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Article history: This paper investigates the seismic performance of moment-resisting frame steel buildings with
Received 27 September 2008 multiple underground stories resting on shallow foundations. A parametric study that involved
Accepted 18 February 2009 evaluating the nonlinear seismic response of five, ten and fifteen story moment-resisting frame steel
buildings resting on flexible ground surface, and buildings having one, three and five underground
Keywords: stories was performed. The buildings were assumed to be founded on shallow foundations. Two site
Soil–structure interaction (SSI) conditions were considered: soil class C and soil class E, corresponding to firm and soft soil deposits,
Performance-based design (PBD) respectively. Vancouver seismic hazard has been considered for this study. Synthetic earthquake records
Seismic design of buildings compatible with Vancouver uniform hazard spectrum (UHS), as specified by the National Building Code
Underground stories
of Canada (NBCC) 2005, have been used as input motion. It was found that soil–structure interaction
Uniform hazard spectrum (UHS)
(SSI) can greatly affect the seismic performance of buildings in terms of the seismic storey shear and
Ground response analysis
moment demand, and the deformations of their structural components. Although most building codes
postulate that SSI effects generally decrease the force demand on buildings, but increase the
deformation demand, it was found that, for some of the cases considered, SSI effects increased both
the force and deformation demand on the buildings. The SSI effects generally depend on the stiffness of
the foundation and the number of underground stories. SSI effects are significant for soft soil conditions
and negligible for stiff soil conditions. It was also found that SSI effects are significant for buildings
resting on flexible ground surface with no underground stories, and gradually decrease with the
increase of the number of underground stories.
& 2009 Elsevier Ltd. All rights reserved.
0267-7261/$ - see front matter & 2009 Elsevier Ltd. All rights reserved.
doi:10.1016/j.soildyn.2009.02.003
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from five to fifteen stories, and underground stories ranging from 2. Description of model buildings
zero (i.e. no basement) to five underground stories were
performed. The nonlinear structural analysis program 2.1. Description of model geometry and structural system
Perform-3D [1] was chosen for this research since it is dedicated
mainly for the performance assessment of 3D structures in the The models adopted herein are 4 5 bays moment-resisting
context of performance-based design (PBD). Its material library frame steel buildings, having a constant bay width of 7.2 m and
contains a wide variety of structural components formulated constant story height of 3.6 m. Fig. 1 shows the plan of the
to account for both geometric and material nonlinearity in repetitive story of the buildings. The lateral resisting system of the
structures. building constituted four perimeter frames along the periphery of
the building where the girders were rigidly connected to the
columns, except where the girders were connected to the weak
side of the columns. Fig. 2 shows the layout of the lateral resisting
system of a typical model building. On the other hand, the inner
frames work mainly as the gravity load carrying system where
girders were pin-connected to the columns.
The parametric study involves evaluating the seismic perfor-
mance of five, ten and fifteen story buildings with three under-
ground stories. The buildings were assumed to be resting on
shallow foundations. To further explore the effect of the number
of underground stories on the seismic performance of buildings,
the ten story building was analyzed for zero (i.e. no basement),
one and five underground stories.
The thickness of the reinforced concrete basement walls was
assumed 0.25 m considering that they will resist the lateral earth
pressure only. Their reinforcement ratio was 0.25%, in accordance
with the specifications of FEMA 310 [2] document. Although they
were not designed to be part of the lateral resisting system of the
building, they were included in its structural model since they
should affect its seismic response due to their large mass and
in-plane bending stiffness.
On the other hand, the thickness of the slabs was taken as
Fig. 1. Plan of the repetitive story of the buildings. 0.25 m to be consistent with approximately 1/30 of the slab span
H. El Ganainy, M.H. El Naggar / Soil Dynamics and Earthquake Engineering 29 (2009) 1249–1261 1251
Table 1 Table 2
Unit weights and distributed loads used in defining the gravity loads acting on the Soil properties assigned for soil class C and soil class E.
buildings.
Soil class C Soil class E
Unit weights of materials (kN/m3)
Unit weight of steel 77 Shear wave velocity, Vs (m/s) 560 150
Unit weight of concrete 25 Dry unit weight, gdry (kN/m3) 21.00 18.00
Angle of internal friction, f1 40 30
Wall–soil friction angle, d1 25 20
Equivalent uniformly distributed load (kPa) Material damping ratio, e 0.05 0.05
Nonstructural components 1.1 Poisson ratio, n 0.35 0.35
Live load 2.4
The buildings site was assumed to have a 30-m-thick deposit of 5. Intended behavior and performance levels
homogeneous soil underlain by the bedrock. Therefore, the
average properties in the top 30 m were used for calculating the The seismic performance of the model buildings was examined
foundation and side soil mechanical properties in accordance with with an emphasis on the effect of underground stories, foundation
the National Building Code of Canada (NBCC) 2005 specifications. soil and side soil on the building performance. To achieve this goal
Two scenarios were assumed for the soil deposit used in the the nonlinear structural analysis program Perform-3D [1] is used.
current study, namely: soil class C corresponding to ‘‘very dense
soil and soft rock’’; and soil class E corresponding to ‘‘soft soil’’ in 5.1. Intended behavior of structural components
accordance with the site classification of the NBCC 2005. Table 2
lists the properties assigned for these two soil classes in the The perimeter frames were considered the primary structural
current study from the ranges specified by NBCC 2005, Das [3,4] component and comprise the lateral resisting system of the
and FEMA 356 [5] document. buildings. Therefore, the perimeter frames are intended to
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experience inelastic behavior in flexure but to remain essentially On the other hand, the basement walls are modeled using
elastic in axial and shear deformations. The connection panel inelastic fiber wall elements that could experience nonlinear
zones between the girders and columns of the perimeter frames behavior in in-plane bending, including: concrete fibers cracking
are also considered primary structural components, as they affect and crushing; and steel fibers yielding. However, they were
the performance level of the building, and are intended to assigned an elastic shear material to behave essentially elastic in
experience inelastic behavior in shear. However, the interior shear.
girders and columns that comprise the gravity load carrying
system are intended to behave elastically in flexure, axial and
shear deformations, since they are considered secondary structur- 5.2. Definition of performance levels
al components. These designations are in accordance with the
guidelines given by ASCE 41 [7] in classifying the structural To assess the performance of buildings, ASCE 41 [7] defines the
components of buildings in the context of the PBD principles. acceptance criteria of the structural components of the building in
The basement walls of the building contribute to its lateral terms of strength demand capacity ratios or deformation demand
resistance because of their orientation within the structural capacity ratios, depending on the force–deformation actions of the
system. Therefore, they also can be considered as primary structural components whether they are force-controlled or
structural components and hence are intended to experience deformation-controlled, respectively.
nonlinear behavior in in-plane bending. However, they should Perform-3D automatically calculates the strength and defor-
remain essentially elastic in shear, since shear failure in reinforced mation demand on the structural components of the building
concrete is a brittle mode of failure. This renders inelastic shear throughout the analysis steps. However, ASCE 41 [7] gives
behavior in structural members an undesired target performance. deformation capacities for the inelastic components correspond-
Finally, the slabs are intended to behave elastically and, as stated ing to the three target performance levels for structural compo-
before, were not included in the structural model. nents, namely: immediate occupancy (IO), life safety (LS)
To achieve these intended behaviors, the perimeter girders and and collapse prevention (CP). It defines the deformation
columns and the connection panel zones are modeled using capacities as multiple of the yield deformations of the compo-
inelastic frame and connection panel zone elements, respectively. nents. Table 5 gives the deformation capacities of the inelastic
They are assigned deformation-controlled force–deformation structural components encounter in the model buildings corre-
actions in bending and shear, respectively, in accordance with sponding to the IO, LS and CP performance levels and in
ASCE 41 [7] guidelines for structural steel components. The accordance with ASCE 41 [7] specifications. Deformation capa-
interior girders and columns are assigned force-controlled cities for perimeter girders and columns are expressed as multi-
force–deformation actions in flexure, axial and shear deforma- ples of the chord rotation (yy) at yield. The deformation capacities
tions (i.e. the components’ strengths are assigned to the elastic for the connection panel zones (assuming an improved
structural members without defining the associated plastic WUF-bolted web connection for the moment connections
deformations) as well as axial and shear modes of deformation between girders and columns) are expressed as functions of the
in perimeter girders and columns. The components’ strengths can girders’ depth (d). It should be noted that these deformation
be calculated in accordance with the established principles of capacities are plastic rotations and angular shear deformations,
mechanics (e.g. Load and Resistance Factor Design (LRFD) which dictates adding the yield deformations to them in order to
specifications for structural steel design considering a strength get the total deformation capacities.
reduction factor equals to unity). Perform-3D calculates the ASCE 41 [7] specifies that the strength capacity of structural
components’ strength from the geometric properties of members’ components should be assigned different values corresponding to
cross section (e.g. section modulus) and the associated mechan- the considered performance level. In the current study, compo-
ical properties of the cross section’s material (e.g. yield strength of nents that have force-controlled force–deformation actions are
steel). required to remain elastic. Therefore, for the performance levels
IO, LS and CP, the strength capacities were taken equal to the
nominal capacities of the components.
Table 4 To reduce the volume of analysis output results, Perform-3D
Preliminary sections for girders and columns of the model buildings as obtained groups demand capacity ratios of similar components together to
from ETABS. distill the results down to few ‘‘Limit States’’ that can be easily
used in assessing the performance of buildings. Each limit state
5 story building 10 story building 15 story building
groups similar demand capacity ratios (e.g. end rotation of
Perimeter girders W 27 146 W 27 94 W 27 146 perimeter girders) at a certain performance level (e.g. LS
E–W interior girders W 18 106 W 18 97 W 18 106 performance level). It then calculates the maximum demand
N–S interior girders W 24 104 W 24 104 W 24 104 capacity ratio, within each time step, for all the components in the
Perimeter columns W 14 90 W 14 145 W 14 233
Interior columns W 14 90 W 14 132 W 14 193
limit state. Perform-3D defines this maximum demand capacity
ratio as the ‘‘Usage Ratio’’ of the limit state at this time step. The
Table 5
Deformation capacities for inelastic structural components of buildings corresponding to IO, LS and CP performance levels.
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A VB–VL bounding surface was assigned for the shear hinge to structures. For flexible structures, such as moment-resisting
account for the interaction between the horizontal responses frame structures, the effect of the radiation damping would be
of the footing along its width and length. The elliptical equation of minimal and can be neglected.
this bounding surface is built-in Perform-3D and was used in this
regard [9]. Finally, the radiation damping through the foundation In the current study, the elastic stiffness and nonlinear behavior
soil was neglected. This is considered an acceptable approxima- of side soil were modeled. However, the oscillating mass of the
tion, since the hysteretic damping is more important in the case of side soil and the radiation damping effects were neglected.
seismic loading. Currently, there are no nonlinear bar elements in Perform-3D
capable of modeling the nonlinear backbone curve of the side soil
6.2. Side soil as shown in Fig. 3. Therefore, approximating assumptions were
introduced in order to make use of the available nonlinear bar
The effect of side soil on the seismic performance of buildings elements in Perform-3D to model the nonlinear response of the
with underground stories can be grouped into three aspects: side soil adequately.
The approximation done herein can be better understood if the
(1) Side soil serves as a flexible support to the building in lateral lateral pressure–lateral deflection relation of the side soil is
deformation. In the static case, it acts on the basement walls represented into two distinct parts as follows (with reference to
with a lateral pressure corresponding to the active earth Fig. 4):
pressure. Under seismic shaking, as the building oscillates
back and forth towards and away from the side soil, it (1) Under static loading condition, the side soil acts on the
responds like horizontal elastic springs. As the intensity of the basement walls with a static pressure corresponding to the
seismic shaking increases, the side soil could experience a active earth pressure.
nonlinear behavior, in which it cannot provide a lateral (2) As the building oscillates, the side soil acts like horizontal
pressure on the basement walls more than its passive nonlinear springs, where their ultimate compression capa-
resistance, Pp, while the building is swaying towards the cities are PpPa. However, they possess no tension capacity.
backfill. Also, it cannot provide a lateral pressure less than its
active resistance, Pa, while the building is swaying away from It should be noted that the soil considered in this study is
the backfill. In some types of soils, especially cohesive soil, cohesionless and should not experience gapping (i.e. the mini-
gapping could occur between the basement walls and the mum earth pressure cannot drop below the active value). Thus,
backfill as a result of the building oscillation. In this case, the this approach is considered to be adequate in representing the
lateral pressure of the backfill on the basement walls drops to backbone curve for the lateral pressure–lateral deflection relation
zero. This nonlinear behavior can result in hysteretic for- of the side soil.
ce–deformation actions in the side soil where the resulting Briaud and Kim [12] have recommended a set of static Py
hysteretic damping provides an additional source for dissipat- curves for sand and clay to be used within a beam–column
ing the earthquake energy. Fig. 3 shows the backbone curve method for the design of tieback walls. They validated the curves
for the hysteretic lateral pressure–lateral deflection relation of by comparing their predictions with the measured behavior of
the side soil. four-full scale tieback walls in sand and in clay. The Py curves
(2) Under severe seismic shaking, where the backfill experiences recommended by Briaud and Kim [12] for sand are used herein in
nonlinear response, the wedge of the soil behind the base- modeling the backbone curve of the hysteretic lateral pressur-
ment walls could fail and begin oscillating with the building, e–lateral deflection relation of the side soil.
either in-phase or out-of-phase. This oscillating mass of soil The active, Pa, and passive, Pp, earth pressures and the
could affect the seismic response of the building by altering its corresponding wall deflections ya and ya, respectively, are
effective oscillating mass. However, this oscillating soil mass calculated for sand as follows:
could be neglected in comparison to the mass of the structural
components and basement walls of the building, without Pa ¼ K a gZ cosðdÞ (1)
affecting the seismic response of the building significantly.
(3) Side soil dissipates the earthquake energy through radiation Pp ¼ K p gZ cosðdÞ (2)
damping. This additional damping can affect the seismic
response of the building, since it increases its effective ya ¼ 1:3 mm (3)
damping ratio. However, this effect would be most significant
for stiff structures, such as shear wall and braced frame yp ¼ 13 mm (4)
Fig. 3. Backbone curve of the hysteretic lateral pressure–lateral deflection relation for the side soil.
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Fig. 4. Approximate representation of the lateral pressure–lateral deflection relation for the side soil.
g is the unit weight of the soil, Z is the depth at which the lateral The NBCC 2005 has introduced uniform hazard spectra that
earth pressure is calculated, f is the angle of internal friction of have a constant probability of exceedance of 2% in 50 years as a
the soil, and d is the wall–soil friction angle. function of spectral period. These spectra are based on a
Using Eqs. (1)–(4) and the soil properties for site class C and probabilistic seismic hazard assessment for different zones across
site class E listed in Table 2, the backbone curves for the hysteretic Canada [13]. The UHS eliminate the need to use standard spectral
lateral pressure–lateral deflection relation of the side soil were shapes scaled to the peak ground acceleration, thus providing a
calculated at selected depths. more site-specific description of the earthquake spectrum and
The backbone curve for the side soil can be adequately ensuring a uniform hazard level to be achieved for all spectral
modeled using the horizontal nonlinear springs and static active periods [13].
earth pressure distributed over the basement walls’ area. Thus, The UHS can be considered as a composite of all earthquake
nonlinear inelastic horizontal bar elements distributed horizon- events that contribute most strongly to the hazard at the specified
tally and vertically over the surface area of the basement walls probability level. In general, the dominant contributor to the
were used to model the nonlinear behavior of the side soil. The short-period ground-motion hazard comes from small-to-moder-
bar elements were equally spaced vertically at 1.2 m and ate earthquakes at close distances, whereas larger earthquakes at
horizontally at 7.2 m (i.e. the bar elements were distributed along greater distance contribute most strongly to the long-period
the underground perimeter columns, so that one bar is located at ground-motion hazard [14].
each story level and two intermediate bars are equally spaced The artificial ground-motion time histories compatible
within each story). The backbone curve for each bar element was with the 2% in 50 year UHS of the NBCC 2005 for the
calculated using its corresponding depth. The minimum active Vancouver area suggested by Atkinson and Beresnev [14] were
earth pressure acting on the basement walls was represented by used as input motion. They proposed an event of M6.5 at a
static concentrated loads acting at the bar elements’ locations. distance of 30 km to represent the short-period hazard and an
These loads were calculated as the value of the active earth event of M7.2 at a distance of 70 km to represent the long-period
pressure at the bar level multiplied by the horizontal and vertical hazard. In addition, an earthquake of M8.5 for the Cascadia event
spacing of the bar elements. scaled by a factor of 2.2 is used to simulate a great earthquake on
the Cascadia subduction zone. Therefore, three earthquake
records are required to cover the entire hazard represented by
7. Earthquake loads the NBCC 2005 UHS for the Vancouver area. Figs. 5–7 show the
three artificial acceleration records used in the dynamic analysis
The model buildings are assumed to be located in the of the buildings. Each building was analyzed for each of these
Vancouver area. Thus, earthquake records compatible with the three records.
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Fig. 7. Acceleration record for M8.5 Cascadia event scaled by a factor of 2.2.
7.2. Ground response analysis motions at the considered foundation levels. In general, the
results show attenuation for the three bedrock motions, which is
The UHS given by the NBCC 2005 are defined with reference to most pronounced for M6.5 at a distance of 30 km event.
site class C that is defined as ‘‘very dense soil and soft rock’’. Thus,
the compatible records can be considered bedrock motions.
In general, the characteristics of the bedrock motion can be 8. Nonlinear dynamic analysis
amplified or attenuated while propagating from the bedrock
towards the ground surface. This alteration depends mainly on the Nonlinear dynamic analyses were performed to assess the
frequency content of the bedrock motion and the properties of the seismic performance of the model buildings. A series of nonlinear
soil deposit. Firm soil deposits, such as site class C, will probably direct integration time–history analyses were conducted using the
not alter the characteristics of the bedrock motion since they can nonlinear structural analysis software Perform-3D [1].
be considered part of the bedrock. Therefore, all buildings founded The seismic responses of five, ten and fifteen story buildings
on site class C can be analyzed for the bedrock motions shown in with underground stories ranging from zero (i.e. founded on the
Figs. 5–7, whether they are surface building or have multiple ground surface) to five underground stories were investigated.
underground stories. The response of the buildings was evaluated in terms of: (1) the
On the other hand, a soft soil deposit as site class E would magnitudes and distribution of the envelope of the story shear
probably alter the characteristics of the bedrock motion, by and moment demand on the buildings throughout each seismic
amplification or attenuation. Thus, the ground motions shown in event; (2) the maximum usage ratio of the limit states defining
Figs. 5–7 were propagated within a 30-m-thick deposit of soil site the performance level of the primary structural components of
class E (Table 2), performing nonlinear free-field site response the building. The performance of the following structural
analyses using the one-dimensional (1D) site response analysis components has been investigated: (1) perimeter columns’ end
program DEEPSOIL [15]. The G/Gmax modulus reduction curve and rotation; (2) perimeter girders’ end rotation; (3) connection panel
the equivalent damping ratio versus shear strain relationship for zones’ shear deformation, in terms of three performance levels,
sand given by Seed and Idriss [16] were assigned to the soil namely: immediate occupancy, life safety and collapse prevention,
deposit [17]. as specified by the ASCE 41 [7] standard.
Three ground response analyses were conducted, one for each
of the three ground motions as input bedrock motion and the
response of the soil deposit was evaluated. The ground motion 8.1. Nonlinear direct integration time–history analysis
was calculated at four foundation levels corresponding to
buildings having five, three and one underground stories and Perform-3D utilizes step-by-step integration through time
at the ground surface for buildings with surface foundations. using the constant average acceleration (CAA) method (also
Figs. 8–10 show the results of the ground response analyses in known as the trapezoidal rule or the Newmark b ¼ 14 method) to
terms of the acceleration time histories of the three bedrock calculate the seismic response of buildings.
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Fig. 10. Ground response analysis results for M8.5 Cascadia event scaled by a factor of 2.2.
The input ground motions resulting from the ground response Rayleigh damping could overestimate the viscous damping in
analyses and the corresponding bedrock motions were used in nonlinear structures [18]. Using the modal damping could
the analysis of the buildings. The earthquake direction was set alleviate this defect.
to the W–E direction for all buildings. The ground motions were In the modal damping approach, the damping matrix is
given in 0.01 s time steps. Therefore, the integration time step for calculated for linear analysis using the elastic mode shapes and
the analysis was taken 0.01 s in order to accurately capture the periods of the structure utilizing the specified damping ratio. This
input ground motions. Also, it is sufficiently small to capture damping matrix is kept constant throughout the analysis steps.
the structure response, since it is considerably smaller than For nonlinear analysis, the deformed shape for the nonlinear
1
the recommended practical value of 12 of the structure period [18] structure generally contains contributions from the elastic mode
that ranges around 3.0 s for all model buildings encountered in shapes. However, the effective periods of vibration for these
this study. shapes are not the linear periods. Consequently, the mode shapes
There are two sources of damping in nonlinear structures: (1) are still damped, but since the effective period may have changed
for a structure that is essentially elastic, the earthquake energy is after yielding of structural components (probably increased)
dissipated through viscous damping; (2) after the structure yields, while the damping matrix is unchanged, the amount of damping,
hysteretic damping resulting from the inelastic behavior of the expressed as a proportion of critical damping, generally changes
structural components would add to the total dissipated energy. [18]. A shortcoming of using modal damping in nonlinear analysis
Modeling the structural elements of the building using inelastic is that only the calculated elastic mode shapes are damped.
components inherently accounts for this source of damping [18]. However, the higher modes are undamped.
To simulate viscous damping in buildings, either the modal To provide reasonable damping values, avoiding the pitfalls of
damping or Rayleigh damping can be used. both methods, a combination of modal damping and a small value
Rayleigh damping calculates the damping matrix of the of the Beta-K Rayleigh damping (with no Alpha-M damping) could
structure using a combination of the mass matrix and the initial be used. This is to insure that the Beta-K part will serve in
elastic stiffness matrix of the structure, multiplied by scaling damping the higher modes of vibration, and the modal damping
factors, a and b, for the mass and stiffness matrices, respectively. serves in damping the lower modes (i.e. elastic modes). For the
The Rayleigh damping is widely used in linear structural analysis. current study, the damping ratio was assigned to the model
However, it can lead to unrealistic large damping values in buildings as a combination of 3% modal damping in addition to
nonlinear analysis. The Rayleigh damping matrix is calculated 0.1% Beta-K Rayleigh damping, and six modes of vibration were
once at the beginning of the analysis using the initial elastic calculated for the buildings.
stiffness matrix of the structure and is used throughout the The analyses involved a gravity load case followed by a series
analysis. However, as the intensity of the seismic shaking of independent dynamic analyses, each having the gravity load
increases and the structure experiences nonlinear behavior in case as the preceding case. The self weight of the structure and the
the form of plastic hinging, the structure would soften and its active earth pressure acting on the basement walls were applied
stiffness would decrease and become much less than the elastic in the gravity load case. The p–d effects were considered for all the
value used initially in calculating the damping matrix. Hence, the vertical components of the building. The elastic frame members
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Fig. 13. Story moment demand on five story buildings—M8.5 Cascadia event
scaled by a factor of 2.2 (soil class C).
Fig. 11. Story shear demand on five story buildings—M8.5 Cascadia event scaled (1) For buildings with underground stories or flexible foundations
by a factor of 2.2 (soil class C). founded on soil class C, the envelope of the story shear and
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Fig. 15. Usage ratio of limit states for five story buildings—M8.5 Cascadia event
scaled by a factor of 2.2 (soil class C).
Fig. 14. Story moment demand on five story buildings—M8.5 Cascadia event
scaled by a factor of 2.2 (soil class E).
H. El Ganainy, M.H. El Naggar / Soil Dynamics and Earthquake Engineering 29 (2009) 1249–1261 1261
respectively. Vancouver seismic area has been considered for this case for buildings founded on soil class E. This would in turn
study. Synthetic earthquake records compatible with the Vancou- increase the lateral deflection of the whole building. Thus, SSI can
ver UHS, as specified by the NBCC 2005, have been used as input have a detrimental effect on the performance of buildings.
motion. For buildings founded on site class C, the bedrock motions
have been utilized in the seismic analyses of the buildings.
However, for buildings founded on site class E, ground response References
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