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Performance-Based Seismic Design Code For Buildings in Japan
Performance-Based Seismic Design Code For Buildings in Japan
Midorikawa,
Engineering
Okawa,
and Iiba,
Engineering
Teshigawara:
Seismology
Performance-Based Seismic Design Code for Buildings in Japan 15
15
Volume 4, Number 1, September 2003, pp. 15–25
ABSTRACT
The seismic design code of buildings in Japan was revised in June 2000 to implement a
performance-based structural engineering framework. The code provides two
performance objectives: life safety and damage limitation of a building at two
corresponding levels of earthquake motions. The design earthquake motions are defined
in terms of the acceleration response spectra specified at the engineering bedrock in order
to take into consideration the soil conditions and soil-structure interaction effects as
accurately as possible. The seismic performance shall be verified by comparing the
predicted response values with the building’s estimated limit values. The verification
procedures of seismic performance in the new code are in essence a blend of the
equivalent single-degree-of-freedom modeling of a building and the site-dependent
response spectrum concepts, which make possible the prediction of the maximum
structural response against earthquake motions without using time history analysis.
kind of material and any type of building The level of maximum earthquake motions to
including seismic isolation systems. be considered corresponds to the category of
This paper presents the concept and requirement for life safety and is assumed to
framework of the new verification procedures of produce the maximum possible effects on the
seismic structural performance against major structural safety of a building. The possible
earthquake motions in the performance-based level of a maximum earthquake is determined on
building code of Japan [3~6]. The verification the basis of historical earthquake data, past
procedure for developing the seismic design recorded strong motions, seismic and geologic
spectra includes (1) the basic design spectra tectonics, active faults and other factors. This
earthquake motion level corresponds
defined at the engineering bedrock, and (2) the
approximately to that of the highest earthquake
evaluation of site response from geotechnical data
forces used in the conventional seismic design
of surface soil layers. The verification
practice, representing the horizontal earthquake
procedures apply the equivalent linearization
forces induced in buildings in case of major
technique using an equivalent single-degree-
seismic events.
of-freedom (ESDOF) system and the response
The level of once-in-a-lifetime events
spectrum analysis, while the previous procedures corresponds with the category of requirement for
are based on the estimation of the ultimate damage limitation of a building and is assumed to
capacity for lateral loads of a building. be experienced at least once during the lifetime of
the building. A return period interval of 20 ~ 50
SEISMIC PERFORMANCE years is expected to cover these events. This
REQUIREMENTS earthquake motion level corresponds
approximately to the middle level earthquake
The new procedures deal with the evaluation forces used in the conventional seismic design
and verification of structural performance at a set practice, representing the horizontal earthquake
of limit states under dead and live loads, snow forces induced in buildings in case of moderate
loads, and wind and earthquake forces. Two earthquakes.
limit states should be considered for building
structures to protect the life and property of the DESIGN EARTHQUAKE MOTIONS
occupants against earthquake motions; life safety
and damage limitation. To satisfy the life safety The design seismic forces in the previous code
limit state, the engineer should design the building were specified in terms of story shear forces as a
such that neither the entire building nor an function of building period and soil conditions
individulal story collapses. The damage limit without the apparent definition of earthquake
state aims to prevent and control damage to the ground motions. Therefore, the previous design
seismic forces were easily applied to the seismic
building, though some permanent deformation to
design. However, they become inconsistent.
energy dissipating devices is acceptable. Even if
The estimated earthquake ground motions were not
some damage occurs, the building must still
equal among the different soil conditions, since the
satisfy the life-safety limit state during a
previous design seismic forces were specified as
subsequent earthquake.
the response values of representative buildings. It
Two sets of earthquake motions; maximum
is also difficult to apply the design seismic forces to
earthquake motions and once-in-a-lifetime new structural systems and construction techniques,
earthquake motions are considered, each having such as seismic isolation and structural-control
different probability of occurrence. The effects buildings, and to take into account the seismic
of the design earthquake motions were maintained behavior of surface soil deposits. Considering this
at the same levels as the design seismic forces in inconsistency, it was concluded that the seismic
the previous code. design should start with defining the input
Midorikawa, Okawa, Iiba, Teshigawara: Performance-Based Seismic Design Code for Buildings in Japan 17
earthquake ground motions. This methodology The level of the earthquake ground motion
coincides with the performance-based structural used for the seismic design at the damage-
engineering framework, which aspires toward limitation limit state should be reduced to a fifth
flexible design. Consequently, new seismic of that for life safety. These response spectra at
design procedures including the design earthquake the engineering bedrock are applied in the design
response spectrum [3~6] have been introduced to of all buildings, including conventionally
replace previous procedures. designed buildings and seismically isolated
Design Response Spectrum at Engineering buildings.
Bedrock Design Response Spectrum at Ground
The earthquake ground motion used for the Surface
seismic design at the life-safety limit state is the Multiplying the response spectrum at the
site-specific motion of an extremely rare engineering bedrock by the surface soil layer
earthquake, which is expected to occur once in amplification factor, Gs, as shown in Fig. 2, the
approximately 500 years. The engineering design earthquake response spectrum at the
bedrock is assumed to be a soil layer whose shear ground surface, Sa, is obtained as shown in Fig. 3
wave velocity is equal to or more than about and expressed by Eq. (2).
400m/s. The basic design earthquake acceleration
response spectrum, S0, of the seismic ground S a (T ) = Gs (T ) Z S0 (T ) (2)
motion at the exposed (outcrop) engineering
bedrock is shown in Fig. 1 and given in Eq. (1). where,
Sa : design acceleration response spectrum at
S 0 (T ) = (3.2 + 30 T ) for T < 0.16
ground surface (m/s2),
Gs : surface soil layer amplification factor,
S 0 (T ) = 8.0 for 0.16 ≤ T < 0.64 Z : seismic zone factor of 0.7 to 1.0, and,
5.12 T : natural period (s).
S 0 (T ) = for 0.64 ≤ T (1)
T
where,
S0 : basic design acceleration response spectrum at
the exposed (outcrop) engineering bedrock
(m/s2), and,
T : natural period (s).
The calculation procedures of the amplification Amplification Factor for Surface Soil Layers
factor, Gs, are given by the accurate or simplified The calculation procedures of the surface soil
procedures [6,7]. Gs to be determined here is the layer amplification factor, Gs, in surface soil layers
ratio of response spectra. Practically, the accurate according to the provision [7] are illustrated in Fig.
procedures considering the strain-dependent 4. The iteration is required in the calculation
properties of soils are available for most of soil procedures because of soil nonlinearity.
conditions. Gs is calculated based on the
strain-dependent shear stiffness and damping ratio
of soil [8~10]. Gs is given by Eq. (3):
T
GS = GS 2 for T ≤ 0.8 T2
0.8 T2
(a) Properties of soil layers (b) Equivalent uniform
G − GS 2 surface soil layer
GS = GS 2 + S1 (T − 0.8 T2 )
0.8 (T1 − T2 )
for 0.8 T2 < T ≤ 1.2 T1
GS 1 − 1.0 1 1
GS = GS1 + − for 1.2 T1 < T
1
− 0.1 T 1. 2 T1
1.2 T1
(3)
where,
Gs : surface-soil-layer amplification factor,
Gs1 : Gs value at the period of T1, (c) Amplification factor of equivalent surface soil layer
Gs2 : Gs value at the period of T2,
T : natural period (s),
T1 : predominant period of surface soil layers
for the first mode (s), and,
T2 : predominant period of surface soil layers
for the second mode (s).
The amplification of ground motion by surface site or the relationships of viscous damping ratio
soil layers is estimated using the geotechnical data and shear strain of soils given in the provision [7].
at the site, the equivalent single soil layer modeled Finally, the viscous damping ratio, hseq, of the
from surface soil layers, and the equivalent equivalent surface soil layer is estimated by Eq. (8)
linearization technique. The nonlinear amplifi- at the final step of iteration in the calculation,
cation of ground motion by a uniform soil layer considering the scattering of geotechnical data for
above the engineering bedrock is evaluated by estimating damping ratios.
applying the one-dimensional wave propagation
theory. hseq = 0.8
∑ hi Ws i (8)
The surface soil layers are reduced to an ∑Ws i
equivalent single soil layer. Consequently, the
soil layers including the engineering bedrock are The first and second predominant periods, T1
reduced to the equivalent two-soil-layer model. and T2, and amplification factors, Gs1 and Gs2, of
The characteristic values of the equivalent surface the equivalent surface soil layer are obtained by
soil layer are expressed by Eqs. (4) to (7): Eqs. (9) to (12):
Vse =
∑ Vsi di (4) T1 =
4H
, T2 =
T1
(9)
H Vse 3
ρe =
∑ρ d
i i
(5) Gs1 =
1
(10)
H 1.57 hseq + α
hse =
∑ hi Wsi (6) Gs 2 =
1
(11)
∑Wsi 4.71 hseq + α
ρ e Vse
H = ∑ di (7) α= (12)
ρ b Vsb
where, where,
Vse : equivalent shear wave velocity of surface
α : wave impedance ratio,
soil layers (m/s),
ρb : mass density of engineering bedrock (t/m3),
ρe : equivalent mass density of surface soil and,
layers (t/m3),
Vsb : shear velocity of engineering bedrock (m/s).
hse : equivalent damping ratio of surface soil
layers, Minimum value of Gs1: 1.5 at the damage-
H : total thickness of surface soil layers (m), limitation limit state and 1.2 at the life-safety limit
state.
Vsi : shear wave velocity of soil layer i (m/s),
Equations (10) and (11) are obtained from
di : thickness of soil layer i (m),
previous studies [11,12].
ρi : mass density of soil layer i (t/m3),
di : thickness of soil layer i (m),
VERIFICATION OF SEISMIC
hi : viscous damping ratio of soil layer i, and,
PERFORMANCE
Wsi : potential energy of soil layer i.
Equation (6) represents the averaged value of Verification Procedures for Major
the equivalent viscous damping ratio of the Earthquake Motions
equivalent surface soil layer. The value of hi in The new verification procedures involve the
Eq. (6) is estimated from geotechnical data at the application of the equivalent linearization
20 Earthquake Engineering and Engineering Seismology, Vol. 4, No. 1
technique using an equivalent single-degree- the different damping levels (see Fig. 5(c)).
of-freedom (ESDOF) system and the response (3) Determine the hysteretic characteristics,
spectrum analysis, while the previous procedures equivalent stiffness and equivalent damping
were based on the estimation of the ultimate ratio of the building.
capacity for lateral loads of a building. A variety (a) Model the building as an ESDOF system
of linearization techniques have already been and establish its force-displacement
studied [e.g., 13]. Several applications of relationship (see Fig. 5(a)).
linearization techniques have also been published (b) Determine the design limit strength and
[14~17]. displacement of the building corresponding
Various response and limit values are to the ESDOF system.
considered for use in the performance verification (c) The soil-structure interaction effects
procedures in accordance with each of the should be considered if necessary.
requirements prescribed for building structures. (d) If needed, determine the equivalent stiffness
The principle of the verification procedures is that in accordance with the limit values.
the predicted response values caused by (e) Determine the equivalent damping ratio
earthquake motions should not exceed the on the basis of the viscous damping ratio,
estimated limit values. In the case of a major hysteretic dissipation energy and elastic
earthquake, the maximum strength and strain energy of the building (see Fig. 5(b)).
displacement response values should be smaller (f) If the torsional vibration effects are
than the ultimate capacity for strength and predominant in the building, these effects
displacement. should be considered when establishing the
The focus is hereafter placed on the force-displacement relationship of the
verification procedures for major earthquakes. ESDOF system.
The analytical method used for predicting the (4) Examine the safety of the building. In this
structural response applies the equivalent final step, it is verified whether the response
linearization technique using an ESDOF system values predicted on the basis of the response
and the response spectrum analysis. A flow of spectra determined according to step 2 satisfy
the procedures is illustrated in Fig. 5. the condition of being smaller than the limit
According to the verification procedures, the values estimated on the basis of step 3 (see Fig.
steps to be followed are: 5(c)).
(1) Confirm the scope of application of the
procedures and the mechanical properties of In order to determine the design limit strength
materials and/or members to be used in a and displacement of the building, it is necessary to
building. assume a specific displaced mode for its inelastic
(2) Determine the design response spectra used in response (see Figure 5(a)). Basically, any
the procedures. predominant or potential displaced mode should
be considered.
(a) For a given basic design spectrum at the
engineering bedrock, draw up the Estimation of Ultimate Deformation of a
acceleration, Sa, and displacement response Member
spectra, Sd, at ground surface for the
The seismic performance of a building is
different damping levels.
(b) In the estimation of the free-field site- evaluated at the two limit states under the two
dependent acceleration and displacement levels of design earthquake motions.
response, consider the strain-dependent soil The limit state of damage limitation is attained
deposit characteristics. when the working stress increases to the allowable
(c) If needed, present the relation of Sa-Sd for stress of materials in any member or when the
Midorikawa, Okawa, Iiba, Teshigawara: Performance-Based Seismic Design Code for Buildings in Japan 21
Ru = Rb + Rs + Rx (13)
where,
Ru: ultimate deformation of a member,
Rb: flexural deformation of a member,
Rs: shear deformation of a member, and,
Rx: deformation resulting from the deformation in
(a) Reduction of building to ESDOF system by pushover the connection to adjacent members and
analysis
others.
The ultimate flexural deformation, Rb, should be
calculated as follows:
φy a lp
Rb = + (φ u − φ y ) l p 1 − (14)
3 2a
where,
φy : curvature of a member when the allowable
(b) Equivalent damping ratio using hysteretic energy stress is first reached in the member,
dissipation
φu : curvature of a member at the maximum
resistance,
lp : length of plastic region, and,
a : shear span or a half of clear length of a
member.
Modeling of Multi-Degree-of-Freedom
System into ESDOF System
In estimating the seismic response of a multi-
story building structure, the building is modeled as
an ESDOF system as shown in Fig. 5. This
modeling is based on the result of the nonlinear
pushover analysis under the horizontal forces at
each floor level, of which the distribution along the
height should be proportional to the first mode
(c) Performance criteria using demand spectra and shape of vibration or the Ai distribution prescribed
force-displacement relationship of ESDOF system in in the provision [8]. The modeling is discussed in
Sa-Sd relations
detail elsewhere [18].
Fig. 5 Verification procedures for major The deflected shape resulting from the
earthquake motions pushover analysis is assumed to represent the first
mode shape of vibration. As the deflected shape
story drift reaches 1/200 of the story height at any does not change very much with the distribution of
story. The limit state of life safety is reached horizontal forces along the height, the fixed force
when the building cannot sustain the gravity loads distribution is used during the pushover analysis.
at any story under additional lateral drift, that is, a The modal analysis is applied to relate the
structural member has reached its ultimate seismic response of the multi-degree-of-freedom
deformation capacity. The ultimate deformation and ESDOF systems. For spectral response
of a member should be estimated by Eq. (13). acceleration, 1Sa, and displacement, 1Sd, at the
22 Earthquake Engineering and Engineering Seismology, Vol. 4, No. 1
first-mode period and damping, the first-mode 1Me : effective modal mass corresponding to the
inertia force vector, 1{f}, and displacement vector, first mode given as follows:
1{δ}, are expressed in the following:
1Me = {1}T [m] 1β 1{u} (20)
1{ f } = [ m] 1β 1{u} 1S a (15)
According to the provision [7], the effective mass
1{δ} = 1β 1{u} 1S d (16) should not be less than 0.75 times the total mass
of the building.
where,
Force-Displacement Curve in Sa-Sd Relations
1Sa : spectral response acceleration for the first
Assuming that the first-mode displacement
mode,
and inertia force vectors are equal to the floor
1Sd : spectral response displacement for the first
displacement and external force distributions,
mode,
respectively obtained from the pushover analysis,
1{f} : inertia force vector for the first mode,
the force-displacement relationship of an ESDOF
1{δ} : displacement vector for the first mode,
system is expressed in spectral acceleration and
1β : modal participation factor for the first
displacement (Sa-Sd) relations as follows:
mode,
1{u} : mode shape vector for the first mode T
1 Qb 1{δ} [ m] 1{δ}
(normalized to the roof displacement, 1 Sa = = 1Qb (21)
1Me (1{δ}T [ m] {1}) 2
1β1Sd), and,
[m] : lumped floor mass matrix.
T
1 Sa 1{δ} [ m] 1{δ}
The modal participation factor is expressed as 1 Sd = 1∆ = 2
= T 1S a (22)
1 ωe 1{δ} 1{ f }
follows:
1{u}
T
[ m] {1} where, 1ωe: effective circular frequency for the
1β = (17)
1{u}T
[ m] 1{u} first mode.
The effective first-mode circular frequency of
where, the building at each loading step is approximately
{1}: unit vector. estimated by Eq. (23).
The force-displacement relationship of the
ESDOF system is given by Eqs. (18) and (19), 1 Ke 1 β1{u}T [ k ] 1β1{u} T
1{δ} 1{ f }
1 ωe = = =
when the force corresponds to the base shear, 1Qb, 1Me {1}T [m] 1β 1{u} T
1{δ} [ m] 1{δ}
sometimes called the capacity curve of the reduced to approximately 80 percent of that
building. calculated by Eq. (24).
The equivalent damping ratio, heq, of an
Estimation of Equivalent Damping Ratio
ESDOF system should be in principle estimated
The equivalent damping ratio is defined by the
as the weighted average with respect to strain
viscous damping, hysteretic dissipation energy,
energy of each member according to the provision
elastic strain energy of a building and the
[7]:
radiation damping effects of the ground.
The equivalent damping ratio for the first
mode is prescribed to be 0.05 at the damage- heq =
∑ h W + 0.05
m eqi m i
(25)
limitation limit state because the behavior of a ∑W m i