review by an independent established design and performance criteria
agency, the owner may also retain the project peer
review team (or a member of the team) to perform 7.2.6 Scope
the detailed plan check. However, there is not The scope of the peer review must be
universal consensus on this exception: the sufficient to serve the purposes and desired
alternative viewpoint that is sometimes' objectives described above. The owner (and in
encountered is that the project peer review team, some cases the building official), in consultation
having been intimately involved in the concept and with the structural engineer of record, should
strategy development, would be in the position of determine an appropriate scope for the project peer
reviewing its own work when performing plan review. The level of peer review effort required
check services. will vary depending on the individual project; and
It is essential that there be good commun- may range from no review to a comprehensive
ication between the structural engineer of record independent check similar to that required for the
and the project peer review team and that the design of new hospitals. Factors influencing the
review team be objective, unbiased, and fair. scope of the peer review include the complexity of
Commentary: It is desirable that the review the proposed evaluation procedures and retrofit
team and the structural engineer of record have schemes and the capability and experience of the
mutual respect. design team. The scope should be sufficiently
broad to enable the project peer review team to
7.2.5 Schedule for Peer Review gain a thorough understanding of the project
The project peer review team should be constraints and context.
selected, and the peer review initiated, early in the

Chapter 7, Quality Assurance Procedures


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The following list contains possible scope •. Review the contract documents at 90 percent
items. It is intended to be comprehensive and to completion for consistency, completeness, (
encompass a wide range of items that could be conformance with design work plan
included in the scope of the peer review depending (
• Review the proposed construction phase test-
on the requirements of any specific project.
Commentary: This list may be far too.
ing and inspection plan developed by the (
structural engineer of record. (
comprehensive for all items to be required or (
includedfor most individual retrofitprojects. .. Review plan check scope, meet with the
However, they are included as a menu to assist the structural engineer of record and the plan (
owner and design team in determining the check engineering team to review and discuss ('
appropriate scope for a project based on the the plan check methodology and to assist in (
specific conditions and desired level of assurance identifying conditions that warrant special (

for that project. The published peer review attention. (


guidelines referenced above contain addition Commentary: In order to get the maximum
information and specific scope items that may be benefit out ofthe plan check process, it is (
useful in determining the appropriate scope for desirablefor the structural engineer of record (and
peer review. as deemed appropriate the peer reviewer) to
(
• Review quality assurance program provide the plan checker with an introduction to t~ -
the project including the identification ofprimary , -(

• Review as-built information and the results of objectives, criteria, and assumptions, complex
the preliminary investigation (
portions ofthe design and/or construction, and (

• Review preliminary evaluation and analysis critical elements of the load path. C;>
{.
approach and results . In mostcases the peer review services will
• Review strategy for final analysis and design terminate with the review of the 90 percent to 100
at the end of the design development phase percent construction documents. However, it may
be desirable to consider some involvement of the
• Review the design work plan to ensure that all project peer review team beyond that point in
pertinent elements of the evaluation and cases where there will be issues of construction
analysis procedures are addressed: sequence and/or means and methods that shouldbe
III Performance and seismic hazard criteria defined during design or where it is anticipated
that significant engineering decisions will have to (
• Assigned capacity of structural systems
made after destructive testing and/or partial
and elements and load paths
demolition. An example would be temporary ( >0

• Degree of redundancy, ductility, and shoring and bracing requirements where the (.
compatibility retrofit strategy involves temporarily interrupting (
III Acceptance limits load paths to facilitate construction.
Such scope items could include: reviewing of (
• Nonstructural systems construction plan and assisting in identifying
.. Special conditions including base isolation conditions that require special construction I
and damping systems and devices procedures or sequences, reviewing additional (-
• Monitor design progress, review changes, information discovered during construction, and
verify execution of design work plan for reviewing changes as a result of hidden conditions (
potential effects on achievements of desired . or constructibility constraints.
These items are not intended to address the (
performance objectives
general construction plan, but only should be (
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considered in situations which deviate from review team, they should attempt to resolve the
methods and sequences of standard construction. differences through direct interaction. The
In these situations it is often prudent to have a structural engineer of record has the ultimate
second opinion, and the owner may wish to include responsibility for the structural design, and,
additional items of scope in the peer review. therefore, must have the control of the design
Items of scope selected from·the above list or solution. However, differences of opinion between
other items of scope, as deemed appropriate by the the project peer review team and the structural
structural engineer of record and the owner and/or engineer of record should be resolved to the
building official, should be identified in the written satisfaction of the owner and/or building official.
agreement for peer review services. All issues raised by the review team should be
addressed by the structural engineer of record and,
7.2.1 Reporting ifpossible, resolved by consensus. However, the
Specific form and timing of report(s) are to be structural engineer of record-should not be
determined by mutual agreement in coordination required to defer to the judgment of the review
with the design team, the project peer review team and is not obligated to jncorporate all of their
team, and the owner. It may be desirable for the recommendations.
review team to produce progress reports at major Commentary: One means to provide for
milestones in the design process. conflict resolution is to incorporate provisions for
Each report should include the following: . a peer review board, separatejrom the project
• Scope of review peer review team, that can fill the role of arbiter of
disputes. Such a resource provides an ideal forum
~ Statement of status of project documents at
in which to resolve professional differences of
each review stage
opinion. Unfortunately, such a review board may
• Statement of findings, comments, and any not be available to the general building design and
recommendations construction community.
.. Statement of items requiring further review In the case of a total impasse, the owner
and/or building official must either accept the
A comprehensive report summarizing findings,
recommendation of the structural engineer of
comments, and recommendations should be
record or replace him/her. It should be
produced after the .review of the 90 percent
emphasized that such a step may have grave
complete construction documents. The 90 percent
implications for the project schedule and budget.
report should address explicitly each of the items
Under no circumstances should the project peer
that have been included in the scope of the peer
review team be retained to replace the structural
review. The report should distinguish between
engineer of record.
comments that involve life safety issues, comments
that have to do with constructibility or economy, 7.2.9 Peer Review Agreement
and comments that have to do with the clarity of
There should be a written agreement between
the information presented in the documents.
the owner and the project peer review team
7.2.8 Conflict Resolution and defining the terms and conditions under which the
Responsibility peer review will be performed. Such an agreement
should address the following:
The structural engineer of record should
respond explicitly to each comment or .. The specific items of scope to be addressed by
recommendation made by the project peer review the peer review
team. Where there are differences of opinion + The schedule for the peer review
between the structural engineer of record and the

Chapter 7, Quality Assurance procedures


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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS ( (


• .:>
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~(
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since having in-depth knowledge of the structural (
.. The issue of liability
system is an advantage in performing the plan (
Commentary: Typically, peer review
check.. ~
guidelines (ASCE 1995, SEAOC 1995a) (
recommend that the agreement include an (
7..3..1 Purpose
indemnity clause in recognition of the fact that the (
reviewer does not have control of the design. The The plan check process provides the building
intent of the peer review process is to enhance the official (and the general public) a measure of
quality-not distribute the liability. confidence in the implementation and compliance (

.. The process for implementing the peer review


of the retrofit design, as represented by the (
drawings, specifications, and calculations with
including lines of communication
applicable codes, standards; or guidelines. (
.. The methods of reporting and the format of Although the plan checker may identify conceptual
reports analysis and design issues, this is not the intent (
.. The process of reconciliation of differing and should not be a common occurrence.
(
opinions between the project peer review team The purposes of the plan check are as follows:
and the structural engineer of record .. To ensure that the set of calculations prepared (
\

by the structural engineer of record is


.. Compensation
comprehensive and addresses all systems,
.. Methods of addressing additional items of subsystems, elements, and details required as
scope that may become necessary or desirable part of the retrofit
as the design progresses
.. To provide a degree of confidence that the
calculations performed are substantially (.
7.3 Plan Check-- accurate
While the peer review process provides the
.. To provide a degree of confidence that the
owner with quality assurances related to criteria,
drawings are complete and address all
(
evaluation, the analysis and design process, and (
elements deemed pertinent to the performance
achievement of desired performance, the plan
criteria for the project
check is typically performed under the auspices of
the building official and consists mainly of a .. To provide a degree of confidence that the
(
detailed review of the construction documents and details on the drawings are compatible with the
analyses performed and are internally (
calculations for correctness, completeness and (
compliance with applicable codes, standards, or consistent ( >
guidelines. It may be performed by the building Commentary: Many of the activities in a ~..
official or an independent engineer retained by the- typical detailed plan check duplicate activities that
building official. The plan check should generally the structural engineer of record must perform in
not be performed" by the same team that performed house. The plan check is not intended to replace
the project peer review. the internal quality control procedures of the
Commentary: In most cases the plan check is structural engineer of record.
performed by agencies thai are independent of the
owner, e.g., building departments or the OSHPD. 7.3.2 Requirements
Where this is not the case, i.e., where the owner, A plan check should be performed on all
(
agency, or institution is not subject to plan check projects. The level of the plan check will
review by building officials of an independent inevitably vary depending on the requirements of (
agency, the owner may wish to consider having the the specific building department. (
peer reviewer continue in the role ofplan checker, (
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Chapter 7. Quality Assurance Procedures

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7.. 3.3 Qualifications of the Plan prepared by the structural engineer of record,
Checker including:
The qualifications of plan checker should be e Verification of lateral analysis performed
similar to those of the peer reviewer. The plan by the structural engineer of record
checker should be familiar with the analysis
procedures employed and experienced in the Iij Diaphragm shears and moments (may be
production of contract drawings and specifications based on verified lateral analysis) and
for construction projects similar in scope and verification of collector forces and
nature to the project being checked. connection designs
Commentary: The plan check must address lit Cross check of details against plans
the critical issue of communication of the design to including a visual check of local load paths
the construction team through the drawings and in details and, where appropriate,
specifications. In order to do this properly the plan calculations for local load paths
check team should have experience in producing \11 Detailed check of typical connections and
contract documents. verification of applicability of typical
details, i.e., verification that typical details
7..3.4 Schedule for Plan Check
cover all conditions intended
The formal detailed plan check should
commence when the construction drawings and et Detailed check of several of non-typical
calculations are no less than 90 percent complete. connection details, beams, columns,
However, the building official responsible for braces, foundations
performing the plan check should be introduced to .. Review of the construction phase testing and
the project at an earlier phase, i.e, during inspection program prepared by ·the structural
preliminary design, in order to become familiar engineer of record, including suggestions of
with the specifics of the particular project and be modifications deemed appropriate based on the
able to determine if the assistance of an outside detailed review of the design
plan checker will be needed.
1..3.6 Reporting and Correction
7.3.5 Scope Process
As a minimum, the plan check should include The plan checker should prepare a written
the following elements: report summarizing the scope of the review, the
• Review of seismic performance, capacity, and specific elements checked, and the results of the
demand criteria check. p.~ red-lined check set should accompany the
• Review of all elements of the lateral system report. The structural engineer of record should
and verification that calculations for each respond to all items noted by the plan checker,
element have been prepared either by revising the calculations and affected
drawings or, where appropriate, clarifying and/or
t- Review of all elements of the gravity system verifying the intent of the original design.
affected by the retrofit construction and Corrections must be resubmitted-to the plan
verification that calculations for each affected checker for back checking.
element have been performed Commentary: It is imperative that there be
+' Preparation of independent calculations for a good communication between the structural
representative sample of each type of element engineer of record and the plan check team. To the
and cross check against the calculations extent possible, questions that are raised during

Chapter 7, Quality Assurance procedures


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the plan check should be discussed prior to red- progress. Site observations and construction (

lining in order to minimize misunderstandings. monitoring are always critical to the achievement (
(
of a certain level of structural performance, but
7.3.7 Conflict Resolution and (
this is even more the case in concrete retrofit
(
Responsibility construction. No matter how extensive the
(
Where possible, differences of opinion evaluation and design phase exploration, there (
between the plan check team and the structural always exists the potential for unforeseen (
engineer of record should be resolved through conditions to be discovered during construction, (
direct communication. If direct communication some of which can have significant implications (
fails to resolve the conflict, the project peer review for performance and/or assumptions made during (
team should serve as mediator. If the review team evaluation and design and may not be recognized (
is also the plan check team, or if mediation fails to by the contractor. Additionally, because the intent (

resolve the conflict, then the building official of certain details may not be clear to the (
should serve as the mediator and all conflicts must contractor, there exists the potential for
be resolved to his/her satisfaction. Nevertheless, (
misinterpretation, wbich could lead to seemingly
the control of" and the responsibility for, the innocuous yet significant deviations. Therefore,
structural design will remain fully and solely with for the procedures and methodologies of this
the structural engineer of record. document to be effective in providing acceptable
Commentary: The potential for conflicts building performance, the structural engineer of
should be recognized and addressed before the record must play an active roll in assuring that the (
conflicts arise-as they inevitably will. A process retrofitted building conforms to the criteria and
for resolving disputes expeditiously will benefit all intent of the retrofit analysis and design.
(~
parties. A·construction quality assurance program c.
should identify the extent to which the structural
7 ..4 cans_tructlon Quality engineer of record will perform visual
(
Assurance observations and should define his/her role in (
monitoring the performance of the independent
In order to ensure that the constructed project
conforms substantially with an-design testing and inspection agency and the contractor's
quality control personnel.
requirements a three-tiered quality assurance
program should be utilized during the construction 7.4.1.1 Site Visits (
phase of -all projects. The three tiers are' as The structural engineer of record should make
follows: -
site observations at appropriate stages of
• Design team construction services and site construction to verify the conformance of the
visits existing construction with the assumptions of the
• The owner's testing and inspect;ion program, analysis and retrofit design, and to provide
as outlined in the testing and inspection plan reasonable assurance that the new construction is
prepared by the structural engineer of record in general compliance with the design documents.
As a minimum, the number and duration of the
• The contractor's quality control program site visits should be sufficient to allow for
observation of the following:
7.4.1 Design Team Construction
Services and site Visits • Foundation reinforcing details
The primary means of providing construction • Hidden conditions that have been exposed for
quality assurance rests with the involvement of the the first time during construction
structural engineer of record in the construction
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+ Reinforcement placement for elements of the tested and!or inspected in accordance with
lateral system conventional methods. Examples of items for field
testing and/or inspection include:
.. Critical details that will be obscured by
subsequent construction ., Reinforcing size, spacing, and cover

.. Other conditions or elements critical to the .. Concrete materials and placement


reliable performance of the retrofitted .. Structural steel welding and bolting
structure The testing and inspection program should also
outline a specific testing procedure and frequency
7.4.1.2 Heporting
for all special conditions including, but not limited
The structural engineer of record should to, the following:
provide documentation in the form of written field
• The drilling and grouting of reinforcing steel
reports, ofallsite visits, including the items
or bolts
observed or discussed with the construction team
and any conditions requiring corrective measures. .. The installation of expansion bolts
The contractor's quality control personnel should .. The installation of isolators or dampers
be responsible for notifying the independent testing
and inspection agency when the corrective 7.4.2.3 Reporting
measures are completed. The agency should be The testing and inspection agency should
responsible for verifying and reporting the submit formal reports using standard forms to
corrective measures. facilitate subsequent retrieval of archived
construction information. All reports should be
"].4.2 Construction Testing and submitted to the owner and the structural engineer
Inspection program
of record in a timely fashion to facilitate any
The structural engineer of record should corrective measures that are required.
develop scope of a testing and inspection program
to be implemented by an independent testing and 7.4.2.4 Coordination
inspection agency. The procedures contained in the testing and
inspection program should include provisions for
7.4.2. 1 Inspector QualiFications
coordinating with the contractor's quality control
The owner should retain an independent testing program. For example, where the contractor's
and inspection agency qualified to perform the quality control program requires the use of pour
testing and special inspection required for the checklists, the independent testing and inspection
project. As a minimum, the agency should provide agency should collect and maintain record copies
inspectors that have been qualified in accordance of the checklists.
with lCBO procedures for the type of test or
inspection they are performing. The structural 7.4.3 Contractor's Quality Control
engineer of record may require more rigorous Program
qualifications where deemed appropriate based on The contractor should be· required to institute
the need for special or unusual testing procedures. and follow formal quality control monitoring and
7.4.2.2 Scope reporting procedures independent of the owner's
testing and inspection program. The contractor
The program must address the type and
should identify individuals who are responsible for
frequency of testing required for all construction
ensuring quality control on the job site. There
materials that influence the structural integrity of
should be an established formal means of
the retrofit construction. These materials should be
monitoring and verifying the contractor's quality

Chapter 7, Quality Assurance procedures


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

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control procedures such as concrete pour sign-off responsible for coordinating with the owner's
(
sheets and checklists. (Such monitoring may be independent testing and inspection agency to
~.
part of the scope of work of the owner's assure that testing and inspections proceed in a (
independent testing and inspection agency.) The timely manner in accordance with the testing and (
contractor's quality control personnel should be inspection program. (
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Chapter 8
anlin 1t-
_I
nal r du

AUdience mterest spectrum


Owner Architect Bldg. Official Engineer Analvst

8 ..1 iintroducti~n lateral force procedures, code dynamic lateral


This chapter presents analytical procedures for force procedures and elastic procedures using
evaluating the performance of existing buildings demand capacity ratios. The most basic inelastic
and verifying the design of seismic retrofits. The analysis method is the complete nonlinear time
organization of the chapter is as follows: history analysis, which at this time is considered
overly complex and impractical for general use.
Available simplified nonlinear analysis methods,
Section 8.1 Introduction referred to as nonlinear static analysis procedures,
Section 8.2 Methods to perform simplified include the capacity spectrum method (CSM) that
nonlinear analysis uses the intersection of the capacity (pushover)
Section 8.2.1 Step-by-step procedures to curve and a reduced response spectrum to estimate
determine capacity (pushover) maximum displacement; the displacement
Section 8.2.2 Step-by-step procedures to coefficient method (e.g., FEMA-273 (ATC
determine demand 1996a» that uses pushover analysis and a rriodified
(displacement) version of the equal displacement approximation to
Section 8.2.3 Step-by-step procedures for estimate maximum displacement; and the secant
checking performance method (e.g., City of Los Angeles, Division 95
(COLA 1995») that uses a substitute structure and
Section 8.2.4 Other considerations
secant stiffnesses.
Section 8.3 Example of procedures
This document emphasizes the use of nonlinear
Section 8.4 Other analysis methods static procedures in general and focuses on the
Section 8.5 Basics of structural dynamics capacity spectrum method. This method has not
been developed in detail previously. It provides a
Various analysis methods, both elastic (linear) particularly rigorous treatment of the reduction of
and inelastic (nonlinear), are available for the seismic demand for increasing displacement.
analysis of existing concrete buildings. Elastic
analysis methods available include code static

Chapter 8, Nonlinear static Analysis procedures


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Analytical Procedures
Elastic Simplified Nonlinear Other Nonlinear
(8.4.1) (8.4.2)
(see Section 8.2)
• Code Procedures (
• Demand Capacity • Secant Method
Ratios • Time History
(
(

Capacity (
Force,
(8.2.1) V
The central focus of the simplified nonlinearprocedure is
(
the generation of the "pushover" or capacity curve. This
represents the lateral displacement as a function of the (
force applied to the structure. This process is
independent of the method used to calc;u/atethe Demand (
and provides valuable insight for the engineer. Displacement, 0 \

The Capacity Spectrum Demand The Displacement


Methods A~B~&C(8.2.2.1) (8.2.2)
Coefficient Method
reduce the elastic spectrum to (8.2.2.2) modifies 0""",- with
intersect the Capacity Curve in coefficients to calculate a
spectral cootdinatesicrfind a TiJ.fj}efDisplacement, 0t'
Performance Point apl d . The
Equal Displacement pOint a,
0, is a good starting point for
the iterative process.
(
(

Sa
(
(
(

\( -"-
.

(.-
(

Performance Ifrom dpor&

tLtbE
(8.2.3) (
Load
Using the Performance Point or Target Displacement, ( ---
the global response of the structure (Table 11-2) and
individual component deformations (11.4) are
compared to limits in light of the specific performance A. ~
goals for the building. Component Deformation (

(
(
(
(
"(
8-2 Chapter 8, Nonlinear static Analysis -Procedures
(

(
SEISMiC EVALUATION AND RETROFIT OF CONCRETE BUILDING~

The displacement coefficient method is an equal The performance is dependent on the manner that
alternative and is briefly reviewed. These methods the capacity is able to handle the demand. In other
are described in detail in Section 8.2 and an words, the structure must have the capacity to
example is given in Section 8.3. Many of the other resist the demands of the earthquake such that the
available methods of analysis are discussed in performance of the structure is compatible with the
Section 8.4. objectives of the design.
Although an elastic analysis gives a good Simplified nonlinear analysis procedures using
indication of the elastic capacity of structures and pushover methods, such as the capacity spectrum
indicates where first yielding will occur, it cannot method and the displacement coefficient method,
predict failure mechanisms and account for require determination of three primary elements:
redistribution of forces during progressive capacity, demand (displacement) and performance.
yielding. Inelastic analysis procedures help Each of these elements is briefly discussed below.
demonstrate how buildings really work by Capacity: The overall capacity of a structure
identifying modes of failure and the potential for depends on the strength and deformation capacities
progressive collapse. The use of inelastic of the individual components of the structure. In
procedures for design and evaluation is an attempt order to determine capacities beyond the elastic
to help engineers better understand how structures limits, some form of nonlinear analysis, such as
will behave when subjected to major earthquakes, the pushover procedure, is required. This
where it is assumed that the elastic capacity of the procedure uses a series of sequential elastic
structure will be exceeded. This resolves some of analyses, superimposed to approximate a
the uncertainties associated with code and elastic force-displacement capacity diagram of the overall
procedures. structure. The mathematical model of the structure
The capacity spectrum method, a nonlinear is modified to account for reduced resistance of
static procedure that provides a graphical yielding components. A lateral force distribution is
representation of the global force-displacement again applied until additional components yield.
capacity curve of the structure (i.e., pushover) and This process is continued until the structure
compares it to the response spectra representations becomes unstable or until a predetermined limit is
5~f the earthquake demands, is a very useful tool in reached. This process is discussed in more detail
the evaluation and retrofit design of existing in Section 8.2.1. For two dimensional models,
concrete buildings. The graphical representation computer programs are available that directly
provides a clear picture of how a building model nonlinear behavior and can create a
responds to earthquake ground motion, and, as pushover curve directly. The pushover capacity
illustrated in Chapter 6, it provides an immediate curve approximates hO~1 structures behave after
and clear picture of how various retrofit strategies, exceeding their elastic limit.
such as adding stiffness or strength, will impact Demand (displacement): Ground motions
the building's response to earthquake demands. during an earthquake produce complex horizontal
displacement patterns in structures that may vary
8 ..2 Methods to perform with time. Tracking this motion at every time-step
Simplified Nonlinear to determine structural design requirements is
-judged impractical. Traditional linear analysis
Analysis methods use lateral forces to represent a design
Two key elements of a performance-based condition. For nonlinear methods it is easier and
design procedure are demand and capacity. more direct to use a set of lateral displacements as
Demand is a representation of the earthquake a design condition. For a given structure and
ground motion. Capacity is a representation of the ground motion, the displacement demand is an
structure's ability to resist the seismic demand.

Chapter 8, Nonlinear static Analysis Procedures


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

(
~
~
(
(
(
\
estimate of the maximum expected response of the used, the following procedure can be used to (
building during the ground motion. construct a pushover curve: (~
Performance: Once a capacity curve and Commentary: The capacity curve is generally (
demand displacement are defined, a performance constructed to represent the first mode response of (
check can be done. A performance check verifies the structure based on the assumption that the (
that structural and nonstructural components are fundamental mode of vibration is the predominant (
not damaged beyond the acceptable limits of the response ofthe structure. This is generally valid (
performance objective for the forces and for buildings with fundamental periods of vibration (

displacements implied by the displacement up to about one second. For more flexible
demand. buildings with a fundamental period grer;zter than
(
The next three subsections provide step by step one second, the analyst should consider addressing
procedures for determining capacity, demand and higher mode effects in the analysis. .
performance usirig the capacity spectrum method a
1. Create computer model of the structure
and the displacement coefficient method. Except following the modeling rules in Chapter 9, and
for the procedures used to determine the demand if the foundation is modeled, following the
displacement, these methods are quite similar. foundation modeling rules in Chapter 10. (
2. Classify each element in the model as either (
8.2.1 step By step Procedures To primary or secondary, as defined in Chapter 9.
Determine tapacity 3. Apply lateral stC?ry forces to the structure in
Structure capacity is represented by a pushover proportion to the product of the mass and
curve. The most convenient way to plot the fundamental IDC?de shape. This analysis should
force-displacement curve is by tracking the' base also include gravity loads. '
shear and the roof displacement Commentary: The pushover procedure
has been presented in
various forms for use in a (
variety of methodologies
(e.g., Seneviratna and .
>,.,:
Krawinlder 1994, Moehle
a:s
Q)
.c 1992). As the, name
(
(J) implies, it is the process of
Q) (
pushing horizontally, with
m
s a prescribed loading
Roof Displacement, .!\oaf pattern, incrementally,
until the structure reaches
a limit state. There are
several levels of
sophistication that may be used jor the
pushover analysis. Five examples are given
Some nonlinear computer programs (e.g.,
below. Level 3 is prescribed as the basic
DRAIN-2DX (Powell et. al. 1992)) are able to
methodfor these guidelines; however, Level 4
perform a pushover analysis directly, with no (
may be required for buildings with weak
iteration required. The step by step method below (
stories and Level 5 may be required for tall
does not apply if such programs are used. When a (
buildings' or buildings with irregularities that (
linear computer program (e.g., ETABS (CSI
cause significant participation from modes of (
1995), SAP90 (CSI 1992), RlSA (RlSA 1993) is
vibration other than the fundamental mode. (
(
(
8-4 Chapter 8, Nonlinear static Analysis procedures

(
SEISMIC EVALUATION AN., RETROFIT OF CqNCRETE BUILDINGS

1. Simply apply a single concentrated Commentary: The element may be, for
horizontal force at the top of the structure. example, a joint in a moment frame, a strut in
(Would generally only apply to a one-story a braced frame, or a shear wall. Having
building.) reached its member strength, the element is
(2.) Apply lateral forces to each story in considered to be incapable of taking additional
\--/
proportion to the standard code procedure lateral load. For structures with many
without the concentrated F, at the top (i.e., elements, tracking and sequencing the analysis
F, = [wrhx/Lwxhx]V). at each and every element yield is time
/~1 Apply lateral forces in proportion to the consuming and unnecessary, In such cases,
product of story masses and first mode elements should be grouped together at similar
shape of the elastic model of the structure yield points. Most structures can be properly
(i.e., F, = [wxlf>x/Lwxt/Jx]V). The capacity analyzed using less than 10 sequences, with
curve is generally constructed to represent many simple structures requiring only 3 or 4.
the first mode response of the structure 6. Record the base shear and the roof
based on the assumption that the displacement.
fundamental mode of vibration is the Commentary: It is also useful to record
predominant response of the structure. memberforces and rotations because they will
This is generally valid for buildings with be needed for the performance check.
fundamental periods of vibration up to 7. Revise the model using zero (or very small)
about one second. ,> . . ~ ': stiffness for the yielding elements. /
4. Same as Level 3 until first yielding, For 8. Apply a new increment of lateral load to the
each increment beyond yielding, adjust the revised structure such that another element (or
forces to be consistent with the changing group of elements) yields.
deflected shape. Commentary: The'actual forces and
5.. Similar to 3 and 4 above, but include the rotations for elements at the beginning of an
effects of the higher modes of vibration in increment are equal to those at the end of the
determining yielding in individual previous increment. However, each application
structural elements while plotting the of an increment of lateral load is a separate
capacity curve for the building in terms of analysis which starts from zero initial
first mode lateral forces and conditions. Thus, to determine when the next
displacements. The higher mode effects element yields, it is necessary to add the forces
may be determined by doing higher mode from the current analysis to the sum of those
pushover analyses (i.e., loads may be from the previous increments. Similarly, to
progressively applied in proportion to a determine element rotations, it is necessary to
mode shape other than the fundamental add the rotations from the current analysis to
mode shape to determine its inelastic the sum of those from the previous increments.
behavior.) For the higher modes the 9. Add the increment of lateral load and the
structure is being both pushed and pulled corresponding increment of roof displacement
concurrently to maintain the mode shape. to the previous totals to give the accumulated
4. Calculate member forces for the required values of base shear and roof displacement.
combinations of vertical and lateral load. 10. Repeat steps 7, 8 and 9 until the structure
5. Adjust the lateral force level so that some reaches an ultimate limit, such as: instability
el~rr:ent (or group of.elements) is stressed to j_ from P-.6. effects; distortions considerably
Within 10 percent of Its member strength. . <,-., beyond the desired performance level; an
.-"
element (or group of elements) reaching a
-c -. J
U I

Chapter 8, Nonlinear Static Analys&s Procedures


(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

:
(
(

(
lateral deformation level at which significant Yield point for element
or group of elemen1s
strength degradation begins, as defined in
Section 9.5; or an element (or group of I- (
·as
elements) reaching a lateral deformation level CD
.c (
tJ)
at which loss of gravity load carrying capacity CD
UJ
occurs, as defined in Section 9.5. See m
as
Figure 8-1 for a typical capacity curve. Capacity curve (
Commentary: Some engineers.prefer to (

continue the construction of the capacity curve Roof Displacement (


(::
beyond the above suggested stopping points to
(
understand the structural behavior assuming Figure 8-1. capacity curve (
that all inadequate elements are retrofitted. (
Exception: In certain cases where I
elements lose all or a significant portion of First point of significant Point at which
(
strength degradation. structure as modeled
their lateral load carrying ability, but could Stop capacity curve #1 at for capacity curve #3
continue to deflect with no other this point. revise model to reaches an ultimate
reflect degraded limit, such as,
unacceptable affects, continuation of the elements and start new instability; excessive
capacity .curve, capacity distortions, or an
analysis may be justified. The most Cf,Jrve#2.. element (or group of
notable example of this behavior may be elements) reaching a
lateral deformation
coupling spandrels in shear walls that are not level at which loss of
needed for vertical load support. This gravity load carrying
capacity occurs. Stop
behavior, which implies considerable curve at this point. "\
redistribution of lateral load, can be explicitly
modeled as indicated in step 11. This ‫­ן‬

m
CD
procedure can also be used to'model elements .c First point of significant strength (
fI)
that degrade more gradually, but modeling this CD degradation in capacity
UJ curve #2. Stop curve at this
behavior requires an estimation of the number m
OJ point, revise model to reflect
of cycles of loading, consideration of the newly degraded elements and
start new capacity curve,
reliability of predicted behavior, and careful capacity curve #3.
review of all aspects of performance of the
degrading elements. Roof Displacement (
11. Explicitly model global strength degradation..
If the incremental loading was stopped in step Figure 8-2. Multiple Capacity Curves Required To
Model strength Degradation
10 as a result of reaching a lateral deformation
level at which all or a significant portion of an additional pushover curves as necessary to
element's (or group of elements) load can no adequately define the overall loss of strength.
longer be resisted, that is, its strength has Figure 8-2 illustrates the process, for an
significantly degraded, then the stiffness of example where three different capacity curves
that element(s) is' reduced, or eliminated, as (
are required.
indicated in Section 9.5. A new capacity curve (
Plot the final capacity curve to initially
is then created, starting with step 3 of this follow the first curve, then transition to the
step-by-step process. Create as many (
second curve at the displacement
corresponding to the initial strength
degradation, and so on. This curve will have a (

"sawtooth" shape, as shown in Figure 8-3. (


(
(
8-6 Chapter 8 Nonlinear static Analysis procedures
7

(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

The project team for this document has


Degraded "sawtooth" concentrated on the capacity spectrum method,
capacity curve shown primarily because the method involves continued
with solid line
and significant use of the capacity curve and
because of the potential ofthe method to assist
I-
co development of retrofit strategies, as shown in
~ :«---------Ceapac;ly curve 113 Chapter 6. In addition, recent unpublished studies
at the State University ofNew York. Buffalo
~ ,.,.;.;.,.,_,_:,':,./ Capacity curve #2 (SUNY) indicate that the principles of the capacity
Capacity curve #1 spectrum method. when combined with spectral
reductions based on estimates of hysteretic
Roof Displacement damping similar to those used in this chapter, yield
displacements generally within 10 percent of the
Figure B-$. capacity curve With Global strength average maximums from multiple time history runs.
Degradation Modeled The method of obtaining a design displacement
derivedfor the FEMA-273 document based on
Commentary: Modeling global strength application of coefficients to the elastic
degradation requires considerable judgment. If displacement is also given as another option.
strength degradation of over 20 percent is Considering the many possible variations in
explicitly modeled. then the actual expected ground motions, material properties, and
behavior of the degrading elements should be mathematical modeling of structural elements.. the
carefully reviewed. In addition, the sensitivity differences between results from this method and
of the estimated demand displacement to the the capacity spectrum method in the majority of
modeling assumptions should be checked by cases are insignificant. As in all aspects of
bounding the response with a range of structural engineering, particularly when dealing
assumptions. with existing buildings, good engineering judgment
must be exercised.
8.2.2 step By step Procedures To It is expected that in the near future, a
Determine Demand consensus will develop on this aspect ofsimplified
Commentary: Development of a capacity curve nonlinear analysis, which in combination with
for an existing building, in itself, is extremely computerized calculation of the capacity curve,
useful to the engineer, and will yield insights into will enable development offar more cost-effective,
the building's performance characteristics as well production-oriented procedures.
as methods of retrofit. However, to judge accept- In order to determine compliance with a given
ability for a given Performance Objective, either performance level, a displacement along the
for the as-is condition or for a retrofit scheme, the capacity curve must be determined that is
probable maximum displacement for the specified consistent with the seismic demand. Two
ground motion must be estimated. Although a methodologies for determining this displacement
are presented in this section.
significant amount of effort has been expended in
The capacity spectrum method is presented in
the last few years to develop simplified methods for Section 8.2.2.1. It is based on finding a point on
estimating this displacement (for this project, for the capacity spectrum that also lies on the
FEMA-273 (ATC 1996a), for LA's Division 95 appropriate demand response spectrum, reduced
(COLA 1995), for analysis of new isolated and for nonlinear effects. and is most consistent in
highly damped buildings, and in private terms of graphical representation and terminology
universities), no clear consensus has emerged. with the balance of this document.

Chapter 8, Nonlinear static Analysis Procedures


SEISMIC E'VAILUAT'IO'N' AND RETROFIT OF CONCRETE BUILDINGS

(
:
(

Extend initial stiffness line up to yield.results similar to the capacity spectrum and
intersect elastic response spectrum.
Read elastic spectral displacement, coefficient methods. In other cases, particularly in
d elasli et as ordinate of intersection point. the short period, range (T < 0.5 seconds) the (
The Equal Displacement Approximation
displacements obtainedfrom the simple
estimates that the inelastic spectral approximation may be significantly different from
displacement is the same as that which (less than) the results obtained using the capacity
would occur if the Structure remained
perfectly elastic. spectrum and coefficient methods.
The equal displacement approximation is often
a useful tool for estimating an initial trial
Elastic response spectrum performance point in the iterative capacity
(5% damped) spectrum procedures described in Sections
8.2.2.1.2 and 8.2.2.1.3.
The target displacement obtained using the (
displacement coefficient method is equal to the (
" •d = delaslic = d inelastic displacement obtained using the equal (

Spectral Displacement displacement approximation modified by various


coefficients.
Figure 8-4. Equal Displacement Approximation
8.2.2. '1 Calculating Demand using the
capacity spectrum Method (
The demand displacement in the capacity The location of the Performance Point must ,1.
spectrum method occurs at a point, on the capacity satisfy two relationships: 1) the point must lie on (
j~
spectrum called the performance point, This the capacity spectrum curve in order to represent
performance point represents the condition for the structure at a given displacement, and 2) the
which the seismic capacity of the structure is equal point must lie on a spectral demand cl:lrve, reduced
to the seismic demand imposed on the structure by from the elastic, 5 percent-damped design
the specified ground motion. spectrum, that represents the nonlinear demand at
The method used in FEMA-273 (ATe 1996a), the same structural displacement. For this
sometimes called the coefficient method, is methodology, spectral reduction factors are given
presented in Section 8.2.2.2. The coefficient in termsof effective damping. An approximate \
method is based on statistical analysis of the effective damping is calculated based on the shape (
of the capacity curve, the estimated displacement (
results of time history analysis of single degree of
freedom models of different types. The demand demand, and the resulting hysteresis loop.
displacement in the coefficient method is called the Probable imperfections in real building hysteresis
target displacement. loops, including degradation and duration effects,
Commentary: An estimate of the displacement are accounted for by reductions in theoretically
due to a given seismic demand may be made using calculated equivalent viscous damping values.
a simple technique called the equal displacement In the general case, determination of the
approximation. As shown in Figure 8-4, this performance point requires a trial and error search' (
approximation is based on the assumption that the for satisfaction of the two criterion specified (
inelastic spectral displacement is the same as that above. However, this section contains three
which would occur if the structure remained different procedures that standardize and simplify
perfectly elastic. In some cases, particularly in the this iterative process. These alternate procedures
longer period range (T> 1.0 seconds), the simple are all based on the same concepts and
equal displacement approximation will usually mathematical relationships but vary in their
(
(
8·8 Chapter S, Nonlinear st~tic Analysis Procedures
(
(
SEiSMIC EVALUATION AND RETROFIT OF CONCRETE BUiLDINGS

.:

dependence on analytical versus graphical analysis. It is not particularly convenient for


techniques. This section is organized as follows: spreadsheet programming. It is the least
.. Conceptual Development of the Method transparent application of the methodology.
(Section 8.2.2.1.1). This section contains the Commentary: Users who study the three
theoretical basis of the method and the procedures above will have a good understanding
derivation of formulae. Considerable, and of the capacity spectrum method, and will
careful, study by the user is required to digest probably have their preferred procedure.
the background theory presented in this However, other mathematical or graphical
section. This section is not intended to serve as procedures may also be developed to provide a
step by step instructions for determination of better interface with a user's other analytical
the performance point. For such step by step methods.
instructions, the user should proceed to 8.2.2.1.1 Conceptual Development of the
Procedure A, B, or C , in which only the Capacity Spectrum Method
minimum required mathematical relationships Conversion of the Capacity Curve to the
of this section are referenced. Capacity Spectrum
• Procedure A (Section 8.2.2.1.2). This is the To use the capacity spectrum method it is
most direct application of the concepts and necessary to convert the capacity curve, which is
relationships described in Section 8.2.2.1.l. in terms of base shear and roof displacement to
Procedure A is truly iterative, but is what is called a capacity spectrum, which is a
formula-based and easily can be programmed representation of the capacity curve in
into a spreadsheet. It is more an analytical Acceleration-Displacement Response Spectra
method than a graphical method. It may be the (ADRS) format (i.e., Sa versus Sa). The required
best method for beginners because it is the equations to make the transformation are:
most direct application of the methodology,
N
and consequently is the easiest procedure to
understand.
"LC-Wi¢il) I g
i=l
PFl= N
(8-1)
.. Procedure B (Section 8.2.2.1.3). A
simplification is introduced in the bilinear "L(Wi¢~l) I g
i=1
modeling of the capacity curve that enables a
relatively direct solution for the performance
point with little iteration. Like Procedure A,
Procedure B is more an analytical method than
a graphical method, and it is probably the most (8-2)
convenient for spreadsheet programming.
Procedure B may be a less transparent
application of the methodology than
Procedure A.
Sa = V IW (8-3)
~ Procedure C (Section 8.2.2.1.4). Procedure
(Xl
C is a pure graphical method to find the
performance point, similar to the originally
A root
conceived capacity spectrum method, and is Sd=---- (8-4)
consistent with the concepts and mathematical PF 1 rproot.1
relationships described in Section 8.2.2.1.1. It
is the most convenient method for hand

Chapter 8, Nonlinear static A.nalysis Procedures


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUII.DINGS

PF 1«proof,1 = 1.6 PF1«proof,1 = 1.4 PF1«proof,1 = 1.2 PF1«proof,1 = 1.0


~~~Arom ~rom ~rom Amm

v = aSaW a=O.7 a=O.8 a=O.9 a= 1.0

Figure 8-5. Example Modal participation Factors and Modal Mass CoeFFicients

where: between the participation factor, the modal mass


coefficient, and building displacement. As shown
PFl= modal participation factor for the
in Figure 8-5, the participation factor and the
first natural mode.
modal mass coefficient vary according to the
modal mass eoefficient for the first relative interstory displacement over the height of t.
natural mode. the building. For example, for a linear distribution
Wi /g = mass assigned to level i. of interstory displacement oyer the height of the
€Pil = amplitude of mode 1 at level i. building, <X == 0.8. and PFl<Proof.l == ~ .4.
N = level N, the level which is the The general process for converting the
uppermost in the main portion of capacity curve to the capacity spectrum, that is, .
the structure. converting the capacity curve into the ADRS
(
V = base shear. format, is to first calculate the modal participation
(
W = building dead weight plus likely factor PFI and the modal mass coefficient <Xl using
(
live loads, see Section 9.2. equations 8-1 and 8-2. Then for each point on :the
capacity curve, V, '&-oof, calculate the associated
roof displacement (V and the
point Sa, Sa on the capacity spectrum using
associated 6.roof make up points on
equations 8-3 and 8-4.
the capacity curve).
Most engineers are familiar with the traditional
Sa = spectral acceleration. Sa versus T representation of response spectra;
Sa = spectral displacement (Sa and the however, they are less familiar with the Sa versus
associated Sa make up points on Sd (ADRSr representation. Figure 8-6 shows the
the capacity spectrum). same spectrum in each format. In the ADRS
format, lines· radiating from the origin have (
Section 8.5 provides general information on constant period. For any point on the ADRS
structural dynamics and more information on the spectrum, the period, T, can be computed using
derivation of these equations. It is helpful to have the relationship T=2n(SdiSa)ll2. Similarly, for any
some physical understanding of the relationship point on the traditional spectrum, the spectral
(
(
8-10 Chapter 8, Nonlinear static Analysis Procedures

(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

In ADRS format,
lines radiating from
the origin have
constant periods.
C
I-----t---
. ----------------------- ----- ----0
Z --!---J.
as
"-
oeD
iii
U
u
________________________________0;;(. _

n; I-

--------------------0.-
Q)
- ---- -----------------=""---
Co
en
Spectral Displacement

Traditional Spectrum ADRS Spectrum


(Sa versus T) (Sa versus Sd)

Figure 8-6. Response spectra in Traditional and ADRS Formats

Demand spectrum

I--..J..-.--t----------- - - - -- - -00------ __ ;gC -+---1---/


E
eD
iii
u
_ B .:l :.;__......_~~

Spectral Displacement

Traditional Spectrum ADRS Spectrum


(Sa versus T) (Sa versus Sd)

Figure 8-7. capacity spectrum superimposed over Response spectra in Traditional and ADRSFormats

disp lacement, Se, can be computed using the point A. When point B is reached, the period is
relationship Sd=SaT2 /4n 2 • These two relationships T 2. This indicates that as a structure undergoes
are the same formula arranged in different ways. inelastic displacement, the period lengthens. The
Figure 8-7 shows the same capacity spectrum lengthening period is most apparent on the
superimposed on each of the response spectra plots traditional spectrum plot, but it is also clear on the
shown in Figure 8-6. Following along the capacity ADRS plot, remembering that lines of constant
spectrum, the period is constant, at T 1, up until period radiate from the origin.

Chapter 8, Nonlinear static Analysis Procedures


SEISMIC EVALUATION AI\YD RETROFIT OP CONCRETE BUILDINGS

Conversion to ADRS Spectra


Application of the Capacity-Spectrum technique requires that both the demand response
spectra and structural capacity (or pushover) curves be plotted. in the spectral acceleration
(
vs. spectral displacement domain. Spectra plotted in this format are known as
(
Acceleration-Displacement Response Spectra (ADRS) after Mahaney, 1993.
('
Every point on a response spectrum curve has
Sa
associated with it a unique spectral acceleration, Sa'
spectral velocity, Sy7 spectral displacement, Sd and
(
I
J
period, T. To convert a spectrum from the standard
I
I Sa vs T format found in the building code to ADRS
I
-----.,----- J
format, it is necessary to determine the value of
I I
Sdi for each point on the curve, Sai'~' This can be
To 1i done with the equation:
Standard Format (Sa vs T) ];2
Sa /'To f
= - L - Sn.g
411: 2 .,
s,
1----'1
1

1
1 Standard demand response spectra contain a
1
1 range of constant spectral acceleration and a
Sai - - -1- _
second range of constant spectral velocity.
1
'""-'-
1
--
--

--.,.---_..P.'d Spectral acceleration and displacement at period .i


(
Sdi T, are given by:
ADP..s Fermat (Sa Vii Sil) 2n- 1;
SalK = -s."
11
Sdi =-s."
2n- (.
s::: In order to develop the capacity spectrum from (
o the capacity (or pushover) curve, it is necessary
"iii
;,.. to do a point by point conversion to first mode
C1)
:> spectral coordinates. Any point Vi, 4001 on the
S capacity curve is converted to the corresponding
(
(J point Sai Sdi on the capacity spectrum using
!

E the equations: (
RoofDisplacement - 4-
2 s =ViIW/
oQ)
ai ;fa! Capacity Curve

{Ii s - Il roofI
·u~co di -
where a 1 and PF1 are respectively the modal mass
/ (PE;. X If'l,roo! )
fa-
coefficient and participation factors for the first
(J natural mode of the structure and <I> l,roof is the roof
level amplitude of the first mode. See also Section
8.5, Basics of Structural Dynamics. Spectral Displacement - Sd
Capacity Spectrum

(
(
(
(

8-12 Chapters. Nonlinear static Analysis procedures

(
Note:
Basic Equation 1. K( = Initial Stiffness
2. Area A 1 = Area A2
T=21t'/Sd'Sa
Point 1
1.0...---..--.-/----.--..., Sa=O.8 i
c ap'4----f-----
Sd=1.95 .2
m0.8-1---.,.....--1----1
~ Point 2
1."""'"95=""..,...,0"""'
T=21t'r-:- .B 4 = 0.50 sec
"'""'*::""'3:=a=6.'""'" 1\1
:D. iiy
Qi i1inear Representaf n
o Sa=0.S2 o
:;:; o
Sd=1.29 <C Capacity Spectrum
~
Q)
0.6;+--_1-l--'.--l--~-1 T=21tJ"'""i.-=29=-1"'-:0'-:.5=2-=*-=38=6~.4 = 0.50 sec m
a-
ai Point 3 U
o Q)
~ O.4-1---I-++--~~=---1 Sa=O.4 Co
rn
Sd=3.95
"'li1i- T=21tJ=3-::=.9'='"S..,.."0==-.4-=-=-"3=8=6"""".4 = 1.00 sec . dy dpl
t) O.2+-1--~-----.:::::....,..+_-_+_-.=-.-.=----,------,
Q) Spectral Displacement
0-
W Figure 8-9_ Bilinear Representation of capacity
O.O~--l---+_-_+_--+--_+_----l
o 2 4 6 8 10 12 spectrum For capacity Spectrum Method
Spectral Displacement (inches)
Figure 8-8. Lines of Constant Period and period
Lengthening in ADgS Format

Figure 8-8 helps illustrate that, in the ADRS Note:


format, lines radiating from the origin have 1. ~ = Initial Stiffness
2. Area A 1 = Area A 2
constant period, and that the period lengthens as
the structure undergoes inelastic displacement.
Points 1 and 2 in the figure lie on two different
response spectra, and on a single line radiating
from the origin. As shown by the calculation
Bilinear representation
included in the figure, they both are associated based on capacity
with a period of 0.5 seconds. Point 3 has a 1.0 spectrum associated
with the point api' d pl
second period. Thus, for the capacity spectrum
(pushover) shown, the elastic period of the
dy dp1
structure is 0.5 seconds, and when the structure is
Spectral Displacement
pushed to point 3, with a spectral displacement of
Figure 8-10. Bilinear eepresentation of capacity
3.95 inches, and considerable inelastic spectrum for oegrading trsswtoottt") system
displacement, the period has lengthened to 1.0
seconds.
Construction of Bilinear Representation of spectrum at the estimated api, dpi point, then that
Capacity Spectrum point is the performance point. The first estimate
A bilinear representation of the capacity of point api, dpi is designated apI, dpI, the second
spectrum is needed to estimate the effective ap2, dp2, and so on. Guidance on a first estimate of
damping and appropriate reduction of spectral point apI, dpl is given in the step-by-step process
demand.' Construction of the bilinear representa- for each of the three procedures. Oftentimes, the
tion requires definition of the point api, dpi. This equal displacement approximation can be used as
point is the trial performance point which is esti- an estimate of ap 1, dp l.
mated by the engineer to develop a reduced Refer to Figure 8-9 for an example bilinear
demand response spectrum. If the reduced re- representation of a capacity spectrum. To
sponse spectrum is found to intersect the capacity

Chapter 8, Nonlinear: static Analysis procedures


SEISMIC EVALUATION AND RETROFIT OF CONCIlETE BUILDINGS

(
\l·'

ED = Energy dissipated by damping Bilinear representation


= Area of enclosed by hysteresis loop
=Area of parallelogram of capacity spectrum

Eso = Maximum strain energy


= Area of hatched triangle
= 8ptdpl/2
(
Po = Equivalent viscous damping
assocciated with full (
hysteresis loop area
=_1 ~
41t Eso

Figure 8-11. Derivation of Damping For spectral Reduction

construct the bilinear representation draw one line the structure displacement. Hysteretic damping can
up from the origin at the initial stiffness of the be represented as equivalent viscous damping
building using element stiffnesses as recommended using equations that are available in the literature.
in Chapter 9. Draw a second line back from the The equivalent viscous damping, {3eq,
trial performance point, api, dpi. Slope the second associated with a maximum displacement of dpi,
line such that when it intersectsthe first line, at can be estimated from the following equation:
point ay, dy, the area designated Ai in the figure is (3eq = (30 + 0.05 . (8-5)
approximately equal to the area designated A2, where,
The intent of setting area A: equal to area A2 is to (30 = hysteretic damping represented as
have equal area under the capacity spectrum and equivalent viscous damping (
its bilinear representation, that is, to have equal 0.05 = 5% viscous damping inherent in the
energy associated with each curve. structure (assumed to be constant)
In the case of a "sawtooth" capacity spectrum, The term (30 can be calculated as (Chopra 1995):
the bilinear representation should be based on the
capacity spectrum curve which describes behavior
/30 = _1_ ED (8-5a)
4n Eso
at displacement dpi, as shown in Figure 8-10.
Estimation of Damping and Reduction of
5 percent Damped Response Spectrum where,
The damping that occurs when earthquake ED= energy dissipated by damping
ground motion drives a structure into the inelastic Es o = maximum strain energy
range can be viewed as a combination of viscous
The physical significance of the terms ED and
damping that is inherent in the structure and
hysteretic damping. Hysteretic damping -is related Es o in equation 8-5a is illustrated in Figure 8-11.
to the area inside the loops that are formed when
the earthquake force (base shear) is plotted against

8.,,14 Chapter 8, Nonlinear static Analysis procedures


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

ED = Area of enclosed by hysteresis loop Formulas for designated areas:


= Area of large parallelogram A 1 = (api - ay) . . dy
= 4 times area of shaded parallelogram A2 = (ay . . d y) /2
C" c A3 = [(~ - ay) . . (d pi - d y ) ]
o
;; Elpi
o
E ~----- ~ C!p1-r--- -.-- - - - - - - '"=1
GJ ba
(Day CD
Co)
ai ay-l----I~
e
o
<C
ca
.....
J..

e
Q)
a.
en
dy.

Spectral Displacement

Figure 8-12.. Derivation of Energy Dissipated by Figure 8-1$. Derivation of Energy Dissipated by
Damping, ED Dampingl ED

ED is the energy dissipated by the structure in a and when ~o is written in terms of percent critical
single cycle of motion, that is, the area enclosed damping, the equation becomes:
by a single hysteresis loop. Es o is the maximum 130 = 63.7(a yd pi - dyapi) (8-6)
strain energy associated with that cycle of motion, apidpi
that is, the area )f the hatched triangle. Thus (3eq becomes:
Referring to Figures 8-11, 8-12 and 8-13, the ~eq = (30 +5 = 63.7(aydpi - dyapi) +5 (8-7)
term ED can be derived as apidpi

ED = 4*(shaded area in Figures 8-12 or 8-13) The equivalent viscous damping values
= 4(apidpi - 2Al - 2Az - 2A3) obtained from equation 8-7 can be used to estimate
= 4[apidpi-aydy-(dpi-dy)(api-ay) - 2dy(CIpi- ay)] spectral reduction factors .using relationships
= 4(aydpi - dyapi) developed by Newmark and Hall [Newmark and
Hall, 1982]. As shown in Figure 8-14, spectral
Referring to Figure 8-11, the term Eso can be
reduction factors are used to decrease the elastic
derived as
(5 % damped) response spectrum to a reduced
Es o = apidpi /2 response spectrum with damping greater than 5 %
of critical damping. For damping values less than
Commentary: Note that Es; could also be about 25 percent, spectral reduction factors
written as keffectivedp//2. calculated using the (3eq from equation 8-7 and
Thus , ~o can be written as: Newmark and Hall equations are consistent with
similar factors contained in base isolation codes
f3 0 = _.1_ 4 (aydpi - dyapi) = ~ aydpi - dyapi and in the FE1'4A Guidelines (these factors are
471: apidpi /2 71: apidpi presented in these other documents as the damping
[30 = O.637(a ydp i - dyapi) coefficient, B, which is equal to l/SR, see the
apidpi commentary below). The committees who

Chapter 8, Nonlinear static Anarysis procedures


(-
(

SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

(
(
-.
Notes: 1. See Chapter 4 for CA and Cv values. The idealized hysteresis loop shown in Figure
2. SR A is spectral re'duction value in
8-11 is a reasonable approximation for a ductilely (~
constant acceleration range of spectrum.
3. SR v is spectral reduction value in detailed building subjected to relatively short
constant velocity range of spectrum. duration ground shaking (not enough cycles to
significantly degrade elements) and with equivalent
viscous damping less than approximately 30 %.
c For conditions other than these, the idealized
o
';:l
e hysteresis loops of Figure 8-11 lead to
~CJ SR"C,/T= Cv!(TBJ
overestimates of equivalent viscous damping
~ CA
because the actual hysteresis loops are imperfect,
that is, they are reduced in area, or pinched.
E
'0
Q)
This document addresses existing reinforced
a. concrete buildings that are not typically ductile
en Reduced response
spectrum structures. For such buildings, calculation of the
equivalent viscous damping using equation 8-7 and
Spectral Displacement . the idealized hysteresis loop in Figure 8-11 yields
results that overestimate realistic levels of
damping. In this document, in order to be
Figure 8-14. Reduced Response spectrum consistent with these previously developed
damping coefficients, B, as well as to enable
developed these damping coefficients concluded simulation of imperfect hysteresis loops (loops
that spectra should not be re~lJ.ced to this extent at reduced in area), the concept of effective viscous
higher damping values and judgmentally increased damping using a damping modification factor, x,
the coefficients starting at about 25 percent the has been introduced. Effective viscous damping,
damping (increasing the damping coefficient B is ~ff, is defined by:
the same as decreasing the spectral reduction R +5 - 63.7"x::(a ydpi - dyapi)
R -
p~-~o - +5 (8-8)
factor SR, the net result is that the spectra are apidpi
reduced less), as well as set an absolute limit on Note that equation 8-8 is identical to equation
reductions at a ~eq of about 50 percent. 8-7 except that the lC- factor has been introduced to (
Commentary: This document is written using modify the first (~o) term. (
the concept of spectral reduction factors, SR. The x-factor is a measure of the extent to
However, both the term spectral reduction (SR) . which the actual building hysteresis is well
and the term damping coefficient (8 = LlSR) are represented by the parallelogram of Figure 8-11,
carried through this section. The term spectral either initially, or after degradation. The x-factor
reduction factor has been used widely in the depends on the structural behavior of the building,
literature and previously in this project, but B, which in tum depends on the quality of the seismic
damping coefficient, is currently in use in other
resisting system and the duration of ground
codes such as the 1991 UBC, 1994 UBC, FEMA shaking. For simplicity, this document simulates
Guidelines and 1994 NEHRP Provisions. The three categories of structural behavior. Structural
damping coefficient B, which is used to reduce the
behavior Type A represents stable, reasonably full
elastic (5 % damped) spectrum, should not be
hysteresis loops most similar to Figure 8-11, and
confused with the damping, 13. The damping
is assigned a 1C of 1.0 (except at higher damping
coefficient is derived from a formula which
values as discussed above). Type B is assigned a
includes the variable, f3. basic 1C of 2/3 and represents a moderate reduction
(
(

8-16 Chapter 8,. Nonlinear static Analysis procedures


SEiSMIC EVALUAT!@N AND RETROFIT OF CONCRETE BUILDINGS

of area (x is also reduced at higher values of peff to Table 8-1. Values for Damping Modification Factor, K:
be consistent with the Type A relationships). Type
C represents poor hysteretic behavior with a
substantial reduction of loop area (severely
pinched) and is assigned a K of 1/3.
The ranges and limits for the values of
lC assigned to the three structural behavior types
>16.25 1.13 _ 051(a yd p i - dyapi)
are given in Table 8-1 and illustrated in Figure 8- apidpi
15. Although arbitrary, they represent the
Type B ~25 0.67
consensus opinion of the product development
team. The value of K for structural behavior Type
A (good behavior), is derived from the spectrum 0.845 -
0.446(a ydpi - dyapi)
reduction factors, B, specified in the" Uniform >25
apidpl
Building Code (leBO 1994) and the NEHRP
Provisions (ESSe 1995) for the design of new base rvoe c Any value 0.33
isolated buildings. The values of lC assigned to the 1. See Table 8-4 for structural behavior types.
other two types are thought to be reasonable for 2. The formulas are derived from Tables of spectrum reduction
average and poor structural behavior. The factors, B (or BI), specified for the design of base isolated
buildings in the 1991 UBC, 1994 UBC and 1994 NEHRP
numerical derivation of spectral reduction factors Provisions. The formulas created for this document give the same
used in this methodology, based on these assigned results as are in the Tables in the other documents.
values of K, follows.
Numerical Derivation of Spectral Reductions
The equations for the reduction factors SRA Table 8-2. Minimum Allowable SRA and SRv vstuest
(equal to lIBs) and SRv (equal to l/BL) are given
by:
SRA = ~:: 3.21- O.68ln(f3eff) (8-9)
Bs 2.12 rvpes 0.44 0.56
3.21- o.68In[63.77C(aydpi - dyapi) + 5]_ TypeC 0.56 0.67
apidpi
1. Values for SRA and SRv shall not be less than those
2.12 shown in this Table
2 Value in Table 8-2 2. See Table 8-4 for structural behavior types.

SRv = _1 :: 2.31 - 0.41ln(f3eff) (8-10)


BL 1.65 To illustrate the effect of the structural
2.31- 0.4lln[63.77C(aydpi - dyapi)
apidpi
+ 5] behavior types on the spectral reduction factors,
Figures 8-15, 8-16, 8-17 and 8-18 respectively
= -----=--------=
1.65 show graphical representations of 7<:, f3eff, SRA and
2 Value in Table 8-2 SRv versus po for structural behavior types A, B
and C. Note that ~o is the equivalent viscous
Note that the values for SRA and SRv should be damping representation of the hysteretic damping
greater than or equal to the values given in associated with the full area of the hysteresis loop
Table 8-2. formed by the bilinear approximation of the
capacity spectrum, as shown in Figure 8-11.

Chapter 8, Nonlinear static Analysis Procedures


SEISMIC EVALUATION AND RETROFIT OF CONCRETE. BUILDINGS
(

~ 1.00
Structural Behavior Type A rl 1.20
, --~ en
ci 0.90
I

r----- ~ 1.00
.
I~:: . ro ____
I I
(j O.SO
ca Behavi~rT''DeB: U
U. 0.70 Structural
- - -- - -;- f- -: __ .: tl. 0.80
-----
C
o 0.60 - -- c
<,
~ ---
---Stru ~raI!Beha IIlorTypeC
-- ... -- ;;----;.

----
+:
I
-: - --- o
~ 0.50
I

:g 0.60
~,
~·rif:seha ~iorTVp.n
~ ................. ..... ": :::I
------ .. :.::~- --r-- -- --- - ---- -----
0.40 ' "C
Q) 0.40
~ 0.30 a:
en 0.20
C ~ 0.20
Q. 0.10 (j
Q)
~ 0.00 ~ 0.00
C 0 10 16.25 20 25 30 40 45 50 60 o 10 30 40 45 50 GO

Hysteretic Damping Represented As Hysteretic Damp~ng Represented As


Equivalent Viscous Damping, /30 (%) Equivalent Viscous Damping, ~D (%)
Figure 8-15. Damping Modification Factor, 1(, for Figure 8-18. spectral eeaucttonFactor, sev., for
structural Behavior Types A, Band C structural Behavior Types A, Band C

40 to.

:a 35 p
..~i5' ~l
co.. ."t@J' _.....Js =Sa
»:
~ 3D Soil Profile Type
en r g\ ee't\,!!\
_ ~ '';''': ZEN=OA
. [ 25

~ -: ./
~"';"
.\I"I'''t~pec
CA=OA
Cv=0.4
C
20
-: /' "'" ~f!\!'!': .. - -! 63.7(l!ydp, - dAJ

/: -- -- ---
c:.\f'
~ 15
./
:;:::; ",,-

Co)
Q)

in
10

5
.e>
o 4fj
o 10 20 3D 40 50 60

Hysteretic Damping Represented As


Equivalent Viscous Damping, /30 (%)

Figure 8-16. Effective Damping, !3en, for structural


Behavior Types A, Band C o~~~~::±=±=jl
o 2 4 6 8 10 12 14 16
Spectral Displacement (inches)
r::t 1.00
1\.......
en 0.90 Figure 8-19. EXample ADRS Response spectra for
..: '\,.....
- .. -- structural Behavior Types .A, Band C
oS
~
(,)


0.80
0.70 "," ......
.....
- -- ~
:~~IJ~al
c ____
ae ~a",...L,
0.60
<, ....... __ .;.
ruetura'R.. . 'S
:..r!!~

---
(j 0.50
-6 0.40
<:» ructura'&1 ;:.:;;:~~ l'L __ _ '-':'YPe4
Q)
a: 0.30
e 0.20
,
~ 0.10
tr 0.00
o 10 20 30 40 45 50 60

Hysteretic Damping Represented As


Equivalent Viscous Damping, /30 (%)
Figure 8-17. spectral Reduction Factor, SRA, for
structural Behavior Types A, Band C

BIlI18 Chapter 8, Nonlinear static Analysis Procedures


SEISliVUC eVALUATION AND RETROFIT. OF CONC-RETE BUiLDINGS

Table B·S. spectral Reduction Factors, SRA = 1/Bs and sev = 1/ Bt

SRA SRv SRA


J30 tpercenn J3eff (1/85) (1/8tJ J3eff (1/85> (1/8tJ l3eff (1/B5) (1/BrJ
0 5 1.00 1.00 5 1.00 1.00 5 1.00 1.00
5 10 0.78 0.83 8 0.83 0.87 7 0.91 0.93
15 20 0.55 0.66 15 0.64 0.73 10 0.78 0.83
25 28 0.44 0.57 22 0.53 0.63 13 0.69 0.76
35 35 0.38 0.52 26 0.47 0.59 17 0.61 0.70
~45 40 0.33 0.50 2 29 0.44 0.56 20 0.56 0.67 2

1. Structural behavior type, see Table 8-4.


2. Controlled by minimum allowable value for SRv, see Table 8.2

Figure 8-19 shows the difference in the response Table 8-4. structural Behavior Types
spectra in ADRS format for structural behavior
types A, B and C when {3o equals 15%.
The spectral reduction factors SRA (equal to
1/Bs) and SRv (equal to IIB 4) given in equations Short Type A Type 8 Type C
8-9 and 8-10 can be put in tabular form as shown Long rvce s Type C Type C
in Table 8-3. Enter the Table with the parameter
1. See Section 4.5.2 for criteria.
130, the equivalent viscous damping representation
2. Buildings whose primary elements make up an
of the hysteretic damping associated with the full essentially new lateral system and little strength or
area or the hysteresis loop formed by the bilinear stiffness is contributed by noncomplying elements.
approximation of the capacity spectrum in Figure 3. Buildings whose primary elements are combinations of
8-11. existing and new elements, or better than average
Commentary: The inverted value of BL for existing systems.
structural behavior Type A is identical to the 4. Buildings whose primary elements make up
noncomplying lateral force systems with poor or
damping coefficient used in other codes such as the unreliable hysteretic behavior.
1991 UBe, 1994 UBC and 1994 NEHRP
Provisions. noncomplying elements contribute little strength or
The selection of structural behavior type stiffness. The third column of Table 8-4, Poor
depends. on both the quality of the primary Existing Buildings, represents existing buildings
elements of the seismic resisting system and the with a lateral force resisting system with unlmown
duration of shaking, as shown in Table 8-4. or unreliable hysteretic behavior or behavior
Criteria to determine the appropriate duration known to degrade or be severely pinched. The
category for a given situation are given in middle column, Average Existing Buildings, should
Chapter 4 (Section 4.5.2). The first column of be used for other cases, and may be appropriate for
structural behavior types, Essentially New the majority of existing retrofit buildings.
Buildings, represents buildings with new lateral Commentary: As described in Section 3.4, a
force resisting systems and detailing complying seismic performance objective is defined by
with current code, in which the existing selecting a desired building performance level for a

Chapter 8, Nonlinear static Analysis procedures


SEISMIC EVAI.UATION AND RETROFIT OF CONCRETE BUII.DINGS

Pert of 5%, 10%, 15%,200/0, 25%, 30%, 35%, and 40% fSatf of 5%, 10%. 150/0, 200/0, 25"'10, 30%, 35%, and 40%
Soil Profile Type =Se Soil Profile Type = Sa
=
ZEN 0.4 ZEN=OA
CA = 0.4 CA=OA
c,,~0.4 Cv=0.4
_ 1.0

- CD
c
o O.B
\
~CD ~
'ii 0.6
~
~~
U
U
c(
- 0.4
"~
~ ~ ::---.
f
'0
8.
en
0.2

0.0
o 0.5 1.5
-~

2
-- 2.5 3 3.5 4. 2 4 6 8 10 12 14
Period (seconds) Spectral Displacement (inches)
(

Figure 8-20. Family of Demand spectra in Figure 8-21. Family of Demand spectra in ADRS (
Traditional sa versus TFormat Format

site. For example, a building may have short motion. With multiple-level performance
duration shaldng for a Serviceability Earthquake objectives, it is possible, based on the criteria fat
(usually 50% chance of being exceeded in 50 duration of ground shaking given in Section 4.5.2,
years) and long duration shaking for a Design to have short earthquake shaking duration for one
Earthquake (usually 1()% chance of being ground motion and long earthquake shaking
exceededin 50 years). As another example, a duration for another ground motion at the same
building may.have short duration shaking for the traditional Sa versus T format. Figure 8-21 shows
(
maximum shaking expectedfrom a single event on the same family of demand spectra, each spectrum (
a one adjacent fault, and long duration shaldng for representing a different level of effective damping,
the maximum shaking expectedfrom a single event plotted in the ADRS format. Families of demand
on another adjacent fault. spectra, such as these, can be plotted for any .
Development of the Demand Spectrum combination of soil profile type and earthquake
The 5 percent response spectrum can be shaking intensity using the information provided in
developed based on the information in Chapter 4. Chapter 4. Such families of demand spectra,
The reduced 5 percent response spectrum, called plotted in the ADRS format, can be quite useful
the demand spectrum, can be plotted as shown in when analyzing the structure using the capacity
Figure 8-14. A procedure for converting the spectrum method.
response spectrum from the standard Sa versus T Intersection of Capacity Spectrum and
format to the Sa versus Sa format (ADRS) is given Demand Spectrum
near the beginning of Section 8.2.2.1.1. When the displacement at the intersection of
Figure 8-20 depicts an example family of the demand spectrum"and the capacity spectrum,
demand spectra, each spectrum representing a dt, is within 5 percent (O.95dpi ~ dr ~ 1.05 dpi) of
different level of effective damping, plotted in the the displacement of the trial performance point,
given level of earthquake ground motion. Dual- or api, dpi, dpi becomes the performance point. If the
multiple-level performance objectives can be intersection of the demand spectrum and the
created by selecting two or more different capacity spectrum is not within the acceptable
performances, each for a different level of ground
(
(
8·20 Chapter 8, Nonlinear static Analysis procedures
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

tolerance, then a new api, dpi point is selected and Intersection point of demand spectrum
and capacity spectrum
the process is repeated. Figure 8-22 illustrates the
concept. The performance point represents the Note:
~, =
dpl trial perfromance point
maximum structural displacement expected for the d, = displacement intersection point
demand earthquake ground motion.
When the capacity spectrum is a "sawtooth"
curve, that is, the [mal composite capacity
spectrum is constructed from several different
capacity spectra which account for strength
degradation of elements; special care must be
taken in determining the performance point. The d, ~
bilinear representation of the capacity spectrum, Spectral Displacement
that is used to determine the reduction factors for
the 5 percent damped spectrum, is constructed for Figure 8-22. Intersection point of Demand and
a single capacity spectrum curve, not the capacity spectrums Within Acceptable Tolerance
composite curve. For the analysis to be acceptable,
the bilinear representation must be for the same Commentary: If the performance point is
single capacity spectrum curve that makes up the found to fall near a step in the "sawtooth" capac-
portion of the composite capacity spectrum where ity spectrum, then the engineer should be aware
the intersection point occurs. Figure 8-23 that, because of the variability of the analysis, the
illustrates the concept for a "sawtooth" capacity actual building displacement could be on either
spectrum. side of the step. The engineer should consider both
points when examining building performance.

Procedure A:
? .. Clearest, most transparent and most direct
application of the methodology
.. Analytical method
.. Convenient for spreadsheet programming
.. May be the best method for beginners because it
is most direct and thus easiest to understand

----I Procedure B:
II Analytical method
.. Simpler than procedure A because of simplifying
assumptions (that may not always be valid)
.. Most convenient for spreadsheet programming
.. Reasonably transparent application of
Question: Which methodology
capacity spectrum • Users of this method should fully understand the
inherent assumptions
procedure should I use?
Procedure C:
Answer: It largely .. Graphical method
depends on personal • Most convenient method for hand analysis
preference, but these • Not as convenient for spreadsheet programming
.. Least transparent application of methodology
guidelines may help.

Chapter 8, Nonlinear static Analysis Procedures


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILD"ING"S

Intersection pointof demandspectrumand


capacityspectrumwithinacceptable
tolerance. Note that intersection occurson
capacityspectrumcurve #2, and that the
bilinearrepresentation on whichthe deman InlOai Spl' dpl point chosen
curve is based is createdfor capacity based on equal
spectrum #2.
displacement approximation (
(
(

~
Spectral Displacement, inches

Figure 8-23. Intersection Point of Demand Figure 8-25. capacity Spectrum Procedure A
spectrum and rsawtootn: capacity spectrum (
ATterstep3 (

2. Transform the capacity curve into a capacity

h spectrum as described in Section 8.2.2.1.1


using equations 8-1, 8-2, 8-3 and 8-4. Plot the
cap~c!ty curve on the same chart as the 5 %
damped response spectra as shown in
Figure 8-24.
3. Select a trial performance point, api, dpi as
shown in Figure 8-25.
Commentary: A first choice ofpoint api, dpi
could be the displacement obtained using the
equal displacement approximation, or, it might
be the end point ofthe capacity spectrum, or,
Spectral Displacement, inches it might be any other point chosen on the basis
Figure 8-24. capacity spectrum procedure A AFter of engineering judgment.
step 2 4: Develop a bilinear representation of the
capacity spectrum using the process described
8.2.2.1.2 Calculating Performance Point in Section 8.2.2.1.1 and illustrated in
Using Procedure A. In this procedure, iteration is Figure 8-9. The result of this step is illustrated
done by hand or by spreadsheet methods to in Figure 8-26.
converge on the performance point. This Commentary: In the case of a composite
procedure is the most direct application of the "sawtooth" capacity spectrum, the bilinear
principles described above. The following steps representation should be based on the capacity
are involved: spectrum that makes up the portion of the
1. Develop the 5 percent damped (elastic) composite capacity spectrum where the trial
response spectrum appropriate for the site performance point api, dpi occurs.
using the procedures provided in Chapter 4. 5. Calculate the spectral reduction factors as (
given in equations 8-9 and 8-10. Develop the (
(
(
8 ..22 Chapter 8, Nonlinear static Analysis Procedures
SEISMIC EVALUATION AND RETROFIT OF CONCRETE Bun.DINGS

tn
r::n C
C .2 Intersection point of demand spectrum
.9 10
....
and capacity spectrum
10
'-
Q) ~ ~'+-----t'-. Mesl -~'-----:,,--capacity spectrum
Q) apl
~ Capacity spectrum a
e <~..f--.:,---#---J.-\
e
~ ay ~
n; '0
CD
'- 0-
(j Bilinear representation W
Q)
Co of capacity spectrum
(J)

ely d p1

Spectral Displacement, inches

Spectral Displacement, inches


1.
Figure 8-28. capacity Spectrum procedure A After
step 6

Figure 8·25. Capacity Spectrum procedure A After the point, api, dpi, or if the displacement at
step 4
which the demand spectrum intersects the
capacity spectrum, di, is within acceptable
tolerance of dpi. The acceptable tolerance is
illustrated in Figure 8-22.
7. If the demand spectrum does not intersect the
capacity spectrum within acceptable tolerance,
then select a new api, dpi point and return to
step 4.
Commentary: A new choice ofpoint (Lpi,
~ Capacity spectrum
dpi might be the intersection point determined
in step 6, or any other point chosen on the
basis of engineering judgment.
8. If the demand spectrum intersects the capacity
spectrum within acceptable tolerance, then the
trial performance point, api, dpi, is the
performance point, ap, dp , and the
Spectral Displacement, inches
displacement, dp , represents the maximum
structural displacement expected for the
Figure 8·27. capacity spectrum procedure A AFter demand earthquake.
steps
Commentary: Calculation of the demand
_demand spectrum using the process illustrated displacement using capacity spectrum
in Figure 8-14. Draw the demand spectrum on procedure A-can be done by hand, graphically,
the same plot as the capacity spectrum as or it can be done in a spreadsheet,
shown in Figure 8-27. graphically. In the spreadsheet method, the
6. Refer to Figure 8-28. Determine if the demand capacity spectrum would be graphed. Next a
spectrum intersects the capacity spectrum at trial value of the performance point, Ilpi, dpi,
would be selected. Based on the trial

Chapter 8, Nonlinear static Analysis procedures


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS
(
:

performance point, trial values ofpoint ay, tJJ· Demand Curves for Petl = 5%,10%,15%,20%,25% and 30%
can be chosen to define the bilinear
representation of the capacity spectrum. This
bilinear representation can be automatically (

plotted on the same chart as the capacity (


spectrum. The values ofpoint ay, dy can be (

revised until the bilinear representation meets (


the requirements of step 4. Once given points
api, dpi, and ay, dy the spreadsheet can then be
set up to automatically calculate the spectral
.reduction factors and to plot the demand
spectrum on the same chart as the capacity
spectrum. The chart can then be reviewed to Spectral Displacement, inches
see if the intersection of the capacity spectrum
and the demand spectrum is within acceptable Figure 8-29. capacity spectra Procedure UBn After
tolerance. If it is not within acceptable step 2
tolerance, a new point api, dpi can be selected
and the process repeated.
8.2.2.1.3 Calculating Performance Point
Demand Curves for l3etl = 50/0, 10%, 15%, 20%, 25% and 30%
Using Procedure B. This procedure makes a
simplifying assumption that is not made in the
other two procedures.. It(lS~lJm.~s that not only the
initial slope of the bilinear representation of the
capacity curve remains constant, but also the point
ay, d, and the post-yield slope remains constant.
This simplifying assumption allows a direct (

solution without drawing multiple curves because (


it forces the effective damping , ~e:ff, to depend
only on dpi. The following steps are involved:
(
1. Develop the 5 percent damped response (
spectrum appropriate for the site using the Spectral Displacement, inches
procedures provided in Chapter 4.
2. Draw the 5 percent damped response spectrum
and draw a family of reduced spectra on the Figure 8-$0. capacity spectra Procedure usn AFter
same chart. It is convenient if the spectra step 5
plotted correspond to effective damping values
(~eft) ranging from 5 percent to the maximum
value allowed for the building's structural 3. Transform the capacity curve into a capacity
behavior type. The maximum ~eff for Type A' spectrum as described in Section 8.2.2.1.1
construction is 40 percent, Type B using equations 8-1, 8-2, 8-3 and 8-4. Plot the
construction is 29 percent and Type C capacity spectrum on the same chart as the (
construction is 20 percent. Figure 8-29 shows family of demand spectra, as shown in Figure
an example family of demand spectra. 8-30.

8 ...24 Chapter 8, Nonlinear Static Analysis procedures


(

SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

Demand Curves for ~eff =5%, 10%, 15%, 20%, 25% and 30% Demand Curves for ~eff = 5%, 10%, 15%, 20%, 25% and 30%

I Note: Area A, = Area A..t.1 _ - - dpi, beff points plotted as


specified in step 6 (5 total)
Bilinear representation
of capacity spectrum

"'-- Capacity spectrum

d'

- Spectral Displacement, inches


Spectral Displacement, inches

Figure 8·51. capacity spectrum procedure 111" After Figure 8-52. capacity spectrum procedure S AFter
step 4 step 6

4, Develop a bilinear representation of the capac- 5. Calculate the effective damping for various
ity spectrum as illustrated in Figure 8-31. The displacements near the point a'", d*. The slope
initial slope of the bilinear curve is' equal to of the post-yield segment of the bilinear
the initial stiffness of the building ( as speci- representation of the capacity spectrum is
fied in Chapter 9). The post-yield segment of given by:
the bilinear representation should be run a* - a
post yield slope = (8-11)
y
through the capacity spectrum at a displace- d* - d y
ment equal to the spectral displacement of the For any point api, dpi, on the post-yield
5 percent damped spectrum at the- initial segment of the bilinear representation, the
pre-yield stiffness (equal displacement rule), slope is given by:
point a*, d*. The post-yield segment should •
post yield slope = Il.pi - .av- (8-12)
then be rotated about this point to balance the dpi - d y
areas Ai and AJ. as shown in Figure 8-31. Since the slope is constant, equations 8-11
Commentary: Step 3 is where the simplify- and 8-12 can be equated:
ing assumption is made in this procedure. It a *- ay api - ay
(8-13)
sets the slope of the post-yield segment of the =
d *- d, dpi - dy
bilinear representation of the capacity Solve equation 8-13 for api in terms of dpi.
spectrum to a constant value, and therefore Call 3,pi solved for in these terms api I •

allows f3ef! to be expressed directly in terms of -' _ (a * - a-)(dpi - dy )


d«. Requiring the post-yield segment to pass apr - + ay (8-14)
d* - d y
through the capacity spectrum at the point of
elastic displacement is intended to assure that This value can be substituted for api into
the post-yield segment is closely simulating the equation 8-8 to obtain an expression for ~eff
capacity spectrum in this region. If the that is in terms of only one unknown, dpi.
performance point does not occur in this f3eff = 63.7x:(a y d pi - dyap/) + 5 (8-15)
region, then the engineer may want to verify apl dpi
the results using procedure A or C.

Chapter 8, Nonlinear static Analysis procedures


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

Demand Curves for ~eff =5%, 10%, 15%, 20%, 25% and 30% capacity spectrum curve. This point defines the
Una connecting points plotted
as specified In step 6
intersection point ofthe capacity spectrum with the (
Performance point at intersection appropriately damped demand spectrum, and thus (
of capacity spectrum and line
plotted as specified in step 7 defines the demand displacement. The other dpi,
f3eff points plotted are merely a means of zeroing in
on the demand displacement. (
"-- Capacity spectrum
The steps listed above for procedure B could (
(
all be automated in a spreadsheet, or some other
type of computer program, except for steps 6 and 7
where the dpi, f3eff points are plotted. Those steps
r
(
ely cr
need to be done by hand. The procedure' could be (
extended to automate these steps as well, although (
Spectral Displacement, inches
the procedure becomes more complex. With this (

extension, it would not be necessary to plot the (


Figure 8-S3. capacity spectrum procedure B AFter multiple demand curves. The following steps would
step 7
apply:
1. Plot the 5% damped (elastic) spectrum and the
Solve equation 8-15 for J3eff for a series of
capadty spectrum on the same chart.
dpi values. When entering Table 8-1 to find the
2. Develop a bilinear representation of the
1( "factor, or entering Table 8-3, then substitute
capadty spectrum as illustrated in Figure 8-
the expression 63.7(a ydpi - dyapl) for 130, that 12.
, apl dpi
3. Choose values of dpi and solve for the
. 63.7(a ydpi - dyapi)
IS, . corresponding api' and f3eff values using
aud« equations 8-14 and 8-15 respectively.
6. For each dpi value considered in step 5, plot 4. Solve for Ts, the period where the 5 % damped
the resulting dp.i; J3eff point on the game chart as spectrum changes from the constant (
the family of demand spectra and the capacity (
acceleration range to the constant velocity
spectrum. Figure 8-32 shows five of these
range as Ts=Cv/2.5CA.5.
points. 5. For each value of dpi,solvefor the
, 7. As illustrated in Figure 8-33, connect the corresponding period as T=21C(dpi/ap;')l/2.
points created in step 9, to form a line. ,The 6. For each period, T, (or displacement dpi) solve
intersection of this. line with the capacity for the corresponding spectral acceleration on
spectrum defines the performance point. Tbis
the 5 % damped spectrum, S85%, as
procedure provides the same results as the
other procedures if the performance point is at
u
S85%=2.5CA tsr; or S85%= CV/T ifT>Ts•
7. For each spectral acceleration on the 5 %
point a*, d*. The results will differ slightly
from the other procedures if the performance damped spectrum, S85%, calculate the
point is not at point all', d". If the performance corresponding spectral displacement, Sd5%, as
Sd5% =S85% (I'/21Cl. (
point ·is found to be distant from point a", d",
then the engineer may want to verify the 8. For each T (OT displacement dpi), ijygs, then
results using procedure A or C. solve for the spectral reduction value, SR A ,
Commentary: Although procedure B plots using equation 8-9 with api' substituted for Ilpi,
multiple dpi, f3eff points, the only dpi, f3eff point has If T> Ts then solve for the spectral reduction
any real significance is the one that lies on the (
(

8-26 Chapter 8, Nonlinear Static Analysis procedures


SEiSMIC EVALUATBON AND RETROFIT OF COIl\tHtRETE BU!LDINGS

Demand Curves for ~aff =5%, 10%, 15%, 20%, 25% and 30% Demand Curves for ~eff =5%, 10%, 15%, 20%, 25% and 30%

'"-- Capacity spectrum

Spectra! Displacement, inches Spectral Displacement, inches

Figure 8-54. capacity spectra Procedure rc: After Figure 8-S5. capacity spectra procedure lie" After
step 2 stepS

value, SRv, using equation 8-10 with api' 3. Transform the capacity curve into a capacity
substituted for a«. spectrum as described in Section 8.2.2.1.1.
9. For each T (or displacement dpi), plot the point using equations 8-1, 8-2, 8-3 and 8-4, and plot
where Sa=SRXSa5% and Sd=SRxSd5% where it on the same chart as the family of demand
SRx=SRA if Tg'S1 and SRx=SRv ifT>Ts• spectra, as illustrated in Figure 8-35.
10. Draw a line connecting the Sa Sd points
7
4. Develop a bilinear representation of the
plotted in Step 9. The intersection of this line capacity spectrum as described in
with the capacity spectrum is the demand Section 8.2.2.1.1 and illustrated in Figure 8-9.
disp lacement. Select the initial point api, dpi at the furthest
8.2.2.1.4 Calculating Performance Point point out on the capacity spectrum or at the
Using Procedure C. This procedure has been intersection with the 5 percent damped
developed to provide a graphical solution using spectrum, whichever is less. A displacement
hand methods. It has been found to often be slightly larger than that calculated using the
reasonably close to the performance point on the equal displacement approximation (say
first try. The following steps are involved: 1.5 times larger) may also be a reasonable
1. Develop the 5 percent damped response estimate for the initial dpi. See Figure 8-36 for
spectrum appropriate for the site using the an illustration of this step.
procedures provided in Chapter 4. 5. Determine the ratios dpi/d, and [(api/a-) -
2. Draw the 5 percent damped response spectrum l]/[(dpi/dy) - 1]. Note that the second term is
and draw a family of reduced spectra on the the ratio of the post yield stiffness to the ini tial
same chart, as illustrated in Figure 8-34. It is stiffness.
convenient if the spectra plotted correspond to Commentary: Figure 8-37 provides some
effective damping values (~eff) ranging from 5 examples of the physical significance of the
ratios dpi/dy and [(aprlay) - l]/[(dpi/d.v) - 1]. The
percent to the maximum value allowed for the
building's structural behavior type. The figure shows example bilinear representations
of capacity spectra along with the
maximum ~eff for Type A construction is 40
corresponding ratios.
percent, Type B construction is 29 percent and
Type C construction is 20 percent.

Chapter 8, Nonlinear static Analysis procedures


.(J
(

SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS


c ('
(
:

(
Demand Curves for 13eft = 5%, 10%, 15%, 20%, 25% and 30% Table 8-5. EFFective Damping, fJeFF, in percent- (
structuralBehavior Type A ('
INate: Area A, '" Area ~ I
CD
(
C Bilinear representation (
.2 of Capacity spactnim
(
iii
a- 10 10 12 16 21 30 37 40
Q) BpI (
iiiCo)
Co) Sy 8 11 14 18 23 31 37 40 (
-::t
iii 6 13 16 20 25 33 37 40
a-
t,;
Q) 4 16 19 23 28 34 37 40 (
e- ('
m 3 16 19-. 23 27 33 36 39 (
2 16 19 22 25 29 31 33
dy c:fp1

1.5 13 16 - 18 20 23 24 24 (
Spectral Displacement, inches
1.25 11 12 13 15 16 17 18
(
Figure 8-56. capacity spectra procedure "e" AFter
step 4
Table 8-6. EFFective Damping, fJeFF, in percent-
structuralBehavior Type B
6. Based on the ratios obtained in step 5, enter
either Table 8-5, 8-6, or 8-7, depending on the
building's structural behavior type, (see (
Table 8-4 for definition of structural behavior 10 9 10 12 16 23 27 29 (

types) and find the effective damping value, 8 9 11 13 17 24 27 29


(
Q .-
perro 6 12 19
10 15 25 27 29
Commentary: The f3eff term can also be 4 11 14 17 21 25 27 29
calculated using the formula given in equation
3 12 14 17 21 25 27 29
8-8. However, for the. purposes of this
graphical procedure, it may be easier to 2 12 14 16 19 22 24 25
calculate f3eff using the above tables, which are 1.5 11 12 14 15 17 18 18
based on the slopes of the two legs of the 1.25 9 10 10 11 12 13 13
bilinear representation of the capacity
spectrum. The values given in Tables 8-5, 8-6
Table 8-7. EFFective Damping, fJen, in percent-
and 8-7 are derived from equation 8-8. The
structural Behavior Type C
equation and the tables give the same results.
7. Refer to Figure 8-38. Extend the initial
stiffness line, labeled Line 1 in the figure, up
to intersect the 5 percent damped curve. Also, 10 7 7 9 10- 14 17 20
draw a line, labeled Line 2 in the figure,. from
8 7 8 9 11 15 18 20
the origin to point api, dpi).
8. Refer to Figure 8-39. Draw a line, labeled 6 7 9 10 12 16 18 20
Line 3 in the figure, from the intersection point 4 8 9 11 13 16 18 20
of Line 1 and the 5 percent damped response 3 9 10 11 13 16 17 19
spectrum to" the intersection point of Line 2 and 2 9 10 11 12 14
(
15 16
the reduced spectrum which corresponds to the 1.5 8 9 9 10 11 11 11
(3eff determined in step 6. Note that the figure is 1.25 7 7 8 8 9 9
'9 I
drawn for a j3eff of approximately 24 percent. (

8-28 Chapter S, Nonlinear static Analysis procedures


I
(
SEISMIC EVALUATU:JN AND RETROFiT OF CONCRETE BUILDINGS

...5:!. =z.o
Demand Curves for 13eft =5%,10%,15%,20%,25% and 30%
~I ely

0:L
i!r
3!!. -1 Q)
_i!r
__ =0.3
~ c Bilinear representation
ely -, .s of Capacity spectrum
d, dpl -;
"- Bpi
CD
iii ~ Capacity spectrum
e
(JI 2y
0:=(
"iii
l-
t)
CD
~-1 0-
a.,
- d - - =0.5
en
...::e!. -1
1---+--1-_ dy

Spectral Displacement, inches


Figure 8-37. Example Slope Ratios.

Figure 8-40. capacity Spectrum procedure C AFter


Demand Curves for ~aff =5%,10%,15%,20%,25% and 30% step 9
Line #1

OJ
9. Refer to Figure 8-40. The point where Line 3
c:: Bilinear representation intersects the capacity spectrum is taken as the
0 of Capacity spectrum
~ estimated performance point ap2, dp2 point.
Qj a pl
Qi
0
'l<..- Capacity spectrum Commentary: In the case of a composite
By
0
c;t «sawtooth" capacity spectrum, constructed
e'0 from a family of capacity spectrum curves, the
IlJ
0.
bilinear representation should be based on the
en
individual capacity spectrum curve that makes
up the portion of the composite capacity
spectrum where Line 3 intersects with the
Spectral Displacement, inches
composite capacity spectrum (i.e., the point
Figure B-SB. capacity spectrum procedure C After api, dpi). .
step 7 10. If displacement dp2 is within ±5 percent of
displacement dpl, then the point ap2, d p2 is the
Demand Curves for ~aff =5%, 10%, 15%, 20%, 25% and 30% performance point (or in more general terms,
if displacement dp(i+ 1) is within ±5 percent of
en
displacement dpi, then the point ap(i+l), dp(i + l ) is
c:: Bilinear representation the performance point. If the displacements are
g of Capacity spectrum
not within the specified tolerance, then
E
IlJ ~I
Qi 'l<..- Capacity spectrum proceed to step 11.
0 By
0
~ Commentary: VVlzen the exact
e0 performance point is critical for the
IlJ
o, acceptability, then the ±5 percent tolerance
en
should be adhered to, and additional iterations
should be performed. If the exact performance
Spectral Displacement, inches
point is not critical for the acceptability, then
Figure 8-39. capacity spectrum procedure CAFter
additional iterations are probably
step s

Chapter 8, Nonlinear static Analysis Procedures


SEISMIC EVALUA-TION AND RETROFIT OF CONCRETE BUILDINGS

Demand Curves for l3eff = 5%, 10%, 15%, 20%, 25% and 30% Demand Curves for l3eff =5%, 10%, 15%, 20%, 25% and 30%
J4-:.=--- Period associated with point P1 on 1 Une #3 (see step 8 of Procedure C)
the capacity spectrum Tz approximates line 1-2-3-4-5.
Ta
Estimated performance point on first (
dpIJ Parr point associated with point T iteration of Procedure C (
P1 on the capacity spectrum 4

(
(
(

Spectral Displacement, inches Spectral Displacement, inches

Figure 8·41. "Exact" capacity spectrum Solution Figure 8-42. Approximation Used in capacity
spectrum procedure C
unnecessary. An example of when the exact
performance point is not critical for the representation of the capacity spectrum changes
acceptability is if the current estimate of the for each point chosen on the post yield portion of
performance point is well below the assumed the capacity spectrum. Then imagine plotting dp il
acceptable performance for the structure. f3ejf points associated with each point on the post-
11. Repeat the process starting at step 4, yield p()rtiJJlJ.oj the capacity spectrum. each of
incrementing iby 1. Thus"mthe second these points would have a different bilinear.
iteration, Line 2 is drawn from the origin to representation of the capacity spectrum. The result
point apZ, dp2. would be a "banana" shaped curve as shown in
Commentary: Procedure C is probably at first Figure 8-41.
glance the least transparent application of the The intersection of the "banana" shaped curve
three capacity spectrum procedures presented. It with the capacity spectrum is the "exact".
can best be understood as follows. Given a performancepoint (no approximations have been
capacity spectrum and a earthquake ground motion made) and the displacement at this point is the
represented by a 5 % damped spectrum, .for any demand displacement. Procedure C simplifies the
point on the capacity spectrum, aph dpi, the above described method by replacing the "banana"
corresponding f3eff can be calculated using shaped curve with a straight line drawn between
equation 8-8, and the associated point dph Peff can its two end points, as illustrated in Figure 8-42,
be plotted. If the points llph d¢ and dph Peff are the thus approximating the "exact" solution.
same, that is, if the point dph f3eff happens to fall Note that after a few iterations, the
on the capacity spectrum, then the solution has approximate Procedure C solution should converge
been found. Note that this is essentially Procedure to the "exact solution, " and that in some cases, the
B without the simplifying assumption that point ay , approximate solution may well be close enough to
the "exact" solution in one orat most two
4y and the post-yield slope must remain constant. iterations.
(

Suppose that unlike Procedure B, no (


simplifying assumptions are made and the bilinear (
(
(
(
(
(
8 ..30 Chapter 8, Nonlinear static Analysis Procedures
(

(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BIUILDIiNGS

.-

by bt
Roof Displacement

Figure 8-4:5. Bilinear nepresentettan of Capacity Curve for Displacement coefficient Method

described above, then the full source document


8.2.2.2 Calculating Demand should be used.
Displacement using the Before applying this method, the user is
Displacement Coefficient encouraged to review the current version of
Method FEMA 273 to determine if any of the criteria
The displacement coefficient method provides described below have been updated.
a direct numerical process for calculating the 1. Construct a bilinear representation of the
displacement demand. It does not require capacity curve as follows (refer to
converting the capacity curve to spectral Figure 8-43):
coordinates. The following step-by-step process is
.. Draw the post-elastic stiffness, Ks, by
excerpted from the FEMA 273 Guidelines (ATe
judgment to represent an average stiffness
1996a). There are some minor differences in
in the range in which the structure strength
terminology between this excerpt and the remainder
has leveled off.
of this document. For example, this excerpt refers
to the target displacement, which is the same as the + Draw the effective elastic stiffness, Ks, by
performance point in the rest of this document. It constructing a secant line passing through
also refers to a performance objective of collapse the point on the capacity curve
prevention, which is the same as structural stability corresponding to a base shear of o. 6V y,
in the rest of this document. where Vy is defined by the intersection of
The provisions included in this excerpt are the K, and K, lines.
limited in application to buildings that are regular Commentary: The above process requires
and do not have adverse torsional or rnultimode some trial and error effort because the value
effects. If the engineer uses this method for any for vy is not known until after the K» line is
structure that does not meet the limitations drawn. Thus a trial K; line should be drawn, a

Chapter 8, Nonlinear static Analysis procedures


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINCS

::

(
Table 8-8. Values For ModiFication Factor Co Table S-9. Values for Modification Factor C2
(

(
1 1.0
2 1.2
3 1.3 (
Immediate 1.0 1.0 1.0 1.0 (
5 1.4 . occupancy
10+ 1.5 life safety 1.3 1.0 1.1 1.0
1. Linear interpolation should be used to calculate
intermediate values. . collapse 1.5 1.0 1.2 1.0
prevention
vy value defined, and then the point where the 1. Structures in which more than 30 percent of the shear at
Ksline crosses the capacity curve should be any level is resisted by components or elements whose
strength and stiffness may deteriorate during the design (
checked to see if it is equal to O.6Vj... If the earthquake. Such elements include: ordinary
crossing point is not equal to O.6vY. then a new moment-resisting frames, concentrically-braced frames,
Ks should be drawn and the process should be frames with partially restrained connections, tension-Only
repeated. braced frames, unreinforced masonry walls, shear-critical
walls and piers, or any combination of the above.
Note that the bilinear curve constructed for
the displacement coefficient method will 2. All frames not assigned to Framing Type 1. (
generally be different from one constructedfor
the capacity spectrum method. displacement; estimates for ·Co can be
calculated using either:
2. Calculate the effective fundamental period (Te)
as: .. The first modal participation factor
at the roof level.

~x.
.
Te=TI _l (8-16) .. The modal participation factor at
where: the roof level calculated using a (
Tr = elastic fundamental period (in seconds) shape vector corresponding to the
in the direction under consideration deflected shape of the building at
calculated by elastic dynamic analysis. the target displacement.
("
Ki = elastic lateral stiffness of the building .. The appropriate value from
in the direction under consideration Table 8-8.
(refer to Figure 8-43). CI - modification factor to relate expected
Ke = effective lateral stiffness of the maximum. inelastic displacements to
building in the direction under displacements calculated for linear
consideration (refer to Figure 8-43). elastic response.
3. Calculate the target displacement, (Ot) as: - 1.0 for Te ;?: To
Te 2 .
- [1.0 + (R - 1) TolTe]/R for Te < To
8t = COClC2C3Sa--2 (8-17) CI need not exceed 2.0 for T, < 0.1
4n-
where: second
Te effective fundamental period as To - a characteristic period of the response (
calculated in step 2 above. spectrum, defined as the period (

Co modification factor to relate spectral associated with the transition from the (
displacement and likely building roof constant acceleration segment of the

B-32 Chapter S, Nonlinear static Analysis procedures

(
(
SEISMIC EVALUATiON AND RETROFIT 0;: CONCRETE BUILDINGS

spectrum to the constant velocity W = Total dead load and anticipated live
segment of the spectrum. See the load as indicated below.
FEMA Guidelines (ATC 1996a) .. In storage and warehouse
Commentary for information on occupancies, a minimum of 25
calculating To for a site specific percent of the floor live load.
spectrum.
.. The actual partition weight or
R = ratio of inelastic strength demand to
minimum weight of 10 psf of floor
calculated yield strength coefficient
area, whichever is greater.
calculated as follows:
Sal .. The applicable snow load - .see
R=-/-gg- ~ (8-18) the NEHRP Recommended .
V~·Co Provisions (ESSC 1995).
C2 = modification factor to represent the + The total weight of permanent
effect of hysteresis shape on the equipment and furnishings.
maximum displacement response.
Values of C2 for different framing 8.2.3 step By step procedures
systems and performance levels are Checking Performance at the
listed in Table 8-9. Linear . Expected Maximum
interpolation shall be used to estimate Displacement
values of Cs for intermediate values of The following steps should be followed in the
Te. performance check:
C3 = modification factor to represent 1. For global building response verify the
increased displacements due to following:
second-order effects. For buildings + The lateral force resistance has not
with positive post-yield stiffness: C3 degraded by more than 20 percent of the
shall be set equal to 1.0. For buildings peak resistance
with negative post-yield stiffness, C3 • The lateral drifts satisfy the limits given in
shall be calculated as Table 11-2
I I(R - 1)3/2
C3 = 1 + a
.
(8-19) 2. Identify and classify the different elements in
t: the building. Any of the following element
Where R and T, are defined above and a is types may be present: beam-column frames,
the ratio of post-yield stiffness to elastic slab-column frames, solid walls, coupled
stiffness when the nonlinear walls, perforated walls, punched walls, floor
force-displacement relation is characterized by diaphragms and foundations.
a bilinear relation. 3. Identify all primary and secondary
. Sa = response spectrum acceleration as components, as defined in Chapter 9. This
determined from Section 4.4.3.3, at classification is needed for the deformation
the effective fundamental period of the check in step 5.
building. 4. For each element, use the guidelines in the
Vy = Yield strength calculated using the appropriate subsection of Section 11.4 to
capacity curve, where the capacity identify the critical components and actions to
curve is characterized by a bilinear be checked. Note that there is a separate
relation. See Figure 8-43. subsection in Section 11.4 for each of the
element types listed in step 2 above.

Chapter 8, Nonlinear static Analysis Procedures


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

(
5. The strength and deformation demands at the displacement at each floor level using linear static
structure's performance point shall be equal to analysis or linear dynamic analysis of a three
or less than the capacities given in Chapter 11 dimensional model, and to then increase· the
considering all co-existing forces acting with displacement at the center of mass of the roof, at
the demand spectrum. each point on the capacity curve, by the maximum
Commentary: As indicated in Chapter 9, of these ratios. (

no-load factors are applied to gravity loads. Multimode Considerations: For structures (
6. The ·performance of structural elements not with long fundamental periods , higher mode effects
carrying vertical load shall be reviewed for may be more critical on some components of the
acceptability for the specified performance structure than the effects of the fundamental mode.
level. Pushover analyses may be done for additional mode
7. .Nonstructural elements shall be checked for shapes. For example, force distributions are applied
acceptability for the specified performance to deform the building into the second and the third
level. translational mode shapes. Yield patterns will be
substantially different than those obtained for the
8.2.4 other Considerations first mode' shape. The V versus Llroof values for the (
Primary and Secondary Elements: To apply higher modes are converted to Sa versus Sa curves
the nonlinear static procedures presented, it is using the higher mode participation factors and
important to understand the distinction between effective modal weights. These curves are plotted
primary and secondary members. The engineer on the ADRS format and the demands on each of
should carefully read and understand Sections the modes can be determined. Each component of
9.3.1 and 11.4.2.1 prior to developing the capacity the structure is then evaluated for the different
curve. modes.
Torsional Considerations: For buildings that Commentary: Commentary in Section 8.2.1
are non-symmetric about a vertical plane parallel indicates that pushover analyses using the
to the design lateral forces, the effects of torsion fundamental mode shape are generally valid for
should be included in the development of the fundamental periods of vibration up to about one (
pushover curve. If a three dimensional model is second. Thus the engineer may want to consider
used to capture the torsional effects, then the static using the above described process for structures
lateral forces should be applied at the center of with fundamental modes exceeding one second.
mass of each floor, and the displacements plotted
on the capacity curve should be at the center of 8.3 Illustrative Example
mass of the roof.
The example building is a seven-story 66-foot
Two dimensional modeling and analysis may
tall reinforced concrete frame structure in seismic
be used if the torsional effects are sufficiently
zone 4. The weight, W, is 10,540 kips. Only one
small such that the maximum displacement at any
direction of loading is considered.
point on the floor is less than 120 percent of the
The example includes a brief discussion of
displacement at the corresponding center of mass.
nonlinear static (pushover) analysis results,
If the maximum displacement exceeds 120 percent
followed by demand checks using the various
of the displacement. at the center of mass, then'
proceduresdescribed in Section 8.2.2. The
three dimensional analysis is required. For two
demand checks use the Design Earthquake (
dimensional analysis, an acceptable approach to
describ~d in Chapter ~
considering the effects of torsion when developing
the capacity curve is to identify the ratio of (
maximum displacements to the center of mass (
(
Chapter S. Nonlinear Static Analysis proceC:lures

(
,~ SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

Table 8-10. Modal properties For 7-story Building convert the capacity curve to the capacity spectrum
is the modal participation factor and the modal
mass coefficient for the first natural mode.
period, T 0.880 0.288 0.164 0.106 0.073
(seconds) " Structural dynamic properties are given in
Table 8-10. These values. were obtained from a
Period ratio, 1.00 3.05 5.37 8.30 12.05
T/Tm computer aided analysis of the example structure
participation -0.47 0.24 -0.11
modeled in accordance with Chapter 9.
1.31 0.05
Factor, Table 8-10 shows the periods, participation
PFRm, at Roof factors, effective mass coefficients and mode .
Effective mass 0.828 0.120 0.038 0.010 0.000 shapes for the first five modes of vibration parallel
coefficient, am to 'the transverse axis of the building. The mode
shapes have been normalized so that roof values
Mode Shape Roof 1.000- 1.000 1.000 1.000 1.000
equaY1.0. The period ratios (T/Tm), the first mode
at 7 0.938 0.550 -0.059 -0.852 -1.749
period divided by the higher mode period, indicate
story Levels 6 0.839 -0.056 -0.942 -1.080 0.194 common mode shape characteristics. Ratios of
c
(normalized) 5 0.703 -0.631 -0.921 0.526 1.674 1,3,5 to 1,4,6 for the first three modes are typical
lj>im 4 0.535 -0.961 -0.034 1.259 -1.068 for regular buildings (i.e., no significant vertical
3 0.351 ·0.933 0.883 -0.088 -1.139 irregularities).
Table 8-11 is an extension of Table 8-10, showing
2 0.188 -0.625 0.990 -1.150 1.310
the results of a modal analysis for a response
1 0 0 0 0 0
spectrum with Sa=0.276g for the first mode period
of 0.88 sec and Sa=0.500g at the plateau of the
response spectrum (i.e., constant acceleration
region) for the second and third mode periods
(i.e., Cv=0.24 and CA=0.20). The mode shapes
8.3.1 Building structural Dynamic ($) are obtained directly from the computer
Characteristics printout. The values of <t> have been normalized
This section provides the modal properties for such that the sum of story mass (wIg) times $2 is
the example building and demonstrates a modal equal to 1.0 (i.e., Lm<ll=l.O). In the computer
analysis of the building. The modal analysis printout, the participation factor of the first mode
provides more information than is actually (PFI) is equal to 16.46. When this value is
required to perform the pushover analysis, obtain multiplied by <proof (i.e., 0.0794), the roof first
the capacity curve, and convert it to the capacity mode participation factor is 1.31. The table shows
spectrum. The complete modal analysis is included the story accelerations, a, for each mode by use of
here to provide background and to provide a Equation 8-22. Note that the roof acceleration
clearer picture of the relationship between modal multiplied by the $-factors in Table 8-10 (<1>= 1.0
analysis and the pushover analysis. The equations at roof) gives the same values for story
used in the modal analysis are given in accelerations given in Table 8-11. The modal story
Section 8.5.2. The modal properties actually accelerations combined by' the square root of the -
needed to create the capacity curve (with a sum of the squares (SRSS) are shown on the last
pushover analysis) are the masses at each level and column of Table 8-11.
the first mode shape. The information needed to

Chapter 8, Noniinear static Analysis procedures


·~~.

(
(
SEISMIC EVALUATU,;M AND RETROFIT OF CONCRETE BUILDINGS (
(
::

(
(
(
Table 8-11. Modal analysis of 7-story building For story accelerations. (
(
(
\

(
43.78 .0794 3.48 .36~ 0.0747 3.27 0.244 -0.235 0.0684 2.99 0.205 0.120 .448 (
7 45.34 .0745 3.38 .340 0.0411 1.86 0.076 -0.129 -0.0040 -0.18 0.001 -0.007 .364 t-
6 45.34 .0666 3.02 .304 -0.0042 -0.19 0.001 0.013 -0.0644 -2.92 0.188 -0.113 .325 (
(
5 45.34 .0558 2.53 .254 -0.0471 -2.14 0.101 0.148 -0.0630 -2.86 0.180 -0.111 .314
4 45.34 .0425 1.93 .194 -0.0718 -3.26 0.234 0.226 -0.0023 -0.10 0.000 -0.004 .298
3 45.34 .0279 1.27 .127 -0.0697 -3.16 0.220 0.219 0.0604 2.74 0.166 0.106 .275
2 56.83 .0149 0.85 .068 -0.0467 -2.65 0.124 0.147 0.0677 3.85 0.261 0.119 .201
1 o 0 o 0 o 0 o 0 o 0 o 0
:E -6.27 1.000 3.52 1.001 (~ .

PFRF eq 8-20a 16.46 X q.07~4/1.00o = 1.31 -6.27 X0.0747/1.000 = -0.47 3.52 X0.0684/1.000 = 0.24 (

oem eq 8-21 .16.46 2/£327.31 X 1.000> 6.27 2/£327.31 X 1.000> = 0.120 3.522/£327.31 X 1.000> = 0.038 (
. = 0.82~
CIi',I-... aRF eq/8-22 1.31 X 0.276 = 0.3629 -0.47 X 0.500 = 0.2359 0.24 X 0.500' = 0.120g .448g
Vm e~ 8-24 0.828 X 0.276)( 10.539 0.12 X 0.500 X 10.539 0.038 X 0.500 X 10.539 =200 kips 2498
= 2408 kips =632 kips kips
VmlW 0.229 0.060 0.019 0.237

W = 10,540 kips
(

Table 8-12 shows the process for calculating are the same as in Table 8-12. The last column
story forces, shears, overturning moments, and shows the interstory drift ratios (i. e., interstory
displacements. Interstory displacements for the displacement divided-by height of the story).
first mode are obtained by taking differences Graphical representations of Table 8-13 are in
between story displacements. The process for Figure 8-44.
determining story forces is similar to that used in
the building code procedure when distributing the 8.3.2 capacity curve
base shear as story forces, except that wcf>/Lwep is Figure 8-45 shows the capacity curve resulting
used instead of wh/Ewh, The story displacements from a pushover analysis of the example building.
can be calculated directly in the table (using Forces were applied in proportion to the first mode
equation 8-26, in Section 8.5.2) because the shape. The initial set of forces are shown in
stiffness characteristics had been incorporated into column 7 of Table 8-12 for a base shear of 2408
the computer analysis and is represented by the kips. The analysis showed that some beams may
period T. require significant post-yield deformation capacity,
Table 8-13 summarizes the results for the first because elastic moments exceeded beam strengths. (
three modes of vibration. The first mode values (

8-36 Chapter Sf Nonlinear Static Analysis procedures

(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

Table 8-12. First Mode Forces for r-storv Building

65.7
8.7 508 4,420 .014
7 .0745 57.0 1460 .205 495 4,420 .338 .214
8.7 1,002 8,717 .022
6 .0666 48.3 1460 .184 443 13,137 .303 .192
8.7 1,445 12,572 .031
5 .0558 39.6 1460 .154 371 25,709 .254 .161
8,7 1,816 15,799 .039
4 .0425 30.9 1460 .117 282 41,508 .193 .122
8.7 2,098 18,253 .042
3 .0279 22.2 . 1460 .077 185 59,761 .127 .080
8.7 2,283 19,862 .037
2 .0149 13.5 1830 .052 125 79,623 .068 .043
13.5 2,408 32,508 .043
Ground 0 0 0 0 0 112,131 0 0
L 10,540 1.000 24081( 112,131

Table 8-15. summary of Forces for 7-story Building

Level wtrkipsJ 2 5 SRSS 1 2 5 SRSS 1 2 5 SRSS


Roof 1410 -330 170 629 508 -330 170 629 0 0 0 0
7 1460 -188 -10 529 1,002 -518 160 1,139 4,420 -2,871 1,479 5,474
6 1460 19 -166 473 1.,445 -499 -6 1,529 13,137 -7,378 2,871 15,338
5 1460 216 -163 459 1,816 -283 -169 1,846 25,709 -11,719 2,819 28,394
4 1460 329 ·6 433 2,098 46 -175 2,106 41,508 -14,181 .1,349 43,884
3 1460 319 156 400 2,283 365 -19 2,312 59,761 -13;781 -174 61,330
2 1830 267 219 367 2,408 632 200 2,498 79,623 -10,605 -339 80,327
Ground 0 0 0 112,131 -2,073 2,361 112,175

story 1 2 5 SRSS 1 :5 SRSS 1 2 's SRSS LJo/LJh


Roof 0.360 -0.234 0.121 0.446 0.228 0.003 0.229 0.014 0.007 0.003 0.016 0.0018
7 0.338 -0.129 -0.007 0.362 0.214 0.000 0.214 0.022 0.010 0.003 0.024 0.0028
6 0.303 0.013 -0.114 0.324 0.192 -0.003 0.192 0.031 0.009 0.000 0.032 0.0037
5 0.254 0.148 -0.112 0.315 0.161 -0.003 0.161 0.039 0.005 0.003 0.039 0.0045
4 0.193 0.225 -0.004 0.297 0.122 0.000 0.123 0.042 0.000 0.002 0.042 0.0048
3 0.127 0.219 0.107 0.275 0.080 0.002 0.081 0.037 0.005 0.001 0.037 0.0043
2 0.068 0.146 0.120 0.201 0.043 0.003 0.044 0.043 0.010 0.003 0.044 0.0033
Grouna 0 a '0 0 0 0 0

Chapter 8, Nonlinear Static Analysis Procedures


(
SEISMIC EVALUATION AND RETROFIT OF COINCJlETE, BUILDINGS \
(
:

(
1ST MODE 2ND MODE
T1=O.880 sec T.,=:O.288 sec SRSS (
Sal=0.276 g S;;;;:O.50 g (~

Roof 2.74r-------J1' .19 2.75r-------JII (


7 2.57 .11 2.57
6 2.30 -.01 230
5 1.93 -.12 1.93
4 1.46 -.18 1.48 (
3 .96 -.18 .97 (
(
2 .52 -.12 .53
Ground. (
(a) MODAL LATERAL DISPLACEMENTS (inches)
(
wICk) (::
I
Roof 1410 .360r--------fI .446r-----~
7
6
1460
1460
.338
.303
362
.324
(
5 1460 .254 .315
4 1460 .193 .297
3 1460 .127 .275
2Ground 1830 .068 l':'- ~ _ae_ .201
~~

(b) MODAL STORY ACCELERATIONS (g's)


( , (
I

2!L.
Roof 65.7' 629r-------:;011
7 57.0' 529
6 48.3' 473
5 39.6' 459
4 30.9' 433
3 22.2' 400
2 13.5' 367
Ground
(c) MODAL STORY FORCES (kips)

&.
Roof 8.7' 508. 629
7 8.7' 1002 1139
6 8.7' 1445 1529
5 8.7' 1816 1846
4 8.7' 2098 2106
3 8.7' 2283 2312
2 13.5' 2408~ __f__ _I___f_=:..._ ~~ _=:.;;~'__
2498 .....l
Ground
(d) MODAL STORY SHEARS (kips)

(
~
Roof
7 mo 1~ 5~ ,
6
5
o
13137
25709
28710
2819
15338
28394
4 41508 1349 43884
3 59761 -174 61330
2 79623 -339 80327
Ground 1121311----....;;::,-- -2073 2371 e-+-----1l2175
(e) MODAL STORY OVERTURNlNG MOMENTS{kip-ft)

Roof 0.16 0.03


7 0.25 0.031-_ _-'
6 0.36 0.001-_ _-,
5 0.45 0.03
4 0.48 0.02
3 0.43 0.01
2
Ground
0.321.-_ _--< -=~_'*_-----=~
0.02 _ __&_ ~=~ __ ~

(f) lNTERSTORYDRlFTRATIOS (in %)

Figure 8-44. story Forces and Displacements For seven-story Example

8·38 Chapter S, Nonlinear static Analysis Procedures

(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDUi\tGS

4000 relative to others, the interstory displacements will


exceed 2 inches at some stories. Point D, which
Pair t D:13OOO 10.9}
_ 3000 corresponds to 2 % drift, the deformation limit
In - "'"
Co ~Pa nt C: (280 0,5.10) given in Table 11-2 for the Life Safety
~
g ::loint B: (2 500,3.60)
Performance Level, appears to be a good stopping
a-
m 2000
.c /
A: (2200, .51)
point for the pushover analysis and the capacity
en curve.
Q)
In
~ 1000
/ The capacity curve shown in Figure 8-45 can

o V
o 2 4 6 B 10 12
now be converted to a capacity spectrum curve for
use in the ADRS format. The procedure is
summarized in Table 8-14. Note that this
conversion is only required when demand is
Roof Displacement (inches)
determined by the Capacity Spectrum. Method (see
Sections 8.2.2 and 8.3.3).
Figure 8-45. capacity curve The coordinates of points A, B, C, and D of
Figure 8-45 are shown in Table 8-14 under
The forces were scaled to a base shear of 2200
columns V and OR. The weight W of the building
kips to establish the first point of yielding (point
is 10,540 kips. (refer to Table 8-11). The base
A). The roof displacement of 2.74 inches (0.228 ft
shear coefficients V /W are calculated by dividing
X 12, Table 8-12) at 2408 kips was scaled to 2.51
V by 10,540. For the elastic mathematical model
inches at 2200 kips.
of the building (Point A), the roof participation
The mathematical model was modified to
factor, PFRI, is 1.31 (PFRI = PFl<j>roof.l) and the
account for plastic hinging at a number of beams.
The new model, represented by segment AB on effective mass coefficient, UI, is 0.828
Figure 8-20, took an additional 400 kips with an (Table 8-10, mode 1).
incremental displacement of 1.09 inches. Thus, Thus, Sa at Point A is d.254g (Sa = (V/W)/f!,1 =
point B was established at 2600 kips (2200 + 400) 0.209/0.828 per equation 8-3) and Sa is 1.92
and 3.60 inches (2.51 + 1.09). The model was inches (Sd=OR/PFRl= 2.51/1.31 per equation 8-4).
again modified and point C was established by an Note that the values for PFRI and (X,l vary for
incremental force of 200 kips and 1.50 inches. A points B, C, and D. These variations are due to
third modification to the model was made to push changes in mode shapes caused by inelastic.
the building from point C to point D. An deformation of the structural system. These
increment of 200 kips produced an increment of variations are less than 10 percent in tins example
5.7 inches. Interstory displacements are and could be ignored (i.e., use the point A values
determined by superposition of the lateral story for points B, C, and D). However, in the case of a
displacements of the sequential models. borderline validation of performance, this
At this point some interstory displacements variation could be a deciding factor.
were exceeding 2 inches in the 8' -8" story heights, Continuing with the procedure, the values of
giving interstory drift ratios exceeding 0.02. From Sa and Sa are calculated for each point on the
Table 8-12 it can be seen that maximum interstory curve. The period T for point A is given in
drifts are at 0.5 inches (i.e., 12 x .04 ft) for a roof Table 8-10. The periods for points B, C, and D
displacement of 2.74 inches (0.228 ft). At 10.9 are calculated from Sa and Sa using Equation 8-29
inches (point D) these interstory drifts would in Section 8.5.2. The capacity spectrum curve is
increase to 2 inches (i.e., 0.5 times 10.9/2.74 plotted in ADRS format in Figure 8-46. Periods
= 2.0). Because some stories have softened

Chapter 8, Nonlinear static Analysis Procedures


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS. (
.~ (

(
1.2

-----
bD
I:tt
r::n
1

,"·0.8
d'
0
.~

so
u
0.6

-e 0.4
ta ("
J::l
o
0
I:J.c
0.2
r::n
(
2 4 6 8 10 12 (
Spectral Displacement, Sd (inches) (
s: ..

Figure 8-46. capacity spectrum curve

(
(

Table 8-14. Conversion of V and OR to Sa and Sd

A 2200 2.51 0.209 1.31 0.828 0.254 1.9.2 0.88


B 2600 3.60 0.247 1.28 0.800 0.309 2.81 0.96
C 2800 5.10 0.266 1.35 0.770 0.346 3.78 1.06
(
D 3000 10.90 0.285 1.39 0.750 0.380 7.84 1.45

*Note: PF's and a.'s change because the mode shape is changing as yielding occurs.

I
(
/
(
l
(
l
(

8 ..40 Chapter S. Nonlinear static Analysis procedures


(
(
,(
(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUU.DINGS

T= 1.0

1.2

c: §
T= 1.5
~ 0.8 c
0 0.8 T= 1.5
~
Q)
0.6
~
Q)
o
iii 0.6
o T=2.0 iii
0
c:t 0.4 0 T=2.0
c:t OA
~.
o 0.2 "§
Q) Q 0.2
0- Q)
en D~=e::4-+--+--1--l--+--+--+--+--+--+-+--+-; 0-
en
o 1 2 3 4 5 6 7 B 9 10 11 12 13 14 15
1 2 3 4 5 G 7 8 9 10 11' ~2 13 14 15
Spectral Displacement (inches)
Spectral Displacement {inches)
Figure 8-47. Example Building Elastic Response
spectra Figure 8-48. Example Building capacity spectrum
overlayed on Elastic eesponse spectra
can be estimated by interpolation between the
radial period lines. This is a useful verification of
the values of T in Table 8-14 (i.e., point C is T= 1.0
between lines 1.0 and 1.5. Table 8-14 gives
T= 1.06 at point C).
§
c
8.3.3 Demand Check: ..2 0.8 T= 1.5
iii
CD
0.6
8.:5.:5. 1 Elastic (5 percent Damped) Q)
o
o T=2.D
Response spectra 0:( 0.4
tG
....
This example assumes a demand represented o 0.2
by the Design Earthquake described in Chapter 4. (D
0-
m 0 I
In seismic zone 4, with no near-fault effects, ZEN
is equal to 0.40. Two sites are considered to
o 1 2 l4 4 l' G 7 8 9 10 11 12 13 14 15
Spectral Displacement (inches)
illustrate effects of different soil profile types on
Figure 8-49. Equal Displacement Approximation for
expected performance: Example Building

Type SB: CA=OAO, Cv=O.40 intersection had been to the left of point A, the
Type SD: CA=0.44, Cv=O.64 elastic limit, it would have indicated elastic
behavior without the need for inelastic reduction
Figure 8-47 shows the 5 percent damped factors SRA or SRv.) The performance
elastic response spectra for both soil types. pointedetermined below) will be between point A
Figure 8-48 shows the elastic spectra together with and the intersection shown, perhaps around Sa = 3
the capacity spectrum from Figure 8-46. to 4 inches. For soil type SD, inelastic reduction
B_:5~:5.2 preliminary Estimate of Demand will be needed to achieve a performance point to
Displacement the left of point D, the limiting roof displacement
discussed above. It may tum out that the required
Figure 8-48 allows a preliminary demand
amount of inelasticity and effective damping will
check. The elastic spectrum for soil type SB crosses
exceed limits discussed in Section 8.2.2.1.1. If so,
the capacity spectrum near point C, indicating that
reliable performance in the Design Earthquake can
some inelasticity will be demanded. (If the not be expected.

Chapter 8, Nonlinear static Analysis procedures


(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS (
(
:

Elastic spectra for


soil types Sa and So

1.2

-
S
c
1

~ 0.8
e
CD
iii 0.6
u a
U T=2.0
« OA
e'0 ~
a,
0.2
CD
m
a- (
O~T-+-+-+-+-+-+-+-I--il---ll-l-+-+--I
o 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 1 ~ 3 4 5 6 7 8 9 10 11 12 13 14 15
Spectral Displacement (inches) Spectral Displacement (inches) (
(

Figure 8-50. spectrum With Cv = 0.22 Figure 8-5'1. Initial ap'fl dp'f Point (Soil Type BJ

Simple quantitative estimates of performance


Capacity spectrum
can be derived graphically from Figure 8-48 based 0.5 ....----.---r-----.---..........---,---4----.
on the equal displacement approximation. As
shown in Figure 8-49, project the elastic portion of :§ 0.4
the capacity spectrum beyond point A until it c:
o (
intersects the elastic spectra. If the intersection is ~
"-
0.3 ;----1I----+-T-~~_+-+---+----l
CD Point apl, dpi
in the constant velocity region (i.e, not in the 'ii
g
o 0.2 ~--'----j;"-"';:--+---'r---i--- (.,39' .3.4iiche S)
plateau), the displacement at the intersection can «
be taken as an estimate of the performance point e
1)
Bilinear representation
0.1 + - - - r - I - - - + - - of capacity spectrum
displacement. As shown in the figure, an initial CD ( -
D-
estimate of the spectral displacement is 3.4 and 5.5 en O-t<-----j;..---+---+---+----I----t
inches for soil types SB and SD, respectively. o 1 2 345 6
Figure 8-50 also shows part of an elastic Spectral Displacement (inches)
response spectrum that intersects the capacity Figure 8-52. Bilinear Representation of capacity
spectrum just at its elastic limit (point A). Tbis -spectrum (Soil Type BJ
hypothetical spectrum can be derived by trial and
error; the one in Figure 8-50 happens to have a Cv type SB first, and then repeats the demonstration
equal to 0.22. This value can be used to estimate for soil type SD.
the maximum earthquake in wbich the structure is With reference to the step-by-step procedure
expected to remain elastic. With reference to given there, steps 1 and 2 are already complete per
Table 4.8, Cv = 0.22 corresponds to a ZEN value sections 8.3.3.1 and 8.3.2 respectively. The next
of 0.22 on soil type SB and a ZEN value of about steps are to pick an initial api, dpi point, designated
0.1 on type SD. apt, dpl, and to construct a bilinear representation
of the capacity spectrum using that point, as
8.0..3.3 performance Point Calculation
illustrated in Figure 8-51 and blown up in Figure
. by capacity spectrum Method-
8-52. The initial apl, d pl point (O.33g, 3.4 inches)
procedure A (
is chosen with dp1 equal to the displacement
Procedure A is described in Section 8.2.2.1.2.
obtained using the equal displacement
This section demonstrates the procedure for soil
approximation, 3.4 inches for soil type SB. The
areas Al and A z (defined in Figure 8-9) are
(

(
8 ..42 Chapter S. Nonlinear Static Analysis Procedures

(
SEISMIC EVALUATiON AND RETROFIT OF CONCRETE BUILDiNGS

Elastic spectrum for


balanced by eye. The point ay , dy is read as
T =0.5 soil type Sa
(O.27g, 2.1 inches). Demand spectrum T= 1.0
1.2
Thus with: SRA=O.BD
~~~~~~SRv=O~
apl = O.33g :§
dpl = 3.4 inches c:
0
:;::; 0.8 T= 1.5
as
a y = 0.27g Q;
Gi 0.6
d y = 2.1 inches o
() T=2.0
~ 0.4
calculate i!p1
~ C\-
po = 63.7(a ydp; - dyapi) = oQ)
0.2
a-
apidpi m
tl
63.7(.27*3.4 - 2.1*.33) 2 Y 3 p14 5 6 7 8 9 10 11 12 13 14 15
--~----_--:...= 12.8 Spectral Displacement (inches).
.33 * 3.4
and use this value to enter Table 8-1. This Figure 8-5~. Reduced spectrum Associated With
point apt, dm (Soil Type BJ
exarnpIe frame building is assumed to be an
Average Existing Building, as described in
Note that values of SRA and SRv similar to
Table 8-4. It is assumed to be in seismic zone 4
these could be interpolated from Table 8-3.
wi th the seismic source that governs ground
Calculate values needed to plot the demand
shaking at the site having a moment magnitude,
M, of 7. As discussed in Section 4.5.2, such a spectrum associated with point apI, dpl:
building should be checked assuming long duration Sa = 2.5SRACA = 2.5*0.80*0.40 = 0.80g
shaking. Thus, by Table 8-4, the example
structural behavior is type C, and by Table 8-1, Ts = SRvCv/(2.5SRACA)
the K factor is taken as 0.33 independent of = 0.85*0.40/(2.5*0.80*0.40)
effective damping. = 0.425 seconds
Commentary: Determination of behavior
types and «factors should be based on the Se at Ts = Sa(T/2n)2
expected behavior ofprimary elements; potential = 0.80*386.4*(O.425/2nf
degrading of elements that can be 'categorized as = 1.41 inches
secondary need not
be considered. Plot the demand spectrum associated with
Calculate the effective damping, ~eff, using point apl, dpI as shown in Figure 8-53. Referring
equation 8-8. to Figure 8-53, the demand spectrum intersects the
'/3 63.7* .33(.27 * 3.4 - 2.1*.33) capacity spectrum within ±5 % of the trial point,
eff = + 5 = 9.2 % apI, dpl, and thus that point is the performance
.33 * 3.4
point. No iteration is required in this case.
Calculate the spectral reduction factor in the Therefore, the demand displacement calculated
for soil type B using Procedure A is 3.4 inches.
constant acceleration range, SRA, using
As shownin Figure 8-54, for soil type D, the
equation 8-9.
D . 3.21- 0.68ln(9.2) initial apI, dpl point (0.37g, 5.5 inches) is chosen
S.L\.A = = 0.80 with dp1 equal to the displacement obtained using
2.12
Calculate the spectral reduction factor in the the equal displacement approximation, 5.5 inches'
constant velocity range, SRv, using equation 8-10. for soil type Sn. The areas Al ~d A2 (defined in
2.31- 0.41ln(9.2) Figure 8-9) are again balanced by eye. The point
SR v = = 0.85 ay, d, is read as (0.31g, 2.3 inches).
1.65

Chapter 8, Nonlinear static Analysis Procedures


(
SEISMIC EVALUATION· AND RETROFIT. OF ·CONCRETE BUILDINGS (
(

Elastic spectra for


soil type So
Demand spectrum
1.2 .,..--r-..,.--,H-:r-, SR A =0.67
SR v=0.75
(
. (
sc (
0 0.8
:;::=
s
CIl
Gi 0.6
Co)
Co)
<t 0.4
eU <!p,
8y
0.2
CIl
Q.
C/)

2 dY34 5 P"S 7 8 9 10 11 12 13 14 15 1 2 dya 4 5 P"S 7 8 9 10 11 12 13 14 15


Spectral Displacement (inches) Spectral Displacement (inches)
Figure 8-54.. Initial ap1, dp1 point (Soil Type DJ Figure 8-55. Reduced spectrum Associated With
Point ap1, dp1 (Soil Type OJ
The effective damping, f3eff, and the spectral
reduction factors, SRA and SRv, are calculated as: Figure 8-22, for this displacement to be
acceptable, O.95dpI. ::;; ~I ::;; 1.05 dpl, and since dpi
apl = 0.37g
= 5.5 inches, 5.23 ::;; 6.25 ::;; 5.78. Obviously, the
dpl = 5.5 inches
6.25 inch displacement is not acceptable because it
ay = 0.3Ig
is greater than 5.78 inches. Thus a second iteration
dy = 2.3 inches is required.
_ 63.7* .33(.3i* SS= 2.3*.37). . at A point 3p2, dp2 must be selected for the second
}jeff = ' , + 5 = 13.870
.37 * 55 iteration. One choice for that point could be the
intersection point for the previous iteration, the
3.21- O.68ln(13.8) point on the capacity spectrum with a spectral
SRA = = 0.67 displacement of 6.25 inches. Choosing the
2.12
intersection point from the previous iteration as the
new api, dpi point would eventually lead to an
SRv = 2.31- 0.41ln(13.8) = 0.75 acceptable solution. However, for this example,
1.65
instead of choosing that point, some engineering
judgment is applied, and a point halfway between
Sa = 2.5SRACA = 2.5*0.67*0.44 = 0.74g
point apI, <!PI, and the intersection point obtained in
the first iteration is chosen. Thus, as shown in
Ts = SRv Cv/(2.5SRACA)
Figure 8-56, point ap2, dpl is chosen as (O.37g, 5.9
= 0.75*0.64/(2.5*0.67*0.44)
inches). The areas Ai and A 2 (defined in Figure 8-
= 0.65 seconds
9) are again balanced by eye. The point ay, dy is
read as (0.31g, 2.3 inches).
Sa at Ts = Sa(T /21t)2
The effective damping, f3eff, and the spectral
~ 0.74*386.4*(0. 65/21t")2
= 3.07 inches
reduction factors, SRA and SRv, are calculated as:
Plot the demand' spectrum associated with point apl = O.37g
apl, dpl for soil type D as shown in Figure 8-55. dp 1 = 5.9 inches
As Figure 8-55 shows, the demand spectrum ay = 0.3Ig
intersects the capacity spectrum at a displacement, dy = 2.3 inches
dr, of approximately 6.25 inches. As noted in
(

(
8 ...44 Chapter S, Nonlinear static Analysis Procedures

(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

;r = 0.5 Elastic spectra for


T= 1.0 soil type So
Demand spectrum T= 1.0
=
1.2 .,..-.,-.,--Jrl--r--, SRA 0.66
SRv = 0.74
:§ 1 +--+--l-+-If--lt--+--.
0.8 T= 1.5
T= 1.5

0.6
T=2.0
0.4 T=2.0
ap2
ay
0.2

O-l"='-+---++~--I--+---ll---'I--+---+---+-~""';---I---I---1 o~:q---!+"+--+--I--!l--,--,--";"--r----,.---,""":-..----r--l
dp
o 1 2 °Y3 4 5 :as 7 8 9 10 11 12 13 14 15 o 1 2 dy3 4 sdP'\i 7 8 9 10 11 12 13 14 15
Spectral Displacement (inches) Spectral Displacement (inches)
Figure 8-56. ap2, dp2 point (Soil Type DJ Figure 8-57. Reduced spectrum Associated With
point ap2, dp2(Soil Type DJ

63.7* .33(.31 * 5.9 - 2.3* .37) Comparing the displacements obtained for the
f3eff = + 5 = 14.4% two different soil types, 3.4 inches for soil type
.37 * 5.9
SB, and 5.9 inches for soil type SD, it is clear that
soil type can have a significant affect on building
3.21- 0.68ln(14.4) 6 displacement, and consequently on structural
SRA = = 0.6
2.12 performance.

2.31- 0.41ln(14.4) 0 S.3.~.4 Performance Point Calculation


SRv = = .74 by Capacity spectrum Method-
1.65
ProcedureS
Sa = 2.5SRAC A = 2.5*0.66*0.44 = 0.73g The first steps in Procedure B are to develop
and plot the elastic spectrum and a family of
Ts = SRyCy/(2.5SRACA) reduced spectra. Since this example building is
= 0.74*0.64/(2.5*0.66*0.44)
assumed to have structural behavior type C, the
= 0.65 seconds effective damping ~eff, must be less than or equal
to 20%. Thus, in addition to the elastic (5 %
damped) spectrum, spectra for 10%, 15 % and
Sd at Ts = SaCT/2rri
20 % damping are developed.
= 0.73*386.4*(0.65/2ni
The spectral reduction factors associated with
= 3.02 inches
those levels of damping are tabulated below. These
Plot the demand spectrum associated with point
factors can be obtained from equations 8-9 and
ap 2 1 dp2 for soil type D as shown in Figure 8-57.
8-10 for any values of peff. The CA and Cv factors
As the figure shows the demand spectrum
I
for this example are:
intersects the capacity spectrum essentially at the
Soil Type SB: CA=OAO, Cv=O.40
trial performance point ap2 1 dp 2 and thus the
Soil Type SD: CA=O.44, Cv=O.64
solution has been found. Therefore, the demand
displacement calculated for soil type Dusing
Procedure A is 5.9 inches.

Chapter 8, Nonlinear static Analysis Procedures


(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

(
The period where the spectral curve switches With the above information, any spectral curve (
from constant acceleration to constant velocity, Ts, can be defined as follows
can be determined as: (
Ts = SRvCv/2.5SRACA
(
(
Note that this formula comes from equating o Samax 0
the spectral acceleration in the constant Ts Samax 5c!s
acceleration range, 2.5SRACA, with the spectral T> Ts SRvCvlT SaIT/21t)2
acceleration in the constant velocity range, Cv/T,
and solving for T. Values of Ts for both soil types
are also tabulated for the various effective
damping values. Thus, values of Sa and Sd used to plot the.
demand spectra can be tabulated for soil types SB
and SD at (3effvalues of 5%, 10%, 15% and 20%,
(
as follows.
(
5% 1.00 1.00 0.40 sec 0.58 sec
10% 0.78 0.83 0.43 sec 0.62 sec
15% 0.64 0.73 0.45 sec 0.66 sec 0 1.00 0 0 0.78 0
20% 0.55 0.66 0.47 sec 0.69 sec Ts=0.40 1.0p 1.5.7 Ts= 0.43 ·0.78 1.38
0.50 0.80 1.95 0.50 0.66 1.62_ (

0.60 0.67 2.35 0.60 0.55 1.94


Next the spectral acceleration in the constant 0.80 0.50 3.13 0.80 0.41 2.59
acceleration range, Samax, can be calculated for 1.00 0.40 3.92 1.00 0.33 3.24
each damping level as Samax = 2.5SRAC~. In 1.20 0.33 4.70 1.20 0.28 3.89
addition, the spectral displacement at the location
1.40 0.29 5.48 1.40 0.24 4.54
where the spectral curve switches from constant
acceleration to constant velocity, Sds, can be 1.60 0.25 6.26 1.60 0.21 5.19
calculated as Sds = ~~(Ts/21tf. These values are 1.80 0.22 7.05 1.80 0.18 5.83
tabulated below. . 2.00 0.20 7.83 2.00 0.17 6.48
2.25 0.18 8.81 2.25 0.15 7.29
2.50 0.16 9.79 2.50 0.13 8.10
2.75 0.15 10.77 2.75 0.12 8.91
3.00 0.13 11.75 3.00 0.11 9.72
5% 1.00 g 1.10 g 1.57 in 3.65 in
10% 0.78 g 0.85 g 1.38 in 3.22 in
15% 0.65 g 0.71 g 1.28 in 2.98 in
20% 0.55 g 0.61 g 1.22 in. 2.83 in
(

(
(

(
(
(

(
8-4& Chapter 8, Nonlinear Static Analysis procedures
SEISMIC EVALUATION AND RETROFIT CtF CONCRETEi:UJILDINGS

a 0.65 a a 0.55 0 0 0.71 0 0 0.61 a


Ts=0.45 0.65 1.28 Ts=0.47 0.55 1.22 Ts=0.66 0.71 2.98 Ts=0.69 0.61 2.83
0.50 0.58 1.42 0.50 0.53 1.28 0.80 0.58 3.64 0.80 0.52 3.29
0.60 0.48 1.71 0.60 0.44 1.54 1.00 0.47 4.55 1.00 0.42 4.11
0.80 0.36 2.28 0.80 0.33 2.05 1.20 0.39 5.47 1.20 0.35 4.93
1.00 0.29 2.85 1.00 0.26 2.57 1.40 0.33 6.38 1.40 0.30 5.75
1.20 0.24 . 3.42 1.20 0.22 3.08 1.60 0.29 7.29 1.60 0.26 6.57
1.40 0.21 3.99- 1.40 0.19 3.59 1.80 0.26 8.20 1.80 0.23 7.39
1.60 0.18 ·4.55 1.60 0.16 4.11 2.00 0.23 9.11 2.00 0.21 8.21
1.80 0.16 5.12 1.80 0.15 4.62 2.25 0.21 10.25 2.25 0.19 9.24
2.00 0.15 5.69 2.00 0.13 5.13 2.50 0.19 11.39 2.50 0.17 10.27
2.25 0.13 6.40 2.25 0.12 5.78 2.75 0.17 12.53 2.75 0.15 11.29
2.50 0.12 7.12 2.50 0.10 6.42 3.00 0.16 13.66 3.00 0.14 12.32
2.75 0.11 7.83 2.75 0.10 7.06
3.00 0.10 8.54 3.00 0.09 7.70
The families of response spectra, along with
the capacity spectrum. (whose coordinates are
derived in Table 8-14) can now be plotted as
shown in Figures 8-58 and 8-59 for soil types SB
and SD respectively. Note that the calculation of
the points on the spectra and the actual plotting of
0 1.10 0 0 0.85 a the spectra can be easily accomplished using a
Ts=0.58 1.10 3.65 Ts=0.62 0.85 3.22 spreadsheet.
0.80 0.80 5.01 0.80 0.66 4.15 Figures 8-60 and 8:..61 illustrate the bilinear
1.00 0.64 6.26 1.00 0.53 5.19
representation of the capacity curve for soil types
SB and SD respectively. The bilinear representation
1.20 0.53 7.52 1.20 0.44 6.22
is constructed such that it passes through the point
1.40 0.46 8.77 1.40 0.38 7.26 on the capacity spectrum which has a displacement
1.60 0.40 10.02 1.60 0.33 8.30 equal to the displacement obtained using the equal
1.80 0.36 11.28 1.80 0.29 9.33 displacement approximation. In procedure B,
2.00 0.32 12.53 2.00 0.26 10.37 unlike procedures A and C, once the bilinear
2.25 0.28 14.10 2.25 0.24 11.67
representation of the capacity spectrum is
obtained, it is not changed.
2.50 0.26 15.66 2.50 0.21 12.96
2.75 0.23 17.23 2.75 0.19 14.26
3.00 0.21 18.79 3.00 0.18 15.56

Chapter 8, Nonlinear static Analysis Procedures


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINCS

1.00 I Soil type So


1\ 0.80

§
0.90
0.80 \
Soil type
C A = 0.40
Cv = 0.40
Sa
:§ 0.70
!\ t-,
f\.
/
.""'" C A = 0.44, Cv = o.64
toJJeff = 5%, 10%, 15 %
and 20%
(
(-
C 0.70 r\ Poff= 5%, 10%, 15%
5 0.60
/

I <,
~
0
as 0.60 \1\ \ and 20%
~GJ Bilinear representation~ ,'- [,0-/
r-.. r-, '"'",-
~
I-
GJ \
\ -, 0.50 of capacity spectrum I r- /
..... .........
.

~r-...
"iii
U
0.50
0.40 '1''\
"',,"'"-
'" ........
iii
g 0.40 a-
E=~~
~5~
• __ J.
I

rr
f"

- - ""r-...
/

r-....
I'...
I-
r-.
-.. --
U ......... -~ 1=0

-
oct .......to.. I -:::::;;- <, r-~

-
oct 0.30
ca 0.30
I-"'<::

r- ee
-- r-- - - 1/ ~
r-. " Capacity ~ I--
I-'" "- r--
l-
eGJ
0-
en
0.20
0.10
1/
...V
V :--....:
-
I-.. I--
r-.
r--
GJ
0-
en 0.10
0.20

V
V ., CII,

"0>1
I

II,
spectrum

I
~:

10
II
:0
r--.

0,0'0 V
0.00 I
I
0.0 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0
0.0 . 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0
Spectral Displacement (inches) .
Spectral Displacement (inches)
Figure 8-58. Family of Response spectra
soil Type Ss Figure 8-61. Bilinear Representation of capacity
spectrum - soil Type So

1.20 .
Soil type So
. Soil typeS B
(
1.10 0.50
§ 1.00 1\ C A =0.44 \ \ \ \ \ I\. C A = 0.40, Cv=0.4O
\ Cv = 0.64
& 0.90
'\ Peff= 5%,10%,15% S 0.40
r\ iV-/ j ;\ . I
/Jeff = 5%, 10%, 15% and 20%
......... I I I I
~
I-

"*o
0.80

0.70 1\
I\.
~
I"
r-
and 20%
c
.2 -- - -- - 1\"/~ ~ r
\\
I'---- ;'-- lPerformance
>l\:
point
~ ~~ ++
0.60 1i1 0.30 ..... at Sd = 3.4 inches
,,1"- -- ~ "r--..' ~
~
(,)
oct 0.50
r-, 1'..... I-
GJ - 1--
I'----
1"- r-... t"r- iii lh~
ca 0.40
_...- '"r- g 0.20 1/: ....... ['...1
r-. I---t--......
:s
.•....
I"'r- r- r-t- , r--..... r-. r-- r-- t--
r-, I
r- :---.... ........

----
/
-- ----
GJ 0.30 oct
1/ ...... -;- ;-C:: :-1- -:..- ;-r-1--- ,
tli 0.20 /. --- ~
e I I
I
I
,
I"- r-- I-- '--
I--.
0.10
/ CD
0.10
V ,
0.00 0-
en
0.0 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0 9.0 10.0 11.0 12.0
0.00
V I
I
I
~
Spectral Displacement (inches) 0.0 1.0 2.0 3.0 4.0 5.0 6.0 7.0 B.O
Figure 8-59. Family of Response spectra Spectral Displacement (inches)
Soil Type So Figure 8-62. perFormance Point using procedure B
(
soil rype s»
(
(
0.80
Soil type So (
=O.64
C A = 0.44, Cv
I~ P'JJ = 5%,10%,15 {-
:§ 1'\ elf %
~~ '-t- 0.70
§ 0.40 \ \ ,"\ :
1\ / and 20% (
c
o
i 0.30
_0._1- ~.,....:'- - "I- \:J.~~...... I'.. --
Bilinear representation
" . . . . . f capacity spectrum
S
~GJ
0.60
-, -,
1"-
//
/

~" r-,
/

<,
<,

i" '''', N
/

i -~I='y.~!- - 'P '~ '" i'--. 0.50 <,

r-.... r-. iii , ~ I'--.r-.


"iii I-Capacity i"/ I <, r-, I"'--.. "-
-
/
u 0.40
g 0.20 r-spectruml;/'V~lf-I-+-t~r1"oo:::::+--P"'-4::::::-+-;-t-f""-; u - - -- - _J. :r
/

'1-= ~ =-,.-
-- - - e-,
oct /: ~~~~~r-.~ « 0.30 - - - - f'.. ~~
eg J "": : ~I -r--r-=:~I---r--::-
eg 1./~ t>
r--r--l -- I--
t--
0.10 V 'ii, II: -I-- Co
0.20
V I
I
Performance point
at Sd =6.1 inches
(-
fir l-V-A--1---l-~-!--!-~-f--f--+--+--+--+--+--+--j
"0, "0'
I
UJ 0.10
V
I
I
1
0.00 -¥-...l--\---L----j:;-.L--l--!l--!---L.--f-'--+--'---;---L.-;
0.00 I/ I
I

0.0 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0 0.0 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0
Spectral Displacement (inches) Spectral Displacement (inches)
Figure 8-60. Bilinear Representation of Capacity
Figure 8-6:5.. Performance point Using Procedure B (
spectrum - Soil Type Ss
Soil Type So (

8·48 Chapter S, Nonlinear Static Analysis Procedures


(

(
SEISMIC EVALUATION AND RETROFIT OF CQNCRETE BUILDiNGS

Now, for each soil type, select displacement expected that in this case, the solution obtained
values for various points along the post yield using procedure B will be slightly different from
portion of the bilinear representation of the the "exact" solution of procedure A, and it is (6.1
capacity spectrum and solve for api' and ~eff using inches). Thus this example illustrates the point
equations 8-14 and 8-15, respectively. The made in Section 8.2.2.1.3, that when using
selected displacements and the calculated values procedure B, if the performance point does not fall
are tabulated below for each soil type. Note that at a displacement in the area of the displacement"
since this example building is assumed to have obtained using the equal displacement
structural behavior type C (see discussion in approximation, then the engineer may want to
example for Procedure A), the factor 1(, used in verify the results using either procedure A or C.
calculating the effective damping, ~eff, is a In this case, the performance point is
constant 0.33. reasonably close to the displacement obtained
using the equal displacement approximation, and
consequently, the solution obtained (6.1 inches) is
Values of t?pi t and Peff Values of api t and Peff
Soil rvne s» soil rype s» reasonably close, within approximately 2 % of the
"exact" solution (5.9 inches).

2.5 0.29 7.0 4.5 0.34 12.7 8,,::;"~5 PerFormance Point Calculation
3.0 0.31 8.5 5.0 0.35 13.4 by capacity spectrum Method-
Procedure C
3.5 0.33 9.3 5.5" 0.36 13.9
Procedure C is described in Section 8.2.2. 1.4.
4.Q 0.36 9.8 6.0 0.37 14.3
Development of the family of response spectra for
4.5 0.38 10.1 6.5 0.38 14.6 this example is illustrated in Section 8-.3.3.4
5.0 0.40 10.2 7.0 0.38 14.8 (example of Procedure B). Figures 8-58 and 8-59
show the capacity spectrum (whose coordinates are
Figures 8-62 and 8-63 show the tabulated Sa, derived in Table 8-14) superimposed over the
J3eff points plotted for each soil type, and indicate
family of response spectra for soil types SB and SD
the intersection of the line connecting those points respectively.
with the capacity spectrum. That intersection From this point procedure C will be
point, which is the performance point, occurs at a demonstrated for soil type Sa first and then for soil
spectral displacement of 3.4 inches for soil type type SD. For soil type SB, the initial trial
SB, and at 6.1 inches for soil type SD. performance point, apI, dpJ is chosen at the
The solution obtained for soil type SB is intersection of the capacity spectrum with the
identical for both the equal displacement elastic (5 % damped) response spectrum. Note that
approximation and the "exact" solution obtained for procedure C to work correctly, the initial trial
using procedure A. The same answer, 3.4 inches, performance point should have a larger
is obtained using procedure B. It is expected that displacement than the final performance point.
procedure B would give the same answer because Figure 8-64 shows the point apI, dpl and its
the bilinear approximation of the capacity associated bilinear approximation of the capacity
spectrum is based on the displacement obtained curve.
using the equal displacement approximation. The effective damping; l3eff, is calculated using
The solution obtained for soil type 'D is the points defmed in Figure 8-64 and using
somewhat different for the equal displacement Table 8-7, since the building is assumed to have
approximation (5.5 inches) and the "exact"
solution of procedure A (5.9 inches). Thus it is

Chapter 8, Nonlinear static Analysis procedures


SEISMIC EVALUATION AND RETROFIT OIF CONCRETE BUILDINGS

Soil type Sa structural behavior type C, as discussed in Section


0.50
\ \ \ C = 0.40. Cv =0.40
\ 1'\ j3sff A
=5%, 10%. 15%, andI 20% 8.3.3.3 (example of Procedure A).
:§ 0.40
\ \ ,
, api = O.35g:
C (a,,' dy) ---\ \ '\ -, I ..L-
I
o (0.30 g, 2.3 in) ~ """"" ~
~
"\ <, t-- (~1" dp~) I dpl = 4.5 inches
i"- 0.30
. . . . f'... (0.35 g, 4.5 in)
CD '/>- "I'-.
"r-.... ay = O.30g·
"iii
g 0.20 / ........
-, ~ <, i"'--. I""- dy = 2.3 inches
- -- -- -----
<C / <,
~ .......... ..... .......... r-
f'0 / Bilinear representation J -... r---... ;--.
0.10 of capacity spectrum
CD / I I I I , I
a.
(/)
0.00 V
0.0 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0
Spectral Displacement (inches) apl _ 1 0.35 _ 1
Figure 8-.64. Initial Bilinear·Approximation For slope ratio = ay = 0.30 = 0.17 (
procedure t; Soil Type Ss dpl _ 1 45 _ 1
(
s, 2.3
S 0 i1typ e S B
0.50
\ \ \ \ CA = 0.40, c, =0.40 Entering Table 8-7 with the above values for
U~e#1 ~ \ / I\. /Jelf =5%, 10%. 15% and 20% dpl!d, and the slope ratio yields, upon
§ 0.40
\ J I I
c
.J I
i-Intersection
.\. l )<
"'- I I..L-
I interpolation, a ~eff value of approximately 13 %.
o
~ 0.30
atSd 3.5" [\.1 = L ~ v-: V "'- -- (~t.. d p1) J Now the first iteration of the graphical procedure
(0.35 g, 4.5 In)
"-
CD ~ " 'V ~ ~ une~""""""- . can progress. Referring to Figure 8-65, line #1 is
iii )- r-, <, ..........
2..... 0.20 / 1'-.,,- r- drawn from the origin to the elastic (5 % damped)
f
Q 0.10
CD
/
,·V/ v Poinlon ~
/
,.V
//

V
-
j'-"
~Une#3
-, ,- ------ - ---
........
r-- r-
;--.
r-
r-
-....;
;--.
spectrum. at a slope matching the initial stiffness.
Line #2 isdrawn from the origin to point apI, dsr,
a. line #2 with which in this case is (O.35g, 4.5 inches). The point
en lP' Pelf = 13%
0.00 on line #2 corresponding to ~eff = 13% is plotted.
0.0 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0
Spectral Displacement (inches)
Line #3 is drawn from the intersection of line #1
with the elastic spectrum to the point on line #2
Figure 8-65. Initial Iteration For Procedure C
soil rvne s« corresponding to (3eff = 13 %. Finally, the
displacement at .the intersection point of line #3
with the capacity spectrum is read as Sa = 3.5
Soil type Sa
0.50
=
CA 0.40, Cv 0.40 = inches. .
\\ \ \ =
~ \
'\ Pelf 5%. 10%, 15% and 20% Since the spectral displacement at the
\ J I
:§ 0.40 intersection point, 3.5"., is not within ± 5 % of the
c (lay" dy) - r-\ \ \ r-, _e--
o (0.27 9, 2.1 in) \. x.,
'I. ,..-,: I'-
....... (Bp~, dpo/ displacement at point dpl, a second iteration is
i """"
"", ~'
0.30
I-
CD ~ ......f'... (0.33 g, 3.5 in) required. For the second iteration, the
iii
1/ \ ........
.......
~ .... --... :-- displacement, dp 2, is chosen equal to the
g 0.20
<C
f'0 0.10
/ \
r"\.. ----- -- -- --- ......
I'-...... ........ ~
-.
--... :--
-. :--
displacement at the intersection point in the first
iteration, 3.5 inches. Figure 8-66 shows the point (

CD
0-
(/)
0.00 1/
:/
/
-- Bilinear repr.esentation
of-capacity spectrum
I I " I I I
apz, dpz and its associated bilinear approximation of
the capacity curve.
(~

(
(

0.0 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0


Spectral Displacement (inches)
Figure 8-66. second Bilinear Approximation for (
procedure c, Soil Type So (
I
(

8-50 Chapter 8, N~~linear Static Analysis proc·edures


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUiI.DINGS

.-

Soil type Sa
0.50 ap2 _ 1 0.3 3 _ 1
\\ \ 0.40, Cv = 0.40
\ I\. C~e" == 5%.10%,15% A

Li~efh \ ~
.,V and 20% slope ratio = _a_y__ = 0.27 = 0.3 3
I I I
§ 0.40
c:
o
I I ,~
_Intersection ~~l\. --::
atSd= 3.4" r\J ~ fo1l
r-,
\.
J

(~,~~ I <,
+- d p 2 -1
dy
35 _ 1
2.1
~ 0.30 (O.33 9, 3.5 in)
a;.-
Q) ~ /rl "'-, "'I'---
iii
g
Line #2
7L- V "'~ <, -.........., r-o.- i'- r-o.-_ Entering Table 8-7 with the above values for

-- -- ---
0.20 <,
< / / / "'- I'-r-. dp2/dy and the slope ratio yields, upon
--
<, ~
"iii
~Line;
a;.- // iJ
I
I"- r-
-. interpolation, a l3eff value of approximately 9.5 %.
t) 0.10 Point on c-
Q)
0- t/ line #2 with I I N ow the second iteration of the graphical
tn
0.00 V =
J3efl 9.5% procedure can be performed as illustrated in
0.0 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0 Figure 8-67.
Spectral Displacement (inches) Since the spectral displacement at the
Figure 8-67_ Second Iteration for procedure C intersection point, 3.4 11 , is within ± 5% of the
Soil rype s» displacement at point dp2, 3.5", then the
displacement at the intersection, 3.4", is taken as
Soil type SD
the demand displacement. Note that for soil type
0.80
CA = 0.44, Cv =O.64 SB, the first iteration yielded results quite close
::§
c: 0.60
0.70
.""
1\ r-,
I'"~Ok'10%. 15 %
I
and 20%
I
(within approximately 3%) to the final- answer.
A similar procedure is followed for soil type
.s
CG ~
-. r-,
<, <a,,1,' dp1) .'h
r--....... 1/0.38 9, 7.8 in) SD. For soil type SD, the initial trial performance .
(jj 0.50
a;
o 0.40 _(Ely, dy~
o (0.32 g, 2.4 in)\
r-. I'-... I'--...... r-,
I'-..
<,
r--..
~"'
.....
\
~
......
point, apI, dpI is chosen at the end of the capacity
spectrum because the capacity spectrum does not
-- ---
a;(
0.30
Sl~
<,
"'"'" r-
7ii I?' I-- intersect the elastic (5 % damped) response
L.o

U 0.20
/ 1\ r-- I--
spectrum. Figure 8-68 shows the point api, dpl and
'~Bilinear representation
Q)
0-
f!) 0.10
/V of capacity spectrum - its associated bilinear approximation of the
V

0.00 I/ II f I I I capacity curve.


0.0 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0
The effective damping, ~eff, is calculated using
Spectral Displacement (inches)
the points defined in Figure 8-68 and using
Figure 8-68. Initial Bilinear Approximation for
Table 8-7.
procedure C, soil Type So
apl = O.38g
dp1 = 7.8 inches
The effective damping, ~eff, is calculated using ay = O.32g
the points defined in Figure 8-66 and Table 8-7. dy = 2.4 inches
ap 2 = O.33g
dp2 = 3.5 inches dpl = 7.8 = 3.25
a y = O.27g a, 2.4
dy = 2.1 inches
apl _ 1 0.38 _ 1
d p 2 = 3.5 = 1.67 slope ratio = _a_y_ _ = 0.32 = 0.08
d- 2.1 dp 1 _ 1· 7.8 _ 1
d» 2.4

Chapter 8, Nonlinear static Analysis procedures 8=51


(
(
SEISMIC EVJlLUATION AND RETROFIT OF CONCRETE BUILDINGS I
(
(

\ Soil type S D Entering Table 8-7 with the above values for (
0.80
r~ CA = 0.44, Cv = o.64
::§ 0.70
r'\. v
~SIf = 5%, 10%, 15 % ({pIldy and the slope ratio yields, upon 1:-

a 0.60 1\ !'-- /
-,
!\ and 20%
I I interpolation, a f3eff value of approximately 16.5 %. (

u~
\
~CD 0.50
Intersection
atSd =6.3"
<, ~ r-- r-,
<, r-, ~
./
Ie..... " Now the first iteration of the graphical procedure
can be performed as illustrated in Figure 8-69. (
(

'jj)
a 0.40
I
Line #1
I
[Y 1/ r-, :--.. ~ r-..
"-
Since the spectral displacement at the
(
a "'-
~ kV~ (
7 rr-- r---r;r
0:( <,
_ 0.30
e ~ I-'" intersection point, 6.3", is not within ± 5 % of the
1/ Line #2 ~ L....- v
g 0.20 V \ 1/
displacement at point ({PI, a second iteration is
a.
en 0.10
>IV ~I--
l.- I--Point on _
line #2 with ,-~2p1'. dp1~':::::: I--- required. For the second iteration, the
17 r....-
0.00
IL V- I-- 13afl= 16.5%
.
~0.38
.
9, 7.8 in) displacement, ~, is chosen equal to the
0.0 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0 displacement at the intersection point in the first
Spectral Displacement (inches) iteration, 6.3 inches. Figure 8-70 shows the point (
Figure 8-69. Initial Iteration for Procedure C 3.p2, c¥ and its associated bilinear approximation of
soil rype s«
the capacity curve.
Soil type So The effective damping, f3eff, is calculated using
0.80
r'\. r-,h.BC A = 0.44, Cv = O.64
=5%, 10%, 15 %
the points defined in Figure 8-70 and Table 8-7.
S 0.70 slI
3p2 = O.3?g
5 1\ ~
and 20%

:;:;
0.60
-, t-.. <, <, dp2 = 6.3 inches
<,
~ 0.50 :..Bilinear representation'- <;
-of capacity spectrum <, <, ay = 0.32g
CD I I '1 I 1\
'-
........ r-.... .......... -...
dy = 2.4 inches
----
e DAD -(",,~) ~. ......
<C
(,)
_(0.32 g, 2.4 in) tIIiI ==
II K.
~ /-' "'f r- (---
~ O.3(t
I I I/~ t.-.....
~
~~
i--
'S CI)
0.20
:/ V ......
.."....-

V dp 2 = 6.3 = 2.62
Q. y dy 2.4
en 0.10 / "V (~2'?¢ --
I~ L....- (0.37, 9, ~.3 in)
0.00
0.0 1.0 2.0 3.0 4.0 5~O 6.0 7.0 8.0 ap2 _ 1 0.3 7 _ 1 (
Spectral Displacement (inches) ('
slope ratio = _a-=-y_ _ = 0.32 = 0.10
Figure 8·70. second Bilinear Approximation for dp 2 _ 1 6.3 _ 1
procedure C, Soil rvpes»
dy 2.4

Soil type So Entering Table 8-7 with the above values for
0.80
f\. 1""- ltJ3c0ffA ==5%,
0.44, Cv =o.64
10%, 15 %
dp2/dy and the slope ratio yields, upon
§ 0.70
interpolation, a ~eff value of approximately 15 %.
1\ 1\ and 20%

'"
e / V
--:8 0.60
-, V "- r-,
I I
Now the second iteration of the graphical
~ 0.50
Intersection ~ ~~ K procedure can be performed as illustrated in
= ~
1/ K r-... ~ :--.. ~ i"-- "-
atSd 6.0" i-- Line #3
Gi Figure 8-71.
g 0.40
I
Line #1-
I
K I-....
I __ V v R I--

lJm -
-
<C
0.30
~ :-. Since the spectral displacement at the
:--- t-- r--
gE 0.20 1~#2 I>"polnt
1.."....-
vI--"
t-- intersection point, 6.0", is within ± 5 % of the (
Do
(IJ 0.10

0.00
ILE'-
-- V
V ~
cin-- V
line #2 with
13rlf =,15~o
pp
-n 6.,
\ (2p~, d
in)
displacement at point dp2, 6.3", then the
displacement at the intersection, 6.0", is taken as
the demand displacement. Note that for soil type
(

0.0 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0


Spectral Displacement (inches) SD, the first iteration yielded results within
Figure 8·71. Second Iteration For procedure C approximately 5 % of the final answer, not quite as
Soil rype s» close as for soil type SB, but still not a bad (

estimate for a single iteration. (


(
('

8 ..52 Chapter S, Nonlinear Static Analysis Procedures


SEiSMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINCS

4000 Bilinear represe tation of


1.20
apacity curve I \
1.00
§
-t/) 3000
e
.2 0.80
I \ \
~'L.-:. Q..!:~f
Co 1U f\--~
--
32
>
~
(jj
0
0
~
Qi
0.60
_§.a::::.!l.:.4§
, "-

--~ ~
Profile Type D

----
ca 2000 0.40
Q)
..c:
(J)
Q)
en
-
ca
I-
0

f/)
Q)
0-
0.20
iiil
tO l
m
ml
l

0:II;
1-1
"---- r----- r----
~ oil Profile T pe B -
ca 0.00
OJ 1000
0.00 0.50 1.00 1.50 2.00 2.50
Period (seconds)

Oo--l--l--l--l--l--l-+--~~~'--l'--l--l'--l
Figure 8-75. spectral Accelerations for
Displacement CoeFficient Method
o 5 10 15
Roof Displacement, (inches)
Co = Referring to column labeled PFR,l in Table
Figure 8-72. Bilinear Representation of Capacity 8-14~ and i!l~~!p0la:t:iI:!g, the first mode
curve for Displacement Coefficient Method participation factor (root) for soil type SB,
at a displacement of approximately 5.1
8.5.5.6 Demand Displacement Using the inches is 1.35
Displacement Coefficient Commentary: The 5.1 inch
Method displacement is estimated by calculating Or.
The first step in determining demand using the using an assumed value of 1.37for Co,
displacement coefficient method (described in which is based on the approximate values
Section 8.2.2.2) is to construct a bilinear in Table 8-17.
representation of the capacity curve. Note that the Co = Referring to column labeled PFR.J in Table
displacement coefficient method uses the capacity 8-14~ and interpolating, the first mode
curve (V-&oof), not the capacity spectrum (Sa-SCi). participation factor (roof) for soil type SD,
The bilinear representation is shown in Figure at a displacement of approximately 8.3
8-72. Note that in this example, the effective inches is 1.37
stiffness, Ks, is equal to the initial stiffness, Kr Commentary: The 8.3 inch
(see Figure 8-43), which is 2200/2.51 = 876 k/in. displacement is estimated by calculating Or
From Table 8-10, the elastic fundamental using an assumed value of 1.37 for Co,
period, Ti, is 0.88 seconds. The effective which is based on the approximate values
fundamental period, Ts, is calculated using in Table 8-17.
equation 8-16 as: CI = 1.0, since Ts > To
i, = Ti~ K, = O.88~876 = 0.88 seconds.
C2 = 1.1 ~ assuming framing type 1 and life
safety structural performance level
. K; 876
The target displacement, Ot, is calculated using (:3 = 1.0~ positive post-yield stiffness

equation 8-17. Sa = O.45g = 174 in/sec? at T=0.88 seconds


for soil profile type Sa, see Figure 8-73.
Sa = O.73g = 282 in/sec/ at T=O.88 seconds
for soil profile type SD, see Figure 8-73

Chapter 8, Nonlinear Static Analysis Procedures


SEISMIC EVAlUATIO'N AND RETROFIT OF CONCRETE BUILDINGS
(
(
.:

(
I
\

Te = 0.88 seconds
Table &15. comparison ofperFormance Point
Thus for soil profile type SB, Displacements from· Various Methods (
2
Ot = 1.35 * 1.0*1.1 *1.0 * 174 * 0.88
4tr 2 = 5 . 1 In.
.
(

For soil profile type SD, (


088 2 S8 spectral 3.4" 3.4" 3~4n 3.4" N.A.
(

Ot = 1.37 * 1.0*1.1*1.0 * 282 * _.-2- = 8.3 in.


4tr Actual 4.5" 4.5" 4.5" 4.5" 5.1"
Note that the above target displacements are So spectral 5.5" 5.9" 6.1" 6.0" N.A.
actual roof displacements; they are not spectral Actual 7.5" 8.1" 8.411
8.2" 8.3"
displacements as would be obtained using the
capacity spectrum method. spectrum methods and the displacement coefficient
8.3.5.7 Comparison of perFormance method would have been greater. In this
point / Demand Displacement comparison, the results of the displacement
procedures coefficient method depend on the coefficient Cz,
Table 8-15 compares the performance point which depends on, among other things, the
displacements resulting from the equal structural performance level. If a structural
displacement approximation, the capacity spectrum performance level other than life safety had been
method procedures A, B, and C and from the assumed, then the results for the displacement
displacement coefficient method. Note that the coefficient method would be different.
equal displacement approximation and the capacity For thisexample, the equal displacement
spectrum method results must be converted back approximation gave good initial estimates of the
from spectral displacements to absolute (actual) demand displacements. As stated above for the
displacements. This is done by multiplying the displacement coefficient method, had a different
spectral values by appropriate modal participation structural behavior type been assumed for the
factors, PF. Referring to column labeled PFRI in capacity spectrum method, then the comparison
Table 8-14, and interpolating, a PF value of about would be different.
1.32 is appropriate for the soil type SB
performance point at a spectral displacement of 8.4 Other Analysis Methods
about 3.4 inches, and a PF value of about 1.37 is . As previously mentioned, both elastic (linear)
(
appropriate for type SD, where the performance , and inelastic (nonlinear) methods are available for \~
point spectral displacement is about 5.9 inches. the analysis of existing concrete buildings. C"
The results of the capacity spectrum methods Section 8.4.1 describes available elastic methods.
A, B and C are similar. The displacement Section 8.4:.2 describes inelastic methods other
coefficient method gives results approximately than the capacity spectrum method and the
10% different for soil type SB and similar for soil displacement coefficient method described above.
type Sn. Of course', had a different structural
8.4.1 Other Elastic Methods of
behavior typebeen assumed for the capacity
Analysis
spectrum method (structural behavior type C was
assumed), then the difference between the capacity The other elastic methods of analysis include
standard code analysis procedures, both static and
dynamic, and procedures using demand capacity
ratios.
(
(

8 ...54 Chapter S-. Nonlinear static Analysis procedures

)
(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILD&NG~

8.4.1.. 1 standard Code procedures BSSe). The Division of State Architect has
Standard code procedures include both static developed an elastic analysis methodology for
and dynamic analysis methods. The code static evaluation and retrofit of existing State buildings
lateral force procedure is commonly used by the (CBSC 1996) which will be adopted into the
engineering profession to design'buildings. In this California Building Code. This category also
methodology, the building code prescribes a includes procedures from source documents, such
formula that determines lateral forces. These as ATC-14 (ATC 1987), FEMA-273 (ATC
forces are applied in a prescribed manner to 1996a), and FEMA 178 (BSSC 1992).
determine the adequacy of the structural system. If Code procedures may be considered as
some of the components of the designed structural . alternative methodologies for evaluation and
system are not adequate, the design is revised and retrofit of existing concrete buildings. The
the modified design is reanalyzed. This process is advantages of code procedures are that design
repeated until all the provisions of the building professionals and building officials are familiar and
code are satisfied. comfortable with these procedures, and the
The procedure relies on principles of statistics simplified analysis methods often allow design costs
and the structural components are evaluated for to be minimized. The disadvantages are that there
serviceability in the elastic range of strength and are difficulties in applying current code provisions
deformation. Additional requirements are for new construction to the complexities of
prescribed to supply ductile and energy dissipating retrofitting existing concrete buildings. Also, there
characteristics to the structural system to enable it is a greater uncertainty of satisfying perfor.mance
to survive excursions into the inelastic range of goals than there would be by using procedures with
lateral displacements during major earthquakes. a more rational approach.
Although this procedure is commonly called a
8.4.. 1.2 Elastic Procedures Using Demand
static lateral force procedure, it does include some
Capacity-eatios
implicit elements of dynamics. These include the
use of the fundamental period of vibration (1) to Demand/capacity ratio (DCR) procedures are
determine the amplification (C-factor) of ground slightly different from standard code procedures.
motion acceleration (2- factor) and the use of While the code approach reduces the full
vertical distribution of force equations to earthquake demand by an R-factor and adds the
approximate modal response. Because of these resulting seismic forces to gravity forces, the DCR
features, the methodology is sometimes referred to approach takes the full earthquake force, without
as the equivalent lateral force procedure. reduction, and adds it to the gravity demands. In
In some cases, a building requires an explicit both cases, the sum of seismic and gravity
dynamic lateral force procedure, which may be demands is compared with available capacity.
either a response spectrum analysis or an elastic In equation form, this can be stated as:
time history analysis. While these procedures add E
Code procedure: D+L+-:::; CO
aspects of dynamics to the design procedure, R
resulting forces are generally scaled to match the D+L+E
lateral force used in the static procedure. Also, DCR procedure: 0 C = -peR:::; m
components are still evaluated for serviceability in The code procedure checks element strengths
the elastic range of strength and deformation. for capacity to withstand a fraction of the earth-
Standard code procedures include all those quake demand; the DCR procedure checks the
used by model building codes (e.g., UBC, BOCA, overstress ratio considering the full earthquake.
SBCC) and those recommended by code There are several variations of DCR procedures.
development bodies (e.g., NEHRP, SEAOC, and

Chapter 8, Nonlinear' static Analysis Procedures


(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS (
(
:

The U.S. Army, Navy, and Air Force (Army • A displacement pattern for the structure is
1986, 1996) have the inelastic demand ratio (IDR) assumed
method that can be used for essential as well as (
other buildings as a dynamic analysis procedure.
+ Based on the assumed displacement pattern, (
the element displacements are determined (
Prescribed values of IDR (i.e., "m" in the
equation above) are given as limits to nCR values. + The element pushover curves are used to (
determine the associated element secant (
FEMA 273 (ATC 1996a) provides a similar
(
methodology for a linear static procedure that stiffness that would represent the
establishes acceptable values of "m". ATC-14 force-displacement behavior of the element at
(ATC 1987) and FEMA 178 (ESSC 1992) also use the assumed displacement level
elements of a DCR procedure, as does the The element secant stiffnesses are applied to
simplified preliminary analysis technique discussed each of the elements in the global elastic model.
in Section 5.6 of this document. The global elastic model is analyzed using elastic
response spectrum analysis. The ground motion
8.4.2 other Nonlinear Methods of used in the analysis is either a code provided 5
Analysis percent damped response spectrum or a site
The other inelastic methods of analysis include specific 5 percent damped response spectrum.
the secant method and nonlinear time history In general, the response spectrum analysis will
analysis. predict a different displacement pattern than was
originally assumed. At this point, iteration begins.
8.4.2.1 Secant Method
The pushover curves. are used to select a new set
The secant method is an analysis method of element secant stiffnesses based on the
presented in the City of Los Angeles Proposed displacements predicted by the global analysis.
Division 95 document titled Earthquake Hazard The global elastic model is modified with the new
Reduction in Existing Reinforced Concrete Buildings secant stiffnesses, and the response spectrum
and Concrete Frame Buildings with Masonry Infill analysis is repeated. This process continues until (
(COLA 1995). This section summarizes the the displacements predicted by the computer model (
methodology. . reasonably match the displacements used to
Commentary: The secant method of design calculate the secant stiffnesses, at which point the
can be derived from a "substitute structure" analysis has predicted the earthquake demand.
procedure similar to. a methodology developed by The principal advantages of the secant method
Sozen and others (Shibata and Sozen 1976). are that it accounts for three dimensional effects
When analyzing a building with the secant including torsion and multi-direction loading and
method, a global elastic model of the structure is that it accounts for higher mode effects. The main
constructed. The model may represent individual disadvantage of the approach is that it can be
structural components such as beams, columns, or somewhat more time consuming than other static
wall piers, or they may represent elements such as nonlinear procedures.
frames, stories, or walls as assemblages of
individual components. 8.4.2.2 Nonlinear Time History Analysis
Special stiffness values are calculated for the Although nonlinear time history analysis is
modeled elements and components as follows: becoming more feasible, it is currently complex
(
.. Force-deflection (pushover) curves are and time consuming, and requires considerable
('
developed from analytical approaches or test judgment. This procedure is listed here for (
data for each element or component completeness, but guidelines for application are
beyond the scope of this document.
(
(
8·56 Chapter S, Nonlinear Static Analysis Procedures
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

.:

Conversion of Coordinates

Seismic demand

8.5 Basics of structural


8.5.2 Modal Analysis Equations
Dynamics The quantities used in modal analysis models
are described below. Note that the modal
8.5.1 General
quantities are usually calculated by computer
This section presents background information analysis; they are presented here as an aid to
on basic principles of structural dynamics. understanding modal analysis and as a tool for
Equation formats and symbols may be different back-checking computer results.
from those used elsewhere.

Chapter 8, Nonlinear static Analysis procedures


~"

SEISMIC EVALUATION" AND RETROFIT OF CONCRETE BUilDINGS"

I
i

1. Modal Participation Factor. The modal .s 3. Modal Story Accelerations. The story
participation factor will be calculated for each accelerations for mode m are calculated using
mode using equation 8-20: equation 8-22:

aim = PFmep.~am. (8-22)

(8-20) where:
aim = Story acceleration at level i for
mode m (as a ratio of the . ,
(
where: acceleration of gravity, g).
PFm = Modal participation factor for cf>im = Amplitude at level i for mode m.-
modem Sam = Spectral acceleration for mode m
witg = Mass assigned to level i from the response spectrum {as a
ratio of the acceleration of
<j>im =Amplitude of mode m at level i
gravity, g).
N =Level N, the level which is 4. Modal Story Lateral Forces. The lateral
uppermost in the main portion of forces (mass x acceleration) for mode m are
the structure . calculated using equation 8-23:
The units of the participation factor PFm are Fim = ~FmepimSamWi (8-23)
dependent on the normalization procedure, in
where:
some references, <j) is normalized to 1.0 at the
uppermost mass level, other references will Fim = St~ry lateral force at level i for .
normalize the value of L(w/g)<j)2 to 1.0. It mode ID.

should be noted that some references define a Wi = Weight at or assigned to level i.


"modal story participation factor", PFim as the Sam. = Spectral acceleration for mode m
quantity within the brackets in equation 8-20, from the response spectrum (as a
multiplied by the quantity <j)im,.. the amplitude ratio of the acceleration of
of mode m at ~evel i. ~e modal story gravity, g).
participation factor, PFim, is unitless. 5. Modal Shears and Moments. Story shears
and overturning moments for the building
PFim = PFm l/Jim' (8-20a) and shears and flexural moments for the
structural elements will be computed for
2. Effective Mass Coefficient am. The effective each mode separately, by linear analysis, in
mass coefficient will be calculated for each conformance with the story forces
mode using equation 8-21: determined in equation 8-23.
6. Modal Base Shear. The total lateral force,
corresponding to mode m is calculate~ using
the equation 8-24. Note that the sum of Fim
(8-21) from roof to base-will equal V m:
Vm = rimSam.W (8-24) (
(
where:
Vm = Total lateral force for mode m.

8 ..58 Chapter 8, Nonlinear static Analysis Procedures


(
(
SE&.SMIC EVALUATION AND RETROFIT OF CONCRETE ElUlJILDINGS

Modal period:
am = Effective mass coefficient for
modem, T m = 2n~r--Sdm-j-(-Sam-g-) (8-29)
W =Total dead load of the building and
applicable portions of other loads 8.5.3 Formats of Response spectra
(Ref. UBC, NEHRP, et al.). The traditional graphical format for showing
7. Modal Displacements and Drifts. Modal response spectra has been to use a linear
-----Tareral-story··-displacements are related to coordinate system of spectra acceleration (Sa) and
modal spectral displacements by equation period of vibration (T). A log tripartite coordinate
8-25:
system has also been used that includes Sa, Sv, and
bim = PFmq>imSdm = PFimSdm (8-25)
Sd with T. Linear coordinates can also be used for
where:
Sv versus T and Sd versus T. A more convenient
bim Lateral displacement at level i for form. is called the ADRS format (Mahaney, et al.
mode m. 1993). The ADRS format has linear coordinates of
Sdm = Spectral displacement for mode m Sa versus Sd. T is shown as a straight line
calculated from the acceleration radiating out from the origin (0,0) and Sv can be
response spectrum (i.e., Sdm = shown by a curved line. Figure 8-74 illustrates all
? the formats for response spectra and their
Sam (T/21ttg).
Using equation 8-25 and the relationship relationships to each other. Families of response
spectra are shown for a Zone 4 (EPA = 0. 4g) for
Sdm = Sam(Tm/21t)2g, displacements can also soil-sites A, B, C, D, and E (refer to Chapter 4).
be calculated by equation 8-26: 1. For soil-site E (i.e., SE), CA=0.4 and
Cv=O.96:
...
0.;""
-
biro = PFmq>imSam(Tm/21t)-g
?
(8-26)
Sa at T=0.3 sec is 2.5 x CA = 1.0 g.
Sa at T= 1.0 sec = 0.96 g.
where:
T m = Modal period of vibration Sv = (T /21t) Sa X 386 in/sec? = 59 ips
The modal drift in a story, LlOim, will be (inches per second)
computed as the interstory displacement which Sd (assumed to be constant at T = 4. 2 sec) is
is the difference between the displacements equal to (T /2n) Sv = 39.5 in.
(bim) at the top and bottom of the story under 2. If a point is located on the SE curve with a
period T = 3.19 sec, Sv = 59 ips,
consideration, i.e., LlOim = O(i + l)m - Oim.
Sa = (21t/T) Sv/386 = 0.30g, and
8. Modal Periods of Vibration. Estimated
building period when loading approximates Sd = (T/21t) Sv = 30.0 in.
mode shape: - This point is shown on each of the formats to
illustrate the relationship between the different
T m = 2n ~(LWi oTm) + (g I r.; Oim) (8-27)
curves.

Modal periods: when loading is consistent


with mode shape (period will be the same at
any floor i).
,.-------
Tm = 2n;~8im Wi I tr: g) (8-28)

Chapter 8, Nonlinear static Analysis procedures


(
SEISMIC EVAI.U'ATION AND RETROFIT OF CONCRETE BUI·LDIHGS

(
:
(

/Sav. Sell ISav.T/ (


1.2
(
Sa = l.Og

~ ~
.sa .SB
ao.G _sc So.s _sc
tW OJ
-so -so
-SE Q.4 _SE

D.2 D.2
(
0
10 21 40 0
ScI(inch) (

50 ( ~

Sd.= 4O.0in 40

Sd= 3O.0in
r::l
-SB

~:L~ E;J
.so·
_SE

"V
~
c;r,
0
0 4

ITripartiteI

60

~ ~
.sa .sa
.so
Iis 40 .so
,§.
.so ill -so
.. SE .SE
21

0. 1 '--...1.--L-L...L.u.u.L---''--'-..I...1..LLW---L....JW...l...LLJ..lJ
0.01 0.1 10
0
0 2 3 (
Period (sec) Parlcd (sec)

(
Figure 8-74. Formats of Response spectra

8-60 Chapter S, Nonlinear Static Analysis Procedures

(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUU.DINGS

M
F=Foroe
W=Weight
M=Mass
(j =DisplQoement
K=Stiffnes9
g-Gravity

a. Idealized single lumped mass system


Vibrates
---=--:--.. Period of vibration: T=2 r r f f

~~181) +6'
I T I
n----7\---r,..:...,.-\-r\--- .
\ / _~~~) \} I
Time. t (sec.)
;;.::

b. Free vibration (no damping)


llllI Vibrates "'"

c. Damped free vibration

Figure 8·75. single Degree of Freedom systems

8..5..4 Explanation and Use of Modal are related by the formula M = Wig. The pole
Participation Factors and or columns represent the stiffness (K) of the
Effective Mass Coefficients. system, which is equal to a horizontal force
1. Single-Degree-of-Freedom (SDOF) System. (F) applied to the mass divided by the
The fundamental structural system is the displacement (3) resulting from that force.
simple oscillator or SDOF system shown in These quantities are related by the formula
Figure 8-75a. This system is represented by a K = Flo. If the mass is deflected and then
single lump of mass on the upper end of a quickly released, it will freely vibrate at a
vertically cantilevered pole or by a mass certain frequency which is called its natural
supported by two columns. This system is used frequency of vibration. The period of vibration
in textbooks to illustrate fundamental (T), which is the inverse of the frequency of
principles of dynamics. It represents two kinds vibration, is the time taken for the mass to
of real structures: a single-column structure move through one complete cycle (i. e. from
with a relatively large mass at its top; and a one side to the other and back again
single-story frame structure with flexible (Figure 8-75b). The period is equal to
columns and a rigid roof system. In the 21t(M/K) 112.
idealized system, the mass (M) represents the The internal energy dissipation or friction
weight 0N) of the system divided by the within a structure causes the vibrational motion
acceleration of gravity (g). These quantities

Chapter 8, Nonlinear static AnalysEs Procedures


(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

(
m7 (
<1>72
K7
m6 <1>62 (
K6
DJ5 . q>s2
Ks
m4
K4
ID3
K3
ID2
K2
nn (
Kt
(
~ ~

Multi-mass Fundamental Second Third (


system Mode Mode Mode

Figure 8-76. MUlti-Degree of sreeaom system (

and to damp out as shown in Figure 8-75c. going to the right (higher modes of vibration) (
The amount of damping is defined in terms An idealized system, such as the one shown in
of a ratio (~), or percentage, of critical Figure 8-76, has a number of modes equal to
damping. In an ideal system having no the number of masses. Each mode has its own
damping ((3 = 0), a system, once displaced, natural modal period of vibration with a
would vibrate forever, i. e., as in unique mode shape being formed by a line
. Figure 8-75b. In a real system where there is connecting the deflected masses (the first three
some damping, the amplitude of motion will mode shapes are shown in Figure 8-76). When
decrease for each cycle until the structure oscillating motion is applied to the base of the
stops oscillating and comes to rest multi-mass system, these masses move. The
(Figure 8-75c). The greater the damping, the deflected shape is a combination of all the
sooner the- structure comes to rest. If the mode shapes; but modes having periods that
structure has damping equalto 100 percent of are near; or equal to, predominant periods of
critical damping ((3 = 1.0), the displaced the base motion will be amplified more than
structure will come to rest without crossing the the other modes.
initial point of zero displacement. Each mode of an MDOF system can be
2. Multi-degree-of-freedom (MDOF) systems. represented by an equivalent SDOF system
Multistory buildings are analyzed as MDOF having a normalized (M*) and stiffness (K*)
systems. They can be represented by lumped where the period equals 21t(M*/K*) 112• M* K*
masses attached at intervals along the length of are functions of mode shapes, mass, and (

a vertically cantilevered pole (Figure 8-76). stiffness. This concept, as shown in (


Each masscan be deflected in one direction or Figure 8-77, provides the computational basis
another; for example, all masses may for using site specific earthquake response
simultaneously deflect in the same direction spectra based on SDOF systems for analyzing
multi-storied buildings. With the period, mode (
(the fundamental mode of vibration), or some
masses may go to the left while others are

(
8-&2 Chapter 8, Nonlinear static Analysis procedures
S51SMIC EVALUATION AND RETROFiT OF CONCRETE fEUlJILDIUN1GS

0reor= PFR1S d
V=SP"lW
W = (m, + m2 + ...+ m7)g
W*.=r:J.}W

a. Fundamental mode of b. Equivalent single mass system


a multi-mass system M* and K* are effective values of mass and stiffness that
represent the equivalent combined effects of the story masses
(m) and the siffnesses (k). W* is the effective weight (=M*g).

Figure 8-77. MDOFsystem Represented sy a Single Mass system"

shape, mass distribution, and response 4. Effective Mass Coefficient. In Figure 8-77a
spectrum, one can compute the deflected the sum of fl through f7 is the shear, V, at the
shape, story accelerations, forces, and base of the structure for the fundamental
overturning moments. mode. The f-values are the same as the F im
3. Modal Participation Factors. In Figure 8-77 values in Equation 8-23 (e.g., f7=F7 1'
diagram b is equivalent to diagram a. In other
m 7=w/g, and ~=PFI<l>71Salg per Equation
words, if during an earthquake the mass M*
8-22). The sum of story forces, F im , for mode
moves distance Sd' the roof of the building
will move distance 0ROOF' The ratio of (5ROOF to 1 is equal to the base shear Vm for m = 1.
Sd is, by definition, the modal participation for Vm=amSamW (Equation 8-24) is the base
the fundamental mode at the roof level. This is shear in diagram a in Figure 8-77 for mode 1.
PF im in Equation 8-20a, where i is the roof V = Saw* is the base shear in diagram b. W is
the total weight (or mass x g) and W* is the
and ill is mode 1. PF m is calculated from
Equation 8-20 using the m-values and the effective weight. W*=am Wwhere am is the
fundamental <j>-values in Figure 8-76 (note effective mass coefficient for mode m. The
mass m equals weight w divided by gravity), formula for calculating CXm is given in
where nrr is the mass at the roof and <1>71 is the Equation 8-21. Thus for mode 1,
mode shape at the roof (level 7) for mode 1. _ (Tl17 Cf71 + m5 0/61+ ---- + J11l CfJn f
(Xl -
Therefore, PF R 1 = (1111 + tm + ---- + 1111 XTl17 ~l + rr(j %1 + - --- + 1111 qifj)
m 7 CfJ71 + me qJ61 + ----- + mi CfJ lI ) d
( 2 2 2 CP71 an
rnr CP71 + ms CfJ61 + ---- + mi CPu and VI =a 1 W Sal (Figure 8-77a).
OROOF = PF R1S d (Figure 8-77a).

Chapter 8, Nonlinear Static Analysis procedures


SEISMIC EVALUATION AND RETROFIT OF CONCRETE!" BUILDlN'GS

5. Sample Values of al and PFRl. Table 8-16 Table 8-16. a., and PFeoDF CoeFFicients for
presents standard values of ex and PF that are Regular Buildings (with uniform mass and (~

consistent with regular buildings. These values straight line mode shape)
(
may be used as approximations in lieu of (
calculated values. (
Commentary: The valuesfor PFRoof,l in 1 1 1
Table 8-16 are similar to the modal 2 0.9 1.2
participation factors given in Table 8-8, with 3 0.86 1.3
some differences at taller buildings. The values 5 0.82 1.35
in Table 8-8 are slightly conservative one
10 and greater 0.78 1.4
decimal place approximations.

8.5..5 Estimating the Fundamental Sa = (~)(;)


period of Vibration and the
Mode Shape Sd = OROOJPFROOF.1

General use structural analysis computer


programs will produce the dynamic characteristics
of a structure. For the case where this information Step 4:. A new set of forces, proportional to
is not available, the period and mode shape of the
fundamental mode may be approximated by use of w$/J:,wq, are applied to the building. Either masses
statistics. However, to complete this procedure m) or weights (w) may be used, The gravity, g,
force-displacement calculations are required. In cancels out.
other words, when the lateral forces are applied to ' Step 5: Deflections corresponding to second
the structure, calculations must be made to iteration. forces are obtained using a computer
determine the lateral displacements of each story. model. (Similar to step 2.)
The procedure is illustrated in Figure 8-78. The Step 6: The second iteration deflections are
numbers are consistent with the example of normalized by dividing by D roof to get a revised
Section 8.3. mode shape. The process is repeated until the
8.5.5.1 Estimating the Mode Shape mode shapes converge (i.e., compare step 3 and
step 6; all values are within 5 percent difference).
Step 1: Static forces are applied to the
For comparison, see Table 8-10 where step 6 is
building, using any reasonable distribution, in this
nearly identical to mode shape 1.
case V of Table 8-12, but the distribution is in
.accordance with the code (i.e., wh/E wh with the 8.5.5.2 Estimating the period of
F, force at the roof). Vibration" T
Step 2: Deflections corresponding to the The period can be calculated by use of
applied forces are obtained using a computer equation 8-27, where:
model of the building.
Step 3: The deflections are normalized by (

dividing by D roof . This is assumed to be the mode (


shape, <1>. From Figure 8-78 use the forces in Step 4 for
Fi and use the deflections in Step 5 for Oi. The
story weights, wr, are found in Table 8-12.
(
(
(
(
8 ...64 Chapter 8, Nonlinear static Analysis procedures

(
(
SEISMiC EVALUATION AND RETROFiT OF CONCRETE BUILDINGS

663.8
463.2
0.235
0.219
J 1.000
0.929
392.8
0.194 0.822
321.1
0.684
250.7
0.518

~
~V=2408

Step 1: Apply static forces Step 2: Calculate the deflections Step 3: Normalized the deflections
to the building. corresponding to the applied by dividing by timof. This is
forces. assumed to be the mode shape,. <j>.

518.2 0.229 1.000


498.6 0.215 0.938
441.3
0.192 0~837
367.0
278.2

0-
~V=2408

Step 4: Apply a new set of Step 5: Calculate the deflections Step 6: Normalize the second
forces.proportional to corresponding to second iteration deflections, and repeat
w<j> I L: w<j>. iteration forces are obtained the process until the mode shapes
using a computer model. converge.

Figure 8-78. Estimating the Fundamental Mode Shape

Chapter 8, Nonlinear static Analysis Procedures


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

: (
(

tn
. 1. elastic response
2. Secant elastic response
a. displacement increases
1. Elastic response
2. Secant elastic response
a. displacement increases
C b b. acceleration decreases
o b. acceleration constant
3. Inelastic response 3. Inelastic response
(
! ID
Co acceleration decreases
d. displacement decreases
Co acceleration decreases (
Qj d. displacement decreases
U
u
<C
e
U ID
C.
en

Spectral Displacement, Sd Spectral Displacement, Sd

Figure 8-79_ Response spectrum Reduction: Figure 8-80_ Response spectrum Reduction: (
Inelastic vs Elastic Response Inelastic vs Elastic Response (
(long period, constant velocity) (Short period, constant Acceleration)
(
(

Thus, structure due to inelastic behavior, the effective


period lengthens and the demand of the elastic
T=2
{
1410*0.2292+1460*02152+ ... +1830*0.0432
g(5182 * 0.229 + 498.6 * 0215 + ... + 1222 * 0.043)
JZ -Q8'8
- . sec
spectrum is at point 2 (Le., displacement increases
by a value "a" and acceleration decreases by a
(

value "b"), However, if the structure does behave


8.5.6 Explanation of Inelastic inelastically (i.e., nonlinearly), the demand will be
Response Reduction (SIU, SRv) reduced to the inelastic response spectrum demand
at point 3. Thus, there is a further reduction in (
An elastic response spectrum can be reduced
acceleration by a value c" and the displacement is
II
(
to an equivalent inelastic response spectrum. This
reduced by a value "d", The net effect is that
topic has been the subject of much research.
acceleration is reduced by "b" plus "c" and
Figures 8-79 and 8-80 illustrate a simplified
displacement is modified by a" minus "d". If "a"
II
explanation of why there is an inelastic reduction,
is approximately equal to "d" , inelastic
in other words, why inelastic response is generally (
displacement is equal to elastic displacement
less than elastic response.
(Figure 8-79). If "a" is greater than "d" there is a (
On each figure, point 1 represents the elastic (
net increase in displacement (Figure 8-80).
demand. If there is reduction in stiffness of the

(
(
(
(
(

. .
8 . . 66 Chapter S, Nonlinear Static Analysis procedu~es

(
(
SEISMIC EVALUATIO.N AND RETROFIT OfF CONCRETE BUllLDU\IIGS

Chapter 9
a lin I
AUdience Interest spectrum
Owner Architect Bldg. Official

9 ..1 General accurate enough to support nonlinear static


This chapter presents rules for developing pushover analyses, described in Chapter 8, and
analytical models of existing concrete buildings. acceptability limits, given in Chapter 11. The
The rules are intended for use with a nonlinear modeling rules will also support linear elastic
static procedure of the type described in Chapter analyses, described in Chapter 5. Additional
8. As such, they address the full range of concrete considerations (regarding mass, damping,
element and component behavior, considering reversibility, etc.) may be required for dynamic
cracking, hinging, potential degradation, and loss time history analyses.
of gravity resistance. The rules are based on Except for very simple buildings, analysis will
principles of usually rely on one or
mechanics, observed more specialized
earthquake computer programs. Some
performance, a broad available programs can
range of experimental directly represent the
results, and nonlinear load-
engineering judgment. deformation behavior of
The following individual components,
sections address loads; whereas others represent
global building only linear response. In
modeling; material the latter case, a series of
models; element linear analyses must be
models, including frames, walls, diaphragms, and carried out with
foundations; and component models, considering component properties modified in each analysis to
stiffness, strength, and deformability. Notation represent nonlinear response, the results being
specific to this chapter is given in Section 9.6. superimposed to obtain the nonlinear capacity
Commentary: Modeling rules presented in this : curve. Some available computer packages will not
directly model the degrading strength of individual
chapter are intended to guide development of the
analytical model used to evaluate an existing components, in which case approximate
building or to design its retrofit. They are both approaches must be used.
qualitative and quantitative. Analytical building
models based on these rules will be complete and

Chapter 9, Modeling Rules


(
(

SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

(
(

9.2 Loads Analysisfor gravity load effects is complicated


lJy the fact that live loads (and less frequently, (
9.2.1 Cravity Loads dead loads) vary during the service life, and the (
The nonlinear analysis of a structure should magnitude at the time of the earthquake is (
include the simultaneous effects of gravity and generally unknown. Two approaches are (
lateral loads. Gravity loads should include dead commonly applied in nonlinear analyses. The first (

loads and likely live loads. . approach is to assume a range of gravity loads (
Commentary: The nonlinear response of a that bound the likely values, to carry out a
structure to lateral loads depends (in a nonlinear nonlinear analysis for the bounding cases, and to
way) on the gravity loads present at the time of use the most critical valuejrom all the analyses.
The second approach is to carry out one nonlinear (
lateral loading. This dependence is illustrated in (
Figure 9-1, as follows: analysis with gravity load set equal to the most (
likely value. The second approach is considered (
+ Considering the example beam (Figure 9-1a), adequate in most cases and is recommended,
the effect of light gravity load is to reduce the (
except that the first case should be considered
reserve moment and shear strengths at the
where live load is a significant proportion of the
right end and increase the reserve strengths at
total load and where variations in live load are
the left end (reserve strength is defined as the
suspected to have a significant impact on the final (
difference between the total strength and the (
assessment.
resistance used up by gravity load). Therefore,
Dead load can be taken as the calculated
for a given lateral drift, the gravity load will
structure self-weight without load factors, plus
increase the inelastic rotation demands at the
realistic estimates offlooring, ceiling, HVAC,
right el".Ll of the beam and decrease them at the
partition, and other nonstruetural weights.
left end. For larger gravity loads, the effects
Likely live loads should be evaluatedfor each
are increased, and the inelastic mechanism
structure; consideration should be given to current
may shift from beam hinging at the ends to
and expectedfuture occupancies. Default values of
hinging along the beam span.
typical live loading are provided in Table 9-1.
+ For the example column (Figure 9-1b),
variations in gravity load produce variations in
column axial force, with consequent changes (
( --
in both column strength and deformability, Table 9-1. Typical Service Live Loads For \

(
Increases in axial load invariably decrease Various occupancies
(
flexural deformability. Increases in moment
strength result in increased shear demands and General office area 13.6
may result in shear failure that would not be
Clerical area 16.9
expected at lower axial loads.
Lobby 9.4
In general, because of the nonlinear nature of
Conference room 11.1
the interactions, it is not appropriate to carry out
the gravity load analysis and lateral load analysis File area 43.7 (

storage area 28.9 (


separately and then superimpose their results.
(
Instead, the gravity loads should be applied to the library 34.6
(
numerical model and should be maintained as the All rooms 17.8
(
lateral deformations are imposed. (
1. Tabulated loads represent mean load plus one standard
deviation (source: Culver 1976) (
(
(

9·2 Chapter 9, Modeling Rules


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

(a) Beam span


and loading !§! ! !
G

Beam
COlumnE
s:t
.
E
G = Gravity load
E= Earthquake load

Mp+ = Positive plastic


moment strength

(b) Moments for ----------- - Mp+ Mp- = Negative plastic


low gravity moment strength
load

• Marks assumed
plastic hinge
(c) Moments for location
high gravity
load M-
p

Figure 9-1a. Gravity Load Effect on Seismic Behavior of components

Shear Moment

p p

High G

Low G

Curvature, l'

Figure 9-1b. Gravity Load EFfect on Seismic Behavior of components

Chapter 9, Modeling Rules


-_.~.

(
(
(
(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS (
(

The ability of a computer package to displacement corresponding to peak lateral load,


adequately represent gravity load effects should be even though the structure may be capable of larger
determined as part of the analysis. Many nonlinear displacements without collapse. In this case, it
analysis programs will directly model the effects of may be necessary to use special techniques to
gravity loads on stiffnesses and strengths. Others continue loading to larger displacements. See
will not. In the latter case, it is usually possible to Section 9.5.1.
represent the effects by setting component
strengths equal to reserve strengths, where reserve 9 . .3 Global Building
strength is equal to the calculated strength plus or Considerations
minus the action induced by the gravity load. The
Analytical models for evaluation or retrofit
plus or minus sign depends on whether the gravity
must represent complete three-dimensional (
load acts in- the opposite or the same sense, (
characteristics of building behavior, including
respectively, as the lateral load.
mass distribution, strength, stiffness, and
defonnability, through a full range of global and (
9.2.2 Lateral Loads (
Lateral loads should be applied in local displacements. Two-dimensional models may
be used if they. adequately"represent overall lateral (
predetermined patterns that represent predominant (
response. Building models
distributions of lateral (
inertial loads during may be composed of (

critical earthquake simplified substructures (


response. Chapter 8 derived from individual
defines relevant lateral component properties as
load patterns. Lateral long as substrticture forces
loads commonly may be and deformations are used to
lumped at floor levels. check local effects.
Lateral loads should be Commentary: Full three-
applied in increments that dimensional static inelastic
allow the engineer to track analysis often requires
the development of the significant effort. Few
inelastic mechanism. available computer programs
Gravity loads should be in place during lateral are able to directly model three-dimensional (
loading. The effect of gravity loads acting through inelastic response of a structure. Furthermore, at (

lateral displacements, the so-called P-t1 effect, the time ofthis writing, complete numerical models
should be modeled. of component three-dimensional response are not
well developed. Therefore, it is seldom justified to
Commentary: As a structure is displaced
conduct a three-dimensional inelastic static
laterally, its lateral load stiffness usually
decreases with increasing lateral displacement. At analysis as part of the proposed methodology.
Two-dimensional models are usually satisfactory.
large lateral displacements, the lateral load
resistance may decrease with increasing Although the analysis may use two-dimensional
displacement. Some computer programs for static models, certain aspects of the building's three-
dimensional behavior should be considered. For
inelastic lateral load analysis require that the
lateral forces increase with each loading example, the axial load in a comer column can be
increment, a condition that cannot be met for a affected strongly by three-dimensional response (

structure whose true strength is degrading. because axial loads accumulate from the framing (
Therefore, the program might stop at the action oj intersecting frame elements (Figure 9-2). (

Assuming that the building is displaced roughly (

Chapter 9, Modeling RUles


(
(
(
(
SEISMIC EVA.LUATION AND RETROFIT OF CONCRETE BUU.. DINCS

dynamic elastic methods are not able to adequately


represent the full effect of torsional response.
Response amplitudes associated with inelastic
torsion may be much larger than those indicated
by these approaches. For structures influenced by
inelastic torsion, it often is more appropriate to
use simple models or procedures to identify
approximately the effect of the irregularity on
torsional response, and to apply this effect
independently to either a two- or three-dimensional
static inelastic analysis of the building. Available
research may provide. insight into the required
analysis process' (Gael and Chopra 1991,. Sedarat
and Bertero 1990; Otani and Li 1984). Where
t P column inelastic torsional response is expected to be a .
dominant feature of the overall response, it usually
Figure 9-2. Axial Load In corner Column Due to is preferable to engineer a retrofit strategy that
Load Transfer from Intersecting Frames
reduces the torsional response, rather than try to
along a diagonal axis at some point during an engineer an analysis procedure to represent
earthquake, beams from frames in both directions inelastic torsion.
may develop flexural Substructuring involves the replacement of
plastic hinging, in which many components by
case the column axial single model elements or
load is equal to the sum constraints. Examples
over the building height of include the modeling. of
the beam plastic shears complex coupled or
from both directions. The perforated wall groups
engineer may attempt to with an equivalent
account for these effects column and the
directly by using a three- representation of rigid
dimensional analysis floor diaphragms with
model. Alternatively, it slaved degrees of
freedom. See
may be suitable to carry
out a two-dimensional Section 9.4.5 regarding
lateral load analysis and to modify the results to diaphragm modeling.
reflect aspects of expected three-dimensional 9.3.1 Building Model
response. For structures with stiffness or strength
The analytical model of the building should
plan asymmetry, either a three-dimensional model
represent all new and existing components that
or a two-dimensional model may be used. In either
influence the mass, strength, stiffness, and
case, it is necessary to establish the demands
deformability of the structure at or near the
considering torsional effects. Studies (Goel and
expected performance point. Elements and
Chopra 1991,. Sedarat and Bertero 1990) show
components shown not to significantly influence
that actual inelastic torsional response tends to
the building assessment need not be modeled.
exceed results calculated using linearly-elastic
dynamic analysis. Static inelastic methods and

Chapter 9, Modeling Rules


(
(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS (

(
(

(
(
(
(
(

Building Elements (

Structural Elements
• frames
., walls
• diaphragms
(
Non-structural Elements
• elements that influence
structural behavior (
• elements whose damage
l _
(
Foundation Elements
• soil components
• structural components

(
(
I
(
(

9 .. & Chapter 9, Modeling RUles


(

(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

Commentary: Elements and components effects, which could include reduction or increase
expected still to provide lateral strength and/or in the target displacement, and modeling of the
stiffness after several cycles of earthquake loading foundation-sail-superstructure system.
must be modeled. The requirement to model the Soil flexibility results in period elongation and
structure "at or near the expected performance damping increase. In the context of inelastic static
point" is intended to facilitate the analysis by analysis as described in this methodology, the
allowing exclusion of certain elements. For main relevant impacts of soil-structure interaction
example, stiff, weak components expected to yield are to modify the target lateral displacement and
or degrade long before the overall lateral system to provide additional flexibility at the base level
reaches its limits and at a point Oil the capacity that may relieve inelastic deformation demands in
curve well in advance of the expected performance the superstructure. Because the net effect is not
point, such as coupling beams or some wall readily assessed before carrying out the detailed
segments, need not be modeled. analysis, it is recommended that foundation
However, all components carrying gravity flexibility be included routinely in the analysis
loads, even flexible framing not modeled, must be model.
checked against deformation limits in Chapter 11,
as either primary or secondary components. In 9.il Element Models
Chapter 11, primary and secondary components
are defined in terms of their significance to 9.4.1 General
building performance levels, not in terms of An element is defined as either a vertical or a
relative stiffness or strength and not in terms of the horizontal portion of a building that acts to resist
need to model them explicitly. lateral and/or vertical load. Common vertical
Still, it is likely that most primary and some elements in reinforced concrete construction
secondary elements will need to be modeled, at include frames, shear walls, and combined frame-
least initially. As analysis proceeds, it may become wall elements. Horizontal elements commonly are
clear that some initially primary elements may be reinforced concrete diaphragms. Reinforced
treated as secondary or, per the requirements of concrete foundations are elements with both
this section, treated as non gravity load carrying vertical and horizontal aspects. Elements comprise
members with no specific deformation limits. components such as beams, slabs, columns, joints,
Some nonstructural elements (e.g., infills, wall segments, and others. Section 9.5 describes
stairs) can significantly modify the stiffness and component modeling.
strength of a reinforced concrete frame, and these
elements should not be overlooked. Furthermore, 9.4.2 Concrete Frames
damage or failure of these elements can affect Concrete frame elements should be classified
structural assessment. As noted elsewhere, infilled as either beam-column frames or slab-column
frames are not considered in this document. frames. Slab-column frames may include capitals,
drop panels, and drop caps. In the following
9.3.2 Soil-structure Interaction discussion, frames are considered planar elements,
Behavior of foundation components and effects although it should be recognized that intersecting
of soil-structure interaction should be modeled or frames interact with one another. In a typical
shown to be insignificant to building assessment. planar model of a building, interaction effects
Chapter 10 gives recommendations for modeling from intersecting frames should be taken into
soil-structure interaction. account indirectly.
Commentary: Soil-structure interaction refers Commentary: Waffle slabs, shallow pan-joist
to response modification because of interaction systems, and slabs with "embedded beam"

Chapter 9, Modeling RUles


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

reinforcing within the slab depth may qualify as beam-columnjoints, and other components that
slab-column frames; some judgment is may be part of the frame. Beam and column
required. Some buildings have both slab-column components should be modeled considering
and beam-column frames. For example, buildings flexural and shear rigidities, although the latter
with flat slabs and perimeter spandrel beams are may be neglected in many cases. Potential failure
likely to have slab-column frames along interior of anchorages and splices may require modeling of
column lines and beam-column frames along these aspects as well. Rigid beam-column joints
perimeter column lines where the spandrels are. may be assumed, except where joint strength may
limit capacity development in adjacent
9.4.2.1 Beam-Column Frames components. 'Interaction with other elements
The analysis model for a beam-column frame including nonstructural elements should be (
element should represent the strength, stiffness, represented.
and deformation capacity of beams, columns;. (
9.4.2.1.1 Overall Geometry. The
analytical model generally can (
represent a beam-column frame (

by using line elements with (


properties concentrated at (

componentcenrerlines. III some (


Elements and components cases the beam and column
centerlines will not coincide, in
Elements are major vertical or horizontal parts of the building which case a portion of the
that act to resist"lateral
....._ •• _ . _ _ -" .L!: -'_'&': "'_-....~J
and ..vertical loads.
~ _.
Frames,
1-. • •
dlapnraqms;
: ... _ :,-1: __ framing components may not be
VVdll~, dilU TUUIIUdLIUII~dl C CAdllll.lIC;' Ul CICIIICIIl.:) III d UUIIUIIIY.
fully effective to resist lateral
Elements are composed of components.
loads, and component torsion
may result. Where minor
eccentricities occur (the
centerline of the narrower .
component falls within the
/' --- ............ middle third of the adjacent
framing component measured
/ / ' \/ Frarm Bement
transverse to the framing
(
. direction), the effect of the
I \ (
eccentricity can be ignored.
I Where larger eccentricities
I (
I III Column occur, the effect should be
I <Beam represented either by a
I ,
• Beam-Column Joint concentric frame model with
\ 1
\ r reduced effective stiffnesses,
\ r strengths, and deformation
\ / capacities or by direct modeling (
\ / (
of the eccentricity. Where beam
\. / (
'\" / and column component cross
...... /
.....
.....
-- -- sections do not intersect, but
instead beams and columns are
connected by transverse slabs or

9 ..8 Chapter 9, Modeling Rules


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

beams, the transverse slabs or beams should be the beam is flexed so that the slab is in tension;
modeled directly. this effect needs to be taken into account (French
The beam-column joint in monolithic and Moehle 1991).
construction generally should be represented as a As described previously, infilled reinforced
rigid zone having horizontal dimensions equal to concrete frames are outside the scope of this
the column cross-sectional dimensions and a document.
vertical dimension equal to the beam depth. Where -9.4.2.1.2 Modeling Local Response. The
joint force levels reach nominal failure limits, the analytical models for beams, columns, and joints
j oint should be modeled by using a nonlinear should be capable of representing the controlling
spring element. deformation and failure modes. The requirements
The model of the connection between the for stiffness, strength, and deformability limits are
columns and foundation will depend on details of in Section 9.5.
the column-foundation connection and the rigidity Beams may develop inelastic response
of the soil-foundation system. associated with flexure, shear, development,
The slab will act as a diaphragm that splices, and slip of bars embedded in joints.
determines interactions among different frames. Torsion may be a consideration in a link beam that
The slab will also act compositely as a beam connects eccentric beams and columns. The
flange in tension and compression; this action is to analytical model should be developed to represent
be represented in the beam component model. the likely modes of inelastic response.
Section 9.5.4.2 recommends an effective width to Columns may develop inelastic response
be used in determining the stiffness and strength of associated with flexure, axial load, shear, and
a beam with a flange. development and splice failure. The analytical
Nonstructural components that interact model should represent these potential modes
importantly with the frame should be modeled. where they may occur.
Important nonstructural components that should be Beam-column joint strength may limit the
modeled include partial infills (which may restrict forces that can be developed in the adjacent
the framing action of the columns) and full-height framing members. The primary failure mode of
solid or perforated infills and curtain walls (which concern is joint shear failure. The analytical model
may completely interrupt the flexural framing should represent these potential modes where they
action of a beam-column frame). In general, stairs may occur.
(which may act as diagonal braces) need not be Commentary: Likely modes of inelastic
modeled, but engineering judgment should be response may be identified by examining a simple
applied to unique cases; ramps in parking garages free-body diagram of the isolated beam subjected
can add significant stiffness. to gravity loads and beam end rotations due to
Commentary: Conventional modeling lateral loading. The process is illustrated in Figure
assumptions are recommended. Beams and 9-1a. In many cases, beam flexural strength will
columns in older existing construction may frame vary along the span, and this may influence how
eccentric to one another. The eccentricity may lead inelastic response develops. This plastic hinging
to torsional distress in the frame. Test data on pattern can be identified for individual members as
eccentric connections and wide-beam connections illustrated in Figure 9-3. Flexural strength (broken
(Joh et al. 1991; Raffaelle and Wight 1995; Gentry line in Figure 9-3b) is calculated by the usual
and Wight 1994) may guide definition of the procedures, with rebar stress capacities limited if
analysis model. A slab connected monolithically necessary on the basis of available development
with a beam will significantly influence the length. As a starting point, it is assumed that
strength and stiffness of the beam, especially when plastic hinging is at member ends, so the plastic

Chapter 9, Modeling Rules


SEISMIC EVALUATION AND RETROFIT OF COINCRETE BUiLDiNGS

~G
s. ~ G= Gravity load
(a) Beam span
F~[]5t
COIU~~-E
and loading E= Earthquake load
Beam .
-
E Mp+ = Positive plastic
moment strength

(b) Initial Mp - = Negative plastic


assumption / ----- momentstrength
-_/

(
(
• Marks assumed
(
plastic hinge (
(c) Revised location (
plastic / ------
hinging -_/
(
(

(
moment capacities are-assigned at those locations. the beam bottom reinforcement will be embedded (
(
The static moment diagram is then constructed only a short distance into the joint. Although slip I

considering gravity load. If the static moment of this reinforcement is strictly a bond failure, its \
(
diagram exceeds strength along the span, as in effects can be represented in the analysis model
Figure 9-3b, then it is likely that plastic hinging by calculating the stress capacity of the embedded
occurs along the span; not at the ends. The bars as described in Section 9.5.4.5 and setting ( -~.
moment diagram and plastic hinging locations are the moment strength equal to the moment (
revised as shown in Figure 9-3c. To modelthis resistance corresponding to that stress capacity.
behavior it may be necessary to assign nodal Beam plastic hinging may be represented
degrees ofjreedol1'} along the span so that plastic directly in computer programs that model inelastic
hinging can occur and be monitored at the interior response. Alternatively, the same effect may be
nodes. achieved in computer programs that model only
Where inelastic flexure is the controlling linearly elastic response. In the latter case, the
mode, this response may be represented directly by analysis is run until yield is reached at one or
using concentrated or distributed hinge models more locations. To model post yield response, a
(Spacone et al. 1992). Most computer codes do not hinge or very flexible spring is inserted at the
provide a ready and direct means of representing yielded location and analysis is continued until
shear and bond failures. These may be represented subsequent yielding occurs. The process is
by modifying the flexural resistance to correspond repeated, and the results are superimposed to
to the value at which the shear or bond failure is obtain the complete solution. Where linear models
likely to occur. For example, in many older frames

9 ..10 Chapter 9, Modeling Rules

(
(

(
SElswnc EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

.:

I
"-

I- I

I
I I

I
,
(Flexural plastic hinge

..
I I I
~

!J !J
I

!I
I
. I
I
;,
~ J J
(a) Loading (b) Beam sway (c) Column sway
mechanism mechanism

Figure 9-4. Idealized Flexural Mechanisms in Multi-story Frames

are used, the use of very flexible springs (rather columns. Preferably, the column analytical model
than hinges) has the advantage that hinge rotation, will directly incorporate interaction between axial
load and flexural strength. liYhere the model does
0, can be monitored as e= M , where M is the not account for this action directly, the analyst
K
moment and K is the rotational stiffness of the should manually modify flexural strengths to
spring. represent values corresponding to expected axial
Considerations in modeling the response of a loads, and results should be verified.
column are similar to those for beams, described The potential for joint failure can be .
above. A widely held misconception is that column investigated on a free-body diagram of the joint
flexural yielding is not possible if the sum of the and adjacent framing components subjected to
column strengths exceeds the sum ofthe beam representative gravity and lateral load effects.
strengths at all connections. While it is true that Where adjacent component strengths are sufficient
strong columns promote formation of beam-sway to induce shear failure in the joint, joint- hinging
types of mechanisms (Figure 9-4), column flexural should be modeled. Most inelastic analysis
yielding at the foundation and at intermediate computer programs have nonlinear rotational
levels is still possible. Therefore, the analytical spring elements that can be inserted between
model should allow for column hinging at all levels columns and beams to model the joint.
of the building. Inelastic flexure along the Alternatively, one may limit the strengths of
unsupported length of the column is not usually a adjacent framing components to values
consideration because there is no significant corresponding to the development ofjoint shear
lateral load applied along the unsupported length failure. Note that when a joint fails, the connection
of the column. The possibility of shear, splice, or to all adjacent beams and columns is lost.
development failure along the column length Representing this aspect may be important to
should not be overlooked, however. determining performance and may require
As a building is loaded laterally, column axial additional modeling efforts.
loads will change, especially for perimeter

Chapter 9, Modeling RUles


SEISMIC EVALUATION AND ~ETROFIT OF CONCRETE BUILDINGS
(
\

9.4.2.2 Slab-Column Frames


The analysis model for a slab-column frame
element should be sufficiently detailed to' represent
the strength, stiffness, and deformation capacity of
slabs, columns, slab-column joints, and other ~7
components that may be part of the frame. Slab (a) Actual slab-column frame
and column components -should be modeled by
r::;=COlumn
considering flexural and shear rigidities, although
the latter may be neglected in 'certain cases. The
potential failure of anchorages and splices may .
require the modeling of these aspects as well. .
-1'"""----r s earn

(b) Effective beam width model


Slab-column joints (that is, the volume of concrete

~----~
connection spring
Column
(
common to the slab and column, including the
Beam
capital) may be assumed to be rigid. Interaction (
with other elements, .inducting nonstructural {

elements, should be represented. (c) Equivalent frame model (


Commentary: Conventional practice in regions
of high seismicity is to ignore the contributions of (
the slab-column frame to lateral load resistance.
This approach is inappropriate for the (
L
methodology proposed in this document because (d) Finite element model
the slab-column frame-may provide appreciable
lateral stiffness and strength that may reduce.
retrofit requirements, and because slab-column Figure 9-5. Slab-Column Framing Models
frame damage or collapse must be recognized in
the overall performance evaluation. Therefore, the
slab-column framing system should be included In any model, the effects of changes in cross
directly in the analysis and assessment of the section, including slab openings, should be
building lateral and vertical force resisting considered.
systems. _ Commentary: The main structural components
9.4.2.2.1- Overall Geometry. The of slab-column frames are slabs, columns, slab-
following three approaches to modeling slab- column joints, and the slab-column connection. In
column frames are specifically recognized and are most cases, slab-column joints are not critical.
illustrated in Figure 9-5: Refer to relevant material on beam-column joints
for special cases where slab-column joints may
+ Effective Beam Width Model. Columns and have high shear stresses. The slab-column
slabs are represented by frame elements that
connection commonly is a critical component in
are rigidly interconnected at the slab-column
the system. It comprises the region of slab
joint.
immediately adjacent to the column. Shear failure
.. Equivalent Frame Model. Columns and slabs of the slab associated with shear and moment (
are represented by frame elements that are transfer can result in progressive collapse in cases
interconnected by connection springs. where slab bottom reinforcement (or post
.. Finite Element Model. Columns are tensioned strand) is not continuous through the
represented by frame elements and the slab is column. See the report by ACI-ASCE Committee
represented by plate-bending elements. 352 (ACI 198~) for further information.
(
(

(
(
9-12 Chapter 9, Modeling Rules

(
(

(
SEiSMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

The effective beam width model, the equivalent 9.4.2.2.2 Modeling Local Response. The
frame model, and the finite-element model are analytical models for slabs, columns, and slab-
illustrated in Figure 9-5. For each of these three column connections should be capable of
models, the column is represented by a line representing the controlling deformation and
element having stiffness properties defined by failure modes.
conventional methods. The effective beam width The main deformations in the slab usually
model represents the slab as a flexural member include flexure along the slab length and flexure
having stiffness reduced to represent the indirect and twisting action in the slab adjacent to the
framing between slab and column as well as slab column (the connection region). Prominent failure
cracking, The equivalent frame model represents modes include punching shear failure due to shear
the slab by aflexural and moment transfer,
member that connects to flexural failure, and
the column through a failure due to
transverse torsional inadequate bar details.
member. Finite-element Furthermore,
models represent the progressive collapse
flexural, shear, and may result where one
torsional response of the connection fails by
slab directly. For each punching. The
of the three models, the analytical model should
stiffness should be represent these effects
adjusted from theoretical as appropriate,
values based on the depending on the details
gross cross section because of the significant and proportions of the slab.
effects of slab cracking on response (Vanderbilt Column modeling should follow the guidelines
and Corley 1983). Details on effective stiffnesses for beam-column frames (Section 9.4.2.1).
are in Section 9.5.3. Commentary: The general approach for
The effective beam width model, while simple. modeling flexural, shear, and bond behaviors of
to use, has a drawback in that there is no slabs and columns is similar to thatdescribed for
component to monitor directly the shear and beam-column frames in Section 9.4.2.1.
moment transfer between slab and column, and The potential for slab-column connection
this is an important aspect in checldng failure should be investigated on a free-body
performance. The finite-element model has certain diagram of the slab-column connection subjected
advantages, but has relatively high computational to representative gravity and lateral load effects.
cost. In most cases, it may be preferable to use an Where adjacent component strengths are sufficient
equivalent frame model because it is relatively to induce failure in shear and moment transfer,
simple to implement and it provides a component this failure mode should be modeled. It is possible
to directly monitor shear and moment transfer. with most computer programs to represent
. Other aspects of modeling are similar to those connection failure directly by using a rotational
of beam-column frames, as discussed in joint spring element connecting the slab and the
Section 9.4.2.1. These aspects include the columns. The spring element is initially very stiff
connection between the columns and foundation, and yields at a moment corresponding to the
the action of the slab as a diaphragm, and the development of the critical actions.
interaction with nonstructural components. Failure of a slab-column connection may result
in complete punch-through at that connection,

Chapter 9, ModeHng Rules


(
(

(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS
(
(
(

leading to gravity load transfer to adjacent framed walls. Coupled walls are a special case of (
connections, which subsequently may lead to perforated walls where two or more walls are
progressive collapse. Progressive collapse is interconnected by horizontal framing components.
generally avoided if slab bottom bars are . Discontinuous walls do not extend to the (
continuous through the connection in foundation but are supported instead on beams, (
conventionally reinforced slabs, or if slab bottom columns, or other components. Where walls (

bars or draped tendons are continuous through the intersect to form flanged walls, the effect of (
connection in post-tensioned slabs. If these flanges on stiffuess and strength should be
conditions are not met, the potential for included according to the recommendations of
progr.essive collapse should be modeled directly or Sections 9.5.3 and 9.5.4. Important wall
investigated with a separate analysis. interactions with adjacent wall and frame
elements, especially discontinuous walls and
9.4.3- Concrete Shear Walls elements aligned with other building axes, should I

Concrete wall elements should be classified as be identified. (


solid walls, punched walls, perforated walls, or In coupled walls and perforated walls, the I

coupled walls and should be classified further as vertical components will often be referred to as (
continuous or discontinuous. Solid walls do not wall piers. The horizontal components of coupled
contain significant openings. Punched walls have walls will be referred to as coupling beams,
significant openings that are not aligned vertically. whereas those of perforated walls will be referred
Perforated walls are made of vertical and to as spandrels. Piers, coupling beams, and .
horizontal wall segments that are arranged in a spandrels will also be referred to as wall segments,
regular pattern; these are sometimes referred to as in which case the term refers to all these
components.

Frame and Wall (Vertical) Elements of Buildings

Coupling .
beams

Frame Perforated Wall


I
(Framed Wall) (
(
(
(
(
(
(
(
9 ..14 Chapter 9, Modeling RUles E-
(

(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

9.4.:5. 1 Solid Walls flexure, or if the foundation yields, continued


The analysis model for a solid wall element lateral deformations involve plastic rotations.
should represent the strength, stiffness, and centered near the compression toe of the wall, with
deformation capacity of the wall for in-plane uplift occurring toward the tension side. The
loading. Out-or-plane behavior need not be equivalent column model cannot represent this
considered, except where the wall acts as a flange effect, as the equivalent column is located at the
for an intersecting wall element. Solid walls may wall centerline rather than the toe. This can lead to
be considered "slender" if their aspect ratio inaccuracies in representing interactions with
(height/length) is equal to or exceeds 4 (hw/lw ;::: 4). adjacent components that may be affected by uplift.
Solid walls may be considered "squat" if their WheI:"e interactions with adjacent elements are
aspect ratio is less than or equal to 2 (hw/lw $ 2). considered important, it may be preferable to
Slender walls usually represent the wall by using more-sophisticated
are controlled by techniques that represent the
flexural behavior, width of the wall. Multi-spring
although shear models (Otani 1980; Vulcano et
strength may be a al. 1989; Otani et al. 1985;
limiting factor in Alami and Wight 1992;
some· cases. Squat Charney 1991) may be
walls usually are considered. These models use
controlled by shear two or three vertical springs to
behavior, although represent the axial and flexural
flexure sometimes stijJnesses and strengths of the
may be a limiting wall, plus at least one
factor. The response of walls with intermediate horizontal or diagonal spring to represent the shear
aspect ratios usually is influenced by both flexure stiffness and strength of the wall. Other models that
and shear. Potential failure of anchorages and adequately account for flexural, shear, and rigid-
splices may require modeling of these aspects as body deformations also may be used.
well.. Interaction with other elements, including The model of the connection between the wall
nonstructural elements, should be represented. andfoundation will depend on details of the wall-
Except for squat one- and two-story walls, sliding foundation connection and the rigidity of the soil-
along construction joints need not be modeled. foundation system.
9.4.3.1.1 Overall Geometry. The 9 4..3 1..2 Modeling Local Response. The
e e

analytical model can represent a solid wall with an analytical model should be capable of representing
equivalent wide column element located at the wall the controlling deformation and failure modes. The
centerline, using multi, spring models, truss requirements for stiffness, strength, and
models, or planar finite elements. Where sliding deformability limits are in Section 9.5.
shear strength at a horizontal construction joint Walls can develop inelastic response associated
limits the shear capacity of the wall, this behavior with flexure, shear, development, splices, and
can be modeled with a yielding spring in series foundation rotations. The analytical model should
with the wall panel. represent the likely modes of inelastic response.
Commentary: TIle equivalent column model is Commentary: Diagonal tension cracks can
more appropriate jar slender walls than jar squat develop in walls at moderate levels of shear stress,
walls, although successful results have been and these can lead to deficiencies if horizontal
obtained even jar very low aspect ratio walls reinforcement is inadequate. If the wall contains
(Sozen and Moehle 1993). If a wall yields in adequate horizontal reinforcement and shear

Chapter 9, Modeling Rules


(
(
(
(
SEISMIC EVALUATION: AND RETR'OFIT OF CONCRETE BUILDINGS (
(
;

(
(
stresses are high, the concrete may crush because diagram of the isolated wall subjected to gravity (
of diagonal compression. When loading is loads and likely lateral loads, as described (~

reversed, crushing may occur at the other end of previously for beams (Section 9.4.2.1). Flexural (
the wall, and after several cycles of loading, the action should be checked at points of mo.ximum (
crushed concrete can extend over a significant moment (usually the' base, and possibly at some (
(
length of the wall. This can lead to a major loss of intermediate levels where there is significant
(
strength. frame-wall interaction) and at points where
(
Sliding shearfailure can occur at a weak concrete or reinforcement changes. Potential shear (
plane, such as a construction joint, or along failure may be associated with the shear strength
flexural cracks that have interconnected after ofthe wall panel, where it may be due to diagonal
several cycles of loading to form a shear failure compression or diagonal tension action, or with
plane. At this point, shear is transmitted by shear shear sliding at the base and other locations where
friction and dowel action. After continued loading construction joints are used. Splices of,
cycles, the shear friction resistance will longitudinal reinforcement should be checked to
deteriorate. Also, sliding along the joint may lead determine whether lengths and confinement are (

to ldnldng of the vertical bars and subsequently to adequate for the expectedforce and deformation (
(
bar fracture. demands. The wall model should be configured to
However, while limited sliding .along represent these possible effects where they are (
(
construction joints is frequently observed after important. Nodal points are required at the base,
(
earthquakes, it is not expected to control building at floor levels (where adjacent elements
behavior except perhaps in long, squat low-rise interconnect and where loads are applied), and at
walls whose nominal shear and flexural strength is intermediate locations where inelastic response is
exceptionally high by comparison. It is expected possible.
that the construction joint will be the weakest part Preferably, the wall analytical model will
of a typical wall and that some horizontal sliding directly incorporate interaction between axial load
might occur, but that the joint will thenstiffen and and flexural strength. Where the model does not
allow the nominal wall strength to develop. Thus, account for this action directly, the analyst should
unless sliding over many cycles is sufficient to manually modify flexural strengths to represent
fracture vertical wall reinforcing, the net effect of values corresponding to expected axial loads, and
limited sliding is to dissipate energy without much results should be verified. Axial loads should be
damage or loss of capacity. Therefore, it is usually determined by considering applicable gravity loads
conservative to 'Omit construction joints from the plus interaction effects with adjacent frames and (
model. Additionally, rational construction joint walls.
models (based on dowel action and aggregate
interlock) underestimate the capacity and post 9.4.~2 Coupled, perForated, or Punched
yield behavior observed after earthquakes; useful, Walls
reliable modeling rules are not available. The analysis model for coupled, perforated, or
Lower standards for lapping reinforcement punched wall elements should represent the
were customary when many older concrete strength, stiffness, and deformation capacity of the (

wall, wall segments, and pier-spandrel (


buildings were constructed. In shear walls where (
flexural behavior predominates, insufficient connections. Considerations are generally similar
(
boundary steel laps can limit the moment strength to those for solid walls. Considerations for wall
of the wall. segments such as coupling beams, piers, and
These aspects of wall behavior usually may be spandrels should include relevant aspects of walls
identified by examining a simple free-body and beams, depending on relative proportions and
reinforcement details. Considerable judgment and

9 ...16' Chapter 9, Modeling Rules


SEISMIC EVA,LUATION AND RETROFI·T OF CONCRETE BUILDINGS

detailed local analyses may be required to 9.4.3.2.2 Modeling Local Response. The
determine the nature of overall behavior. analytical model should be capable of representing
Commentary: Modeling and evaluation the controlling deformation and failure modes.
procedures for perforated and punched walls must General modeling considerations are the same as
be established with considerable engineering those described in Section 9.4.3.1. Requirements
judgment. Behavior and analysis requirements are for stiffness, strength, and deformability limits are
likely to depend on the relative sizes ofpiers, given in Section 9.5.
spandrels, and openings. Perforated or punched Coupled walls (including the wall piers and
walls may behave coupling beams) may
essentially as beam- develop inelastic response
column frames or as associated with flexure,
solid walls with shear, development, splices,
many intermediate and foundation rotations.
variations. Some Perforated walls (including
insight into behavior the wall piers, spandrels,
often can be and spandrel-pier
obtained by studying connections) may develop
the results .of linear inelastic response associated
elastic (or nonlinear with flexure, shear,
if practical) finite- development, splices, and
element models of foundation rotations.
portions of the wall Punched walls may develop
element. It may be feasible to establish a strut and inelastic response associated with flexure, shear,
tie model to represent overall nonlinear behavior development, splices, and foundation rotations.
of a punched wall (Yanez et al. 1992). Commentary: Coupling between walls
9.4.3.2.1 Overall Geometry. The typically results in significant variations in wall
analytical model can represent walls and wall axial force under lateral loading. This effect
segments with equivalent beam and column line should be considered when defining stiffnesses and
models, multi spring models, truss models, or strengths. If the coupling beams have flanges (for
planar finite elements. Line models of short example, as may occur if the floor slab frames into
columns and deep beams should incorporate both the beam), the effects of the slab on stiffness and
bending and shear stiffness. For perforated and strength should be included in the model.
punched walls, stiffness representations should be
based on preliminary subassembly studies with 9. 4.£.3 Discontinuous t'flal!s
planar finite elements. Simplified models with line The analysis model for a discontinuous wall
elements may be inappropriate for some punched element should represent the strength, stiffness,
walls. and deformation capacity of the wall and the
For common proportions (individual walls supporting components.
considerably stronger and stiffer than individual Commentary: The supporting columns or
coupling beams), a coupled wall should have beams may be subjected to significant forces and
flexibility along its full height without rigid deformations. The potential for failure of these
vertical segments within the depth of the coupling components should be carefully represented, as
beams. Coupling beams should be modeled to failure of these components has been the cause for
connect to the boundary of the wall. complete building collapse in past earthquakes. In
addition, at the level of the discontinuity, it may be

Chapter 9, Modeling RUles


(
(
(
(
(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE a'UILD'INGS

necessary to model the flow of shearforces from 9..4..4.2 Modeling l.ocal Response (
one plane of vertical resistance to others through f
Refer to Sections 9.4.2 and 9.4.3 for details on
(
the floor diaphragm. frame and wall modeling.
(
9.4.3.3.1 Overall Geometry. Aspects of
9.4.5 concrete Floor Diaphragms (
modeling the wall and the supporting components
are covered elsewhere in this methodology. In The analysis model for a floor diaphragm
addition, it is necessary to properly represent the should represent the strength, stiffness, and
flow of forces from one component to another. deformation capacity for in-plane loading.
Commentary: Where discontinuous walls are Diaphragm axial, shear, and flexural deformations
supported on other components or elements, there should be modeled unless the diaphragms can be
may be considerable jorce and deformation considered rigid and are strong enough to remain
demands on the supporting components, and there essentially elastic under the applicable earthquake
may also be considerable stress concentrations loads. The model should allow assessment of
where the two intersect. These cases must be diaphragm shear, flexure, anchorage, splicing, and
represented properly in the analytical model. connections to vertical components. In general, the
(
9.4.3.3.2 Modeling Local Response. The evaluation or retrofit design must consider how the (
analytical model should be capable of representing diaphragm connects vertical and lateral force (
the controlling deformation and failure modes. The resisting elements and how it braces elements (

requirements for stiffness, strength, and subject to out-of-plane loads or deformations. (


deformability limits are in Section 9.5. Commentary: This methodology considers only
Discontinuous walls may develop inelastic cast-in-place concrete diaphragms; precast
response associated with flexure, shear, concrete diaphragms are not covered explicitly,
development, splices; and foundation rotations. Concrete floor diaphragms are composed of slabs,
The analytical model should represent the likely struts, collectors, and chords.
modes of inelastic response. Modeling Slabs commonly serve multiple purposes; they (
considerations are the same as those described in are a part ofthe floor or roof system to support (
Section 9.4.3.1. gravity loads, they function as tension and
compression flanges for floor beams, and they act
9.4.4 Combined Frame':Wall Elements as a part ofthe horizontal diaphragm. In its
The analysis model for. a combined frame-wall capacity as a part of a diaphragm, the floor slab
element should represent the strength, stiffness, may develop shear, flexural, and axial forces
and deformation capacity .of the wall, the frame, associated with the transmission offorces from one
and the interconnections. Considerations for the . vertical lateral force resisting element to another,
walls and the frames are in Sections 9.4.2 and or with the slab action as a bracing element for
9.4.3. portions ofthe building that are loaded out of
plane.
9.4..4.1 Overall Geometry
Struts and collectors are built into diaphragms
The analytical model should properly represent where the defined stress demand exceeds the (
the interconnection between the frame and wall capacity of the diaphragm without them. Typical (
sub-elements. In most cases, beams will frame into locations include around openings, along defined
the edge of the wall; where the wall is modeled by loadpaths between lateral load resisting elements,
using a line element at the wall centerline, a rigid and at intersections ofportions offloors that have
or nearly rigid offset should be provided to plan irregularities. They transmit primarily axial
represent the fact that the beam connects to the forces but may also carry shear and bending (

wall edge. Refer to Sections 9.4.2 and 9.4.3 for forces. (


details on frame and wall modeling. (

(
(

9 . . 18 Chapter 9, Modeling R.ules t


(
(
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SEiSMIC EVALUATiON AND RETROFIT OF CONCRETE BUILDINGS

Diaphragm chords, usually at the edges of a for their effects on structural elements, specific
horizontal diaphragm, junction primarily to resist modeling rules are not presented here. Refer to
in-plane bending action of the diaphragm. Tensile Chapters 10 and 12.
forces typically are more critical, but compressive Section 9.5.2 discusses assumptions for
forces in thin slabs can be a problem. Exterior material properties. Sections 9.5.3, 9.5.4, and
walls can serve the function of the diaphragm 9.5.5 give guidelines for modeling component
chord if there is adequate horizontal shear initial stiffnesses, ultimate strengths, and
capacity between the slab and wall. deformation capacities. In general, stiffnesses,
The analytical model often can represent the strengths, and deformabilities of structural
diaphragm as a continuous or simple-span components may be calculated on the basis of the
horizontal beam that is supported bY. vertical principles of mechanics of materials as verified by
elements of varying stiffness. Most computer tests or may be calculated on the basis of the
programs assume a rigid diaphragm. The preset rules described in this methodology. In all
adequacy of this assumption should be checked. cases, calculations for existing components should
Modeling rules should be determined by be based on the best available estimates of material
considering the relative flexibility ofthe diaphragm properties and should use the best available
and vertical supporting elements. Where analytical models, except where simplified models
diaphragm nonlinearity is anticipated, this effect provide reasonable economy and accuracy.
should be represented. The modeling procedures Calculations for new materials added as part of a
presented for frames and walls (Sections 9.4.2 and retrofit may be based on nominal properties and
9.4.3) provide general guidance on modeling calculation procedures contained in codes for the
issues for diaphragms. design of new construction.
Commentary: In general, the model must
9.4.6 Foundations represent the stiffnesses, strengths, and.
The analytical model should allow assessment deformabilities of structural components. Two
of soil and structural foundation components and specific approaches are presented. One approach
should represent the nonlinear response of the is to calculate relevant properties directly by using
foundation system. The response of the foundation. basic principles of mechanics as verified by
system can be represented with simple elasto experimental results. The second approach is to
plastic models. For simplicity, foundations may be use preset modeling rules described in detail in
represented as rigid footings, flexible strip this chapter; these rules were derived by the
footings, pile foundations, or drilled shafts. project team on the basis of available test data,
Appropriate models for equivalent linear stiffness analytical methods, and engineering judgment.
and strength should be employed depending on the Some combination of the two approaches is
foundation type. The effects of foundation permissible and is likely to be used in a typical
deformations on structure response should be taken building analysis.
into account. Chapter 10 presents details on The conclusion that an existing structure does
foundation effects. not meet specified performance objectives can
carry with it considerable consequences.
9 ..5 Component Models Therefore, it is important that evaluation be based
on the best available information on the properties
9.5.1 General of materials and components rather than on very
This section applies to the reinforced concrete conservative assumptions. In this document, for
components of the structural model. While soil the evaluation of existing materials, the general
and nonstructural components must be considered approach is to use expected material and

Chapter 9, Modeling Rules


SEISMIC E:VALUATION AND RETROFIT OF CONCRETE BUILDINGS
(
:

{
(
\.

component strengths as opposed to nominal design (


values from codes for new construction. f'
Conventional methods for calculating stiffness, (
strength, and deformability are endorsed where
these are deemed to provide a reasonably good
(
estimate of actual component properties.
(
Otherwise, alternative methods are presented. If (
the building is to be retrofit, new materials may be
modeled with conventional design values specified (
"in codes for new construction.
Existing buildings often contain details and (

proportions that differ considerably from those (


permitted for new building designs. Many of these
conditions have not been tested in the laboratory.
Furthermore, many may involve brittle or
degrading response modes whose behaviors are 1---------rE
widely variable and difficult to predict with
accuracy. The engineer should be aware that
(
actual behavior may vary from calculated (
behavior. In critical cases, the engineer should A
investigate response for a range of likely Lateral Deformation
component properties so that worst-case, but
reasonably conceivable, building responses can be
identified. In less critical cases, it is acceptable to Figure 9-6. Generalized Load-DeFormation
(

assume single, best-estimate values for stiffness, Relations For NOndeg~adjngcomponents (


(
strength, and deformability.
(
The following sections present procedures for '.
modeling materials and components. In some an effective yield point, B, followed by yielding
cases, the procedures differ from more- (possibly with strain hardening) to point C,
conventional procedures such as those specified in followed by strength degradation to point D,
ACI318 (ACII995). The different procedures are followed by' final collapse and loss of gravity load
intended to provide greater. accuracy. In some capacity at point E. More-refined relations are
cases, the improved accuracy requires additional acceptable but are not described in detail in this
computational effort. Where no guidance is given, document. It is acceptable to use a simple bilinear
the engineer should use the procedures specified in model that includes only line segments A-B-C if
ACI318, except thatfor existing components the the analysis ensures that response does not extend
expected materials strengths should be used as beyond point C for any of the components
opposed to the design values specified in A CI 318. (Derivation of generalized load-deformation
Component behavior generally will be modeled relations from cyclic test results is described in
using nonlinear load-deformation relations defined Section 9.5.4.1). (
by a series of straight-line segments. Figure 9-6 Commentary: Figure 9-6 illustrates a (
illustrates a typical representation. In this figure, generalized load-deformation relation appropriate
Qc refers to- the strength of the component and Q for most concrete components. The relation is"
refers to the demand imposed by the earthquake. described by linear response from A (unloaded
As shown in that figure, the response is linear to component) to an effective yield point B, linear
(
(
/
9 ..20 Chapter 9, Modeling Rules t
(

(
(
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SEISMIC EVALUATION· AND RETROFIT OF CONCRETE BUILDiNGS

.:

response at reduced stiffness from B to C, sudden with expected resistance for that deformation
reduction in lateral load resistance to D, response level. Strain hardening to values exceeding the
at reduced resistance to E, and final loss of nominal strength should be avoided.
resistance thereafter. The following main points + The abscissa at C corresponds to the
relate to the depicted deformation at
load-deformation which significant .
relation: strength degradation
.. Point A corresponds begins. Beyond this
to the unloaded deformation,
condition. The continued resistance
analysis must to reversed cyclic
recognize that lateral forces can no
gravity loads may longer be
induce initial forces guaranteed. For
and deformations brittle components,
that should be this deformation is
accounted for in the the same as the
model. Therefore, deformation at
lateral loading may which yield strength
commence at a point is reached. For ductile components, this
other than the origin of the load-deformation deformation is larger than the yield
relation. deformation. Gravity load resistance may or
+ The slope from A to B should be according to may not continue to deformations larger than
the discussion in Section 9.5.3. the abscissa at C.

• Point B has resistance equal to the nominal + The drop in resistance from C to D represents
yield strength. Usually, this value is less than initial failure of the component. It may be
the nominal strength. associated with phenomena such as fracture of
longitudinal reinforcement spalling of
J

• The slope from B to C, ignoring the effects of concrete, or sudden shear failure following
gravity loads acting through lateral initial yield. Resistance to lateral loads beyond
displacements, is usually taken as between 5 % point C usually is unreliable. Therefore,
and 10% of the initial slope. This strain primary components of the lateral force
hardening, which is observed for most resisting system should not be permitted to
reinforced concrete components, may have an deform beyond this point.
important effect on the redistribution of
internal forces among adjacent components. + The residual resistance from D to E may be
non-zero in some cases and may be effectively
• The ordinate at C corresponds to the nominal zero in others. fVhere specific information is
strength defined in Section 9.5.4. In some not available, the residual resistance usually
computer codes used for structural" analysis, it may be assumed to be equal to 20 % of the
is not possible to directly specify the value of nominal strength. The purpose of this segment
resistance at point C. Rather, it is possible is to allow modeling of components that have
only to define the ordinate at B and the slope lost most of their lateral force resistance but
for loading after B. In such cases, results that are still capable of sustaining gravity
should be checked to ensure that final force loads.
levels following strain hardening are consistent

Chapter 9, Modeling Rules


SEISMIC, EVALUATION AN". RETROFIT OF CONCRErS B~ILDIN.GS.

bilinear load-deformation relation. For this


reason, it is acceptable to represent the load-
deformation relation by lines connecting points
A-B-C, provided response is not permitted to
extend beyond C.
Alternatively, it may be possible and
desirable to use more-detailed /000-
deformation relations such as that illustrated
in Figure 9-7. This relation has the following
features:
I .. The initial slope ofthe lateral 1000-
I .
Lateral Deformation. displacement relation represents behavior (
I before cracking. In using such a relation, the
I
engineer should bear in mind that some initial (
I
I cracking may have occurred because of
I (
"0 I
restrained shrinkage and unknown loads.
aj I
o .. Lateral load resistance in some components
--I
>.. may degrade in a more controlled manner than
+-'
'S: shown in Figure 9-6. The rate of degradation (
aj
:s... with increasing lateral deformation depends on
CD the action being modeled and the number of
loading cycles. In general, this aspect of
Lateral Deformation behavior should be established on the basis of
test data.
Components subject to degrading during cyclic
loading, such as shear-controlled beams, columns,
Figure 9-7. Alternative Idealized Load-DeFormation and piers, show a loss of resistance between points
Relation For a component B and C. (Refer to the discussion of Figure 9-11 in
Section 9.5.4.1.) Degrading behavior must be
modeled. c
Commentary: Degradation is different from
(
.. Point E is a point defining the maximum ductile yielding. Components that yield'are able to
deformation capacity. Deformations beyond maintain their strength over several cycles but
this limit are not permitted because gravity cannot accept additional load. Degrading
load can no longer be sustained. In some components do not maintain their strength; some
cases, initial failure at C will "result in loss of ofthe load carried by a degrading component on
gravity load resistance, in which case E is a one cycle must be carried by different components
point having deformation equal to that at C " onsubsequent cycles: Overall building response
and zero resistance. In other cases, could be altered if enough elements or components
deformations beyond C will be permitted even experience this effective loss of strength. (
though the lateral load resistance is greatly Consequently, widespread degradation must be
reduced or even zero-valued. modeled. .
Many currently available computer Degrading components are generally force-
programs can only directly model a simple controlled, although some components may be able (
(
9-22 Chapter 9, Modelintl RUles
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDING!';

--

to degrade slightly and is reached, it may be


still withstand additional acceptable to exclude it
deformations. In force- from the model
controlled primary altogether.
components, inelasticity The point at which
is not allowed, so degrading occurs is not
deformation beyond entirely predictable; it
point B in Figure 9-6 is may depend on
unacceptable. This detailing, member
generally marks the end proportions, and the
of reliable behavior and, relative magnitudes of
consequently, the end of moment, shear, and
meaningful analysis. axial force. With
However, if the reference to Figure 9-6,
component can be designated as secondary (see Figure 9-11, and Table 9-4, a rough approach is
Chapter 11), analysis may proceed, as long as the to assume that the component will be fully
degrading behavior is accounted for, i.e., as long degraded at a ductility demand of 4. Fully
as the component's forces are redistributed to degraded properties can be represented by lateral
other elements. load resistance equal to about 20% of the
In a nonlinear static analysis such as a undegraded strength. An intermediate partially
pushover, degrading is represented by a degraded state, assigned at a ductility demand of
"shedding" of load from critical components 2, may also be assumed. Conclusions based on
without the application of additional load. If these analyses should be appropriate to the rough
available computer programs are unable to nature of analysis assumptions.
represent this effect directly, degradation can he
simulated with a series of analyses. In the first 9.5.2 Material Models
analysis, forces are applied until critical
9.5.2. 1 General
components reach a deformation level at which
they would be expected to degrade. For the second The material models should consider all
analysis, the critical components are assigned fully available information, including building plans,
or partially degraded strength and stiffness less original calculations and design criteria, site
than their original properties, and this second observations, testing, and records of typical
model is loaded to a point at which additional materials and construction practices prevalent at
degradation is expected. A third model with the time of construction. Chapter 5 describes
degraded properties is analyzed, etc. The series of procedures for identifying material properties.
models and analyses yields a series of capacity Default assumptions may be required in certain
curves; each curve is applicable over a range of cases where information is unavailable.
displacements. Taken together, the applicable Commentary: Successful application of the
parts of each curve form an effective capacity methodology requires good information about the
curve for the degrading structure (Example building. In general, material properties should be
building studies in Volume 2 illustrate this established by inspection and testing.
approach). Alternatively, in accordance with 9.5.2_2 Concrete
Section 9.3.1, if a component is expected to be
Evaluation of concrete material properties
fully degraded long before the performance point
should involve determination of compressive

Chapter 9, Modeling Rules


(

SEISMIC EVA'LUATION AND RETROFIT «IF CONCRETE BUILDINGS

strength, modulus of elasticity, aggregate density, Where a cross section relies on longitudinal
and variability. reinforcement for strength, the compression strain
Commentary: Compressive strength may be in concrete surrounding the bar should not be (
gauged by using the destructive and nondestructive taken to exceed the buckling strain. Except where (
methods identified in Chapter 5. Alternatively, more-refined models considering realistic strain (
concrete strength may be projected from early-age histories are used to define buckling strain
values 1:Jy using conventional relations (A CI 1986). capacity, the maximum compressive strain of
Note that some data indicate that the strength . confined concrete, Ecu, should be defined as
increase for air-cured concrete (as opposed to follows: B:u = 0.02 for stds ::s;; 8, where s =
..outdoor exposure) may cease at the age of about longitudinal spacing of confining transverse
one year (Wood 1991). The projection of concrete reinforcement and db = diameter of longitudinal
strength should be accepted only where- concrete reinforcement; B:u = '0.005 for slds ~ 16; and Ecu
design strength is known and quality control is interpolated linearly between these values.
believed to have been good, or where data are Commentary: Many structural components,
(
available on concrete strength at the time of such as beams, columns, and walls, rely on
construction. In addition, a visual inspection of the (
longitudinal reinforcement to resist flexural and (
structure should verify that concrete quality axial loads. If the longitudinal reinforcement is
appears reasonably uniform and that deterioration. stressed in compression, it may buckle, in which
has not occurred. The modulus of elasticity may be case it cannot be relied on to continue resisting
gauged from nondestructive or destructive tests. compressive forces. Under the action of reversing
Alternatively,' it may be gauged indirectly from loads, reinforcement that buckles in compression
compression strength and density information by 'A,Y1-z" '"..,nA7,""" 7vt
rv ....,
It. ....,Ult....., ..
1'1:...·CO...""VI£
o £1£ v, I.Co u£,
nY.1l.n ,.""';..rt.-xn k...n. n~,..I'f
'SI'J.I1I.......... __ ,,1 : ...
II c.u..y UC; '>£1 C:.:>.:> c;u. tIt

using conventional relations from A CI 318. tension with loading in the opposite direction. This
Transverse reinforcement may be taken to action may lead to low-cycle fatigue failure, so
enhance the strain capacity and compressive that the reinforcement can not continue to resist
strength of concrete. Except where more-detailed tensile forces. For this reason, it is necessary to
models are used, compressive strain capacity may (
ensure that this reinforcement does not buckle. TIle
be defined by Equation 9-1 and compressive maximum strain limit of O.02·is based on an
strength may be defined by Equation 9-2. evaluation of buckling data from tests on columns
with closely-spaced hoops. The other limit is based
<; =0.005+0.1,,0" r.tf: :::;0.02 (9-1) on judgrrient.
Unless specific data are available to indicate
otherwise, deformabilities of components made
with lightweight aggregate concrete should be
assumed to be about 25 % lower than those of
Commentary: The strength and deformation . equivalent components made with normal-weight
capacities of confined concrete depend on aggregate concrete.
aggregate density, the configuration and spacing Commentary: Lightweight aggregates in
of transverse reinforcement, and the strength of the concrete often tend to result in poorer seismic
concrete and reinforcement. The proposed behavior. Compared with normal-weight aggregate
relations are intended to apply to concrete concrete of the same compressive strength, elastic
confined by reasonably well detailed rectilinear modulus is reduced, behavior beyond the peak
hoops. Details of confinement models can befound compressive stress may be more brittle, transverse
in the technical literature (Sheikh J982). reinforcement may be less effective as a confining

9·24 Chapter 9, Modeling Rules

(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE Bun.DRINGS

Table 9·2. Minimum Tensile properties of Concrete Reinforcing Bars (ATe 1996aJ

Tensile proprietary shapes


1900- strength, ksi
1919 Yield strength, 33 to 35 proprietary shapes, 33 to 552
ksi
Tensile 55 to 70 70 to 85 80 min 55 to 70 70 to 85 80 min
1920 - strength, ksi

1949 Yield strength, 33 40 50 33 40 50


ksl ASTM A15·14 ASTM A15-14 ASTM Ai5-14 ASTM A15-14 ASTM A15-14 ASTM A15-14
Tensile 70 118 ASTM A-31
strength, ksi ASTM A-iS ASTM A-432
1950 -
1969 Yield strength, 40 to 45 60 75
ksi
Tensile ASTM A-15 3 ASTM.432
1970 - strength, ksl

1996 Yield strength, 40 to 45 60


ksi

Intermediate-grade reinforcement established as the single standard for billet-steel in 1928 (approx.),
Bend test determined that these early high-strength bars were often brittle.
This grade has been generally phased out for use as primary tensile reinforcement but is often used for stirrups and ties.

agent, bond/anchorage/shear strengths are Commentary: In some cases it will not be


reduced, and overall reversed cyclic load behavior possible to establish the reinforcement grade with
tends to be more pinched and to degrade more certainty. In these cases it may be necessary to
rapidly. rely on information about construction time and
the reinforcement commonly available at that time.
9.5.2.5 setnrorcement The engineer should be aware that the actual
Evaluation of reinforcement should consider materials may differ from assumed ones, and the
grade; surface deformations: surface conditions evaluation should take into account the possible
(including corrosion); and bar placement and errors in estimating both capacities and demands.
detailing. Grade can be established from the In the absence of more-definitive data, the data in
construction plans, from examination of grade Table 9-2 may be used to guide selection of
markings in exposed bars, from sample tests, or reinforcement properties. The table presents
from information on reinforcement commonly information on typical reinforcement grades used
used during the construction era. Bar locations and at various times in California (ATe 1996a).
details may be established from the plans or from Where theoretical or empirical models are used
testing and inspection of the building. See to calculate component strength and deformability,
Chapter 5 for additional details. the potential for reinforcement buckling and
subsequent fracture should be taken into account.

Chapter 9, Modeling Rules.


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

--
120

100
Grade E e---
Y
/'

---
"iii 80
~
/
of 60
t/)
Grc de4Q..-
./"-
-
!
ti) 40

20

o
o 0.02 0.04 0.06 0.08 0.10 0.12 0.14 0.16
Strain
Figure 9-8. ReinForcing steel stress-strain Relations

(
Maximum tensile strain in reinforcing steel should uncracked stiffness. The stiffness value may be (
not be assumed to exceed 0.05. determined as a function of material properties
Commentary: Figure 9-8 plots typical stress- (considering current condition), component
strain relations for reinforcement that may be used dimensions, reinforcement quantities, boundary
to help define default relations in cases where data conditions. and stress and deformation levels,
are not available. These relations may be useful In many cases it will be impractical to
for calculating the strength and deformation calculate effective stiffnesses directly from basic
properties of components. mechanics principles. Instead, the effective initial (
Reinforced concrete structural members stiffness may be based on the approximate values
subjected to deformation reversals may sustain . of Table 9-3.
reinforcement buckling, which usually is followed As discussed in Section 9.4.2.2, slab-column
by the fracture of reinforcement in tension when frames can be modeled using the effective beam
the deformation is reversed. The tendency for width model, the equivalent frame model, or
buckling depends not only on the compressive finite-element plate-bending models. When these
strains but on previously developed plastic tensile models are used, the effective stiffnesses of
strains in reinforcement, because plastic tension components should be established on the basis of
strain leaves an elongated bar exposed to develop experimental evidence to represent effective
compression in the initial stages of load reversal. stiffnesses according to the general principles of
this section. In particular, the effects of cracking
9.5.3 Component Initial stiffness on stiffness should be taken into account
Reinforced concrete component initial stiffness considering experimental evidence.
may-be represented by a secant value defined by Commentary: Reinforced concrete texts and
the effective yield point of the component, as design codes prescribe precise procedures for
shown by the initial slope in Figure 9-6. For stiffness calculation. Most of these procedures
flexure-dominated components, this stiffness were developed from tests of simply supported
corresponds approximately to the fully-cracked reinforced concrete flexural members loaded to
stiffness. For shear-dominated components, this relatively low stress levels.
stiffness corresponds approximately to the
(
(
(
9 ..26 Chapter 9, Modeling Rules (
(

('
(
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SEISMIC EVALUATION- AND RETROFIT OF CONCRETE BUU.DINGS

Table 9-3. component Initial stumesses


....-.~-=!""!'

~It~~il~llli~~::
Beam, non-prestressed' O.5Eclg O.4EcAw
Beam, prestressed' Eclg O.4EcAw
Columns in compression O.7Eclg O.4EcAw
Columns in tension O.5Eclg . O.4EcAw EsAs
walls, uncracked O.8Eclg O.4EcAw
Walls, cracked O.5Eclg O.4EcAw
Flat slabs, non-prestressed see discussion O.4EcAw
Flat slabs, prestressed in Section 9.5.3 O.4EcAw

I I g for T-beams may be taken twice the I g of the web alone. or may be based on the effective section as defined in
Section 9.5.4.2.
For shear stiffness, the quantity OAEc has been used to represent the shear modulus, G.
3 For shear-dominated components, see the discussion and commentary in Section 9.5.3.

The results often are not transferable to the Flexure tends to dominate for relatively slender
effective stiffness of a reinforced concrete components (l/h. exceeding about 5, where h is the
component that is interconnected with other section depth parallel the lateral load and l is the
components and subjected to high levels of lateral length from the point of maximum moment to the
load. Actual boundary conditions and stress levels inflection point).
may result in significantly different effective Shear and partial reinforcement slip tend to
stiffnesses. dominate for lower aspect ratios. For columns and
Experience in component testing suggests that shear walls subjected to appreciable axial stress
important variations in effective stiffness can occur variations under earthquake loading, it is
for nominally similar conditions (Aschheim and important to model axial flexibility also.
Moehle 1992; Otani et al. 1994). The engineer The recommended initial stiffness,
evaluating an existing building must be aware that corresponding to stiffness near yield, in many
a range of stiffnesses is possible for any set of cases will be considerably less than the gross-
nominal conditions and that variations within the section stiffness commonly used in conventional
range may affect the final performance design practice. The effective stiffness for a given
assessment. component will depend somewhat on the sources of
Figure 9-9 illustrates the typical sources of deformation and the anticipated stress levels, as
flexibility for a component subjected to lateral suggested in the following paragraphs.
forces. These include flexure, shear, and partial For a flexure-dominated component, effective
reinforcement slip from adjacent connections stiffness can be calculated by considering well-
(foundations, beam-column joints, walls, etc.). developed flexural cracking, minimal shear

Chapter 9, Modeling Rules


SEISMIC E'VALUATION AN., RET~OFIT OF CONCRETE' BUILDINGS
"

\
(

Flexure Shear Reinforcement Slip Sliding

Figure,9-9. Typical Idealized sources of DeFormation in a Component Subjected to Lateral Forces

cracldng, and partial reinforcement slip from Therefore, for shear-dominated components the
adjacent joints andfoundation elements. Flexural effective initial stiffness may be based on the
stiffness can be calculated according to gross-section properties considering flexure and
conventional procedures that take into shear~ Stiffness reduction to account for
consideration the reinforcement slip from
variation offlexural foundation elements may
moment and cracldng be appropriate.
along the component For an axial load-
leneth.
v
Shear stiffness
~~
dominated component,
may be approximated on the appropriate stiffness
the basis of the gross depends on whether the
section. Where stress .axial load is tensile or
levels under applicable compressive under the
load combinations are applicable load (
certain to be less than combinations. Where it
levels corresponding to is compressive, the
(
significant cracldng, stiffness can be derived
(
uncracked flexural stiffness may be appropriate. from the gross-section or uncracked transformed-
Note that flexural theory commonly assumes that section properties. Where it is tensile, and of (
concrete in the tension zone carries no tension sufficient magnitude to result in cracking, the
stress. In reality, cracldng in reinforced concrete stiffness should be based on the reinforcement
components occurs at discrete locations, and only, although some adjustment to account for ,
significant tension stiffening can result from tension stiffening may be appropriate. However,
(
tension carried by concrete between the cracks note that tension stiffening tends to degrade under
(Park and Paulay 1974). Especially for lightly- repeated loading. r (
reinforced components, the fully-cracked stiffness The stiffness values given' in Table 9-3 may be
(
may grossly underestimate the actual stiffness. used instead of values calculated directly from
For a shear-dominated component, the onset of principles ofmechanics. The values were selected ('
shear cracking commonly results in a dramatic to represent values expected for typical propor-
reduction in effective stiffness and may be tions and reinforcement ratios. Some adjustment
considered to represent the end of elastic behavior up or down depending on the actual proportions (
for the component (Sozen and Moehle 1993). and reinforcement ratios is acceptable. (
(
(
(
9·28 Chapter's, Modeling RUles (

(
(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

Some of the stiffness values given in Table 9-3 equivalent frame model without the one-third factor
depend on the level of axial load, where axial load or the effective beam width model with f3 = 1. O.
is calculated considering gravity and lateral load
effects. In statically indeterminate structures the 9.5.4 component strength
calculated internal forces will depend on the
assumed stiffness, and in certain cases it will not 9.5.4. 1 General
be possible to identify a stiffness from Table 9-3 Actions (forces and associated deformations)
that results in a force that is consistent with the in a structure are classified as either deformation-
assumed stiffness. controlled or force-controlled. Components are
For example, a column. may be assumed to be similarly classified for each action they experience
in compression, resulting in a flexural stiffness of (e.g. columns in flexure, columns in shear). Thus,
O.7Eclg, but the analysis with this stiffness all components are classified as either primary or
produces column tension. On the other hand, ·if the secondary (see Chapter 11) and as deformation- or
same column is assumed to be in tension, resulting force-controlled. Unless noted otherwise , the
in a flexural stiffness of O.5EcIg, the analysis following discussion refers to primary elements
indicates that the same column is in compression. and components only.
For this column, it is acceptable to assume an Deformation-controlled actions are permitted
intermediate stiffness of O. 6EcIg and move on with to exceed elastic limits under applicable
the analysis, rather than trying to iterate an exact earthquake loads. Strengths for deformation-
solution. controlled actions should be taken equal to
Various approaches to representing the effects expected strengths obtained experimentally or
of cracking on stiffness of reinforced concrete calculated by using accepted mechanics principles.
slabs have been proposed and verified. Vanderbilt Expected strength is defined as the mean
and Corley (1983) recommend modeling a slab- maximum resistance expected over the range of
column frame with an equivalent frame in which deformations to which the component is likely to
the slab flexural stiffness is modeled as one-third be subjected. When calculations are used to define
of the gross-section value. Hwang and Moehle mean expected strength, expected materials
(1993) recommend an effective beam width model strengths including strain hardening are to be taken
having an effective width for interior framing lines into account. The tensile stress -in yielding
equal to f3(5c} + O.25~), where f3 represents longitudinal reinforcement should be assumed to
be at least 1.25 times the nominal yield strength.
cracking effects and ranges typically from one-
Procedures specified in ACI 318 may be used to
third to one-half, ct = column dimension in the
calculate strengths, except that strength reduction
direction offraming, and lJ = center-to-center
factors, lP, should be taken equal to 1.0, and other
span in the direction offraming.
procedures specified in this document should
For exterior frame lines, use half this width.
govern where applicable.
Use gross-section flexural stiffness properties for
Force-controlled actions are not permitted to
the effective width. Note that this effective width
exceed elastic limits under applicable earthquake
applies only where the analysis model represents
. loads. Strengths for force-controlled components
the slab-column joints as having zero horizontal"
dimension (the effective width automatically should be taken equal to lower bound strengths
corrects for the fact that the joint is nearly rigid). obtained experimentally or calculated by using
Alternate approaches may be used where verified established mechanics principles. Lower-bound
strength is defined generally as the lower 5
by tests.
percentile of strengths expected. Where the
For prestressed slabs, less cracking is likely,
strength degrades with continued cycling or
so it is acceptable to model the framing using the
increased lateral deformations, the lower-bound

Chapter 9, Modeling Rules


(
(
SEISMIC EVALUATION AND RETROFIT OF· CONCRETE BUILDINGS· (
(
(
;

(
, (
strength is defined as the expected minimum. value High strength estimates are desirable for
within the range of deformations and loading deformation-controlled actions because in a
cycles to which the component is likely to be yielding structure these determine the demands on (
subjected. When calculations are used to define the force-controlled actions. By contrast, low
. lower-bound strengths, lower bound estimates of estimates are desirable for force-controlled actions
materials properties are to be assumed. Procedures because these actions may result in brittle failure,
specified in ACI 318 (with l/J = 1.0) may be used and a goal of the evaluation and retrofit design is (
to calculate nominal strengths, except that other to avoid this type offailure. There is one
procedures recommended in this document should exception: where the same materials influence the
be used where appropriate. strength of botn deformation-controlled andforce-
For the structures covered by this methodol- controlled actions, it is reasonable to assume the
ogy, deformation-controlled actions "are limited to same material properties rather than assuming
the following: upper-bound values for one and lower-bound
+ Flexure (in beams, slabs, columns, and walls), valuesfor the other. For example, consider a
reinforced concrete beam where flexure is the
+ Shear distortion in walls and wall segments, deformation-controlled action and shear is the
+ Connection rotation at slab-column connections force-controlled action. In this case, both flexural
Commentary: This and shear strength are affected by concrete and .
methodology is a reinforcement
displacement-based properties. It would be
procedure, that is, its reasonable to calculate
basis lies in estimating flexural strength
the expected lateral . assuming estimated
displacements and the concrete strength and
resulting local reinforcement stress
deformations and equal to 1.25 times the
internal force demands. nominal value. Shear
For ductile components strength would be
subject to deformation- calculated using the
controlled actions, sante assumed concrete (
performance is measured strength and the same
by the relation of assumed nominal yield
deformation demand to stress for the
deformation capacity. reinforcement, but
Force and stress levels without strain
are of lesser importance for these components. By hardening. It would be unreasonable to assume a
{
contrast, for components subject to force- high compressive strength for flexure and a low
controlled actions, relatively brittle behavior is compressive strength for shear because the same
expected and the main measure ofperformance is concrete resists both actions.
the force or stress level. The force or stress levels Deformation-controlied actions in reinforced
in these components depend primarily on the forces concrete construction typically are limited to
that are delivered to them by yielding deformation- flexure and to shear in components with low aspect
controlled components. Capacities offorce- ratios. Flexure generally is the more ductile of the
controlled components sometimes depend on two, and resistance in flexure usually can be (

ductility demand, as noted below. determined with greater accuracy. For this reason,

(
(
9·30 Chapter 9, Modeling RUles
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

deformation-controlled actions are largely limited Table 9-4. component Ductility Demand
to flexure. ClassiFication
As a flexure-dominated component is flexed
into the inelastic range, the longitudinal
reinforcement in tension may be stressed to yield
and beyond. The actual yield stress of reinforcing <2 Low ductility demand
steel typically ranges from the nominal yield value 2 t04 Moderate ductility demand
to about 1.3 times the nominal value, with average >4 High ductility demand
values about 1.15 times the nominal value (Mirza
and MacGregor 1979). Tensile strength, which
may be approached in components having high Where strength and deformability capacities
ductility demand, is typically about 1.5 times the are to be derived from test data, the tests should be
actual yield value. Therefore, the minimum representative of the proportions, details, and
recommended tensile stress of 1. 25 times the expected stress levels of the components. In
nominal yield value should be considered a low establishing design values from tests, the -expected
estimate suitable only for components with low and variability in test results must be taken into
intermediate ductility demands. account. The loading history used in the test
In all cases, strengths should be determined should be representative of cyclic response and
with due consideration for co existing forces. For damage accumulation expected for the critical
example, flexural strength and deformation loading.
capacity of columns need to be calculated Test data are used to define idealized multi
considering the axial forces likely to co exist with linear load-deformation relations according to the
the flexural demands. In general, for a column in following procedure:
compression, flexure is deformation-controlled and + For deformation-controlled actions (Figure 9-
axial behavior is force-controlled. The column 10), a "backbone curve" should represent an
flexural moment strength and corresponding upper bound to the forces and a drop in
acceptance criteria are determined for the axial resistance when strength degradation becomes
load expected to be acting on the column for the apparent in the cyclic data. A multi linear
appropriate load combinations. Where lateral "idealized" load-deformation relation similar
loading in different directions results in different to that shown in Figure 9-6 approximates the
axial loads, flexural strength and acceptability backbone curve. For deformation-controlled
should be checked for both extremes and for actions, the multi linear load-deformation
critical cases in between. Special attention is relation should display a ductility capacity of
required for corner columns, which may not less than 2. Otherwise, the action should
experience very high axial tension or compression be defined as force-controlled.
under lateral loading along a diagonal building +- For force-controlled actions (Figure 9-11), the
axis. backbone curve represents a lower bound to
Component ductility demand is classified into the forces, followed by a drop in resistance to
three levels, as listed in Table 9-4. Some match cyclic data. The idealized load-
procedures for strength calculation, in particular deformation relation should not show
for force-controlled actions, define the strength as displacement ductility. (See Section 9.5. 1.)
a function of the component ductility demand, as
defined in this table.

Chapter 9, Modeling Rules


~",.-~.~'

\.,
(
\.
(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE ,BUILDINGS

\"

--------- Data
-Backbone
... ... .. Idealization --------- Data
- - - Backbone
... ... .. Idealization

(
\,

(
Lateral Deformatton Lateral Deformation

Figure 9-10. construction of a Backbone'Load- Figure 9-11. construction of a Backbone Load-


Deformation Relation for a Deformation- Deformation Relation for a Force-controlled Action
controlled Action
relations. In squat wall sections, the effects of
Commentary: Strengths and deformation nonlinear strain variations may be included.
capacities given in this chapter are for earthquake In members consisting of a flange and web that
loadings involving about three fully reversed cycles act integrally, the combined stiffness and strength
to the specified deformation level, in addition to for flexural and axial loading should be calculated
similar cycles to lesser deformation levels. In some considering a width of effective flange on each
cases, including some short-period buildings and side of the web equal to the smallest of (a) the
buildings subjected to long-duration earthquakes, provided flange width, (b) half the distance to the
a building may be subjected to more-numerous next web, and (c) one-eighth of the span for beams
( ~
cycles at the specified deformation level. In other or one-quarter of the total height for walls.
cases, such as where near-jield ground motion When the flange is in compression, both the
effects are significant, a building may be subjected (
concrete and reinforcement within the effective
to a single impulsive deformation cycle. In width should be considered effective in resisting
general, for more numerous deformation cycles, flexure and axial load. When the flange is in
the deformation capacity of deformation-controlled tension, longitudinal reinforcement within the
actions and strengths offorce-controlled actions effective width should be considered fully effective
will be reduced. This effect should be considered for resisting flexure and axial loads. The portion ( .
in the evaluation or retrofit design. Where tests of the flange extending beyond the width of the ~
are conducted to determine modeling criteria, the web should be assumed ineffective in resisting
loading program in the test can be adjusted to shear within the plane of the web.
represent the history expectedfor "the controlling Flexural strength may be calculated directly by
loading. . considering the stress-strain relations of
Section 9.5.2 and conditions of equilibrium and
9..5.4.2 Flexure and Axial Loads
compatibility. Alternatively, flexural strength may
It is generally acceptable to calculate flexural be calculated by using the rectangular stress block
strength of members (with or without axial loads) of ACI 318, with the following conditions: (
on the basis of assumed monotonic load behavior,
with strains assumed to vary linearly across the ... Maximum concrete compression strain ranging
(
section and stresses assumed to be uniquely related from 0.003 to 0.005 \
I

to strains according to monotonic stress-strain (

9-32 Chapter 9, Modeling Rules


SEiSMIC EVALUATION AND RETROFI.T OF CONCRETE BUILDINGS;

.. Maximum stress in concrete compression zone 1991; Thomsen and Wallace 1995). The
taken equal to 85 % of the expected recommendation applies to beams, walls, and
compression strength other similar components. "When the flange is in
compression, it is acceptable for computational
.. Elasto plastic behavior of reinforcement with
convenience to ignore the flange reinforcement.
assumed yield stress equal to 1.4 times the
When the flange is in tension, the reinforcement
nominal value
within the effective width
Flexural strength
should be assumed to be
should be calculated fully effective in
considering the stress
carrying flexural tension
limitations imposed by
forces. For walls with
available development significant boundary
and splicing of
reinforcement located
reinforcement, as
just outside the
described in designated effective
Section 9.5.4.5.
width, that
Commentary : reinforcement should be
Current U.S. codes of considered at least
practice for new partly effective in
construction require that resisting flexure and
strength be calculated axial loads.
for a maximum usable Flexural strength .
concrete compression and deformation
strain of 0.003. Tests of components subjected to capacity of columns must be calculated with due
flexure or combined flexure and axial load indicate consideration of co existing axial force. This
that larger strains usually can be reached when the subject is discussed in greater detail in the
component has moderate strain gradients and commentary to Section 9.5.4.1.
confinement provided 1Jy adjacent sections or
transverse reinforcement. For this reason, it is 9.5.4.5 Shear and Torsion
permitted to calculate flexural and combined Strengths in shear and torsion should be
flexural and axial load strengths by assuming calculated according to ACI 318 except as noted
maximum usable strain of O. 005 at the extreme below.
concrete compression fiber. Larger strains may be Commentary: Shear and torsion resistance is
used where allowed by the confining action. of known to degrade with increasing number of
transverse reinforcement. In no case should loading cycles and increasing ductility demands.
compression strain capacity be assumed to exceed This effect must be recognized in establishing
0.02. For unconfined components subjected to shear strengths for evaluation or retrofit design.
nearly uniaxial compression (that is, without The expressions presented here are intended for
significant bending), the maximum' usable structures in which only a few deformation cycles
compression strain at strength may be as low as at the peak displacement level occur during the
0.002, rather than the limit of O. 005 recommended applicable earthquake. Where long-duration
where significant flexure is present. motions are expected, or where the structure has a
The recommendation for effective flange width very short period resulting in more-numerous
is based on data from lateral load tests offrame cycles. some downward adjustment in shear
connections and flanged walls (French and Moehle strength may be appropriate.

Chapter 9, Modeling Rules


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINCS·
(
:

Within yielding regions of components with Column shear strength in existing construction
moderate or high ductility demands, shear and may be calculated by the following expressions:
torsion strength should be calculated according to
accepted procedures for ductile components (e.g., (9-3) (
the provisions of Chapter 21 of ACI 318). Within (
yielding regions of components with low ductility (
demands, and outside yielding regions, shear (
(9-4)
strength may be calculated using accepted
procedures normally used for elastic response
(e.g., the provisions of Chapter 11 of ACI 318)~
Vs A"fyd (9-5) (
Within yielding regions of components with 0.68
.. moderate or high ductility demands, transverse and k = 1 in regions of low ductility and 0 in (
reinforcement should be assumed ineffective in regions of moderate and high ductility, A. = 0.75 (
resisting shear or torsion where the longitudinal for lightweight aggregate concrete and 1 for (
spacing of transverse reinforcement exceeds half normal-weight aggregate concrete, and N = axial
the component effective depth measured in the compression force in pounds (zero for tension
direction of shear, or where perimeter hoops either force). All units are expressed in pounds and
are lap-spliced or have hooks that are not inches. Note that column shear strength needs to
adequately anchored in the concrete core. Within be checked within Yielding regions at the column
yielding regions of components with low ductility ends and near midheight. There may be less .
demands, and outside yielding regions, transverse reinforcement at midheight than at the ends, and
reinforcement should be assumed ineffective in ductility de1TI~nds will be lower.
resistinz shear or torsion
/:) . where the longitudinal Commentary: Experiments on columns
spacing of transverse reinforcement exceeds the , subjected to axial load and reversed cyclic lateral
component effective depth measured in the °

displacements indicate that ACT 318 design (.


direction of shear. strength equations may be excessively conservative
Commentary: The recommendationsfor for older existing columns, especially those with
transverse reinforcement spacing are based on the low ductility demands (Lynn et al. 1995; Aschheim
understanding that unless there is a minimum and Moehle 1992; Priestley et al. 1994). The
anwunt of transverse reinforcement, spaced so that recommended column shear strength equation is (
at least one well-anchored stirrup or hoop based on a review of the available test data. The
\
(
intersects each inclined shear crack, the shear available strength in older columns appears to be
contribution of transverse reinforcement should be related to ductility demand; therefore, conservative
ignored. The requirements for details in yielding procedures should be used to determine whether
regions of components with moderate and high ductility demands will reach critical levels.
ductility demands are based on the understanding The column axial load should include both
that cover spalling may occur in these regions, and gravity and seismic contributions.
therefore the transverse reinforcement must be 'Where ductility levels reach intermediate or
adequately anchored into the core concrete. For high levels, the methodology recommends that the
the purposes of this section, the length of the shear strength contribution assigned to the
yielding region can be assumed to be equal to the concrete be reduced dramatically. For columns
largest of the following: the member dimension in with low amounts of transverse reinforcement, the
the direction of theloading, one-sixth of the clear assigned strength drops to near zero. This severe
span or clear height, and 18 inches. recommendation is made with the understanding

9 ..34 Chapter 9, Modeling Rules


SEISMiC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

that shear failure ofpoorly confined columns to the expressions is based on judgment. For shear
commonly is a cause of column failure and walls. in contrast to columns, the available data
subsequent structure collapse. Engineering do not support reducing the concrete contribution
judgment-as well as the specifications of this with increasing ductility demand (ATe 1983). The
methodology-should be applied to determine the reduction in shear strength for low horizontal
proper course of action for buildings with columns reinforcement ratios is based on the expectation
having widely spaced ties and moderately high that wall reinforcement may fracture and be
shear stresses. ineffective once shear cracldng occurs if the
Wall shear strength in existing construction volume ratio of reinforcement is very low.
may be calculated by the following procedures.
9.5.4..4 Shear Friction
(9-6) Shear friction strength should be calculated
according to ACI 318, taking into consideration
the expected axial load due to gravity and
where
earthquake effects. For shear walls, the axial load
v, =2:tgt wl w (9-7) may be assumed to act uniformly across the length
of the element at the level being checked. Where
A v f3 nf y 1w retrofitting involves the addition of concrete
V s = ----"-- (9-8)
s requiring overhead work with dry-pack, the shear
friction coefficient, p" should be taken to be equal
except the shear strength Vn need not be taken to to 70% of the value specified by ACI 318.
be less than 4Afltwl w and should not be taken Commentary: The recommendation for shear
friction strength is based on research results
to exceed 1OAflt wlw ' where Vn is the nominal reported by Bass et al. (1989). The reduced
wall shear strength, /... = 1.0 for normal-weight friction coefficient for overhead work is because of
aggregate and /...=0.75 for lightweight aggregate the likelihood of having poorer quality of the
concrete, tw is wall web thiclmess (in inches), and interface at this joint.
llV is wall length (in inches). For reinforced concrete walls subjected to
When a wall has a horizontal reinforcement significant lateral forces. it is likely that portions of
percentage, p«, less than 0.0025, the reinforcement the wall length will be in tension because offlexure
and axial load effects. For isolated cantilever
contribution is reduced with the [3,1 factor. The
walls. the compression zone may be relatively
value of f3n should decrease linearly from a value
short, witlt the majority of the wall length subjected
of 1.0 for Pll = 0.0025 to a value of 0.0 fOT p« =
to flexural tension. For coupled walls, one of the
0.0015. For Pll ::; 0.0015, there will be no wall piers may be in tension along its entire length
contribution from the wall reinforcement to the because of coupling action. In the opinion of the
shear strength of the wall. writers, it is acceptable in cases such as these to
In walls with flanges and webs acting assume that the entire length of the wall is effective
integrally, the portion of the flange extending in resisting shear along critical planes, with the
beyond the width of the web should be assumed axial load stress taken equal to the total axial load
ineffective in resisting shear within the plane of divided by the total wall length.
the web. .
Shear friction provides most or all of the shear
Commentary: The lower bound for walls is resistance across typical horizontal construction
supported by tests on walls (Sozen and Moehle joints. Section 9.4.3.1 discusses the need to model
1993; Wood 1990). The addition of the variable A construction joints.

Chapter 9, Modeling Rules


SEISMIC EVALUATldN AM'D RETROFIT OF CONCRETE BUILDINGS

9.5.4..5 Development SPlicing, and should be assumed to degrade fromfs to 0.2fs at


Anchorage ductility demand equal to 2.0.
Development requirements for straight bars, Strength of straight; discontinuous bars
hooked bars, lap-splices, and embedments may be embedded in concrete sections (including beam- (
calculated according to the general provisions of column joints) with clear cover over the embedded (
ACI 318. Where the ACI 318 provisions are not bar not less than 3db may be calculated by the (
satisfied, it will be necessary to estimate the following equation: (
(
maximum stress that can be developed in the bar = 2500 1 sf (9-10)
under stress reversals. The following general
fS db e
. y

approaches may be used. where js = maximum stress (in psi) that can .be . (
Within yielding regions of components with developed in embedded bar having embedment (
moderate or high ductility demands, detail length Ie (in inches), db = diameter of embedded' (
requirements and strength provisions for straight, bar (in inches), andf}' = bar yield stress (in psi). (
hooked, and lap-spliced bars should be according When the expected stress equals or exceeds is as (
to Chapter 21 of ACI 318. Within yielding regions calculated above, and fs is less than h, the (
of components with low ductility demands, and developed stress should be assumed to degrade (
outside yielding regions, details and strength may fromjs to O.2fi at ductility demand equal to 2.0.
be calculated according to Chapter 12 of ACI 318, In beams with short bottom bar embedments into
except that the detail requirements and strength of (
beam-column joints, flexural strength should be
(
lap-splices may be taken to be equal to those for calculated considering the stress limitations of
development of straight bars in tension without Equation 9-10. .
consideration of lap-splice classifications. nnuIPlpn
.....,. "'" .."
~......
h~Tc:! ~ulr1pr1 in ~P;~Tl1;("
_.a. y
TPtTnfit Tl1~V
.&. A. J
.-......-
hp...."
Where the development, hook, and lap-splice assumed to develop yield stress when all the
length and detailing requirements of ACI 318 are following conditions are satisfied: drilled holes for
not satisfied in existing construction, the maximum dowel bars are cleaned with a stiff brush that
stress capacity of reinforcement may be calculated extends the length of the hole; embedment length,
according to Equation 9-9. Ie, is not less than 10db; and minimum spacing of
dowel bars is not less than 41e and minimum edge
t. = :;'. f y (9-9)
distance is not less than 21e. Other values for
d

where fs == bar stress capacity for the dowel bars should be verified by test data. Field
development, hook, or lap-splice length (lb) samples should be tested to ensure that design
strengths are developed.
provided; ld = length required by Chapter 12 or
Chapter 21 (as appropriate) of ACI 318 for ' Commentary: It is well accepted in the
development, hook, or lap-splice length, except technical literature that strength for a given length
that splices may be assumed to be equivalent to of a lap-splice is essentially equivalent to that for
straight bar development in tension; and» = yield the same length of straight bar development.
strength of reinforcement. Where transverse Current codes for new construction require longer
reinforcement is distributed along the development lengths for lap-sp lices than for straight bar
length with spacing not exceeding one-third of the development, in part to discourage the use of laps
effective depth, the developed reinforcement may in regions of high stress. Where existing
be assumed to retain the calculated stress capacity construction is retrofitted, lap-splices similarly
to large ductility levels. For larger spacings of should be located away from regions of high stress
transverse reinforcement, the developed stress and moderate or high ductility demand.
(
(

9=36 t
Chapter 9, Modeling Rules (
SEISMIC EVALUATION AN.D RETROFIT OF CONCR~TE BUILDINGS

ACI 352 (ACI 1985), with appropriate


modifications to reflect the differences in detailing
fs =120 ./To dIeb (50,000 - fco1umJ .::; fy and configuration between older existing
construction and new construction. Specific
(units are pounds and inches) recommendations are provided in the following
paragraphs.
A joint is defined as the volume of the column
within the depth of the beam framing into the
column. For nominal joint shear stress
calculations, the effective horizontal joint area, Ai,
o 50,000
is defined by a joint depth equal to the column
Tensile Stress in Column Longitudinal Steel, psi
dimension in the direction of framing and a joint
width equal to the width of the smallest of the
Figure 9-12. Relation Between Beam Embedded Bar following: column width, beam width plus joint
stress capacity and Co-Existing Tensile stress in
Adjacent column Longitudinal Reinforcement depth, and twice the smaller perpendicular
distance from the longitudinal axis of the beam to
The embedment length used in Equation 9-10 the column side. Forces are to be calculated on the
was derived from design equations in ACI 318 that basis of the development of flexural plastic hinges
relate to pullout of bars having sufficient cover or in adjacent framing members, including effective
transverse reinforcement so that splitting of cover slab width, but need not exceed values calculated
concrete cannot occur. The expressions may be from appropriate gravity and earthquake load
applied to bottom beam reinforcemen.t embedded a combinations. Nominal joint shear strength, Vn,'
short distance into a beam-column joint. For an may be calculated as follows:
embedment of six inches into a joint, which is v" = Ar fl A j , psi (9-11)
common for frames designed for gravity loads
in which It = 0.75 for lightweight aggregate
only, Equation 9-10 typically produces values ofis
concrete and 1.0 for normal-weight aggregate
= 20 ksi or lower. Experimental research on
beam-column connections (eSSC 1994b) indicates concrete, Aj is effective horizontal joint area, and 'J'
that higher stress capacities may be available
is defined in Table 9-5.
when flexural tension stresses in adjacent column In Table 9-5, p" is the volumetric ratio of
longitudinal reinforcement (which acts to clamp horizontal confinement reinforcement in the joint.
the embedded bar) are low. The available data Where joint reinforcement is unknown, worst-
support the use of Figure 9-12 to estimate the case reinforcement should be assumed.
stress capacity of embedded bars. In this figure, Commentary: The specification for beam-
the column longitudinal reinforcement stress is column joint shear strength is developed from
calculated on the basis of column. actions various sources (CSSC 1994b). Otani (1991) and
coexisting with the embedded bar tensile force. Kitayama et al. (1991) present data indicating that
The specification for doweled bars is based on joint shear strength is relatively insensitive to the
tests (Luke et al. 1985). Other suitable methods of amount of joint transverse reinforcement, provided
anchoring new concrete to existing concrete are there is a minimum amount (a transverse steel·
acceptable. ratio equal to about 0.003). Beres et aI. (1992)
and Pessiki et al. (1990) present supporting data
9.S~4~6 Seam-Column Connections for joints representative of those used in older
Shear strength in beam-column joints can be frame construction. Although some researchers
calculated according to the general procedures of report that increased column axial load results in

Chapter 9, Modeling Rules


i;
(
(
(
SEISMIC EVAI.UATION AND RETROFIT OF CONCRETE BUILDINGS (

(
:

Table 9-5. Values of "I For use in Equation 9-1'1

. <0.003 12 10 8 6 4
~O.003 20 15 15 12 8
(
(
increased shear strength, the data on the whole do drop-panel thicknesses (2.5h) outside opposite
not show a significant trend. faces of the column or capital, If is the portion of
The procedures for estimating joint shear are moment transferred by flexure per the
the same as those specified in ACI 318 and specifications of ACI 318, and h is the slab
ACI352. thickness.
For moment about an axis parallel to the slab
9.5.4.7 Slab-Column Connection edge at exterior connections without transverse
strength beams, where the shear on the slab critical section
The shear and moment transfer strength of the due to gravity loads does not exceed O.75Vc, or at
slab-column connection should be calculated by a comer support does not exceed 0.5 Vc, the
considering the combined action of flexure, shear, moment transfer strength may be taken equal to
and torsion in the slab at the connection with the the flexural strength of a section of slab between
column. . lines that are a distance, ci, outside opposite faces ( -
The flexural strength of a slab resisting of the column or capital. Vc is the direct punching
moment due to lateral deformations should be shear strength defined by ACI 318.
calculated as MnCS - Mgcs, where Mncs is the Commentary: Theflexural action of a slab
flexural strength of the column strip and Mgcs is connecting to a column is nonuniform, as
the column strip moment due to gravity loads. illustrated in Figure 9-13. Portions of the slab
Mgcs is calculated according to the procedures of nearest.the column yieldfirst, followed by a
ACI 318 with applicable gravity loads. gradual spread ofyielding as deformations
An acceptable procedure is to calculate the increase. The actual flexural strength developed in
shear and moment transfer strength as described the slab will depend on the degree to which lateral
below. spread ofyielding can occur. .
For interior connections without transverse The recommendation to limit effective width to
beams, the shear and moment transfer strength the colum:n. strip is the same as the design I
may be taken to be equal to the lesser of two requirement of ACI 318 and represents a lower r-
s.trengths: the strength calculated by considering bound to expected flexural strength. In some cases
the eccentricity of shear on a slab critical section the full width oj the slab will yield. If a greater
due to combined shear and moment, as prescribed portion of the slab yields than is assumed, the
in ACI 318; and the moment transfer strength, demand on the slab-column connection and the
equal to EMlI!Y.t,. Here, IMn is the sum of positive columns will be increased. Nonductile failure
and negative flexural strengths of a section of slab modes can result.
between lines that are two and one-half slab or

9-38 Chapter 9, Modeling Rules


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

Slab rotation about


transverse axis

Figure 9-15. Nonuniform Flexural Action of a Slab-Column Connection Under lateral Deformations

Shear
c stress
c

Figure 9·14. Nominal Shear Stresses Acting on a Slab critical section (AC/199SJ

Shear and moment transfer strength of interior 1992; Martinez et al. 1994). The second strength
slab-column connections may be calculated using corresponds to developing flexural capacity of an.
any models verified by experimental evidence effective slab width.' The effective width is modified
(Hwang and Moehle 1993; Hawldns 1980). A from ACl 318 on the basis of results reported by
simplified approach that follows the concepts of Hwang and Moehle (1993). Both top and bottom
A CI 318 is acceptable. According to this reinforcement are included in the calculated
approach, connection strength is the minimum of strength.
two calculated strengths. One is the strength Shear and moment transfer strength for
corresponding to development of a nominal shear exterior connections without beams is calculated
stress capacity on a slab critical section using the same procedure as specified in ACI 318.
surrounding the column (Figure 9-14). All Where spandrel beams exist, the strength should
definitions are according to ACI 318. In applying be modified to account for the torsional stiffness
this procedure, tests indicate that biaxial moment and strength of the spandrel beam.
transfer need not be considered (Pan and Moehle

Chapter 9, Modeling Rules 9 ..39


f
(
(
(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDING"S (
(
(
(
(

C (
Type I Type II

Q/Qc

]
E!!
2
1.0
- -
---t-':-:·1c ·1
fB
_1- D E
cU
...J
'AII
'L1y d
I
Lateral Deformation
I
I
I
I
I
I
I

I----------.E
(

d Ll
Lateral Deformation Lateral Deformation

Figure 9-15. Generalized Load-Deformation Relations for components

9.5.5 component Deformability that occur after yield, that is, the plastic
deformations. Parameters a, b, and c are defined
9.5.5.1 General numerically in Tables 9-6 through 9-12 at the end
The analysis should be capable oftracking the of this chapter.
nonlinear load-deformation relation of Type IT: . In this curve, deformations are
components. Component load-deformation expressed in tenus such as shear angle and
relations are generally composed of continuous tangential drift ratio. The parameters "d and e refer
linear segments. The general form of the load- to total deformations measured from the origin.
deformation relation is discussed in Section 9.5.1. Parameters c, d, and e are defined numerically in
Deformation limits corresponding to loss of lateral Tables 9-6 through 9-12 at the end of this chapter.
load resistance and corresponding to loss of Commentary: Curve type I is convenient to use
gravity load resistance should be defined. when the deformation is a flexural plastic hinge.
Figure 9-15 illustrates a generalized load- Most computer programs for inelastic analysis will
deformation relation applicable to most concrete directly report the flexural plastic hinge rotation in
components. As shown, there are two
ways to this format. so that results can be compared
define deformations: readily with response limits (acceptance criteria).
Type I: In this curve, deformationsare Curve type II is convenient to use when the
expressed directly using terms such as strain, deformation is interstory drift•.shear angle. sliding
curvature, rotation, or elongation. The parameters shear displacement, or beam-column joint
a and b refer to those portions of the deformation rotation. Both types are used in this methodology.

9-40 Chapter 9 r Modeling Rules


SEISMIC EVALUATiON AND RETROFIT OF CONCRETE BUILDINGS

(a) Beam span


and loading 'S2~!! ~
COlumn~E
Beam
G = Gravity load
(b) For cases E = Earthquake load
where
yielding is
unlikely
- • Marks locations
where nonlinear
along span springs are inserted
into model to
represent nonlinear
(c) For cases
response
where
yielding may -
occur along
span

Figure 9-16. Simple Plastic Hinge Models for Beams

9.5.5.2 Beams shear. Alternatively, where the generalized


Beams may be modeled with concentrated deformation is taken as rotation in the flexural
plastic hinge models, distributed plastic hinge plastic hinge zone, the plastic hinge rotation
models, or other models whose behavior has been capacities may be as defined by Table 9-6 (at end
demonstrated to adequately represent important of this chapter). In this table, the pararneters a, b,
characteristics of reinforced concrete beam and c refer to the measurements in Figure 9-15,
components subjected to lateral loading. The type I.
model should be capable of representing inelastic Commentary: Probably the most direct way to
response along the component length, except model a beam with currently available computer
where it is shown by equilibrium that yielding is programs is as a line element having linearly
restricted to the component ends. Where nonlinear elastic properties along the length with bilinear
response is expected in a mode other than flexure, rotational springs at the ends of the line element
the model should be able to represent that mode. (Figure 9-16b). Where yielding can occur along
Monotonic load-deformation relations should the span as well, rotational springs must be added
be according to the generalized relation shown in to the model at critical points to capture potential
Figure 9-15. The generalized deformation may be yielding (Figure 9-16c). These springs may be
either the chord rotation or the plastic hinge assigned to have a rigid stiffness to the yield
rotation. Values of generalized deformations at moment, followed by a reduced stiffness to
points B, C, and E may be derived from represent post yield response. The post yield
experiments or rational analyses and should take stiffness should result in a reasonable overall
into account the interactions between flexure and

Chapter 9, Modeling Rules


l
(
(
\
SEISMIC EVALUATION AND RETROFIT O~ CONCRETE" BUILD-INC!:
---------------------------------------_---:--::-;. (
;
(
(

strain hardening of the beam load-deformation


"
earthquake loading, the model should also (
relation. represent the effects of the variation on stiffness
Plastic hinge rotation capacities can be and strength properties. This can be achieved by
obtainedfrom tests or can be calculated using using interaction surfaces for plastic hinge models.
principles of structural mechanics. One methodfor Fiber models usually can represent this effect (
estimating plastic hinge rotation capacity by directly.
calculations is as follows. First, the moment- Monotonic load-deformation relations should (
curvature relation is calculated using realistic be according to the generalized. relation shown in
estimates of material stress-strain relations. From Figure 9-15. The generalized deformation may be
these relations, the yield and ultimate curvatures, either the chord rotation or the plastic hinge (
ifJy and l/Ju, are determinated. Next, the plastic rotation. Values of the generalized deformation at
hinge length, lp (lp = h/2 is -an acceptable value points B, C, and E may be derived from (
that usually gives conservative results, where h is experiments or rational analyses and should take
the section deptb in the direction of loading) is into account the interactions between flexure; axial (
estimated. Finally, the plastic hinge rotation force, and shear. Alternatively, where the
capacity is estimated as ep = CtPu -l/Jy)lp. generalized deformation is taken as rotation in the (
Alternatively, plastic hinge rotation capacities flexural plastic hinge zone, the plastic hinge
rotation capacities may be as defined by Table 9-7 (
suitable for use with the methodology can be read
directly from Table 9-6, where plastic rotation (end of chapter). In this table, the parameters a, b,
represented by the quantity a corresponds to the and c refer to the measurements in Figure 9-15,
type I.
point where significant degradation in the moment-
rotation relation occurs, and the plastic rotation Commentary: As with beams, probably the
represented by the quantity b corresponds to the most direct way to model a column with currently
point where loss in gravity load capacity is available computer programs is as a line element
assumed. In the table, the plastic rotation having linear-elastic properties along its length
represented by a is based on available test data with bilinear rotational springs at its ends. The
(Aycardi et at. 1992,; Beres et al. 1992,· esse general guidelines provided in the commentary to
1994b; Pessiki et ale 1990; and Qi and Moehle Section 9.5.5.2, including the guidelines on
1991), supplemented by plastic rotation angle calculation ofplastic hinge rotation capacity,
calculations and judgment. The plastic rotation applyfor columns as well.
represented by b is based primarily on the Instead of calculating plastic hinge rotation
judgment of the project team, as supplemented by capacities, the values provided in Table 9-7 may
test results. be used. In this table, the quantity a represents
plastic rotation corresponding to the point where
9.5..5.3 Columns significant degradation in the moment-rotation
Columns may be modeled with concentrated relation occurs, and the quantity b corresponds to
plastic hinge models, distributed plastic hinge the point where loss in gravity load capacity is
models, or other models whose behavior has been assumed. In the table, the plastic rotations were E-
demonstrated to adequately represent .important based on available test data (Lynn et ala 1995; Qi
(
characteristics of reinforced concrete column and Moehle 1991; esse 1994b), supplemented by
components subjected to axial and lateral loading. plastic rotation angle calculations and judgment.
Where nonlinear response is expected in a mode
other than flexure, the model should be able to
represent that mode. Where there are significant
axial force variations under the action of -

(
9 . .42 Cha-pter 9~ Modeling ~ules (
SEISMIC reVALUATION AND RETROFIT OF CONCRETE BUILDINGS

9..5..5.4 seam-cotumn Joints Section 9.5.5.2. Where the slab is part of a two-
Better performance is expected when beam- way slab system, the recommendations of
column joints are stronger than adjacent framing Section 9.5.5.6 may be used.
components. If joints are stronger than the
adjacent components, the joint region may be
9.5..5 .6 rwo-wev Slabs and Slab-Column
Connections
modeled as a stiff or rigid zone. If joints are not
stronger than the adjacent components, the Two-way slabs and sIab-colurnn connections
analytical model will have to represent the may be modeled as described in Section 9.4.2.2.
nonlinear load-deformation response. Joints may Where the frame is modeled using the effective
be modeled by using concentrated spring elements beam width model, the slab may be modeled by
connecting beams to columns, or other models using concentrated plastic hinge models,
whose behavior has been demonstrated to distributed plastic hinge models, or other models.
adequately represent important characteristics of Where the frame is modeled using. the equivalent
reinforced concrete beam-column joints subjected frame model, the slab may be modeled as above,
to lateral loading. and the connection with the column may be
Monotonic load-deformation relations should modeled as a bilinear spring. The model should be
be according to the generalized relation shown in capable of representing inelastic response along
Figure 9-15. Values of the generalized the component length, except where it is shown by
deformation at points B, C, and E may be derived equilibrium that yielding is restricted to the
from experiments or rational analyses. ' component ends. Where nonlinear response is
Alternatively, where the generalized deformation expected in a mode other than flexure or slab-
is taken as total shear angle in the joint, the total column connection rotation, the model should be
rotation capacities may be as defined by Table 9-8 able to represent that mode.
(end of chapter). In this table, the parameters c, d, Monotonic load-deformation relations should
and e, refer to the measurements in Figure 9-15, be according to the generalized relation shown in
type II. Figure 9-15. The generalized deformation may be
Commentary: Probably the most direct way to either the chord rotation or the plastic hinge
model a joint with currently available computer rotation. Values of the generalized deformation at
programs is as a concentrated spring with points B, C, and E may be derived from
nonlinear properties. The spring may be assigned experiments or rational analyses and should take
a rigid stiffness to the yield point, with nonlinear into account the interactions between flexure and
response thereafter. shear. Alternatively, where the generalized
Joint shear-rotation capacities can be obtained deformation is taken as rotation in the flexural
from tests. Alternatively, shear distortion plastic hin~e zone, or rotation of the spring
capacities suitable for use with the methodology connecting the slab and column, the plastic hinge
can be read directly from Table 9-8, where the rotation capacities may be as defined by Table 9-9
quantity d corresponds to the total shear angle at (end of chapter). In this table, the parameters a, b,
which significant degradation occurs, and the and c refer to the measurements in Figure 9-15"
type L
quantity e corresponds to the total shear angle
where gravity load capacity should be assumed to Commentary: The slab span generally can be
be lost.' treated as a flexural framing member, having
properties defined by those of the slab cross
9.5.5.5 one-Way Slabs section. Flexural strengths of the slab should be
One-way slabs may be modeled with the represented as defined in Section 9.5.4. 7. When
general procedures for beams identified in modeled in this fashion. the plastic rotation.
capacities should be according to Table 9-9; the

Chapter 9, Modeling Rules


(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUI.LDINGS (
(
(
(
9.5.5.7 Walls, Wall Segments, and Wall (
coupling Beams
Walls may be modeled using any procedures
that satisfy the requirements of equilibrium and
kinematics where these models are verified by (
tests. Alternatively, the simplified approach
(
presented in this section may be used. In this
approach, the selection of a model for walls and
Rotation
wall segments depends on whether the wall or wall
segment is governed by flexure or by shear, as (
Plastic
described below.
hinge
length Where the wall or wall segment is governed by (
flexure, the load-deformation relation should be of
the type shown in Figure 9-15, type I. In this (
figure, the generalized deformation is to be taken
Figure 9-17. Plastic Hinge eotation in a Wall or Wall as the rotation over the plastic hinging region
Segment Governed by Flexure (Figure 9-17). The rotation at point B of Figure
(
9-15 corresponds 10 the yield point, {}Y, as given by
the following expression:
values in this table are based on results from tests
on slab-column connections and represent
rotations at which failures have been observed. It (9-12)
is essential that the nonlinear analysis model
represent the behavior of the slab-column where My is the yield moment of the wall or wall (

connection in addition to the slab and column segment, which may be calculated as the m0II?-ent C
components. Nonlinear response of slab-column at which reinforcement in the boundary zone (or
connections is a complexfunction offlexure, outer 25 % of the wall length) yields, EJ is the
shear, torsion, and bond actions. Some detailed flexural rigidity according to Section 9.5.3, and lp
models have been reported (Hawkins 1980; Luo et represents the assumed plastic hinge length, which
al. 1994). As analternative, two simplified may be taken equal to 0.5 times the flexural depth (
approaches are suggested in this methodology. In of the component, but less than 50 % of the
the first, the slab-column frame is modeled using segment length for wall segments. The plastic (
the effective beam width model, in which case the hinge rotation capacities within the same length Ip
slab rotation capacities are limited to the values in are defined by Table 9-10 (end of chapter). In this
Table 9-9. In the second approach, the slab- table, the parameters a, b, and c refer to the
column frame is modeled using the equivalent measurements in Figure 9-15, type 1.
frame model, in which case both the slab and the Where the wall or wall segment is governed by
connection have plastic rotation capacities (
shear, it is more appropriate to use shear drift ratio
according to Table 9-9. The limiting rotation (Figure 9-18) as the deformation measure. Shear (
values in Table 9-9 are from various tests (Pan drift ratio capacities are defined in Table 9-11. In
and Moehle 1989; Martinez et al. 1994; Hwang this table, the parameters c, d, and e refer to the (
and Moehle 1993; Graf and Mehrain 1992; measurements in Figure 9-15, type II. Where
Durrani et al. 1995), supplemented by judgment of sliding along a construction joint controls overall (
the project team. performance (see Section 9.4.3.1), the parameters
in Table 9-11 may still be applied, but the story (
(

9·44 Chapter 9, Modeling Rules (

(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

Shear drift ratio

Figure 9-19. Chord sotntton for Coupling Beams

Shear section are presented to help guide selection of


overall modeling parameters. Alternative
Figure 9·18. Shear Drift Ratio for Walls and Wall parameters may be appropriate in individual cases.
segments Governed by Shear Where a wall is governed by flexural response,
it is expected that the analysis model will represent
height over which the shear drift ratio is calculated this behavior directly. In tests of walls, the plastic
should be assumed to be equal to 50 inches hinge length typically ranges between about 0.5
regardless of the actual story height. and 1.0 times the flexural depth (flexural depth is
Coupling beam models should be established measured in the direction of the corresponding
considering the aspect ratio of the beams, and shear force), with values tending toward the higher
model development should be guided by judgment. range for high levels of shear.. Study of several
Where the beam is relatively slender (Uh 2 5 or cantilever walls tested in laboratories indicates
so), it should be modeled as described in that it is appropriate to assume a length of O.51w
Section 9.5.5.2. Where the beam is less slender (Wallace and Moehle 1992). For wall segments,
(IIh < 5 or so), and where the beam is detailed this length may extend beyond the midlength, in
essentially as a segment of the wall, use the which case it is appropriate to limit the plastic
guidelines presented above for wall segments. hinge length to half.the member length.
Where the beam is less slender (Uh < 5 or so), For walls or wall segments controlled by
and is reinforced as a beam distinct from the wall, shear,. shear drift ratio is used as the deformation
the following approach should be considered. measure. As shown in Figure 9-18, the shear drift
Model the beam considering both shear and is measured as the overall distortion of the
flexural deformations. Use chord rotation (Figure component; where the boundaries are not rotated
9-19) as the relevant deformation measure. The significantly (as may be the case for piers between
chord rotation capacities are defined by Table 9- very stiff spandrels), the shear drift ratio may be
12. In this table, the parameters c, d, and e refer taken equal to the interstory drift ratio. One
to the measurements in Figure 9-15, type Il. exception is where sliding occurs along a
Commentary: Walls are generally primary construction joint. In this case, the total absolute
lateral force resisting elements of a building. The slip along the joint needs to be controlled. For this
engineer should attempt to establish a realistic purpose, the effective height is assumed to be 50
model for the wall on the basis of available test inches. Therefore, for example, the shear drift
data and advanced analysis techniques. The wide ratio of 0.0075 in Table 9-11 corresponds to a slip
variety of wall geometries precludes definition of at the joint equal to 0.0075 x 50 inches = 0.375
response parameters except in a relatively inches. See Section 9.4.3.1 regarding the need to
rudimentary sense. The quantities presented in this model construction joints.

Chapter 9, Modeling Rules


(.

(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

Symmetrical walls can be expected to have b - parameter to measure plastic (


similar hysteretic behavior with either end in deformation capacity at which gravity
compression. Such behavior would lead to load resistance degrades
symmetric hysteresis loops (Ali and Wight 1991). bw - web width
By contrast, T-shaped or other flanged walls may
show asymmetric load-deformation relations
c - residual strength ratio
(Thomsen and Wallace 1995). Modeling should Cl - column cross-sectional dimension in the
account for critical cases. Data from Ali and direction of framing
Wight (1991), Thomsen and Wallace (1995), and C2 = column cross-sectional dimension ('
Paulay (1986) were used with judgment to transverse to direction of framing
establish the parameters in Table 9-10. d - parameter to measure total deformation
Low-rise walls governed by shear, especially capacity at which lateral force. resistance
those subject to sliding along the main flexural degrades
crack at the interface with the foundation, can be
expected to have severely pinched and slightly
d = effective depth of flexural component
degrading hysteresis loops (Saatcioglu 1995). db - diameter of longitudinal reinforcement
Additional data on low-rise walls is found in Sozen e - parameter to measure total deformation
and Moehle (1993) and Wood (1990). capacity at which gravity load resistance
The behavior of reinforced concrete coupling degrades (

(
beams depends on aspect ratio and reinforcement s: - Young's modulus for concrete
,
details. Measured relations between load and - unconfined concrete compressive
/c
chord rotation for wall segments with ilk = 2 are strength
given in Paulay (1971a, 1971b). For coupling
beams with converuional longitudinal
fcc - concrete compressive strength
reinforcement, non conforming transverse Is = stress in reinforcement
reinforcement results in pinched hysteresis loops JY = reinforcement yield stress
compared with loops for conforming transverse G = . shear modulus for concrete
reinforcement. Coupling beams with.diagonal
reinforcement showed the most stable loops of all.
h = flexural depth of cross section
h - slab tbiclmess
g .. G Notations he = cross sectional dimension of column core
a - parameter to measure plastic hw - wall height
deformation capacity at which lateral Ig - moment of inertia of gross concrete
force resistance degrades section
Ag = gross cross-sectional area k = coefficient in Equation 9-4
Aj = effective horizontal joint cross-sectional K - rotational spring constant
area 1 = length from the point of maximum
As = cross-sectional area of reinforcement moment to the point of contraflexure
A~ the cross-sectional area of longitudinal lJ = center-to-center span in the direction of
reinforcement in compression framing
Av = cross-sectional area of transverse lb = development, hook, or lap-splice length
reinforcement resisting shear provided
I
Aw = cross-sectional area of web (
I
(
(

9·46 Chapter 9, Modeling Rules (

(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

ld = development, hook, or lap-splice length f3 = coefficient to represent stiffness


required by ACI 318 reduction in slab-column framing owing
le = embedment length of reinforcement to cracking
lp = plastic hinge length used for calculation f3n = coefficient to modify effectiveness of
of deformation capacity horizontal reinforcement in resisting
t; shear in walls
= wall length, measured horizontally in the
direction of applied shear rp = strength reduction factor from ACT 318
A1 = flexural moment rp = curvature
rpu = ultimate curvature capacity
Mgcs = column strip moment due to gravity </>Y = yield curvature
loads in a two-way slab
L1 = deformation,
Mil = nominal flexural strength of a component
4v = yield deformation
Mncs = design flexural strength of the column
strip in a two-way slab £cu = maximum compressive strain capacity of
concrete
M p = plastic moment strength
M.\' yield moment of a wall or wall segment r coefficient used to define joint shear
strength
N axial compression force in pounds (zero lj portion of moment transferred by flexure
for tension force)
per the specifications of ACI 318
p design axial load
A - coefficient to modify strength on the
Po = nominal axial load strength at zero basis of aggregate density
eccentricity
Jl = shear friction coefficient
Q = external load effect (e.g., moment, e
shear, axial force) = hinge rotation
~, = yield rotation of plastic hinge in a
Qc strength to resist external load effect, Q
flexural component
s = longitudinal spacing of transverse
reinforcement 9p = plastic hinge rotation capacity in a
flexural component
t; = web thickness of shear wall
p ratio of nonprestressed tension
V = design shear force
reinforcement
Vc = shear strength contribution attributed to
concrete p = ratio of nonprestressed compression
reinforcement
Vg = gravity shear acting on the slab critical
section as defmed by ACI 318 P volumetric ratio of transverse
reinforcement
Vo the direct punching shear strength as
defined by ACI 318 pbaJ reinforcement ratio producing balanced
V;l nominal shear strength strain conditions
Vs shear strength contribution attributed to pn = volumetric ratio of horizontal
reinforcement reinforcement resisting shear in a wall.

Chapter 9, Modeling Rules


SEISMIC EVALU'A'tION AND REtROFiT OF CONCRETE BUILDINGS (

/
: (

Table 9-6. Modeling Parameters for Nonlinear procedures-Heinforced Concrete seams

1. Beams controlled by flexure 1

p-p
. Transverse v /I
/:

eemeorcements
Pbal bwdfl

::;;0.0 C ~3 0.025 0.05 0.2-


::;;0.0 C ~6 0.02 0.04 0.2· (
~0.5 C ~3 0.02 0.03 0.2
~0_5 C ~6 0.015 0.02 0.2
~O.O NC ~3 0.02 0.03 0.2
(
~O.O NC ~6 0.01 0.015 0.2
~ 0~5 NC ~3 0.01 0.015 0.2
~ 0.5 NC ~6 0.005 0.01 0.2
2. Beams controlled by shear!
stirrup spacing ~ d/2 0.0 0.02 0.2
stirrup spacing> d/2 0.0
----------;---------
0.01 0.2
3. Beams controlled by inadequate development or splicing along the span 1
stirrup spacing ~ d/2 0.0 0.02 0.0
stirrup spacing> d/2 0.0 0.01 0.0
4. Beams controlled by inadequate embedment into beam-column joint 1

0.015 0.03 0.2

1. When more than one of the conditions 1, 2, 3, and 4 occur for a given component, use the minimum appropriate
numerical value from the table. .
2. Under the heading "transverse reinforcement," "C" and "NC" are abbreviations for conforming and non-conforming
details, respectively.. A component is conforming if within the flexural plastic region: 1) closed stirrups are spaced at
::;d/3, and 2) for components of moderate and high ductility demand the strength provided by the stirrups (Vr) is at
least three-fourths of the design shear. Otherwise, the component is considerednon-conforming.
3. Linear interpolation between values listed in the table is permitted.
4. V = design shear force
5. For lightweight concrete, use 75 percent of tabulated values (see Section 9.5.2.2).

9-48 Chapter 9, Modeling Rules

(
Table 9-7. Modeling Parameters for Nonlinear procedures-Reinforced Concrete Columns

i!~!f~~ifi~?!I~:
1. Columns controlled by flexure 1
P 5
Transverse V 6
ReinforcementZ
Agf~ bwdR
~0.1 C ~3 0.02 0.03 0.2
s 0.1 C <::6 0.015 0.025 0.2
2:0.4 c 53 0.015 0.025 0.2
2:0.4 C <::6 0.01 0.015 0.2
~0.1 NC 53 0.01 0.015 0.2
~0.1 NC <::6 0.005 0.005 -
<::0.4 NC 53 0.005 0.005 - _.
2:0.4 NC <::6 0.0 0.0 -
1 5
2. Columns controlled by shear •

HooP spacing s d/2,


P
or - - , 50.1
5 0.0 0.015 0.2
Agfc

other cases 0.0 0.0 0.0


3. Columns controlled by inadequate development or splicing along
the clear height1 •3
Hoop spacing s an 0.01 0.02 0.4
Hoop spacing> d/2 0.0 0.01 0.2
4. Columns with axial loads exceeding O.70Po1 .3
conforming reinforcement over the entire length
0.015 0.025 0.02
All other cases 0.0 0.0 0.0

1. When more than one of the conditions 1, 2, 3, and 4 occur for a given component, use the minimum appropriate numerical
value from the table.
2. Under the heading "transverse reinforcement," "C" and "NC" are abbreviations for conforming and non-conforming details,
respectively. A component is conforming if within the flexural plastic hinge region: 1) closed hoops are spaced at 5 d/3, and 2)
for components of moderate and high ductility demand the strength provided by the stirrups (Vr) is at least three-fourths of the
. design shear. Otherwise, the component is considered non-conforming.
3. To qualify, 1) hoops must not be lap spliced in the cover concrete, and 2) hoops must have hooks embedded in the core or must
have other details to ensure that hoops will be adequately anchored following spalling of cover concrete.
4. Linear interpolation between values listed in the table is permitted.
5. P = Design axial load
6. V = Design shear force
7. For lightweight concrete, use 75 percent of tabulated values (see Section 9.5.2.2).

Chapter 9, Modeling Rules


-:....,.,-..~.
-~.

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SEISMIC EVALUATION AND RETROFIT OF CON.CRETE BUILDINGS (

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Table 9-8. Modeling Parameters for Nonlinear procedures-Reinforced Concrete Beam-Column Joints (

1. Interior joints
P 2 Transverse v
Reinforcement1 -V 3
Agf; n

~0.1 C ::; 1.2 0.015 0.03 0.2


~0.1 C ~ 1.5 0.01'5 0.03 0.2
~ 0.4 C s 1.2 0.015 0.025 0.2 (
~ 0.4 C ~ 1.5 0.015 0.02 0.2
(
s 0.1 NC ~1.2 0.005 0.02 0.2
s 0.1 NC ~ 1.5 0.005 0.015 0.2
~ 0.4 NC s 1.2 0.005 0.015 0.2
~ 0.4 NC ~1.5 0.005 0.015 0.2
(
2. other joints
P 2 rransverse v 3
Reinforcement1 -
Agf; Vn

::; 0.1 C ~1.2 0.01 0.02 0.2


s 0.1 C ~ 1.5 0.01 0.015 0.2
~ 0.4 C ~1.2 0.01 0.02 0.2
;;;: 0.4 C ~ 1.5 0.01 0.015 . 0.2
s 0.1 NC ::;1.2 0.005 0.01 0.2
s 0.1 NC ~ 1.5 0.005 0.01 0.2
~ 0.4 NC ::;1.2 0.0 0.0 - (

(
;;;: 0.4 NC ~ 1.5 0.0 0.0 -
1. Under the heading "transverse reinforcement," "C" and "NC" are abbreviations for conforming and non-conforming details,
respectively. A joint is conforming if closed hoops are spaced at ~ hd3 within the joint. Otherwise, the component is
considered non-conforming. Also, to qualify as conforming details under condition 2, 1) hoops must not be lap spliced in the
cover concrete, and 2) hoops must have hooks embedded in the core or must have other details to ensure that hoops will be
adequately anchored following spalling of cover concrete.

2. The ratio -!,. is the ratio of the design axial force on the column above the joint to the product of the gross cross-sectional .
Agfc
area of the joint and the concrete compressive strength. The design axial force is to be calculated considering design gravity
and lateral forces. ( .~

....
.::l. The ratio ~ is the ratio of the design shear force to the shear strength for the joint.
vn
4. Linear interpolation between values listed in the table is permitted.
5. For lightweight concrete, use 75 percent of tabulated values (see Section 9.5.2.2).

9·50 Chapter 9, Modeling RUles

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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUII.DINGS

.-

Table 9-9. Modeling Parameters for Nonlinear procedures-Twa-Way Slabs and Slab-Column Connections

1. Slabs controlled by flexure, and slab-column connectlons"


Vg
2
continuity
Vo Rei nrorcement'
~ 0.2 Yes 0.02 O.OS 0.2
0.2 Yes 0.0 0.04
~ 0.2 No 0.02 0.02 -
~ 0.4 NO 0.0 0.0 -
2. Slabs controlled by inadequate development or splicing along the span"
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _I - - - 0 - . o - - - - r - , - - 0 - . 0 - 2 - - , . -0.0
----------

3. Slabs controlled by inadequate embedment into slab-column joint1

#1
..I O.01S· Jr-----.---------
0.03
A &¥ 44 4f ;
0.2

1. When more than one of the conditions 1, 2, and 3 occur for a given component, use the minimum appropriate numerical value
from the table.
2. Vg = the gravity shear acting on the slab critical section as defined by ACI 318, Vo = the direct punching shear strength as
defined by ACI 318.
3. Under the heading "Continuity Reinforcement," assume '''Yes'' where at least one of the main bottom bars in each direction is
effectively continuous through the column cage. Where the slab is post-tensioned, assume "Yes" where at least one of the post-
tensioning tendons in each direction passes through the column cage. Otherwise, assume "No."
4. Linear interpolation between values listed in the table is permitted.
5. For lightweight concrete, use 75 percent of tabulated values (see Section 9.5.2.2).

Chapter 9, Modeling Rules


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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS
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Table 9-10_ Modeling parameters for Nonlinear procedures-Walls and wall segments Controlled by
Flexure

1. Walls and wall segments controlled by flexure


Boundary
(As -A:)fy + P l' V 2 Element?
twlwt twlwfi:
::;; 0.1 ::;;3 C 0.015 0.020 0.75
::;; 0.1 2:6 C 0.010 0.015 0.40
~0.25 ::;;;3 C 0.009 0.012 0.60
~0.25 2:6 C 0.005 0.010 0.30
s 0.1 ::;;;3 NC 0.008 0.015 0.60
::;;0.1 2:6 NC 0.006 0.010 0.30
~0.25 ::;;3 NC 0.003 0.005 0.25
~0.25 2:6 NC 0.002 0.004 0.20

1. As = the cross-sectional area of longitudinal reinforcement in tension, As' = the cross-sectional area of longitudinal
reinforcement in compression, fy = yield stress of longimdinal reinforcement, P = axial force acting on the wall considering
design load combinations, tw = wall web thickness, till = wall length, andfl-' = concrete compressive strength.
2. V = the design shear force acting on the wall, and other variables are as defined above.
3. The term "C" indicates the boundary reinforcement effectively satisfies requirements of ACI 318. The term "NC" indicates
the boundary requirements do not satisfy requirements of ACI 318.
4. Linear interpolation between values listed in the table is permitted.
5. For lightweight concrete, use 75 percent of tabulated values (see Section 9.5.2.2).

Table 9-11. Modeling parameters for Nonlinear procedures-Walls and Wall segments
Controlled by Shear

(
(
1. Walls and wall segments (
All walls and wall segments controlled by shear 0.0075 0.02 0.4

1. For lightweight concrete, use 75 percent of tabulated values (see Section 9.5.2.2).
(

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9·52
o

Chapter 9, Modeling Rules


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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

Table 9-12. Modeling Parameters for Nonlinear Procedures-coupling Beams

1. Coupling beams controlled by flexure


Longitudinal reinforcement V 2

and transverse b,flfi


relntorcement'
conventional longitudinal ~3 0.025 0.040 0.75
reinforcement with
conforming transverse 2:6 0.015 0.030 0.50
reinforcement
conventional longitudinal ~3 0.020 0.035 0.50
reinforcement with non-
conforming transverse 2:6 0.010 0.025 0.25
reinforcement
Diagonal reinforcement N/A. 0.030 0.050 0.80
2. coupling beams controlled by shear
Longitudinal reinforcement V 2

and transverse bwd.fl


rei nforcement'
conventional longitudinal s;3 0.018 0.030 0.60
reinforcement with
conforming transverse 2:6 0.012 0.020 0.30
reinforcement
Conventional longitudinal ~3 O.O1~ 0.025 0.40
reinforcement with non-
conforming transverse 2:6 0.008 0.014 0.20
retnrorcernent
1. Conventional longitudinal steel consists of top and bottom steel parallel to the longitudinal axis of the beam. The
requirements for conforming transverse reinforcement are: 1) closed stirrups are to be provided over the entire length
of the beam at spacing not exceeding d/3; and 2) the strength provided by the stirrups (V~) should be at least three-
fourths of the design shear.
2. V = the design shear force on the coupling beam in pounds, b- = the web width of the beam, d = the effective depth
of the beam, andji = concrete compressive strength in psi.
3. Linear interpolation between values listed in the table is permitted.
4. For lightweight concrete, use 75 percent of tabulated values (see Section 9.5.2.2).

Chapter 9, Modeling Rules


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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

Chapter 10
n i n ff s
AUdience Interest spectrum
Owner Architect Bldg. Official

10..1 Genera!· acceptability criteria (e.g., ductility, drift) may


Deformation and movement of foundations can exist at the system, element, or component level.
significantly affect the seismic response and For example, the maximum roof displacement for
performance of structures. Central to the general the lateral load system might be limited to an
structural analysis methodology is a nonlinear acceptable value so long as the story drifts within
structural analysis technique whereby the behavior the moment frame elements are limited and the
of structural components is represented by rotational ductility demand for the column
nonlinear load-displacement relationships. This components is below certain limits.
chapter formulates analogous techniques, The effects of foundations can be included in
compatible and consistent with the general the analysis by extending the basic model to
methodology ~ to include the effects of foundations include the foundation system in a directly
in the overall procedure. By utilizing these analogous manner, as discussed in Section 10.2.
techniques, it is possible to expand the structural The response parameters of foundation elements
model with representations of the foundations to be are dependent upon properties of structural and
included directly in the analysis. General guidance geotechnical components. Spread footing
on when and how to use these techniques is also elements, for example, might consist of a rigid .
included. structural plate component model of the concrete
The general methodology consists of the footing bearing on soil represented by geotechnical
formulation of an analytical model of the features components with appropriate force-displacement
of a building that are pertinent to its performance properties. Section 10.3 formulates some generic
during earthquakes. This model is an assembly of models for typical foundation elements. Modeling
systems. The lateral forces induced by seismic rules and acceptance criteria for structural
shaking are imposed on the lateral load system. components of foundations are in Chapters 9 and
This system may overlap and include portions of 11. In many respects the modeling of geotechnical
the vertical load carrying system. Systems components is similar to that of structural ones.
comprise structural elements-concrete moment The goal is to formulate a relationship between the
frame elements acting in conjunction with floor force applied to a component and the
diaphragm elements to form a lateral load system. corresponding displacement. Because of the
Individual beams and columns are the components properties of soil materials, some uncertainties and
of the moment frame element. Behavior approximations are necessary, as reviewed in
parameters (e.g., strength, stiffness) and Section 10.4. The force-displacement relationships
for geotec~ical components depend upon the

Chapter 10, Foundation Effects


~ ... --.~~,

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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS
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:: . _.. .... ~...... -

strength and stiffness properties of soil materials. 10..2..1 Factors Affecting Foundation
Section 10.5 provides some typical values for Models
pertinent properties and guidance on when and Foundation stiffness and strength influence the
how to pursue data specific to a particular seismic performance of a structure. The structural
building. engineer determines. how foundation effects are
The basic analysis methodology of Chapter 8 included in the analysis model for the evaluation
implies several assumptions common to and retrofit of an existing building. In many
conventional structural modeling. The approach is instances the expert assistance of a geotechnical
essentially a finite-element analysis where engineer is essential. Geotechnical engineers must
continuous properties are concentrated at discrete keep in mind that "stiff and stro~g" .is not
points to simplify the procedure. Hysteretic necessarily better than "flexible and weak". Soft-
behavior is included directly by the inelastic action weak assumptions for soils properties 'are not
of the individual finite elements. Viscous damping always conservative for the structure. The best
within the soil material is neglected. Kinematic information is a range of values to envelope
effects of soil-structure interaction are not included possible conditions. Highly accurate estimates of
in the methodology. These limitations are soil properties can be expensive to generate.
acceptably conservative for the large majority of Decisions often can be made with relatively crude
structures and foundations. when the simplified information by utilizing simplified parametric
inelastic procedures of the methodology are used. studies to get an approximate idea of the
The analysis results in a prediction of the importance of individual structural and foundation
displacements that might occur in the structure and characteristics. Many of the factors influencing
foundation for a given earthquake demand. Section foundation modeling are reviewed qualitatively
10.6 discusses the acceptability of these below. In some instances, approximate "rules of
displacements for geotechnical components. In thumb" are offered. Ultimately, however, the
some cases, modifications to existing foundations structural and geotechnical engineer must make
are warranted. Section 10.7 is an overview of judgments based heavily upon experience.
foundation retrofit measures.
10.2.1.1 Ceotechnical Conditions
10."2 Foundation System and Softer, weaker soils are likely to influence
Global structural Model seismic response. This is particularly true if there
are observable signs of foundation distress, such as
The analysis of the seismic performance of a
excessive displacements or settlement related to
. building can include the effects of foundations
structural distress in the building itself. This
directly by including foundations in the structural
generalization about soft soils should not imply
model. The nature and extent of the structural
that foundation effects are never a factor with.hard
model, including the foundation system, depends
sites. A common foundation effect is the uplifting
on a number of interrelated factors. The structural
of spread footings, particularly beneath tall, stiff
engineer makes judgments as to the level of
lateral load elements. Stiff, strong soil materials at
refinement necessary to capture the important
the toe of these elements normally do not restrict
modes of behavior for a given building. The
rocking.
appropriate considerations for foundation systems
Foundations for which existing dead and live (
are similar.
loads are a large percentage of their ultimate
capacity are more likely to affect structural
behavior than others. If existing loads are over
approximately 50 to 67 % of capacity, large seismic
(

10...2 Chapter 10, Foundation Effects


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

Foundation stiffness and strength affect various


structural components differently.

High forces cause


shear wall Small displacements
damage protect frame from
damage

Stiff/Strong Foundation

Foundation
yielding and
rocking protects
shear wall

/I

FlexiblelWeak Foundation

Stiff/strong is not always favorable;


nor is flexible/weak always conservative.

Chapter 10, Foundation Effects


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SEISMIC EVALUAT'ION AND RETROFIT OF CONCRETE BUILDINGS
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;
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forces can result in significant permanent


displacements at the foundation. A large variation Table '10-1. sensitivity Drstructural systems to
in relative ratios among existing foundation Foundation EFFects
element dead and live loads to the ultimate
capacity of each element can imply a potential for
significant redistribution of load in the inelastic,
range. This occurs when relatively highly loaded Slender shear High
footings yield in advance of others. Inelastic wall-frames
redistribution of forces due to foundation effects Slender bearing rut » 2±
can pose problems by inducing torsion in an shear walls
apparently regular building. Narrow frames
Short shear ' Moderate
10.2.1.2 Basic structural system wall-frames .
In general, relatively slender shear wall Short bearing h/l < 2±
buildings are the most sensitive to foundation shear walls
effects under seismic loading. Short, multiple-bay Long frames Low
moment frames can often be evaluated by
1. where h = height of building and 1 = width of,
neglecting foundation effects entirely, However,
lateral load elements
most buildings fall somewhere in between.
Structures with periods ranging between 0.3 to 1.0
second are more sensitive than others to 10.2.1.S Foundation systems
foundation effects. Table 10-1 provides a Foundation systems for concrete structures
qualitative summary- of basic systems and their consist typically of either shallow or deep elements
relative sensitivity to foundation effects. or, less frequently, a combination of both. Shallow
In Table 10-1 there is a distinction made foundations normally are isolated or continuous
between load-bearing shear walls and those acting spread footings, or large mats that are vertically
in conjunction with a frame. Even if the frame is supported by bearing directly on soil. Compared
considered to be secondary (vertical load with deep foundations, they are relatively flexible
carrying), foundation rotation at the base of a in resisting vertical and/or rotational actions.
shear wall can impose large displacement demand Resistance to uplift is restricted to superimposed
on the frame elements. Note also that, although . existing' loads. '
complete frame buildings are generally less, Most deep foundation elements are driven piles
sensitive to foundation effects, tall, narrow frames of steel Of concrete or drilled cast-in-place concrete
can be sensitive to uplift of foundations due to piers. These components rely on friction and/or
large overturning forces. end bearing for downward vertical support. Piers
Although long- frames are not particularly and piles are capable of significant resistance to
sensitive to overall foundation rotation, the fixity uplift provided that they are adequately tied to the
of column bases can be an important consideration. structure. Although deep foundations are relatively
With sufficient data" it is possible to model the stiff and strong, this does not mean that foundation
stiffness and strength of the foundation elements movements will not affect the structural response.
for an explicit solution. Often, however, it is In one of the example building analyses
simpler and sufficient to bracket the solution with a (Barrington Medical Office Building), very small
fixed and pinned assumption for column fixity. In drilled pier movements changed the ultimate limit
most instances the detail at the base of the column state of the shear walls above from shear to
is the most influential factor affecting fixity. flexure.

10-4 Chapter 10, Foundation Effects


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDiNG~

Combined systems of shallow and deep and experience to strike a balance between
elements can be sensitive to foundation effects accuracy and simplicity. A model that omits an
because of the inherent differences in strength and important physical characteristic of a structure
stiffness, particularly in the inelastic range. When might yield unreliable results. At the other
a shallow footing beneath a shear wall begins to extreme, a model that is unnecessarily complex
rock, a significant redistribution of load can ensue increases the chance for undetected errors and can
if other walls are supported on deep elements. obscure a basic understanding of the behavior of
Often basic foundation elements are the building. When including the foundation
interconnected by pile caps, grade beams, system in the global structural model, it is
basement walls, slabs, or other structural elements important to coordinate the formation of the model
to form .the entire foundation system (see Figure with that of the structure above. In this way the
10-1). These can influence the relative sensitivity behavioral characteristics important to the specific
of the performance to foundation effects. This is seismic performance of the building are effectively
particularly true of basement walls, which can represented.
spread overturning forces over large distances and Figure 10-1 depicts a simple structure
increase rotational resistance. consisting of a shear wall and frame, which might
Many foundation systems are relatively stiff act together as a lateral load carrying system for a
and strong in the horizontal direction. Passive building. The foundation system consists of
pressures against pile caps or footings, and friction conventional spread footings which might be
under slabs and footings, act simultaneously to interconnected by a grade beam or a slab on grade.
transfer loads from the structure. Approximate The various two-dimensional models shown below
comparison of the horizontal stiffness and strength the actual structure illustrate different modeling
of the foundation with those of the structure can assumptions depending upon the actual
provide insight into the necessity of including the characteristics of the systems, elements, and
horizontal degree of freedom in the .analysis. components of the entire structure, including the
foundation. Each model represents the supporting
10.2.1.4 performance Objectives soil by components with properties K. These are
Seismic performance objectives beyond Life situated in the models to represent the spread .
Safety are sensitive to the degree of inelastic footing elements.
demand throughout the structure. Permanent In Model A, panel components represent the
ground displacements related to foundation shear distortion properties of the wall and act in
movements can impede the post-earthquake conjunction with axial link components,
serviceability of a building. In general these are concentrating the bending properties at the ends of
very difficult to predict. Greater refinement and the wall.
accuracy in foundation modeling based on The soil components beneath the first-floor
geotechnical investigations, tests, and analyses can columns represent both the vertical and the
help in these instances. rotational stiffness of the spread footing element.
In Models B and C, a column component
10.2.2 Assembling a coordinated Global
represents both the shear and the bending
structural Model properties of the wall. In these cases, the rigid
The structural engineer can arrange individual beam element at the base of the wall transfers the
elements with appropriate component material rotational restraint of the footing element to the
properties geometrically to form a model of the shear wall column.
foundation system. This process is similar to that
for other structural systems and requires judgment

Chapter 10, Foundation Effects


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SEISMIC EVALUATION AND RETROFIT OF CONCREYE BUILDINGS
(
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Actual Structure

· Concrete shear wall

· Concrete frame

· Spread footings

Model A

· Shear walls modeled as shear panels


with axial links at boundaries

· Frame columns pinned at base

Kh . Slab provides axial but not rotational


linkage offootings
K'
vI
III

ModelB

· Shear walls modeled as columns

· Frame columns fixed at base to


footings

Kh • Grade beam provides axial and


•••••~m:E~5liiEl~~lIfii=m~~.. rotational linkage of footings

· Shear walls modeled as columns

· Frame columns fixed at base to footings

· No axial or rotationa1linkage of footings

Figure 10-1. Global and Foundation Modeling Alternatives

(
10·6 Chapter "10, Foundation Effects
=EISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

Geotechnical Components

Mz

s.1y ·1 to 5
1=

a. Foundation Actions b. Unconpled Component Model c. Winkler Component Model

Figure 10-2. General Foundation Element Models

In some cases, grade beams, slabs, or 10",3 Foundation Elements


basement walls provide rigid and strong horizontal TIlls section develops a generic model for
linkage of foundation elements. This condition typical foundation elements. Specific models used
might allow the representation of the horizontal for analyses normally consist of structural and
strength and stiffness of the foundation, Kh , at geotechnical components. Appropriate modeling
concentrated points, as in Models A and B. Model depends upon the physical properties and
C reflects the situation when the lateral capacities configuration of the structural components and
and stiffnesses of the individual footing elements their interaction with the soil components. Chapter
greatly exceed those of any linkage elements. This 9 contains modeling rules for the structural
might be the case for thin, poorly reinforced slabs components.
on grade, for example. In some: cases, the The procedure is to model the nonlinear
horizontal foundation stiffness may be so large that properties of the foundation element to reflect the
full fixity may be assumed. possibility of soil yielding, sliding, or uplift, as
Column components of frames may not have well as inelastic structural behavior where
sufficient strength to mobilize the rotational appropriate. Section 10.4 provides guidance on the
resistance of a supporting' footing element. Model formulation of properties for geotechnical
A represents this condition with a pin at the components. The combined component model
column base. The footing element provides only represents the behavior of the foundation element.
local vertical restraint but can work in combination The model of a foundation element represents
with other, similar elements to form couples to its force-displacement behavior for the actions
resist global frame overturning. Models B and C imposed upon it. This is illustrated in Figure 10-2.
illustrate the condition when the frame columns The element shown in Figure 10-2 (a) might be a
are fixed at the base. The restraint of the footing spread footing or a pile group and cap. Vertical
element comes from the separation of the soil force, Fy , lateral force, Fx ' and moment, Mz, act
components by a rigid element to form a local
upon the element causing it to translate (.6.x , .6.y )
couple. In Model B, the rotational restraint is
and rotate Cez). An uncoupled, single node model
enhanced by the participation of the grade beams.
of the element is shown in Figure 10-2 (b). The

Chapter 10, Foundation Effects


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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS
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a. Spread Footing Foundation


(

Distributed vertical geotechnical components


" Vertical bearing properties of soil
. Component spacing along footing length
\
Horizontal geotecbnica1 component
. Passive properties against side of footing
" Friction properties at bottom of footing

b. Element Model for Analysis

Figure 10-4. Basic Shallow Foundation Model

geotechnical components (Sx, Sy, Se) represent the (Bartlett 1976). The lateral action is normally
stiffness and strength in each of the independent uncoupled from the" vertical and rotational action
degrees of displacement freedom, as discussed in and is not included in Figure 10-3 for simplicity.
Section 10.4. The single-node representation is The maximum rotational restraint and the
appropriate when the structural components are nonlinear rotational stiffness are a function of the
relatively rigid and do not interact significantly vertical load on the foundation element. The
with the soil. Alternatively, the load-displacement assumed theoretical elastic/plastic distribution of
behavior of a foundation element may be contact surface stress and its general relationship
represented by a coupled Winkler component to the ultimate bearing capacity of the soil material
model, as shown in Figure 10-2 (c). The Winkler are also illustrated.
component models can capture more accurately the
theoretical plastic capacity for interrelated actions. 10.3.1 Shallow Bearing Foundations
It is also appropriate when the structural Rectangular isolated and continuous spread
components are relatively flexible and there may footings normally consist of flat plate and/or beam
be significant interaction with soil material. components bearing vertically directly against the
Figure 10-3 illustrates the theoretical inelastic underlying soil component to resist vertical,
interaction of vertical and rotational actions for a horizontal, and rotational loads (see Figure lO-4a).
spread footing element beneath a shear wall

10-8 Chapter 10, Foundation Effects


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

Moment,
M

Pi ~tely strong soil


2
2
Pl p
2 2Qu w
I
---->I .

PI
6

Stress (q) distribution I( )f


Ultimate soil capacity = w

Rotation,
Possible Stress States e
1

qw<qu w quw
CD Elastic prior to uplift@I-Y_i_eI_d-'p_n_·o_r_t_o_u.....
p_lif_t _

I
1< 1<
qw < q uw quw
CD Elastic at uplift 0_Y_i_eI_d_af_t_e_r_u......
plli_·.._I _

I
1< 1<
qw<qu w quw
CD Elastic after uplift@rIn_el_a_sti_oc_l_iro_l_"t _

Figure 10-5. Theoretical Elastic-Plastic Foundation Behavior

Chapter 10, Foundation Effects


(
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SEISMIC EVALUATION, AND. RETROFIT OF CONCRETE BUILDINGS (

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Colnmnlwall c

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Pile/pier cap
(
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a. Deep PilelPier Foundation I

(
(

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Vertical geotechnical components Horizontal geotechnical component
. End bearing of pilelpier . Passive properties against side of footing
. Skin friction of pile/pier . Lateral stiffness of pile/pier (
(
b. Element Model for Analysis

(
Figure 10-5. Basic Deep Foundation Madej (
Conventional structural finite-element components components along the footing or grade beams, the
represent the beams, columns, and walls in the greater the theoretical accuracy of the solution will
generalized model in Figure 10-4b. In some cases, be. Parametric studies of the relative stiffness of
particularly beneath shear walls, the structural the structural and geotechnical components provide (

footing component may be essentially rigid, quick and simple insight in this regard. The (
compared to the supporting soil. The vertical and inherent uncertainty of geotechnical material
rotational resistance is the result of direct bearing properties usually does not warrant excessive
on the supporting soil. Vertical geotechnical refmement.
components represent both the stiffness and the Lateral resistance, represented by the
strength of these actions. Grade beams might also horizontal geotechnical components, is the result
have vertical geotechnical components beneath of friction between the bottom and sides of the
them. The smaller the spacing of the geotechnical concrete and the contact surfaces of the soil, as

(
<
ID-10 Chapter 10, Foundati'on Effects (
I
(
/
(
\
SEISMIC EVALUATION AND RETROFIT OF C~NCRETE BUiLDINGS

Distrubuted vertical
geotechnical
components
representing pile/pier \ Horizontal geotechnical
skin friction component representing
resistance passive resistance on
pile/pier cap

~DiStriDuted horizontal
geotechnical components
representing passive
resistance on pile/pier

lilfiil-=:a--- St:ruetura1 pile/pier


Vertical geotechnical components
components
representing pile/pier
end bearing
resistance

Figure 10-6_ Refined Deep Foundation Model

well as any passive pressure against the sides of beneath them representing bearing resistance of the
the footing in the direction of loading. The grade supporting soil.
beam elements in Figure lO-4b might also be Lateral resistance, represented by the
capable of resisting lateral load by friction and/or horizontal geotechnical components, is the result
by transfer load to other elements axially. of friction between and passive pressure against
the sides of the pile/pier cap in the direction of .
10.3.2 Deep End Bearing and Friction loading and the horizontal resistance of the piles.
Foundations The grade beam elements in Figure lO-5b might
A basic model for deep foundation elements is also be capable of resisting lateral load through
shown in Figure 10-5. Deep foundation elements axial force transfer and/or friction.
normally consist of flat plate and/or beam An alternative, refined, deep foundation model
components supported upon driven piles of wood, is shown in Figure 10-6. In this representation the
concrete, or steel, or drilled cast-in-place concrete interaction of the pile/pier with the soil is modeled
piers. The pile/pier components provide axial directly. This approach is appropriate when the
resistance through both skin friction and end stiffness of the pile/pier is relatively large. Piers
bearing. Conventional structural finite-element greater than 2 feet in diameter might be an
components represent the beams, columns, and example. Often parametric studies can provide
walls in the generalized model in Figure lO-Sb. guidance on when such refinement is necessary. In
The vertical and rotational resistance of the most instances, refined substructure models may
foundation element is the result of axial resistance be used to determine horizontal component
of the pile/piers, represented in the model by properties for pile groups for use in the basic
vertical geotechnical components. Grade beams model of Figure 10-5.
might also have vertical geotechnical components

Chapter 10, Foundation Effects


(
(
(
(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS (
(

(
(
Force, Q (
(
Stiffness, K = .Q.
.11
(
(
upper Q" (
(
lower Q"
(

Actual Behavior
(

(
Displacement,

Figure 10-7. Basic Force-Displacement Envelope For Soils components (

(
10.. 4 properties of using the strength and stiffness envelope shown in (

Geotechnical Figure 10-7. (


This envelope allows the structural engineer to (
components investigate the sensitivity of the analysis to the (
This section defmes basic theoretical soils parameters. It may be that the stiff-strong
properties for geotechnical materials. These assumption will give critical results for some
properties define the stiffness and strength structural elements while the flexible-weak will
behavior of geotechnical components for use in more adversely affect others. As a general rule of
models of foundation elements. These properties thumb, the initial range of the envelope should (
are the basis for the generalized nonlinear reflect a factor of 4 between minimum and (
force-displacement envelopes shown in Figure maximum. values. The procedure is to make a best (
10-7. The component shown in Figure 10-7 might estimate of component stiffness and strength, then
represent a section of soil material beneath a divide and multiply by 2 to generate lower and
shallow footing or the lateral resistance of a pile upper bounds, respectively. The envelope might be f·
(

cap in' a deep foundation model. wider for very sensitive 'solutions or highly \
Upon initialloadirig, the example component uncertain geotechnical data. Conversely, if
may be relatively stiff until, for example, a ' detailed geotechnical investigation results in
preconsolidation pressure due to previous reliable and accurate properties, then the
overburden or drying shrinkage might be reached. uncertainty envelope might be narrowed,
At this point the material may soften progressively The implied unidirectional relationship of
until a capacity plateau is reached. If the footing is Figure 10-7 reflects the characteristics of many (

unloaded, the rebound is not usually complete, and geotechnical components. A spread footing, for (
permanent displacement occurs. For repeated example, cannot resist tension or uplift forces once
cyclic loading, the permanent displacement can dead loads are overcome by seismic overturning.
accumulate. When reloaded, the soil beneath the One exception is deep pile/pier components which
footing can be substantially stiffer than for may resist tension by mobilizing skin friction
~s. This behavior is simplified and during uplift. In this instance or other similar
generalized for use in a structural analysis model instances the force-displacement envelope extends (
below the x-axis into the tension zone. The (

10..12 Chapter '10, Foundation Effects


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

L
(length)
10.4.1 Bearing stiffness Parameters
....r X
y
10.4.1.1 Basic steps
The basic steps for determining the stiffness
properties of shallow bearing geotechnical
(J.wJ x x components are as follows (see Figures lO-2b
and 10-8):
1. Determine the uncoupled total surface
y
Plan stiffnesses, Kr, of the foundation element by
assuming it to be a rigid plate
. bearinz at the
~l
/:)

D
surface of a semi-infinite elastic half-space
d
(thickne (depth) (see Table 10-2). K
2. Adjust the uncoupled total k = _z_
~ sn'ffnesses, Ki" or
surrace LB
the effects of the depth of Ky
bearing by multiplying by ky = L d
embedment factors (see
Table 10-3), et, to k = Kx
Figure 10-8. properties of a Rigid Plate on a x B d
Semi-infinite Homogeneous Elastic Half-Space for generate the uncoupled
Stiffness Calculations total embedded K
k ex = _9:<:_
stiffnesses, Ki. Ix
envelope may not be symmetrical since, in the
3. Calculate individual
example of a deep pile/pier, end bearing stiffness
distributed stiffness
and strength are not mobilized during uplift.
intensities, Iq, by dividing
The elastic, perfectly plastic, generalized the uncoupled total
force-displacement relationship is the simplest to
embedded stiffnesses, Ki,
use with most structural analysis programs. If by the corresponding area of contact or
more-refined properties are available and the moment of inertia.
computational effort is tolerable, other, more 4. Compare the vertical stiffness intensities k»
sophisticated representations are certainly
k()y, and kex. In general, these will not be.. . '
acceptable. As discussed previously, however, the
equal. In a two-dimensional analysis, one of
inherent uncertainty of geotechnical material
the rotational intensities normally will not be
properties usually does not warrant excessive
used. If the difference between the vertical
refinement.
translational stiffness intensity, kz, and the
Another property of the large majority of soil
vertical rotational stiffness intensity, ke, is
components is evident in the generalized
small, then either, or a representative average,
relationship. Geotechnical components do not tend
may be used in Step 6, below. If the difference
to degrade or shed load with large displacements.
is large, then one or the other may be used in
Most geotechnical components possess virtually
Step 6 if the footing is acting primarily in
unlimited inelastic displacement capacities.
either vertical translation or rotation. If the
Exceptions include piles in rare, sensitive clays,
difference is large and the actions are highly
liquefied soils, and steep hillside conditions. The
coupled, then the approximate procedure in
implications of this characteristic are discussed
Step 5 may be used to refine the component
further in Section 10.6.
stiffnesses.

Chapter 10, Foundation Effects


(
(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS
(
(

Table 10-2. Surface stiffnesses for a Rigid Plate on a Semi-infinite Homogeneous Elastic (
Half-space {adapted From Gazetas 19911 1
(
Vertical Translation, Kz' (
(
Horizontal Translation, Ky'
(toward long side)
-GL
- [ 2+25 - (B)O.85]
2-v L
Horizontal Translation, Kx'
(toward short side)
.2-v
GL
- - [ 2+25 (B
-
L
)O.85J - GL [ 01 .1--
0.75 -v . L
("'B)] (
Rotation, Kex'
(about x axis)

(
Rotation, Key'
(about y aXIs)
(

1. See Figure 10-8 for definitions of terms (

Table 10-$. stiffness Embedment Factors for a Rigid Plate on a Semi-infinite


Homogeneous Elastic HalF-Space(adapted From Cazetas 1!i!Jii l'

Vertical Translation, ez
[1+0D95 ~ (1+13 ~)] [1+02((2L~2B) d f'J (

(
[(D-~}6(L+B)drl
Horizontal Translation, ey
(toward long side)
[ (fJ!
1+015 2D
B
1+ 052 2
BL
2

Horizontal Translation.
(toward short side)
ex
[ (fJ!
1+015 2D
L
1+052 [(D_~}6(L+B)d
2
LB
2 r) (

(
Rotation, eex
(about x axis) 1+252-
B
2d ( - )
d ( 1+-
B D
d,-O.20( -BfOJ

(

RotatJon, eey
<about y axlsi
1+092 - (2dfO( (2df"(df60J
L
15+ -
L
-
D
(
\

See Figure 10-8 for definitions of terms (


(

10-14 Chapter 10, Foundation Effects

(
SEISMIC EVALUATiON AND RETROFIT OF CONCRETE BUiLDINCS

.:

L
(length)

;:::-V' ;;»1...... B/6 End Zone each side


y

B
x x (width)

Vertical Translational Stiffness Intensities:


(foree/unit length )
6.8 G
k: -....,--...--
end - (l-V)B
o. 73 G
k md kmid k eru1 kmid = (l-V )B
End Zone .Middle Zone End Zone

t, 13 I.: Is
Component Stiffuesses:
r,
~' Ie
"
.... '1
Ie
4' '1 (force/unit length )

K, =B Ii k

where k is the appropriate


stiffness per unit length for
the End Zone or Middle Zone

Ks

Geoteclmical Components

Figure 10-9_ winkler component Model of Rectangular Spread Footing

5. Represent the ends of the rectangular footing is equivalent to that for vertical translation of
with end zones of a length of approximately an infinitely long strip footing (LIB = co).
one-sixth of the footing width, as in Figure 6. Calculate individual geotechnical component
10-9:: Base the vertical stiffness intensity in stiffnesses by multiplying the appropriate
the end zones on the vertical translational stiffness intensity by the spacing of the
stiffness of a B x B/6 isolated plate. The components in each direction in the Winkler
vertical stiffness intensity in the middle zone component model.

Chapter 10, Foundation Effects


SEISMIC EVALUATION AND RETROFIT OF COI\ICRETE B~ILDINGS

(
\
(
estimated on the basis of the anticipated maximum
Table 10·4. poisson'S Ratio for Typical ground acceleration in accordance with Table 10-5, (
Soil Materials .
Table 10-5. EFFective Shear Moduli and Shear Wave
Velocity as Determined by Shaking Intensity
(
Saturated clays and sands, 0.50 \
beneath the water table
(
Nearly saturated clays, '0.40 \I
above the water table Ratio of 0.81 0.64 0.49 0.42
effective to
wet, silty sands (Sr = 50 0.35 initial shear
to 90%) modufus (G/Gol
Nearly dry sands, stiff 0.25 Ratio of 0.90 0.80 0.70 0.65
clays; rock effective to (
initial shear
wave velocity (
(v'slvs)
10..4.. 1..2 Shear Modulus (
Notes:
The bearing stiffness of a vertically loaded 1. Site specific values may be substituted if documented in a
plate on soil materials is a function of the . detailed geotechnical site investigation.
dimensions of the plate, the depth of the bearing 2. The value ofE used to determine the product. ZEN, should
plane beneath the surface, and the properties of the be taken as equal to 0.5 for the Serviceability Earthquake,
1.0 for the Design Earthquake, and 1.25 for the Maximum
soil materials. The shear modulus, G, for a soil is Earthquake.
related to the modulus of elasticity, E, and 3. Linear interpolation may be used for intermediate values.
Poisson's ratio, v, by the relationship
adapted from the NEHRP Provisions (ESSe,
E 1995). To reflect the upper- and lower-bound (
G=----
2 (1 + V) concept illustrated in Figure 10-7 in the absence of
Poisson's ratio for typical soils is shown in a detailed geotechnical site study, the upper-bound
Table 10-4. stiffness of rectangular footings should be based on
The initial shear modulus, Go , is related to twice the effective shear modulus, G, determined (
\

the shear wave velocity at low strains, vs, and the in accordance with the above procedure. The I

mass density of the soil, p, by the relationship lower-bound stiffness should be based on one-half C
the effective shear modulus. Thus the range of ,
v/
"\
(
Go = P
stiffness should incorporate a factor of 4 from -
Converting mass density to unit weight, ~ lower- to upper-bound.
gives an alternative expression (
r 2 10..4.. 1.3 Flexible structural components
Go = - v s
g In some instances, the stiffness of the
where g is acceleration due to gravity. Some structural components of the footing may be
typical values of Go for commonly encountered relatively flexible compared with the soil material.
soils are tabulated in Section 10.5. A slender grade beam resting on stiff soil is. an
Most soils are intrinsically nonlinear, and the example. Classical solutions for beams on elastic
shear wave modulus decreases with increasing supports can provide guidance on when such (
t.
shear strain. The large strain shear wave velocity, effects are important. For example, a grade beam
v's, and the effective shear modulus, G, can be supporting point loads spaced at a distance of L
might be considered flexible if:
(
\

(
10-16 Chapter 10, Foundation Effects

(
I

(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

EI < 10 ksv B Table '10-6. Bearing Shape Factors


L4

where E is the effective modulus of elasticity, I is


the moment of inertia, and B is the width of the
Strip 1.0 1.0 1.0
grade beam. For most flexible foundation systems,
the unit subgrade spring coefficient, ksv , may be BN B "B
Rectangle 1+-.:.:.!l.. 1 +- tan l/J 1 - 0.4-
taken as: L L
L Ne
ksv = 1.3 G
B(l-v)
N
10.4.2 Bearing Capacity Parameters Circleor 1 +..=.3.
square Ne 1 + tan cjJ 0.6

10.4.2.1 Vertical components


The classical general expression for ultimate
vertical soil bearing stress capacity (Bowles 1982
and Scott 1981) of a shallow footing is: foundation capacities may be used by the structural
engineer to determine the sensitivity of the subject
quIt = c Nc ~c + r D Nq ~q + 1/2 r B Ny ~y analysis to foundation effects and the need for
In this expression: refined capacities. Guidance on the selection of
c = cohesion property of the soil approximate capacities is offered in Section 10.5.
He = cohesion bearing capacity factor It is important for the structural engineer to
note that the maximum bearing stress capacity is
depending on angle of internal
dependent upon the width and bearing depth of an
friction, 0/, for the soil (see Figure
individual footing. Wider footings are capable of
10-10)
sustaining larger unit loads before deforming
Nq = surcharge bearing capacity factor plastically. The overburden pressure on deeper
depending on angle of internal footings enhances their ultimate capacity. Thus the
friction, ~'" for the soil (see Figure procedure for determining the capacity of
10-10) individual vertical geotechnical components
N; = density bearing capacity factor includes consideration of the dimensions and depth
depending on angle of internal of the entire footing element to estimate its total
friction, ¢, for the 'soil (see Figure capacity. The total capacity can then be divided by
10-10) the total area to convert to stress capacity. The
~c, ~q, S" =
footing shape factors (see individual capacities of geotechnical components
Table 10-6) are simply the product of the stress capacity times
the spacing of the components in each direction.
'Y = soil total unit weight
D depth of footing 10.4.2.2 Horizontal components
13 = width of footing The total horizontal capacity of foundation
An experienced geotechnical engineer elements can be estimated from their stiffness and
normally should prepare these calculations on the displacement as a percentage of their thickness, d,
basis of the results of specific field and laboratory shown in Figure 10-8 (Martin and Yan 1995). The
. tests for a given site. In the initial stages of a maximum lateral capacity can be estimated as that
seismic evaluation, approximate values of associated with a displacement of from 2 to 4 % of

Chapter 10, Foundation Effects


~.

(
(
(
SEISMIC EVALUATION AN'D RETROFIT OF CONCRETe BUII.:D'INGS·
(

:/
z I I I I I I I I /f (
~-
o 100 -~-~--:- - ~ - ~- ~--~-{ , - (

'0 I
I
I
1 I
1
I
I I
I
I
1
I :;it I
I
(
ca J I ?:"'1 I
1/1
I
LL
z( -m
• • I

~ Nc=~g-~cot• I ~.; ::. tnmJtP


I ~ Nq-e tan 45-r::t'
°
0 10 1--l-r-.. . ._ 2
ca I A- I I I I I
0.
ca I I ) ... ./1
I I J I . I
U I I ... J, I J I I I J
0) I ...
...,
'1 / I N
Y I 'Y ~ q
=
2{N -k)tann. 1
'1';
I
I
I
I
c:
0i:: 1 ~~-4--~-~-~-~--~-~-~­
ca
Q)
1/ I I I I I I 1 I
II' I I I I I I I I
m 1 I 1 I 1 1 I I I
/ I I I I I I I I 1
I _ I I I I I I I I
O.1+t+H-H-i-H-f++i-t-l-hH-t-l-'i-t+t-H-iH-t-l-'i-t+t+++-f-of+H+++H-H-!-
o 5 10 15 20 25 30 35 40 45 50
Angle of Shearing Resistance, ljJ (degrees)

Figure 10-10. Bearing capacity Factors

the thiclmess. The total capacity can be converted In most cases, the tip displacement is
to stress capacity by dividing by the area of relatively small. This can be understood by
horizontal contact. Component capacity is the considering two extreme cases. If the pile/pier is
product of the stress capacity and the spacing of purely end bearing, the tip bearing stiffness, by
the components in each direction. The recent definition, must be relatively large compared with
California Department of Transportation criteria the friction stiffness of the soil and the axial
for bridges gives further guidance on lateral stiffness properties of the pile/pier. If the tip
characteristics of footings and pile caps displacement is assumed to be zero, the resulting
(ATe 1996b). axial stiffu.ess of the pile/pier is:
(
10.4.3 Deep component stiffness.
parameters K = (EA)pue
Z L
10.4.8..1 Vertical components
Axially loaded piles or piers transfer loads to At the other extreme, a purely friction
the soil through a combination of end bearing and pile/pier implies that the force at the tip is zero.
skin friction (see Figure 10-11). Their true axial This is also consistent with the assumption of a
stiffness is a complex nonlinear interaction of the very small tip displacement. For zero tip
structural properties of the pile/pier and the load displacement and a uniform total transfer to the
displacement behavior of the soil for friction and soil by skin friction, the axial stiffness of the
end bearing (Martin and Lam 1995). The stiffness pile/pier approximates:
at the top of the pile/pier can be expressed as:
K = Qtotal K = 2(EA)Pile
Z Ll
z
Z L

(
10"'18 Chapter 1"0, Foundation Effects
SEISMIC eVALu.ATION AND RETROFIT OF CONCRETE BUILDINGS

Q 'DlaI = Qf+Q t Force in pile/pier

Length, Qf . total
L distributed
skin
friction

Q t ' tip force {-


a. Pile or Pier b. Force Distributiom c. Axial Displacement

Figure 10·11. Forces and Displacements of Axially Loaded Pile or Pier

Allowing for some tip displacement and consistent with those developed in Section 10.4.1.
recognizing the inherent complexity of the For deep foundation elements with large-diameter
problem, a reasonable initial range of stiffness for piers (> 24 inches), the more refined model of
a vertical pile/pier component is: Figure 10-6 can be developed to evaluate the
effects of pier/soil interaction on horizontal
05 _--=-pl_e
(EA) 'I 2(EA) pi'Ie stiffness. Research, including computer programs,
_ K
L < Z < L by Reese et al. (1994) and others provides
TIns range of stiffness is consistent with. the guidance on modeling parameters, as do California
force-displacement envelope recommended for bridge criteria (ATe 1996b). Parametric studies of
geotechnical components. If the effect of pile typical deep foundation elements with the refined
stiffness variation is significant for structural model can be used to develop approximate
behavior, refined geotechnical analysis can justify equivalent stiffnesses for simplified horizontal
a more narrow range. components to restrain the cap without including
refined models of each element in the full
10.4.3.2 Horizontal components structural analysis.
In most circumstances, the horizontal stiffness
and strength of a pile/pier group is controlled by 10.4.4 Deep Component capacity
the passive pressure and frictional resistance at the Parameters
cap (see Section 10.3.2). These horizontal As shown in Figure 10-11, the downward
components would have stiffness parameters capacity of a pile/pier is the sum of the capacity of
the tip in end bearing and of the total friction along

Chapter 10, Foundation Effects


..... ~.~~.
-:--

c
SEISMIC EVALUATION AN"D RETROFIT OF CONCR-=TE BUILDINGS

(
the shaft. There are three general types of pile/pier materials is assumed to be equal to the downward
behavior pertinent to vertical load capacity: frictional capacity, neglecting end bearing, using
1. Predominantly End Bearing: Some the-procedures in Figure 10-13. This is acceptable ("
pile/piers are installed primarily to advance using the relatively conservative NAVFAC values (
through poor material to underlying bearing for adhesion strength; but the necessity for (
strata. For example, piles might be driven reduction of upward capacity should be a
through saturated weak clay into firm consideration in any project specific geotechnical
(
alluvium. Although the pile might penetrate a investigation.
depth of a few diameters into the alluvium, it
is predominantly point bearing and its capacity 10.. 5 Characterization of Site
is largely dependent on the bearing capacity of Sails
the material at its tip.
The scope of required investigation of
2. Intermediate: Pile/piers installed into
geotechnical and foundation conditions depends
granular or well-graded soils generally rely on
upon the nature of the deficiencies of the building,
both friction and end bearing resistance.
the desired performance goal for the building, and
Friction normally increases with depth,
the selected strategy for the rehabilitation.
primarily reflecting increases in overburden
The nature and extent of foundation and
pressure. Tests indicate that the frictional
geotechnical information required for the seismic
resistance of these types of piles typically
evaluation and retrofit of concrete buildings (
represents more than half the total capacity for
depends upon several considerations on both sides
downward load. For uplift, however, the
of the capacity vs. performance equation. As
frictional resistance is less than for downward
discussed in Chapter 4, the properties of site soils
load.
affect the intensity of shaking that can be expected E-
3. Predominantly Friction: Pile/piers installed (
"at the building site. In addition to the shaking
in fme-grained silts and clays often rely
hazard, the potential for ground displacement also
primarily on skin friction for vertical
may present a need for geotechnical data. The
resistance. Although the tip offers some
scope of investigations for these hazards should be
resistance, the strength and stiffness of these
.coordinated with that discussed here for structural (
materials in bearing is usually small compared
modeling properties. (
with the friction. Frictional. resistance to uplift
in silts and clays is" nearly the same as for
The foregoing sections of this chapter address C"
the force-displacement characteristics of foundation (
downward loads.
elements and geotechnical components to resist
The capacities of pile/piers are difficult to
vertical, rotational, and horizontal actions induced
determine even in the best of circumstances. In
by ground shaking. These are principally strength
the absence of specific geotechnical data, the
and stiffness properties utilized in the global
procedures illustrated in Figures 10-12 and 10-13
modeling of structural behavior. Some generic
may be used, for granular or cohesive materials
ranges of values for these parameters for typical
respectively, to calculate preliminary estimates of
soils 'are presented in Tables 10-7 and 10-8. This
capacity. Ranges of typical values of parameters
level of information can provide a starting point for
for use with these procedures are presented in
the structural engineer to begin to determine the
Section 10.5. These all have been adapted from
overall sensitivity of the building to foundation
NAVFAC (1986). For friction resistance in
effects during earthquakes. On the basis of
granular materials the top 3 to 5 diameters of
preliminary analyses, the structural engineer might
pile/pier length are often neglected. The upward
conclude that it is unnecessary to refine the
frictional capacity of pile/piers in cohesive

10-20 Chapter 10, Foundation Effects


(

(
(
SEISMIC EVALUATION AND RETROFIT Or;: CONCRETE BUILDINCS

f Q ()' total upward capacity•


~+
Soil Profile

Q cap(-) r total downward capacity Thickness Wt. Angle of Shearing


Density Resistance
Zone ofnegligible
resistance

Zone of increasing
Total resistance
length,
L
etc.

Zone of constant etc.


resistance

H B, Diameter

t-l
Downward Capacity Qcap (-) = P, N q At + L F di Pi tan 0i as L i
i=l
Where P t = Effective vert. stress at tip t -1
Pt = L L;, ri s P @ Lo + 20 B
i-»
N q = Bearing capacity factor (see Table IO-8a)
At = Bearing area at tip
F di = Effective horiz. stress factor for downward load (see Table IO-8b)
Pi = Effective vert. stress at depth i i
pi=L Ljrj ~P@Lo+20B
.j=O
q= Friction angle between pile/pier and soil at depth i (see Table IO-8c)
as = Surface area of pile/pier per unit length

t-l
Upward Capacity Qcap (+) = L Fui Pi tan s, as i:
i=1
Where F Ui = Effective horiz. stress factor for upward load (see Table lO-8b)
other parameters as for downward capacity

Figure 10-12. Pile/Pier capacities For Granular Soils (adapted from NAVFA C, 1986J

Chapter 10, Foundation Effects


(
(
(

SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

t QCBp(+) , total upward capacity . Soil Profile

Cohesion

Zone ofnegligible L
resistance 0

Total
length,
L
Zone ofconstant
resistance etc.

(
etc. I
\,
(

H B, Diameter (
(
t-l
Downward Capacity Qcap (-) = Ct N c At + I eai as Li (
i=1
(
Where c t = Cohesion strength of soil (see Table Ifl-Bd) at tip
Nc = Bearing capacity factor 9.0 for depths greater than 4B
At = Bearing area at tip (
(
cai = Cohesion strength of soil (see Table 10-Sd) at depth i \

(
as = Surface area of pile/pier per unit length
(
i-I
Upward Capacity Qcap (+) = .E Cai as Lt.
i=1
Where parameters are as for downward capacity

Figure 10-15. Pile/pier capacities for Cohesive soils (adapted from NAVFAC,1986J
(
(

(
10-22 Chapter 10, Foundation Effects (
(
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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

_.Table. 10-7. ...Typical Shallaw.BearingSoil MaterialEraperties. . .

SA Hard Rocl< > 5000 120 20,000 50,000+


S8 Rock 2500 to 140+ 25 120 15,000 40,000
5000
Sc Dense Soil GW,GP 1200 to :> 50 > 2000 120 -140 > 40 5 25 8,000 32,000
Soft Rocl< 2500

So Stiff Soil SW,SP,SM 600 to 15 to 50 1000 to 100 -130 33 - 40 1 5 5,000 20,000


1200 2000
SC,
GM,GC
51: soft Soil CL,ML,MH < 600 < 15 < 1000 90 -120 < 33 < 1 2,000 15,000
,CH
SF Special OL,GH, PT
study

l. Soil Profile Type in Zone of Influence may differ from that used to determine ground shaking parameters.
2. Zone of Influence extends below a shallow footing to approximately three times its width.
3. Ranges of values are provided for use in initial parametric studies. Site-specific geotechnical investigations are recommended for any structure
sensitive to foundation effects.
4. Maximum capacities assume bearing at a minimum depth of 1 foot below adjacent grade and a minimum width of footing of 3 feet.

Table 10-8a. Typical pile/pier capacity Parameters: Bearing capacity Factorsr He;
(adapted from NAVFAC; 1986J
......."""'!!"~"'!"!'!!"-~~-.

Driven Pile 10 15 21 24 29 35 42 50 62 77 86 120 145

Drilled Pier 5 8 10 12 14 17 21 25 30 38 43 60 72

Chapter 10, Foundation Effects


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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS (


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Table 10-Sb. Typical Pile/Pier capacity .


Parameters: EfFective Horizontal stress
Factors, Fdi and Fui (adapted from
NAVFAC, 19S5)

Driven H-pile 0.5 1.0 0.3 0.5


Drive straight 1.0 1.5 0.6 1.0
prismatic pile Table 10-Sc. Typical pile/Pier Capacity
Drive tapered pile 1.5 2.0 1.0 1.3 parameters: Friction Angle, 0 {degrees}
(adapted From NA VFA~·198.6)
Driven jetted pile 0.4 0.9 0.3 0.6
(
Drilled pier 0.7 0.4
I

steel 20 (
concrete 0.75 ep
Timber 0.75ep

i
, .
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Table 10-Sd. Typical Pile/Pier capacity parameters: cohesion, Ct andAdhesion, ca (PSF)
(adapted from NAVf~C, 19S6)
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

foundation model properties for some buildings. In + Visual inspection of the structure and its
___.other cases.itheperformance might. be. highly _ -------foundation -----------.
sensitive to soil properties. Tills is particularly true Site-specific information may be obtained from
for performance objectives beyond Life Safety, geotechnical reports and foundation drawings.
where permanent base displacements are Relevant site information that would be obtained
important. from geotechnical reports includes logs of borings
On the other hand, the structural and and/or cone penetrometer tests and laboratory tests
geotechnical engineer should carefully consider the to determine shear strengths of the subsurface
results of the preliminary analyses to assess both materials, and engineering assessments that may
the sensitivity of the results to soils properties and have been conducted addressing geologic hazards,
the probable outcome of further investigations. such as faulting, liquefaction, and landsliding. If
The extent of site investigations for foundation and geotechnical reports are not available for the
geotechnical data is largely a benefit and cost subject facility, geotechnical reports for adjacent
issue. If detailed information is likely to confirm buildings may provide a basis for assignment of
beneficial results, then the cost may be initial properties. Regional geotechnical and
worthwhile. For this reason, a progressive geological reports and other studies often provide
approach to the investigations is appropriate. This general information on subsurface soil materials,
is summarized in Table 10-9. depth of the groundwater table, seismicity, and
site hazards.
10.5.1 Initial Investigation for Minimum
Information contained on existing building
Information
drawings should be thoroughly reviewed for
The primary objective of the first stage of relevant foundation data. These data include the
geotechnical investigation for a building evaluation type, size, and location of all footings and footing
is to gather enough information to generate a basic design loads. Information on the size of the
model of the foundation system for analysis. This foundation element, the locations of the bases of
includes classification of site soil materials to the footings or the tips of the piles, and the pile
allow selection of initial analysis properties in cap elevations may be necessary to formulate a
conjunction with Tables 10-7, 10-8a, 10-8b, lO-8c model of the foundation system. Other relevant
and IO-3d. These tables use the NEHRP (ESSe information includes material composition (i.e.,
1996) soil profile classifications as examples of wood, steel, or concrete piles) and pile installation
material types. In some cases, conditions differ methods (open- and closed- end piles that are
from these typical profiles and site specific data is driven or jetted). The design drawings may also
required. Potential initial resources for indicate information regarding the allowable
documenting existing geotechnical conditions and bearing capacity of the foundation elements. This
material properties include the following: information can be used directly to estimate
• Review of geotechnical reports, drawings, test foundation capacity. Typically, allowable loads for
results, and other available documents related spread footings are approximately one-third to
directly to the building or to nearby sites one-half of the ultimate capacity (factor of safety
.. Review of regional or local reports related to = 2 to 3). Allowable design loads for piles and
geologic and seismic hazards and subsurface piers typically are about one-half to two-thirds of
conditions the ultimate capacity (factor of safety = 1.5 to 2).

Chapter 10, Foundation Effects


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SEISMIC EVALUATIDN AND RETROFIT OF CDNCRETE" BUILDINGS J
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t, _. - __ T.abla.10~LJ!£Qgr-es$ive..Scop.aa:E
G.e.otecbni.caLSite_In.v-sstigatiDn .

1. Initial Inexpensive Existing reports Soil profile Low Modest


(minimum) Drawings selection Structural Stability,
(SA, Sa .. J Life safety (LS) for
Construction
records Type and simple, foundation
condition of insensitive, buildings
Regional mans . existing footings
Existing load data Soils classification
Visual inspections Generic stiffness
and capacity (see
Tables 10.7 & 10.8)
2. Inexpensive to Shallow test pits Moisture contents Moderate Average
supplemental moderate (
standard Approximate LS for buildings with (
(as needed) penetration test densities some sensitivity to
(SPT blow counts) Cohesion foundation effects .
Torvane shear tests Angle of shearing Damage control for
resistance simple insensitive
buildings
3. Advanced Moderate to Borings Refined strength High Enhanced (
{as needed} expensive _ Cone penetrometer and stiffness LS for very
te5ts{CPT/SCPTI foundation sensitive
Undisturbed' buildings
samples Damage centro: for
Laboratory tests moderate to
sensitive bUilding~
Theoretical analyses
In situ load tests

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Records may also be available indicating of a geotechnical counterpart, should conduct a
ultimate pile capacities if load tests were visual site reconnaissance to observe the
performed. Construction records can be important, performance of the site and building foundation to
since footing characteristics are often changed in gather information for several purposes. First, the
the field by the geotechnical engineer on the basis reconnaissance would confirm that the actual site
of actual subsurface conditions. Finally, conditions agree with information obtained from (

information on the existing loads on the structure the building drawings. Variances from the building (
is needed to determine the amount of existing dead drawings should be noted and considered in the
load on foundation elements to be included in the evaluation. Such variances would include building
(
analysis. additions or foundation modifications that are not (
In addition to reviewing existing documents, shown on the existing documentation. The second
(
the structural engineer, with the possible assistance purpose of the site reconnaissance is to document (
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10-26 Chapter 10, "Foundation Effects

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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

off-site development that may have a potential to proceed with more-detailed geotechnical
.impact on.the building. Such.off-site .development.i., _ _ Investigation,__._____ _ _
could include building grading activities that may
impose loads or reduce the level of lateral support 10.5.3 Advanced Investigations
to the structure under consideration. The final The purpose of advanced geotechnical
aspect of the visual site reconnaissance is to investigations is to reduce the range of
document the performance of the existing building geotechnical component properties to the minimum
and the adjacent area to record signs of poor necessary for an acceptable level of confidence in
foundation performance, such as settlement of the behavior of the existing and/or retrofitted
floor slabs, foundations, or sidewalks. These building (see Section 10.6). The scope of advanced
indicators may suggest structural distress that investigations depends on the specific uncertainties
could affect performance during a future regarding the performance of the building and
earthquake. their implications for potential costs. On the basis
of knowledge gained from analysis, the structural
10a5a2 supplemental Information engineer estimates the degree of confidence
The existing site data and information gained required for an effective decision on performance.
from the initial geotechnical investigation may This implies a definable range of stiffness and
need to be supplemented by additional site strength parameters for geotechnical components.
explorations and geotechnical analysis. The The geotechnical engineer advises the structural
structural engineer, in consultation with a engineer as to the type of investigation necessary.
geotechnical engineer, should formulate a scope of The geotechnical engineer might also speculate on
further investigation after preliminary structural the likelihood of specific results for certain critical
analysis to assess the sensitivity of the building parameters. This speculation is important in some
performance to foundation effects. The purpose of cases to avoid investigation costs that are unlikely
the supplemental investigation normally would be to support assumptions necessary for compensating
to refine the estimates of the stiffness and strength construction cost savings.
of geotechnical components. Supplemental data By definition, the advanced investigations are
may also be necessary for sites where there is a relatively expensive. There is, however, a fairly
significant potential for liquefaction, lateral broad range of costs within this general category.
spreading, or landsliding. Exploration borings, cone penetrometer tests, and
It is sometimes possible to excavate relatively conventional laboratory tests are generally at the
shallow test pits at the exterior or interior of the less expensive end of the spectrum. Theoretical
building to examine typical footings and soils analyses using linear and nonlinear finite-element
materials. The geotechnical engineer can do some techniques can be utilized to generate refined
simple field tests to get a better idea of the soil estimates of the force-displacement characteristics
properties, particularly for spread footing of foundation elements. The associated costs range
foundations. Fairly inexpensive laboratory tests of from minor to significant, depending on the
samples taken from the site can provide additional complexity of the' problem. In situ, large-scale
useful information on moisture content, density, load tests on real or prototype foundation elements
and other basic properties. On the basis of this provide a high degree of reliability. The costs of
information, the geotechnical engineer can make a such tests must be considered carefully in light of
judgment as to a refined range of stiffness and potential savings.
strength parameters for analysis. Upon this advice,
the structural engineer can decide to utilize the
refined range of properties for further analysis or

Chapter 10, .Foundation Effects


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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUII.DINGS (
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10",& Response Limits and different conclusions, then their specific results
-- _·_------Acceptabili1!y- £riteria-- -_. . _...need to.he.carefully compared., .-- -. -- - - -
Flexible/weak foundation assumptions tend to
The recommendation for a force-displacement lead to solutions that indicate lower forces and-
envelope for geotechnical components in Section larger displacements in structures when compared
10.4 recognizes the inherent uncertainty in the with stiff/strong assumptions. This may lead to a (
properties of soil materials. These uncertainties more favorable prediction of performance overall (
are generally greater than those associated with if, for example, the lower forces are in shear
(
structural materials when it comes to strength and (
critical members and the other elements can
stiffness. In contrast with geotechnical sustain the larger displacements. The reliability of
components, the greatest uncertainty with the more favorable prediction of performance may
structural components often is in their ductility and be highly dependent on the geotechnical
post-elastic behavior. characteristics. As illustrated parameters. If this is the case, then investigations
in Figure 10-7, most individual geotechnical should be considered to refine these properties.
components have very large ductilities. For the Alternatively, the more conservative prediction of (
Life Safety or Structural Stability performance performance can be assumed and addressed (
objectives, individual geotechnical components are accordingly by retrofit measures.
acceptable regardless of their maximum
displacements. This, of course, does not mean that 10.6.2 Permanent Foundation (
the effects of these displacements on the structure Displacements (
are acceptable. These effects are reflected in the Accurate predictions of permanent foundation
bzlobal structural model automatically if the displacements due to earthquakes are not possible.
foundation elements are included. For For performance objectives beyond Life Safety,
performance objectives beyond Life Safety for nonetheless, these permanent displacements and
damage control, the effects of permanent their influence throughout the building may be
displacements of geotechnical.components warrant significant. As a general-order-of-magnitude _
consideration. estimate of permanent foundation displacements, it
seems reasonable to focus on the portion of the
10.6.1 Foundation Influence on
total foundation movement attributable to inelastic
structural Response effects. These displacements are-those that occur
The results of preliminary analyses using the after the component capacity has been reached. By
force-displacement envelopes· of Section 10.4 definition they are the maximum component
indicate the sensitivity of a building to foundation displacements less the elastic displacements. It is
effects. Generally two analyses are required-one probably overly conservative to assume that these
assuming stiff/strong geotechnical components and are the permanent displacements in all cases, since
the other assuming flexible/weak. If the results of load reversals would probably recover some of the
each analysis indicate that performance objectives inelastic movement. However, depending on
are met for both assumptions, then further specific foundation characteristics and the duration
refinement of geotechnical properties is _ of intense shaking, the ratcheting effect illustrated
unnecessary. Similarly, if both assumptions lead to in Figure 10-7 can cause CUI accumulation on
the conclusion that retrofitting is required for inelastic displacement. For this reason,' the
essentially the same deficiencies, then it is inelastic portion of foundation displacement and its
normally sufficient to correct the deficiencies pro rata effect on the building should be assumed
without reducing the uncertainty in geotechnical
to ~~ pe~anent.
parameters. If the two assumptions lead to
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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

10.7 Modifications to buildings, however. Different grouting techniques


.-..-_..__..--- -----Foundation-S·ystems----·-· ....-- can.densify.some soils.in .a.large-..or.small-scale__ ._0 __ .
application. Compaction grouting consists of the
Foundation modifications might be required injection under pressure of a mixture of soil,
because of inadequate capacity of existing cement, and water into a soil mass. The grout
foundations to resist the effects of seismic shaking. forms a bulb that displaces and densities the soil:
New structural improvements, such as new shear Care must be taken near existing improvements
walls or the strengthening of existing shear walls, because of the potential for heaving and lateral
might also require foundation modifications or displacement. Chemical, or permeation, grouting
additions. Improvements might also address site replaces the pore water in soil materials to
hazards other than shaking, such as liquefaction or improve-stability. Jet grouting is a technique that
landslides. These objectives might be accomplished uses high-velocity jets to inject and mix a
by one or a combination of the basic construction stabilizing agent into a soil mass. Field testing
techniques as summarized in Table 10-10. usually is required for in situ grouting to verify the
quality and extent of the process. Also
10.7.1 soil Removal and Replacement
preconstruction testing to determine the
Soil removal and replacement can increase
effectiveness of the proposed method is common.
strength and stiffness locally or over large areas.
The technique is to excavate material and then 10.7.3 Underpinning
backfill with compacted suitable material. Cement Underpinning is a common solution to increase
or other stabilizing agents can improve the the stiffness and strength of existing foundation
effectiveness of the fill material. This approach is elements. The objective of underpinning is to
not effective in most circumstances to correct transfer the foundation loads to a deeper, more
deficiencies beneath existing buildings, since competent bearing zone. This can be accomplished
extensive shoring is normally required for in a number of different ways. Pits can be
excavation. III some instances, local areas excavated beneath existing footings and then filled
supporting existing or new foundation elements with concrete. This is done segmentally to
can be improJe<t For ~xample, removal and minimize temporary shoring. Piles, or more
recompaction of material adjacent to spread commonly drilled piers, can be installed adjacent
footings or pile/pier caps can improve lateral to and tied to existing footings or pile caps.
resistance. Drilling equipment for large-diameter piers often
Removal and replacement is often an cannot access the interior of existing buildings.
alternative for global site stabilization. Transverse Micropiles ranging in size from 3 to 8 inches in
buttresses can improve resistance to landsliding or diameter can be installed with portable equipment.
block sliding induced by liquefaction. Often Depending on the specific soil conditions, these
improved drainage is installed in conjunction with small-diameter shafts can carry fairly large loads
soil removal and replacement. (100 to 200 kips).
Underpinning can be designed to resist both
10.7.2 In Situ Soil Densification
compression and tension loads. The design and
Densification to improve stiffness and strength
construction of underpinning should also address
of soils can sometimes be accomplished without
effective load transfer. In some cases, preloading
removal. Impact and vibration are often effective,
o using jacks ensures that loads are transferred to the
especially for granular materials. The direct effect
underpinning without excessive displacement.
of vibration and the settlement resulting from
Often it is necessary only to install nonshrink grout
volume change pose a problem near existing between the existing footing and the new elements.

Chapter 10, Foundation Effects


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SEISMIC EVAl.UATION AND RETROFIT OF CONCRETE BUII.DINGS

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Table 10-10. Ti:chniques For and Objectives of Foundation Modifications (

Soil Removal and Can be effective locally; large scale use usually impractical common alternative
Replacement
(
In Situ Soil Densification (
Impact and Vibration Normally impractical near existing improvements Common alternative
Grouting Can be effective locally and on a larger scale; most effective Common alternative
for granular materials
underpinning
conventional block common alternative Not applicable Not applicable
Piles or Piers Piers more common because of Not applicable Not applicable
vibration
structural Additions or
Modifications
Slabs Can be effective in mobilizing more elements for horizontal Not applicable
resistance
Grade BeamslWalls Often usedto spread loads to increased number of elements Can be effective for
horizontal stabilization
spread Footings Existing components can be New components can be Not applicable
enlarged installed
Piers/Piles components can be added to New elements can be can be used for vertical
existing groups/elements; large installed and horizontal stbilization
diameters diffcult in interior
Base Isolation Requires evaluation of benefits/costs; more applicable for Not applicable
damagecontrol objectives

10.7.4 structural Additions or Driven piles made of steel, concrete, or wood


Modifications or cast-in-place concrete piers may be used to
Foundation improvements can include the supplement the vertical and lateral capacities of
addition of new elements to support new shear existing foundation elements or to support new
walls or columns for the structural retrofitting and elements. Similarly, existing spread footings may
modification of existing foundation elements. be enlarged or new footings added to improve
Where the potential for differential lateral foundation performance. Capacities and stiffnesses
displacement of building foundations exists, the of new or supplemental foundation elements and
provision of interconnecting grade beams or a components should be determined in accordance
well-reinforced slab on grade can provide effective with the appropriate procedures of Section 10.4.
mitigation of these effects. Grade beams and walls The potential for differential strengths and
can also augment the rotational resistance of the· stiffnesses among individual elements and
foundation system by spreading overturning forces components should be included. In some cases,
to a larger number of resisting elements. jacking and shoring ·can be incorporated in the

10..30 Chapter 10, Foundation Effects


SEiSMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

.-

construction of new foundation elements to objectives need not be confined to, or necessarily
mitigate. these .effects _ _"., _ . .._.. . __.even.include,._the. foundation.in.order.for. base__ _..... _
isolation to be considered as a strategy for a given
10.7.5 Base Isolation building. The practicality of the use of this
Base isolation and energy dissipation systems technology for existing buildings is highly
are retrofit strategies that have been used for a dependent on the characteristics of the specific
number of existing buildings. Conceptually, base building. Basements or crawl spaces facilitate the
isolation is an attempt to reduce the response of installation of isolation systems. Because of the
the building by decoupling it from the ground. costs of typical systems, the benefits of base
Since this decoupling occurs at the base, it may be isolation normally need to include significantly
viewed as a foundation modification. But the large reductions in damage potential and expected
inability of existing systems to meet performance loss of revenue.

Chapter 10, Foundation Effects


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_ _ _ _ _ • 0_ _• _ _ • __ •• • __ •

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Chapter 11
n imits
AUdience Interest spectrum
Owner. Architect . Bldg. Official Engineer Analyst

11..1 Ceneral motion exceeds any of the global building or


To determine whether a building meets a element and component acceptability limits given
specified performance objective, response in this chapter for the appropriate performance
quantities from a nonlinear static analysis (Chapter level, then the building should be deemed to not
8) are compared with limits for appropriate achieve the performance objective.
performance levels (Chapter 3). This chapter In addition to the numerical response limits of
presents those structural response limits, which Sections 11.3 and 11.4, this chapter also presents
constitute acceptance criteria for the building descriptive limits of expected performance in
structure. The response Section 11.2. These descriptive limits are intended
limits fall into two to guide selection
cate gories: of appropriate
performance levels,
.. Global building
and are not
acceptability limits.
intended to be used
These response
as strict acceptance
limits include criteria. See
requirements for Section 9.6 for
the vertical load
notation.
capacity, lateral Where
load resistance, and .acceptance criteria
lateral drift. They are not met, it is necessary either to redefine the
are given in Section 11.3.
performance objectives or to retrofit the building.
.. Element and component acceptability limits. Chapter 6 describes a variety of retrofit strategies.
Each element (frame, wall, diaphragm, or Commentary: The response limits in this
foundation) must be checked to determine if its chapter relate only to the building structure.
components respond within acceptable limits. Nonstructural response limits are not included in
Section 11.4 describes the minimum checks the discussion, except to the extent that global
that must be made for each building element. building drift limits will influence nonstructural
As described in Chapter 3, a performance element acceptability.
objective represents a desired performance level
for a specified earthquake ground motion. If
calculated response for the specified ground

Chapter 11, Response Limits


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SEISMIC EVALUATION AND RETROFIT OF .CONCRETE BUILDINGS

11.2 Descriptive Limits of 11 ...3 Global Building


--Expected--performance-- ,- ,--, --- -,----- - Acceptability--liiim'its - --------, '.-
Performance levels given in Chapter 3 are
broad, general categories used to set performance 11.3.1 Gravity Loads
objectives. For the structural elements and The gravity load capacity of the building
components commonly found in the building types structure must remain intact for acceptable
addressed by this methodology-cast-in-place performance at any level. Where an element or
(
concrete nonductile frame and wall frame component loses capacity to support gravity loads,
structures-a brief description of anticipated the structure must be capable of redistributing its
damage at four structural performance levels is load to other elements or components of the
outlined in Table 11-1 (Table 11-1 also includes existing or retrofit system.
descriptions of nonstructural damage expected in Commentary: Older reinforced concrete
typical buildings). The Damage Control construction often contains proportions and details
performance level that make it prone to
represents a range of collapse in strong
states bounded by Life earthquake ground motions
(
Safety and Immediate Loss ofgravity load
(
Occupancy; in Table carrying capacity in . (
11-1, it is distinguished columns, beam-column (
\
by a level of joints, or slab-column
nonstructural damage connections has been the
higher than that primary cause of collapse
permitted for Immediate in past earthquakes. The
Occupancy. Although analysis must evaluate the
the descriptions focus on existing building consequences of loss of vertical load carrying
elements, similar descriptions could be appended capacity in any structure components.
for buildings with added retrofit elements.
Damage descriptions in Table 11-1 contain two 11.3.2 Lateral Loads
types of information: first, the absolute statements As discussed in Chapter 9, some component
that the gravity load capacity of the building . types are subject to degrading over multiple load (
remains substantially intact, and second, the cycles. If a significant number' of components
qualitative/quantitative statements regarding the degrades, the overall lateral force resistance of the (
magnitude of observed damage to structural and building may be affected. The lateral load
nonstructural components. Qualitative descriptions resistance of the building system, including
are based on damage observed in prior resistance to the effects of gravity loads acting
earthquakes; they describe the borderline between through lateral displacements, should not degrade
building collapse and maintenance of the gravity by more than 20 percent of the maximum
load system. Accurate quantitative descriptions, resistance of the structure. Where greater
(
perhaps more useful to engineers and building degradation occurs, either the structure should be (
officials, are difficult to construct; they typically retrofit to reduce the degradation, oralternative (
reflect damage observed in prior earthquakes as methodologies should be employed to refine the (
well as reports on similar structural systems tested estimates of expected response. Degrading of
to varying degrees of destruction. secondary elements (Section 11.4.2.1) need not be (
considered for this check.. (
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11..2 Chapter 11, Response Limits

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SEISMIC EVALUATION A.NO RETROFIT OF CONCRETE BUiLDiNGS

Table 11-1. Representative Damage Descriptions for Elements and Components in Nonductile Concrete Frame and Frame-Wall Suildings

Very limited flexural limited flexural and Hinges have formed in the Hinges have formed in the lower portions of
and shear cracking shear cracking with lower portions of the the building causing significant spalling
With no spailing. j\lo little or no spalling. building, causing spalling above and below beam-column joints and
permanent horizontal No permanent above and below beam- pulverizing of concrete within the core.
offset. Gravity horiZontal offset. column joints. Permanent Permanent horizontal orrset approaching
capacity maintained. Gravity capacity horizontal offset approaching 3.5% interstory drift with small areas
maintained. 2.0% interstory drift with marginally higher. Gravity capacity
small areas marginally higher. maintained throughout nearly all of the
Gravity capacity maintained. structure.
Beams Very limited spalling limited spalling Spalling around hinge region Extensive spalling around hinge region and
around beam column around beam column and beam column joint. beam column joint. Extensive flexural and
joint. very limited joint. Limited flexural Flexural and shear cracking in shear cracklnq in hinge region, progressing
flexural cracking in cracking in hinge hinge region progressing into into beam column joint. Rupture of shear
hinge region. No region. No permanent the beam column joint. stirrups, permanent vertical deflection
permanent deflection. Gravity Elongation of shear stirrups approaching U75. Gravity capacity
deflection. Gravity capacity maintained. adjacent to joint. Permanent maintained.
capacity maintained. vertical deflection
approaching U175. Gravity
capacity maintained.
Slabs Very limited cracking Limited cracking Cracking adjacent to beam- Extensive cracking adjacent to beam-column
adjacent to beam- adjacent to beam- column joint or other joint or other supports. Chunks of concrete
column joint or other column joint or other supports. Gravity capacity pulverized and missing from areas between
supports. Gravity supports. Gravity maintained. slab steel. Vertical offsets in slabs adjacent to
capacity maintained. capacity maintained. supports amounting to one-rourtn the slab
thickness but no collapse.
walls and Very minor shear Minor shear cracking Extensive spalling and shear Extensive spalling and shear and flexural
Pilasters cracking in plane of in plane of wall. Little and flexural cracking, cracking throughout wall, particularly in areas
(Piers) wall. very little or no or no cracking at end particularly at the ends and with greatest permanent offset. Evidence of
cracking at end of wall of wall or of pilasters. heels of shear walls. Evidence longitudinal rebar buckling. Evidence of
or of pilasters. No No permanent of sliding shear failures. sliding shear failures along construction
permanent horizontal horizontal offset. Permanent horizontal offset joints and at base of wall. Permanent
offset. Gravity Gravity capacity approaching 2.0% interstory horizontal offset approaching 3.5%
capacity maintained. maintained. drift With other areas interstory drift with other areas marginally
marginally higher. Gravity higher. Gravity capacity maintained
capacity maintained. throughout neartv all of structure.
Foundations No evidence of No evidence of Differential settlement Differential settlement approaching Ll60
differential differential approaching U150 between between two adjacent columns.
settlement between settlement between two adjacent columns.
two adjacent two adjacent
columns. columns.
Nonstructural No exterior glass Very limited exterior Some glass crushed and Most exterior glass crushed and missing at
Elements crushed. All exterior glasscrushed. All limited portions missing on floors with greatest permanent displacement
and interior doors exterior and interior floors with greatest and smaller amounts of glass crushed on
operative. Very doors operative. permanent Offset. Most other floors. Exterior and interior doors
limited damage to limited damage to exterior doors operational. racked and inoperative. Most suspended
suspended ceilings suspended ceilings Some interior doors racked ceilings and light fixtures collapsed. Interior
and light fixtures and and light fixtures. and inoperative. Some partitions extensively cracked and partially
no collapse. Very few Isolated furniture suspended ceilings collapsed. toppled. stairwell interiors extensively
furniture items overturned. Limited Light fixtures damaged. cracked. Furniture overturned. Elevators and
overturned. Very cracking of interior Interior partitions extensively building utilities inoperative. Penthouses
limited cracking of partitions and cracked with limited toppling. partially collapsed.
interior partitions and stairwell finishes. Stairwell interiors extensively
stairwell finishes. Elevators and building cracked. Building furniture
Elevators and building utilities operative. overturned. Elevators and
utilities operative. limited damage to building utilities inoperative.
very limited damage penthouses. Penthouses extensively
to penthouses. damaged.

Chapter 11, Response limits


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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS
(

(
The nonlinear static procedures presented
-o--Checking-for-A-cceptable-perPormance- ---in-this-methodology.-lzav.e-not-been..adequatel¥- -
verifiedfor structures whose resistance
For a given performance Objective, degrades substantially. For this reason, and (
calculated response quantities at the to preclude the potential failure to identify
performance point must not exceed inadequate performance of degrading
appropriate response limits associated (
structures, the methodology does not permit \

with: (
more than 20% strength degradation. Where
(
resistance degrades by more than 20 percent
(
of the maximum resistance, "either nonlinear
dynamic analysis methods should be used to
(
(
Global Building Response assess earthquake demands (although (
CIt Gravity load support software limitations may be prohibitive), or,
• Lateral load stability preferably, the structure should be retrofitted.
CII Drift limits
By definition, secondary elements are not (

essential to lateral load resistance, so their (


degradation is not a particular concern to (
f
global building performance. \
(
1.1.3.3 Lateral Deformations (
(
Lateral deformations at the performance
Element and (
point displacement (see Chapter 8) are to be (
Component Response \,
checked against the deformation limits of this (
Check all components for:
• Strength
section. (
• Deformation capacity Table 11-2 presents deformation limits for \
various performance levels. Maximum. total C
drift is defined as the interstory drift at the (
performance point displacement. Maximum
inelastic drift is defined as the portion of the
(
maximum total drift beyond the effective yield
Commentary." Two effects can lead to loss of point. For Structural Stability,the maximum total (
latera/load resistance with increasing drift in story i at the performance p<?int should not
displacement. The first is gravity loads acting
through lateral displacements, known as the P-iJ.
effect. The P-L1 effect is most prominent for flexible Table 11-2. DeFormation Limits
structures with little redundancy and low lateral
load strength relative to the structure weight. The
second effect is degradation in resistance of
individual components of the structure under the Maximum 0.01 . 0.01· 0.02
( -

action of reversed deformation cycles (see Sections total drift 0.02 O.33~ (
9.5.1 and 9.5.4.1). When lateral load resistance of r, (
(
the building degrades with increasing Maximum 0_005 0.005 - no no limit
displacement, there is a tendency jor displacements inelastic 0.015 limit
drift
to accumulate in one direction. This tendency is (
especially important jor long-duration events. (
(
(
11..4 Chapter 11, Response Limits
(
(
(
(
SEISMIC EVALUATION AND RETROFIT Or: CONCRETE BUILDINGS'

levels is lacldng. Laboratory tests on relatively


.e.x,c_e,:-c!-~~qu~ti~~:?}~'-\Yl1ere_~ is the_!o!..al_ . complete-structuraLsyst.enzs-seldom..extel.'lcLbe;jol1d_,,
I
this deformation level. Furthermore, most tests
calculated lateral shear force in story i and Pi is have been conducted on structures satisfying or
'the total gravity load (i.e. dead plus likely live nearly satisfying current proportioning and
load) at story i. detailing requirements for new buildings.
Commentary: The maximum drifts in Measured responses of buildings subjected to
Table 11-2 are based on judgment of the project actual earthquakes also do not extend beyond this
team. The following considerations were used to limit.
establish the recommended limits. For Structural Stability, the maximum total
For immediate Occupancy, the maximum total drift limit is derived franz similar limits in the
drift limit of O. 01 is based on observed damage in NEHRP provisions for design of new buildings
laboratory tests on well-detailed frame structures. (BSSe, 1995). This limit is not very restrictive.
The maximum inelastic drift limit is based on the For example, for a structure with a base shear
objective of avoiding significant residual coefficient of 15 percent of the building weight. the
deformations after the earthquake. Lower drifts maximum total drift limit is 0.33 x 0.15 = 0.05.
may be required to avoid damage in other types of Many engineers would find this level of drift
structures; component deformation limitsin unacceptably high, especially for an older building
Section 11.4 are available for this purpose. with questionable details: Lower limits may be
Table 11-2 limits consider the building structure appropriate in many cases.
only. Additional limits may be required to protect
nonstructural components and contents. 11 ..4 Element and
Component
roof roof d noft raf 10 = roofHdrift
drift Acceptability Limits

11.4.1 General
Each element must be checked to determine
whether its individual components satisfy
acceptability requirements under performance
point forces and deformations.
Section 11.4.2 defines primary and secondary
components and presents general information on
strength and defonnability checks. Sections 11.4.3
through 11.4.7 present specific recommendations
for various elements and the components that
typically compose those elements.
Commentary: Together with the global
requirements of Section 11.3, acceptability limits
for individual components are the main criteria for
assessing the calculated building response.
Section 11.4 defines those components and actions
For Life Safety, the maximum total drift limit that must be checked and recommends specific
of o. 02 is recommended because significant limits. As described in Chapter 9, elements
experience with responses to larger deformation (frames. walls, diaphragms. and foundations) are

Chapter 11, Response Limits


(
(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS
(
:

, (

the main load resisting pans of the building and ground motion; these are considered primary, (
... .are.composed. of.camponents.tsuch. asbeamsc.:.: ----- .-.- .Some.componenis. may-carry.Iateral.load.and: stilL -...- .'."'"7
columns, slabs, chords, and connections). be considered secondary; examples include weak (
All structural elements and components should ductile components that yield early and carry little . ('
be assessedfor combined vertical and lateral load relative to the performance point base shear (
forces and deformations. Components should be and stiff components that degrade and shed their
classified as primary or secondary (see loads long before the performance point is (
Section 11.4.2.1) and reached. Flexible gravity
checked against the load resisting elements in
(
requirements of an otherwise stiff building
(
Section 11.4.2 and are generally secondary.
Tables 11-3 through "Significant portion" both (
11-10. Secondary requires and allows for (
components that do engineering judgment. (
not carry gravity (
loads need not be 11.4.2.2 component (
checked against strenatn (

specific deformation .Strength demands at


limits. Refer to the performance point are
Section 11.4.2.3 not permitted to exceed
commentary for the strengths established in
additional discussion. Chapter 9. For ductile,
deformation-controlled actions (see
11.4.2 General Approach for Section 9.5.4.1), inelastic response is acceptable
component Acceptability as long as deformation acceptance limits are not
exceeded. Furthermore, analysis results should be
11.4.2.1 primary and secondary Elements checked to ensure that strain hardening of the
and Components analytical model does not result in unrealistic
Each element and component is classified as internal actions that exceed the component's
primary or secondary depending on its significance expected strength.. For brittle, force-controlled
to the lateral load resisting system at or near the actions, components should be modeled with
performance point. Elements and components that degrading resistance once the strength is reached.
provide a significant portion of the structure's Commentary: Section 9.5.1 commentary (
strength or lateral stiffness at the performance discusses techniques for modeling degradation.
point are considered primary. Other elements and Some applications are illustrated in Volume 2,
components may be considered secondary. Example Building Studies.
Commentary: Primary and secondary
components are defined in terms of significance to 11.4.2.:5 Component DeFormation
building performance, not in terms of stiffness or Capacity
strength and not in terms of the need to model Calculated component deformations are not (
them (see Chapter 9) .. Therefore, participation in permitted to exceed deformation limits for
the lateral load resisting system is measured at the appropriate performance levels. (
performance point as a means of distinguishing Where test data or analyses are used directly to
those components that are able/needed to resist develop deformation accept~ce criteria, their use (
lateral load "after several Cycles of earthquake should be consistent with the descriptions in
( "

(
Chapter 11, Response Limits
Table 11-1. A multilinear load-deformation corresponds to the deformation at which significant
...relation. should. be.. established..using procedures- .... .. ...-str-ength-degradation. begins.. Poini.Euto.which:
described in Section 9.5 (see Figures 9-10 and secondary actions, components, and elements are
9-11). The deformation acceptability criteria linked) corresponds to the deformation at which
should be established as follows: gravity load resistance is lost.
• For primary actions, components, and Secondary components that do not carry
elements: The component deformation capacity gravity loads need not be checked against specific
at the Structural Stability performance level is deformation limits because they do not lead to
defined as the deformation at which significant collapse (assuming excessive deformation does not
lateral load strength degradation begins. The make them falling hazards themselves). However,
component deformation capacity at the Life engineering judgment must still be used to assess
Safety performance level is defined as 75 performance relative to general expectations and
percent of the Structural Stability deformation. requirements for desired performance levels. For
example, short, force-controlled coupling beams
.. For secondary actions, components, and that reach their shear capacity long before the
elements: The component deformation capacity performance point are likely to be classified as
at the Structural Stability performance level is secondary components carrying no gravity load.
defined as the deformation at which vertical After degrading, they can probably undergo
load carrying capacity is lost. The component excessive deformations without affecting the
deformation capacity at the Life Safety behavior or capacity of adjacent components, so
performance level is defined as 75 percent of specific deformation limits may not apply. Still, if
the Structural Stability deformation. the performance objective involves an Immediate
Commentary: Defining the component Occupancy performance level, the associated
deformation capacities at the Life Safety cracking and spalling may be unacceptable. A
performance level as 75 percent of the Structural similar example involves hollow clay tile
Stability deformation is largely judgmental and floor-to-floor partitions in aframe building. As
arbitrary. It is believed to provide a reasonable long as they do not affect exits or corridors, these
margin of safety. nonstruetural components can be heavily damaged
As an alternative to calculating deformation without affecting structural performance. Their
capacities or deriving them from test data, the assessment will be based on repair and
numerical limits in Tables 11-3 through 11-10 (at inconvenience costs. This is a matter of
end of this chapter) may be used. To use these engineering judgment; specific deformation limits
tables, the components 'must have been modeled probably do not apply.
according to the procedures in Chapter.9, with
modeling parameters according to Tables 9-6 11.4.3 Concrete Frame Acceptability
through 9-12. Sections 11.4.3 through 11.4.7
provide additional information on application of 11.4.3..1 sesm-cotumn Frames
tabulated criteria. Acceptability should consider the strength and
Commentary: Deformation acceptance criteria deformation capacity of beams, columns,
may be calculated or derived directly from test beam-column joints, and other components,
data. Figure 11-1 illustrates the deformation considering also connections with adjacent
acceptance criteria when this approach is used. In elements. The assessment should consider at least
this figure a relatively simple load-deformation the following:
relation. is shown. Point C (to which primary .. Axial-flexural response of beams and columns,
actions, components, andelements are linked) including evaluation of likely yield mechanisms

Chapter 11, Response Limits


(
(

SEISMIC EVALUATION AND RETRDFJT OF CDNCRETE BUILDINGS


(

O/Qc ' - _ - - - Ufe safety performance (


------...:--~-.I4-~.:..!:!...t..- - ..- --- -,evel------------------------·---- --- -.
o
-J 1.0 ----------- Structural stability
~ ,8 (
~ , performance level
j 'A: (
-4 .6.
Lateral Deformation
(a) Primary Actions. Components and Elements
('

Ufe safety performance


level
Structural stability
performance level

/1
Lateral Deformation
(b)·Secondary Actions. Components and Elements
Figure 11·1. Typical Load·Deformation Acceptance Criteria

and calculation of inelastic strength and columns, acceptance criteria are expressed in terms
rotation demands of plastic rotation angles within the yielding plastic
(
hinge. In Table 11-5, the acceptance criteria are (
+ Shear response of beams and columns, at expressed in terms of total shear .angle of the joint.
component ends and at locations along the
Commentary: Primary causes of collapse in
span where reinforcement changes
beam-column frames are failures in columns and
+ Actions on beam-column joints considering injoints. The evaluation should be especially
equilibrium of forces from beams and columns attentive to flexural, shear, and splice actions in (
framing into the joint columns with nonconforming transverse (
• Adequacy of development lengths, splice reinforcement, and shear actions in joints with
lengths, and embedments of longitudinal and minimal transverse reinforcement.
transverse reinforcement in beams, columns, The numerical acceptance criteria in Tables
and beam-column joints 11-3 through 11-5 were established from data
identified in Chapter 9. The criteria are in terms of
+ Potential for loss of gravity load capacity due deformation quantities (plastic hinge rotations in
to failure of beams, columns, or beam-column beams and columns and total shear deformations
joints in joints) recommendedfor these components in (-
Inelastic response is restricted to those Chapter 9. (
components and actions listed in Tables 11-3
through 11-5, except where it is demonstrated by 11.4.3.2 stsn-cotumn Frames
analysis or tests that other inelastic action can be Acceptability should consider the strength and (

tolerated considering the selected performance deformation capacity of slabs, columns, (


levels. In Table 11-3 for beams and Table 11-4 for slab-column connections, and other components; (
(
( -
(
11-8 Chapter 11, Response Limits
SEISMIC EVALUATiON AND RETROFIT OF CONCRETE .BUILDINGS

considering also connections with adjacent applies primarily where the connections do not
.elements ..-.The. assessment..should.considerat.least,. . - ..have-effectively. continuous-bottorn-reinfor-cement-.. --
the following: sufficient to catch the slab in the event that
+ Flexural response of slabs and columns, punching shear failure occurs. In other cases,
including evaluation of likely yield punching shear failure is likely to be localized and
mechanisms and calculation of inelastic unlikely to lead to progressive collapse.
strength and rotation demands The numerical acceptance criteria in
Table 11-6 were established from data identified in
.. Shear and moment transfer capacity of Chapter 9. The criteria are in terms of deformation
connections quantities (plastic hinge rotations in slabs and
.. Adequacy of development lengths, splice plastic connection rotations in connections)
lengths, and embedinents of longitudinal and recommended for these components in Chapter 9.
transverse reinforcement in slabs, columns,
and slab-column joints 11.4.4 concrete Shear Wall
Acceptability
.. Potential for loss of gravity load capacity due
to failure of slabs, columns, or slab-column 11.4.4. 1 Solid Walls
connections Acceptability should consider the strength and
Inelastic response should be restricted to those deformation capacity of the wall and its
components and actions listed in Tables 11-4 and connections with adjacent elements. The
11-6, except where it is demonstrated by analysis assessment should consider at least the following:
or tests that other inelastic action can be tolerated + Flexural deformation capacity
considering the selected performance levels. In
Table 11-6 acceptance criteria are expressed in .. Shear strength of the panel
terms of plastic rotation angles within the yielding .. Sliding shear strength.
plastic hinge of the slab; alternatively, they refer
.. Foundation uplift
to the plastic rotation of the connection element if
one is used.
Commentary: Primary
causes of collapse in
slab-column frames are
failures in columns and indicates plastic hinge zone
slab-column connections.
The evaluation should be
e = rotation in plastic hinge zone
especially attentive to
flexural, shear, and splice Note: e = ey + ep
actions in columns with where ey = yield rotation = (MIEI)/p
nonconforming transverse
reinforcement, and shear
and ep = plastic hinge rotation
and moment transfer
actions in slab-column
connections with heavy
gravity load shears (VgIVo
> 0.4). The concern for
slab-column connections

Chapter 11, Response Limits 11 ..9


(
(
(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUII.DINGS (
(
(
(
(
(
'(
+ Adequacy of development lengths and splice criteria are in terms of deformation quantities (
---I€ngths-ef-10ag-itudinal-ana-transve-rse--·---· '-- - .-.(plastic-hinge-r-(}tations-in-waU~-tangential-dr-ift--· "... _.. --('"
reinforcement ratio in walls or wall segments, and slip along the
Inelastic response should be restricted to those construction joint) recommendedfor these (

components and actions listed in Tables 11-7 components in Chapter 9. Refer to Section 9.4.3.1 (
, (
through 11-9, except where it is demonstrated by commentary for a discussion of construction joint
slip. . (
(
Tangential drift is "the drift due to ;'
actual shear andflexural distortion of the \
(
wall, not including drift due to rigid body
(
rotations (which may be caused by
foundation yield or hinging at the wall
J.4--~-- interstory drift
base): Tangential drift ratio, in radians, (
is calculated as the tangential drift (
divided by the wall or story height.
11..4..4..2 Coupled, PerForatet:t or
punched Walls
Acceptability should consider the
strength and deformation capacity of
walls, wall segments, coupling beams,
and pier-spandrel connections,
considering also connections with adjacent
elements. The assessment should consider
at least the following:
.. Flexural deformation capacity of
walls, coupling beams, piers, and
Interstory Drift Versus Tangentiallnterstory Drift spandrels
.. Shear strength or the wall panel, (
coupling beams, piers", spandrels, and (
connections
.. Sliding shear strength at construction
analysis or tests that other inelastic action can be
joints, intersections of walls and coupling
tolerated considering the selected performance
beams, and interfaces between wall segments
levels. In Table 11-7; acceptance criteria are
expressed in terms of plastic hinge rotation angles .. Foundation uplift
within the yielding plastic hinge. In Table 11-8, .. Adequacy of development lengths and splice
acceptance criteria are expressed in terms of lengths of longitudinal and transverse (-
tangential shear drift of the wall or wall segment. reinforcement (
In Table 11-9, acceptance criteria are expressed in
Inelastic response should be restricted to those
terms of total slip along the construction joint. components and actions listed in Tables 11-7
Commentary: The numerical acceptance through 11-10, except where it is demonstrated by
criteria in Tables 11-7 through 11-9 were analysis or tests that other inelastic action can be
established from data identified in Chapter 9. The tolerated considering the selected performance

Chapter 11, Response Limits


(
(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE Bgl!LDn'IC~

levels. In Table 11-7, acceptance criteria are should also be assessed. The assessment should
" ._expressecli.n..terms._o[plastic..hinge. rotation.angles. --.... -consideLat.least-the-follo..wing:----._-_._._----- ---_._-- -
within the yielding plastic hinge. In Table 11-8, + Flexure, shear, sliding shear, anchorage,
acceptance criteria are expressed in terms of development, and splice actions in the wall, as
tangential shear drift of the wall or wall segment. discussed in Sections 11.4.3.1 and 11. 4·.3.2
In Table 11-9, acceptance criteria are expressed in
terms of total slip along the construction joint. In + Flexure, shear, sliding shear, anchorage,
Table 11-10, acceptance criteria are expressed in development, and splice actions in the
terms of total chord rotation for the coupling components supporting the discontinuous wall,
beam. as discussed in Sections 11.4.2 through
11.4.3.2
Commentary: The numerical
acceptance criteria in Tables 11-7
through 11-10 were established
from data identified in Chapter 9.
Note that no tests on perforated
walls and only very few data on ch 0 rd rotatio n = Q
walls with irregular openings were In
available. Instead, tabulated limits
are based on judgment and on
results from tests of other wall
element types:
The criteria are in terms of
deformation quantities (plastic
hinge rotations in walls, tangential
drift ratio in walls or wall
segments, slip along the
construction joint, or total chord
rotation for coupling beams)
recommended for these components
in Chapter 9.
Refer to Section 9.4.3.1 commentary for a .. Force transfer mechanisms between the
discussion of construction joint slip. Refer to discontinuous wall and the supporting
Section 11.4.2.3 commentary for a discussion of components .
deformation limits for coupling beams or wall
+ Foundation uplift
segments that might be classified as secondary
components with no gravity load. Inelastic response should be restricted to those
components and actions identified for the separate
11.4.4.3 Discontinuous Walls wall and frame elements, as described above.
Acceptability should consider the strength and Commentary: Discontinuous walls supported
deformation capacity of the element, with special on columns have contributed to damage and
attention given to components supporting the wall, collapse of numerous structures during strong
mechanisms for transferring loads to those earthquakes. The primary causes of collapse are
elements, and mechanisms for transferring loads to compression. failure of the column due to
the floor diaphragm. Interconnecting elements overturning action of the wall on the column, or
soft-story failure itt either column shear or flexure

Chapter 11, Response Limits


(

SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS-

due to discontinuity in the shear transfer path over .. Tension due to out-of-plane anchorage of
.the. buildingheighi..Dfteas.the. best.appzaach.is.ta ----.- .. ----walIs,wall-panels-,-.and- other.elemeats.andc.L>. - _.._.
forego the numerical acceptance criteria and focus components
on retrofitting the building so as to remove the In general, inelastic response should not be (
discontinuity. permitted in diaphragms, except where it is (
(
demonstrated by analysis or tests that inelastic
11.4.5 Combined Frame-Wall Element (
action can be tolerated considering the selected
Acceptability (
performance levels. Where inelastic action is i
Acceptability should consider the strength and permitted, the acceptability limits should be \
deformation capacity of the wall and frame (
established on the basis of the general modeling (
system, as well as connections with adjacent procedures of Section 9.5 and the general (
elements. The assessment should consider aspects acceptability-guidelines of Section 11.4.2.
of performance for individual wall and frame
(
Commentary: There is relatively little (
elements, plus at least the following: analytical or experimental experience associated (
.. Strength and deformability of wall and frame with nonlinear response of concrete diaphragms. l.
elements, as described in Sections 11.4.3 and Some local inelastic response may need to be
11.4.4 accepted, but its acceptability should be gauged on
.. Strength and deformability of connections a case-by-case basis. Widespread inelastic
between the frame and wall components response ofdiaphragms should. not be accepted.
Inelastic response should be restricted to those 11.4.7 Foundation Acceptability
components and actions identified for the separate
The acceptability of foundations in most cases
wall and frame elements, as described in Sections
will be determined by the effect of soil-
11.4.3 and 11.4.4.
deformations on the supported structure, In
11.4.6 Concrete Floor Diaphragm addition, acceptability of structural foundation
Acceptability components should consider the following:
Acceptability should consider the strength of + Embedment of vertical reinforcement in
the diaphragm and its connections with adjacent footing or pile cap
elements. The assessment should consider at least .. Footing, mat, or pile cap shear capacity
the following:
.. Tensile capacity of footing, mat, or pile cap
.. Shear strength of the slab and its connections reinforcement
with walls or other elements and components
.. Flexural, tensile, and shear capacity of piles or
.. Adequacy of chords along the boundaries of piers, including consideration of pile or pier
the diaphragm, at reentrant comers, and at connection to the cap
other irregularities in plan or elevation
Additional guidance on
foundations is given in
.. Strength of drag struts and collectors near Chapter 10.
concentrated loads and openings

11-12 Chapter 11, Response LImits

(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

Table 11-$. Numerical Acceptance Criteria For Plastic Hinge Rotations in ReinForced
_. .~'?'!~t:e~_~e~!!1s'_!!!_r!!J!!?.!!~ . ~~~-~-;,.;;..~~~

1. Beams controlled by flexure 1

p-p Trans. v 4

Rein~.2
bwd.fi:
Pbal

:;0.0 C :;3 0.005 0.02 0.025 0.02 0.05


:;0.0 C ~6 0.005 0.01 0.02 0.02 0.04
~0.5 C :;3 0.005 0.01 0.02 0.02 0.03
~ 0.5 C ~6 0.005 0.005 0.015 0.015 0.02
:;0.0 NC :;3 0.005 0.01 0.02 0.02 0.03
:;0.0 NC ~6 0.0 0.005 0.01 0.01 0.015
~ 0.5 NC :;3 0.005 0.01 0.01 0.01 0.015
2 0.5 NC 26 0.0 0.005 0.005 0.005 0.01
2. Beams controlled by shear"
stirrup spacing s; d/2 0.0 0.0 0.0 0.01 0.02
stirrup spacing> d/2 0.0 0.0 0.0 0.005 0.01
3. Beams controlled by inadequate development or splicing along the span"
stirrup spacing s d/2 0.0 0.0 0.0 0.01 0.02
stirrup spacing > d/2 0.0 0.0 0.0 0.005 0.01
1
4. Beams controlled by inadequate embedment into beam-column joint

e
.1 0.01 I 0.01 I 0.015 '-0-.0-2---r---
0.03

1. When more than one of the conditions 1, 2, 3, and 4 occur for a given component, use the
minimum appropriate numerical value from the table. See Chapter 9 for symbol definitions.
2. Under the heading "transverse reinforcement," "C" and "NC" are abbreviations for conforming
and non-conforming derails, respectively, A component is conforming if within the flexural
plastic region: 1) closed stirrups are spaced at::; d/3, and 2) for components of moderate and high
ductility demand the strength provided by the stirrups C~) is at least three-fourths of the design
shear. Otherwise, the component is considered non-conforming.
3. Linear interpolation between values listed in the table is permitted.
10 = Immediate Occupancy
LS = Life Safety
SS = Structural Stability
4. V =Design Shear.
S. For lightweight concrete, use 75 percent of tabulated values (see Section 9.5.2.2).

Chapter 11, Response Limits


./
/
\.

SEISMIC EVALUATION AND RETROFIT OF CONCRETE Rtnl.DING5

.(
(
Table 11-4. Numerical Acceptance Criteria For Plastic Hinge Rotations in ReinForced
Concrete columns, in radians

1. columns controlled by flexure 1


pS Trans. Reinf. 2 V6 (
(
Agfc' bwdE
(
~0.1 C ~3 0.005 0.01 0.02 0.015 0.03 \

~0.1 C ~6 0.005 0.01 0.015 0.01 0.025


~0.4 C ~3 0.0 0.005 0.015 0.010 0~025

~0.4 C ~6 0.0 0.005 0.01 0.01 0.015


~0.1 NC ~3 0.005 0.005 0.01 0.005 0.015
~0.1 NC ~6 0.005 0.005 0.005 0.005 0.005
~0.4. Nt ~3 0.0 0.0 0.005 0.0 0.005
~0.4 NC ~6' 0.0 0.0 0.0 0.0 0.0
2. Columns controlled by shear1 •3
Hoop spacing s an,
P 0.0 0.0 0.0 0.01 0.015
o r - - . ~0.1
Agfc
other cases 0.0 0.0 0.0 0.0 0.0
3. Columns controlled by inadequate development or splicing along the clear
height1 •3
Hoop spacing s d/2 0.0 0.02
Hoop spacing> d/2 0.0 0.01
4. Columns with axial loads exceeding O.70Po1 .3
conforming reinforcement over 0.0 0.0 0.005 0.005 0.01·
the entire length
Allother cases 0.0 0.0 0.0 0.0 0.0

1. When more than one of the conditions 1.2, 3, and 4 occur for a given component, use the minimum
appropriate numerical value from the table. See Chapter 9 for symbol definitions. .
2. Under the heading "transverse reinforcement." "C" and "NC" are abbreviations for conforming and
non-conforming details, respectively. A component is conforming if within the flexural plastic hinge
region: 1) closed hoops are spaced at =:;; d/3, and 2) for components of moderate and high ductility
demand the strength provided by the stirrups (lTs) is at least three-fourths of the design shear.
Otherwise, the component is considered non-conforming.
3. To qualify. 1) hoops must not be lap spliced in the cover concrete, and 2) hoops must have hooks
embedded in the core or must have other details to ensure that hoops will be adequately anchored
following spalling of cover concrete.
4. Linear interpolation between values listed in the table is permitted.
10 = Immediate Occupancy
LS = Life Safety (
SS = Structural Stability
(
5. P = Design axial load
6. V = Design shear force
7. For lightweight concrete, use 75 percent of tabulated values (see Section 9.5.2.2).

11...14 Chapter 11, Response Limits


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SEISMIC EVALUATION AND RETROFiT OF CONCRETE BUILDINGS

Table 11-5. Numerical Acceptance criteria for Total Shear Angle in ReinForced
Concrete seam-Column Joints, in radians

1. Interior joints
p Trans. V
2
Reinf. 1 - 3

Agic' Vn
s;; 0.1 C s 1.2 0.0 0.0 0.0 0.02 0.03
::; 0.1 C ~ 1.5 0.0 0.0 0.0 0.015 0.02
;::: 0.4 C s 1.2 0.0 0.0 0.0 0.015 0.025
;:::0.4 C ~ 1.5 0.0 0.0 0.0 0.015 0.02
s 0.1 NC ::;1.2 0.0 0.0 0.0 0.015 0.02
s;; 0.1 NC ;::: 1.5 0.0 0.0 0.0 0.01 0.015
~ 0.4 NC ::;1.2 0.0 0.0 0.0 0.01 0.015
;::: 0.4 NC z 1.5 0.0 0.0 0.0 0.01 0.015
2. other joints
p Trans. V
-- 2
Reinf. 1 - 3
Agfc' Vn
s 0.1 C s 1.2 0.0 0.0 0.0 0.015 0.02
s 0.1 C ;::: 1.5 0.0 0.0 0.0 0.01 0.015
;::: 0.4 C ::;1.2 0.0 0.0 0.0 0.015 0.02
~ 0.4 C ;::: 1.5 0.0 0.0 0.0 0.01 0.015
s 0.1 NC ::; 1.2 0.0 0.0 0.0 0.005 0.01
::; 0.1 NC ;::: 1.5 0.0 0.0 0.0 0.005 0.01
;::: 0.4 NC ::;1.2 0.0 0.0 0.0 0.0 0.0
~ 0.4 NC ;::: 1.5 0.0 0.0 0.0 0.0 0.0

1. Under the heading "transverse reinforcement," "e" and "'NC" are abbreviations for conforming and
non-conforming details, respectively. A joint is conforming if closed hoops are spaced at::;; hc/3
within the joint. Otherwise. the component is considered non-conforming. Also. to qualify as
conforming details under ii., 1) hoops must not be lap spliced in the cover concrete, and 2) hoops
must have hooks embedded in the core or must have other details to ensure that hoops will be
adequately anchored following spalling of cover concrete.
p
2. The ratio Agf~ is the ratio of the design axial force on the column above the joint to the product of
the gross cross-sectional area of the joint and the concrete compressive strength. The design axial
force is to be calculated considering design gravity and lateral forces.
3. The ratio V/Vn is the ratio of the design shear force to the shear strength for the joint.
4. Linear interpolation between values listed in the table is permitted.
10 = Immediate Occupancy
LS = Life Safety
SS = Struct:rrrai Stability _
5. For lightweight concrete. use 75 percent of tabulated values (see Section 9.5.2.2).
6. No inelastic deformation is permitted since joint yielding is not allowed in a conforming building.

Chapter 11, Response Limits


(

SEISMIC EVA.LUATIDN AND RETROFIT OF CONCRETE BUILDINGS


(
(
(
;

Table 11-6. Numerical Acceptance Criteria For Plastic Hinge Rotations in ReinForced
. " . _.. ---::.a..::..,o!!.cr~!!!.
TfJ!!..o:YJlJ!.Y S!§!.~s t!.!!t!....S!~-'!::..f.o~¥.J!1n SP!J.!!ecti0lJ.?t in rat!iaJ!L .. ..

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(
1. Slabs controlled by flexure, and slab-column ecnnectlcns" (
Vg continuity ('
2 Reinforcement3 (
Vo (

s;0.2 Yes 0.01 0.015 0.02 0.03 0.05 (


(
~ 0.4 Yes 0.0 0.0 0.0 0.03 0.04
(
s;0.2 No 0.01 0.015 0.02 0.015 0.02
~0.4 NO 0.0 0.0 0.0 0.0 0.0
2. Slabs controlled by inadequate development or splicing along the span 1

_ _ _ _ _ _ _ _ _1 0.0 I 0.0 I 0.0 I 0.01 0.02


3. Slabs controlled by inadequate embedment into slab-column joint 1
.

0.03 .

1. When more than one of the conditions 1, 2, and 3 occur for a given component. use the minimum
appropriate numerical value from the table.
2. Vg = the gravity shear acting on the slab critical section as defined by ACI 318. Vo = the direct
punching shear strength as defined by ACI 318.
3. Under the heading "Continuity Reinforcement," assume "Yes" where at least one of the main
bottom bars in each direction is effectively continuous through the column cage. Where the slab
is post-tensioned, assume "Yes" where at least one of the post-tensioning tendons in each
direction passes through the column cage. Otherwise, assume "No."
4. Linear interpolation between values listed in the table is permitted.
10 = Immediate Occupancy
LS = Life Safety
SS = Structural Stability (

5. For lightweight concrete, use 75 percent of tabulated values (see Section 9.5.2.2). (

i
(
(

. -
11-16 Chapter 11, Response Limits (

t-
{

(
(

(
SEISMIC eVALUATION AND RETROFIT OF CONCRETE BUU.,OU\iGS

Table 11-7. Numerical Acceptance Criteria for Plastic Hinge Rotations in Reinforced Concrete Waifs
_..?.!!cf ¥J(§(! §f:.g!17.~!1..t..~ _c.C!lJrrp!!£J.J!./.J.r. f!e..x~r..eJj!J..!~-,,!ia!!§. ;;~~~;;;;;;

(As - A~)fy + p v 2 Boundary


1
twlwR
stement'
tjwfc'
::;; 0.1 ::;;3 C 0.005 0.010 0.015 0.015 0.020
:::; 0.1 ~6 C 0.004 0.008 0.010 0.010 0.015
2= 0.25 :::;3 C 0.003 0.006 0.009 0.009 0.012
2= 0.25 2=6 C 0.001 0.003 0.005 0.005 0.010
::;; 0.1 :::;3 NC 0.002 0.004 0.008 0.008 0.015
::;; 0.1 2=6 NC 0.002 0.004 0.006 0.006 0.010
2= 0.25 :::;3 NC 0.001 0.002 0.003 0.003 0.005
2= 0.25 ~6 NC 0.001 0.001 0.002 0.002 0.004

1. Ar = the cross-sectional area of longitudinal reinforcement in tension, At' = the cross-sectional area of longitudinal
reinforcement in compression, fy = yield stress of longitudinal reinforcement, P = axial force acting on the wall
considering design load combinations, lw = wall web thickness, llV = wall length, andfl-' = concrete compressive
strength.
2. V = the design shear force acting on the wall, and other variables are as defined above.
3. The term "en indicates the boundary reinforcement effectively satisfies requirements of ACI 318. The term. "NC"
indicates the boundary requirements do not satisfy requirements of ACI 318.
4. Linear interpolation between values listed in the table is permitted.
10 = Immediate Occupancy
LS = Life Safety
SS = Structural Stability
5. For lightweight concrete, use 75 percent of tabulated values (see Section 9.5.2.2).

Chapter 11, Response Limits


(-~
\

SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS


(
:

(,
Table 11-8. Numerical Acceptance Criteria for Tangential Drift Ratios for Reinforced concrete (
__~€!(!P and }!!f..alJ..-?.!J.91JJIlnts t;t1..l1..t[:t;J!If!(!.-'!YJhea~jn radl;m$
. _ .. - -.... f..
(

(
1. Walls and wall segments controlled by shear
All cases 0.004 0.015

1. For lightweight concrete, use 75 percent of tabulated values (see Section 9.5.2.2). (
10 = Immediate Occupancy
LS = Life Safety
(
SS = Structural Stability
(
(

Table 11-9. Numerical Acceptance Criteria for Shear Sliding Displacements for Reinforced (
Concrete Walls and Wall segments Controlled by Shear, in inches (

1. Walls and wall segments controlled by shear


All cases 0.8
1. For lightweight concrete, use 75 percent of tabulated values (see Section 9.5.2.2). (

10 = Immediate Occupancy (
LS = Life Safety
SS -= Structural Stability

(
11 ..18 Chapter 11, Response Limits c
\

(
(
Table 11-10. Numerical Acceptance Criteria for Chord flotations for eeinforced Concrete coupling
._ ._ ~f!E!1!!§, jn._rC!f!if!.!J.~_ . ___ _._ . .... - -. . -- . ------- --- ..--- -- - - -...-.- -.-- --- ..----- -.. -".

1. coupling beams controlled by flexure


Longitudinal reinforcement and V 2

transverse relntorcement' bwd..Jl


conventional longitudinal reinforcement ~3 0.006 0.015 0.025 0.025 0.040
with conforming transverse
relnf'orcernent
conventional longitudinal reinforcement ::::6 0.005 0.010 0.015 0.015 0.030
with conforming transverse
reinforcement
conventional longitudinal reinforcement ~3 0.006 0.012 0.020 0.020 0.035
with non-conforming transverse
reinforcement
conventional longitudinal reinforcement ::::6 0.005 0.008 0.010 0.010 0.025
with non-conforming transverse
reinforcement
Diagonal reinforcement N/A 0.006 0.018 0.030 0.030 0_050
2. coupling beams controlled by shear
Longitudinal reinforcement and V 2

transverse retnrorcernent'
bwd..Jl
conventional longitudinal reinforcement ~3 0.006 0.012 0.015 0.015 0.024
with conforming transverse
reinforcement
conventional longitudinal reinforcement ;:;:6 0.004 0.008 - 0.010 0.010 0.016
with conforming transverse
reinforcement
conventional longitudinal reinforcement ~3 0.006 0.008 0.010 0.010 0.020
with non-conforming transverse
reinforcement
conventional longitudinal reinforcement ;:;:6 0.004 0.006 0.007 0.007 0.012
with non-conforming transverse
reinforcement
1. Conventional longitudinal steel consists of top and bottom steel parallel to the longitudinal axis of the beam. The
requirements for conforming transverse reinforcement are: 1) closed stirrups are to be provided over the entire
length of the beam at spacing not exceeding d/3; and 2) the strength provided by the stirrups ("Vs-) should be at least
three-fourths of the design shear.
2. V = the design shear force on the coupling beam in pounds, bw = the web width of the beam, d = the effective
depth of the beam, andfi' = concrete compressive strength in psi.
3. Linear interpolation between values listed in the table is permitted.
10 Immediate Occupancy
LS = Life Safety ..
SS = Structural Stability
4. For lightweight concrete, use 75 percent of tabulated values (see Section 9.5.2.2).

Chapter 11, Response Limits


f~
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'-----,------------_._-_._-

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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

Chapter 12
st ral n
AUdience Interest spectrum
Owner Architect Bldg. Official

12..1 Introduction criteria for this level are not included in this
Five levels of performance of nonstructural document. The Not Considered level of
components and systems are described in Chapter performance requires no criteria.
3: Operational, Immediate Occupancy, Life Commentary: In this document, acceptance
Safety, Hazards Reduced, and Not Considered. criteria are limited to a listing of the nonstructural
These nonstructural performance levels are components and systems that should be considered
combined with certain limits on structural damage, for each performance level.
i.e., structural performance levels, to form a
12..2..1 operational, NP-A
complete target Building Performance Level as
shown in Table 3-1. The Operational level of performance for the
building's nonstructural systems and components
Depending on the performance goals for a
particular building, the scope of the field requires consideration of the following:
investigation for nonstructural elements will vary. .. Internal damage and disruption
General Guidance for field investization is • The ability of critical equipment to function
provided in Chapter 5. Some nonstructural items after being subjected to the motion of the
are relatively sensitive to accelerations and others building
are more affected by displacement or drift. This
.. Limitations that may be imposed by the
needs to be considered in the acceptability analysis
external availability of utilities, supplies, or
on nonstructural components. The technical
communications
procedures currently available are limited and only
qualitative in many instances. The recent federal These considerations are in addition to the
guidelines (ATC 1996a) provide a comprehensive criteria for the Immediate Occupancy level of
summary and commentary. performance. Development of criteria to maintain
function of critical equipment and to provide
12.2 Acceptability criteria adequate backup or alternate sources for external
services is building specific and is not included in
This chapter gives minimum criteria that are this document.
expected to provide the Immediate Occupancy,
Life Safety and Hazards Reduced levels of 12.2.2 Immediate Occupancy, NP-B
nonstructural performance. Considerations AIl equipment,. systems, and fmishes
required to develop criteria for the Operational permanently attached to the building structure, as
level of performance are noted but complete

Chapter 12, Nonstructural components 12..1


~. - ..,.,.,...:....-~.
- --

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(
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SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUIL.DINGS (
(
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Table 12-1. Items to be Investigated for the LiFe saFety NonstructuraJ perFormance L6vel* (
-- --------- .. "
_ -~

.. Gas or fuel boilers and furnaces** .. Exterior cladding and decoration


(
.. Independently mounted or hung overhead .. Masonry partitions
(
HVAC equipment weighing over 20 lb.
(
.. High pressure steam piping over 2n 10 .. Partitions that are unusually tall, heavily
decorated, or that support heavy casework
(
or shelving
(
.. Fire suppression piping* .. suspended lath and plaster or heavily
(
decorated ceilings
(
.. Hazardous material piping* .. Traction elevators (
.. Light fixtures, diffusers, or returns .. Hazardous material storage (
supported only by light gage lay-in ceiling (
runners (
(
* The items listed in this table include all items listed in Table 12-2.
** To be investigated regardless of location. (
('
(
('
listed in Table 16A-O of the 1995 California use or regularly occupied by persons for (
Building Code (CBSC 1995), should be approximately two hours per day or more.
investigated for their ability to·remain in place The items listed in Table 12-1 shall be shown
with only minor damage under the demands of the by analysis or test not to present a falling or (
earthquake ground motions incorporated in the secondary risk under the demands of the (
designated performance objective. For earthquake ground motion incorporated in the (
consideration under the Design Earthquake, the designated performance objective, or shall be (
acceptance criteria listed therein for essential replaced or retrofitted.
facilities may be used. As noted in the nonstructural performance
Contents, not permanently attached to the level descriptions in Chapter 3 and the
building, are not controlled by design codes, but representative damage descriptions in Table 11-1,. (
can be the source of considerable damage and drift-sensitive components may be expected to (
disruption that could affect continued occupancy of experience considerable damage for this and lower
some spaces. The anchorage and storage of levels of performance.
contents should be reviewed by owners and tenants
of buildings that require immediate occupancy. 12.2.4 Hazards Reduced, NP-D
The nonstructural components or systems listed
12.2.3 Life Safety, NP-C in Table 12-2 should be included for consideration
The equipment, systems, and finishes under the Hazards Reduced nonstructural
permanently attached to the building structure performance level. In general, elements should be .
(
listed in Table 12-1 and located in or over investigated if their failure would endanger a large (
occupied areas, should be included for area or would likely injure more than one person.
consideration for the Life Safety nonstructural The items listed in Table 12-2. shall be shown
performance level. Occupied areas are defined as by analysis or test not to present a falling or
spaces intended for more than incidental human secondary risk under the demands of the
earthquake- ground motion incorporated in the

(
12-2 Chapter 12, Nonstructural components
f
SEISMIC EVALUATION AND RETROFIT Or CONCRETE BUU.DINGS

designated performance objective, or shall be Table 12-2. Items to be Investigated for the
. ~~Rl?:ce(tQ.U~.tr9fjJt~.d~ __. ._ _ ._ _ _ ....!!C!~a.!'!~~~1!~'?~.!!!.'?!1~!!:..1.!£t.¥!:.a.L .._._ __ _. __ _. _..
Commentary: The cost and disruption of Performance Level
bringing nonstructural systems in older buildings
into conformance with current codes islzigh.
Although these systems have suffered considerable
damage in past earthquakes, the damage has
+ Interior masonrywalls or partitions
generally not caused extensive hazardous
conditions. Nonstructural systems, therefore, have
not been reviewed in most retrofits to date.
However, large, highly vulnerable elements have
often been investigated for their potential to fall + Elements and equipment that store or transport
and cause injury, particularly over points of hazardous materials
egress. The criteria used to determine the need to
investigate is unclear, but vulnerability-to-damage
and the extent of occupant-exposure are initial
considerations. The extent of retrofit is often a cost
consideration. The Nonstructural Performance
Level of Hazards Reduced is intended to include
only major hazards and encourage cost effective
risk reduction.

Chapter 12, Nonstructural Components


:

--- _._.- .. -- - - ----- - ._--- ---- - - ------ --- - - - - - - - ----..- .. - . .f-


(

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(

,..
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SEISMIC eVALUATION AND RETROFIT OF CONCRETE BUU"DING5

-. -- . -..C·hapter-13----
I
r i n
AUdience Interestspectrum
Owner Architect Bldg. Official

13..1 Introduction tested the basic concepts on example buildings. A


Initially the focus of the .development of this benefit/cost analysis explored economic
document was directed toward an analytical implications. There were a series of workshops for
methodology. Specifically the project team practitioners and other potential users to discuss the
intended to adapt nonlinear static structural analysis document and provide suggestions for
procedures to the evaluation and retrofit of concrete improvement. This chapter summarizes collective
buildings using capacity spectrum techniques. opinions as to the strengths and weaknesses of the
While the promise of these analytical procedures is current methodology and presents consolidated
formidable, their use has wide ranging implications. recommendations for future improvements. These
The ability to estimate realistically the response of a general conclusions fall into two categories in
building to actual earthquakes naturally leads to the accordance with the dual perspective of the
question of whether this response is adequate. The methodology itself. At one end of the spectrum are
systematic evaluation of the adequacy of building the technical issues of analysis, testing, component
response for earthquakes of various probabilities of behavior and others of primary concern to engineers
occurrence is the essence of performance-based and analysts. The broader interests of owners
design. The subsequent decisions have implications architects, and building officials in performance-
that extend beyond the realm of the engineer. In based design, quality control, and costs of design
fact, the impact on conventional practice for and construction complete the picture of meeting
building owners, architects, engineers, building the challenge of concrete buildings effectively and
officials and others is fundamental. With this efficiently.
realization, the perspective of the methodology
expanded beyond the analytical to the general. 13..2 Additional Data
The development of this document benefited The development of this document relied
greatly from input from numerous sources. The heavily upon the collective past experience of the
project team consisted of a large group of project team members. Supplemental specific
experienced engineers. An oversight panel of studies augment and enhance this empirical base.
qualified individuals monitored the progress and Practicing engineers tested preliminary procedures
reviewed each of the drafts. Engineering firms on example buildings and provided guidance for

Chapter 13, Conclusions and Future Directions


SEISMIC EVALUATION AND RETROFIT OF CONCRETE. BUILDINGS

::

further development. The results of the example Finally, the document includes several techniques to
__ ._.building_studie.s_were. ultimately.thesubject of.an, ._.__offer_altematives, dependingon.rhe.inclinarion.nf.;.. ..
independent benefit!cost study. In order to individual users.
formulate the foundation procedures of Chapter 10, The example buildings served several other (
a group of structural and geotechnical engineers purposes: In order to assess the effects of variable (
reviewed and summarized relevant technical soil strength and stiffness in building foundations, (
information on the seismic performance of building comparative analyses were made on individual (
foundations. Wbile none of these supplemental buildings. On the one concrete frame building, (
efforts are directly applicable to specific evaluation foundation effects did not appear to be significant.
and retrofit projects, the information is instructive On the other three shear wall buildings, in contrast,
and useful to others. the foundation assumptions significantly affected the
(
results of the performance analysis. This is
13.2.1 Example Building Studies- (
discussed further below as one of the challenges for
Appendices A, B, C, and D document technical improving analysis procedures in the future.
analyses of four concrete buildings. Each structural The example building analysts subjected models
engineering firm responsible for one of the analyses of each structure to nonlinear time history analysis. (
had a representative on the product development The time history records were adjusted to be (
team; however, other individuals from each firm generally representative of the spectra used for the
performed the work on the example buildings. static nonlinear procedures. The results of these (
Consequently, their efforts provided a degree of analyses were compared to those from the static (
independent testing of the procedures as they were nonlinear work. The agreement between the two
developed. approaches was variable, raising questions'of
The interchange of information between the relative accuracy of both. Discrepancies may, in
(
developers of the methodology and the example part, be due to higher mode effects and deserve (
building analysts occurred continuously over time. further investigation as discussed below. (
Initially, meetings among the entire group In addition to evaluating existing performance
concentrated on preliminary analyses of each characteristics of the example buildings, the analysts
building. These consisted of traditional procedures developed conceptual retrofit measures. They then
(FEMA 178, code analysis, inelastic demand ratio re-analyzed the structures to measure the
procedures) and nonlinear procedures in some effectiveness of the retrofit. The results from this (
cases. Based on these meetings, the scope and exercise were used for the benefit/cost study as (
emphasis of the technical procedures were adjusted were the opinions of the analysts on the strength and (
to address the practical issues evident from the weaknesses of the general analysis methodology.
example building studies. The preliminary These are discussed further below in this chapter.
procedures were subsequently applied to the It should be noted that the example building
example buildings. The project team then reports in the appendices are presented as
continued the cycle of testing and improving the professional reports by individual engineering firms. (
overall methodology. An example of this process is These are not necessarily tutorials representing (
the procedure for determining. displacement demand complete and uniform. application of the technical
using the capacity spectrum method. Initially, the procedures in the document. Nonetheless, they
procedure was graphical in nature. Those working illustrate the general application of nonlinear analysis
on the example buildings suggested a more procedures. Additionally, they reveal the application
numerical approach compatible with computer- of substantial engineering judgment essential to the
oriented procedures. An iterative technique was methodology by four different _qualified firms. ..
(
formulated and applied -to the -example buildings. Finally, the results of the analysis are presented as (

13-2 Chapter 13, Conclusions and Future Directions


(
(
SEISMiC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

research data to contribute to further development of techniques for the engineers. This is
_.. __._ qn..'!,IYJi~~Lt.~~lJnjgl!~~OItfutJJ.I.~p.r9jects_. .._. _.. ... !1l).g~.rSWD.9~l>J~ _§m~~ lh~_pr9_~glJ.r~~_~!~_.n~'y{J!P_Q .__._. _.
not fully developed. The ease of application and
13.2..2 Cost Effectiveness study consistency among users will improve over time.
Appendix E presents the results of a benefit/cost The compensating benefit to increased engineering
analysis of the methodology based primarily on the effort is a more insightful understanding of building
example building studies. The objectives of the seismic performance. This understanding leads to
study were: more economical and effective retrofit measures.
1. Estimate the approximate construction costs for
retrofit measures for the example buildings. 13.2.3 Supplemental Information on
2. Compare these costs to those that might have . Foundation Effects
resulted from the application of more traditional The proposed methodology includes technical
methodologies. precedures for the explicit modeling of building
3. Examine the relationship between costs and foundations in the structural analysis. In the past,
retrofit performance goals for the example some engineers have modeled foundations. These
buildings. procedures, however, provide a framework for the
4. Perform benefit/cost analyses for the foundation modeling process consistent with the
performance levels evaluated in each example broader structural analysis methodology. They
building study. were developed by a team of geotechnical and
5. Investigate the ease of use of the analysis structural engineers. As·a part of the development
procedures. process, this geo-structural working group
6. Investigate the consistency of application of the assembled data on the post-earthquake performance
procedures among the four engineering firms. of building foundations, past and current design
The cost analyses included the direct costs practice, and theoretical and experimental work on
associated with retrofit measures to address seismic foundations. As a further resource for practicing
performance. Other costs such as disabled access, engineers, the group summarized this material in
fire and life safety improvements, and hazardous Appendix F. The conclusions of the group were:
material abatement, are often required for 1. Traditional seismic design procedures do not
rehabilitation projects. The direct costs for seismic reflect realistic consideration of geotechnical
retrofit for the four example buildings to the Life and foundation effects.
Safety Performance Objective ranged from 5 to 2. Geotechnical and foundation response can
18 percent of the estimated replacement cost for significantly influence the performance of
each building. buildings during earthquakes.
Comparison with traditional retrofit costs tends 3. Costs of retrofit of existing buildings warrant
to indicate that the new methodology is very realistic assessment of seismic performance of
economical. This conclusion seems logical; yet the components including foundations and
degree of economy is probably highly dependent on underlying soils.
the individual characteristics of a given building. 4. Proposed methodologies are based on estimates
The relationship between performance level and of force-displacement relationships for elements
cost also seems to be highly building specific and components subject to seismic loads.
although a clear relationship of higher costs for 5. Existing empirical data on geotechnical
higher (better) performance was observed for all materials are inadequate to provide sufficient
four buildings. design information for all cases.
The new methodology was observed to be more
difficult and time consuming thantraditional

Chapter 13, conclusions and Future Directions


(
(
SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

(
6. Research to investigate force-displacement earthquake. Although this degradation can only (
...... _-.-Jl~@.Yi9r o[geQte.c.hnic.almaterials..and.. ._. __._.. --b.e approximated.zhts. capability.enhances.the.. .-.- ....-
foundation assemblies is needed. estimate of actual performance.
7. Damage reconnaissance for earthquakes should .. Foundation Effects· Traditionally foundations (
include .documentation o.f geotechnical and for buildings are ass~ed to be rigid. In (
foundation effects on buildings, reality, this is not the case and foundation
flexibility greatly modifies response to
13 ..3 potential Benefits earthquakes. The recommended procedures
The benefits of the methodology are founded include explicit modeling of foundations
upon a fundamentally improved understanding of analogous to other structural elements,
the seismic performance of buildings. This occurs
.. Specific Deficiencies: The new techniques
as a result of the technical changes in the
identify specific deficiencies of individual
procedures used by the engineer in: the evaluation of
components of a structure as opposed to general
buildings and the design of retrofit measures. The
lack of overall strength. .
implications, however, extend to a much broader
scale. The technical improvements enable and .. Directed Retrofit Strategy: In the past, retrofit
(
facilitate the use of performance-based design. This strategies for buildings gravitated toward the
addition of lateral force resistance (strength)
(
transition greatly enhances the options for building (
owners in the management of seismic risk in an and the linking of resisting elements together to
form. a complete load path, While still
(
effective and efficient way.
satisfactory for many simple cases, this global
13.3.1 Improved Understanding of .approach can overlook critical specific
Seismic Performance deficiencies and overcompensate for less
The key benefit of the analytical portions of the important ones. The new techniques .facilitate
methodology is a realistic picture of actual the focus on important deficiencies for both
structural behavior during earthquakes. Traditional greater effectiveness and economy.
methods tend to obscure this understanding.
+ Explicit Inelastic Behavior: The nonlinear 13.3.2 Performance Based Evaluation
and Retrofit . (
static procedures consider the individual (
inelastic behavior of each component of a The improved understanding of structural . (
structure resisting seismic forces. Traditional behavior allows the use of performance-based
.procedures generally consolidate inelastic action evaluation. Specific goals for seismic behavior can
into a global force reduction factor. be implemented.
+ Sequence of Inelastic Actions: The analysis + Flexibility: Owners need not simply accept the
vague objectives of conventional prescriptive
technique is progressive, allowing the engineer
techniques. They can adjust performance goals
to witness which components reach behavior
to meet their specific needs given a realistic
thresholds before others. This is true
understanding of the expected, and acceptable ~
throughout the response. IDR methods can
damage states.
identify components that yield first but cannot
predict the effects of load redistribution. + Prioritization: Priorities within individual
buildings and among groups of buildings can be
+ Estimate of Degradation: An engineer can set to address relatively important deficiencies I
modify the capacity of the structure to generate and critical needs. (
an envelope of behavior to reflect loss of .. Coordination: ·Performance-based design
strength or stiffness due to the duration of an provides the opportunity to integrate seismic

Chapter 13, Conclusions and Future. Directions'


SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

.:

risk management into the day-to-day operations needed for traditional methods, are required to
._._. QfJh~_..b1!.i1dbJ.g_03iJ}~r_"- . ._ .improvethe application. '-- --- _
.. Uncertainty and Reliability: Earthquakes and • Foundation Material Properties: Soils design
concrete buildings pose many sources of information has been based on consideration of
uncertainty. Performance-based evaluation and long-term settlements under static dead loads.
nonlinear static analysis procedures do not Realistic seismic performance analysis requires
eliminate risks associated with this uncertainty. estimates of behavior under short-term dynamic
They provide a more refined context for dealing loading.
with uncertainty. Traditional procedures tend + Inelastic Behavior of Structural Components:
to deal with uncertainty and risk on a global Modeling and. acceptability criteria for
level: The new techniques facilitate the structural components are necessarily
consideration of uncertainty for individual conservative now. This is due to the lack of
parameters. For example, ground motions can coordinated experimental and theoretical data.
be specified in probabilistic terms independently + Nonstructural Component Characteristics:
of structural characteristics. Component The behavior of nonstructural components is
properties for analysis and performance treated only qualitatively in most cases.
acceptability limits replace the traditional "R- Damage needs to be correlated with.
factors ''. The new techniques used for a single displacements and accelerations for a broad
building can both eliminate unnecessary range of components to enhance performance-
conservatism for some parameters and increase based design procedures.
it for others, based on the specific judgment of +- Nonlinear Analysis Software: Currently
the engineer. The overall results may be more available software to implement nonlinear static
conservative for some buildings and less for procedures are not adequate. Component
others when compared to current procedures. If modeling .alternatives are restrictive. Torsional
implemented properly by a qualified engineer 7
response cannot be modeled easily.
the results reflect, more reliably than traditional .. Preferred Nonlinear Static Procedure: While
procedures, the effects of unavoidable there is general agreement that nonlinear static
uncertainties on the specific building in procedures provide great insight, there is a lack
question. of consensus on the preferred format for the
analyses. Some find the capacity spectrum
13.4 Major Challenges method conversion to ADRS format needlessly
There are presently a number of drawbacks to complex and offer alternative formulations of
implementation of the methodology. Not the" same basic parameters (powell, 1996).
surprisingly, weaknesses of the methodology .. Higher Mode Effects: Nonlinear static
parallel its strengths. The new technical procedures procedures do not address directly the potential
require greater information on material properties for participation of higher modes of vibration in
and more sophisticated analysis tools. From the structural response. The need for, and efficacy
broader perspective, performance-based design of, approximate measures require extensive
demands basic changes on the part of everyone future study.
involved. • Degradation, Damping, and Duration:
Although the new analysis techniques include
13.4.1 Technical Issues more explicit consideration of important seismic
The recommended procedures are new. response parameters, they currently
Technical tools .and information, not previously approximate the effects of degradation of.
stiffness and strength, damping, and duration of

Chapter 13, Conclusions and Future Directions


(
(
SEISMIC EVAI.UAT·ION AND RETROFIT OF CONCRETE BUII.DINGS (
(

(
shaking primarily at a global structural level. It + Uncertainty and Reliability: The (
___. -is tb._e..Qr~tic_ally--p-Qs.s.ibleiQ_.includ~.Jhe..s.e_at.a .. _ -_.-_sophistication-of..the-new.. technical.procedures.c.c.L, --t::
more refined component level. and the explicit consideration of performance (
goals can imply a deceptive impression of
13.4.2 Fundamental Change to accuracy and reliability. The complexity of
Traditional Practice some procedures can lead to mistakes.
The greatest challenge posed by the new Computer modeling can take on an unwarranted
methodology is the basic change required in the air of infallibility. Engineers without the
.design and construction process. requisite experience and judgment can misuse
.. Greater Analytical Expertise and Effort: the methodology. Owners mistakenly can
Engineers must exercise a greater degree of interpret goals as implied warrantees or
analytical expertise with the new technical guarantees. The uncertainties inherent to (
procedures compared to the traditional. The earthquakes and concrete buildings still prevail. I
greater effort will require larger engineering (
design fees. This. may appear to be unnecessary 13.5 Recommended Action
and self-serving by those not cognizant of the Plan
benefits. Further guidance is required on when (

simplified analysis procedures might be used in To meet the cballenges presented in the (
place of the more sophisticated new techniques. previous section a dual action plan is recommended. (
The technical portion of these recommendations (
.. Peer Review: The methodology demands a
concentrates on filling lmowledge gaps with projects
large amount ofjudgment on the part of the
and programs for traditional focused research.
engineer. Peer review is essential to avoid
Equally iulpvlLlliit are programs LV ed......
1 • - .. ~~~·"...11"...& .......~
UU\,,;d.LC a.I VI Ule:;
misuse by inexperienced individuals. Some
individuals with an interest in evaluation and
may consider peer review as an unnecessary
retrofit of buildings about the changes resulting (

complication and expense. (


from performance-based techniques and the new
+ Building Officials: Building officials will not technical procedures.
(

be able to check designs using conventional (


practices for prescriptive criteria. Significant 13.5.1 Basic Research
(

resistance is likely, particularly considering the (


Technical needs should be addressed with a (
current atmosphere of government budget
coordinated basic research program. The objectives (
constraints .
must be focused on the specific needs of the I
+ Owners: Building owners cannot simply engineer in practice. .(
transfer risk to others with "code" compliance.
+ Geotechnical components and foundation
Performance-based design is a technique to
systems: This area of research is virtually
manage risk. The desired performance is a goal
untouched. The emerging analysis procedures
whose achievement, it must be understood, is
put pressure on the research community to
not guaranteed. Owners playa central role in
produce practical data for this important aspect
decision-making and goal-setting. The amount
of seismic behavior. In-situ and laboratory
of guidance and explanation currently available
tests, as well as theoretical modeling
to owners is very minimal. Owners often select
techniques, are required. The effect of short-
engineers for projects on the basis of lowest (
term dynamic loading on basic soil properties is
cost. Contractual arrangements for
of particular interest. The effects of partial
geotechnical input are 'at odds with the need for
basements and sloping sites require further
collaboration between the geotechnical and
research; Structural evaluation and retrofit . I
structural engineer. (
I
(
(
13-6 Chapter 13, Conclusions and Future Directions (
(

(
SEiSINUC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

strategies for liquefaction and lateral spreading complicated. The benefits have yet to be adequately
J)e.l1.~;!ttt pJJ.ild.iQg§_~hQJJlg.12~..d.(=!Y~J9.p-e9:.!-_. __.._ c.QIP.JTImrlcat~¢h . . . .. _.__
• Structural Components Modeling and + Broadly Based Examples: The current
Acceptability Criteria: An organized testing building examples are technically focused.
protocol for structural elements is necessary to Many more broadly based examples
focus work on practical issues. The nonlinear demonstrating the strengths and wealmesses and
static procedures all rely on the same illustrating the differences between the many
generalized component properties. Research new methods and traditional approaches are
products should be formatted to facilitate the required. These should be oriented toward
transfer of information to practical application. building owners. Cost analyses including
.. Nonstructural Component Damage: A basic engineering fees and life-cycle considerations
framework for categorizing nonstructural could greatly enhance the understanding of
components according to their sensitivity to alternatives for evaluation and retrofit.
displacement- andJor acceleration-related .. Assistance to Owners: Seminars and
damage is required. This framework could be workshops should be held to help owners adapt
used by vendors, manufacturers, and to the new performance-based approach.
researchers to provide engineers with Engineers should be included to broaden their
quantitative input to performance analyses. perspective. The descriptions of performance
~ Nonlinear Analysis Procedures and Software: levels that are now available could be improved
Products targeted for practical application by to relate better to the experience and language
design offices are needed. Capabilities should of owners. State agencies are a natural starting
be broad to avoid "force-to-fit solutions". A point for workshops and seminars aimed at the
graphical user-interface is essential to reduce management level. These could be expanded to
data management effort and facilitate the private sector through organizations such as
visualization of behavior. Three dimensional the Building Owners and Managers Association.
capability is essential to address torsional This initiative to engage building owners has
behavior. not yet been implemented in any effective
., Probabilistic Characterization of Capacity program.
and Performance: Eventually the uncertainty • Technical Training for Engineers: Continued
associated with structural capacity should be development of training seminars and materials
quantified to be compatible with the will assist engineers in honing their technical
specification of seismic demand in probabilistic skills and gaining familiarity with the new
terms. This will enable an enhanced measure of technology. This training is actually already
performance and risk. occurring through programs offered by .
., Revision of Building Codes: As the procedures organizations such as the Structural Engineers
for evaluating and retrofitting concrete Association of California. It is likely that the
buildings emerge, the goal should be simplified, demand for this information will grow and be
concise measures suitable for use in building filled by similar programs by other existing
code provisions. organizations.
+ Specific Guidance on the Use of Simple
13.5.2 Increase Awareness Procedures: The current methodology
Much training and communication are necessary recognizes that, for some buildings, simple
to facilitate the change that all involved must make. linear elastic analysis procedures could be used
At present, the new methodology appears costly and instead of the more complex nonlinear static
procedures. Although some qualitative

Chapter 13, Conclusions and Future Directions


(
(

(
(

SEISMIC EVALUATION AND RETROFIT OF CONCRETE BUILDINGS- (


(
(
(
(
(
(
(
guidance is offered, the choice of technique is characteristics of buildings and the complexity
____. ____largely.a.matter .of.engineering.judgmenr.LlruL, ._.J)f..the.Jma1y..sis...prOJ~edure.-,,-Curricula-.fQ!..br _ (
the future, as more applications of the programs which might be administered through ----(-f
methodology become available, some trends the California Building Officials (CALBO) or
may emerge that may facilitate development of the International Conference of Building
a more prescriptive format for selection of Officials (lCBO) should be developed.
evaluation and design techniques. For example, • Collaborative Workshops for Structural and
a matrix of choices might relate procedures, Geotechnical Engineers: There currently is a
peer review requirements, and foundation lack of adequate communication between
modeling to building size, height, geotechnical and structural engineers on the
configuration, and system. issues and the information needed for realistic
+ Seminars for Building Officials: A dialogue assessment foundation effects. This is an
with building officials will go a long way in - interdisciplinary problem that has long been
facilitating the implementation. They need to neglected. A long-term, concerted,
know who can perform peer reviews and how collaborative effort is needed. A mechanism
these reviews relate to the plan check process. for continual exchange of information is
Specific guidance should be developed on the essential. -
need for peer review depending on the
(
(
(
C

(
( .

(
(
(

13-8 Chapter 13, Conclusions and Future Directions (


(
(
(
(
(
SEESlvue EVALUATION AND RETROFIT OF CONCRETE BUILDINGS

f ,eon s-------- --.. --- - - --.-.--.. -------.-.-----.----.----.-----.--.--.------.. _..-..

ACI, 1985, "Recommendations for Design of Army, Navy, and Air Force, Department of the U.
Beam-Column Joints in Monolithic Reinforced S. (ARMY), 1996, Seismic Dynamic Analysis
Concrete Structures," ACI-ASCE Committee for Buildings, Draft Revision of Army TM 5-
352, Journal of the American Concrete 809-10-1 (unpublished).
Institute, vol. 82, no. 3, pp. 266-283.
ASCE~ 1995, Standardfor Independent Peer
ACI, 1986, Prediction of Creep, Shrinkage, and Review, American Society of Civil Engineers,
Temperature Effects in Concrete Structures, Draft.
ACI Committee 209, American Concrete
Aschheim, M., and J. P. Moehle, 1992, Shear
Institute, Detroit, Michigan.
Strength and Deformability of RC Bridge
ACI, 1988, "Recommendations for Design of Columns Subjected to Inelastic Cyclic
Slab-Column Connections in Monolithic Displacements, UCB/EERC-92/04,
Reinforced Concrete Structures," ACI-ASCE University of California, Earthquake
Committee 352. ACI Structural J0U171al, vol. Engineering Research Center, Berkeley,
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ACI, 1995, Building Code Requirementsfor ASTM Standards (various numbers), American
Structural Concrete (ACI 318-95) and Society for Testing Materials, Philadelphia,
Commentary (ACI 318R-95), ACI Committee Pennsylvania.
318, American Concrete Institute, Farmington
ATe, 1983, Seismic Resistance of Reinforced
Hills, Michigan.
Concrete Shear Walls and Frame Joints:
Alami, M. S., and J. K. Wight, 1992, Numerical Implications of Recent Research for Design
Modeling and Parametric Investigation ofRIC Engineers, A TC-11 Report, Applied
Coupled Wall-Frame Systems Under Seismic Technology Council, Redwood City,
Loading, UMCEE 92-20, University of California.
Michigan, Department of Civil and
ATe, 1987, Evaluating the Seismic Resistance of
Environmental Engineering, Ann Arbor,
Existing Buildings, ATC-14 Report, Applied
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Technology Council, Redwood City,
Ali, A., and J. K. Wight. 1991, "RC Structural California.
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ATe, 1996a, Guidelines for the Seismic
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Charney, F. A., 1991, "Correlation of the
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COLA, 1995, Earthquake Hazard R~d~ction in Association o~ C:alifornia; California ~ei=c


.J~~.~§ti}~g Rr;llJiqr..fl ed C211creie BUlldllJg~~!Jfi._._._. __ ._...... ~~e!Y~9JP1D1S~!Q.~-,-SEgaITI~l}..tO, C~hfQ,. . ! .

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_____ Floor Slab-O~ehaYIOL.nf.Heam-:Slab.::C..olumn ~'BehroliOLof.Reinfo.rc.e.d_C_oncre.te..


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Park" R., and T. Paulay, 1974 Reinforced
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Earthquake Spectra and Design, EERl
Paulay, T., 1971a, "Coupling Beams of
Monograph Series, Earthquake Engineering
Reinforced Concrete Shear Walls," Journal of
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the Structural Division, ASCE, vol. 97, no. 3,
Otani, S., 1980, "Nonlinear Dynamic Analysis of pp. 843-862.
Reinforced Concrete Building Structures, "
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