Earthquake Engineering

Definition
Earthquake Engineering can be defined as the branch of engineering devoted to mitigating earthquake
hazards. In this broad sense, earthquake engineering covers the investigation and solution of the problems
created by damaging earthquakes, and consequently the work involved in the practical application of these
solutions, i.e. in planning, designing, constructing and managing earthquake-resistant structures and facilities.
Objectives and Scope of this Volume
The main objective of this volume is to illustrate to students of structural and architectural engineering the
problems and solutions in attaining efficient earthquake-resistant structures and facilities.
To achieve this objective, after a brief discussion of the general goals in seismic-resistant design and
construction of structures and facilities, the different sources of damage that can be triggered by an earthquake
are discussed and illustrated. Emphasis is placed on the discussion and illustration of damage induced by
vibration on timber, masonry, concrete and steel structures.
The importance of a comprehensive approach to the problem of earthquake resistant construction is
emphasized next and the need for placing more emphasis on conceptual design is discussed by offering
guidelines for and illustrations of efficient seismic-resistant design.
The need for research in earthquake-resistant design and construction is briefly discussed and examples of
integrated experimental and analytical investigations in the development of modern seismic-resistant design are
also shown.
General Goals in Seismic-Resistant Design and Construction
The philosophy of earthquake design for structures other than essential facilities has been well established
and proposed as follows:
a. To prevent non-structural damage in frequent minor ground shaking

b. To prevent structural damage and minimize non-structural damage in occasional moderate ground
shaking

c. To avoid collapse or serious damage in rare major ground shaking

This philosophy is in complete accord with the concept of comprehensive design. However, current design
methodologies fall short of realizing the objectives of this general philosophy.
The implementation of this philosophy presents serious problems particularly in quantifying the different
types of damage (structural and non-structural) and what constitutes frequent minor, occasional moderate, and
rare major earthquake ground shaking.
The seismic effect or damage that usually concerns the structural engineer, and which is taken into account by
code seismic-resistant design provisions, is the vibration of the structure in response to ground shaking at its
foundation. Although damage due to other effects may exceed that due to vibration, procedures for gauging the
probability of these effects and for coping with them are outside the scope of the structural engineering
discipline and so are usually not included in seismic-resistant codes. Nonetheless, the structural engineer
should be aware of the different seismic hazards and should advise the client of potential damage involved in
locating structures at certain sites. Thus the first step in the design procedure of a future structure should be the
analysis of the suitability of the site selected with proper consideration for the potential of any one of the above
types of damage.
Base Shear

Base shear is an estimate of the maximum expected lateral force that will occur due to seismic ground motion at
the base of a structure. Calculations of base shear (V) depend on:
 soil conditions at the site
 proximity to potential sources of seismic activity (such as geological faults)
 probability of significant seismic ground motion
 the level of ductility and over strength associated with various structural configurations and the total
weight of the structure
 the fundamental (natural) period of vibration of the structure when subjected to dynamic loading
Base Shear - Uniform Building Code (UBC)

The UBC addresses the probability of significant seismic activity in various locations by
categorizing geographic regions of the U.S. as Seismic Zones 0 through 4 (See UBC Figure 16-2).
Seismic Zone 0 indicates a geographic location where no seismic activity is expected to occur.
Seismic Zone 4 indicates a geographic location with a high probability of significant seismic
activity.

The equivalent static force procedure in the Uniform Building Code (UBC 1630.2) specifies the
following formula for calculating base shear (V):
 V = Cv I W / R T (UBC Equation 30-4)

The UBC also specifies the following upper and lower bounds for V:

Upper bound: V < 2.5 Ca I W / R (UBC Equation 30-5)

Lower bound: V > 0.11 Ca I W / R (UBC Equation 30-6)

An additional lower bound applies in seismic zone 4 (major portions of California, as well as
regions in Alaska, Arizona, Hawaii, Idaho, Montana, Nevada and Wyoming):

V > 0.8 Z Nv I W / R (UBC Equation 30-7)
The upper bound value for base shear tends to govern for relatively stiff structures that exhibit a
small (short) fundamental period of vibration (T). The lower bound values for base shear tend to
govern for relatively flexible structures that exhibit a large (long) fundamental period of vibration
(T).

UBC Base Shear (continued)

The terms used to calculate base shear (V) in UBC Equation 30-4 are defined as follows:

W = total seismic dead load of the structure (dead loads plus applicable portions of some storage
loads and snow loads, as specified in UBC 1630.1.1)
I = importance factor (see UBC Table 16-K)
The importance factor is essentially an extra safety adjustment used to increase the
calculated load on a structure based on its occupancy and/or function. Essential facilities
(such as hospitals, fire and police stations, etc.) and facilities that house toxic or
explosive substances have higher seismic importance factors (I = 1.25) than other
structures (I = 1.0). Higher importance factors are intended to insure that structural
integrity is not compromised and important facilities remain operational during
emergencies and natural disasters. Based on typical occupancy classifications for most
wood structures, wood buildings are frequently designed using an importance factor of
unity (I = 1.0).

Designers should note that the seismic importance factor (I) is not identical to the
importance factor for wind (Iw). Futhermore, the UBC provides two distinct seismic
importance factors - one (I) for the design of typical structural systems/assemblies such
as shear walls and diaphragms, and another (Ip) for the design of critical elements that
are attached to structures and may need to resist large concentrated seismic forces (see
UBC Section 1632 for more details).

T = fundamental (natural) period of vibration for a structure

The UBC provides the following simplified method for estimating T based on the height of the
structure (hn):
T = Ct (hn)3/4 (UBC Equation 30-8)
where Ct = 0.02 for wood structures
hn = height of the top level of a structure (ft)

For structures with flat roofs, hn is the distance from the ground to the roof/ceiling
system. For structures with sloped (pitched) roofs, hn may be taken as either the height
of the ceiling system above the ground or as the mean roof height.
R= ductility and overstrength factor (see UBC Table 16-N)
The R factor is intended to account for inelastic structural behavior and the ability of a
structure to displace/deform and dissipate energy without failing. Since all R factors
specified in UBC Table 16-N are greater than unity (R > 1.0), the R factor effectively
reduces the calculated base shear (V) by varying amounts depending on the ductility of
a structure. In general, ductile structural systems should have higher R factors than
brittle structural systems. Typical values of R for many low-rise wood structures are:

 R = 5.5 for light frame wood buildings with shear walls that support gravity
 loads and simultaneously resist lateral loads in structures less than 4 stories high

 R = 4.5 for light frame wood buildings with shear walls that support gravity
loads and simultaneously resist lateral loads in structures more than 3 stories
high

The following additional R factors also apply to wood structures, but are associated
with less commonly used structural systems:

 R = 6.5 for light frame wood buildings less than 4 stories high in which the
frame system supports gravity loads independently of the shear panels that resist
lateral loads

 R = 5.0 for light frame wood buildings more than 3 stories high in which the
frame system supports gravity loads independently of the shear panels that resist
lateral loads

 R = 5.6 for heavy timber braced frames in which the frame system supports
gravity loads independently of the bracing that resists lateral loads

 R = 2.8 for heavy timber braced frames in which bracing supports gravity loads
and simultaneously resists lateral loads

Cv and Ca are seismic coefficients associated with structural sensitivity to the velocity and
acceleration (respectively) of seismic ground motion. Cv and Caare based on the geographic location
of the structure (seismic zone) and soil conditions at the site. Values for Cv and Ca are specified in
UBC Tables 16-R and 16-Q.

The additional lower bound for calculating base shear (V) in seismic zone 4 includes factors
associated with the magnitude of peak ground acceleration (Z) and proximity to known sources of
seismic activity (Nv). Values for Z and Nv are provided in UBC Tables 16-I and 16-T.

UBC Lateral Story Forces

Lateral forces that counteract the base shear, V, are assumed to act at each story level of the
structure. The magnitude of each story force,Fx, is determined from the following formula:

(UBC Equation 30-15)

where:
hx is the height from the base of the structure to level x

wx is the portion of the building weight assumed to be “lumped” at level x. wx typically includes the
total weight of the floor or ceiling/roof system at level x, plus half the weight of the vertical
elements (walls; columns) located immediately below level x and half the weight of the vertical
elements located immediately above level x.

Ft is an additional lateral force assumed to act at the top of a structure. This force is intended to
approximate the effects of higher modes of structural vibration. The magnitude of Ft is determined
based on the natural (fundamental) period of vibration of the structure, T:
Ft = 0 when T < 0.7s
Ft = 0.07 T V when 0.7s < T < 3.57s (UBC Equation 30-14)
Ft = 0.25 V when T > 3.57s

Since Ft = 0 when T < 0.7s, it is apparent from UBC Equation 30-8 that Ft = 0 for buildings less than 114.5 ft
tall. Thus, designers are not required to consider an additional lateral force at the top (Ft) for most wood
buildings.
 UBC Simplified Lateral Forces

An alternate (simplified) procedure can be used to determine the base shear, V, and story forces, Fx,
for low-rise, “standard occupancy,” light frame wood structures that are 3 stories or less in height
(see UBC 1629.8.2, 1630.2.3, and Table 16-K):
V = 3 CaW/ R (UBC Equation 30-11)
Fx = 3 Cawx / R (UBC Equation 30-12)

This simplified procedure eliminates explicit consideration of the natural (fundamental) period of
structural vibration, T, and the height to each floor level, hx, when calculating base shear, V, and
story forces, Fx. Furthermore, the extra force at the top of the structure, Ft, for approximating the
effects of complex structural vibrations is not considered in the simplified methodology.
UBC Comparison

In order to provide a comparison between the equivalent lateral force method and the
simplified lateral force method, consider a 3-story wood-frame structure with:

Building weight distributed in equal proportions to the 1st level, 2nd

level,
and 3rd (roof) level of the structure (w1 = w2 = w3 = W/3), and

Equal distance (height) between each level of the structure

(h1 = h; h2 = 2h; h3 = hn = 3h).

Since the total height (hn = 3h) of a 3-story wood structure will be less than 114.5 ft., this means that Ft = 0. As
illustrated below,
solving UBC Equation 30-15 for the equivalent lateral force at each level results in lateral force magnitudes of:

50% of the base shear at the top (roof) level (F3 = Fn = V/2)

33% of the base shear at the 2nd level of the structure (F2 = V/3)

17% of the base shear at the 1st level of the structure (F1 = V/6)

Alternatively, solving UBC Equation 30-12 for the simplified lateral force at each level results in:

F1 = F2 = F3 = V/3

UBC Diaphragm Forces

The seismic lateral force applied to the perimeter of floor or roof/ceiling diaphragms at each level of
a structure is determined as follows (UBC 1633.2.9):

(UBC Equation 33-1)

The UBC also specifies the following lower and upper bounds for Fpx,
Lower bound: Fpx > 0.5 Ca I wpxc
Upper bound: Fpx < Ca I wpxc

where wpx is the portion of the building weight assumed to be "lumped" with the diaphragm at level x.

wpx is similar to wx used to calculate equivalent lateral story forces, Fx, but does not include the weight of
the shear walls that are aligned in the direction of the lateral diaphragm force, Fpx, under consideration.

The diaphragm force, Fpx can be divided by the diaphragm length, L, perpendicular to the direction of Fpx
in order to determine an equivalent uniformly distributed lateral diaphragm load applied to the edge
(perimeter) of the diaphragm.
 Direction of Seismic Loading

In order to determine the critical seismic loading for all shear walls, diaphragms and connections in a wood
structure, lateral seismic forces are typically determined for two orthogonal directions. For a rectangular wood
building this means that base shear V, Fx forces, and Fpx forces will be determined in a direction parallel to the
longitudinal exterior walls of the structure, and also in a direction parallel to the transverse exterior walls of the
structure.

Each direction of seismic loading is considered independently, and structural elements must be designed to
resist the maximum applicable load.

Base Shear - International Building Code (IBC)

The IBC addresses the probability of significant seismic ground motion by using maps of
spectral response accelerations (Ss and S1) for various geographic locations (see IBC Figures
1615(1) through 1615(10)). These mapped spectral response accelerations are combined with
soil conditions and building occupancy classifications to determine Seismic Design Categories A
through F for various structures. Seismic Design Category A indicates a structure that is
expected to experience very minor (if any) seismic activity. Seismic Design Category F indicates
a structure with very high probability of experiencing significant seismic activity.

The equivalent static force procedure in the International Building Code (IBC 1617.4) specifies
the following formula for calculating base shear (V):
V = CsW (IBC Equation 16-34)
where the seismic response coefficient, Cs, is defined as:
(IBC equations 16-36, 16-17, and
Cs = (2/3) FvS1IE / R T
16-19)
The IBC specifies the following upper and lower bounds for Cs:
(IBC Equations 16-35, 16-16,
Upper bound: Cs < (2/3) Fa Ss IE/ R
and 16-18)

(IBC Equations 16-37,

Lower bound: Cs > (0.044) (2/3) Fa Ss IE
16-16, and 16-18)

An additional lower bound applies for structures in Seismic Design Categories E and F, or structures
with a large spectral response acceleration for one-second period of vibration, S1 > 0.6g:
Cs > 0.5 S1 IE / R (IBC Equation 16-38)
The upper bound value for Cs tends to govern for relatively stiff structures that exhibit a small
(short) fundamental period of vibration (T). The lower bound values for Cs tend to govern for
relatively flexible structures that exhibit a large (long) fundamental period of vibration (T).

The terms used to calculate base shear (V) in IBC Equations 16-34 through 16-38 are defined as
follows:

W = effective seismic weight of the structure (dead loads plus applicable portions of some storage
loads and snow loads, as specified in IBC 1617.4.1)
IE = seismic importance factor (see IBC Table 1604.5)
The importance factor is essentially an extra safety adjustment used to increase
the calculated load on a structure based on its occupancy and/or function.
Essential facilities (such as hospitals, fire and police stations, etc.) have the
highest seismic importance factors (IE= 1.5), while buildings where people
congregate (such as schools, auditoriums, etc.) also have relatively high seismic
importance factors (IE = 1.25). Other structures have a seismic importance factor
of unity (IE = 1.0). Higher importance factors are intended to insure that structural
integrity is not compromised and important facilities remain operational during
emergencies and natural disasters. Based on typical occupancy classifications for
most wood structures, wood buildings are frequently designed using an
importance factor of unity (IE = 1.0).
Designers should note that the seismic importance factor (IE) is not identical to
the importance factor for wind (Iw ) nor the importance factor for snow (Is ).
T = fundamental (natural) period of vibration for a structure
The IBC provides the following simplified method for estimating T based on the height of the
structure (hn):
 T = Ct (hn)3/4 (IBC Equation 16-39)
where Ct = 0.02 for wood structures
hn = height of the top level of a structure (ft)
For structures with flat roofs, hn is the distance from the ground to the roof/ceiling
system. For structures with sloped (pitched) roofs, hnmay be taken as either the height of
the ceiling system above the ground or as the mean roof height.
R= structural response modification factor (see IBC Table 1617.6)
The R factor is intended to account for inelastic structural behavior and the ability of a
structure to displace/deform and dissipate energy without failing. Since all R factors
specified in IBC Table 1617.6 are greater than unity (R > 1.0), the R factor effectively
reduces the calculated base shear (V ) by varying amounts depending on the ductility of
a structure. In general, ductile structural systems should have higher R factors than
brittle structural systems. A typical value of R for many low-rise wood structures is:

 R = 6 for light frame wood buildings with shear walls that support gravity loads
and simultaneously resist lateral loads

The following additional R factor also applies to wood structures, but is associated with
less commonly used structural systems:

 R = 6.5 for light frame wood buildings in which the frame system supports
gravity loads independently of the shear panels that resist lateral loads

Ss and S1 are maximum spectral response accelerations for short (0.2 second) periods of vibration
and for longer (1.0 second) periods of vibration, respectively. Values for Ss and S1 are provided as
contour lines superimposed on maps of the United States (see IBC Figures 1615(1) through
1615(10)), in units of percent acceleration due to gravity (%g).
Fv and Fa are seismic coefficients associated with structural sensitivity to the velocity and acceleration
(respectively) of seismic ground motion. Fv and Faare based on the spectral response accelerations (Ss
and S1) associated with the geographic location of the structure and soil conditions at the site. Values for
Fv and Fa are specified in IBC Tables 1615.1.2(1) and 1615.1.2(2).

IBC Lateral Story Forces

Lateral forces that counteract the base shear, V, are assumed to act at each story level of the
structure. The magnitude of each story force,Fx, is determined from the following formula:

(IBC Equations 16-41 and 16-42)

where:
hx is the height from the base of the structure to level x

wx is the portion of the building weight assumed to be “lumped” at level x. wx typically includes the
total weight of the floor or ceiling/roof system at level x, plus half the weight of the vertical
elements (walls; columns) located immediately below level x and half the weight of the vertical
elements located immediately above level x.

k is an exponent that affects the distribution of lateral forces to various story levels. The magnitude
of k is determined based on the natural (fundamental) period of vibration of the structure, T:
k=1 when T < 0.5s
1<k<2 when 0.5 s < T < 2.5 s
k=2 when T > 2.5s
When k = 1 the equivalent lateral story forces (Fx) vary linearly with height. When k > 1 the equivalent lateral
story forces vary nonlinearly with height to approximate the effects of higher modes of structural vibration.
Since k = 1 when T < 0.5s, it is apparent from IBC Equation 16-39 that k = 1 for buildings less than 73.1 ft tall.
Thus, k = 1 for most wood buildings.
EXCEPTION: In regions of low seismic activity (Seismic Design Category A) it is not necessary to calculate
the base shear, V. Furthermore, lateral story forces (Fx) are simply assumed to be 1% of the “lumped weight” at
level x:

Fx = 0.01 wx (IBC Equation 16-27)

IBC Simplified Lateral Forces

An alternate (simplified) procedure can be used to determine the base shear, V, and story forces, Fx,
for low-rise, “standard occupancy” light frame wood structures that are 3 stories or less in height
(see IBC 1616.6.1, 1617.5, and Table 1604.5):

V = (1.2) (2/3) FaSs W/ R (IBC Equations 16-49, 16-16, and 16-18)

Fx = (1.2) (2/3) Fa Ss wx / R (IBC Equations 16-50, 16-16, and 16-18)

This simplified procedure eliminates explicit consideration of the natural (fundamental) period of
structural vibration, T, and the height to each floor level, hx, when calculating base shear, V, and
story forces, Fx.
IBC Comparison

In order to provide a comparison between the equivalent lateral force method and the
simplified lateral force method, consider a 3-story wood-frame structure with:

Building weight distributed in equal proportions to the 1st level, 2nd

level, and
3rd (roof) level of the structure (w1 = w2 = w3 = W/3), and

Equal distance (height) between each level of the structure

(h1 = h; h2 = 2h; h3 = hn = 3h).

Since the total height (hn = 3h) of a 3-story wood structure will be less than 73.1 ft, this means that k = 1. As
illustrated below,
solving IBC Equation 16-41 and 16-42 for the equivalent lateral force at each level results in lateral force
magnitudes of:

50% of the base shear at the top (roof) level (F3 = Fn = V/2)

33% of the base shear at the 2nd level of the structure (F2 = V/3)

17% of the base shear at the 1st level of the structure (F1 = V/6)

Alternatively, solving IBC Equation 16-50, 16-16 and 16-18 for the simplified lateral force at each level results
in:

F1 = F2 = F3 = V/3

IBC Diaphragm Forces

The seismic lateral force applied to the perimeter of floor or roof/ceiling diaphragms at each level of
a structure is determined as follows (IBC 1620.3.3):

(IBC Equation 16-65)

The IBC also specifies the following lower and upper bounds for Fpx:
Lower bound: Fpx > (0.15) (2/3) FaSs IE wpx
Upper bound: Fpx < (0.30) (2/3) FaSs IE wpx

where wpx is the portion of the building weight assumed to be "lumped" with the diaphragm at level
x.
 wpx is similar to wx used to calculate equivalent lateral story forces, Fx, but does not include the
weight of the shear walls that are aligned in the direction of the lateral diaphragm force, Fpx, under
consideration.

The diaphragm force, Fpx, can be divided by the diaphragm length, L, perpendicular to the direction
of Fpx in order to determine an equivalent uniformly distributed lateral diaphragm load applied to
the edge (perimeter) of the diaphragm.
Direction of Seismic Loading

In order to determine the critical seismic loading for all shear walls, diaphragms and connections in a wood
structure, lateral seismic forces are typically determined for two orthogonal directions. For a rectangular wood
building this means that base shear V, Fx forces, and Fpx forces will be determined in a direction parallel to the
longitudinal exterior walls of the structure, and also in a direction parallel to the transverse exterior walls of the
structure.

Each direction of seismic loading is considered independently, and structural elements must be designed to
resist the maximum applicable load.

Seismic Loads

Earthquakes often occur due to slip between tectonic plates along a geological fault in the earth's crust.
Earthquakes result in various types of ground motion as seismic waves propagate through the earth. As these
waves pass the location of a structure, the associated ground motion subjects the structure to lateral forces
(primarily) and vertical forces (to a lesser degree).

The following is a short animation that illustrates the origin of seismic waves and their effect on a single story
structure.

Ground motion at the base of a structure results in dynamic loads (forces) distributed throughout the structure
based on the stiffnesses of structural elements (restoring forces) and the distribution of mass (inertial forces).
The most accurate methods of design for seismic loads involve comprehensive dynamic analyses of structures.
However, simplified analytical techniques (typically referred to as equivalent static force or equivalent lateral
force procedures) are provided in model building codes for the design of low-rise buildings subjected to seismic
loads. Since most wood structures are classified as low-rise buildings, this tutorial focuses on understanding and
utilizing the equivalent static (lateral) force procedures specified in the 2000 International Building Code (IBC)
and the 1997 Uniform Building Code (UBC).

Equivalent Static Lateral Forces

The concept employed in equivalent static lateral force procedures is to place static loads on a structure with
magnitudes and direction that closely approximate the effects of dynamic loading caused by earthquakes.
Concentrated lateral forces due to dynamic loading tend to occur at floor and ceiling/roof levels in buildings,
where concentration of mass is the highest. Furthermore, concentrated lateral forces tend to be larger at higher
elevations in a structure. Thus, the greatest lateral displacements and the largest lateral forces often occur at the
top level of a structure (particularly for tall buildings). These effects are modeled in equivalent static lateral
force procedures of the IBC and UBC by placing a force at each story level in a structure, as shown below:
where V = base shear force associated with ground motion at the base of the structure
Fx = lateral story force applied at each story level of the structure
Ft = additional lateral force applied at the top level of the structure (per the UBC)

In general, the distribution of lateral story forces is associated with the first (fundamental) mode of vibration of
a cantilevered structure. (In this case, a typical structure is idealized as a “vertical cantilever” rigidly attached to
the ground.) The effects of higher modes of vibration are approximated in the UBC by considering an additional
lateral force, Ft, applied to the top level of a structure. In the IBC, the effects of higher modes of vibration are
addressed when calculating story forces, Fx, by utilizing a “distribution exponent”, 1 < k < 2, that can vary
based on the natural (fundamental) period of vibration of the structure.

In both the IBC and the UBC, the summation of the lateral story forces (plus the additional lateral force at the
top, Ft, in the UBC) must be equivalent to the base shear (V) force applied to the structure due to seismic
ground motion.