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Bauhaus-Universitt Weimar

Fakultt Bauingenieurwesen
Earthquake Damage Analysis Center -EDACProfessur Stahlbau

Strategies and basic principles


for comparative
Earthquake-Risk Studies between
Central and South America,
taking the February 27th, 2010
Maule (Chile) Earthquake
as reference event
Master Thesis

Presented by

Diego Velsquez Jofre


Born on February 16th, 1986 in Guatemala City
Matriculation Number: 101070

First examiner:
Second examiner:
Date of submission:

Dr.-Ing. Jochen Schwarz


Dipl.-Ing. Lars Abrahamczyk
October 18th, 2012

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Abstract
The main aim of this master thesis is to provide strategies and basic principles for the
mitigation of earthquake damage. It was performed an inside analysis of the situation after
the February 27th, 2010 Maule (Chile) earthquake in the city of Concepcin. An important
subject described in this document is how the lessons learned after the Maule earthquake
can lead in different ways to the mitigation of earthquake damage in other neighboring
regions.
The study itself had different phases. The first one was the analysis of the earthquake
damage in Chile using several information gathered by different authors and also by the
experts from the Earthquake Damage Analysis Center -EDAC- of the Bauhaus-University
Weimar, after the February 27th, 2010 Maule earthquake. The lessons learned after this
seismic and very destructive event was the starting point. All the engineering analysis done
after the earthquake provided useful information for the development of the first phase and
the elaboration of the second and third chapters of this document.
The second phase was a field research done by the author in the city of Concepcin in
Chile, during May of 2012. The objective of the field research was to acquire several data.
With a velocity sensor was obtained noise ambient measurements in different points in the
urban area of Concepcin and also noise ambient measurements in some reinforced
concrete buildings. Afterwards applying the method of Nakamura was possible to obtain the
frequencies and periods. The reason for obtaining the period of the soil was to elaborate a
microzonation map of Concepcin and the aim of calculating the period of the structures was
to have reliable data for the calibration of the numerical models. Also information related to
building stock, structural drawings and seismic features were obtained. In the fourth chapter
is described extensively all the procedures and results.
Besides all the calculations necessary to develop the fifth chapter, in the last phase of
the study was achieve the numerical modeling of four reinforced concrete structures. In this
final phase the elaboration of the last chapter of the document which describes the
interpretation of the case studies for nonlinear analysis was done. It was performed a
numerical modeling (using the software from CSI, ETABS) of the measured buildings for nonlinear analysis, the elaboration of capacity curves on the basis of pushover analysis for two
buildings and the time history analysis for the tallest buildings. All of this led to the
assessment of the effectiveness of possible strengthening or retrofitting measures. Those
techniques are described in the last part of the chapter.

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Acknowledgments
My first and the most important acknowledge goes to the Deutscher Akademischer
Austausch Dienst -DAAD- (German Academic Exchange Service) for the economical support
during the master program in Germany and also the economical support for the field
research in Chile. Especial thanks to my consultant in charge Birgitt Skailes.
Secondly an important acknowledge for Dr.-Ing. Jochen Schwarz. Giving me the
opportunity of working on an interesting Earthquake-Risk subject was valuable. Also the
advising during the completion of the master thesis, his wise comments and accurate
revision was indeed very helpful.
Especial thanks to Dipl.-Ing. Lars Abrahamczyk. The organization of the time and work
frame, planning of the field research, training in the use of the sensors, advising in the
analyze of the data, revision of the modeling of the structures, advising in the calculation, the
revision of the final report and in general the help provided by him, was very important.
I want to acknowledge Danny Lobos for the support in Concepcin, Chile. Especial
thanks to Franco Benedetti for the whole cooperation and help during my research work.
Also thanks to Juan Marcus and Gonzalo Montalva for giving me a lot useful information. My
sincere thanks to Elson Seplveda for helping me in the field work. Finally an especial
acknowledge for Luz Ayala Cceres for the entire help during my time in Concepcin.
Especial thanks to Juan Pablo Ligorra, Enrique Molina and Daniel Cruz for all the
information provided by them related to Guatemala.

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Table of Content
Page
Abstract ............................................................................................................................................... i
Acknowledgments .............................................................................................................................. ii
List of Figures ...................................................................................................................................... vi
List of Tables ..................................................................................................................................... viii
1. Introduction .................................................................................................................................... 1
2. Hazard assessment and code situation ............................................................................................ 4
2.1 Particularities from source mechanism ............................................................................. 4
2.1.1 South America ............................................................................................................... 4
2.1.1.1 Seismotectonic frame ................................................................................................. 4
2.1.1.2 Significant earthquakes in the region .......................................................................... 5
2.1.1.3 The February 27th, 2010 Maule earthquake ................................................................. 6
2.1.2 Central America ............................................................................................................. 8
2.1.2.1 Seismotectonic frame ................................................................................................. 8
2.1.2.2 Significant earthquakes in the region ........................................................................ 10
2.1.2.3 Ground motion characteristics .................................................................................. 10
2.2 Development and effect of earthquake resistant regulations; Assessment of design
parameters ........................................................................................................................... 12
2.2.1 Chilean code ................................................................................................................ 12
2.2.1.1 Seismic zoning ........................................................................................................... 12
2.2.1.2 Further parameters for the design spectra ................................................................ 13
2.2.2 Guatemalan code ......................................................................................................... 17
2.2.2.1 Seismic zoning map ................................................................................................... 17
2.2.2.2 Further parameters for the design spectra ................................................................ 18
2.3 Consideration of tsunami hazard and subsequent events ................................................ 20
2.3.1 Tsunami effects in Talcahuano ..................................................................................... 21
2.3.2 Tsunami effects in Dichato ........................................................................................... 23
2.4 Conclusions, basic principles and strategies .................................................................... 25
3. Building stock survey and typology ................................................................................................ 26
3.1 Lessons from past and recent earthquakes; Damage cases and typical failure types ........ 26
3.1.1 Damaged buildings in Concepcin ................................................................................ 26

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

3.1.1.1 Salas 1343 Apartment Complex ................................................................................. 26


3.1.1.2 Libertad Tower .......................................................................................................... 27
3.1.1.3 Alto Ro Building ........................................................................................................ 28
3.2 Identification of regional variation of building types; classification into vulnerability classes
according to EMS-98 (European Macroseismic Scale)............................................................ 29
3.3 Reinterpretation of building stock at time of damaging earthquakes, collection of data and
elaboration of damage statistics ........................................................................................... 31
3.3.1 Building stock in Concepcin ........................................................................................ 31
3.3.2 Building stock in Guatemala City .................................................................................. 31
3.4 Comparison and description of the building types ........................................................... 32
3.5 Identification of test site areas with typical building representatives ............................... 32
3.6 Conclusions, basic principles and strategies .................................................................... 34
4. Site and building response measurements .................................................................................... 35
4.1 Collection of available profile data for test site areas ...................................................... 35
4.1.1 Sub-soil conditions and geology of Concepcin, Chile ................................................... 35
4.1.2 Sub-soil conditions and geology of Guatemala City, Guatemala .................................... 37
4.2 Identification of suitable measurement sites (taking into account particularities of
observed damage cases) ....................................................................................................... 39
4.2.1 Case of study: Concepcin, Chile .................................................................................. 39
4.2.2 Estimation of the site dynamic characteristics .............................................................. 42
4.2.2.1 Nakamura H/V ratio technique .................................................................................. 45
4.2.2.2 Calculation of the HVSR for the measured points ...................................................... 46
4.2.3 Final microzonation map of Concepcin ....................................................................... 50
4.3 Measurement of building response of representative building types; analysis of recorded
data ...................................................................................................................................... 52
4.4 Calculation of fundamental vibration periods of RC buildings in Concepcin by other
authors ................................................................................................................................. 59
4.5 Conclusions, basic principles and strategies .................................................................... 61
5. Case studies for nonlinear analysis; re-interpretation of the seismic behavior ............................... 63
5.1 Modeling of representative buildings for non-linear analysis........................................... 63
5.2 Determination of vibration characteristic and calibration of the analytical models on the
basis of analyzed data from site measurements .................................................................... 65
5.3 Elaboration of capacity curves on the basis of pushover analysis..................................... 70
5.3.1 Capacity curves ............................................................................................................ 72

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

5.3.2 Performance points...................................................................................................... 73


5.3.3 Formation of plastic hinges .......................................................................................... 74
5.4 Time history analysis ....................................................................................................... 76
5.4.1 Concepto Urbano building............................................................................................ 77
5.4.2 Plaza Mayor III building ................................................................................................ 79
5.5 Assessment of the effectiveness of strengthening measures ........................................... 82
5.6 Conclusions, basic principles and strategies .................................................................... 84
6. Summary....................................................................................................................................... 85
6.1 Basic principles ............................................................................................................... 85
6.2 Strategies........................................................................................................................ 86
7. References .................................................................................................................................... 88
8. Annexes ........................................................................................................................................ 92
Annex 1. Comparison of the building types between Concepcin and Guatemala City and
assignation of vulnerability classes........................................................................................ 92
Annex 2. MATLAB code to determine the horizontal to vertical spectral ratio -HVSR- from
ambient noise measurements in Concepcin, Chile .............................................................. 97
Annex 3. Horizontal to vertical spectral ratios -HVSR- from the 26 measured sites in
Concepcin, Chile ................................................................................................................. 99
Annex 4. MATLAB code to calculate the FFT spectra for the calculation of the fundamental
period of the selected buildings in Concepcin, Chile .......................................................... 104
Annex 5. FFT spectra for the calculation of the fundamental period of the selected buildings in
Concepcin, Chile ............................................................................................................... 105
Annex 6. Sketches of the analyzed buildings by Westenenk, B., et al., 2012 ........................ 114
Annex 7. Building drawings used for the numerical models ................................................. 116
Statement ....................................................................................................................................... 143

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

List of Figures
Figure 1. Pacific Ring of Fire ................................................................................................................ 1
Figure 2. Flow chart of the elaboration of the master thesis ................................................................ 3
Figure 3. Seismotectonic frame of South America ............................................................................... 4
Figure 4. Overview of South American subduction zone and several seismic events ............................ 5
Figure 5. Source model of the February 27th, 2010 Maule earthquake ................................................. 6
Figure 6. Source model and strong ground motion recordings of the February 27th, 2010 Maule
earthquake ......................................................................................................................................... 7
Figure 7. Attenuation of PGA and PGV for observed strong motions of the February 27 th, 2010 Maule
earthquake ......................................................................................................................................... 8
Figure 8. Tectonic map of Central America .......................................................................................... 9
Figure 9. Biggest earthquakes in Central America .............................................................................. 10
Figure 10. Hazard curve for Guatemala City in terms of PGA and SA (T) ............................................. 11
Figure 11. Uniform hazard spectra (UHS) for Guatemala City for return periods ................................ 11
Figure 12. Location of Concepcin (red circle) within the seismic zoning map of Chile ....................... 12
Figure 13. Design spectra for Concepcin for the different soil types ................................................ 16
Figure 14. Seismic zoning map for the Republic of Guatemala ........................................................... 17
Figure 15. Design spectra for Guatemala City for the different soil types ........................................... 19
Figure 16. Water level recordings for tide gauges along Chilean coastline ......................................... 20
Figure 17. Results of tsunami height measurments performed by Koshimura, S., et al., in 2010 ........ 21
Figure 18. Ground photos in Talcahuano taken by Koshimura, S., et al. in 2010 ................................. 22
Figure 19. Pre and post event satellite images of the most devastated area in Dichato. Points A to G
represent the position of ground photos in Figure 11 ........................................................................ 23
Figure 20. Ground photos in Dichato taken by Koshimura, S., et al. in 2010 ....................................... 24
Figure 21. Damage of Salas 1343 Apartment Complex....................................................................... 26
Figure 22. Libertad Tower ................................................................................................................. 27
Figure 23. Wall fracture of Libertad Tower ........................................................................................ 27
Figure 24. Failure mechanism in Libertad Tower ............................................................................... 28
Figure 25. Photos of Alto Ro building before and after the 2010 Maule Earthquake ......................... 28
Figure 26. Difference in wall volume and layout among basement, first floor, and second floor of Alto
Ro building ....................................................................................................................................... 29
Figure 27. Vulnerability classes listed in the European Macroseismic Scale (EMS-98) ........................ 30
Figure 28. Seismic Hazard Map of Chile ............................................................................................. 32
Figure 29. Map of Concepcin and the possible location for site measurements ............................... 33
Figure 30. Geotechnical map of Concepcin and Talcahuano ............................................................ 35
Figure 31. Geologic map of Concepcin downtown area (adapted from Vivallos et al, 2010). Red are
Paleozoic granitoids, green are Upper Cretaceous sedimentary rocks, dark brownish are Paleocene
sedimentary rocks, light brownish and yellow are Pliocene to Holocene sedimentary deposits that fill
the Concepcin basin ........................................................................................................................ 36

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Figure 32. Geological cross-section used as forward density model to fit the observed gravity anomaly
(points). ............................................................................................................................................ 36
Figure 33. Geological map of Guatemala ........................................................................................... 37
Figure 34. Geographical distribution of the different geotechnical units that cover Guatemala City .. 39
Figure 35. Damaged sections in downtown Concepcin; 6 out of 7 are parallel to major faults. ........ 40
Figure 36. Inspected buildings and damage level in downtown Concepcin, superimposed on geology
map of the region. Red box depicts the location of two adjacent buildings, one collapsed and one that
suffered minor damage. .................................................................................................................... 41
Figure 37. Locations of adjacent buildings designed using different site conditions in Concepcin .... 41
Figure 38. (a) Collapsed structure designed using Soil Type II conditions and (b) 20-story structure
adjacent to collapsed designed using Soil Type III conditions, and suffering only minor damage ....... 42
Figure 39. Image of the measured points in Concepcin, Chile .......................................................... 43
Figure 40. (a) View of the equipment. The velocity sensor was placed in a small hole ....................... 44
Figure 41. Microtremor or ambient noise measurement of a random test ........................................ 44
Figure 42. Illustration of the simple model assumed for the interpretation of microtremor H/V ratio as
defined by Nakamura (1989) ............................................................................................................. 45
Figure 43. Horizontal to vertical spectral ratio -HVSR- from Test 2 and Test 23 .................................. 46
Figure 44. Taxonomy of HVSR curves observed in Concepcin urban area ......................................... 47
Figure 45. Location of the measurements done by Leyton et al. for comparison. ............................... 48
Figure 46. Location of the measured points by Leyton et al., together with the measured points of this
study................................................................................................................................................. 48
Figure 47. Comparison between HVSR of (a) Test 3 and the Figure 44c (b) Test 15 and the Figure 44d
(c) Test 17 and the Figure 44d and (d) Test 18 and the Figure 44c ..................................................... 49
Figure 48. Final microzonation map for Concepcin, Chile................................................................. 52
Figure 49. Places where the measurements were taken in the building "Concepto Urbano" ............. 52
Figure 50. Location of the reinforced concrete buildings in Concepcin for further analysis .............. 53
Figure 51. Order of the ambient noise measurements....................................................................... 54
Figure 52. Location of the measured points in Concepto Urbano building ......................................... 55
Figure 53. Location of the measured points in Plaza Mayor III building .............................................. 55
Figure 54. Location of the measured points in Milenium II building ................................................... 56
Figure 55. Location of the measured points in Hotel Aurelio II building ............................................. 56
Figure 56. Calculated FFT spectra for Concepto Urbano building .................................................... 57
Figure 57. Location of the analyzed buildings in this study (green items) ........................................... 60
Figure 58. Final numerical models of the measured buildings............................................................ 63
Figure 59. Time histories of the station CCSP in the directions NS and EW plotted with MATLAB....... 64
Figure 60. Time histories of the station CCSP in the directions NS and EW inputted in ETABS ............ 64
Figure 61. Mode shapes of Concepto Urbano building ...................................................................... 66
Figure 62. Mode shapes of Plaza Mayor III building ........................................................................... 67
Figure 63. Mode shapes of Milenium II building ................................................................................ 68
Figure 64. Mode shapes of Hotel Aurelio II building .......................................................................... 69
Figure 65. Graphical comparison of the fundamental period of the buildings .................................... 70
Figure 66. Example of the definition of the pushover cases 1 and 2 ................................................... 71
Figure 67. Force-displacement relationship of a typical plastic hinge ................................................. 71

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Figure 68. Capacity curves for Milenium II building ........................................................................... 72


Figure 69. Capacity curves for Hotel Aurelio II building ...................................................................... 72
Figure 70. Transformation to the Acceleration Displacement Response Spectrum format ................. 73
Figure 71. Performance point for the two pushover cases of Milienium II building ............................ 73
Figure 72. Performance point for the two pushover cases of Hotel Aurelio II building ....................... 74
Figure 73. Formation of plastic hinges for Milenium II building .......................................................... 74
Figure 74. Formation of plastic hinges for Hotel Aurelio II building .................................................... 75
Figure 75. Analyzed joints for the Concepto Urbano building ............................................................ 77
Figure 76. Time history analysis for Joint 9 of Concepto Urbano building .......................................... 77
Figure 77. Time history analysis for Joint 14 of Concepto Urbano building......................................... 78
Figure 78. Time history analysis for Joint 21 of Concepto Urbano building......................................... 78
Figure 79. Time history analysis for Joint 46 of Concepto Urbano building......................................... 79
Figure 80. Analyzed joints for the Plaza Mayor III building ................................................................. 79
Figure 81. Time history analysis for Joint 2 of Plaza Mayor III building ............................................... 80
Figure 82. Time history analysis for Joint 14 of Plaza Mayor III building ............................................. 80
Figure 83. Time history analysis for Joint 17 of Plaza Mayor III building ............................................. 81
Figure 84. Time history analysis for Joint 41 of Plaza Mayor III building ............................................. 81
Figure 85. Retrofit of prestressed concrete jacketing techniques studied .......................................... 82
Figure 86. External steel configurations studied by Corazao et al. in 1986 ......................................... 83
Figure 87. Corrugated steel jacketing technique proposed by Ghobarah et al. in 1997. (a) before
installation; (b) after installation; and (c) cross section of corrugated steel plates ............................. 83

List of Tables
Table 1. Values of the parameters that depends on the soil type ...................................................... 13
Table 2. Values of the effective acceleration A0 ................................................................................. 13
Table 3. Response modification factor R0 .......................................................................................... 14
Table 4. Values of the importance factor ........................................................................................ 14
Table 5. Nature of occupation for the importance factor ................................................................... 14
Table 6. Soil classification according the NCh 433.0f.1996, mod.2009 ............................................... 15
Table 7. Data used for the calculation and plotting of the design spectra for Concepcin .................. 16
Table 8. Values of the factors Scr and S1r ............................................................................................ 17
Table 9. Scale factors for design spectra for Guatemala .................................................................... 18
Table 10. Site Coefficient Fa .............................................................................................................. 18
Table 11. Site Coefficient Fv ............................................................................................................... 18
Table 12. Soil classification according to the AGIES NSE 2-10 ............................................................. 19
Table 13. Data used for the calculation and plotting of the design spectra for Guatemala City .......... 19
Table 14. Representative building types in Concepcin ..................................................................... 31
Table 15. Representative building types in Guatemala City................................................................ 31
Table 16. Classification of the geotechnical units in Guatemala City .................................................. 38
Table 17. Location and name of the measured points in Concepcin, Chile ....................................... 43
Table 18. Final results of the performed measurements .................................................................... 46
Table 19. Definition of the surface geology ....................................................................................... 47

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Table 20. Compared measured points ............................................................................................... 49


Table 21. Final numerical comparison between the results of Leyton, 2001 and the present study ... 50
Table 22. Calculation of the period ranges ........................................................................................ 50
Table 23. Final ranges for the classification of the soils in function of the fundamental period .......... 50
Table 24. Classification of the soils in function of the fundamental period......................................... 51
Table 25. Sub-classification of the soil type E..................................................................................... 51
Table 26. Final classification of the soils with the proposed sub-classification ................................... 51
Table 27. List of the reinforced concrete buildings in Concepcin for further analysis ....................... 53
Table 28. Calculated values of the fundamental vibration period using the empirical formula ........... 58
Table 29. Calculation of the period of the "Concepto Urbano" building ............................................. 58
Table 30. Final comparison between empirical and experimental fundamental vibration period ....... 59
Table 31. Analyzed buildings by Westenenk, B., et al., 2012. ............................................................. 59
Table 32. Calculated fundamental periods by Westenenk, B., et al., 2012 ......................................... 60
Table 33. Results of the periods for the first five mode shapes of the buildings ................................. 65
Table 34. Final values of the calculated periods of the buildings ........................................................ 70
Table 35. Coordinates of the performance points for the two analyzed builings ................................ 74
Table 36. Control points for the pushover case 1 for Milenium II building ......................................... 75
Table 37. Control points for the pushover case 2 for Milenium II building ......................................... 75
Table 38. Control points for the pushover case 1 for Hotel Aureilo II building .................................... 76
Table 39. Control points for the pushover case 2 for Hotel Aureilo II building .................................... 76
Table 40. Displacements in the analyzed joints for Concepto Urbano building................................... 82
Table 41. Displacements in the analyzed joints for Plaza Mayor III building ....................................... 82

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

1. Introduction
The countries located within the Pacific Ring of Fire are constantly in a high seismic hazard.
The Pacific Ring of Fire (shown in Figure 1) also called the Circum-Pacific belt or just The Ring of Fire,
is an area where a large number of earthquakes and volcanic eruptions occur in the basin of the
Pacific Ocean. An important fact about this region is that 90% of the world's earthquakes occur there.
The next most seismic region (5-6% of earthquakes) is the Alpide belt that extends from
Mediterranean region, eastward through Turkey, Iran, and northern India.

Figure 1. Pacific Ring of Fire [1]

As is visible in Figure 1, most of the countries in Latin America are within this high seismic
area. The present study focuses in two regions, Central and South America. However these two
regions are wide and for this reason at the end were selected two representative cities in two
representative countries. The selected country in South America was Chile (located along the
southwestern coast of South America) and the selected city was Concepcin. The reason for selecting
Chile was the appropriate response of the infrastructure throughout the country during the February
27th, 2010 Maule earthquake and the selection of Concepcin was because it was the most
devastated city. All the lessons learned after the Maule earthquake are a good starting point for a
comparative earthquake-risk study. The selected country in Central America was Guatemala (located
at the southern tip of Mexico between the Caribbean Sea and the Pacific Ocean) and the selected city
was Guatemala City. The reason for this selection was because is the hometown of the author.
Make an engineering comparison can be very difficult, especially because it is important to
find comparable parameters.

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Historically in both Chile and Guatemala the earthquakes were produced mainly by
subduction (the first comparable parameter). More parameters for comparison will be discussed in
detail in the development of this document.
The first phase of the study was a careful investigation and a deep analysis of all the data
taken in a field trip throughout Chile, done just after the earthquake in the year 2010 by specialists
from the Earthquake Damage Analysis Center -EDAC- of the Bauhaus-University Weimar. The team
led by Dr.-Ing. Jochen Schwarz spent considerable time in several regions of Chile (including the
capital, Santiago de Chile and the most devastated city, Concepcin) analyzing the earthquake
damage. This starting point was important especially for the development of the first two chapters of
this document and also because all these information was the basic principles for the preparation of
the field research.
The chapter number two contents the hazard assessment and code situation analysis in both
countries. The most important particularities from source mechanism are described at the beginning.
Then a description of the development and effect of the earthquake resistant regulations (codes
and/or standards) were done and the assessment of the design parameters were also analyzed. It is
important to mention that one of the key factors of the good response of the infrastructure in Chile
during the earthquake was the good development of the Chilean design code. As a final part of the
first chapter, the consideration of tsunami hazard and subsequent events (including aftershocks)
were included.
The chapter number three contents the analysis of the building stock and the structural
typology in both countries. The lessons from past and recent earthquakes were analyzed and the
damage cases and typical failure types were described. A short reinterpretation of the building stock
at the time of some earthquakes was done based on the collection of data and elaboration of damage
statistics. An important part of this chapter was the identification of test site areas with typical
building representatives for the preparation of the field research. Also an identification of regional
variation of building types and their classification into vulnerability classes according to EMS-98
(European Macro Seismic Scale) was done.
The next phase of the study was a field research performed during May of 2012 in
Concepcin, Chile. After the identification of suitable measurement sites (taking into account
particularities of observed damage cases) and the collection of available profile data for test site
areas, ambient noise measurements were taken in several locations inside the urban area of
Concepcin using a velocity sensor. The analysis of the taken data was following the method of
Nakamura (1989, 2000) that popularized the use of the horizontal to vertical spectral ratio -HVSR-, as
an effective and economic tool to estimate the fundamental vibration period of the soil. The final aim
was to generate a microzonation map of Concepcin. Also using the velocity sensor, the building
response of representative building types was measured, in order to have reliable data for the
calibration of the numerical models. In the chapter number four all the procedures, calculations,
tables, graphs and maps are widely described.
The chapter number five of this document presents the interpretation of the case studies for
nonlinear analysis. It was performed a numerical modeling (using the software from CSI, ETABS) of
representative buildings for non-linear analysis, with the final aim of the elaboration of capacity
curves on the basis of pushover analysis and also a time history analysis was done. All of this led to
the assessment of the effectiveness of possible strengthening or retrofitting measures. Those
techniques are described in the last part of the chapter.

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

The Figure 2 shows the flow chart followed in the process of the elaboration of the present
master thesis.

Figure 2. Flow chart of the elaboration of the master thesis

Finally in the chapter number six they are described the strategies and basic principles of the
comparison and the further recommendations from one country to another. As a general idea, the
major purpose of the whole document and the study itself, was to analyze how the earthquake
damage can be mitigated based on the lessons learned in the past, and how to apply the right
parameters, situations and technical characteristics to the structural design, with the final aim that
the structures will preserve human life with the minimum physical damage and resisting a seismic
event of high magnitude.

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

2. Hazard assessment and code situation


2.1 Particularities from source mechanism
2.1.1 South America
2.1.1.1 Seismotectonic frame
The South American arc extends over 7000 km from the Chilean margin triple junction
offshore of southern Chile to its intersection with the Panama fracture zone, offshore of the southern
coast of Panama in Central America. It marks the plate boundary between the subducting Nazca plate
and the South America plate, where the oceanic crust and lithosphere of the Nazca plate begin their
descent into the mantle beneath South America. (Rhea, S., Hayes, G., et al., 2010)

Figure 3. Seismotectonic frame of South America (Rhea, S., Hayes, G., et al., 2010)

The convergence associated with this subduction process is responsible for the uplift of the
Andes Mountains, and for the active volcanic chain present along much of this deformation front. The
Nazca plate moves slightly north of eastwards at a rate varying from approximately 80 mm/year in
the south to approximately 70 mm/year in the north. Subduction zones such as the South America arc
are geologically complex and generate numerous earthquakes from a variety of tectonic processes
that cause deformation of the western edge of South America. Crustal deformation and subsequent
mountain building in the overriding South America plate generate shallow earthquakes. (Rhea, S.,
Hayes, G., et al., 2010)

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Slip along the dipping interface between the two plates generates frequent and often large
interpolate earthquakes between depths of approximately 10 to 60 km. Since 1900, numerous
magnitude 8 or greater earthquakes have occurred on the interface between the Nazca and South
America plates, including the 1960 Mw 9.5 earthquake in southern Chile, the largest instrumentally
recorded earthquake in the world and the 2010 Mw 8.8 earthquake. (Rhea, S., Hayes, G., et al., 2010)

2.1.1.2 Significant earthquakes in the region


Many earthquakes with magnitude greater than 7.5 have occurred at the interface between
the subducting Nazca and overriding South American plates during the 20th and 21st centuries.
Historical records back to the 1500s suggest additional great (M > 8) earthquakes along this margin. In
fact, much of the margin has broken in great earthquakes with the largest earthquake on record to
date, the 1960 moment magnitude Mw 9.5 rupture zone, anchoring the southern portion of the
margin. In addition, there are cases of fairly rare events along the Peru margin, namely the 1960 and
1996 tsunami earthquakes. (Bilek, 2009)
The Figure 4 shows an overview map of South American subduction zone with significant
earthquakes from the 20th and 21st centuries. Earthquake locations (triangles) and magnitudes are
shown. The red triangles show locations of the 2 tsunami earthquakes that occurred off of the Peru
coast. Also included are earthquake locations (black circles) and focal mechanisms (gCMT) for the
moderate magnitude earthquakes. (Bilek, 2009)

Figure 4. Overview of South American subduction zone and several seismic events (Bilek, 2009)

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

2.1.1.3 The February 27th, 2010 Maule earthquake


The February 27th, 2010 Maule mega-earthquake, the fifth largest earthquake in instrumental
history, occurred off the coast of central Chile on at 03:34 local time (06:34 UTC), having a magnitude
of Mw 8.8, with intense shaking lasting for about three minutes. The earthquake was located in the
subduction of the Nazca plate in Meridional Andes beneath the South American plate. This
earthquake fills a well studied seismic gap between the source areas of the largest ever recorded
1960 Great Valdivia earthquake (Mw 9.5) and the 1985 Valparaiso earthquake (Mw 7.8).
The earthquake was felt strongly in six Chilean regions (from Valparaso in the north to
Araucana in the south), that together make up about 80 percent of the country's population.
According to the United States Geological Survey (USGS) the cities experiencing the strongest shaking
-VIII (Destructive) on the Mercalli intensity scale (MM)- were Arauco and Coronel. According to the
Chilean Seismological Service, Concepcin experienced the strongest shaking at MM IX (Violent). The
earthquake was felt in the capital Santiago at MM VII (Very Strong) or MM VIII. (Pulido, N., et al.,
2010)
The Maule earthquake ruptured a source area of nearly 450 kilometers extending from
southern Santiago in the North, down to the Arauco Peninsula south of Concepcin City. This
earthquake was an inter-plate mega-subduction event with a pure reverse mechanism, and had a
seismic moment magnitude of 8.8. The source model is shown in Figure 5. (Pulido, N., et al., 2010)

Figure 5. Source model of the February 27th, 2010 Maule earthquake (Pulido, N., et al., 2010)

The source process is characterized by two asperities with a peak slip of more than 10 meters
and a rupture area of approximately 450 by 200 square kilometers. The first asperity is located at the
hypocenter and the second is located approximately 150 kilometers north-east of the hypocenter.
The ruptures propagated bilaterally starting slightly south of Constitucin and with an average
rupture velocity of 2.8 km/s. However the main moment release was located towards the North in
the Pichilemu region. The source moment function has total source duration of 150 seconds and
display two sub-events separated by 30 seconds (Shown in Figure 5). The average rake angle of this
earthquake was 93 degrees which approximately corresponds to the oblique convergence of the
Nazca plate beneath the South American plate. (Pulido, N., et al., 2010)

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

2.1.1.3.1 Ground motion characteristics


The Maule earthquake was recorded by 30 strong motion stations belonging to the
Universidad de Chile (Servicio Sismolgico Nacional -SSN-, Geophysics Department, 10 stations, and
Red Nacional de acelergrafos -RENADIC-, Civil Engineering department, 20 stations). The instruments
were mostly digital and a large number of them were localized in the capital city, Santiago. The
published maximum PGA and PGV values reached 909 cm/s2 at the Angol station south of
Concepcin, and 69 cm/s at Constitucin (See Figure 6).
Strong ground motions recorded in the northern region of the source area such as Curic,
Santiago and Via del Mar displayed two clear sub-events separated by 15 seconds to 30 seconds,
which was consistent with a rupture propagation velocity value of 2.8 km/s (See Figure 6). (Pulido, N.,
et al., 2010)

Figure 6. Source model and strong ground motion recordings of the February 27th, 2010 Maule earthquake
(Pulido, N., et al., 2010)

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Stations towards the central and southern regions of the source area such as Constitucin,
Concepcin and Angol did not displayed distinct sub-events, as the rupture propagation of the
northern asperity gradually ran away from southern stations. Angol station displayed the largest PGA
which indicated the possibility of large slip below the Arauco peninsula (around latitude -37.5
degrees). In fact the recent studies indicates that the Arauco peninsula experienced a maximum
coseismic uplift of 2.5 meters along the coast, suggesting that the source area could have reached a
latitude as far as -38 degrees, which approximately corresponds the northern end of the 1960
Valdivia earthquake. (Pulido, N., et al., 2010)
In the Figure 7 it is shown the PGA and PGV attenuation characteristics of observed strong
ground motions of the Maule earthquake, for the sites described. It is plotted the data together with
an empirical relationship of PGA and PGV for inter-plate subduction earthquakes (Mw 8.8, depth 35
km) for soil, stiff soil and rock site conditions. All observed data falls within one sigma (+/-0.3) around
the values for a stiff soil. This result implies that the observed peak ground motions characteristics
from the Maule earthquake can be satisfactorily explained by a typical empirical attenuation
relationship for inter-plate subduction earthquakes. (Pulido, N., et al., 2010)

Figure 7. Attenuation of PGA and PGV for observed strong motions of the February 27th, 2010 Maule earthquake
(Pulido, N., et al., 2010)

2.1.2 Central America


2.1.2.1 Seismotectonic frame
Central America is located in the western limit of the Caribbean plate. This plate is
surrounded by the North American, Cocos, Nazca, and South American plates. The Cocos and
Caribbean plates are bounded by the Central American subduction zone. Nazca and the Caribbean
plates are limited by the southern Panam deformed belt. The transcurrent faults of Polochic
MotaguaChamelecn, the Panam fracture zone, and the Atrato suture zone are the boundaries of
the North AmericanCaribbean plates, CocosNazca plates, and the CaribbeanSouth America plates,
respectively. (Benito, M.B., et al., 2012) Other important tectonic units are: the Hess scarp, Nicaragua
depression, and the southern Panam fault zone (In detail in Figure 8).

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Figure 8. Tectonic map of Central America (Benito, M.B, et al., 2012)

In Central America relative plate motions vary between 2 centimeters per year and 9
centimeters per year and are accompanied by active volcanism and shallow and intermediate
seismicity. Five main tectonic features have been distinguished in the region:
a)
b)
c)
d)
e)

The subduction zone in the plate boundary CocosCaribbean


The local faults situated in the volcanic chain
The PolochicMotagua in the North AmericaCaribbean plate boundary
The Panam fracture zone in the CocosNazca boundary; and
The north Panam deformed belt, which is the northern margin of the Panam microplate
(Recently, it has been proposed by Kellogg and Vega (1995) and Trenkamp et al. (2002) that
the southern half of Costa Rica, Panam, and northwest Colombia constitute an individual
block named the Panam microplate)

Many destructive earthquakes have occurred in the last 500 years, with high or moderate
magnitudes (8 Mw 6) associated with these five tectonic features. Many destructive earthquakes
in the region occur in the volcanic chain fault systems, having moderate magnitudes (M w 6:5), very
shallow foci, and epicenters close to the main population centers, such as the 1972 Managua Mw 6.2
earthquake, which caused more than 10,000 deaths in Managua, Nicaragua. But the most destructive
event in the last decades was the earthquake associated with the Motagua fault, Mw 7.6, causing
22,000 deaths in Guatemala City. (Benito, M.B., et al., 2012)

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Other earthquakes produced in the subduction zone with higher magnitudes, Mw > 7.5, have
caused less damage due to their larger focal depth and epicentral distance from the main population
centers, as the one in January 2001 in El Salvador. The last destructive earthquakes in the region
occurred in Costa Rica (8th January 2009) and Honduras (28th May 2009). The first, with magnitude Mw
6.2 and located in the central part of the country, was associated with a strike-slip fault of the
volcanic chain and caused hundreds of landslides and nearly 20 deaths. The epicenter of the second
one was located in the Caribbean Sea, with magnitude 7.7, and produced widespread damage in
Honduras, causing seven deaths. (Benito, M.B., et al., 2012)

2.1.2.2 Significant earthquakes in the region


Central America has been struck since 1522 by many earthquakes that caused destruction in
the population, both in the subduction zone and in the local faults of the volcanic chain. The
earthquakes produced in the first place reached higher magnitudes than the ones in the second,
being the maximum magnitude of subduction Mw 8, but these events were less frequent and caused
less damage than the local fault events because their epicenters are located offshore and their depths
are usually h 25 km. The events in the volcanic chain reached moderate magnitude M w 6.7, but
also caused more damage because their epicenters are usually located close to the population
centers and they are crustal events with h < 25 km. Figure 9 shows the epicenters of these events,
which are representative of the highest seismicity reported in the region. (Benito, M.B., et al., 2012)

Figure 9. Biggest earthquakes in Central America (Benito, M.B., et al., 2012)

2.1.2.3 Ground motion characteristics


For the study performed by Benito et al in 2012, the selection of the ground-motion
prediction equations was with the intention to find the most suitable strong-motion prediction
equations for seismic-hazard analysis in Central America. After a careful revision of the state of the
art, different models developed for subduction and volcanic crustal zones, in certain tectonic
environments similar to those of Central America, were selected.

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

The Figure 10 shows the hazard curve obtained for Guatemala City, for all the parameters
characteristic of the ground motion used in the study performed by Benito et al. in 2012: PGA and SA
(0.1 s), SA (0.2 s), SA (0.5 s), SA (1 s), and SA (2 s).

Figure 10. Hazard curve for Guatemala City in terms of PGA and SA (T)
for T = 0.1, 0.2, 0.5, 1 and 2 seconds (Benito, M.B., et al., 2012)

As expected, in all the cases the greatest values correspond to the spectral accelerations at
0.1 s and 0.2 s, and their corresponding hazard curves are almost coincident. The PGA curves are
similar to the SA (0.5 s) curves, and the SA (1 s) and SA (2 s) curves lie below.
The uniform hazard spectra for Guatemala City, for return periods of 500, 1000 and 2500
years are shown in Figure 11. These spectra are being used for checking the design spectra in the
respective Guatemalan code.

Figure 11. Uniform hazard spectra (UHS) for Guatemala City for return periods
of 500, 1000 and 2500 years (Benito, M.B., et al., 2012)

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2.2 Development and effect of earthquake resistant regulations; Assessment


of design parameters
The correct development of the earthquake resistant regulations plays an important role in
structural design. One of the reasons that the infrastructure in Chile had a good response during the
February 27th, 2010 Maule earthquake, was the good development of the Chilean Code. In the
following sections will be described the most important parameters in the Chilean and Guatemalan
code in order to analyze the differences between them.

2.2.1 Chilean code


The NCh 433.0f.1996, mod.2009 is the current code in Chile for earthquake resistant design of
buildings. The first edition was released in 1996, having the first modification in 2005 and the second
editing in the year 2009. After the February 27th, 2010 Maule earthquake, the government together
with several institutions and experts, published a decree as a final modification called Decreto 61,
2011. For the present study only the information related to the city of Concepcin will be analyzed.

2.2.1.1 Seismic zoning


According to the political division of Chile, the country is divided into 15 regions (regiones), 54
provinces (provincias) and 346 communes (comunas). The NCh 433.0f.1996, mod.2009 classifies the
country in 3 seismic zones (the complete classification of all the cities is listed from the page 9 until 12
of the NCh 433.0f.1996, mod.2009, and will not be presented in this document). As is visible in the
Figure 12, Concepcin is located in the Seismic Zone 3.

Figure 12. Location of Concepcin (red circle) within the seismic zoning map of Chile (NCh 433.0f.1996, mod.2009)

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2.2.1.2 Further parameters for the design spectra


In order to generate the design spectra for Concepcin, the different parameters are listed as
follows. The design spectra which determines the earthquake strength of the structure is defined by
the following equation:
0
=
(1)
( )
Where:
:
Parameter that depends on the soil type. Values are given in Table 1.
A0 :
Effective acceleration in function of the seismic zone. Values are given in Table 2.
:
Amplification factor that is calculated for each vibration mode n according to:

1 + 4.5
=
Where:

:
0 :
:

1 +
0

(2)

Vibration period of the mode n


Parameter that depends on the soil type. Values are given in Table 1.
Parameter that depends on the soil type. Values are given in Table 1.

Reduction factor that is calculated according to:


= 1 +

0.10 0 +

(3)

Where:

:
R0 :

Period of the mode with the mayor torsional mass in the equivalent
direction of the analysis
Response modification factor. Values are given in Table 3.

Importance factor that depends on the structure. Values are given in Table 4 and 5.
Table 1. Values of the parameters that depends on the soil type (NCh 433.0f.1996, mod.2009)

Soil Type*
S
T0 [sec]
T' [sec]
n
p
A
0.90
0.15
0.20
1.00
2.0
B
1.00
0.30
0.35
1.33
1.5
C
1.05
0.40
0.45
1.40
1.6
D
1.20
0.75
0.85
1.80
1.0
E
1.30
1.20
1.35
1.80
1.0
* The description of the soil types is given in Table 6
Table 2. Values of the effective acceleration A0 (NCh 433.0f.1996, mod.2009)

Seismic Zone
A0
1
0.20 g
2
0.30 g
3
0.40 g
Where g is the value of the gravity

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Table 3. Response modification factor R0 (NCh 433.0f.1996, mod.2009)

Structural System

Structural Material
Structural Steel
a) Ordinary Moment Frame (OMF)
b) Intermediate Moment Frame (IMF)
Frames
c) Special Moment Frame (SMF)
d) Special Truss Moment Frame (STMF)
Reinforced Concrete
Structural Steel
a) Ordinary Concentric Braced Frame (OCBF)
b) Special Concentric Braced Frame (SCBF)
c) Eccentric Braced Frame (EBF)
Reinforced Concrete
Walls and Bracing Systems
Wood
Confined Masonry
Reinforced Masonry
Concrete blocks
Clay blocks
Any other type of structure or material that cannot be classified in the
previous categories

4
5
7
6
7

5
6
11
10
11

3
5.5
6
7
5.5
4

5
8
10
11
7
4

4
3
2

4
3
-

Table 4. Values of the importance factor (NCh 433.0f.1996, mod.2009)

Occupation Category
I
II
III
IV

0.6
1.0
1.2
1.2

Table 5. Nature of occupation for the importance factor (NCh 433.0f.1996, mod.2009)

Occupation Category

II

III

Nature of Occupation
Buildings and another isolated or provisional structures not destined for living,
not classified in the Occupation Category II, III and IV that represents a low risk
for human life in case of failure, including, but not exclusively:
- Agricultural facilities
- Certain temporary facilities
- Minor storage facilities
All the buildings and other structures destined to private living or public use
that are not classified in the Occupation Category I, III and IV, and buildings and
other structures that in case of failure represents a risk for other constructions
into the Occupation Category I, III and IV.
Buildings and other structures whose content is of great value, including but
not exclusively:
- Libraries
- Museums
Buildings and other structures where there is often a crowd of people, including
but not exclusively:
- Rooms for meetings for 100 or more people
- Stadiums and outdoor bleachers for 2000 or more people
- Schools, kindergartens and university campuses
- Prisons and detention places
- Commercial sites with an area greater than or equal to 500 m2 per floor, or
height greater than 12 m

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Table 5. (Continuation) Nature of occupation for the importance factor (NCh 433.0f.1996, mod.2009)

Occupation Category

Nature of Occupation
Shopping malls with covered aisles, with a total area greater than 3000 m2
regardless of the surface of the parking lots.
Buildings and other structures that are not classified in the Occupancy Category
IV including but not exclusively, facilities that manufacture, process,
manipulate, store, use or dispose of substances such as hazardous fuels,
hazardous chemicals, hazardous waste or explosives) containing dangerous
amounts of hazardous substances for the public if case of releasing.
Buildings and other structures containing hazardous substances should be
classified as structures Occupation Category II if it is demonstrated to the
Competent Authority by estimating the risk, according NCh3171, that the
release of the hazardous substance does not present a threat to the public.
Buildings and other structures classified as government buildings, municipal
utility or public utilities, including but not exclusively:
- Police stations
- Electrical or telecommunications stations
- Post and telegraph offices
- Radio and television stations
- Water and pumping plants
Buildings and other structures classified as essential facilities whose use is
especially important in case of disaster, including but not exclusively:
- Hospitals
- First aid places
- Fire stations
- Garages for emergency vehicles
- Terminal stations
- Emergency shelters
- Auxiliary structures (including, but not exclusively; communication towers,
fuel storage tanks, structures of electrical substations, support structures
for water tanks for fire or for home consumption or for other materials for
fire mitigation equipment) required for the operation of structures with
Category IV during an emergency.
- Aviation control towers, air traffic control centers and emergency aircraft
hangars.
-

III

IV

Table 6. Soil classification according the NCh 433.0f.1996, mod.2009

A
B
C
D
E

Soil Type
Rock, cemented soil
Soft or fractured rock,
very dense or very strong
soil
Dense or strong soil
Moderately dense or
moderately strong soil
Medium compactness or
medium consistence soil

VS30 [m/s]
900

RQD
50%

qu [MPa]
10 (qu 2%)

N1 [hits/ft]

500

0.40 (qu 2%)

50

350

0.30 (qu 2%)

40

180

30

0.05

< 180

20

< 0.05

Where:
VS30 :
RQD:
qu :

Su [MPa]

Average shear wave velocity of the first 30 meters of the soil


Rock Quality Designation according ASTM D 6032
Simple compression strength of the soil

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

qu :
N1 :
Su :

Unitary deformation developed when the maximum strength in the simple


compression test is reached
Standard penetration index normalized by confinement pressure of 0.1 MPa.
Applicable only to soils classified as sands
Undrained shear strength of the soil

In order to calculate and plot the design spectra for Concepcin it is used mainly the data
presented in Tables 1 to 6 and the rest of the parameters were assumed. The used data is shown in
Table 7 and the design spectra for the different type of soils are shown in Figure 13.
Table 7. Data used for the calculation and plotting of the design spectra for Concepcin

City of Concepcin
Seismic Zone: 3
A0
0.4 g
Material of the structure: RC Frame
R0
11
Importance factor: Occupation Category IV

1.2
Period of the structure
T* 0.4 sec

From Table 2
From Table 3
From Table 4 and 5
Assumed value

Figure 13. Design spectra for Concepcin for the different soil types

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2.2.2 Guatemalan code


The building design standards for the Republic of Guatemala are published by the
Guatemalan Association of Structural and Earthquake Engineering -AGIES- (by its acronym in Spanish).
The Recommended Structural Standards for Design AGIES NR were published in the year 2000
having small modifications in subsequent years until finally in September 2010 were released the new
version of the standard, the Standards for Structural Safety AGIES NSE. In the chapter NSE 2-10 the
parameters to analyze the structural demands, the site conditions and the protection levels are
defined.

2.2.2.1 Seismic zoning map


In the NSE 2-10, Guatemala has been divided in several zones to classify the measurement of
the maximum acceleration of the soil. The Figure 14 shows the zoning map, which is expressed in
function of the seismicity index denoted by . Guatemala City is located in the red region of the map.

Figure 14. Seismic zoning map for the Republic of Guatemala (AGIES NSE 2-10)
Table 8. Values of the factors Scr and S1r (AGIES NSE 2-10)

Seismicity Index
2a
2b
3a
3b
4 (Yellow)
4 (Red)
4 (Magenta)

17

0.50 g
0.70 g
0.90 g
1.10 g
1.30 g
1.50 g
1.65 g

1
0.20 g
0.27 g
0.35 g
0.43 g
0.50 g
0.55 g
0.60 g

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

2.2.2.2 Further parameters for the design spectra


In order to generate the design spectra for Guatemala City, the different parameters are
listed as follows. The design spectra which determines the earthquake strength of the structure is
defined by the following formula:

() = if

() = 1 if >
Where:

(4)
(5)

: Period of the structure


: Period that separates shorts periods from long periods:
1
=

=
1 = 1

(6)
(7)
(8)

: Factor scale defined in Table 9


: Spectral ordinate of the extreme earthquake for structures with short vibration period:
=
(9)
1 : Spectral ordinate of the extreme earthquake for structures with short vibration period:
1 = 1
(10)
: Value in function of seismicity index defined in Table 8
1 : Value in function of seismicity index defined in Table 8
: Site coefficient defined in Table 10
: Site coefficient defined in Table 11
Table 9. Scale factors for design spectra for Guatemala (AGIES NSE 2-10)

Ordinary Earthquake
Severe Earthquake
Extreme Earthquake
Minimum Earthquake

= 0.66
= 0.80
= 1.00
= 0.55

10% Probability of being exceed in 50 years


5% Probability of being exceed in 50 years
2% Probability of being exceed in 50 years
Exception condition

Table 10. Site Coefficient Fa (AGIES NSE 2-10)

Site Class
AB
C
D
E

2a
1.0
1.2
1.4
1.7

Seismicity Index
2b
3a
3b
1.0
1.0
1.0
1.0
1.0
1.0
1.2
1.1
1.0
1.2
1.0
0.9

4
1.0
1.0
1.0
0.9

Table 11. Site Coefficient Fv (AGIES NSE 2-10)

Site Class
AB
C
D
E

2a
1.0
1.7
2.0
3.2

Seismicity Index
2b
3a
3b
1.0
1.0
1.0
1.6
1.5
1.4
1.8
1.7
1.6
2.8
2.6
2.4

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4
1.0
1.3
1.5
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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

The criteria for the classification of the soils are shown in Table 12.
Table 12. Soil classification according to the AGIES NSE 2-10

Site Class
AB

Rock
Very dense soil or
soft rock
Rigid and stiff soil

Soft soil

Not applicable

Nnc
Not cohesive
sector
Not applicable

Suc
Not cohesive
sector
Not applicable

30

30

> 200 KPa

Vps
The whole profile

Np
The whole profile

750 m/s
750 to 360 m/s

360 to 180 m/s


30 to 5
30 to 5
200 to 50 kPa
< 180 m/s
5
5
< 50 kPa
Any soil profile with 3 meters thickness or more, with a plasticity index IP > 20,
humidity w 40% and Suc < 25 kPa

In order to calculate and plot the design spectra for Guatemala City it is used mainly the data
presented in Tables 8 to 11 and the rest of the parameters were assumed. The used data is shown in
Table 13 and the design spectra for the different type of soils are shown in Figure 15.
Table 13. Data used for the calculation and plotting of the design spectra for Guatemala City

Guatemala City
Seismic Index: 4 (Red)
Scale Factor: Extreme Earthquake
Site Coefficients: Varies depending of type of soil

1.50 g
0.55 g
1.00
Varies
Varies

From Table 8
From Table 8
From Table 9
From Table 10
From Table 11

Figure 15. Design spectra for Guatemala City for the different soil types

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2.3 Consideration of tsunami hazard and subsequent events


A tsunami is a large series of waves that travel through the ocean, which can cause great
destruction upon impact at the shoreline. Tsunamis travel across the ocean at speeds comparable to
commercial airplanes (500-650 miles per hour), but waves slow down when they approach the
shoreline. Subduction zone earthquakes produce the largest tsunamis. The change in sea height
recorded on the coast of Chile on February 27th, 2010, is shown in Figure 16. It is visible how the
tsunami waves continue for more than 12 hours. The later pulses decay with time, but the tsunami
signal is superimposed on the tides. For this earthquake, high tide occurred about 3-8 hours after the
earthquake (depending on the location of the tide gauge), so the highest water occurred in many
locations around 7 a.m. until 1 p.m. (Hinrichs, R., Jones, L., et al., 2011)

Figure 16. Water level recordings for tide gauges along Chilean coastline (Hinrichs, R., Jones, L., et al., 2011)

In the Figure 16 the red dots in the center of the map shows the location of hydrographs. The
graphs on the left shows water levels over 18 hours after the earthquake (the red line is the time of
the earthquake). The graph on the right is on an expanded time scale to see the first 6 hours. Note
that sea level fluctuations occurred all day, not just immediately following the earthquake. The
tsunami hit as neap tide was approaching, which is when the lowestlow tides occur. Therefore, the
largest tides came in when high tide was approaching, 38 hours later in some places. (Hinrichs, R.,
Jones, L., et al., 2011)

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2.3.1 Tsunami effects in Talcahuano


Talcahuano is the port city in the Bo-Bo Region, which contains the naval base. According to
the tide gauge record (NOAA, 2010), the first wave of tsunami reached Talcahuano at 3:30 (Local
time) with receded wave. After the arrival of first wave, the tide gauge at Talcahuano did not
successfully record the tsunami and stopped transmitting data. The CATOE (Centro de Alertamiento
Temprano y Oficina de Emergencia) reported that the tsunami attacked the coast at least four times
with its period of 45 to 60 minutes, and the fourth wave was the largest. (Koshimura, S., et al., 2010)
Figure 17 represents the result of tsunami inundation height measurement in Talcahuano. The
tsunami penetrated approximately 300 meters inland in the port-town area and more than 1
kilometer in the southern coastal marsh. The tsunami inundation reached to 6-8 meters in port-town
area and 10 meters in the coastal marsh. The Figure 17 also shows the comparison of pre and post
event satellite images in Talcahuano port (Figures 17b and 17c). Significant amount of containers and
fishing boats were left as tsunami debris, which caused long duration of failure of port and harbor
facilities. While the tsunami left considerable damage to the town of Talcahuano (eastern bottom of
the bay), no damage was found in the western port area (San Vicente). The measured tsunami run-up
height in San Vicente was 3.4 meters (Figure 17a). (Koshimura, S., et al., 2010)

Figure 17. Results of tsunami height measurments performed by Koshimura, S., et al., in 2010

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The detailed description (Koshimura, S., et al., 2010) of the Figure 17 is the following:
a) Result of tsunami height measurement in Talcahuano. The red line indicates the extent of
inundation zone which was obtained by the interview with CATOE (Centro de
Alertamiento Temprano y Oficina de Emergencia)
b) Damage in Talcahuano found in the post-event satellite image using WorldView-2
c) Satellite image of Talcahuano before the tsunami attack taken the 13th of April 2009, from
Google
d) Close-up view of port of Talcahuano. Grounded fishing boats and drifted containers were
seen
It is possible to see in Figure 18 some pictures taken in situ that show the amount of
destruction and debris after the Tsunami in Talcahuano. Significant damages had also the ship
industry as it is visible in the Figure 18d (Koshimura, S., et al., 2010).

Figure 18. Ground photos in Talcahuano taken by Koshimura, S., et al. in 2010

The detailed description (Koshimura, S., et al., 2010) of the Figure 18 is the following:
A)
B)
C)
D)

Tsunami debris and drifted containers in the coastal marsh


Erosion by the tsunami inundation found at the underpass
Overview of the coastal marsh inundated by the tsunami
Panoramic view of the coastal marsh from the hill

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2.3.2 Tsunami effects in Dichato


Dichato is a coastal village of approximately 3000 inhabitants, which belongs to the
municipality of Tome, located 37 kilometers north of the city of Concepcin. Having a beautiful sandy
beach, Dichato was very popular in summer for water sports and recreation. Attacked by the tsunami,
Dichato became one of the most devastated towns. According to Dichato-Tome Emergency office,
405 families living in camps, and 1223 families were affected on their properties. The tsunami
penetrated approximately 800 meters inland to 10 meters altitude (Koshimura, S., et al., 2010). The
Figures 19 and 20 illustrates the devastating damage in Dichato.

Figure 19. Pre and post event satellite images of the most devastated area in Dichato. Points A to G represent the position
of ground photos in Figure 11 (Koshimura, S., et al., 2010)

In the area of Dichato, most of the houses were washed away and the tsunami left
considerable amount of debris. According to one eyewitness who watched the tsunami from 8-story
building, the first wave of tsunami hit at 5:00 hours in the morning after most of the people
evacuated. In addition the tsunami attack was at least 3 times and the 3rd wave was the largest.
(Koshimura, S., et al., 2010)
Another eyewitness said that the tsunami did not come first from the sea, but from the
backside with not so much power (first wave). Number of fatalities and missing people was reported
as 66 and the surviving resident believe that most of the victims were not from Dichato, but tourists
or people from different regions, heart attack elders and homeless people. This is mainly because the
residents of Dichato knew about the possible tsunami after the earthquake and had evacuation drills.
(Koshimura, S., et al., 2010)

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Figure 20. Ground photos in Dichato taken by Koshimura, S., et al. in 2010

The detailed description (Koshimura, S., et al., 2010) of the Figure 20 is the following:
A)
B)
C)
D)
E)
F)
G)

Most devastated area. Only the unit of bathroom is remained


Most devastated area in Dichato
Damage on a bridge and erosion by tsunami inundation
Withstanding house, but significant damage
Drifted boat
Watermark on the house, approximately 2 meters of flow depth
Panoramic view of the town of Dichato

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2.4 Conclusions, basic principles and strategies


Conclusion 2.4.1:
The earthquakes in South and Central America are mainly produced by subduction. In South
America, the interaction between the Nazca and South American Plates defines the seismic
features of the region. In Central America, the interaction between the North American, Cocos,
Caribbean and Nazca Plates defines the seismic features of the region.
Basic principle 1:
Due to the fact that the seismic tectonic features between the two regions are similar, and also
because the Nazca plate interact within the two regions, a seismic features (including seismic
events) comparison is possible.
Conclusion 2.4.2:
The correct development of the earthquake resistant regulations plays an important role in
structural design. One of the reasons that the infrastructure in Chile had a good response during
the February 27th, 2010 Maule earthquake, was the good development of the Chilean Code. Even
after the earthquake (and because of the total failure of one building in Concepcin) a decree was
published changing several parameters related to the classification of the soils and the design
response spectra.
Basic principle 2:
It is important for a country to define and establish a proper earthquake resistant regulation. In
many countries in Latinamerica like Guatemala, the United States building and seismic codes are
currently in use, mainly because their own regulations are still being develop. The usage of
building codes and regulations from other countries may incur in incorrect analysis and
miscalculations.
Strategy 1:
In order to have a correct and appropriate response of the infrastructure at the time of a seismic
event it is important to define and establish a proper earthquake resistant regulation. In addition
it is important to follow it strictly. The precise fulfillment of the regulation will lead to
minimization of the structural damage and of course avoiding the total failure of the structure.
Conclusion 2.4.3:
The modifications in the Chilean code; NCh 433.0f.1996, mod.2009 after the decree published in
2011, reclassified the soil types more extensively. This classification allows having a more
accurate assignment of the response design spectrum for a specific project.
Conclusion 2.4.4:
The damage caused by the tsunami after the 2010 Maule earthquake was extensive especially in
coastal areas like Dichato or Talcahuano. The casualties were low, but the infrastructure damage
was high.
Basic principle 3:
The tsunami risk in Central America and especially in Guatemala is very low. Because of this, a
comparison between the tsunami damage is not dispensable in a Earthquake-Risk comparison
between the two regions.

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3. Building stock survey and typology


3.1 Lessons from past and recent earthquakes; Damage cases and typical
failure types
As it was defined before, the comparative study will be focused between two cities in the two
regions; Concepcin and Guatemala City. For performing an earthquake risk scenario, the analysis of
the damage cases and typical failure types from past earthquakes will be using the February 27th 2010
Maule earthquake.

3.1.1 Damaged buildings in Concepcin


Concepcin was located approximately 105 km away from the hypocenter of the February
27 , 2010 Maule Earthquake. The earthquake brought eight buildings into serious damage. One of
those buildings was completely collapsed. The review done by several authors after the seismic event
(Saito, T., Kono, S., Kusunoki, K., et al, 2011) is analyzed in the following section. Especial attention is
placed in the most affected buildings.
th

3.1.1.1 Salas 1343 Apartment Complex


This apartment complex was constructed in 2007 with 13 stories above ground and an
underground car park provided next to the building. The structure consists of two buildings arranged
in L shape and connected with an expansion joint shown in Figure 21. The apartment complex was
constructed with a middle corridor in planar shape with more wall volume in the ridge direction.
While the south side building was seriously damaged, the north side building was slightly damaged.
The south side building seems to have suffered torsional vibration caused by stiffness eccentricity
resulting from the many walls in the surrounding of elevators and staircases. (Saito, T., et al., 2011)

Figure 21. Damage of Salas 1343 Apartment Complex (Saito, T., et al., 2011)

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3.1.1.2 Libertad Tower


This structure is an RC wall flat slab structure constructed in 1973. The building has 17 stories
above ground and one basement (with no underground car park), of which the three lower floors are
occupied by commercial tenants and the fourth and above floors are used for housing. The Libertad
Tower is shown in Figure 22.

Figure 22. Libertad Tower (Saito, T., et al., 2011)

The machine room on the first basement was hardly damaged. The non-structural brick wall
collapsed more seriously on upper floors. (Saito, T., et al., 2011) The walls on the first and second
floors failed in flexural tension with the wall-end main reinforcement fractured or buckled. For a
better understanding the failure is shown in Figure 23.

Figure 23. Wall fracture of Libertad Tower (Saito, T., et al., 2011)

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While the building was damaged particularly on the walls in the northeast and southwest
directions, little damage was observed on the walls in the orthogonal direction. Like it is visible in the
different illustrations in Figure 24, the damage concentrated on the wall footing is likely attributable
to the lack of flexural strength of the T section web resulting from the respective bending
deformation of two multi-story shear walls arranged in parallel due to the limited floor slab area in
the staircase. (Saito, T., et al., 2011)

Figure 24. Failure mechanism in Libertad Tower (Saito, T., et al., 2011)

3.1.1.3 Alto Ro Building


This structure was a reinforced concrete apartment complex constructed in 2008 with 15
stories above ground and two basements (parking lot). The building completely fell down from the
base on the first floor. Figure 25 shows the appearance of all the reinforcing bars on the first floor
having been pulled out or cut down from the wall pillars and load-bearing walls on the first floor
during the overturning of the building. (Saito, T., et al., 2011)

Figure 25. Photos of Alto Ro building before and after the 2010 Maule Earthquake (Saito, T., et al., 2011)

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Conversely, little damage was observed on the underground end plane walls. As shown in the
plan view of Figure 26, the walls on the first floor and the basements (parking lot) are smaller than
those on the second and above floors in both length and volume. This fact may have resulted in the
damage particularly on the wall footing on the basements. (Saito, T., et al., 2011)

Figure 26. Difference in wall volume and layout among basement, first floor, and second floor of Alto Ro building
(Saito, T., et al., 2011)

3.2 Identification of regional variation of building types; classification into


vulnerability classes according to EMS-98 (European Macroseismic Scale)
The European Macroseismic Scale gathers the expertise of several European professionals.
The document itself suffered several changes from the first publication in 1992. The use of computer
based methods in the evaluation of macroseismic data finally contribute to a better definition of the
scale. The final aim of the scale is to differentiate the structures (buildings) into vulnerability classes.
The vulnerability table is shown in Figure 27, where the masonry types of structures are to be read as,
for example simple stone masonry. Also for example, the reinforced concrete (RC) structure types are
to be read as, RC frame or RC wall.
For the analysis of the building stock in both cities, Concepcin and Guatemala City, the
European Macroseismic Scale will be used to classify the structures into the vulnerability classes
described in the Figure 27. The answer to a possible question of why using a European scale in a
study between two cities in Latinamerica is simple: The EMS-98 was produced by experts from all
over the world, and like is visible in the section 5 of the EMS-98, the study cases came from
earthquake damage in buildings around the world.

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Figure 27. Vulnerability classes listed in the European Macroseismic Scale (EMS-98)

For the EMS-98 the word vulnerability is used to express differences in the way that buildings
respond to earthquake shaking. If two groups of buildings are subjected to exactly the same
earthquake shaking, and one group performs better than the other, then it can be said that the
buildings that were less damaged had lower earthquake vulnerability than the ones that were more
damaged, or it can be stated that the buildings that were less damaged are more earthquake
resistant, and vice versa. This is not necessarily the same as other uses of the word vulnerability in
other contexts.
Also the EMS-98 uses the intensity like a classification of the severity of the ground shaking on
the basis of observed effects in a limited area. Intensity scales, and the concept of intensity itself,
have been evolving through the course of the last century. From a pure hierarchical classification of
effects it has been tried, more and more, to develop intensity as a rough instrument for measuring
the shaking.

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3.3 Reinterpretation of building stock at time of damaging earthquakes,


collection of data and elaboration of damage statistics
The building stock in both Chile and Guatemala present some similarities. Nevertheless
obtaining data of the exact building stock is always quite difficult in Latinamerica. One of the biggest
challenges is to control the informal housing that is representative and increasing with time. To
obtain reliable data the best source is to consult the census and surveys. For this study the building
stock data in both cities will be extracted directly from the last information available in the population
and housing census and the information will be directly related to housing structures.

3.3.1 Building stock in Concepcin


Concepcin is a relatively small city in the Bo-Bo Region. With around 215,000 inhabitants
(preliminary results of the census 2012) the building stock is mainly represented by the types of
structures listed in the Table 14. The information is related to housing structures and extracted from
the information of the census of 2002 because the information of the census of this year 2012 is still
not available for the public.
Table 14. Representative building types in Concepcin (Chilean Census 2002)

No.
1
2
3
4
5
6
7

Material
Reinforced concrete
Clay brick masonry
Reinforced concrete block masonry
Wood
Adobe
Internit (panels made from cement, organic
reinforcements and natural aggregates)
Waste
Total

Percentage
32.0%
25.9%
2.0%
37.9%
0.2%
1.8%
0.2%
100.0%

3.3.2 Building stock in Guatemala City


In comparison with Concepcin, Guatemala City is quite big. With around 1,150,000
inhabitants (and around 4 million in the metropolitan area) the building stock is mainly represented
by the types of structures listed in the Table 15. The information is related to housing structures and
extracted from the information of the housing conditions survey in 2006 (ENCOVI 2006 by its
acronym in Spanish).
Table 15. Representative building types in Guatemala City (ENCOVI 2006)

No.
1
2
3
4
5
6
7

Material
Reinforced concrete
Clay brick masonry
Reinforced concrete block masonry
Wood
Adobe
Metal deck
Others
Total

31

Percentage
2.1%
3.7%
51.0%
13.2%
20.0%
4.2%
5.8%
100.0%

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3.4 Comparison and description of the building types


As is visible in the Tables 14 and 15 the percentages are different but the building types are
almost the same. For that reason a comparison of the building types between the two cities is
presented in the Annex 1. An especial format will be used for the comparison in which vulnerability
class, general information, composition of the structural elements and code specification are
described for the following building types:
Reinforced concrete
(Presented in Annex 1a)
Clay brick masonry
(Presented in Annex 1b)
Reinforced concrete block masonry
(Presented in Annex 1c)
Wood
(Presented in Annex 1d)
Adobe
(Presented in Annex 1e)

3.5 Identification of test site areas with typical building representatives


After the analysis of the building and the failure types, an earthquake risk scenario will be
performed for Concepcin. Taking the February 27th, 2010 Maule earthquake as the reference event,
it is important for the field research to identify the precise test site areas with typical building
representatives. The general idea is to generate a microzonation model using Concepcin as the study
case and after analyzing all the similarities with Guatemala City, establish the strategies and
recommendations for a future high seismic event.
As it visible in the GSHAP map of Chile shown in Figure 28, Concepcin is located in one of the
highest PGA areas of the country and as a first statement; the whole metropolitan area is suitable for
site measurements. Nevertheless the analysis should be refined and more specific. Representative
building types can be found in the city center and its neighborhoods, as is visible in Figure 29.

Figure 28. Seismic Hazard Map of Chile [2]

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Figure 29. Map of Concepcin and the possible location for site measurements

As is visible in Figure 29 the distribution of the building types is disperse, so it will be


necessary to take site measurements (in order to generate an accurate microzonation map) trying to
cover the entire urban area and also taking care of previous studies concerning the soil types and the
site geology.

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3.6 Conclusions, basic principles and strategies


Conclusion 3.6.1:
Because Concepcin was located approximately 105 km away from the hypocenter of the
February 27th, 2010 Maule Earthquake, the seismic event brought eight buildings into serious
damage. One of those buildings was completely collapsed. The building completely fell down
from the base on the first floor. All the reinforcing bars on the first floor were pulled out or cut
down from the wall pillars and load-bearing walls on the first floor during the overturning of the
building.
Conclusion 3.6.2:
The usage of the European Macroseismic Scale EMS-98 in a study between two cities in
Latinamerica is valid because the EMS-98 was produced by experts from all over the world, and
like is visible in the section 5 of that document, the study cases of earthquake damage are related
to many buildings around the world.
Basic principle 4:
International documents like the European Macroseismic Scale EMS-98 can be used worldwide in
a seismic vulnerability classification because they were wrote by experts from different countries
and also their study cases.
Conclusion 3.6.3:
Although is quite complicated to obtain the accurate information related to the building stock in
Latinamerica, the information contained in census and population surveys is useful. For this study
the information of the last population census in both cities were used to analyze the building
stock.
Strategy 2:
When is not possible to perform a building stock survey the best immediate source of information
are the population/housing census and surveys. Sometimes those studies doesnt present
accurate information related to the building stock, but they are a good starting point.
Conclusion 3.6.4:
The building types found in Concepcin and Guatemala City are quite similar. Moreover the
percentage differs between the two places, but the building types are similar and highly
comparable
Basic principle 5:
Even though the percentage of building types within two regions or cities are not close, it is
enough to have similar material and construction methods to run a comparison between them.
Strategy 3:
To proceed in a successful field research is necessary first to identify the precise test site areas
with typical building representatives to take measurements. Also after analyzing in the first place
the GSHAP map of a specific place, is necessary then to refine the area of analysis and search for
representative building types within the place and their neighboring places.

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4. Site and building response measurements


4.1 Collection of available profile data for test site areas
4.1.1 Sub-soil conditions and geology of Concepcin, Chile
The soils in Concepcin are classified in their majority as sands. Among these sands, there is
an especial sand called black clean sand, which is typical from the Bo-Bo River; gray silty sands,
found in different thickness layers in the central area of Concepcin, and layers of silt and fine silty
clay with sand, which are detected in the hills of the sector. Additionally to all of these, the water
factor has to be included, especially in coastal areas. The Figure 30 shows a Geotechnical map of
Concepcin and Talcahuano.

Figure 30. Geotechnical map of Concepcin and Talcahuano (Valenzuela Oportus et al., 2007)

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Concerning geology aspects, the city of Concepcin is built on Pleistocene to Holocene


sediments filling a fluvial basin that is constructed in a paleotopography created by a horst-graben
(graben is a depressed block of land bordered by parallel faults) structure (Assimaki et al., 2012). This
structure is associated to a set of NE-oriented normal faults that cut and displace a basement formed
by Upper Cretaceous to Pliocene Sedimentary rocks on top of Upper Paleozoic granitic bodies (Galli,
1967; Vivallos et al., 2010). The geological map of the area and a typical geological NW-SE cross
section (i.e., perpendicular to the main structures) are shown in Figures 31 and 32. This section and
the geological map show the sedimentary in-fill of the basin and its structural relationship with the 3
major crustal faults that run through the area.

Figure 31. Geologic map of Concepcin downtown area (adapted from Vivallos et al, 2010). Red are Paleozoic granitoids,
green are Upper Cretaceous sedimentary rocks, dark brownish are Paleocene sedimentary rocks, light brownish and
yellow are Pliocene to Holocene sedimentary deposits that fill the Concepcin basin. (Assimaki et al., 2012)

Figure 32. Geological cross-section used as forward density model to fit the observed gravity anomaly (points).
(Assimaki et al., 2012)

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4.1.2 Sub-soil conditions and geology of Guatemala City, Guatemala


Guatemalan geology is characterized by the presence of active volcanoes, rugged terrain in
the central cordillera, transform faulting, northern lowlands and extensive karst topography. Many of
these features are the result of an active history of subduction, associated arc volcanism, plate
collisions, ultra-high-pressure metamorphism, and deep-ocean basin or shallow-shelf deposition
within the general plate tectonic evolution of the Caribbean region. The geologic terranes that
compose Guatemala are best appreciated by evaluating the complex spatial and temporal evolution
of plate boundaries between the Pacific, Caribbean, and Cocos plates. Though the geologic history of
the Caribbean plate, and more specifically, Guatemala, remain poorly defined, the available studies
illustrate a dynamic and complicated area of ongoing interest and debate.
Guatemala is centrally located within an area of active plate convergence and transformed
plate motion. The Middle American Trench is located along its southwest coast, formed by the Cocos
plate subducting beneath the North American-Caribbean plates. The transverse plate boundary
between the Caribbean and North American plates transects Guatemalas central region. Modern-day
plate configurations can explain many of the geologic and geomorphic features of Guatemala, though
regional variations in its geology are largely attributed to the older stages of the tectonic and volcanic
evolution. The Figure 33 shows the geological map of the entire country.

Figure 33. Geological map of Guatemala (Velsquez Jofre, 2011)

Concerning the sub-soil conditions, Guatemala City is settled on a structural graben,


controlled fundamentally by the fault system Motagua-Polochic. This valley formed by this graben is
delimited on the west by the Mixco fault zone, on the east by the Santa Catarina fault zone, on the
south by the Pacaya volcano and the Amatitln basin and on the north by Cretaceous rocks mainly
limestone and granite. It can be distinguish the following geotechnical units based on existing
geological maps.

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Alluvial River Quaternary Deposits:

These are unconsolidated Holocene alluvial sediments, including gravels, sands, silts and clays
derived from pyroclastic and lava, forming elongated layers of thicknesses up to 25 meters. The main
outcrops are presented in the delta of the Villalobos River in the Amatitln Lake, which represents the
largest accumulation of alluvial sediments; the urban center of Villa Canales, in the hamlet called El
Frutal. Also they are present in the riverbed of Las Vacas River, but as this is a younger riverbed and
with a lower flow rate, both their thickness and spatial distribution are smaller than the ones of the
Villalobos River. Due to recent deposition conditions of these lands, they have been assigned with the
classification E.

Quaternary Pumice Deposits:

Formed by pyroclastic deposits due to flow or downfall; mainly pumice, ashes and sands.
These tephras form layers or continuous units of consistent thickness and that doesnt vary with the
topographic elevation. This deposits form layers of thickness between 0.5 and 10 meters, which vary
slightly between each unit. In general, these units are the main sedimentary cover of the Valley. In
fact, the pyroclastic filling presents thicknesses ranging between 5 and 250 meters. Regarding the
outcrops points, it is possible to say that in almost any point within the graben of the Valley of
Guatemala. Considering their general geotechnical consolidation, this unit has been assigned with the
classification C.

Tertiary Volcanic Deposits:

These are rocks of different composition and formation: andesitic lavas, basaltic, vitric and no
vitric welded tuffs. These rocks have been considerably affected by the developed tectonics (TertiaryQuaternary) which resulted in the fracturing seen in them. This unit outcrops in the eastern and
western margins of the graben of the Valley of Guatemala: Choacorral, Buena Vista, Labor de Castila;
high areas within the graben: Cerro El Naranjo and Cerro Gordo. These units are healthy consolidation
rocks, so the assigned classification is B. A similar range of consolidation, but from different geological
origin, which constitute the sedimentary Cretaceous rocks, present north of the graben, have been
identified as units type B'.
Table 16. Classification of the geotechnical units in Guatemala City (Flores Beltetn et al., 2001)

Profile
Type
B
B'
C
E

Description
Tertiary Volcanic Deposits. Rocks between normal and medium fractured, especially
in the east and west margin of the graben.
Cretaceous Sedimentary Rocks. Consolidation rocks very similar to the previous one
but of sedimentary origin. They are present on the north margin of the graben.
Quaternary Pumice Deposits. Pyroclastic deposits mainly formed by pumice, ashes
and sands. They are present in almost all the Valley.
Alluvial River Quaternary Deposits. Alluvial sediments of recent age, not
consolidated, including gravels, sands, silts and clays derived from pyroclastic
present in the zone.

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Figure 34. Geographical distribution of the different geotechnical units that cover Guatemala City
(Flores Beltetn et al., 2001)

4.2 Identification of suitable measurement sites (taking into account


particularities of observed damage cases)
4.2.1 Case of study: Concepcin, Chile
Concepcin was one of the most devastated cities in Chile after the February 27th, 2010
Maule Earthquake and the extensive damage in the downtown area is potentially associated with site
and/or basin effects. (Assimaki et al., 2012) In order to perform an appropriate analysis and to
estimate the site dynamic characteristics, the interpretation of the observed damage cases is
important for defining suitable measurement sites.
The damage pattern observed during the 2010 event was very similar to the distribution
during the 1960 earthquake, for the most part concentrated in the downtown (Galli et al., 1963); in
both events, the bridges across the Bo-Bo river collapsed. Focusing on the 2010 event, Concepcin
had seven distinct zones in which buildings and/or bridges collapsed catastrophically. Six of these
seven zones are longitudinal in shape and oriented somehow parallel to the major faults that form
the basin configuration, like it is shown in Figure 35. (Assimaki et al., 2012)

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Figure 35. Damaged sections in downtown Concepcin; 6 out of 7 are parallel to major faults. (Assimaki et al., 2012)

The damage is primarily correlated with the location of old lagoons that were artificially filled
(non engineered) to increase usable surface on the city (Galli, 1967), similarly to the Texcoco lake in
Mexico on which Mexico city was subsequently founded; strong correlation was also noted between
the thickness of the sediments and the level of structural damage (Vivallos et al, 2010).
La Plvora Fault (see Figure 36) defines the NW edge of the south sub-basin where the
majority of the buildings are located; the rest of the damage in Concepcin was on the Tertiary
sediments between the La Plvora Fault on the north, the Chacabuco Fault to the south and the Lo
Pequn Fault to the east.
The fundamental periods for 46 surveyed buildings after the event were calculated by
Giuliano and Parodi (2011). The average period for the structures that suffered extreme damage is
0.68 seconds; for the severely damaged ones is 0.50 seconds; for the moderately damaged 0.38 sec;
and for the low to no damaged ones is 0.37. Hence, the softer soils on or near the artificial fills
combined with longer period structures contributed to the increase in structural performance
demand and the consequent severe structural damage.

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Figure 36. Inspected buildings and damage level in downtown Concepcin, superimposed on geology map of the region.
Red box depicts the location of two adjacent buildings, one collapsed and one that suffered minor damage.
(Assimaki et al., 2012)

A striking example of the role of site conditions and soil-structure interaction in the seismic
performance of structures is described as follows. Two adjacent multi-story structures were inspected
during reconnaissance close to the Llacoln Bridge in downtown Concepcin (see location in Figure
37), one fully collapsed during the 2010 event and the other suffered minor damage and is currently
being repaired. The 15-story collapsed building (Alto Ro) was designed using Site Type II (before the
decree 61) on shallow foundation, and the one that did not collapse using Site Type III on pile
foundations, which implies a higher design spectrum. While there is no evidence that the soil
conditions are indeed different at the locations of the two structures (distance between them of
approximately 20 meters), the difference in design spectra values may have played an important role
in the failure of the building; according to the Chilean design code, the design spectral value for Type
III soil conditions relative to Type II is 2.78 for period T = 1 sec and 2.47 for period T = 2 sec. The
photographs of the two buildings are shown in Figure 38.

Figure 37. Locations of two adjacent buildings designed using different site conditions in Concepcin
(map and aerial view). (Assimaki et al., 2012)

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(a)
(b)
Figure 38. (a) Collapsed structure designed using Soil Type II conditions and (b) 20-story structure adjacent to collapsed
designed using Soil Type III conditions, and suffering only minor damage (Assimaki et al., 2012)

Overall, damage in Concepcin was observed mainly on the valley, while the damage intensity
on the hillsides was lower. This suggests that topographic amplification was not a predominant cause
of damage at this location. While this does not imply that topography effects did not play a role in the
damage distribution, it does suggest that if they did, it was less relevant to seismic demand than the
stiffness of the subsurface sediments or basin effects.

4.2.2 Estimation of the site dynamic characteristics


After the analysis of several damage cases and in order to estimate the site dynamic
characteristics of Concepcin, the Nakamura method was followed. Nakamura (1989, 2000)
popularized the use of the horizontal to vertical spectral ratio -HVSR- from microtremors or ambient
noise measurements as an effective and economic tool to estimate the fundamental vibration period
of the soils. For this study the final aim was to collect data to carry out risk scenarios and generate a
microzonation map of the studied area. To predict reliable damage distributions it is necessary to
consider the local subsoil conditions.
In the field research performed during May 2012 in Chile, they were selected several places to
obtain the ambient noise measurements. The measurements were done trying to cover the entire
urban area of Concepcin. An image of the measured points is shown in Figure 39 and the
coordinates of the places are shown in Table 17.
For obtaining the ambient noise measurements was used a velocity sensor (MR2002) from
SYSCOM Inc. (Figure 40a). The measurements were done on a free accessible point not affected by
the vibration of tall buildings and trees. To reduce the influence of the wind, the sensor was installed
in a small hole covered by a bucket (Figure 40b). At each point was measured 20 minutes. A protocol
was written for each measured point including the date, time, GPS coordinates, description of the
location, any special incident and finally a picture was taken.

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Figure 39. Image of the measured points in Concepcin, Chile


Table 17. Location and name of the measured points in Concepcin, Chile
Test
Location
Name
1
S 36.82257 W 73.01077
Uni Bio Bio
2
S 36.82663 W 73.01363
Park Los Lirios
3
S 36.82735 W 73.03413
UdeC 1
4
S 36.83487 W 73.03275
UdeC 2
5
S 36.83120 W 73.04353
Ecuador Park 1
6
S 36.83445 W 73.05146
Ecuador Park 2
7
S 36.82270 W 73.06409
Av. Padre Hurtado
8
S 36.82024 W 73.02229
Lagos de Chile
9
S 36.81502 W 73.03047
Jurasic Park
10
S 36.81747 W 73.02032
Estadio Militar
11
S 36.82708 W 73.01588
Los Lirios 1
12
S 36.82934 W 73.00988
Los Lirios 2
13
S 36.82557 W 73.00856
River 1
14
S 36.83212 W 73.06382
Barrio Estacin
15
S 36.82701 W 73.05067
Plaza Central
16
S 36.82104 W 73.06004
Plaza Cruz
17
S 36.81567 W 73.05247
Manuel Rodriguez
18
S 36.81956 W 73.04669 Remodelacin Paicavi
19
S 36.81485 W 73.04652
Tres pascualas
20
S 36.81760 W 73.04312
Condell Park
21
S 36.80669 W 73.04133
Barrio Norte
22
S 36.80190 W 73.04141
Autopista
23
S 36.79805 W 73.03034 Diecinueve de Febrero
24
S 36.80986 W 73.06291
Cerro El Golfo
25
S 36.80674 W 73.06990
Los Boldos
26
S 36.81354 W 73.06841
Laguna Redonda

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(a)

(b)
Figure 40. (a) View of the equipment. The velocity sensor was placed in a small hole
(b) Final view of the installation of the equipment and data collection process

An example of the final result of the ambient noise measurement is shown in the Figure 41.
The software produces one time history for every minute that was measured.

Figure 41. Microtremor or ambient noise measurement of a random test

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4.2.2.1 Nakamura H/V ratio technique


The technique of Nakamura (1989) is widely used to obtain quick microzonation map of any
large urban area with the use of microtremor or ambient noise measurements for the estimation of
resonance frequency and site-effects. This technique is based on the assumptions for the
fundamental characteristics of microtremors. Usually it is assumed that the transfer function of
surface layers can be given by the ratio:
=

(11)

Where HS and HB correspond to the Fourier amplitude spectra of the horizontal components
of the surface and substratum movement of the soil. However taking into account the contribution of
Rayleigh wave propagation for the ambient noise is necessary to convert the ratio HS/HB in order to
estimate a transfer function for microtremor measurements. Assuming that the vertical tremor is
not amplified by the surface layers (Figure 42) the ratio ER defined in equation 12 should represent
the effect of the Rayleigh wave on the vertical motion:
=

(12)

Figure 42. Illustration of the simple model assumed for the interpretation of microtremor H/V ratio as defined by
Nakamura (1989)

Assuming that the effect of the Rayleigh wave is equal for vertical and horizontal components
it is possible to define a corrected modified spectral ratio :
=

(13)

As a final condition it is assumed that for all frequencies of interest that:

=1

(14)

Thus, an estimate of the transfer function is given by the spectral ratio between the
horizontal and the vertical components of the motion at the surface:
=

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4.2.2.2 Calculation of the HVSR for the measured points


For calculating and plotting the horizontal to vertical spectral ratio -HVSR-, the analysis of the
recordings of the 26 points was done in the following way:
a) Conversion of the collected data into ASCII format using a code in the cmd domain
b) Conversion into the frequency domain by the FFT algorithm using a MATLAB code
c) Determination of the H to V values with the equation 16 using a MATLAB code
+ ()
2 ()
d) Determination of mean and fractile values using a MATLAB code
/ =

(16)

The Annex 2 provides the MATLAB code used for the calculations and in the Annex 3 it is
shown the horizontal to vertical spectral ratios for all the measurements. For the understanding of
the final numerical results shown in the Table 18, in the Figure 43 it is shown the horizontal to vertical
spectral ratios of the Test 2 and Test 23 as well as the selected values of the Amplitude and the
Frequency.

Figure 43. Horizontal to vertical spectral ratio -HVSR- from Test 2 and Test 23
Table 18. Final results of the performed measurements

Test
1
2
3
4
5
6
7
8
9
10
11
12
13

Frequency
[Hz]
1.00
0.62
1.03
2.75
0.60
7.00
0.60
1.01
1.08
0.46
1.04
0.50
0.62

Amplitude

Test

5
4.3
4.5
4.7
3.7
4.8
4.5
3.5
6.3
5.0
2.8
4.2
6.0

14
15
16
17
18
19
20
21
22
23
24
25
26

46

Frequency
[Hz]
0.36
0.43
0.68
0.80
0.50
0.97
0.40
1.01
1.03
0.55
1.03
0.69
1.06

Amplitude
5.5
5.7
4.0
5.0
4.8
6.7
6.6
8.0
4.5
8.0
3.3
4.2
6.5

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

To check if the frequencies obtained are somehow similar with the values calculated by
another authors, a comparison with the results from a similar study performed by Leyton et al. in
2011 is presented. After processing all the measurements Leyton et al. classified their results into 6
groups, as it is shown in Figure 44, having the following preliminary classification:
a)
b)
c)
d)
e)
f)

A small amplitude peak (ranging from 3 and 5), with frequency between 1.5 and 2.5 Hz
A small amplitude peak, with frequency above 2.5 Hz
A small amplitude peak, with frequency below 1.0 Hz
A large amplitude peak (above 5), with frequency between 0.5 and 1.0 Hz
A large amplitude peak, with frequency between 1.0 and 1.5 Hz
A large amplitude peak, with frequency between 1.5 and 2.5 Hz

Figure 44. Taxonomy of HVSR curves observed in Concepcin urban area (see text for details). (Leyton et al., 2011)

The Figure 45 shows the location of the measured points by Leyton et al., and their respective
HVSR results. The figure is an aerial photograph showing additionally the surface geology (modified
from Galli, 1967) and their acronyms are explained in the Table 19. The stars in the map mark the
location of severely damage buildings after the February 27th 2010 Maule earthquake. Circles show
the location of the measurements, with the color proportional to the predominant frequency (see
legend) and the size to the HVSR amplitude.
Table 19. Definition of the surface geology (Leyton et al., 2011)

Acronym
Eocc
La
Pzg
Qtc
Qtfb
Ra

Description of the Acronym


Sandstones and continental lutites with coal lenses
Lake
Granitic rocks (tonalities)
Colluvial deposits
Bio-Bo sands
Anthrophic fills (artificial deposits)

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Figure 45. Location of the measurements done by Leyton et al. for comparison. (Leyton et al., 2011)

The Figure 46 shows the approximated location of the measured points by Leyton et al.,
(approximated because of the lack of the exact coordinates) together with the measured points of
the present study. The aim of placing the measured points together is to show in the map of
Concepcin which measurements can be compared. It is visible that only a few measurements were
done in the same place, or at least near to each other, making the comparison of some measured
points not possible. In the Table 20 is described which of the measurements can be compared and the
Figure 47 shows the comparison of the horizontal to vertical spectral ratios -HVSR-, taking into
account the HVSR curves of the Figure 44 by Leyton et al. and the results of the present study.

Figure 46. Location of the measured points by Leyton et al., together with the measured points of this study

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Test
3
15
17
18

Table 20. Compared measured points


This study
Leyton et al., 2011
Frequency
Surface
Comparison with the
Amplitude
[Hz]
Geology
frequency range [Hz]
1.03
4.5
Ra*
1.50 - 3.00
0.43
5.7
Qtfb*
0.20 - 1.00
0.80
5.0
Qtfb*
1.00 - 1.50
0.50
4.8
Qtfb*
0.20 - 1.00
*Definition of the acronym in Table 19

(a)

Comments
Compared with Figure 44c
Compared with Figure 44d
Compared with Figure 44d
Compared with Figure 44c

(b)

(c)
(d)
Figure 47. Comparison between HVSR of (a) Test 3 and the Figure 44c (b) Test 15 and the Figure 44d (c) Test 17 and the
Figure 44d and (d) Test 18 and the Figure 44c

The final numerical comparison between the measurements taken in Concepcin and the
results presented by Leyton et al. in 2011 are presented in Table 21. The conclusion is that the
measurements and results of the present study are more or less similar to the results presented by
Leyton et al., in 2011. Only the result from the Test 3 differs considerably, because as it is visible in
description of the Figure 44c, the frequency should be below 1.0 Hz, and there is not a HVSR
presented in the results of Leyton et al., that includes the range from 1.0 Hz to 1.5 Hz to compare
with.

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Table 21. Final numerical comparison between the results of Leyton et al., 2001 and the present study
This study
Leyton et al., 2011
Condition of the comparison
Test
Frequency
Frequency
(See Figure 44)
Amplitude
Amplitude
[Hz]
[Hz]
A small amplitude peak (between 3 and 5),
3
1.03
4.5
0.85
4.5
with frequency below 1.0 Hz
A large amplitude peak (above 5), with
15
0.43
5.7
0.58
6.7
frequency between 0.5 and 1.0 Hz
A large amplitude peak (above 5), with
17
0.80
5.0
0.58
6.7
frequency between 0.5 and 1.0 Hz
A small amplitude peak (between 3 and 5),
18
0.50
4.8
0.85
4.5
with frequency below 1.0 Hz

4.2.3 Final microzonation map of Concepcin


As it was described before, the final aim of the site measurements and calculations of the soil
frequencies was to generate a microzonation map of Concepcin in function of the soil type. With the
calculated frequencies is possible to obtain the fundamental period of the soil and using the
parameters that depends on the soil type described in the modification of the Chilean Code after the
February 27th 2010 Maule earthquake (as is described in the Chapter 2 of this document), the
procedure was the following:
a) Calculate the fundamental periods of the 26 points using the following equation:
=

(17)

b) Calculate the period ranges for classify the soils. For this purpose was used the data
shown in the Table 6.3 of the Chilean Code. It is important to mention that T0 and T are
described in the Chilean Code (as is written in the Chapter 2 of this document) just like
parameters that depends on the soil type. The Table 22 shows the calculation of the
period ranges and the Table 23 shows the description and the final values of the period
ranges for the classification of the soils.
Table 22. Calculation of the period ranges

Soil Type

T0
[sec]

T'
[sec]

A
B
C
D
E

0.15
0.30
0.40
0.75
1.20

0.20
0.35
0.45
0.85
1.35

0 +
2

[sec]
0.18
0.33
0.43
0.80
1.28

Table 23. Final ranges for the classification of the soils in function of the fundamental period

Soil Type
A
B
C
D
E

Description
Rock, cemented soil
Soft or fractured rock, very dense or very strong soil
Dense or strong soil
Moderately dense or moderately strong soil
Medium compactness or medium consistence soil

50

Range of Periods [sec]


T 0.18
0.19 T 0.33
0.34 T 0.43
0.44 T 0.80
0.81 T

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

c) Classify the soils in function of their fundamental period. The final classification is shown
in the Table 24.
Table 24. Classification of the soils in function of the fundamental period

Test
1
2
3
4
5
6
7
8
9
10
11
12
13

Frequency [Hz]
1
0.62
1.03
2.75
0.6
7
0.6
1.01
1.08
0.46
1.04
0.5
0.62

Period [Sec]
1.00
1.61
0.97
0.36
1.67
0.14
1.67
0.99
0.93
2.17
0.96
2.00
1.61

Soil Type
E
E
E
C
E
A
E
E
E
E
E
E
E

Test
14
15
16
17
18
19
20
21
22
23
24
25
26

Frequency [Hz]
0.36
0.43
0.68
0.8
0.5
0.97
0.4
1.01
1.03
0.55
1.03
0.69
1.06

Period [Sec]
2.78
2.33
1.47
1.25
2.00
1.03
2.50
0.99
0.97
1.82
0.97
1.45
0.94

Soil Type
E
E
E
E
E
E
E
E
E
E
E
E
E

It is visible that the majority of the points are classified in the range E (Medium compactness
or medium consistence soil). For this reason a sub-classification of the soil type E is proposed in this
study. The parameter of the proposed sub-classification will be period ranges of 25 minutes as it is
described in Table 25 and the final classification of the soils for the generation of the final
microzonation map is shown in Table 26.
Table 25. Sub-classification of the soil type E

Soil Type
E1
E2
E3
E4
E5

Range of Periods [sec]


0.81 T 1.05
1.06 T 1.30
1.31 T 1.55
1.56 T 1.70
1.71 T

Table 26. Final classification of the soils with the proposed sub-classification

Test
1
2
3
4
5
6
7
8
9
10
11
12
13

Period [Sec]
1.00
1.61
0.97
0.36
1.67
0.14
1.67
0.99
0.93
2.17
0.96
2.00
1.61

Soil Type

E1
E4
E1
C
E4
A
E4
E1
E1
E5
E1
E5
E4

Test
14
15
16
17
18
19
20
21
22
23
24
25
26

Period [Sec]
2.78
2.33
1.47
1.25
2.00
1.03
2.50
0.99
0.97
1.82
0.97
1.45
0.94

Soil Type

E5
E5
E3
E2
E5
E1
E5
E1
E1
E5
E1
E3
E1

After all the procedure described in the previous paragraphs and tables, the final
microzonation map is shown in Figure 48.

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Figure 48. Final microzonation map for Concepcin, Chile (Map generated using MapInfo Professional 10.5)

4.3 Measurement of building response of representative building types;


analysis of recorded data
In order to have parameters of calibration for the numerical models of some buildings in
Concepcin, the same procedure to measure the ambient noise was followed. With the final objective
of obtaining the fundamental period of the building, measurements in 3 different places within the
structure (lower basement, middle storey and highest storey) were taken as it is shown in Figure 49.

Figure 49. Places where the measurements were taken in the building "Concepto Urbano"

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

It is important to mention that selecting the reinforced concrete structures was one of the
most difficult tasks in the field research. One of the biggest issues was to obtain the structural
drawings. In addition to this fact, after obtaining the structural drawings, the other problem was to
get access into the buildings. At the end the Table 27 lists the buildings which will be analyze and the
Figure 50 shows the location of the buildings.
Table 27. List of the reinforced concrete buildings in Concepcin for further analysis

Building
Name
1
Concepto Urbano
2
Plaza Mayor III
3
Milenium II
4
Hotel Aurelio II

Storeys Basements
Address
23
2
Orompello 129
16
1
Manuel Rodrguez esq. Colo Colo
15
2
San Martn 553
10
1
Salas 135

Figure 50. Location of the reinforced concrete buildings in Concepcin for further analysis

After having the ambient noise measurements, the procedure for calculating the frequencies
of the structures will be different than the one followed on the site measurements, mainly because in
this case the horizontal to vertical spectral ratio -HVSR- will not be used.
There are some reasons for not using the -HVSR- and one of the most significant is that the
vertical component has no relation when calculating the fundamental period of a structure (The
Nakamura method is used for calculating frequencies in soils and not used in structures). Moreover
only the horizontal components of the measurements will be used (after the transformation of the
ambient noise measurements with the Fast Fourier Transform -FFT-) in the North-South (NS) and
East-West (EW) directions.

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In addition to all the statements wrote before, another situation that needs to be analyzed is
the following; within the procedure to calculate experimentally the period of a structure using
sensors or accelerometers, a reference point should be taken. For example, when one structure has
been instrumented with triaxial accelerometers; one reference accelerometer (taken as a free-field
station) can be located in a place outside the structure. This last one will be used as a reference point
to have a parameter of comparison. The situation in this study is different because only one velocity
sensor was used to take the measurements with no reference point. For all these reasons in this
experimental study the measurements taken in the lowest basement will be used as the reference
point for the calculations.
It is important then to show the order in which the ambient noise measurements were taken.
As is visible in the Figure 51, the measurements were taken first in the highest storey, secondly in the
middle storey and finally in the lowest storey. The numbers of the tests also indicate the ascendant
order of the measurements.

Test 1

Highest
Storey

Test 2

Test 3

Middle
Storey

Test 4

Test 5

Lowest
Basement

Test 6

Figure 51. Order of the ambient noise measurements

Trying to follow the procedure described before and showed in the Figure 51, it is very
important to mention that for making the measurements inside the buildings the following situations
(that can influence in the results) were found:

The four buildings are irregular. That means it was no possible to take the measurements in a
perfect imaginary vertical line like it is shown in the Figure 51.
In all the buildings exists inaccessible places within the storeys and the basements. This
situation made also not possible to respect again the scheme of Figure 51. This last situation
can be viewed in a better way in the Figures 52 to 55.

In the Figures 52 to 55 it is shown with red circles the specific location of the measurements
within the four buildings listed in Table 27.

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Test 1 and 2 in storey 22

Test 3 and 4 in storey 11

Test 5 and 6 in the lowest basement


Figure 52. Location of the measured points in Concepto Urbano building

Test 1 and 2 in storey 16

Test 3 and 4 in storey 7

Test 5 and 6 in the lowest basement


Figure 53. Location of the measured points in Plaza Mayor III building

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Test 1 and 2 in storey 15

Test 3 and 4 in storey 7

Test 5 and 6 in the lowest basement


Figure 54. Location of the measured points in Milenium II building

Test 1 and 2 in storey 8

Test 3 and 4 in storey 22

Test 5 and 6 in the lowest basement


Figure 55. Location of the measured points in Hotel Aurelio II building

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As an example of the calculations of the frequencies it will be used the case of the Concepto
Urbano Building. For obtaining the fundamental period of the structure, the analysis of the
recordings were done in the following way:
a) Conversion of the collected data into ASCII format using a code in the cmd domain
b) Conversion into the frequency domain by using FFT algorithm using a MATLAB code
c) Calculation of the frequency values dividing the results of the FFT values (in both North-South
(NS) and East-West (EW) directions) of the tests 1 to 4 between the FFT values of the tests 5
and 6 using a MATLAB code
d) Calculation of the period of the structure using equation 17 of this document.
The Annex 4 provides the MATLAB code used for the calculations and in the Annex 5 it is
shown the spectra used for the calculation of the frequencies.
The Figure 56 shows some of the final FFT calculated spectra of the Concepto Urbano
building (choose randomly). As is visible in the spectra the first peaks of the amplitudes have a similar
behavior (In both North-South (NS) and East-West (EW) directions). This parameter will be used then
for selecting the frequencies.

Figure 56. Calculated FFT spectra for Concepto Urbano building

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It is difficult to assure that the highest peak in the spectra shown in Figure 56 will lead to a
reliable value of the frequency and then also to a reliable value of the period. Because of that fact,
the first two peaks were chosen to calculate the frequencies. In addition to have a comparison
parameter, the final fundamental vibration period of the structure will be calculated using the
following empirical equation extracted from the Table 12.8-2 of the ASCE/SEI 7-10:
= 0.0466 0.9

(18)

Where:
:
:

Fundamental vibration period of the structure


Height of the structure in meters

The Table 28 shows the calculated values of the fundamental vibration period for the selected
buildings, using the empirical equation.
Table 28. Calculated values of the fundamental vibration period using the empirical formula

Building
1
2
3
4

Name
Concepto Urbano
Plaza Mayor III
Milenium II
Hotel Aurelio II

Storeys
23
16
15
10

Height [m]
60.32
42.15
36.8
29.79

Calculated Period [sec]


1.87
1.35
1.20
0.99

After calculating the 16 spectra for the Concepto Urbano building, the final results of the
selected frequencies and the calculation of the experimental fundamental vibration period are shown
in Table 29.
Table 29. Calculation of the period of the "Concepto Urbano" building

Building 1: Concepto Urbano

Direction

NS

EW

Operation

Selected
Frequencies
[Hz]

1 + 2
2

=
8
[Hz]

Periods [sec]

1.13

TNS = 0.88

[Hz]

Test 1/Test 5

0.70

1.00

0.85

Test 2/Test 5

0.72

1.01

0.87

Test 3/Test 5

0.70

1.60

1.15

Test 4/Test 5

0.71

1.30

1.01

Test 1/Test 6

0.96

1.70

1.33

Test 2/Test 6

0.91

1.70

1.31

Test 3/Test 6

0.80

1.80

1.30

Test 4/Test 6

0.88

1.60

1.24

Test 1/Test 5

0.72

1.10

0.91

Test 2/Test 5

0.73

1.00

0.87

Test 3/Test 5

0.52

1.00

0.76

Test 4/Test 5

0.60

1.00

0.80

Test 1/Test 6

0.76

1.00

0.88

Test 2/Test 6

0.70

1.00

0.85

Test 3/Test 6

0.60

1.00

0.80

Test 4/Test 6

0.58

1.10

0.84

58

+
2

Experimental
period [sec]

1.04

0.84

TEW =1.19

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As it is visible in Table 29, the value of the calculated experimental fundamental vibration
period is considerably lower than the value calculated using the empirical equation. The same
procedure of the calculation of the experimental fundamental vibration period will be followed for
the measured buildings and the final results are shown in Table 30.
Table 30. Final comparison between the calculated empirical and experimental fundamental vibration period

Building
1
2
3
4

Name
Concepto Urbano
Plaza Mayor III
Milenium II
Hotel Aurelio II

Empirical Period [sec]


1.87
1.35
1.20
0.99

Experimental Period [sec]


1.04
0.93
0.84
0.50

As it is visible in the Table 30, the values of the empirical fundamental vibration periods are
higher that the experimental values. Because there are no precedents in calculating the fundamental
period with the experimental method performed, the highest fundamental vibration period will be
used (between the values of the empirical and experimental period) for the calibration of the
numerical models in the following chapter.

4.4 Calculation of fundamental vibration periods of RC buildings in


Concepcin by other authors
Some research papers were recently published related to the response of Reinforced
Concrete buildings in Concepcin during the February 27th, 2012 Maule Earthquake. For this study
especial attention will be placed on the publication done by Westenenk, B., et al., 2012 on the
Earthquake Engineering Research Institute -EERI- Professional Journal, because in that paper the
response of eight RC buildings in Concepcin were analyzed and also the fundamental vibration
period was calculated. Table 31 shows some information of the analyzed buildings and the Figure 57
shows the location of the analyzed buildings in this study and the analyzed buildings by Westenenk,
B., et al., 2012. Also in the Annex 6 it is presented the sketch of the structural drawings and
photographs of the analyzed buildings.
Table 31. Analyzed buildings by Westenenk, B., et al., 2012.

ID

Number of Storeys

Year built

Latitude

Longitude

AA-1
AH-2
CM-3
TL-4
PR-6
PP-7
RT-8
TO-9

20 +1 basement
15 + 2 basements
18 + 1 basement
17 + 1 basement
12
10
10
21 + 2 basements

2002
2009
2005
1973
2006
2004
2006
2008

S 364906.98
S 365012.45
S 364906.98
S 364942.70
S 364914.42
S 364746.81
S 364744.29
S 364945.97

W 730228.44
W 730606.97
W 730241.49
W 730310.62
W 730342.90
W 730505.77
W 730505.67
W 730318.45

Soil Type
(before the decree
61 of 2011)
II
III
II
III
III
III
III
III

The eight buildings use reinforced concrete bearing walls as the seismic-force-resisting
system. The number of storeys above grade ranges from 10 to 21. The classification of the soil types
were done with the tables of the Chilean Code The NCh 433.0f.1996, mod.2009 before the decree 61
of 2011.

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Figure 57. Location of the analyzed buildings in this study (green items)
and the analyzed buildings by Westenenk, B., et al., 2012. (yellow items)

It is important to mention that in the paper presented by Westenenk, B., et al., 2012, it is
written that the periods showed in Table 32 can be considered as a lower bound of the true building
periods. In that study, the index period estimate T = ns/20 gives period estimate longer than the
fundamental period calculated by ETABS.
Table 32. Calculated fundamental periods by Westenenk, B., et al., 2012

ID
AA-1
AH-2
CM-3
TL-4
PR-6
PP-7
RT-8
TO-9

Tx [sec]
0.62
0.70
0.56
0.61
0.50
0.23
0.22
0.93

Ty [sec]
0.71
0.58
0.80
0.77
0.33
0.36
0.34
0.53

T [sec]
0.58
0.78
0.68
0.88
0.39
0.27
0.24
0.28

The calculated values of the fundamental period by Westenenk, B., et al., 2012 differs
considerable from the experimental values calculated for the four analyzed buildings in this study. In
addition that the numbers of storeys of the RC buildings are different, in the study performed by
Westenenk, B., et al., 2012 it was not performed an experimental method to calculate the periods
and only the results calculated by ETABS were presented.

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4.5 Conclusions, basic principles and strategies


Conclusion 4.5.1:
The final results in the present study, of the horizontal to vertical spectral ratios -HVSR- after the
measurements taken in 26 points in the urban area of Concepcin, are quite similar to the results
presented by Leyton et al., in a study published in 2011. Within the comparison, only the result
from the one test differs considerably, and just because there is not a frequency range to
compare with.
Conclusion 4.5.2:
Using the parameters defined in the Chilean Code NCh 433.0f.1996, mod.2009 regarding to the
classification of the different soil types, was possible after obtaining the natural frequency of the
26 measured points, a microzonation map of Concepcin related to the fundamental period.
Because the majority of the points were classified into the soil type E (medium compactness or
medium consistence soil) a sub-classification was proposed and presented in the final
microzonation map.
Basic principle 6:
For the performance of a microzonation study, the application of the Nakamura method is a
simple and dependable way to obtain the natural frequency of the soil. Nevertheless the
procedure to take the measurements should be in a correct and organized way to generate
reliable results.
Strategy 4:
For obtaining reliable results while applying the Nakamura method, the ambient noise
measurements should be done on a free accessible point not affected by the vibration of tall
buildings and trees. In addition, to reduce the influence of the wind, the velocity sensor should be
installed in a small hole covered by a bucket.
Conclusion 4.5.3:
The calculated fundamental vibration periods of the four buildings on the basis of the ambient
noise measurements, were low in comparison with the empirical values. Many reasons may lead
to the low calculated values and the most significant are listed as follows:
Related to the measurements:
While taking the measurements, the lack of a reference measurement point. For example,
when one structure has been instrumented with triaxial accelerometers; one reference
accelerometer (taken as a free-field station) can be located in a place outside the structure.
This last one will be used as a reference point to have a parameter of comparison. The
situation in this study was different because only one velocity sensor was used to take the
measurements with no reference point. For all these reasons in this experimental study the
measurements taken in the lowest basement were used as the reference point for the
calculations.
Irregularity of the buildings that led sometimes to have no access in certain areas within the
structures. This situation was critical especially for following the primary defined scheme for
taking the measurements.

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The velocity sensor was placed in very stiff surfaces (in contrast from the measurements
taken in soils) like reinforced concrete slabs or finish floor system. The ambient noise in these
surfaces is different and the influence by other factors like human and machine activity within
the structure should be taken into account.
Related to the calculations:
The Nakamura method and the horizontal to vertical spectral ratio -HVSR- were not used to
calculate the natural frequencies. One of the most significant reasons is that the vertical
component has no relation when calculating the fundamental period of a structure (the
Nakamura method is used for calculating frequencies in soils and not used in structures).
Moreover only the horizontal components of the ambient noise measurements were used.
After calculating the Fast Fourier Transform -FFT- spectra for the measurements in both
horizontal components, the first two amplitude peaks were used to calculate the periods. The
highest peaks were not considered because in those amplitudes, the frequencies were too
high and hence the fundamental periods too low.
Conclusion 4.5.4:
Is not possible to sharply conclude that the method to calculate the fundamental period on the
basis of ambient noise measurements is not valid, because the number of measured buildings in
the present study was not significant and the measured structures were highly irregular.
Basic principle 7:
The obtained experimental data should be always compared, especially previous their usage for
scientific purposes such engineering calculations. Having a comparison parameter is always
necessary for experimental calculations.
Strategy 5:
In order to calculate the frequencies in one structure using ambient noise measurements, it is
necessary to analyze previously several important factors; especially the accessibility of the
structure to take the measurements and the strict monitoring of the primary defined scheme
procedure for taking the measurements.

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5. Case studies for nonlinear analysis; re-interpretation of the


seismic behavior
5.1 Modeling of representative buildings for non-linear analysis
In order to achieve reliable numerical models of the measured buildings, the commercial
software from CSI, ETABS will be used. Using the structural drawings shown in the Annex 7, the
buildings listed in Table 27 were numerical modeled and the final results are shown in Figure 58.

Concepto Urbano

Plaza Mayor III

Milenium III

Hotel Aurelio II

Figure 58. Final numerical models of the measured buildings

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For the input of the seismic load to the numerical models and having the general idea to
generate an accurate simulation of the conditions of the February 27th, 2010 Maule earthquake, the
time histories of the station CCSP (-36.84425 Latitude, -73.10869 Longitude, located in San Pedro de
la Paz, approximately 7 kilometers away from Concepcin) in both directions NS and EW, will be used.
The reason to choose this recording station is because it presents the higher acceleration peak from
the availble time histories. Both time histories will be also modeled in ETABS and applied to all the
buildings. The Figure 59 shows the time histories plotted with MATLAB and the Figure 60 shows the
same time histories but already inputted in ETABS.

Figure 59. Time histories of the station CCSP in the directions NS and EW plotted with MATLAB

Figure 60. Time histories of the station CCSP in the directions NS and EW inputted in ETABS

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5.2 Determination of vibration characteristic and calibration of the


analytical models on the basis of analyzed data from site measurements
The need and sense of model calibration is relevant in this case due to the importance of
making an accurate recreation of the conditions of the buildings at the time of the earthquake.
Having an experimental parameter is crucial and also important. In the previous chapter the values of
the experimental fundamental period were compared with the values calculated with the empirical
equation for reinforced concrete structures presented in the ASCE/SEI 7-10.
Nevertheless in this particular case, the numerical difference between the empirical and
experimental values of the fundamental period were considerable, and as it was discussed before the
low values in the experimental periods is due to the application of a method not suitable for
obtaining the frequencies in structures.
In addition, it is important to mention that for the final modeling and analysis of the four
buildings, all the shear walls were at the end modeled as columns. This was implemented for making
possible to assign nonlinear frame hinges to all the frame elements (including the shear walls).
Moreover, for the calibration of the models the fundamental period of vibration used was the
empirical. When the analysis was done with ETABS, the calculated fundamental periods with the
software were significantly different from the empirical values, and for the final calibration some of
the following strategies and assumptions were made:

Increase in 15% of the modulus of elasticity of the material


Redefine the mesh properties of the slabs
Redefine the mesh properties of the shear walls
Decrease not considerably the live load

Additionally one especial situation presented during the numerical modeling of the selected
buildings is that in all of them the vertical elements are mainly shear walls. This property makes the
structure stiffer and in some cases while running the analysis of the structure, the periods were very
low. For the pushover analysis (and the definition of the plastic hinges) the structural elements should
be either columns or beams. For this reason in the four models, the shear walls were changed to
columns. This last action contributed also to have more realistic values of the fundamental periods
and using the assumptions listed before, the models were correctly calibrated.
The final calibration of the numerical models was performed with the values of the empirical
fundamental periods presented in Table 30. After running the analysis with all the applied loads, the
Figures 61 to 64 shows the first five mode shapes of the analyzed buildings and the Table 33 shows
the values of the periods of the buildings for the first five mode shapes.
Table 33. Results of the periods for the first five mode shapes of the buildings

Name of the Building


Concepto Urbano
Plaza Mayor III
Milenium II
Hotel Aurelio II

1st Mode
1.8451
1.3260
1.1858
0.9687

Period [sec]
2nd Mode
1.6409
1.2571
0.9647
0.8851

65

3rd Mode
1.5106
1.0119
0.8756
0.8494

4th Mode
1.1317
0.2385
0.7183
0.8008

5th Mode
1.0857
0.2259
0.6491
0.5234

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Mode shape 1: Period of 1.8451 seconds

Mode shape 2: Period of 1.6409 seconds

Mode shape 3: Period of 1.5106 seconds

Mode shape 4: Period of 1.1317 seconds

Mode shape 5: Period of 1.0857 seconds


Figure 61. Mode shapes of Concepto Urbano building

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Mode shape 1: Period of 1.3260 seconds

Mode shape 2: Period of 1.2571 seconds

Mode shape 3: Period of 1.0119 seconds

Mode shape 4: Period of 0.2385 seconds

Mode shape 5: Period of 0.2259 seconds


Figure 62. Mode shapes of Plaza Mayor III building

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Mode shape 1: Period of 1.1858 seconds

Mode shape 2: Period of 0.9647 seconds

Mode shape 3: Period of 0.8756 seconds

Mode shape 4: Period of 0.7183 seconds

Mode shape 5: Period of 0.6491 seconds


Figure 63. Mode shapes of Milenium II building

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Mode shape 1: Period of 0.9687 seconds

Mode shape 2: Period of 0.8851 seconds

Mode shape 3: Period of 0.8494 seconds

Mode shape 4: Period of 0.8008 seconds

Mode shape 5: Period of 0.5234 seconds


Figure 64. Mode shapes of Hotel Aurelio II building

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After the analysis of the data presented in Table 33, the values of the first mode shape will be
finally taken as the fundamental period of the buildings and the final comparison between the
empirical, experimental and calculated periods it is shown in Table 34.
Table 34. Final values of the calculated periods of the buildings

Building

Name

1
2
3
4

Concepto Urbano
Plaza Mayor III
Milenium II
Hotel Aurelio II

Empirical
Period [sec]
1.87
1.35
1.20
0.99

Experimental
Period [sec]
1.04
0.93
0.84
0.50

Calculated
Period [sec]
1.8451
1.3260
1.1858
0.9687

In the Figure 65 it is shown a graphical comparison between the empirical, experimental and
calculated period of the buildings.

Comparison between periods


2
1.8
1.6
1.4
1.2
1
0.8
0.6
0.4
0.2
0

Empirical period
Experimental period
Calculated period

Figure 65. Graphical comparison of the fundamental period of the buildings

5.3 Elaboration of capacity curves on the basis of pushover analysis


After having the final calibrated model, the first step of the procedure to run the pushover
analysis is the definition of the design response spectrum. For the analyzed buildings will be used the
design response spectra for Concepcin of the Chilean code NCh 433.0f.1996, mod.2009. The soil
class type D will be used (See Figure 13). The decision to make the analysis using the soil type D is
because it is more likely to the type of soil found in the urban area of Concepcin.
The next step to run the pushover analysis is the definition of the properties of the frame
nonlinear hinges and the input of all the force and displacement parameters. The frame
nonlinear hinge properties are used to define nonlinear force-displacement and/or moment-rotation
behavior that can be assigned to discrete locations along the length of the frame elements. These
nonlinear hinges are only used during static nonlinear (pushover) analysis. For all other types of
analysis, the hinges are rigid and have no effect on the linear behavior of the member.

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For the analyzed buildings, the default nonlinear frame hinge properties were used. The
property of the major moment (M3) was used for beams and the property of coupled P-M2-M3
(PMM) was used for the columns. The assignment was done in a relative distance of 0 and 1 in each
element. It is important to mention that in ETABS the default hinge properties cannot be modified.
These properties also cannot be viewed because the default properties are section dependent. In
addition the default properties cannot be fully defined by the program until the section to which they
apply is identified. Thus, to see the effect of the default properties, the default property should be
assigned to a frame element, and then the resulting generated hinge property should be viewed.
The following step is to define the static nonlinear pushover cases. One important aspect
before defining those pushover cases is to select a control point for the lateral displacement after
pushing the structure. For the four different buildings different points were selected (will be
described for all the buildings). The first defined pushover case is for the gravity (using the dead and
live loads). Then it was defined two load cases using the modal load. (See Figure 66)

Figure 66. Example of the definition of the pushover cases 1 and 2

When the nonlinear analysis is done, it is important to analyze the formation of hinges
beyond the following control points (shown in the force-displacement curve, Figure 67):

IO: Immediate Occupancy


LS: Life Safety
CP: Collapse Prevention

Figure 67. Force-displacement relationship of a typical plastic hinge

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After the whole analysis was done, several problems were found with the pushover analysis
in the two tallest buildings (Concepto Urbano and Plaza Mayor III building). Depleting the corrections
in the models and running the nonlinear analysis many times with different definition characteristics
of the pushover cases without success, at the end it was taken the decision of using the time history
analysis with the Concepto Urbano and Plaza Mayor III buildings, and the pushover analysis with the
Milenium II and Hotel Aurelo II buildings.

5.3.1 Capacity curves


The final outcome of the capacity curves after the nonlinear analysis done with ETABS, it is
shown in Figures 68 and 69 for the Milenium II and Hotel Aurelio II buildings.

Capacity curve for pushover case 1

Capacity curve for pushover case 2

Figure 68. Capacity curves for Milenium II building

Capacity curve for pushover case 1

Capacity curve for pushover case 2

Figure 69. Capacity curves for Hotel Aurelio II building

It is important to mention that the capacity curves approximate how structures behave after
exceeding their elastic limit.

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5.3.2 Performance points


In the previous section were shown the capacity curves for Milenium II and Hotel Aurelio II
buildings. Now the calculation of the performance point will be done with the capacity spectrum
method defined in the ATC-40, as follows:

Transformation of the demand spectrum into displacement spectral acceleration vs. spectral
displacement using the expression:
= 2

(19)

Transformation of response spectrum into the Acceleration Displacement Response Spectrum


ADRS format.

Figure 70. Transformation to the Acceleration Displacement Response Spectrum format (ATC-40)

Construction of bilinear representation of capacity spectrum, estimating the damping for spectral
reduction.
Finally the intersection of the demand and capacity spectrum.

The final outcome of the performance point for the generated capacity curves, and as it was
established before using the Spectrum for Soil Type D, it is shown in Figures 71 and 72.

Performance point for capacity curve pushover case 1

Performance point for capacity curve pushover case 2

Figure 71. Performance point for the two pushover cases of Milienium II building

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Performance point for capacity curve pushover case 1

Performance point for capacity curve pushover case 2

Figure 72. Performance point for the two pushover cases of Hotel Aurelio II building

The coordinates of the performance points are shown in Table 35.


Table 35. Coordinates of the performance points for the two analyzed builings

Milenium II
Pushover case 1
Pushover case 2
Hotel Aurelio II
Pushover case 1
Pushover case 2

Spectral Acceleration Sa [g]


0.3
0.4
Spectral Acceleration Sa [g]
0.6
1.6

Spectral Displacement Sd [cm]


23
20
Spectral Displacement Sd [cm]
17.5
8

5.3.3 Formation of plastic hinges


After the nonlinear analysis was performed, it is possible to see in the deformed shape of the
structure, the formation of plastic hinges within the ranges shown in Figure 67. In the Figure 73 it is
shown the formation of plastic hinges for the Milenium II building.

Pushover case 1

Pushover case 2

Figure 73. Formation of plastic hinges for Milenium II building

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The generated control points for both pushover cases are shown in Tables 36 and 37.
Table 36. Control points for the pushover case 1 for Milenium II building
Pushover case 1
Step
0
1
2
3
4
5
6
7
8
9

A-B
1923
1920
1912
1903
1900
1894
1893
1877
1791
1727

B-IO
3
6
14
23
26
32
33
49
135
166

IO-LS
0
0
0
0
0
0
0
0
0
33

LS-CP
0
0
0
0
0
0
0
0
0
0

CP-C
0
0
0
0
0
0
0
0
0
0

C-D
0
0
0
0
0
0
0
0
0
0

D-E
0
0
0
0
0
0
0
0
0
0

>E
0
0
0
0
0
0
0
0
0
0

TOTAL
1926
1926
1926
1926
1926
1926
1926
1926
1926
1926

Step
10
11
12
13
14
15
16
17
18
19

A-B
1707
1702
1676
1671
1639
1633
1627
1622
1622
1926

B-IO
163
160
172
171
181
184
185
183
183
0

IO-LS
56
64
78
84
101
104
109
105
105
0

LS-CP
0
0
0
0
5
5
5
16
16
0

CP-C
0
0
0
0
0
0
0
0
0
0

C-D
0
0
0
0
0
0
0
0
0
0

D-E
0
0
0
0
0
0
0
0
0
0

>E
0
0
0
0
0
0
0
0
0
0

TOTAL
1926
1926
1926
1926
1926
1926
1926
1926
1926
1926

C-D
0
0
0
0
0
0
0
0
1
1

D-E
0
0
0
0
0
0
0
0
0
0

>E
0
0
0
0
0
0
0
0
0
0

TOTAL
1926
1926
1926
1926
1926
1926
1926
1926
1926
1926

Table 37. Control points for the pushover case 2 for Milenium II building
Pushover case 2
Step
0
1
2
3
4
5
6
7
8
9

A-B
1923
1845
1837
1832
1829
1826
1821
1813
1806
1798

B-IO
3
81
89
94
97
100
105
113
120
128

IO-LS
0
0
0
0
0
0
0
0
0
0

LS-CP
0
0
0
0
0
0
0
0
0
0

CP-C
0
0
0
0
0
0
0
0
0
0

C-D
0
0
0
0
0
0
0
0
0
0

D-E
0
0
0
0
0
0
0
0
0
0

>E
0
0
0
0
0
0
0
0
0
0

TOTAL
1926
1926
1926
1926
1926
1926
1926
1926
1926
1926

Step
10
11
12
13
14
15
16
17
18
19

A-B
1757
1754
1751
1745
1731
1673
1618
1560
1492
1492

B-IO
148
150
149
154
155
171
194
211
224
224

IO-LS
21
22
26
27
40
77
93
108
112
112

LS-CP
0
0
0
0
0
5
21
47
97
97

CP-C
0
0
0
0
0
0
0
0
0
0

It is important to mention that the behavior of the performance point should be checked in
the range of the control points.
In the Figure 74 it is shown the formation of plastic hinges for the Hotel Aurelio II building.

Pushover case 1

Pushover case 2

Figure 74. Formation of plastic hinges for Hotel Aurelio II building

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The generated control points for both pushover cases are shown in Tables 38 and 39.
Table 38. Control points for the pushover case 1 for Hotel Aureilo II building
Pushover case 1
Step
0
1
2
3
4
5
6
7
8
9
10
11
12
13
14

A-B
617
547
505
505
505
504
501
501
497
497
497
497
464
463
618

B-IO
1
63
92
91
90
91
90
90
85
85
83
83
97
98
0

IO-LS
0
4
14
15
16
16
20
20
29
29
31
31
48
46
0

LS-CP
0
4
5
5
4
4
3
3
2
2
1
1
3
5
0

CP-C
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0

C-D
0
0
2
0
1
0
1
0
1
0
1
0
0
0
0

D-E
0
0
0
2
2
3
3
4
4
5
5
6
5
5
0

>E
0
0
0
0
0
0
0
0
0
0
0
0
1
1
0

TOTAL
618
618
618
618
618
618
618
618
618
618
618
618
618
618
618

Table 39. Control points for the pushover case 2 for Hotel Aureilo II building
Pushover case 2
Step
0
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24

A-B
617
605
603
602
591
584
578
564
558
528
528
528
528
528
528
528
528
528
528
527
527
527
525
525
618

B-IO
1
13
15
16
27
34
36
47
50
69
69
69
69
69
69
69
69
69
69
70
70
70
58
58
0

IO-LS
0
0
0
0
0
0
4
7
10
14
14
14
14
14
14
14
14
14
14
14
14
14
28
28
0

LS-CP
0
0
0
0
0
0
0
0
0
6
6
6
6
6
5
5
5
5
5
5
5
5
5
5
0

CP-C
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0

C-D
0
0
0
0
0
0
0
0
0
1
0
0
0
0
1
0
0
0
0
0
0
0
0
0
0

D-E
0
0
0
0
0
0
0
0
0
0
1
1
1
1
1
2
2
2
2
1
1
1
0
0
0

>E
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
1
1
1
2
2
0

TOTAL
618
618
618
618
618
618
618
618
618
618
618
618
618
618
618
618
618
618
618
618
618
618
618
618
618

It is important to mention that for the two buildings, plastic hinges within the Collapse
Prevention appear in the 2 first storeys. Strengthening measures in beams and in beam-column
connections in those 2 storeys should be applied.

5.4 Time history analysis


It was established before that for the Concepto Urbano and Plaza Mayor III buildings a time
history analysis will be performed. For this analysis a time history trace of the four exterior joints in
the highest storeys in the two buildings will be presented. A time history trace is simply a plot of a
vertical time history function versus a horizontal time history function. The vertical time history
function can be any defined time history function. The whole analysis will be done with the time
history used for the input load of the models described in the section 5.1 of this chapter.

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5.4.1 Concepto Urbano building


The four analyzed points are shown the plan view of the highest storey of the building in the
ETABS numerical model, shown in the Figure 75.

Figure 75. Analyzed joints for the Concepto Urbano building

In the Figures 76 to 79 it is shown the time histories and the response spectra for the four
analyzed points and their respective displacement.

Maximum displacement in X direction 2.039 cm

Response Spectra in X direction

Response Spectra in Y direction

Response Spectra in Z direction

Figure 76. Time history analysis for Joint 9 of Concepto Urbano building

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Maximum displacement in X direction 2.425 cm

Response Spectra in X direction

Response Spectra in Y direction

Response Spectra in Z direction

Figure 77. Time history analysis for Joint 14 of Concepto Urbano building

Maximum displacement in X direction 2.038 cm

Response Spectra in X direction

Response Spectra in Y direction

Response Spectra in Z direction

Figure 78. Time history analysis for Joint 21 of Concepto Urbano building

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Maximum displacement in X direction 2.424 cm

Response Spectra in X direction

Response Spectra in Y direction

Response Spectra in Z direction

Figure 79. Time history analysis for Joint 46 of Concepto Urbano building

5.4.2 Plaza Mayor III building


The four analyzed points are shown the plan view of the highest storey of the building in the
ETABS numerical model, shown in the Figure 80.

Figure 80. Analyzed joints for the Plaza Mayor III building

In the Figure 81 to 84 it is shown the time histories and the response spectra for the four
analyzed points and their respective deformations.

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Maximum displacement in X direction 2.144 cm

Response Spectra in X direction

Response Spectra in Y direction

Response Spectra in Z direction

Figure 81. Time history analysis for Joint 2 of Plaza Mayor III building

Maximum displacement in X direction 2.184 cm

Response Spectra in X direction

Response Spectra in Y direction

Response Spectra in Z direction

Figure 82. Time history analysis for Joint 14 of Plaza Mayor III building

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Maximum displacement in X direction 2.184 cm

Response Spectra in X direction

Response Spectra in Y direction

Response Spectra in Z direction

Figure 83. Time history analysis for Joint 17 of Plaza Mayor III building

Maximum displacement in X direction 2.145 cm

Response Spectra in X direction

Response Spectra in Y direction

Response Spectra in Z direction

Figure 84. Time history analysis for Joint 41 of Plaza Mayor III building

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The colors of the response spectra shown in Figures 76 to 84 have the following damping
values assignment; magenta 0%, aqua 2%, red 3%, green 5% and yellow 10%.
The resume of the displacements in the directions X, Y and Z of the analyzed joints with the
time history analysis are shown in the Tables 40 and 41.
Table 40. Displacements in the analyzed joints for Concepto Urbano building

Joint 9
Joint 14
Joint 21
Joint 46

Displacement [cm]
X
Y
Z
2.039
1.243
0.810
2.425
1.244
0.837
2.038
8.130
1.268
2.424
8.121
0.661

Table 41. Displacements in the analyzed joints for Plaza Mayor III building

Joint 2
Joint 14
Joint 17
Joint 41

Displacement [cm]
X
Y
Z
2.144
1.519 0.0477
2.184
1.497 0.0555
2.184
1.472 0.0469
2.145
1.451 0.0349

From the time history analysis is important to state that is possible to have an insight view of
the displacements of the analyzed points within the structure. For the case of the analyzed buildings,
just the Concepto Urbano building will have high displacements in the horizontal directions Y for the
Joints 21 and 46. For the rest of the points within the analysis, the displacements are not very high.

5.5 Assessment of the effectiveness of strengthening measures


After analyzing the formation of the plastic hinges within the buildings and having the
accurate information from ETABS of the specific elements in which the plastic hinges will appear, and
in addition the information concerning the pushover analysis and the time history analysis, it is
important to recommend strengthening and retrofitting measures for the structural elements. The
assessments of those techniques are important mainly because they can prevent severe structural
damage and failure.
Nowadays several retrofitting techniques for structural elements such as columns, beams and
shear walls are used and also under investigation. Some of the recommended techniques for the
analyzed buildings are shown in Figures 85 to 87.

Figure 85. Retrofit of prestressed concrete jacketing techniques studied


by Bracci, et al. in 1995 (Engindeniz, M., et al., 2005)

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Figure 86. External steel configurations studied by Corazao et al. in 1986 (Engindeniz, M., et al., 2005)

Figure 87. Corrugated steel jacketing technique proposed by Ghobarah et al. in 1997. (a) before installation; (b) after
installation; and (c) cross section of corrugated steel plates (Engindeniz, M., et al., 2005)

It is important to mention that one of the most critical points in the analyzed buildings were
some beam-column joints in the first and second storeys. This situation makes the strengthening
technique in Figure 87 very important and applicable.

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5.6 Conclusions, basic principles and strategies


Conclusion 5.6.1:
The need and sense of model calibration is relevant due to the importance of making an accurate
recreation of the conditions of the buildings at the time of the earthquake. Having an
experimental parameter is crucial and also important. Nevertheless in this particular case, the
numerical difference between the empirical and experimental values of the fundamental period
were considerable, and as it was discussed before the low values in the experimental periods is
due to the application of a method not suitable for obtaining the frequencies in structures.
Conclusion 5.6.2:
The final calibration of the numerical models was done using the empirical periods due to the low
values of the experimental periods. From the calculated values by ETABS, the chosen values of
the final fundamental vibration period for the further calculations were the ones produced by the
first mode of vibration.
Basic principle 8:
It is important to have parameters of comparison, especially when an experimental study is
performed. Either calculated, empirical or experimental parameters are indeed valuable for this
purpose.
Conclusion 5.6.3:
After the pushover analysis was done, it was important to analyze the generation of plastic hinges
within the ranges of Immediate Occupancy, Life Safety and Collapse Prevention. For the two
analyzed buildings the structural elements in the lowest storeys will suffer severe damage and in
order to avoid failure it is necessary to use some of the strengthening measures showed in
section 5.5.
Conclusion 5.6.4:
The time history analysis allowed the calculation of the displacements in the highest storey for
different joints in the two analyzed buildings. Because the definition of the time history cases
were in the nonlinear range, in the generated response spectra was possible to show the spectral
displacements of the analyzed joints.
Strategy 6:
While creating earthquake scenarios for structures, the pushover and time history analysis have
to be performed in order to generate a damage prognosis.
Strategy 7:
After the damage prognosis is done, the assessment of strengthening and/retrofitting techniques
for structural elements is indispensable in order to avoid structural damage and failure.

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6. Summary
The seismotectonic characteristics are similar and comparable between South and Central
America. Earthquakes in those regions are mainly produced by subduction. The infrastructure in Chile
had an appropriate behavior and response at the moment of the February 27th, 2010 Maule
earthquake. (In housing buildings mostly and also because the building stock in places like Concepcin
showed that the majority of houses were constructed by wood). Nevertheless several buildings were
highly damage and one of them totally collapsed. If the analysis of the seismic characteristics of one
specific place is done in an accurate way, the code development will be also accurate and will lead to
a correct structural design. The appropriate development of the Chilean code and also the obligation
to use it for construction and structural design, led to the reduction of collapsed buildings. The
analyzed building stock showed that the building types in both regions are similar and highly
comparable.
One of the biggest conclusions is that if in both regions the seismotectonic characteristics and
the buildings types are similar, it is possible to perform a numerical recreation and modeling of the
action of an specific earthquake in a structural system in one place of the compared region, to
generate a structural damage prognosis that will lead to give recommendations for another place
within the same region.
Using the Nakamura method (after obtaining ambient noise measurements) for calculating
the frequency of the soils is a cheap and simplified method that produces acceptable results. The
calculated frequencies of the soils were satisfactory and a microzonation map of Concepcin was
proposed. Nevertheless the Nakamura method in this study was not accurate for measuring the
frequency of a structure. With the final aim to have calibration parameters, and after taking ambient
noise measurements in some buildings in Concepcin, the application of the same primary
parameters of the Nakamura method were done and it was showed that the calculated values of the
fundamental period of the buildings differs considerably from empirical and calculated values.
Performing the pushover analysis and the time history analysis was possible to predict the
possible damage in a certain points of the modeled buildings. Applying the recreated seismic loads of
the February 27th, 2010 Maule earthquake to the numerical models of the measured buildings were
possible to analyze the possible points of failure and give further recommendations for their
retrofitting and strengthening.

6.1 Basic principles


The proposed basic principles (and also described in every chapter of this document) are the
following:
Basic principle 1:
Due to the fact that the seismic tectonic features between the two regions are similar, and also
because the Nazca plate interact within the two regions, a seismic features (including seismic
events) comparison is possible.

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Basic principle 2:
It is important for a country to define and establish a proper earthquake resistant regulation. In
many countries in Latinamerica like Guatemala, the United States building and seismic codes are
currently in use, mainly because their own regulations are still being develop. The usage of
building codes and regulations from other countries may incur in incorrect analysis and
miscalculations.
Basic principle 3:
The tsunami risk in Central America and especially in Guatemala is very low. Because of this, a
comparison between the tsunami damage is not dispensable in a Earthquake-Risk comparison
between the two regions.
Basic principle 4:
International documents like the European Macroseismic Scale EMS-98 can be used worldwide in
a seismic vulnerability classification because they were wrote by experts from different countries
and also their study cases.
Basic principle 5:
Even though the percentage of building types within two regions or cities are not close, it is
enough to have similar material and construction methods to run a comparison between them.
Basic principle 6:
For the performance of a microzonation study, the application of the Nakamura method is a
simple and dependable way to obtain the natural frequency of the soil. Nevertheless the
procedure to take the measurements should be in a correct and organized way to generate
reliable results.
Basic principle 7:
The obtained experimental data should be always compared, especially previous their usage for
scientific purposes such engineering calculations. Having a comparison parameter is always
necessary for experimental calculations.
Basic principle 8:
It is important to have parameters of comparison, especially when an experimental study is
performed. Either calculated, empirical or experimental parameters are indeed valuable for this
purpose.

6.2 Strategies
The proposed strategies (and also described in every chapter of this document) are the
following:
Strategy 1:
In order to have a correct and appropriate response of the infrastructure at the time of a seismic
event it is important to define and establish a proper earthquake resistant regulation. In addition
it is important to follow it strictly. The precise fulfillment of the regulation will lead to
minimization of the structural damage and of course the total failure of the structure.

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Strategy 2:
When is not possible to perform a building stock survey the best immediate source of information
are the population/housing census and surveys. Sometimes those studies doesnt present
accurate information related to the building stock, but they are a good starting point.
Strategy 3:
To proceed in a successful field research is necessary first to identify the precise test site areas
with typical building representatives to take measurements. Also after analyzing in the first place
the GSHAP map of a specific place, is necessary then to refine the area of analysis and search for
representative building types within the place and their neighboring places.
Strategy 4:
For obtaining reliable results while applying the Nakamura method, the ambient noise
measurements should be done on a free accessible point not affected by the vibration of tall
buildings and trees. In addition, to reduce the influence of the wind, the velocity sensor should be
installed in a small hole covered by a bucket.
Strategy 5:
In order to calculate the frequencies in one structure using ambient noise measurements, it is
necessary to analyze previously several important factors; especially the accessibility of the
structure to take the measurements and the strict monitoring of the primary defined scheme
procedure for taking the measurements.
Strategy 6:
While creating earthquake scenarios for structures, the pushover and time history analysis have
to be performed in order to generate a damage prognosis.
Strategy 7:
After the damage prognosis is done, the assessment of strengthening and/retrofitting techniques
for structural elements is indispensable in order to avoid structural damage and failure.

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Murat Engindeniz, M., Kahn, L., and Zureick, A. Repair and Strengthening of Reinforced Concrete
Beam-Column Joints: State of the Art. ACI Structural Journal, V. 102, No. 2, March-April 2005.
Nakamura, Y. A method for dynamic characteristics estimations of subsurface using microtremors on
the ground surface, Q. Rep. Railway Tech. Res. Inst. Japan, 1989.
Nakamura, Y. Real-time information systems for hazard mitigation, Proc. 11th Conf. on Earthquake
Engineering, Acapulco, Mexico, 1996.
Nakamura, Y. Clear identification of Nakamura's technique and its application, Proc. 12th World
Conference on Earthquake Engineering, Auckland, New Zealand, 2000.
NCh 433.0f.1996, mod.2009. Diseo ssmico de edificios. Norma Chilena Oficial. Instituto Nacional
de Normalizacin. INN- Chile.
Ojeda, A. Evaluacin de efectos de sitio para la microzonificacin ssmica de Pereira. Internal Report
Instituto de Investigaciones en Geociencias, Minera y Qumica INGEOMINAS.
Parvez, I. Seismic Microzonation: Methodology and Approach Research Report CM 0310. CSIR
Centre for Mathematical Modelling and Computer Simulation. Bangalore, India. November
2003
Pinilla Ramos, C. Correlacin entre el perfil de velocidad de propagacin de ondas de corte y el
espectro de respuesta en suelos. Tesis de grado. Universidad de Chile. January 2012.
Pulido, N., et al. Earthquake Source Process and Site effects of Strong Motion stations of the 2010
Chile Mega-Earthquake. 2010 Chile Earthquake and Tsunami Technical Report. JST-JICA
SATREPS Per Project. Chile Earthquake Field Investigation Team. December 2010.
Rhea, S., Hayes, G., et al. Seismicity of the earth 19002007, Nazca Plate and South America U.S.
Geological Survey. Open-File Report 2010 1083-E, 1 sheet, scale 1:12,000,000.
Rodriguez Segurado, M. Caracterizacion de la Respuesta Sismica de los Suelos. Aplicacin a la ciudad
de Barcelona. Bachelor Thesis. Universitat Politecnica de Catalunya. 2005
Saito, T., et al. Building Damage Investigation of the 2010 Chile Earthquake and Tsunami Disaster.
2010 Chile Earthquake and Tsunami Technical Report. JST-JICA SATREPS Per Project. Chile
Earthquake Field Investigation Team. December 2010.
Schwarz, J. & Schmidt, H.-G. Ingenieuranalyse von Erdbebenschden: Lehren aus aktuellen
Ereignissen. Bautechnik 74 (1997) 12. 826-846
Turnbull, M. Relative seismic shaking vulnerability microzonation using an adaptation of the
Nakamura horizontal to vertical spectral ratio method. J. Earth Syst. Sci. 117, S2, November
2008, pp. 879895
Valenzuela Oportus, M., et al. Clasificacin Ssmica del Subsuelo de la Zona Concepcin-Talcahuano,
Aplicacin NCh 433. VI Congreso Chileno de Geotecnia. Chile 2007.

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Vzquez Rosas, R., et al. Propuesta de Microzonificacin ssmica de la Ciudad de Zamora Michoacn.
Sociedad Mexicana de Ingeniera Ssmica, A. C. Articulo III-02. XV Congreso Nacional de
Ingeniera Ssmica, Mxico D.F, Septiembre 2005
Velsquez Jofre, D. Project Rainbow I, Guatemala. Internal project within the NHRE Master Program
in Bauhaus-University Weimar for the course; Geographical Information Systems and Building
Stock Survey. Germany 2011.
Verdugo, R. Dinmica de suelos amplificacin ssmica. Lecture notes. Departamento de Ingeniera
Civil. Universidad de Chile.
Westenenk, B., et al. Response of Reinforced Concrete Buildings in Concepcin during the Maule
Earthquake. Earthquake Spectra, Earthquake Engineering Research Institute Professional
Journal. Volume 28, No. S1. Pages S257S280. June 2012.
Zaslavsky, Y., et al. Seismic Hazard maps in terms of spectral acceleration at periods of 0.2 sec and 1
sec for the design response spectrum (two-point method) in the new version of the Israel
Building Code (SI413) . Report No. 522/474/09, prepared for The National Steering
Committee for Earthquake Preparedness. November, 2009
Electronic References:
[1] http://pubs.usgs.gov/gip/dynamic/fire.html
(Consulted in August 2012)
[2] http://earthquake.usgs.gov/earthquakes/world/chile/gshap.php
(Consulted in September 2012)
[3] http://www.skyscrapercity.com/showthread.php?t=785038
(Consulted in August 2012)
[4]http://www.guateganga.com/ciudad_de_guatemala/apartamentos/PRECIOSAS_CASAS_DE_LADRILLO_EN_Z
ONA_18_CUOTA__1293.htm
(Consulted in August 2012)
[5] http://www.vivastreet.cl/compra-casas+concepcion/vendo-casa-lomas-san-andres/54009986
(Consulted in August 2012)
[6]http://guatemala.mundoanuncio.com.gt/casa-grande-en-el-manantial-de-san-rafael-zona-18-guatemala-iid250674694
(Consulted in August 2012)
[7] http://concepcion.avisos-chile.com/item/8209/
(Consulted in August 2012)
[8] http://ciudaddeguatemala.mundoanuncio.com.gt/casas-de-madera-en-guatemala-iid-406209555
(Consulted in August 2012)
[9] http://laprimerapopular.blogspot.de/2010/03/el-terremoto-en-comunas-rurales-de-la.html
(Consulted in August 2012)
[10] http://www.world-housing.net/WHEReports/wh100162.pdf
(Consulted in August 2012)

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8. Annexes
Annex 1. Comparison of the building types between Concepcin and Guatemala
City and assignation of vulnerability classes
Annex 1a. Reinforced Concrete
Type of structure (according the EMS-98)

Vulnerability Class
C
D

REINFORCED CONCRETE -RC- (with high level of


Earthquake Resistant Design -ERD-)

Atrium Building in Guatemala City [3]

Concepto Urbano Building in Concepcin

Concepcin

Guatemala City
Description and comments
General Description: With a high percentage of General Description: Although the percentage of
usage, this type of building is widely used in usage is not high in comparison with other
Concepcin for residential and also for building types, in Guatemala City their majority
commercial purposes. The percentage of the are for commercial purposes. The use of this kind
usage in comparison with the other building of building types for residential purposes is
types is high.
representative but also not high.
Foundations: Generally isolated reinforced Foundations: Generally isolated reinforced
concrete foundations. Depending on the soil type concrete foundations. Depending on the soil type
can be used also foundation piles.
can be used also foundation piles.
Walls: Shear walls where required. Masonry Walls: Shear walls where required. Masonry
elements for infills.
elements for infills.
Roof: Generally reinforced concrete slabs.
Roof: Generally reinforced concrete slabs.
Code Specification: NCh30 (ACI 318 S-08)
Code Specification: ACI 318 S-08

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Annex 1b. Clay brick masonry


Type of structure (according the EMS-98)

Vulnerability Class
C
D

MASONRY (reinforced or confined)

Clay brick masonry house in Concepcin

Clay brick masonry house in Guatemala City

Concepcin

[4]

Guatemala City

Description and comments


General Description: Also high in percentage of General Description: The percentage of usage in
usage, the use of clay brick masonry buildings in Guatemala City in comparison with reinforced
Concepcin are mostly used for residential and concrete block masonry is low, but still
sometimes for commercial purposes. Most of the representative. The use of clay brick masonry
time the structures are reinforced or confined buildings is for residential and for commercial
and in very strange cases (not engineered purposes. Most of the time the structures are
structures) the building can be without reinforced or confined. For low income class the
reinforcement or confinement. This building type building can be without reinforcement or
was one of the most damaged in the February confinement. Generally this building type has one
27th, 2010 Maule earthquake
storey.
Foundations: Continuous or strip reinforced Foundations: Continuous or strip reinforced
concrete foundations.
concrete foundations.
Walls: Clay brick masonry elements connected Walls: Clay brick masonry elements connected
each other with cement mortar. Reinforcement each other with cement mortar. Reinforcement
or confinement elements made of reinforced or confinement elements made of reinforced
concrete.
concrete.
Roof: When the building type has two storeys, Roof: Generally reinforced concrete slabs. When
the roof system is reinforced concrete slabs. the building has only one storey, the roof system
When the building has one storey, the roof can be constructed with a C steel profile with
system can be either of wood or metallic decks.
metallic thin decks.
Code Specification: NCh1928.Of1993 Mod 2003
Code Specification: NSE 7.4
NCh2123.Of1997 Mod 2003

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Annex 1c. Reinforced concrete block masonry


Type of structure (according the EMS-98)

Vulnerability Class
C
D

MASONRY (reinforced or confined)

Reinforced concrete block masonry in Concepcin [5]

Reinforced concrete block masonry in


[6]
Guatemala City

Concepcin

Guatemala City

Description and comments


General Description: The percentage of usage in General Description: Is the most representative
Concepcin is low in comparison with another and used building type in Guatemala City (and in
building types, specially reinforced concrete and the country in general). Widely constructed after
clay brick masonry buildings. This building type is the 1976 earthquake. This building type is used
used for residential and commercial purposes. for several purposes including residential,
The structures are engineered structures with commercial and industrial. Is possible to find
reinforcement and confinement most of the buildings of one, two and more storeys. Most of
times. In housing buildings, sometimes the first the times this building type is an engineered
storey can be built with reinforced concrete block structure with reinforcement and confinement.
masonry and the second storey built of wood.
Can also be possible to find non-engineered
Foundations: Continuous or strip reinforced buildings mainly from the low income class and
concrete foundations.
informal construction.
Walls: Concrete blocks connected each other Foundations: Continuous or strip reinforced
with cement mortar. Reinforcement or concrete foundations.
confinement elements made of reinforced Walls: Concrete blocks connected each other
concrete.
with cement mortar. Reinforcement or
Roof: Reinforced concrete slabs. When the confinement elements made of reinforced
building is built also in combination with wood, concrete.
the roof can be of wood.
Roof: Generally reinforced concrete slabs. Also
Code Specification: NCh1928.Of1993 Mod 2003
the roof system can be constructed with a C steel
NCh2123.Of1997 Mod 2003
profile with metallic thin decks.
Code Specification: NSE 7.4

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Annex 1d. Wood


Type of structure (according the EMS-98)

Vulnerability Class
C
D

Wood (Timber structures)

Wood house in Concepcin

[7]

Wood house in Guatemala City

Concepcin

[8]

Guatemala City
Description and comments
General Description: The most used building type General Description: The percentage of use of
in Concepcin. The reasons to be widely used are this building type is not representative. Although
the high wood production of the Bo-Bo region, Guatemala as a country produces several types
the precise development of the code (related to of wood, the construction of this building type is
the design of wood structures) and finally the expensive and the maintenance costs are high
relative low weight of the structure (very good due to decay, insects and fungi attacks. This
seismic behavior). The building type is used building type is used for residential purposes.
mostly for residential purposes and typically has The high income class constructs two storey
one or two storeys.
luxury houses and the low income class
Foundations: Continuous or strip reinforced constructs one storey informal houses.
concrete foundations.
Foundations: Continuous or strip reinforced
Walls: Wood walls or infills connected with nails. concrete foundations.
Also the material of the internal walls is Walls: Wood walls or infills connected with nails.
prefabricated recycled panels connected also Also the material of the internal walls is
with nails.
prefabricated recycled panels connected also
Roof: Wood structure connected with nails.
with nails.
Code Specification: NCh1198.Of1991
Roof: Wood structure connected with nails.
NCh1970/1.Of1988
Code Specification: NSE 7.7 and Especificaciones
NCh1970/2.Of1988
de la DG de Obras Pblicas de Guatemala, 1976
NCh1990.Of1986
NCh2148.Of1989
NCh2151.Of1989
NCh2165.Of1991

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Annex 1e. Adobe


Type of structure (according the EMS-98)

Vulnerability Class
C
D

ADOBE (Earth brick)

Adobe houses in Concepcin

[9]

Adobe house in Guatemala City

Concepcin

[10]

Guatemala City

Description and comments


General Description: In percentage one of the General Description: The percentage of use in
lowest building types used in Concepcin. Mainly Guatemala City is representative. Mainly used for
used by the low income class for residential residential purposes. Especially in the historical
purposes. Due to the low earthquake resistance, center of the city, still many residential buildings
the February 27th, 2010 Maule earthquake are built from adobe bricks. Due to the low
destructed several houses constructed with earthquake resistance, the February 1976
adobe. The houses have generally one storey and earthquake
destructed
several
houses
are non-engineered structures with no constructed with adobe and kill many people.
reinforcement or confinement.
Other houses were just repaired after the
Foundations: Generally built with mud bricks, dry earthquake. The houses have generally one
grass and sometimes clay bricks. Wooden beams storey and are non-engineered structures with no
reinforcement or confinement.
can be used as lintels.
Foundations: Generally built with mud bricks, dry
Walls: Mud and dry grass bricks connected with
grass and sometimes clay bricks. Wooden beams
mud mortar.
can be used as lintels.
Roof: Generally wood structure.
Walls: Mud and dry grass bricks connected with
Code Specification: No information.
mud mortar.
Roof: Typically wood structure but also can be
constructed with a C steel profile with metallic
thin decks.
Code Specification: No information.

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Annex 2. MATLAB code to determine the horizontal to vertical spectral ratio


-HVSR- from ambient noise measurements in Concepcin, Chile
(Elaborated by EDAC, 2012)
Make_ffts_HtoV.m
% file to determine fft's and H/V on the basis of SYSCOM velocity sensor
clear all
name = 'MP018_';
folder ='test 18';
dd0=dir(['.\' folder '\*.ASC']); % Number of files
b=length(dd0);
for n=1:b-1
fid2 = fopen([folder '\' dd0(n).name]);
data = textscan(fid2, '%f %f %f %*[^\n]', 'CollectOutput', 0,'delimiter',' ','HeaderLines',100);
fclose(fid2);
vx=data{1}/1.0; vx=vx-mean(vx); %gain correction factor and baseline correction
vy=data{2}/1.0; vy=vy-mean(vy);
vz=data{3}/1.0; vz=vz-mean(vz);
ew=zeros(8192,1); ew=vx(100:8292);
ns=zeros(8192,1); ns=vy(100:8292);
ud=zeros(8192,1); ud=vz(100:8292);
fftns=Make_fft(ns);
fftew=Make_fft(ew);
fftud=Make_fft(ud);
save_ew=fftew;
save_ns=fftns;
save_ud=fftud;
hvnsew=zeros(length(fftns),1);
hvnsew(2:length(fftns),1)=(fftns(2:length(fftns),1)+fftew(2:length(fftew),1))./(2*fftud(2:length(fftud),1));
save_hzuv=hvnsew;
save(['.\' folder
save(['.\' folder
save(['.\' folder
save(['.\' folder

'\FFT\' name dd0(n).name(6:8) '.ud.fft.mat'], 'save_ud')


'\FFT\' name dd0(n).name(6:8) '.ns.fft.mat'], 'save_ns')
'\FFT\' name dd0(n).name(6:8) '.ew.fft.mat'], 'save_ew')
'\HtoV\' name dd0(n).name(6:8) '.fft_(ns+ew)_div_2z.mat'],'save_hzuv');

end

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Annex 2 (Continuation). MATLAB code to determine the horizontal to vertical


spectral ratio -HVSR- from ambient noise measurements in Concepcin, Chile
(Elaborated by EDAC, 2012)
Make_fractile.m
% file to display H/V fractiles
clear all
na='test 18';
folder = 'test 18';
dd0=dir(['.\' folder '\HtoV\*.fft_(ns+ew)_div_2z.mat']);
hvnsew=[];
for k=1:length(dd0)
fn1=dd0(k).name;
X1=load(['.\' folder '\HtoV\' fn1]);
hvnsew(:,k)=X1.save_hzuv(:,1);
end
l=size(hvnsew,1)*2;
sam=100;
f=((1:l/2)/l*sam)';
f2=f(1:4096);
mA=prctile(hvnsew(1:4096,:).',50);
xp16=prctile(hvnsew(1:4096,:).',16);
xp84=prctile(hvnsew(1:4096,:).',84);
MW=[f2 mA'];
save(['f50_' na '.dat'],'MW','-ascii');
Qa=[f2 xp16'];
save(['f16_' na '.dat'],'Qa','-ascii');
Qe=[f2 xp84'];
save(['f84_' na '.dat'],'Qe','-ascii');
% Spectra
format long;
[ a ] = importdata('d.txt',';');
Xaxis=a(:,1);
Yaxis=a(:,2);
h=figure('Position',[175 40 1200 950]);
figure(h)
set(gca,'fontsize',16);
loglog(MW(:,1),MW(:,2),'-b')
axis([.1 20 .1 20])
hold on
loglog(Qa(:,1),Qa(:,2),'-b')
loglog(Qe(:,1),Qe(:,2),'-b')
loglog(Xaxis,Yaxis,'-r')
title(['HVSR'])
xlabel('Frequency [Hz]')
ylabel('Amplitude')
grid on;
hold off

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Annex 3. Horizontal to vertical spectral ratios -HVSR- from the 26 measured sites
in Concepcin, Chile

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Annex 4. MATLAB code to calculate the FFT spectra for the calculation of the
fundamental period of the selected buildings in Concepcin, Chile
(Elaborated by EDAC, 2012)
clear all
name = 'R01_';
folder1 ='prueba test 1\FFT';
folder2 ='prueba test 5\FFT';
filename1=(['./espec1/MP1_MP5_EW.png']);
dd0=dir(['.\' folder1 '\*.ew.fft.mat']); % Number of files
dd1=dir(['.\' folder2 '\*.ew.fft.mat']); % Number of files
b=length(dd0);
for n=1:b-1
fn1 = dd0(n).name;
X1 =load(['./' folder1 '\' fn1]);
data1=X1.save_ew(:,1);
data1=data1(1:4096,1);
fn2 = dd1(n).name;
X2=load(['./' folder2 '\' fn2]);
data2=X2.save_ew(:,1);
data2=data2(1:4096,1);
l=length(data2)*2;
f=((1:l/2)/l*100)';
f2=f(1:4096);
res(:,1)= f2;
res(:,n+1)= data1 ./ data2;
save_es=res;
save(['./espec1/' name 'MP01_fft_(ew)_div_MP05_fft(ew)_' dd0(n).name(6:8) '.txt'],
'save_es', '-ascii');
figure(1)
set(gca,'fontsize',12);
loglog(f,res(:,n+1))
axis([.1 20 .01 10])
hold on
title('TEST 1 / TEST 5 (EW)', 'fontsize',16, 'fontweight','b');
xlabel('Frequency [Hz]', 'fontsize',14);
ylabel('Amplitude', 'fontsize',14);
end

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Annex 5. FFT spectra for the calculation of the fundamental period of the selected
buildings in Concepcin, Chile
Building 1: Concepto Urbano

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Building 2: Plaza Mayor III

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Building 3: Milenium II

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Building 4: Hotel Aurelio II

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Annex 6. Sketches of the analyzed buildings by Westenenk, B., et al., 2012

Building AA-1 (See location in Figure 57)

Building AH-2 (See location in Figure 57)

Building CM-3 (See location in Figure 57)

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Building TL-4 (See location in Figure 57)

Building PR-6 (See location in Figure 57)

Buildings PP-7 and RT-8 (See location in Figure 57)

Buildings TO-9 (See location in Figure 57)

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Annex 7. Building drawings used for the numerical models


Concepto Urbano Building:

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No.

Sketch

Name of file in DVD

Content

Concepto Urbano 1.dwg

Plan view
storey 1

Concepto Urbano 2.dwg

Plan view
storey 2

Concepto Urbano 3.dwg

Plan view
storeys 3 to 9

Concepto Urbano 4.dwg

Plan view
storey 10

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Sketch

Name of file in DVD

Content

Concepto Urbano 5.dwg

Plan view
storey 11

Concepto Urbano 6.dwg

Plan view
storeys 12
to 21

Concepto Urbano 7.dwg

Plan view
storeys 22
and 23

Concepto Urbano 8.dwg

Elevation axis
1 and 2

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Sketch

Name of file in DVD

Content

Concepto Urbano 9.dwg

Elevation
axis 3, 4
8A and 12

10

Concepto Urbano 10.dwg

Elevation
axis 5

11

Concepto Urbano 11.dwg

Elevation
axis 6

12

Concepto Urbano 12.dwg

Elevation
axis 7, 9
5A and B1

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Sketch

Name of file in DVD

Content

13

Concepto Urbano 13.dwg

Elevation
axis 10

14

Concepto Urbano 14.dwg

Elevation
axis 11

15

Concepto Urbano 15.dwg

Elevation
axis 13

16

Concepto Urbano 16.dwg

Elevation axis
14, 0-0
and A-A

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Sketch

Name of file in DVD

Content

17

Concepto Urbano 17.dwg

Elevation axis
B and C1

18

Concepto Urbano 18.dwg

Elevation
axis C

19

Concepto Urbano 19.dwg

Elevation axis
D, I, J
and M

20

Concepto Urbano 20.dwg

Elevation axis
E, and F-F

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Sketch

Name of file in DVD

Content

21

Concepto Urbano 21.dwg

Elevation axis
G, K1, B
and G1

22

Concepto Urbano 22.dwg

Elevation axis
H and C2

23

Concepto Urbano 23.dwg

Elevation axis
K

24

Concepto Urbano 24.dwg

122

Elevation
axis L

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

No.

Sketch

Name of file in DVD

Content

25

Concepto Urbano
25.dwg

Elevation axis
N-0, 4A, 4
4B and J2

26

Concepto Urbano
26.dwg

Plan view
basement 1

27

Concepto Urbano
27.dwg

Plan view
basement 2

28

Concepto Urbano
28.dwg

Stairs and
details

123

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Plaza Mayor III Building:

124

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

No.

Sketch

Name of file in DVD

Content

Plaza Mayor 1.dwg

Plan view
storey 1

Plaza Mayor 2.dwg

Plan view
storey 2

Plaza Mayor 3.dwg

Plan view
storeys 3 to 13

Plaza Mayor 4.dwg

Plan view
storey 14

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

No.

Sketch

Name of file in DVD

Content

Plaza Mayor 5.dwg

Plan view
storeys 15
and 16

Plaza Mayor 6.dwg

Elevation axis
1, 2,
22 and 23

Plaza Mayor 7.dwg

Elevation axis 4
and E

Plaza Mayor 8.dwg

Elevation axis 5
8 and 16

126

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

No.

Sketch

Name of file in DVD

Content

Plaza Mayor 9.dwg

Elevation axis 6
and 18

10

Plaza Mayor 10.dwg

Elevation axis
9, 15, B1
C1 and H1

11

Plaza Mayor 11.dwg

Elevation
axis 12
and 17

12

Plaza Mayor 12.dwg

Elevation
axis 5
8 and 16

127

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

No.

Sketch

Name of file in DVD

Content

13

Plaza Mayor 13.dwg

Elevation axis
10, G
and L1

14

Plaza Mayor 14.dwg

15

Plaza Mayor 15.dwg

Elevation
axis 19
and 20

16

Plaza Mayor 16.dwg

Elevation
axis A
and B

128

Elevation
axis 18

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

No.

Sketch

Name of file in DVD

Content

17

Plaza Mayor 17.dwg

Elevation
axis C

18

Plaza Mayor 18.dwg

Elevation
axis D

19

Plaza Mayor 19.dwg

Elevation axis
E, G, X
Y and Z

20

Plaza Mayor 20.dwg

Elevation
axis I

129

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

No.

Sketch

Name of file in DVD

Content

21

Plaza Mayor 21.dwg

Elevation axis
F and J

22

Plaza Mayor 22.dwg

Elevation axis
K and M

23

Plaza Mayor 23.dwg

Plan view
basement

24

Plaza Mayor 24.dwg

Stairs and
details

130

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Milenium II Building:

131

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

No.

Sketch

Name of file in DVD

Content

Milenium 1.dwg

Plan view
storey 1

Milenium 2.dwg

Plan view
storey 2

Milenium 3.dwg

Plan view
storey 3

Milenium 4.dwg

Plan view
storeys 4 to 6

132

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

No.

Sketch

Name of file in DVD

Content

Milenium 5.dwg

Plan view
storeys 7 to 11

Milenium 6.dwg

Plan view
storeys 12
and 13

Milenium 7.dwg

Plan view
storeys 15
and 16

Milenium 8.dwg

Elevation
axis 1

133

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

No.

Sketch

Name of file in DVD

Content

Milenium 9.dwg

Elevation
axis 2

10

Milenium 10.dwg

Elevation
axis 3

11

Milenium 11.dwg

Elevation
axis 4

12

Milenium 12.dwg

Elevation
axis 1

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

No.

Sketch

Name of file in DVD

Content

13

Milenium 13.dwg

Elevation
axis 6

14

Milenium 14.dwg

Elevation
axis 7, 9, 5a
5b and 5c

15

Milenium 15.dwg

Elevation
axis A

16

Milenium 16.dwg

Elevation
axis B and D

135

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

No.

Sketch

Name of file in DVD

Content

17

Milenium 17.dwg

Elevation
axis C

18

Milenium 18.dwg

Elevation
axis E

19

Milenium 19.dwg

Elevation
axis F

20

Milenium 20.dwg

Elevation
axis G

136

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

No.

Sketch

Name of file in DVD

Content

21

Milenium 21.dwg

Plan view
basement 1

22

Milenium 22.dwg

Plan view
basement 2

23

Milenium 23.dwg

Stairs and
details

137

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Hotel Aurelio II Building:

2 Bomba s Sumerg ib les


V Xm 8 /5 0, 0 .8 5 HP

E M

NG

IE

LT

P AR
A

S C ON S U

DO

RO
O

RE

L T DA .

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

No.

Sketch

Name of file in DVD

Content

Hotel Aurelio 1.dwg

Plan view
basement 1
and storey 1

Hotel Aurelio 2.dwg

Plan view
storeys 2
and 3

Hotel Aurelio 3.dwg

Plan view
storeys 4, 5
and 5

Hotel Aurelio 4.dwg

Plan view
storeys 7, 8
and 9

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

No.

Sketch

Name of file in DVD

Content

Hotel Aurelio 5.dwg

Elevation
axis 1, 2
3 and I

Hotel Aurelio 6.dwg

Elevation
axis 3a
and 4

Hotel Aurelio 7.dwg

Elevation
axis 5
and 5a

Hotel Aurelio 8.dwg

Elevation
axis 6

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

No.

Sketch

Name of file in DVD

Content

Hotel Aurelio 9.dwg

Elevation
axis 8

10

Hotel Aurelio 10.dwg

Elevation
axis A, B
C and D

11

Hotel Aurelio 11.dwg

Elevation
axis E
and F

12

Hotel Aurelio 12.dwg

Elevation
axis G
and H

141

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

No.

Sketch

13

142

Name of file in DVD

Content

Hotel Aurelio 13.dwg

Stairs and
details

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Strategies and basic principles for comparative Earthquake-Risk Studies between Central and South America, taking the February 27 , 2010 Maule (Chile) Earthquake as reference event

Statement

Herewith I declare that I wrote this master thesis myself and I did not use
any other references than those mentioned in this document.

Diego Velsquez Jofre


October 18th, 2012 in Weimar, Germany

143