, /i:iJ !!"TM^jeismic Effects

Proceedings of the 30th Joint Meeting

NIST SP 931

QC

1 00 DEPARTMENT OF COMMERCE

inology Administration

anal Institute of Standards and Technology

NO. 931

1998
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Wind and

Seismic

Effects

NIST SP 931

PROCEEDINGS OF

THE 30TH JOINT

MEETING OF

THE U.S.-JAPAN

COOPERATIVE PROGRAM

IN NATURAL RESOURCES

PANEL ON WIND AND

SEISMIC EFFECTS

Issued August 1998

Building and Fire Research Laboratory

National Institute of Standards and Technology

Gaithersburg, MD 20899

U.S. DEPARTMENT OF COMMERCE

William M. Daley, Secretary

TECHNOLOGY ADMINISTRATION

Gary R. Bachula, Acting Under Secretary for Technology

National Institute of Standards and Technology

Raymond G. Kammer, Director

Noel J. Raufaste

EDITOR
National Institute of Standards and Technology Special Publication 931

Natl. Inst. Stand. Technoi. Spec. Publ. 931, 588 pages (Aug. 1998)

CODEN: NSPUE2

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON: 1998

For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402-9325
PREFACE

This publication contains the Proceedings of the 30th Joint Meeting ofthe U.S. -Japan Panel on Wind and

Seismic Effects. The meeting was held at the National histitute of Standards and Technology in Gaithersburg, Maryland during 12-15 May 1998. Fourty-five papers were written, 22 by U.S. members

and 23 by Japanese members. Thirty-eight papers were presented orally; 20 by the U.S. -side and 19 by the

Japan-side. They were organized around seven themes: 1. Special Session in Celebration of the Panel's 30*

Anniversary, 2. Storm Surge and Tsunamis, 3. Earthquake Engineering, 4. Joint Cooperative Research

Programs, 5. Real Time Information Acquisition and Dissemination, 6. Wind Engineering, and 7. Reviews

of the Panel's 1 1-Task Committee Activities and Highlights of Recent Task Committee Workshops.

Eighteen Japan-side and 32-U.S.-side experts participated in these meetings

Two papers were presented at a mini-symposia conducted at USGS in Golden, CO during the technical site

visit segment of the Joint Panel Meeting. The Japan-side paper is included in these proceedings in the

section, Manuscripts Presented at Mini-Symposium.

BACKGROUND

Responding to the need for improved engineering and scientific practices through exchange of technical

data and information, research personnel, and research equipment, the United States and Japan in 1961

created the U.S. -Japan Cooperative Science Program. Three collateral programs comprise the Cooperative

Science Program. The U.S. -Japan Cooperative Program in Natural Resources (UJNR), one of the three, was created in January 1964. The objective of UJNR is to exchange information on research results and

exchange scientists and engineers in the area of natural resources for the benefit of both countries. UJNR

is composed of 18 Panels each responsible for specific technical subjects.

The Panel on Wind and Seismic Effects was established in 1969. Nineteen U.S. and seven Japanese

agencies participate with representatives of private sector organizations to develop and exchange

technologies aimed at reducing damages fi^om high winds, earthquakes, storm surge, and tsunamis. This

work is produced through collaboration between U.S. and Japanese member researchers working in 11 task

committees. Each committee focuses on specific technical issues, e.g., earthquake strong motion data. The

Panel provides the vehicle to exchange technical data and information on design and construction of civil engineering lifelines, buildings, and water front structures, and to exchange high wind and seismic

measurement records. Annual meetings alternate between Japan and the United States (odd numbered

years in Japan; even numbered years in the United States). These one-week technical meetings provide the

forum to discuss ongoing research and research results; one-week technical study tours follow the meetings.

The National Institute of Standards and Technology (NIST) provides the U.S. -side chair and secretariat. The Public Works Research Institute (PWRI), Japan, provides the Japan Side chair and secretariat.

Cooperative research is done through formal Panel Programs. In 1981, cooperative research in LargeScale Testing was started under the auspices of the Panel. Also, in 1981, joint research on Reinforced

Concrete Structures was initiated. Full-scale testing was performed at the Building Research Institute (BRI), one of the six Japanese members' organizations, with supporting tests in Japan and in the United

States Two years later, a joint research program on Steel Structures was initiated. Full-scale testing again was led by BRI with supportmg tests in the United States and Japan. The U.S. -Japan coordinated program

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for Masonry Building Research was started in 1985. A U.S. -Japan coordinated program on Precast Seismic Structural Systems was initiated in 1991. A joint program on Seismic Performance of Composite

and Hybrid Structures was initiated in 1993. In 1994, a joint program was started on Physical and

Numerical Simulation of Structural Damages Due to Liquefaction and Development of Countermeasure

Techniques.

Task Committee meetings, exchanges of data and information through technical presentations at annual

Panel meetings, exchanges of guest researchers, visits to respective research laboratories and informal

interactions between Panel meetings, joint workshops and seminars, and joint cooperative research

programs all contribute to the development and effective delivery of knowledge that has influenced design

and construction practices in both countries. Guest research exchanges have advanced the state of

technology in areas of steel, concrete, and masonry structures under seismic forces; developed techniques to analyze risks from liquefaction; modeled water seepage in dam foundations; performed comparative

analyses of seismic design of U.S. and Japanese bridges.

Direct communication between counterpart country organizations is the cornerstone of the Panel. Effective

infonnation exchanges and exchanges of personnel and equipment have strengthened domestic programs of

both countries. There are opportunities for experts in various technical fields to get to know their foreign

counterparts, conduct informal exchanges, bring their respective views to the frontiers of knowledge, and

advance knowledge oftheir specialties.

The Panel's activities resulted in improved building and bridge standards and codes and design and

construction practices in hydraulic structures in both countries, for example:

created and exchanged digitized earthquake records used as the basis of design and research for

Japan and the United States; transferred earthquake engineering information and strong-motion measurement techniques for use by seismically active countries, e.g., Australia, Canada, Italy, Mexico, Peru, Taiwan, Turkey, and

North Africa;

produced data that advanced retrofit techniques for bridge structures; developed field test data for use in aerodynamic retrofit of bridge structures; produced fiiU-scale test data that advanced seismic design standards for buildings;

advanced technology for repairing and strengthening reinforced concrete, steel, and masonry

structures; improved in-situ measurement methods for soil liquefaction and stability under seismic loads;

created a database comparing Japanese and U.S. standard penetration tests to improve prediction

of soil liquefaction;

created a database on storm surge and tsunamis and verified mathematical models of tsunami and

storm surge warning systems;

established a library resource of current research on wind and earthquake engineering and on storm

surge and tsunamis;

published proceedings of Panel meetings. Task Committee Workshops, and special publications

such as List of Panel Publications and translated two-volume series on earthquake resistant

construction using base isolation systems;

gained better knowledge of both countries' research, design, and construction capabilities fi^om in- depth visits to the host country's laboratories and building and public work projects. Results of

such visits contribute to creation of new Task Committees, agendas for Joint Panel meetings and

iv
task committee workshops, visits of U.S. -Japan researchers, and joint collaborative research.

fflGHLIGHTS OF THE JOINT TECHNICAL MEETING, 12-15 MAY 1998

The Panel celebrated its 30th joint meeting under the Theme, Wind and Seismic Effects for the New

Millennium.

Technical presentations highlighted important work by the U.S. and Japan Panel:

software emphasis for mitigation—beyond more resistant structures to emergency

practices and national land management,

completing our Panel's work—more attention is needed for mitigation incentives

and a focused 20-year effort to provide those technologies that will end disasters,

good correlations produced for real time component tests with systems simulation,

construction of a 20 m x 15 m, 1200 ton full-scale Japanese 3-D shake table test

facility by 2005,

modeling long period surface waves at boundaries of deep sedimentary basins,

important surface wave effects for long period sea floor motions,

opportunities for systematic modeling of earthquake response of dams,

design and retrofit criteria for welded steel moment frames,

seismic isolation materials and systems for buried structures,

framework for performance-based design of buildings,

bases for major revisions of highway bridge design criteria,

physical and mental health of disaster survivors and disaster responders,

broad range of complementary work in developing disaster information systems;

they should be distributed, open, and integrated with normal operating systems,

systematic use of Deer Island bridge to develop and improve models for wind

response of bridges,

Japanese are developing new technologies and new design concepts for next

generation of record long span bridges (2700 m) in earthquakes and typhoon areas,

practical, rational techniques for increasing wind and seismic resistance of

housing.new seismic design guidelines for concrete filled tubes, R/C column to steel beam

systems, concrete core with exterior steel frame (hybrid wall system). new technologies in GPS application and geospatial analysis to mitigate disasters.

Panel Task Committee (T/C) activities grow in strength. The Panel created a new T/C on Seismic

Information Systems to adapt information technology to reducing earthquake losses and two T/Cs

were consolidated to better focus on intelligent structures. Interest was evident to pursue joint work

in public health issues resulting from natural disasters. The T/C structure is an effective vehicle to explore in depth modem seismic and wind technologies being used by both countries. Four T/C

workshops/conferences were held in the past year; ten workshops and joint meetings are planned

for the coming year.

The UJNR Panels on Wind and Seismic Effects, Fire Research and Safety, and Earthquake

Research are contributing to the U.S./Japan Natural Disaster Reduction Effort of the Common

Agenda.

V
The Panel's newsletter is effective in disseminating its information. The Panel's Web Site is considered useful in deploying information to Japan and U.S. design and construction

organizations. NIST will continue to maintain the Web Site during the next year. The site is available at http://www.bfTl.nist.gov/info/ujnr

HIGHLIGHTS OF THE TECHNICAL SITE VISITS 11 AND 16-21 MAY 1998

During the 30th Joint meeting of the Panel on Wind and Seismic Effects the delegation visited ten technical

sites in the greater Washmgton, DC, Denver, and San Francisco metropolitan areas. Fourteen, eight, and

nine Japan members participated in these site visits, respectively.

1. U.S. Army Topographic Engineering Center (www.tec.army.mil/tec_mission.html).

Dr. William Roper, Director, Topographic Engineering Center (TEC), Panel co-chair of Task Committee

"G" Seismic Information Systems, hosted the delegation. TEC supports the Army in developing terrain

visualization models, computer image generation, 3-D graphics, distributed interactive simulation,

precision surveying and mapping; global positioning system (GPS) development; image analysis;

geographic information systems (GIS); data/image fusion and virtual reality modeling of the environment.

TEC is developing capabilities to model human interactions with the environment and model environmental

restoration and conservation.

Two TEC staff demonstrated enhanced environmental and terrain capabilities for distributed interactive

simulations and discussed TEC's development of 3-D visualization capabilities to demonstrate virtual

reality environments. In artificial intelligence for terrain analysis, TEC is developing R&D methods for

automated terrain reasoning to support modeling and simulation of environmental impacts from burning,

smoke flow, droughts, and hazardous wastes.

TEC staff have developed large data bases of geological, vegetation, and atmospheric spectral signatures

(visible, thermal, fluorescence). Thermal infrared reflectance spectra reveal high spectral resolution

information about the geological and vegetation components on the surface of the earth and the atmosphere.

Radar images too are used to develop images of areas obscured by clouds to interpret the image beneath.

Of particular interest to the Panel is TEC's DrawLand. This software, developed by TEC, visualizes terrain

data. It behaves like a flight simulator; what is seen on the monitor changes in response to how one

manipulates the controls of a virtual vehicle. DrawLand reads from CD Roms; raster map data can be

draped to create the appearance of a 3-D map. DrawLand has used imagery from sources such as Landsat,

SPOT, and aerial photography. TEC developed this capability in 1994 with 10 m accuracy. Resolution

capabilities of 2 m to 3 m accuracy exist to measure tides, map topography, and to determine elevation data

surface water flow.

The Panel will benefit by having access to these capabilities in appropriate work such as its new Task

Committee on Seismic Information Systems. Simulations of the built environment may be performed using

data from topographic maps to model damages caused by fires and tsunamis following earthquakes or damages from earthquakes and high winds to the built environment.

TEC is one of four laboratories of the U.S. Army Corps of Engineers. It is located in Alexandria, VA and

employs about 600 staff operating with a $120 million budget.

vi
2. National Building Museum (www.nbm.org/intro.htm). The delegation visited the 1887 Pension

Building (now the National Building Museum) designed by Montgomery C. Meigs, who was Quartermaster

General in charge of provisions during the Civil War. The building was constructed to serve as the

government office for disbursing government checks to Civil War veterans and to their widows. Later, it was occupied by a variety of Government agencies. Created by an act of Congress in 1985, the building was designated the National Building Museum to serve as a focal point for permanent and temporary

exhibitions; resource for collecting artifacts of design and construction; publisher of books and journals,

and oflFers a variety of programs ranging from workshops on building crafts to tours of landmark buildings

and construction sites, as well as films, lectures, concert series, and symposia.

The delegation visited one of the many exhibits. Breaking Through the Creative Engineer. This exhibit

explores how creativity is expressed through the work of modem engineers. Its focus is on the creative

impulse of the people who strive to give shape to the material world, built environment, and systems of

information and power. Case studies in the exhibition are intended to stimulate reflection about the kind of

thinking that allows an engineer to break through the ordinary and give birth to something novel. The

displays are organized around eight themes that suggest some elements of engineering creativity and

creativity in other areas of life: challenging, connecting, visualizing, collaborating, harmonizing,

improvising, reorienting, and synthesizing.

Some interesting statistics about the Washington, DC National Building Museum reveals the original

construction cost was $887,000. It is 122 m by 1 1 1 m, 23 m to cornice level; constructed of 15,500,000

bricks with brick and terra cotta ornament; its terra cotta exterior frieze is 366 m long and 0.9 m high

representing a continuous parade of Civil War military units. The Great Hall measures 96 m by 35 m and

is 48 m at its highest point. Its Corinthian columns are among the tallest interior columns in the world

measuring 23 m high; 2.4 m in diameter; 7.6 m in circumference each made of 70,000 bricks and painted to resemble Sienna marble. There are 72 ground floor Doric-style columns (terra cotta covered with cement)

and 72 second floor Ionic-style columns (cast iron). Two hundred forty four busts reside in niches high

above the center court that represent members of building occupations. A clever system of windows, vents,

and open archways provided complete air circulation throughout the building; cooling in the summer and

heating in the winter.

3. Colorado State University, Fluid Dynamics and Diffusion Laboratory

(http://www.lance.colostate.edu/depts/ce/netscape/depts/fluid_mechanics/faculty.html). Professor Robert

Meroney, Director, Fluid Dynamics and Diffusion Laboratory (FDDL) and staff hosted the delegation to discuss fluid mechanics and wind engineering research performed at FDDL. Professor Meroney reviewed

work performed by the boundary-layer wind tunnels used in support of fundamental investigations of

turbulence and turbulent diffusion. Research centers on wind engineering and wind effects on buildings and

structures including low-speed turbulent flow, atmospheric flow near the earth's surface and around bluff

bodies; computational fluid mechanics; physical modeling of the atmospheric boundary layer and flow

phenomena within this layer; and wind tunnel testing of environmental design for urban centers and

air-pollution control.

Dr. Jack Cermak, University Distinguished Professor and founder of FDDL, reviewed wind research

developed during the last three decades. Professor Cermak noted a variety of laboratory investigations

performed by FDDL. They include wind forces on proposed tall buildings and long-span bridges, wind

forces on low-rise buildings, atmospheric diffusion near energy producing and storage facilities, and other

vii
wind engineering projects. Wind research is performed for sponsors from consulting firms, research

institutes and industrial firms throughout the United States. Often these studies identify new areas of

needed research.

Professor Meroney reviewed the Colorado State/Texas Tech Universities (TTU) Cooperative Program in Wind Engineering supported by the National Science Foundation. The program is evaluating and mitigating

the effects of severe wind storms on low-rise buildings. Experiments at the TTU field site and in FDDL's

wind tunnels are examining external and internal pressures and wind loads under severe thunderstorm,

tornado and hurricane wind conditions. This joint effort is examining the economic implications of code

improvements, wind engineering, and insurance incentives through surveys and impact analysis

programming.

Dr. Bogusz Bienkiewicz, FDDL Professor and member of the Panel's Task Committee "E" on Design for

Wind and Wind Hazard Mitigation, reviewed his research in bridge aerodynamics and research being

performed at FHWA under a guest researcher assignment. Some of his novel research addresses

aerodynamics of racing boats, optimizing human ski positions, and helmet design that reduce drag.

A tour of the FDDL highlighted three wind tunnels. The 12.2 m long test section of the Meteorological

Wind Tunnel is capable of independently heating and cooling air to generate thermally stratified flows. The

tunnel is used to study flow characteristics of the atmospheric surface layer and to measure wind pressures on buildings and structures. The delegation observed meteorological wind turmel research on correlated

laser light visualization and pressure measurements. FDDL's Industrial Aerodynamic Wind Turmel's test section is 1.8 m wide by 18.3 m long with adjustable ceiling height ranging from 1.5 m to 2.1 m. A 3 m

section of the lower boundary can be heated to 93 .3 °C. The Open Circuit Gust Wind Tunnel is equipped

with a 3 .7 m long test section that is 0.9 m wide and 0.9 m high. A 6-blade fan variable speed motor

generates wind speeds ranging from 0.3 m/s to 9.14 m/s. Other FDDL tunnels include the Environmental

Wind Turmel, Thermal Stratification Wind Tunnel, Transpiration Wind Tunnel, and the Separation Wind

Tunnel.

FDDL is in the Department of Civil Engineering, Colorado State University, Golden CO.

4. U.S. Geological Survey (geohazards.cr.usgs.gov). The delegation was welcomed by Dr. Randall

Updike, Chief Scientist, Geohazards Team and Drs. E.V. Leyendecker and Erdal Saffak, and by staff of

the Geologic Hazards and National Earthquake Information Center. The delegation was informed of

mapping work performed by USGS in Golden, CO. They are developing ground motion maps and national

seismic hazard maps for use in the development of U.S. seismic design maps. Also, these maps are used in the regulation of waste disposal sites, highway design, insurance, loss estimation, and damage mitigation.

This data is available by CD Roms and maps are available on the Internet. This work forms the basis for the 1997 Recommended Provisions of the National Earthquake Hazards Reduction Program.

A mini-symposium was carried out with Dr. Arthur Tarr, USGS and Dr. Michio Okahara, Director, Bridge

and Structures Department, PWRI. Dr. Tarr discussed his work in developing dynamic mapping of

earthquake and landslide resources for distribution on the Internet. The soon to be published Internet map

technology will permit rapid assessments of specific maps of specific locations. USGS used the January

1994 Northridge earthquake data to test their modeling in the development of the geologic hazards

interactive maps for seismic intensity contours in real time. As new information is made available, the maps

are automatically recontoured. The system facilitates assessments of damaged structures and buildings.

viii
This work will be a valuable contribution to the Panel's new Task Committee "G" on Seismic Information

Systems.

Dr. Michio Okahara discussed PWRI's research, following the January 1995 Kobe earthquake, on seismic

retrofit of bridge substructures involving the redesign of reinforced concrete columns. The redesigned

columns used base isolators in conjunction with a spiral reinforcements retrofit design. In areas of soil liquefaction, micro-piles were used. This paper is part of the Proceedings of the 30th Joint Meeting of the

Panel on Wind and Seismic Effects. During a review of USGS' National Earthquake Information Center (NEIC) the delegation learned of its mission to provide earthquake information to FEMA and other Federal Agencies, all 50-States, to worldwide scientists and engineers, and the public through the printed and electronic medium. Within 30

minutes following an earthquake, NEIC alerts FEMA and each of the affected States and the media about

earthquake severity information, location and magnitude of the earthquake, and earthquake source

parameters. This information aids disaster relief officials and scientists in evaluating earthquake hazards.

NEIC works closely with the Japan Meteorological Agency and similar other country organizations.

USGS Central Region, Geologic Hazards, is in Golden, CO. The Geologic Hazards Team conducts global

investigations of earthquake, geomagnetic, and landslide hazards. The Team consists of eight research

groups and three information centers.

5. Natural Hazards Information Center (www.colorado.edu/hazards). The delegation was hosted

by Dr. Dennis S. Mileti, Center Director and Dr. Mary Fran Myers, Center Co-Director. The delegation was informed of the Center's four key roles:

o Publishes a bimonthly Natural Hazards Observer that reaches over 14,000 subscribers. The

newsletter features information on disaster issues; hazards research; political and policy developments;

world, national, and state program activities; upcoming conferences; and recent publications. Also, the

Center produces a semimonthly E-mail newsletter Disaster Research.

o Performs in-house research and a grant program enabling "quick response" study of disasters. Recently the Center completed a 6-year study and published its 1,200 page draft final report on National

Assessment ofNatural Hazards. This seminal work was performed through many groups. The latter program permits social scientists to go immediately to the site of a disaster to obtain information that might

otherwise be lost. Their findings are subsequently published by the Center in brief Quick Response

Reports.

0 Hosts an annual workshop, conducted each summer for the past 23 years in Colorado, the

workshops bring the public and private sector together to share hazard-related problems and ideas for their

solutions. The workshop involves participants ranging fi^om researchers, hazard managers, government

officials, professional and nongovernmental organization representatives.

o Maintains a library research services with more than 14,000 books, articles, reports, journals, and

other documents on the social, economic, and behavioral aspects of natural disasters. The holdings are cataloged in a computerized, bibliographic database. With this resource, the Center staff responds daily to requests for information from federal, state, and local officials, researchers, members of private and

nonprofit organizations, and other concerned individuals around the world.

ix
The Panel is encouraged to use relevant Center services during its planning of Task Committee activities and joint research.

The Center is at the University of Colorado, Boulder. Its goal is to increase communication between

hazard/disaster researchers and those individuals, agencies, and organizations that are actively working to reduce disaster damage and suffering. The Natural Hazards Center has a variety of resources available

from the Internet.

6. Pacific Gas and Electric Corporation (http://www.pge.com/welcome.html). Dr. Lloyd Cluff,

Manager, Geosciences Department, reviewed his work assessing earthquake hazards and vulnerability of

PG&E's facilities. Dr. Cluff stressed the importance of producing good design for nonstructural elements.

Failures of nonstructural elements was the reason for closing PG&E's facilities which did not exhibit

exterior structural damages. PG&E is performing a tsunami study to assess damages to PG&E's facilities following a major earthquake on the Juan de Fuga Plate near Eureka, CA. PG&E has appropriated $2

billion for a 15 year to 20 year program to replace gas pipelines and to develop earthquake response

planning and post earthquake inspection programs. The PG&E staff involved in earthquake engineering is small; PG&E collaborates with consultants.

The delegation centered their discussions on the restoration of PG&E's four-building headquarters complex

following the 1989 Loma Prieta Earthquake and restoration of some powerplants and buildings damaged

from the San Fernando and Loma Prieta earthquakes. Eric Elsesser of Forell/Elsesser Engineers, Inc. reviewed his work in seismic restoration/strengthening of PG&E's four-headquarters 1920s vintage

buildings' design, restoration, and strengthening following the 1989 Loma Prieta earthquake. The site is on

deep bay mud with immersed wooded pile foundations. The original buildings were steel-frame with nonload bearing unreinforced masonry tile infill. The buildings' exterior walls are terra cotta tiles. A variety of

structural evaluations and options including demolishing the complex and construct anew were considered

before choosing a massive structural shear-wall design as the best solution for rehabilitation. Base-isolation was considered and rejected as a solution. All wood piles were tied to a concrete foundation and into new

reinforced walls. The terra cotta tile facade was articulated by cutting the tiles, fastening them to backing

brick and setting it in concrete. The building's interiors were gutted, strengthened and repaired, and the

infrastructure modernized. The total cost for this work was $180 million. The design and construction costs were $120 million; the remainder represents the costs of disrupting the staff and renting new facilities. A

$21 million tax incentive was provided by the State since PG&E maintained the architectural integrity of

the building.

PG&E has a $12 million 5 -year applied research program with USGS in Menlo Park and with the Pacific

Earthquake Engineering Research Center at UC Berkeley that centers on equipment venerability evaluation,

building vulnerability, earthquake source characterization, ground deformation and ground motion. Also,

PG&E and PEER are working on research to reduce damages following ignition of fires from earthquakes.

PG&E's research activities and long-range planning to reduce damages from earthquakes is of much

interest to the Panel and for possible collaborative efforts by some Panel's member laboratories.

PG&E headquarters is located in San Francisco. It provides electric service to over 4-million customers

(households and businesses) using mixtures of energy resources such as natural gas, hydropower,

geothermal and nuclear energy and wind and solar power. Its service area spans 182,000 km^ within 48 of

California's 58 counties, with a population of more than 13 million people. PG&E and other utilities in the

state are regulated by the California Public Utilities Commission. PG&E has developed consumer

X
information on preparing for an earthquake (including design guidelines on bracing your water heater) and

preparing for storms. This information is available on the Web at www.pge.com/customer_services/emergency/emerquake.html and at http://www.pge.com/customer_services/emergency/storm.html respectively.

7. Pacific Earthquake Engineering Research (PEER) Center

(http://peer.berkeley.edu/html/about_peer.htmI). Professor Jack P. Moehle, PEER Director hosted the

delegation. In Professor's Moehle's overview of PEER, he highlighted current research on performancebased earthquake engineering, response of unsafe concrete bridges, bridge response to ground motions, and

safety and reliability of utility systems and lifelines. PEER developed an interactive Web site of research

results from searches of experimental results and data. Professor Moehle told us he attended a San

Francisco design review meeting, earlier in the morning, to review plans of a 41 -story precast moment

frame office building that proposes to use the NIST-Pankow developed precast concrete beam-column

connection system able to withstand large inelastic deformations due to earthquakes and strong winds.

Three PEER papers were discussed. Dawn Lehman, graduate student, reviewed "Repair of Moderately and

Severely Damaged Bridge Columns" an investigation of seismic performance of bridge columns and fourmethods of repair that included a mechanical coupler and varying amounts of epoxy injections with and

without column jackets. Professor Raymond Seed reviewed his work, "Numerical Modeling and

Smiulation of Seismic Soil-Pile-Stmcture Interaction Experiments" on predicting seismic soil-pile-stmcture

mteractions under seismic loading from shaking table tests at U.C. Berkeley. Professor Gregory Fenves

reviewed, "A Database of Experimental Results on Earthquake Protective Systems Hardware." This on-line

database, PROSYS, accesses experimental results from passive protective systems such as seismic

isolation and energy dissipation systems, elastomeric and sliding seismic isolators, damping devices, and

other active and semi-active response control approaches. The three papers will be published in the

Proceedings of the 30th Panel Meeting.

The delegation visited PEER'S Earthquake Simulator Laboratory at the Richmond Field Station. The

simulator is 6 m by 6 m in plan and configured to produce three cotranslational components of motion._

The simulator can be used to subject structures weighing up to 580 kN to horizontal and vertical ground

accelerations up to 1.5 g. The dynamic response, at 25 percent of the shake table capacity, of base isolators

to three seismic records: Kobe; Newhall; and El Centro was being evaluated at the time of the visit.

During a visit to the Hayward fault (Berkeley Campus sits atop the Hayward fault), the delegation was

informed of a recently developed uniform rating system to evaluate the seismic vulnerability of over 150

Berkeley campus buildings. This work was performed during a 6-month period at a cost of about

$200,000. The study identified 50 buildings that were rated poor to resisting seismic loads; they will require an estimated $700,000 to $1 million to retrofit. Berkeley has applied for fiinding from FEMA and

other sources to perform the retrofit. A decision was made that it is more cost-effective to strengthen these

buildings than demolish them.

PEER is a national earthquake engineering research center headquartered at UC Berkeley. It was

established in 1998 by the National Science Foundation (NSF) and the participating universities and funded

by NSF, the State of California, the University of California, the State of Washington, the University of

Washington, and business and industry partners. It consists of a consortium of faculty researchers, core

universities, and affiliated institutions that conduct programs in research, education and outreach, and

information dissemination. PEER supports a business and industry partner program.

xi
8. California Department of Transportation CALTRANS (www.dot.ca.gov/). Mr. Thomas Post,

Chief, Earthquake Engineering Division, Caltrans and a Panel member hosted the delegation at the Caltrans

Oakland facility and later, with the delegation and staff, visited the San Francisco-Oakland Bay Bridge.

Mr. Post reviewed the repair and strengthening performed on the San Francisco-Oakland Bay Bridge

following the Loma Prieta earthquake. Underway is a $125 million retrofit program to reduce seismic risks to the west section and during the interim period before a new east section is constructed in 2003. The

design is to withstand a magnitude 8.0 earthquake of a 1000 year to 2000-year return period. The bridge is retrofitted to remain operational following this design earthquake. As part of the work, Caltrans will be

installing 96 dampers (500 K range) in the west section, clamping them from the cable to the main chord.

The west section foundations and bents have been strengthened and bracing added to its legs. Friction

pendulum isolators were installed at the top of the legs at the lower chord.

Feasibility studies were performed to estimate the costs of fiiUy retrofitting the east section of the bridge

versus construction of a new bridge. Cost of the retrofitting is in the $900 million range and of a new east

section, cost is estimated at $1.2 billion. A decision was made to construct a new east section. In May

1998, the Metropolitan Transportation Commission (MTC) selected two bridge design options for the east section for fiirther analysis. They are a single tower suspension bridge and a single tower cable-stayed

bridge. T.Y. Lin Intemational/Moffatt & Nichol Engineers, the joint-venture architectural and engineering

team retained by Caltrans, is developing the designs to the stage of 30% completion so that a final evaluation can be made. When the new bridge is open for traffic in 2003, the old bridge will be dismantled

and sold in sections for use by other countries.

The single tower suspension bridge concept will complement the other suspension bridges around the Bay:

the Golden Gate, the Richmond-San Rafael bridges, and the western span of the Bay Bridge. The single

steel tower will consist of four columns with horizontal link beams to add seismic strength to the tower. The decks are supported by suspending cables attached to a single main cable, which extends above the

spine of the span. The suspending cables are attached to the inside of the decks, until near the tower, they

traverse to the outside of the decks.

The single tower cable-stayed bridge concept consists of two concrete towers with an elliptical

cross-section which gradually tapers toward the top. The two legs are joined by articulated link beams

which strengthen the tower's seismic reliability. At the top of the tower, the link beams are protected and

enclosed by a "lens." The cables are arranged in a semi-fan pattern and are splayed symmetrically fi^om the

central tower to the outside of the decks. This cable arrangement creates a spatial envelope and portal

enclosure through which all vehicles and pedestrians pass. The deck is a closed steel box within the

cable-supported span and a concrete box girder with ribs at the east viaduct portion of the bridge.

MTC is the transportation planning, coordinating, and financing agency for the nine-county San Francisco

Bay Area. Created by the state Legislature in 1970, MTC fiinctions as the regional transportation planning

agency, a state designation, and for federal purposes, as the region's metropolitan planning organization.

MTC is responsible for the Regional Transportation Plan, a comprehensive blueprint for the development

of mass transit, highway, airport, seaport, railroad, bicycle and pedestrian facilities.

Caltrans' headquarters is in Sacramento, CA. They are responsible for the design, construction,

maintenance, and operation of the California State Highway System, and that portion of the Interstate Highway System within the state's boundaries. Alone and in partnership with Amtrak, Caltrans also is

xii
involved in the support of intercity' passenger rail service in California, and is a leader in promoting the use of alternative modes oftransportation. The current framework of Caltrans was set down by Assembly Bill 69 m 1972.

9. San Francisco City Hall Seismic Retrofit (\\wv.dnai.com/~mbt/projdes/cit}'hall.html). Mr. Peter Borberg, project manager of Turner Construction and Mr. Paul Rodler, Principal and structural engineer of

Forell/Elsesser Engineers, Inc hosted the delegation to discuss retrofitting the 1915 Beaux Arts San

Francisco City Hall. Turner Construction, the general manager of this seismic retrofit project awarded a $103 million lump sum contract to Forell/Elsesser Engineers Inc. Forell/Elsesser is the prime

architect/engineer firm performing the seismic retrofit of the 47,983 m^ building; they are working with the

San Francisco Bureau of Architecture who serves as the Executive Architect, and with the City and Count}'

of San Francisco. The total cost of seismic upgrade is $181 million and includes $38 million for employee

relocation. A Change Order resulting from California's 1997 Proposition A, to upgrade the building's

mechanical and electrical sy stems, extended the original 32-month construction schedule to 44 months. The building will be opened on New Year's Eve 1998.

The structural work is designed to withstand a 475-year magnitude 8 earthquake. The repair work

mvolved; mstallmg a new base isolation s> stem for the entire Cit} Hall building — 530-1 m diameter

rubber-lead core base isolators (designed to 0.5 m displacement) and 66 slider isolators under the ground

floor. The building's columns w ere decoupled from the ground, supported and jacked to permit removal of

the lower 1 m of column and set on temporary- steel cruciform column supports. The new isolators were

installed on a new slab-on-grade and a reinforced mat was built around each column footing. The isolators were tested for 635 mm deflection at 1500 K loading and to 216 mm for properties and qualit}' control. A

moat was constructed around the building to accommodate ground shaking. Shear w-alls, thicker than 1 m

were installed in the basement and tied into the floor. A first floor wall system of about 0.7 m thick with a

10 mm thick steel plate extended along the light court up to the roof Collector beams and new floor

bracing were added. Structural strengthening was performed for the rotunda, dome, stairs and elevator

shafts.

The architectural work includes new programming and space planning for the entire ground floor; replacing

hollow clay tile walls; repairing the interior and exterior stone work; replacing the architectural finishes; and re-attaching stone arches and stone ornaments. The repair design maintained the soft first story to permit for long-vibration displacements. The exterior massive granite stairs were rebuilt with an

underla\Tnent stair slider bearing on the ground step. The slider bearing was fabricated of Teflon on

stainless steel to allow movement in case of an earthquake. The architectural work emphasizes preservation

of the building's historical fabric and significance, bringing the building back to its original architectural

finishes, exposing ornamentation and ceilings, opening the two light wells for public use.

The 94 m by 124 m b\' 124 m height of dome City Hall is listed on the National Register of Historic

Places. Its rotunda is a grand intenor space and a landmark for the citizens of San Francisco. This City

Hall replaced the first city hall which was destroyed in the 1906 San Francisco earthquake.

Following the renovation work. Dr. Hsi-Ping Liu, Structural Engineer from USGS presented USGS' work

in instrumenting of selected San Francisco facilities near its four deep bore holes. Data records from these

bore holes were used in developing ground shaking amplification mapping.

10. National Weather Service (http://www.nws.mbay.net/). The delegation was hosted by Mr.

xiii
Charles Morrill, Warning Coordination Meteorologist, National Weather Service (NWS) Forecast Office

for the San Francisco Bay Area (located in Monterey). The office issues marine and land weather forecasts

and warnings and provides semiweekly water temperature measurements, from Alaska to Mexico, of water

skin temperatures from satellites. The information is available on the Web and from other sources. The

NWS Climate Diagnostic Center is responsible for providing seasonal climate prediction and for year-toyear climate forecasts. NWS is in the process of upgrading its weather forecasting systems to advance its understanding of how sea temperature in the Pacific affect precipitation over the continental United States.

The delegation discussed research with three researchers offering papers on this topic. Dr. Wendell Nuss,

Naval Post Graduate School (NPGS) briefed the delegation on a major 1998 west coast winter storm field experiments. Following the impact of El Nino, NOAA researchers, in collaborating with the U.S. Naval

Research Laboratory, are working to improve numerical weather forecast models that will better simulate

the present and future states of the atmosphere. These forecasts are in the 36 hour to 48 hour range and will be shared in another NOAA initiative that seeks to improve forecasts in the 0 to 12-hour range along the

California coast. Improved observations and measurements are sought by measuring vertical profiles of

wind, temperature, and moisture in the atmosphere. Measurements will be taken fi-om deployed instrument

packages over the Pacific and by aircraft and by satellites.

Dr. Elizabeth Ritchie of the NPGS reviewed her work in developing numerical model studies of typhoon

flows over the Japan islands. Modeling is underway at the 1 km range producing finer resolution and

understanding the effects of mountains on storms and rainfall. The model is approximating real time

weather during the approach and landfall of typhoons.

Dr. Joseph Golden, OAR and co-chair of the Panel's Task Committee on Design for Wind and Wind

Hazard Mitigation reviewed new NOAA technologies for forecasting weather. The United States has about

160 new Doppler weather radar stations and about 45 airports use Doppler radars for wind shear warnings.

NOAA is working with industry to design instruments to measure wind speed at 100 m/s. They are experimenting with GPS dropsondes and through Doppler-on-wheels to better predict hurricanes before

landfall and to model wind. NOAA is seeking new systems to collect wind measures such as: severe storm

anemometers; unmanned aircraft to release recorders into storms; and use of appropriate DOD "Star Wars"

advanced technologies. NOAA is featuring a global change program with several Federal Agencies and the

National Academies of Science and Engineering. They are performing new work in measuring stratospheric ozone depletion and field investigations to characterize ozone losses. NOAA's coastal damage mitigation

strategies for hurricanes and other coastal storms include: improve forecasting of 24 hour to 48 hours;

reduce required excavation times; provide safe refiiges of "last resort"; improve coastal and offshore

observations; redirect development in high risk areas; and establish and enforce wind resistant building

codes (the latter by working with NIST).

The mission of the National Weather Service is to provide weather and flood warnings, public forecasts

and advisories for all of the United States, its territories, adjacent waters and ocean areas, primarily for the

protection of life and property. NWS data and products are provided to private meteorologists for the

provision of all specialized services. OAR is the principal weather and space weather research arm of

NOAA and works synergistically with the NWS.

Noel J. Raufaste, Secretary-General

U.S. -side Panel on Wind and Seismic Effects

xiv
ABSTRACT

This publication is the Proceedings of the 30th Joint Meeting of the U.S. -Japan Panel on Wind and

Seismic Effects. The meeting was held at the National Institute of Standards and Technology,

Gaithersburg, Maryland, during 12-15 May 1998. The Proceedings include the agenda, list of Panel

members, Panel Resolutions, the 45 technical papers written for this joint meeting, and the Panel's 11- Task Committee Reports.

Thirty-nine oral presentations centered on seven themes: 1 . Special Session in Celebration of the Panel's

30th Anniversary, 2. Storm and Surge Tsunamis, 3. Earthquake Engineering, 4. Joint Cooperative

Research Programs, 5. Real Time Information Acquisition and Dissemination, 6. Wind Engineering and

7. Reviews of the Panel's 1

1 -Task Committee Activities and Highlights of Recent Task Committee

Workshops. The Panel provides the vehicle to exchange technical data and information on design and

construction of civil engineering lifelines, buildings, water front, and coastal structures. Panel findings

continue to influence ongoing structural engineering research and contribute to the revision and creation

of U.S. and Japanese building codes and standards.

KEYWORDS: Bridges; building technology; concrete; design criteria; disaster reduction; earthquakes;

geotechnical engineering; GPS, ground failures; lifelines; liquefaction; risk assessment; seismic; shaking

table; standards; storm surge; structural engineering; tsunamis; and wind loads.

XV

TABLE OF CONTENTS

PREFACE iii ABSTRACT , xv AGENDA: 30th JOINT MEETING PANEL on WIND AND SEISMIC

EFFECTS xxiii

PANEL MEMBERS:

JAPAN-SIDE DELEGATION xxxvii

JAPAN-SIDE MEMBERSHIP: PANEL on WIND AND SEISMIC

EFFECTS xxxix

U.S.-SIDE MEMBERSHIP: PANEL on WIND AND SEISMIC li PANEL TASK COMMITTEE MEMBERS Ixi RESOLUTIONS Ixvii

SPECIAL SESSION in CELEBRATION of the PANEL'S 30th ANNIVERSARY

National Disasters and Protective Measures in Japan 3

Yasutake Inoue

Completing Our Panel's Work 13

Richard N. Wright

THEME: STORM SURGE and TSUNAMIS

Tsunami and Storm Surge Characteristics Based on Long-Term

Tide Observations 23

Toshihiko Nagai, Kazuteru Sugahara, Hiroshi Watanabe,

Koji Kawaguchi, Masahiro Mihara and Katsumi Takashima

International Responses to Pacific Tsunami Warnings and Watches 33

Michael E. Blackford

xvii
THEME: EARTHQUAKE ENGINEERING

Real-time Hybrid Vibration Experiments with a 2-Degree-of-Freedom

Model 41

Keiichi Tamura and Hiroshi Kobayashi

A Vision for the Future ofStrong-Motion Recording 50

Roger D. Borcherdt

Project on 3-D Full-Scale Earthquake Testing Facility—First Report.... 55

Keiichi Ohtani, Tsuneo Katayama and Heki Shibata

Strong Motion from Surface Waves in Deep Sedimentary Basins 69

William B. Joyner

Performance Based Design for Port Structures 84

Susumu lai and Koji Ichii

Analysis ofSea-Floor Earthquake Data 97

Charles E. Smith and David M. Boore

Effect ofReservoir-Subbottom Energy Absorption on Hydrodynamic

Forces on Dams 116

Robert L. Hall, Luis de Bejar, Keith J. Sjostrom and Enrique E. Matheu

A Study on Stress in Concrete Gravity Dam using Seismic Data during

Kobe Earthquak 130

Takashi Sasaki, Tsuneo Uesaka and Isao Nagayama

Seismic Analysis ofHoover Dam 144

Larry K. Nuss

Development and Operation ofLarge Centrifuge at PWRI 158

Osamu Matsuo, Tatsuya Tsutsumi, Mitsu Okamura,

Tetsuya Sasaki and Kunio Nishi

The Influence of Confining Stress on Liquefaction Resistance 167

M. E. Hynes, R. S. Olsen and D. E. Yule

Evaluation ofthe Seismic Capacity ofan Existing Thick Wall Reinforced

Concrete Structure Using Probabilistic Criteria 185

F. Loceff, G. Mertz and G. Rawls

xviii
Development ofan Analysis ofStructural Steel Fracture and Development

of Technical Solutions « 196

Hiroyuki Yamanouchi, Akiyoshi Mukai and Takashi Hasegawa

Design Guidelines for the Seismic Modification of Welded Steel Moment

Frame Buildings 201

John L. Gross

Draft Manualfor Seismic Isolation Design of Underground

Structures 211

Shigeki Unjoh, Jun-ichi Hoshikuma, Kazuhiro Nagaya and

Kazuhiko Murai

Comparison between the Affected Population ofIndirect Health Effects

after the 1995 Great Hanshin-Awaji Earthquake 224

Keiko Ogawa, Ichiro Tsuji, Shigem Hisamichi and Keishi Shiono

New Frameworkfor Performance Based Design ofBuilding Structures - Design Flow and Social System 234

Hisahiro Hiraishi, Masaomi Teshigawara, Hiroshi Fukuyama,

Taiki Saito, Watara Gojo, Hidoe Fujitani, Yuji Ohashi, Izum Okawa

and Hirashi Okada

Highway Bridge Seismic Design: How Current Research May Affect

Future Design Practice 248

Ian M. Friedland, W. Phillip Yen, Ronald L. Mayes and John O'Fallon

Development ofPerformance-Based Building Code in Japan — Framework

ofSeismic and Structural Provisions 260

Hisahiro Hiraishi, Mitsumasu Midorikawa, Masaomi Teshigawara and

Wataru Gojo

THEME: REAL-TIME INFORMATION ACQUISITION and DISSEMINATION

American Red Cross — Centersfor Disease Control and Prevention Health

Impact Surveillance System for Natural Disasters 275

Enrique Paz-Argandona and Josephine Malilay

Development ofthe Disaster Information System (DIS/Earthquakes) 286

Kazuo Okayama, Takaharu Kiriyama and Seishi Yabuuchi

Recent FEMA Activities in Earthquake Risk Analysis and Mitigation 300

Stuart Nishenko, Claire Drury and Jeff Milheizler

xix
Seismic Information System for Civil Infrastructures 306

Hideki Sugita and Tomofumi Nozaki

New Development in Seismic Risk Analysis for Highway Systems 319

Stuart D. Werner, Craig E. Taylor, James E. Moore II, John B. Mander

John B. Jemigan and Howard H. M. Hwang

Devastating Network in Miura Peninsula Japan 344

Makoto Watabe and Satomi Hirokawa

Geospatial Analysis Support to Natural Disasters 350

Wilham E. Roper

THEME: WIND ENGINEERING

Analysis of Wind and Wind Effects Revisited — A Case Study ofDeer IsleSedgewick Bridge 377

D. W. Marsh, B. Bienkiewicz and H. R. Bosch

New Generation Trans-Strait Road Projects and the State of

Technology Development 392

Michio Okahara and Masahiro Nishitani

New Hurricane Wind Structures and Wind Speed Measurements 407

Peter G. Black and Fank D. Marks, Jr.

Consideration on Flutter Characteristics ofsuper Long-Span Bridges ...415

Hiroshi Sato, Katsuya Ogihara and Ken-ichi Ogi

Structural Controlfor Wind and Earthquake Loads: NSF's Coordinated

Research Program 424

M. P. Singh and T. T. Soong

Wind and Seismic Research for Improved Engineering Consensus

Standards and Housing Construction 433

Jay H. Crandell and William Freebome

THEME: SUMMARY of JOINT COOPERATIVE RESEARCH PROGRAMS

U.S.-Japan Cooperative Earthquake Engineering Research Program on

Composite and Hybrid Structures — Current Status ofJapan-side

Research 443

Isao Nishiyama, Hiroyuki Yamamouchi and Hisahiro Hiraishi

XX
U.S.-Japan Cooperative Earthquake Research Program on Composite and

Hybrid Structures — U.S.-side Progress .'. 452

Subhash C. Goel

MANUSCRIPTS PRESENTED at MINI-SYMPOSIUM

Development ofNew High Bridge Piers Containing Spiral

Reinforcement 459

Michio Okahara, Jiro Fukui, Takuya Adachi, Moriyuki Okoshi

and Koga Yasuyuki

U.S.-side Presentation addressed the U.S. Geological Survey development

of ground motion maps and siesmic intensity contours that will be available on the Internet. (No manuscript available).

MANUSCRIPTS AUTHORED for PANEL MEETING but NOT PRESENTED ORALLY

Shaking Table on Base Isolated House Model 477

Hiroyuki Yamanouchi, Mitsumasa Midorikawa and Masanori liba

Dense Strong Motion Instrument Array in Sendai 484

Izuru Okawa, Toshihide Kashima and Shin Koyama

Deposition ofOil Spilledfrom a Russian Tanker on Coasts 492

Fuminori Kato and Shinji Sato

GIS with Mobile Communication for Countermeasure Against Natural

Disaster 502

Naoki Takayama

Aerodynamic Databases and Electronic Standardsfor Wind Loads:

A Pilot Application 506

Timothy Whalen, Emil Simiu, Gilliam Harris, Jason Lin and

David Surry

GPS Monitoring ofStructures: Recent Advances 515

Mehmet Celebi, Will Prescott, Ross Stein, Ken Hudnut, Jeff Behr

and Steve Wilson

APPENDIX: Summaries of Task Committee Reports 529

xxi

AGENDA

30th JOINT MEETING

PANEL on WIND AND SEISMIC EFFECTS

12-15 May 1998

Sunday 10 May

Delegation Arrives

Monday 11 May

Technical Visits, Army Topographic Engineering Center and National Building Museum

Tuesday 12 May

0925 Meet in Lobby of Holiday Inn for NIST Shuttle to Administration Building

0930 Travel by bus to NIST

WIND AND SEISMIC EFFECTS FOR THE NEW MILLENNIUM

1000 OPENING CEREMONIES

(Employees Lounge, NIST Administration Building)

Call to order by Noel J. RAURA.STE, Secretary- General US-side Panel

Opening remarks by Raymond ICAMMER, Director, National Institute of

Standards and Technology

Remarks by Takao KURAMOCHI, Counsellor for Science and Technology,

Embassy of Japan

Remarlcs by Richard N. WRIGHT, Chairman US-Side Panel on Wind and

Seismic Effects, and Director, Building and Fire Research Laboratory

Remarlcs by Yasutake INOUE, Chairman Japan- Side Panel on Wind and Seismic

Effects, and Director- General, Public Works Research Institute

Introduction of U.S. Members by U.S. Panel Chairman

Introduction of Japan Members by Japan Panel Chairman

Elect Joint Meeting Chairman

Adopt Agenda

1120 Break

xxiii
SPECIAL SESSION TO CELEBRATE THE PANELS 30TH ANNIVERSARY

1140-1240 THEME 1 -- SPECIAL SESSION IN CELEBRATION OF

THE PANELS 30TH ANNIVERSARY

Chairman: Mr. Yasutake INOUE

1 140 Natural Disasters and Protective Measures in Japan, Yasutake INOUE* PWRI

1200 Completing our Panel's Work, Richard N. WRIGHT*, NIST

1220 Discussion

1240 Adjourn

1245 Group Photograph

1300 Lunch: Hosted by Raymond KAMMER, Director, National Institute of

Standards and Technology, NIST Lunch Club

THEME 2 - STORM SURGE AND TSUNAMIS

1400-1500 Technical Session - STORM SURGE AND TSUNAMIS

Chairman: Mr Yasutake INOUE

1400 Tsunami and Storm Surge Characteristics Based on Long-Term Tide Observations, Toshihiko NAGAI, Kazuteru SUGAHARA, Hiroshi WATANABE, Koji

KAWAGUCHI, PHRI, Masahiro MIHARA, ECHO Corporation and Katsumi

TAKASHIMA, Coastal Ocean Research Corporation. Presented by Shigetoshi

KOBAYASHI* PWRC

1420 International Responses to Pacific Tsunami Warnings and Watches, Mike

BLACICFORD*, NOAA

1440 Discussion

1500 Break

* denotes presenter

xxiv
TASK COMMITTEE MEETINGS

1 5 1 5 - 1 700 Task Committee Meetings

T/C A Strong-Motion Data and Applications, BFRL Conf. Room B-317, Bldg. 226

Dr. Susumu lAI (Japan-side Chair) and Dr. Roger BORCHERDT (U.S.-side

Chair)

T/C B Testing and Evaluation Procedures for Building Systems, BFRL Conf. Room

B-221, Bldg 226

Mr. Keiichi OHTANl (Japan-side Chair) and Dr. U.S. LEW (U.S.-side Chair)

T/Cs C & G Design Evaluation and Improvement of Structures and

Structural Control and Intelligent Material Systems, Admin. Bldg. NIST

Employees Lounge

Dr. Hisahiro HIRAISHI (Japan-side Chair) and Dr. Ken CHONG (U.S.-side

Chair)

Dr Jun-ichi HOSHIKUMA (Japan-side Acting Chair) and Dr. Shi-Chi LIU

(U.S.-side Chair)

T/C D Earthquake Engineering for Dams, BFRL Conf. Room A-368, Bldg. 226

Mr Takashi SASAICI (Japan-side Acting Chair) and Dr. Robert HALL (U.S.-side

Chair)

T/C E Design for Wind and Wind Hazard Mitigation, BFRL Conf. Room B-245

Bldg 224

Dr Hiroshi SATO (Japan-side Chair) Dr Joseph GOLDEN (U.S.-side Chair)

T/C F Disaster Prevention Methods for Lifeline Systems, ITL Conf. Room B-1 1

1

Bldg 225

Dr Keiichi TAMURA (Japan-side Acting Chair) and Dr. Riley CHUNG (U.S.-

side Chair)

1700 Conclusion of Day 1

1 700 Depart NIST by bus to Holiday Irm

U.S.-side Panel Hosted Reception

1745 Bus depart Holiday Inn for residence of Dr. and Mrs. Charles SMITH for 30th

Joint Panel Celebration

2200 Adjourn and, by bus, return to hotel

2245 Arrive at hotel

XXV
Wednesday 13 May

0740 Meet in lobby of Holiday Inn for NIST Shuttle Bus to Administration Building

0745 Travel by bus to NIST

THEME 3 - EARTHQUAICE ENGINEERING

0830-1230 Technical Session - Earthquake Engineering Part 1

Chairman: Dr. Richard WRIGHT

0830 Real-Time Hybrid Vibration Experiments with a 2-Degrees-of-Freedom Model,

Keiichi TAMURA* and Hiroshi KOBAYASHI, PWRI

0850 A Vision for the Future of Strong-Motion Recordings, Roger BORCHERDT*,

USGS

0910 Project on 3-D Full-Scale Earthquake Testing Facility -First Report, Keiichi

OHTANI*, Tsuneo KATAYAMA and Held SHIBATA, NIED

0930 Discussion

0950 Strong Motion from Surface Waves in Deep Sedimentary Basins, William

JOYNER*, USGS

1010 Performance Based Design for Port Structures, Susumu lAI* and Koji ICHII,

PHRl

1030 Analysis of Sea Floor Earthquake Data, Charles SMITH*, MMS and David

BOORE, USGS

1050 Discussion

1110 Break

1130 Effect of Reservoir- Subbottom Energy Absorption on Hydrodynamic Forces on

Dams, Robert HALL*, Louis de BEJAR, Keith SJOSTROM, and Enrique

MATHEW, WES

1 150 A Study on Stress in Concrete Gravity Dams Using Seismic Data During Kobe

Earthquake, Takashi SASAIO*, Tsuneo UESAKA and Isao NAGAYAMA, PWRI

1210 Seismic Analysis of Hoover Dam, by Larry NUSS, BUREC

1230 Discussion

1250 Adjourn for Lunch

1300 Lunch: Hosted by Dr. William ANDERSON, Hazard Reduction Program, Civil

and Mechanical Infrastructure Systems Division, National Science Foimdation,

NIST Lunch Club

xxvi
1400-1500 Technical Session - Earthquake Engineering (Continued)

Chairman: Dr. Richard WRIGHT

1400 Development and Operation of Large Centrifuge at PWRI, Osamu MATSUO,

Tatsuya TSUTSUMI, Mitsu OKAMURA*, Tetsuya SASAIG, PWRI and Kunio

NISHI, Hazama Corporation

1420 The Influence of Continuing Stress on Liquefaction Resistance, Mary Ellen

HYNES*, WES

1 440 Evaluation of the Seismic Capacity of an Existing Thick Wall Reinforced

Concrete Structure using Probabilistic Criteria by Frederick LOCEFF, George

RAWLS, and Greg MERTZ*, DOE

1500 Discussion

1520 Break

TASK COMMITTEE MEETINGS

1535-1715 Task Committee Meetings

T/C H Soil Behavior and Stability During Earthquakes, Admin. Bldg., NIST

Employees Lounge

Dr. Mitsu OKAMURA (Japan-side Chair) and Dr. Mary Ellen HYNES, U.S.-

side Chair)

T/C I Storm Surge and Tsunamis, BFRL Conf. Room A-368, Bldg. 226

Dr. Shigetoshi ICOBAYASHI (Japan-side Acting Chair) and Mr. Michael

BLACICFORD (U.S.-side Chair)

T/C ) Wind and Earthquake Engineering for Transportation Systems, BFRL Conf.

Room B-221 (Bldg. 226)

Dr. Michio OKAHARA (Japan-side Acting Chair) and Dr. Phillip YEN (U.S.-

side Acting Chair)

T/C IC Wind and Earthquake Engineering for Offshore and Coastal Facilities,

Admin. Bldg. BFRL Conf. Room B-245, Bldg. 224

Dr. Susumu lAI (Japan-side Acting Chair) and Dr. Charles SMITH (U.S.-side

Chair)

New T/C Seismic Information Systems, BFRL Conf. Room B-317, Bldg. 226

Mr. Takaharu IGRIYAMA and Dr. Hideld SUGITA (Japan-side Preliminary CoChairs) and Dr. William ROPER and Mr. Stuart NISHENKO (U.S.-side

Preliminary Co-Chairs)

1715 Conclusion of Day 2

1 720 Depart NIST by NIST van and Holiday Irm van to Holiday Inn

xxvii
1 745 Travel by NIST bus to the National Academy of Sciences

1830 U.S. -side hosted dinner at Members Room, NAS

2100 Return by bus to Holiday Inn by sightseeing portions of Washington,

DC

xxviii
Thursday 14 May

0740 Meet in Lobby of Holiday Inn

0745 Travel by bus to NIST

THEME 3 - EARTHQUAICE ENGINEERING - PART II

0820-1 140 Technical Session - Earthquake Engineering-Part II

Chairman: Mr. Yasutake INOUE

0820 Development of an Analysis of Structural Steel Fracture and Development of

Technical Solution, Hiroyuld YAMANOUCHI, Aldyoshi MUIOU* and Tal<ashi

HASEGAWA, BRI

0840 Design Guidelines for the Seismic Modification of WSME Buildings, John

GROSS*, NIST

0900 Draft Manual for Seismic Isolation Design of Underground Structures, Shigeki

UNJOH, Jun-ichi HOSHIICUMA*, Kazuhiro NAGAYA and ICazuhiko MURA[,

PWRI

0920 Comparison Between Affected Populations of Indirect Health Effects after the

1995 Great Hanshin-Awaji Earthquake, Keiko OGAWA*, Ichirou TSUJI,

Shigeru HISAMICHl, Tohoku University and Keishi SHIONO, Nagaolca

Technology College

0940 Discussion

1000 Break

1020 New Framework for Performance-Based Design of Building Structures-Design

Flow and Social System, Hisahiro HIRAISHI*, Masaomi TESHIGAWARA,

Hiroshi FUIOUYAMA, Taild SAITOH, Wataru GOJO, Hideo FUJITANI, Yuji

OHASHI, Izuru OKAWA and Hisashi OKADA, BRI

1040 Highway Bridge Seismic Design: How Current Research May Affect Future

Design Practices, Ian FRIEDLAND, NCEER, W. PhilUp YEN*, FHWA, Ronald

L. MAYES, DIS, and John D. OTALLON, FHWA

1 100 Development of Performance-Based Design Building Code in Japan-Framework

of Structural and Seismic Provisions, Hisahiro HIRAISHI*, Mitsumasa

MIDORIKAWA, Masaomi TESHIGAWARA and Wataru GOJO, BRI

1120 Discussion

1140 Break

xxix
THEME 4 - SUMMARY RECENT PANEL WORICSHOPS

Chairman: Mr. Yasutake INOUE

1200-1255 Worlcshop Reports

1200 Task Committees B&C, 4th U. S. -Japan Technical Coordinating Committee

Meeting on Composite and Hybrid Structural Systems, 12-14 October 1997,

Monterey CA, USA. (Presented by Hisahiro HIRA.SHI, BRI)

1210 Task Committee E, 1st Workshop on Design for Wind and Wind Hazard

Mitigation, 7-9 October 1997, East-West Center, University of Hawaii, HI,

USA. (Presented by Joseph GOLDEN, NOAA)

1220 Task Committee F, 7th Workshop on Earthquake Disaster Prevention for

Lifeline Systems, 4-5 November 1997, Seattle, WAUSA. (Presented by Keiichi

TAMURA, PWRI)

1230 Task Committee J, 13th Bridge Workshop, 2-3 October 1997, Tsukuba Japan.

(Presented by Phillip YEN, FHWA)

1240 Discussion

1255 Adjourn for lunch

1300 Lunch: Hosted by Michael ARMSTRONG, Associate Director, Mitigation

Directorate, Federal Emergency Management Agency

THEME 5 REAL TIME INFORMATION ACQUISITION

AND DISSEMINATION

Chairman: Mr Yasutake INOUE

1400-1720 Technical Session - Real Time Information Acquisition and

Dissemination

1400 American Red Cross/CDC Health Impact Surveillance System for Natural

Disasters, Enrique PAZ-ARGANDONA* and Josephine MALILAY, CDC

1420 Development of the Disaster Information System (DlS/Earthquakes), ICazuo

OICAYAMA, Takaharu KllRIYAMA*, and Seishi YABUUCHl, NLA

1440 Recent FEMA Activities in Earthquake Risk Analysis and Mitigation, Stuart

NISHENKO* and Gil JAMIESON, FEMA (with a demonstration of HAZUS

during the break)

1500 Seismic Information System for Civil Infrastructures, Hideki SUGITA*,

Tomofumi NOZAG and Tadashi HAMADA, PWRI

1520 Discussion

1540 Break

XXX
1600 New Developments in Seismic Risk Analysis for Highway Systems, Stuart D.

WERNER Seismic Systems &l Engineering Consultants, Craig E. TAYLOR,

Natural Hazards Management Inc., James E. Moore II, Uruversity of Southern

California, and John B. MANDER, State University of New York at Buffalo,

John B. JERNIGAN, Ellers, Oakley Chester Sc Rilce &Howard H.M. HWANG,

Univ. of Memphis

1620 Devastation Network in Miura Peninsula, Japan, Makoto WATABE*, Keio

University and Satomi HIROKAWA, Yokosuka City

1640 Geospatial Analysis Support to Natural Disasters, William ROPER*, CORPS

1700 Discussion

1 720 Conclusion of Day 3

1 725 Return to hotel by van 1800 Individual hosted dinners

xxxi
Friday 15 May

0735 Meet in Lobby of Holiday Inn

0740 Travel by bus to NI ST

THEME 6 - WIND ENGINEERING

Chairman: Dr. Richard WRIGHT

0800-1040 Technical Session - Wind Engineering

0800 Analysis of Wind and Wind Effects Revisited - A Case Study of Deer Isle- Sedgwick Bridge, D.W MARSH and B. BIENICIEWICZ, CSU and Harold

BOSCH, FHWA

0820 Next Generation Trans-Strait Road Projects and the State of Technology

Development, Michio OKAHARA* and Masahiro NISHITANI, PWRI

0840 New Hurricane Wind Structures and Wind Speed Measurements, Peter

BLACK* and Frank MARKS, NOAA

0900 Discussion

0920 Consideration on Flutter Characteristics of Super Long-Span Bridges, Hiroshi

SATO*, Katsuya OGIHARA and Ken-ichi OGI, PWRI

0940 Structural Control Research in the U.S. for Wind and Earthquake Loading, M.

P SINGH*, VPI andTT SOONG, State University of NY-Buffalo

1000 Wind and Seismic Research for Improved Engineering Consensus Standards and

Housing Construction, Jay CRANDELL*, NAHBRC and William FREEBORNE,

HUD

1020 Discussion

1040 Break

THEME 7 - SUMMARY JOINT COOPERATIVE RESEARCH PROGRAMS

Chairman: Dr. Richard WRIGHT

1100-1200 Technical Session - Joint Cooperative Research Programs

1 100 U.S. -Japan Cooperative Earthquake Engineering Research Program on

Composite and Hybrid Structures -Japan Side Plans and Accomplishments, Isao

NISHIYAMA, Hiroyuld YAMANOUCHI and Hisahiro HIRAISHI (Building

Research Institute) Presented by Aldyoshi MUICAJ*, BRI

1 120 U.S. -Japan Cooperative Earthquake Engineering Research Program on

Composite and Hybrid Structures - U.S.-side Progress, Subhash Goel, Subhash

GOEL*, University of Michigan

1140 Discussion

1200 Break

xxxii
TASK COMMITTEE REPORTS AND RESOLUTIONS

1215-1255 Report of Task Committees

Chairman: Dr Richard WRIGHT

T/C A Strong-Motion Data and AppUcations

T/C B Testing and Evaluation Procedures for Building Systems

T/C C Evaluation and Improvement of Structures

T/C D Earthquake Engineering for Dams

1255 Adjourn for Lunch

1300 Lunch: Hosted by Dr. John FILSON, Acting Coordinator, Earthquake Hazard

Program, US Geological Survey, NIST Lunch Club

1400-1520 Report of Task Committees (Continued)

T/C E Design for Wind and Wind Hazard Mitigation

T/C F Disaster Prevention Methods for Lifeline Systems

T/C G Structural Control and Intelligent Materials Systems

T/C H Soil Behavior and Stability During Earthquakes

T/C 1 Storm Surge and Tsunami

T/C J Wind and Earthquake Engineering for Transportation Systems

T/C IC Wind and Earthquake Engineering for Offshore and Coastal Facilities

New T/C Seismic Information Systems

1520-1535 Break

1535-1620 Adoption of Final Resolutions

1620-1630 Break

xxxiii
CLOSING CEREMONIES

1630 Call to Order by Noel J. RAUFASTE, Secretary-General, U.S.-Side Panel

Closing Remarks by Yasutake INOUE, Chairman Japan-Side Panel

Closing Remarlcs by Richard N. WRIGHT, Chairman U.S.-Side Panel

1650 Conclusion of 30th Joint Panel Technical Sessions

1655 Depart NIST by bus to Holiday Inn

1 800 Depart Holiday Inn by Bus

1900 Japan-side hosted dinner

2130 Return to hotel by bus

xxxiv
LIST OF PANEL MEMBERS

30th JOINT PANEL MEETING

JAPAN-SIDE DELEGATION

Mr. Yasutake Inoue

Director-General,

Public Works Research Institute

Ministry of Construction

1 Asahi, Tsukuba-shi, Ibaraki-ken

305 Japan

Dr. Michio Okahara

Director, Structure and Bridge Department

Public Works Research Institute

Ministry of Construction

1 Asahi, Tsukuba-shi, Ibaraki-ken

305 Japan

Dr. Hiroshi Sato

Head, Structure Division

Public Works Research Institute

Ministry of Construction

1 Asahi, Tsukuba-shi, Ibaraki-ken

305 Japan

Dr. Hideki Sugita

Head, Earthquake Disaster Prevention

Technology Division

Public Works Research Institute

Ministry of Construction

1 Asahi, Tsukuba-shi, Ibaraki-ken

305 Japan

Dr. Keiichi Tamura

Head, Ground Vibration Division

Public Works Research Institute

Ministry of Construction

1 Asahi, Tsukuba-shi, Ibaraki-ken

305 Japan

Dr. Hisahiro Hiraishi

Director, Structural Engineering Department

Building Research Institute

Ministry of Construction

1 Tatehara, Tsukuba-shi, Ibaraki-ken

305 Japan

Mr. Akiyoshi Mukai

Head, Aerodynamics Division

Building Research Institute

Ministry of Construction

1 Tatehara, Tsukuba-shi, Ibaraki-ken

305 Japan

Mr. Keiichi Ohtani

Director, Disaster Prevention Research

Division

National Research Institute for Earth Science

and Disaster Prevention

Science and Technology Agency

3-1 Tennodai, Tsukuba-shi, Ibaraki-ken

305 Japan

Dr. Susumu lai Chief, Geotechnical Earthquake Engineering

Laboratory

Port and Harbour Research Institute

Ministry of Transport

3-1-1 Nagase, Yokosuka-shi, Kanagawa-ken

239 Japan

Prof Makoto Watabe

Environment and Information Department

Keio University

5322 Endo, Fujisawa-shi, Kanagawa-ken

252 Japan

xxxvii
TEMPORARY MEMBERS

Dr. Mitsu Okamura

Senior Research Engineer

Soil Dynamics Division

Public Works Research Institute

Ministry of Construction

1 Asahi, Tsukuba-shi, Ibaraki-ken

305 Japan

Mr. Takao Masui

Senior Planning Officer for Disaster

Prevention

Disaster Prevention Bureau

National Land Agency

1-2-2 Kasumigaseki, Chiyoda-ku, Tokyo

100 Japan

Mr. Takaharu Kiriyama

Deputy Director, Earthquake Disaster

Countermeasure Division

Disaster Prevention Bureau

National Land Agency

1- 2-2 Kasumigaseki, Chiyoda-ku, Tokyo

100 Japan

Dr. Keiko Ogawa

Division of Public Health

Postgraduate School of Medicine

Tohoku University

2- 1 Seiryo, Aoba-ku, Sendai-shi, Miyagi-ken

980-77 Japan

Dr. Shigetoshi Kobayashi

Executive Director, Public Works Research

Center

1-6-4 Taito, Taito-ku, Tokyo

110 Japan

Mr. Takashi Sasaki

Senior Research Engineer

Dam Structure Division

Public Works Research Institute

Ministry of Construction

1 Asahi, Tsukuba-shi, Ibaraki-ken

305 Japan

Mr. Kazushige Endo

Senior Research Engineer

Earthquake Disaster Prevention Technology

Division

Public Works Research Institute

Ministry of Construction

1 Asahi, Tsukuba-shi, Ibaraki-ken

305 Japan

Dr. J^n-ichi Hoshikuma

Research Engineer

Earthquake Engineering Division

Public Works Research Institute

Ministry of Construction

1 Asahi, Tsukuba-shi, Ibaraki-ken

305 Japan

xxxviii
JAPAN-SroE MEMBERSHIP: PANEL ON WIND AND SEISMIC EFFECTS

STEERING COMMITTEE MEMBERS

Mr. Yasukake Inoue

Chairman, Japan-side Panel on Wind and

Seismic Effects

Director-General, Public Works Research

Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2821

Fax: 0298-64-2148

Dr. Michio Okahara

Secretary-General, Japan-side Panel on Wind

and Seismic Effects

Director, Structure and Bridge Department

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2211

Fax: 0298-64-0565

E-mail: okahara@pwri.go.jp

Dr. Hisahiro Hiraishi

Director, Department of Structural

Engineering

Building Research Institute

Ministry of Construction

1, Tatehara, Tsukuba-shi, Ibaraki-ken

305-0802

Tel: 0298-64-6633

Fax: 0298-64-6773

E-mail: hiraishi@kenken.go.jp

Dr. Susumu lai Chief, Geotechnical Earthquake Engineering

Laboratory

Port and Harbour Research Institute

Ministry of Transport

Nagase, 3-1-1, Yokosuka-shi, Kanagawa-ken

239-0826

Tel: 0468-44-5028

Fax: 0468-44-0839

E-mail: iai@cc.phri.go.jp

Dr. Keishi Ishimoto

Director, Road Department

Civil Engineering Research Institute

Hokkaido Development Agency

1-3, Hiragishi, Toyohira-ku, Sapporo-shi,

Hokkaido 062-0802

Tel: 011-841-5198

Fax: 011-841-9747

E-mail: ishimoto@ceri.go.jp

Dr. Toshio Iwasaki

President, Civil Engineering Research

Laboratory

1- 18, Kanda Suda-cho, Chiyoda-ku, Tokyo

101

Tel: 03-3254-9481

Fax: 03-3254-9448

Mr. Takashi Kaminosono

Head, Construction Techniques Division

Department of Production Engineering

Building Research Institute

Ministry of Construction

1, Tatehara, Tsukuba-shi, Ibaraki-ken

305-0802

Tel: 0298-64-6665

Fax: 0298-64-6774

E-mail: kamino@kenken.go.jp

Prof Kazuhiko Kawashima

Professor, Department of Civil Engineering

Tokyo Institute of Technology

2- 12-1, 0-okayama, Meguro-ku, Tokyo 152

Tel: 03-5734-2922

Fax: 03-3729-0728

E-mail: kawasima@cv.titech.ac.jp

xxxix
Mr. Osamu Matsuo

Head, Soil Dynamics Division

Earthquake Disaster Prevention Research

Center

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2933

Fax: 0298-64-2576

E-mail: matsuo@pwri.gojp

Mr. Chikahiro Minowa

Cooperative Research Officer

National Research Institute for Earth Science

and Disaster Prevention

3-1, Tennodai, Tsukuba-shi, Ibaraki-ken 305

Tel: 0298-51-1611

Fax: 0298-51-5658

E-mail: minowa@geo.bosai.gov.jp

Mr. Yasuyuki Miyamoto

Director, Road Disaster Prevention Section

Road Bureau

Ministry of Construction

2-1-3, Kasumigaseki, Chiyoda-ku, Tokyo 100

Tel: 03-5251-1896

Fax: 03-5251-1949

Mr. Toshitaka Miyata

Director, International Affairs Division

Economic Affairs Bureau

Ministry of Construction

2-1-3, Kasumigaseki, Chiyoda-ku, Tokyo 100

Tel: 03-3580-4311

Fax: 03-3502-3955

Mr. Eishi Mochizuki

Head, Seismology and Volcanology Research

Division

Meteorological Research Institute

Japan Meteorological Agency

1-1, Nagamine, Tsukuba-shi, Ibaraki-ken 305

Tel: 0298-53-8675

Fax: 0298-51-3730

Mr. Yoshinori Murakami

Director, Disaster Countermeasure Office

Coast Administration and Disaster Prevention

Division

Ports and Harbours Bureau

Ministry of Transport

2-1-3, Kasumigaseki, Chiyoda-ku, Tokyo

100-8989

Tel: 03-3580-7021

Fax: 03-5511-8280

Mr. Nobuo Nagai

Director, Geographic Department

Geographical Survey Institute

Ministry of Construction

1, Kitasato, Tsukuba-shi, Ibaraki-ken 305

Tel:0298-64-2667

Fax:0298-64-1804

E-mail: nagai@graph.gsi-mc.go.jp

Dr. Nobuyuki Narita

Member of Executive Board, Public Works

Research Center

17-15, Yawata-6, Ichikawa-shi, Chiba-ken

272-0021

Tel: 047-335-0324

Fax: 047-335-0324

Mr. Kazuhiro Nishikawa

Head, Bridge Division

Structure and Bridge Department

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2905

Fax: 0298-64-0565

E-mail: knishika@pwri.go.jp

xL
Dr. Isao Nishiyama

Head, Housing Construction Division

Department of Production Engineering

Building Research Institute

Ministry of Construction

1, Tatehara, Tsukuba-shi, Ibaraki-ken

305-0802

Tel: 0298-64-2151

Fax: 0298-64-6774

E-mail: isao@kenken.go.jp

Mr. Fumiaki Nomura . Director, Office of Disaster Prevention

Research Planning Division

Research and Development Bureau

Science and Technology Agency

2-2-1, Kasumigaseki Chiyoda-ku, Tokyo

100-8966

Tel: 03-3503-8164

Fax: 03-3503-8169

Mr. Keiichi Ohtani

Director, Disaster Prevention Research

Division

National Research Institute for Earth Science

and Disaster Prevention

Science and Technology Agency

3- 1, Tennodai, Tsukuba-shi, Ibaraki-ken 305

Tel: 0298-51-1611 ex.321

Fax: 0298-52-8512

E-mail: ohtani@knetgk.k-net.bosai.go.jp

Dr. Hisashi Okada

Associate Director for Composite Structures,

Department of Structural Engineering

Building Research Institute

Ministry of Construction

1, Tatehara, Tsukuba-shi, Ibaraki-ken

305-0802

Tel: 0298-64-6641

Fax: 0298-64-6773

E-mail: okada@kenken.go.jp

Prof Tsuneo Okada

, Professor, Dipertment of Architecture and

Building Engineering

Shibaura Institute of Technology

3-9-14 Shibaura, Minato-ku, Tokyo 108-0023

Tel: 03-5476-2452

Fax: 03-5476-2446

Dr. Izuru Okawa

Head, Building Engineering Division

International Institute of Seismology and

Earthquake Engineering

Building Research Institute

Ministry of Construction

1, Tatehara, Tsukuba-shi, Ibaraki-ken

305-0802

Tel: 0298-64-6758

Fax: 0298-64-6777

E-mail: okawa@kenken.go.jp

Mr. Kazuo Okayama

Director, Earthquake Disaster

Countermeasure Division

Disaster Prevention Bureau

National Land Agency

1- 2-2, Kasumigaseki, Chiyoda-ku, Tokyo

100-8972

Tel: 03-3501-5693

Fax: 03-3501-5199

Mr. Hiroshi Sasaki

Director, Building Disaster Prevention Section

Housing Bureau

Ministry of Construction

2- 1-3, Kasumigaseki, Chiyoda-ku, Tokyo 100

Tel: 03-3580-4311

Fax: 03-3580-7050

xLi
Dr. Hiroshi Sato

Head, Structure Division

Structure and Bridge Department

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2874

Fax: 0298-64-0565

E-mail: hsato@pwri.go.jp

Dr. Shinji Sato

Head, Coast Division

River Department

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2327

Fax:0298-64-1168

E-mail: sato@pwri.go.jp

Mr. Tatsuyuki Shimazu

International Cooperation Coordinator,

International Affairs Division

Science and Technology Agency

2-2-1, Kasumigaseki, Chiyoda-ku, Tokyo 100

Tel: 03-3593-0362

Fax: 03-3581-5909

Dr. Takahiro Sugano

Chief, Structural Dynamics Laboratory

Structural Engineering Division

Port and Harbour Research Institute

Ministry of Transport

3- 1-1, Nagase, Yokosuka-shi, Kanagawa-ken

239-0826

Tel: 0468-44-5029

Fax: 0468-44-0839

E-mail: macsuga@ipc.phri.go.jp

Dr. Yasumasa Suzuki

Director, Hydraulic Engineering Division

Port and Harbour Research Institute

Ministry of Transport

3-1-1, Nagase, Yokosuka-shi, Kanagawa-ken

239-0826

Tel: 0468-44-5009

Fax: 0468-41-3888

Mr. Masaaki Takeuchi

Senior Assistant for Disaster Prevention,

Planning Division

Administration Department

Japan Meteorological Agency

1-3-4, Ohtemachi, Chiyoda-ku, Tokyo 100

Tel: 03-3212-8341 Ext. 2225

Fax: 03-3211-2453

Dr. Keiichi Tamura

Head, Ground Vibration Division

Earthquake Disaster Prevention Research

Center

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2926

Fax: 0298-64-0598

E-mail: tamura@pwri.go.jp

Dr. Masaomi Teshigawara

Head, Structure Division

Department of Structural Engineering

Building Research Institute

Ministry of Construction

1, Tatehara, Tsukuba-shi, Ibaraki-ken 305

Tel: 0298-64-6753

Fax: 0298-64-6773

E-mail: teshi@kenken.go.jp

Dr. Takaaki Uda

Director, River Department

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2211

E-mail: uda@pwri.go.jp

xLii
Mr. Tsuneo Uesaka

Director, Dam Department

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel; 0298-64-2211

Fax: 0298-64-2688

Dr. Shigeki Unjoh

Head, Earthquake Engineering Division

Earthquake Disaster Prevention Research

Center

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2932

Fax: 0298-64-0598

E-mail: unjoh@pwri.gp.jp

Dr. Tatsuo Uwabe

Chief, Earthquake Disaster Prevention

Laboratory

Structural Engineering Division

Port and Harbour Research Institute

Ministry of Transport

3-1-1, Nagase, Yokosuka-shi, Kanagawa-ken

239-0826

Tel: 0468-44-5030

Fax: 0468-44-0839

E-mail: uwabe@cc.phri.go.jp

Prof Makoto Watabe

Professor, Faculty of Environmental

Information

Keio University

5322, Endo, Fujisawa-shi Kanagawa-ken 252

Tel: 0466-47-5111

Fax: 0466-47-5041

Mr. Shoin Yagi

Director, Typhoon Research Department

Meteorological Research Institute

Japan Meteorological Agency

1-1, Nagamine, Tsukuba-shi, Ibaraki-ken 305

Tel: 0298-53-8663

Fax: 0298-53-8735

Dr. Hiroyuki Yamanouchi

Director, Code and Evaluation Research

Center

Building Research Institute

Ministry of Construction

1, Takehara, Tsukuba-shi, Ibaraki-ken

305-0802

Tel: 0298-64-6688

Fax: 0298-64-67701

E-mail: yamanoch@kenken.go.jp

Mr. Joji Yanagawa

Director, Disaster Management Division

River Bureau

Ministry of Construction

2-1-3, Kasumigaseki, Chiyoda-ku, Tokyo 100

Tel: 03-3580-4311 Ext. 3431

Fax: 03-5251-1946

Dr. Masahiko Yasuda

Director, Earthquake Disaster Prevention

Research Center

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2829

Fax: 0298-64-0598

E-mail: m-yasuda@pwri.go.jp

Mr. Hitoshi Yoshida

Head, Fill-type Dam Division

Dam Department

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2413

Fax: 0298-64-0164

E-mail: h-yshida@pwri.go.jp

xLiii
SECRETARIES COMMITTEE

MEMBERS

Dr. Michio Okahara

Secretary-General, Japan-side Panel on Wind

and Seismic Effects

Director, Structure and Bridge Department

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2211

Fax: 0298-64-0565

E-mail: okahara@pwri,gojp

Mr. Jiro Fukui

Head, Foundation Engineering Division

Structure and Bridge Department

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2211

Fax: 0298-64-0565

E-mail: fukui@pwri.go.jp

Dr. Hisahiro Hiraishi

Director, Department of Structural

Engineering

Building Research Institute

Ministry of Construction

1, Tatehara, Tsukuba-shi, Ibaraki-ken

305-0802

Tel: 0298-64-6633

Fax: 0298-64-6773

E-mail: hiraishi@kenken.go.jp

Mr. Masakatsu Horino

Head, Planning Division

Geographic Department

Geographical Survey Institute

Ministry of Construction

1, Kitasato, Tsukuba-shi, Ibaraki-ken 305

Tel: 0298-64-5917

Fax: 0298-64-1804

E-mail: horino@graph.gsi-mc.go.jp

Dr. Susumu lai Chief, Geotechnical Earthquake Engineering

Laboratory

Port and Harbour Research Institute

Ministry of Transport

3-1-1, Nagase, Yokosuka-shi, Kanagawa-ken

239-0826

Tel: 0468-44-5028

Fax: 0468-44-4095

E-mail: iai@cc.phri.go.jp

Prof Kazuhiko Kawashima

Professor, Department of Civil Engineering

Tokyo Institute of Technology

2- 12-1 0-okayama, Meguro-ku Tokyo 152

Tel: 03-5734-2922

Fax: 03-3729-0728

E-mail: kawasima@cv.titech.ac.jp

Mr. Osamu Matsuo

Head, Soil Dynamics Division

Earthquake Disaster Prevention Research

Center

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2211

Fax: 0298-64-0598

E-mail: matsuo@pwri.go.jp

Mr. Chikahiro Minowa

Cooperative Research Officer

National Research Institute for Earth Science

and Disaster Prevention

3- 1, Tennodai, Tsukuba-shi, Ibaraki-ken 305

Tel: 0298-51-1611

Fax: 0298-51-5658

E-mail: minowa@geo.bosai.gov.jp

xLiv
Mr. Akiyoshi Mukai

Head, Aerodynamics Division

Department of Structural Engineering

Building Research Institute

Ministry of Construction

1, Tatehara, Tsukuba-shi, Ibaraki-ken

305-0802

Tel: 0298-64-6643

Fax: 0298-64-6773

E-mail: mukai@kenken.go.jp

Mr. Kazuhiro Nishikawa

Head, Bridge Division

Structure and Bridge Department

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2905

Fax: 0298-64-0565

E-mail: knishika@pwri.go.jp

Dr. Nobuyuki Ogawa

Head, Earthquake Engineering Laboratory

National Research Institute for Earth Science

and Disaster Prevention

Science and Technology Agency

3-1, Tennodai, Tsukuba-shi, Ibaraki-ken 305

Tel: 0298-51-1611

Fax: 0298-51-5658

E-mail: ogawa@geo.bosai.go.jp

Mr. Keiichi Ohtani

Director, Disaster Prevention Research

Division

National Research Institute for Earth Science

and Disaster Prevention

Science and Technology Agency

3-1, Tennodai, Tsukuba-shi, Ibaraki-ken, 305

Tel: 0298-51-1611 Ext. 321

Fax: 0298-52-8512

E-mail: ohtani@knetgk,k-net,bosai.go.jp

Dr. Hisashi Okada

' Associate Director for Composite Structures,

Department of Structural Engineering

Building Research Institute

Ministry of Construction

1, Tatehara, Tsukuba-shi, Ibataki-ken

305-0802

Tel: 0298-64-6641

Fax: 0298-64-6773

E-mail: okada@kenken.go.jp

Mr. Masami Okada

Head, First Research Laboratory

Seismology and Volcanology Research

Department

Meteorological Research Institute

Japan Meteorological Agency

Ministry of Transport

1-1, Nagamine, Tsukuba-shi, Ibaraki-ken 305

Tel: 0298-53-8677

Fax: 0298-51-3730

Mr. Hidetsugu Onuma

Director, Research Planning and Coordination

Section

Administration Division

Civil Engineering Research Institute

Hokkaido Development Agency

1-3, Hiragisi, Toyohira-ku, Sapporo-shi,

Hokkaido 062

Tel: 011-841-1111

Fax: 011-824-1226

E-mail: h.onuma@ceri.go.jp

Dr. Hiroshi Sato

Head, Structure Division

Structure and Bridge Department

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2874

Fax: 0298-64-0565

E-mail: hsato@pwri.go.jp

xLv
Mr. Masashi Sato

Head, Structure Division

Civil Engineering Research Institute

Hokkaido Development Bureau

1-3, Hiragishi, Toyohira-ku, Sapporo-shi,

Hokkaido 062

Tel: 011-841-1111

Fax: 011-820-2714

Dr. Shinji Sato

Head, Coast Division

River Department

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2327

Fax: 0298-64-1168

E-mail: sato@pwri.go.jp

Dr. Hideki Sugita

Head, Earthquake Disaster Prevention

Technology Division

Earthquake Disaster Prevention Research

Center

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-3244

Fax: 0298-64-0598

E-mail: sugita@pwri.go.jp

Dr. Keiichi Tamura

Head, Ground Vibration Division

Earthquake Disaster Prevention Research

Center

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2926

Fax: 0298-64-0598

E-mail: tamura@pwri.go.jp

Mr. Nobuyuki Tsuneoka

Head, International Cooperation Division

Planning and Research Administration

Department

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-4412

Fax: 0298-64-4322

E-mail: tsuneoka@pwri.go.jp

Dr. Shigeki Unjoh

Head, Earthquake Engineering Division

Earthquake Disaster Prevention Research

Center

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2932

Fax: 0298-64-4424

E-mail: unjoh@pwri.go.jp

Dr. Tatsuo Uwabe

Chief, Disaster Prevention Laboratory

Structural Engineering Division

Port and Harbour Research Institute

Ministry of Transport

3-1-1, Nagase, Yokosuka-shi, Kanagawa-ken

239-0826

Tel: 0468-44-5030

Fax: 0468-44-0839

E-mail: uwabe@cc.phri.go.jp

Dr. Masahiko Yasuda

Director, Earthquake Disaster Prevention

Research Center

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2829

Fax: 0298-64-0598

E-mail: m-yasuda@pwri.go.jp

xLvi
Mr. BQtoshi Yoshida

Head, Fill-type Dam Division

Dam Department

Public Works Research Institute

Ministry of Construction

1, Asahi, Tsukuba-shi, Ibaraki-ken 305-0804

Tel: 0298-64-2413

Fax: 0298-64-0164

E-mail: h-yshida@pwri.go.jp

ASSOCIATE MEMBERS

Dr. Minoru Fujiwara

Chief Engineer

Road Management Technology Center

9-9, Hisamatsu-cho, Nihonbashi, Chuo-ku,

Tokyo 103-0005

Tel: 03-5695-2711

Fax: 03-5695-2715

Dr. Masami Fukuoka

Honorable Chairman

Public Works Research Center

1-6-4, Taito, Taito-ku, Tokyo 110

Tel: 03-3835-3609

Dr. Masaya Hirosawa

Professor, Kogakuin University

1-24-2-91, Nishishinjuku, Shinjuku-ku, Tokyo

163

Tel: 03-3342-1211

Dr. Shiro Ibukiyama

President, Kogyokusha College of Technology

5-14-2, Nishigotanda, Shinagawa-ku, Tokyo

141

Tel: 03-3493-5671

Dr. Kaoru Ichihara

President, Public Works Research Center

1-6-4, Taito, Taito-ku, Tokyo 110

Tel: 03-3835-3609

Dr. Ryuichi lida

President, Japan Dam Engineering Center

2-4-5, Azabudai, Minato-ku, Tokyo 110

Tel: 03-3433-7811

Dr. Takashi lijima

President, Sekisui-jushi Co., Ltd.

1-11-1, Kaigan, Minato-ku, Tokyo 106

Tel: 03-5400-1850

Dr. Toshio Iwasaki

President, Civil Engineering Research

Laboratory

1-18, Kandasuda-cho, Chiyoda-ku, Tokyo 101

Tel: 03-3254-9481

Fax: 03-3254-9448

Mr. Shunichiro Kamijo

Mtsui Construction Co., Ltd.

3- 10-1, Iwamoto-cho, Chiyoda-ku, Tokyo

106

Tel: 03-5223-3921

Mr. Kenji Kawakami

Adviser, Kubota Corporation

3-1-3, Nihonbashi-muromachi, Cyuoh-ku,

Tokyo 103

Tel: 03-3245-3660

Dr. Eiichi Kuribayashi

Professor, Toyohashi University of

Technology

1-1, Hibarigaoka, Tenpaku-cho,

Toyohashi-shi, Aichi-ken 440

Tel: 0532-44-6967

Mr. Mitsuru Nagao

President, Japan Construction Mechanization

Association

3-5-8, Shibakoen, Minato-ku, Tokyo 105

Tel: 03-3433-1501

xLvii
Dr. Seiji Nakano

Formerly, Professor, Tokyo Denki University

2-2, Kandanishiki-cho, Chiyoda-ku, Tokyo

101

Tel: 03-5280-3501

Dr. Kazuto Nakazawa

President, Regional Development Consultants

Inc.

1- 18, Kandasuda-cho, Chiyoda-ku, Tokyo 101

Tel: 03-3831-2916

Fax: 03-3836-4048

Dr. Nobuyuki Narita

Member of Executive Board, Public Works

Research Center

17-15, Yawata-6, Ichikawa-shi, Chiba-ken

272-0021

Tel: 047-335-0324

Fax: 047-335-0324

Dr. Setsuo Noda

President, Coastal Development Institute of

Technology

3- 16, Hayabusa-cho, Chiyoda-ku, Tokyo

102-0092

Tel: 03-3234-5861

Fax: 03-3234-5877

Dr. Shin Okamoto

Director-General, Building Technology

Research Institute

The Building Center of Japan

3-2-2, Toranomon, Minato-ku, Tokyo 105

Tel: 03-3458-1011

Mr. Yoshijiro Sakagami

President, Rinkai Construction Co., Ltd.

2-3-8, Shiba, Minato-ku, Tokyo 105

Tel: 03-3453-4111

Mr. Tadahiko Sakamoto

President, Japan Dam Engineering Center

2-4-5, Azabudai, Minato-ku, Tokyo 110

Tel: 03-3433-7811

Prof Yasushi Sasaki

Professor, Department of Civil and

Environmental Engineering

Hiroshima University

1-4-1, Kagamiyama, Higashihiroshima-shi,

Hiroshima-ken 739

Tel: 0824-24-7783

Fax: 0824-24-7783

E-mail: ysasaki@ue.ipc.hiroshima-u.ac.jp

Dr. Yukihiko Sumiyoshi

Executive Counselor, Nippon Steel Co., Ltd.

2-6-3, Ohte-machi, Chiyoda-ku, Tokyo

100-71

Tel: 03-3275-5868

Mr. Jiro Taguchi

President, Construction Research Institute

11-8, Ohdenma-cho, Nihonbashi, Chuo-ku,

Tokyo 103-0011

Tel: 03-3663-2411

Fax: 03-3633-2417

Dr. Hiroshi Takahashi

Adviser, Engineering Department

Sato Kogyo Co., Ltd.

4-12-20, Nihonbashihon-cho, Cyuo-ku, Tokyo

103

Tel: 03-3661-2296

Dr. Masateru Tominaga

President, Public Works Research Center

1-6-4, Taito, Taito-ku, Tokyo 110

Tel: 03-3835-3609

Dr. Hajime Tsuchida

Executive Counselor, Nippon Steel Co., Ltd.

2-6-3, Ohte-machi, Chiyoda-ku, Tokyo

100-71

Tel: 03-3275-5894

xLviii
Mr. Seizo Tsuji

Adviser, Road Management Technology

Center

9-9, Hisamatsu-cho, Nihonbashi, Chuo-ku,

Tokyo 103-0005

Tel: 03-5695-2711

Fax: 03-5695-2715

Prof. Makoto Watabe

Professor, Faculty of Environmental

Information

Keio University

5322, Endo, Fujisawa-shi, Kanagawa-ken 252

Tel: 0466-47-5111

Fax: 0466-47-5041

xLix

UNITED STATES-SIDE MEMBERSHIP: PANEL ON WIND AND SEISMIC EFFECTS

Dr. Richard N. Wright

Chairman, U.S. -side Panel

Director, Building and Fire Research

Laboratory

National Institute of Standards and

Technology

U.S. Department of Commerce

Gaithersburg, MD 20899

301-975-5900 FAX: 301-975-4032

E-mail: richard.wright@nist.gov

Mr. Noel J. Raufaste

Secretary-General, U.S. -side Panel

Head, Cooperative Research Programs

Building and Fire Research Laboratory

National Institute of Standards and

Technology

U.S. Department of Commerce

Gaithersburg, MD 20899

301-975-5905 FAX: 301-975-4032

E-mail: noel.raufaste@nist.gov

Dr. Daniel P. Abrams

Director, Md-America Earthquake Center

Hanson Engineers Professor of Civil

Engineering

University of Illinois 1241 Newmark Laboratory

205 North Mathews Avenue

Urbana, XL 61801

244-6302 FAX: 217-333-3821

E-mail: d-abrams@uiuc.edu

Dr. Kharaiti L. Abrol

Principal Structural Engineering Consultant

Room 475

Department of Veterans Affairs

810 Vermont Avenue, NW

Washington, DC 20420

202-565-5579 FAX: 202-565-5478

E-mail: abrkha@hq, med.va.gov

Dr. John Ake

Geophysicist

Seismotectonics and Geophysics Section

Code D-8330

P.O. Box 25007

Bureau of Reclamation

U.S. Department of the Interior

Denver, CO 80225

303-236-4195 x276 FAX: 303-236-9127

E-mail: jake@seismo.usbr.gov

Mr. John Baals

Seismic Safety Coordinator

P.O. Box 25007 (D-8110)

Bureau of Reclamation

U.S. Department of the Interior

Denver, CO 80225

303-236-3999 x534 FAX: 303-236-9099

E-mail: jbaals@do.usbr.gov

Dr. Celso S. Barrientos

Supervisory Physical Scientist

National Environmental Satellite Data

Information Service - Code E/RA28

National Oceanic and Atmospheric

Administration

U.S. Department of Commerce

5200 Auth Road

Camp Springs, MD 20746

301-763-8102 FAX: 301-763-8020

E-mail: cbarrientos@nesdis.noaa.gov

Dr. Eddie N. Bernard

Director, Pacific Marine Environmental

Laboratory

National Oceanic and Atmospheric

Administration

U.S. Department of Commerce

7600 Sand Point Way, NE

BINC15700/Building3

Seattle, WA 98 11 5-0070

206-526-6800 FAX: 206-526-6815

E-mail: bernard@pmel.noaa.gov

Li
Mr. Mike Blackford

lOC-NWS/INTERNAL

Tsunami Information Center

737 Bishop Street, Suite 2200

Honolulu, HI 96813-3213

808-689-8207x301 FAX: 808-689-4543

E-mail: michael.blackford@noaa.gov

Dr. David M. Boore

U.S. Geological Survey

345 Middlefield Road MS 977

Menlo Park, CA 94025

650-329-5616 FAX: 650-329-5163

E-mail: boore@samoa.wr.usgs.gov

Dr. Roger D. Borcherdt

Branch of Seismology

U.S. Geological Survey

U.S. Department of the Interior

345 Middlefield Road, MS 977

Menlo Park, CA 94025

650-329-5619 FAX: 650-329-5163

E-mail: borcherdt@samoa.wr.usgs.gov

Dr. Mehmet K. Celebi

Research Civil Engineer

Branch of Earthquake and Geomagnetic

Information

U.S. Geological Survey

U.S. Department of the Interior

345 Middlefield Road, MS 977

Menlo Park, CA 94025

650-329-5623 FAX: 650-329-5163

E-mail: celebi@samoa.wr.usgs.gov

Mr. Harish Chander

U.S. Dept. Of Energy (EH-31),

CXXI, Room 2016(GTN)

19901 Germantown Road

Germantown, MD 20874-1290

301-903-6681 FAX: 301-903-8693

E-mail: harish.chander@hq.doe.gov

Dr. Ken P. Chong

Program Director, Mechanical & Structural

Systems

National Science Foundation

4201 Wilson Boulevard - Room 545

Arlington, VA 22230

703-306-1361 FAX: 703-306-0291

E-mail: kchong@nsfgov

Dr. Riley Chung

Group Leader, Earthquake Engineering

Structures Division

Building and Fire Research Laboratory

National Institute of Standards and

Technology

U.S. Department of Commerce

Gaithersburg, MD 20899

301-975-6062 FAX: 301-869-6275

E-mail: riley.chung@. nist.gov

Mr. James D. Cooper

Chief, Structures Division, HNR-10

Federal Highway Administration

U.S. Department of Transportation

6300 Georgetown Pike

McLean, VA 22101

703-285-2060 FAX: 703-285-2766

E-mail: jim.cooper@fhwa.dot.gov

Mr. William Freeborne

Housing and Urban Development

Room 8132

45 1 Seventh Street, SW

Washington, DC 20410

202-708-4370 xl40 FAX:202-708-5873

E-mail: william_e._freeborne@hud.gov

Mr. Joseph H. Golden

NOAA/OAR/USWRP

1315 East-West Highway

Room 11554

Silver Spring, MD 20910

301-713-0460, ext. 123 FAX: 301-713-1459

202-482-1584

E-mail: joe.golden@noaa.gov

Lii
Mr. Peter E. Gurvin

Director, Building Design and Engineering

Division

Foreign Building Operations

Building SA-6, Room 335

U.S. Department of State

Washington, DC 20520

703-875-6117 FAX: 703-875-6204

E-mail: peter.e.gurvin@dos.us-state.gov

Dr. Robert L. Hall

Chief, Structural Analysis Group

U.S. Army Engineer Waterways Experiment

Station

3909 Halls Ferry Road

Vicksburg, MS 39180-6199

601-634-2567 FAX: 601-634-3412

E-mail: hallr3@mail.wes.army.mil

Dr. Walter W. Hays

Earthquake Hazards Reduction Program

U.S. Geological Survey

905 National Center

12201 Sunrise Valley Drive

Reston, VA 20192

703-648-6711 FAX: 703-648-6747

E-mail: whays@usgs.gov

Dr. Allen M. Hittelman

Chief, Solid Earth Geophysics Division

E/GCl, National Geophysical Data Center

NOAA, NESDIS

325 Broadway

Boulder, CO 80303-3328

303-497-6591 FAX: 303-497-6513

E-mail: allen.m.hittelman@noaa.gov

Mr. Larry C. Hultengren

Senior Structural Engineer

Office of Civil/Structural Engineering

Foreign Building Operations

Building SA-6, Room 346

U.S. Department of State

Washington, DC 20520

703-875-6194 FAX: 703-875-6204

Dr. Mary Ellen Hynes

Chief, Earthquake Engineering and

Geophysics Branch

Geotechnical Laboratory

USACE-CEWES-GG-H

3909 Halls Ferry Road

U.S. Army Waterways Experiment Station

Vicksburg, MS 39180

601-634-2280

E-mail: hynesm@exl.wes.army.mil

Dr. William B. Joyner

Geophysicist

Branch of Seismology

U.S. Geological Survey

U.S. Department of the Interior

345 Middlefield Road, MS 977

Menlo Park, CA 94025

650-329-5640 FAX: 650-329-5163

E-mail: joyner@samoa.wr.usgs.gov

Mr. Roger M. Kenneally

Structural Engineer

Structural and Seismic Engineering Branch

Mail Stop TlO-Ll

U.S. Nuclear Regulatory Commission

Washington, DC 20555

301-415-6303 FAX: 301-415-5074

E-mail: rmk@nrc.gov

Dr. George Lee

Director, Center for Advanced Technologies

in Earthquake Loss Reduction

State University of New York at Buffalo

Red Jacket Quadrangle

Buffalo, NY 14261

716-645-3391 FAX: 716-645-3399

E-mail: gclee@acsu.buflfalo.edu

Liii
Dr. H.S. Lew

Stnjctures Division

Building and Fire Research Laboratory

National Institute of Standards and

Technology

U.S. Department of Commerce

Gaithersburg, MD 20899

301-975-6061 FAX: 301-869-6275

E-mail: hsl@nist.gov

Dr. Shih-Chi Liu

Program Director, Structural Systems

Division of Biological and Critical Systems

National Science Foundation

4201 Wilson Boulevard - Room 545

Arlington, VA 22230

703-306-1362 FAX: 703-306-0291

E-mail: sliu@nsf gov

Dr. Josephine Malilay

Disaster Assessment and Epidemiology

Section

National Center for Environmental Health

F-46 Center for Disease Control and

Prevention

4770 Buford Highway, NE

Atlanta, GA 30341

770-488-7295 FAX: 770-488-7335

E-mail: jym7@cehdehl.em.cdc.gov

Dr. Francis G. McLean

Value Engineering Program Manager

Code D-8 170

P.O. Box 25007

Bureau of Reclamation

U.S. Department of the Interior

Denver, CO 80225

303-445-3091 FAX: 303-6475

E-mail: FMCLEAN@ibr8gw80.usbr.gov

Dr. Raymond E. Meyer

Department of State

SA14/Room 1705

USAIDAVashington, DC 20523-1443

202-712-1078 FAX: 202-216-3707

E-mail: Rmeyer@usaid.gov

Dr. Jack Moehle

Director, Pacific Earthquake Engineering

Research Center

University of California Berkeley

721 Davis Hall

Berkeley, CA 94720-1710

510-231-9554

E-mail: moehle@eerc.berkley.edu

Mr. Ugo Morelli

Policy Manager

Federal Emergency Management Agency

500 C Street, SW

Washington, DC 20472

202-646-2810 FAX: 202-646-2577

E-mail: ugo.morelli@fema.gov

Dr. Stuart Nishenko

Federal Emergency Management Agency

500 C Street, SW

Washington, D.C. 20472

202-646-3945 FAX: 202-646-4596

E-mail: stuart.nishenko@fema.gov

Mr. Howard D. Nickerson

Earthquake Engineering and Weapons

Specialist

Naval Facilities Engineering Command

Hoffman Building #2, Room 12S63, Code

04B2

200 Stovall Street

Alexandria, VA 22332

202-433-8599 FAX: 202-433-8777

E-mail : howard. d . nickerson@esc6 1 @navfac

nfesc

Liv
Mr. Tom Post

Chief, Earthquake Engineering Division

California Department of Transportation

(CALTRANS)

P.O. Box 942873

Sacramento, CA 95814

916-227-8728 FAX: 916-227-8898

E-mail: tpost@trmx3.dot.ca.gov

Dr. William E. Roper

Director, U.S. Army Topographic Engineering

Center

7701 Telegraph Road

Alexandria, VA 22315-3864

703-428-6600 FAX: 703-428-8154

E-mail: wroper@tec.army.mil

Dr. Charles E. Smith

Research Program Manager

Offshore Minerals Management

Technology Assessment and Research Branch

Minerals Management Service

U.S. Department of the Interior

381 Elden Street, MS 4800

Herndon, VA 20170-4817

703-787-1561 FAX: 703-787-1555

E-mail: smithc@smtp.mms.gov

Dr. T. T. Soong

Deputy Director, Center for Advanced

Technologies in Earthquake Loss Reduction

State University ofNew York at Buffalo

Red Jacket Quadrangle

Buffalo, NY 14261

Mr. Stanley Strickland

Chief, Air Base Systems Branch

Stop 37, WL/FIVC/OL, Bldg. 1120

139 Barnes Drive, STE 2

Tyndall AFB, FL 2403-6001

904-283-3709 FAX: 904-283-3722

E-mail: stan@mail.interoz.com

Dr. Phillip Yen

"Federal Highway Administration

6300 Georgetown Pike

McLean, VA 22101

703-285-2315 FAX: 703-285-2766

E-mail: wen-huei.yen@fhwa.dot.gov

Lv
ALTERNATE MEMBERS

Dr. Clifford J. Astill

Program Director

Division of Biological and Critical Systems

National Science Foundation

4201 Wilson Boulevard - Room 545

Arlington, VA 22230

703-306-1361 FAX: 703-306-0291

E-mail: castill@nsf.gov

Mr. Michael Changery

Chief, Global Analysis Branch

National Climatic Data Center

National Oceanic and Atmospheric

Administration

U. S. Department of Commerce

Federal Building

Ashville, NC 28801

704-271-4765 FAX: 704-271-4246

E-mail: mchangry@ncdc.noaa.gov

Dr. C.Y. Chen

Senior Civil/Geotechnical Engineer

Office of Foreign Buildings

Department of State

Code SA-6, Rm. 347

Washington, DC 20520

703-875-6207 FAX: 703-875-6204

E-mail: chency@state.gov

Mr. Vincent P. Chiarito

Research Structural Engineer

Structural Mechanics Division

Structures Laboratory

U.S. Army Engineer Waterways Experiment

Station

3909 Halls Ferry Road

Vicksburg, MS 39180-6199

601-634-2714 FAX: 601-634-3412

Dr. James F. Costello

Senior Structural Engineer

Structural and Geological Engineering Branch

Office ofNuclear Regulatory Research

U.S. Nuclear Regulatory Commission

Mail Stop TlO-Ll

Washington, DC 20555

301-415-6009 FAX; 301-415-5074

E-mail :j fc2@nrc.gov

Mr. Lucian G. Guthrie, P.E.

Structures Branch, Eng. Div.

U.S. Army Corps of Engrs.

UQUSACE (CECW-ED)

Washington, D.C. 20314-1000

202-761-8673 FAX: 202-761-4716

E-mail: civil_works.engl_j30Stguthrie(Lucian

Guthrie)

Dr. James R. Houston

Director, Coastal Engineering Research

Center

U.S. Army Engineer Waterways Experiment

StationAVESCV-Z

3909 Halls Ferry Road

Vicksburg, MS 39180-6199

601-634-2000 FAX: 601-634-2055

E-mail: houston@coafsl .wes.army.mil

Mr. James Lander

Geophysicist

Cooperative Institute for Research in

Environmental Sciences

University of Colorado

Campus Box 449, Room 152 RL3

3100 Marine Street

Boulder, CO 80309

303-497-6446 FAX: 303-497-6513

E-mail: jlander@ngdc.noaa.gov

Lvi
I

I

Mr. Tingley K. Lew

Research Structural Engineer

Structures Division

Naval Facilities Engineering Service Center - Code C62

1110 23rd Ave.

Port Hueneme, CA 93043-4370

805-982-1234 FAX: 805-982-1418

E-mail: tlew@nfesc.navy.mil

Mr. Michael Mahoney

Physical Scientist

Federal Emergency Management Agency

500 C Street, SW

Washington, DC 20472

202-646-2794 FAX: 202-646-4387

E-mail: michael.mahoney@fema.gov

Dr. Martin C. Miller

Chief, Coastal Oceanography Branch

USAE, Waterways Experiment Station

Coastal and Hydraulics Laboratory (CEWESCR-0)

3909 Halls Ferry Road

Vicksburg, MS 39180

601-634-3999 FAX: 601-634-4314

E-mail: m.miller@cerc.wes.army.mil

Dr. Erdal Safak

Research Structural Engineer

U.S. Geological Survey

Box 25046, MS 966

Denver Federal Center

Denver, CO 80225

303-273-8593 FAX: 303-273-8600

E-mail: safak@usgs.gov

Dr. John B. Scalzi

Program Director, Structures and Building

Systems

National Science Foundation

4201 Wilson Blvd. - Room 545

ArHngton, VA 22230

703-306-1361 FAX:703-306-0291

E-mail: jscalzi@nsfgov

i Lvii

1,

PANEL TASK COMMITTEE

MEMBERS

May 1998

LIST OF TASK COMMITTEE MEMBERS

Task Committee US Side

A. Strong-Motion Data and

Applications

R.D. Borcherdt*

C.J. Astill

M.K. Celebi

W.B. Joyner

F.G. McLean

C.S. Barrientos

T.K. Lew

E. Safak

+J. KimbaU

+J. Hunt

W. Freebome

J.Ake

B. Testing and Evaluation Procedures

for Building Systems

H.S. Lew*

V.P. Chiarito

J.E. Sabadell

C.E. Smith

K. Abrol

+ S. Sweeney

W. Freebome

C. Evaluation and Improvement K.P. Chong*

of Structures +J.O. Jirsa

H.S. Lew

T.K. Lew

H.D. Nickerson

+D.H. Oh

+MA. Phipps

J.B. Scalzi

+ S. Woodson

+S.A. Asar

M.K Celebi

KL. Abrol

R.L. Hall

+K. Mutreja

+P. Brady

W. Freebome

Japanese Side

S. lai*

K. Tamura

N. Nagai

Y. Yamanouchi

I. Okawa

Y. Nakao

K. Otani

M. Miyata

Y. Ichii E. Mochizuki

M. Sato

K. Ohtani*

T. Fukuta

T. Kaminosono

T. Morino

S. Nakata

I. Nishiyama

H. Noguchi

A. Tanaka

A. Wada

H. Hiraishi*

H. Fukuyama

T. Kaminosono

A. Mukai

M. Nakashima

I. Nishiyama

K Nishikawa

M. Okahara

S. Otani

H. Shiobara

M. Teshigawara

S. Unjoh

A. Wada

Lxi
D. Earthquake Engineering for

Dams

R. HaU*

W.E. Roper

F.G. McLean

L.G. Guthrie

+R. Davidson

+M.E. Hynes

A.G. Franklin

+R. Navidi

+L. Von Thun

+W. Allerton

T. Sasaki*

T. Fujino

Y. lida

J. Inomata

T. Iwashita

J. Kashiwai

I. Nagayama

S. Nakamura

T. Ohmachi

Y. Ohne

T. Sasaki

S. Takasu

J. Tamura

M. Toyota

T. Uesaka

Y. Wakisaka

K. Watanabe

H. Watanabe

A. Yamagichi

Y. Yamaguchi

E. Design for Wind and Wind

Hazard Mitigation

J. Golden*

+B. Bienkiewicz

+H. Bosch

+G. Chiu

W. Freebome

4-A. ICareem

H.S. Lew

+K. Mehta

+D. Reed

+T. Reinhold

C. Smith

+P. Tertell

A. Chiu

M. Mahoney

T. Okada*

H. Sato*

N. Furuya

H. Kikitsu

K. Kamura

N. Kinoshita

T. Mabuchi

G. Naito

H. Shirato

T. Tamura

Y. Tamura

Y. Uematsu

S.Yagi

H. Yamada

F. Disaster Prevention Methods

for Lifeline Systems

R.M. Chung*

C.J. Astill

M.K. Celebi

J.D. Cooper

+G. Al-Chaar

T.K. Lew

J.B. Scalzi

+ S. Wu

M Yasuda*

M. Hamada

K. Honda

J. Hoshikuma

Y. ICajiya

M. Hamada

K. Honda

J. Hoshiktmia

Lxii
+S. Wu

+ S. Sommer

Y. ICajiya

H. ICameda

M. Kaneko

T. ICatayama

A. Kinoshita

O. Matsuo

K. Miyamoto

N. Ogawa

M. Ozaki

K. Sasabi

K. Shimamura

S. Takada

K. Tamura

J. Tohma

S. Unjoh

T. Uwabe

G. Structural Control and

Intelligent Material

Systems

S.C. Liu*

V.P. Chiarito

K.P. Chong

+J.R. Hayes

L.C. Hultengren

G. Lee

S. Unjoh*

Y. Adachi

IC. Asano

Y. Fujino

H. Fukuyama

Y. Goto

H. lemura

N. Inoue

Y. Inoue

T. Ishimaru

K. Kawashima

M. Kitazawa

H. Kosaka

Y. Makiguchi

C. Minowa

T. Moriya

A. Nishitani

H. Okada

S. Okamoto

A. Ogawa

M. Sato

H. Soil Behavior and Stability

During Earthquakes

M.E. Hynes*

CJ. Astill

R.D. Borcherdt

C.Y. Chen

E.G. McLean

C.E. Smith

O. Matsuo*

J. Fukui

S. lai

M. liba

H. Kobayashi

J. ICoseki

Lxiii
R.M. Chung

+M.E. Hynes

+J.P. Koester

+R.H. Ledbetter

I. Storm Surge and Tsunami M.Blackford*

CJ.AstiU

C.S. Barrientos

' > E.N. Bernard

jijribk J. Lander

. W.E. R£.per

A.M. Hittelman

J. Wind and Earthquake Engineering J.D. Cooper*

for Transportation Systems J.B. Scalzi

H.S.Lew

r J.B. Scalzi

P. Yen

+H.R. Bosch

C. Minowa

J. Nishikawa

M. Okamura

T. Sugano

H. Suzuki

K. Tamura

I. Tohata

J. Tohma

Y. Yamaguchi

M. Yasuda

S. Yasuda

H. Yoshida

K. Zen

S. Sato*

S. Akeda

T. Goto

S. Iwasaki

K. Kawata

T. IConishi

K. Minami

T. Nagai

T. Nakayama

M. Okada

T. Sasajima

IC Satake

N. Shuto

T. Yamashita

K. Nishikawa*

Y. Fujino

N. Furuya

J. Fukui

T. Inatomi

M. Ishida

K. ICawashima

Y. Kimura

M. Kitazawa

Y. Nakao

H. Kosaka

T. Moritani

J. Murakoshi

A. Ogawa

K. Ogiwara

M. Okahara

H. Sato

Lxiv
M. Sato

Y. Tanaka

T. Terayama

K. Tamura

S. Unjoh

M. Yasuda

K. Wind and Earthquake Engineering

for Offshore and Coastal Facilities

C.E. Smith*

C.S. Barrientos

W.E. Roper

J.E. SabadeU

+M.C. Miller

M.K. Celebi

T. Uwabe*

J. Fukui

S. lai

M. Kazama

S. Noda

A. Nozu

M. Okada

H. Shiojiri

T. Sugano

H. Tsuchida

Y. Yoshida

* Chairman

+ TC Members (not Panel Members)

Lxv

RESOLUTIONS

RESOLUTIONS OF THE THIRTIETH JOINT MEETING

U.S.-JAPAN PANEL ON WIND AND SEISMIC EFFECTS

(UJNR)

National Institute of Standards and Technology, Gaithersburg, MD

12-15 May 1998

The following resolutions are hereby adopted:

1. The Thirtieth Joint Panel Meeting provided the forum to exchange valuable technical

information that is beneficial to both countries. In view of the importance of cooperative

programs on the subject of wind and seismic effects, the continuation of Joint Panel

Meetings is considered essential.

2. The following activities have been conducted since the Twenty-Ninth Joint Meeting:

a. Technology Exchanges. Technical experts, technical documents, and applications

of the electronic media have been exchanged. These exchanges have contributed to the

development of new research programs and enhanced ongoing research in both countries.

b. Task Committee Workshops. The Panel held four workshops/committee meetings and

technical site visits; more than 200 specialists fi^om both countries participated in these

activities:

1 . Task Committees (B&C), 4th U. S. -Japan Technical Coordinating Committee

Meeting on Composite and Hybrid Structural Systems, 12-14 October 1997,

Monterey, CA, USA.

2. Task Committee (E), 1st Workshop on Design for Wind and Wind Hazard

Mitigation, 7-9 October 1997, East-West Center, University of Hawaii, HI,

USA.

3 . Task Committee (F), 7th Workshop on Earthquake Disaster Prevention for

Lifeline Systems, 4-7 November 1997, Seattle, WA, USA.

4. Task Committee (J), 13th Bridge Workshop, 2-3 October 1997, Tsukuba,

Japan.

c. Common Agenda. The Panel recognizes the importance of providing earthquake

science and technology expertise to the 17 April 1996 U.S. -Japan Natural Disaster

Reduction Initiative of the U.S. -Japan Framework for New Economic Partnership

(Common Agenda). Panel members organized and participated in the Second Earthquake

Policy Symposium (EPS), 17-19 September 1997, Kobe, Japan and reviewed over 40-

proposals for the Earthquake Disaster Mitigation Partnership (EDMP). The Panel will continue to provide in close cooperation with EDMP technical leadership and participation

in the next EPS phase ~ First High-Level Forum Meeting that will address three themes: 1. Development and Use of Real-Time Seismic Information Systems; 2. Development and

Use of Loss Estimation Models; and 3. Post-Earthquake Response and Recovery Policies. Appropriate Task Committees will respond to the Common Agenda in planning their work.

Lxix
The Panel approved the consoUdation of Task Committees (C) and (G) into Task

Committee (C). The Panel approved the establishment of a new Task Committee on

Seismic Information Systems T/C (G).

The Panel will continue to seek methods to contribute to the International Decade for Natural Disaster Reduction (IDNDR) such as disseminating Proceedings of Joint Panel

Meetings and of Task Committee Workshops to appropriate organizations of the IDNDR.

The Panel approved the Task Committee reports presented during the 30th Joint Panel

Meeting. Each report included objectives, scope of work, accomplishments, future plans,

and other information. The Panel will continue to review the Task Committees' progress

toward meeting their objectives; consolidating, eliminating, and/or creating Task

Committees as desirable.

The Panel endorses the following ten (10) proposed Task Committee

Workshops/Committee Meetings during the coming year:

a. Task Committee (A), Workshop on Soil-Structure Interaction, September 1998 in USA.

b. Task Committee (B),lst Workshop on Test Procedure, Documentation, Retrieval of

Test Data, and Experimental Facilities, 1999, location to be determined.

C. Task Committee (B&C), 5th U.S. -Japan Technical Coordinating Committee Meeting on Composite and Hybrid Structural Systems, October 1998, Japan.

d. Task Committee (B&C), 20-year Commemoration Symposium on Cooperative

Earthquake Engineering Research, October 1998, Tokyo.

e. Task Committee (C), Workshop on Smart Structural Systems, May 1998, Sonoma,

CA, and Fall 1998, (to be determined), USA.

f. Task Committee (D), 2"^* Workshop on Earthquake Engineering for Dams, in conjunction with the 3 T' Joint Panel Meeting, May 1999, Japan.

g. Task Committee (E), 2nd Workshop on Design for Wind and Wind Hazard

Mitigation, Fall 1998, Japan.

h. Task Committee (H), Workshop on Soil Dynamics Studies by Centrifuge, 28-29

September 1998, Tsukuba, Japan.

i. Task Committee (I), 5th Tsunami Workshop, July 1998, Sapporo, Japan.

j. Task Committee (J), 14th Bridge Workshop, November 1998, Pittsburgh, PA .

Schedulmg for the Workshops will be done by the U.S. and Japan Chairmen of the

respective Task Committees with concurrence of the Joint Panel Chairmen. Both sides' Secretaries-General will be kept informed of the planning. Results of each activity

conducted before the 3 1st Joint Meeting will be presented at the 3 1st Joint Panel Meeting.

The Panel recognizes the importance of continuing its joint research programs on Soil

Liquefaction and Countermeasures and on Smart Structural Systems.

The Panel recognizes the importance of conducting research in the area of public health

following natural disasters and recommends the subject be featured in the 31st Joint Panel

Meeting.

Lxx
9. The Panel will seek methods to contribute to the International Organization for Standardization (ISO) through participation of its members and related agencies in appropriate ISO Technical Committees.

10. The Panel published its fifth newsletter issue, Wind and Seismic Effects, Winter 1998.

The newsletter featured articles on the 29th Joint Panel Meeting; the 2nd U.S. -Japan

Earthquake Policy Symposium; the 1st U.S. -Japan Workshop on Design for Wind and

Wind Hazard Mitigation; highlights of new Japanese laboratory facilities following the

Kobe Earthquake; and a highlight of the National Research Institute for Earth Science

and Disaster Prevention and the U.S. Geological Survey. The Panel endorses continuing

the publication of the Panel's newsletter. The U.S.-side will publish the sixth newsletter

during the winter of 1998-99.

11. The National Institute of Standards and Technology (NIST) will maintain the Panel's

Web Site on an interim basis. The five Panel newsletters were added to the Web Site. The Panel encourages all members from both sides to use electronic media, as much as

possible, in communicating Panel findings and summaries of its activities. The Web Site

URL address is: http://www.bfrl.nist.gov/info/ujnr/ujnrl.html.

12. The Panel recognizes the importance of continued exchange of personnel, technical

information, research results, and recorded data that lead to mitigating losses from sfrong

winds and earthquakes. The Panel also recognizes the importance of using available

large-scale testing facilities and other complementary capabilities in both countries.

Thus, these activities should be continued, sfrengthened, and expanded. The Panel will

provide official endorsement to facilitate these exchanges.

13. Thirty-First Joint Panel Meeting of the UJNR Panel on Wind and Seismic Effects will be

held at the Public Works Research Institute, Tsukuba, Japan in May 1999. Specific dates,

program, and itinerary will be proposed by the Japan-side with concurrence of the U.S.-

side Panel.

Lxxi

SPECIAL SESSION in CELEBRATION

of the PANEL'S 30'" ANNIVERSARY

Natural Disasters and Protective Measures in Japan

by

Yasutake Inoue*

ABSTRACT

As a country that suffers frequent natural

disasters, Japan applies lessons learned from

these experiences to the tasks of providing

disaster protection facilities and improving the

disaster resistance of infrastructures, but the

Hanshin - Awaji Earthquake Disaster (January

1995) taught that because it is difficuh to prevent all disasters from occurring, it is essential to accept that disasters will occur and

to provide crisis management type disaster

protection measures that minimize the damage

that they cause. This report describes measures and technological research undertaken in order

to supplement existing hardware measures

involving the construction of disaster protection

facilities with new software measures: those

intended to provide crisis management

capabilities.

Key words; Natural Disaster, Crisis

Management, Disaster Protection Measure,

Minimization of Damage, Seismic Safety Level,

Seismic Information System.

1. INTRODUCTION

Hardly a year passes without a disaster

occurring somewhere in Japan as a consequence

of harsh natural conditions that make it one of

the world's most disaster prone nations along

with the high concentration of land use in a few

small regions of the country. This report

introduces examples of some recent disasters. It also discusses issues that construction

administrators must address in response to the

Hanshin - Awaji Earthquake Disaster (January

1995), and topics that will be the object of future

technological research as an example of

earthquake resistance measures.

2. NATURAL CONDITIONS, NATIONAL

LAND USE PATTERNS AND

NATURAL DISASTERS IN JAPAN

(1) Natural Conditions and National Land Use

Patterns in Japan

Japan is a nation with many hills and

mountains and generally precipitous topography,

is drained by rivers that are shorter and steeper

than those in other nations, and has an extremely

long coastline in relation to its total land area. And geographically, it is part of the circum-pan

Pacific volcanic and earthquake zones and one

of the most volcanic and earthquake activity

prone nations in the world. Its geology features

large faults and fracture zones and many places

with weak geological structures. Climatic

features of Japan include its position in the path

of numerous typhoons and heavy winter snow

accumulation in large areas of the country.

In addition to the harsh topographical,

geographical, geological, and meteorological

natural conditions found in Japan, about 50% of

its population and 75% of its total productive

activities are concentrated in inundation zones

(regions lower than the river water level during

the flood period) on alluvial planes covering no more than about 10% of the total national land. On top of this, advancing urbanization has been

accompanied by the growing residential use of

regions consisting of low swampy land, alluvial fans, precipitous slopes, and other ground with a high latent risk of natural disasters. In addition to these natural conditions and

this pattern of national land use, hardly a year

passes without a natural disaster occurring

somewhere in Japan as a result of typhoons.

* Director-General of Public Works Research Institute, Ministry of Construction, Asahi 1, Tsukuba-shi,

Ibaraki-ken, 305-0804 Japan

3
extremely heavy rainfall, earthquakes, or volcanic eruptions.

(2) Natural Disasters

Figure 1 shows the numbers of fatalities and missing persons caused by natural disasters

in recent years organized by the cause of the

disasters. It reveals that frequent storm and flood

damage caused by typhoons and heavy rainfalls are the cause of fatalities etc. almost every year, and that many people died or disappeared as a

result of the Hokkaido Nansei-oki Earthquake

(1993) and the Hanshin - Awaji Earthquake

Disaster (Hyogo-ken Nanbu Earthquake: 1995).

Table 1 presents representative examples

of each of the wide variety of disasters that occur in Japan.

3. LESSONS TAUGHT BY THE HANSHIN - AWAJI EARTHQUAKE DISASTER

To prepare for natural disasters that occur almost every year, we have systematically and

continually carried out river improvement, dam

construction, coastline preservation, landslide

disaster prevention, road disaster prevention,

and urban disaster protection projects in an

effort to make Japan a safer place to live. To

take changes to bridge technology standards as an example of earthquake resistance measures,

as shown in Table 2, the Kanto Earthquake was

followed by the introduction of design

accounting for earthquakes so that it would be

possible to design bridges able to withstand a

similar earthquake. These standards were

reassessed again following the later Niigata

Earthquake and Miyagi-ken-oki Earthquake. In

this way, we have continually taken advantage

of our experiences with natural disasters to provide the capacity required to protect bridges

from their effects. But the Hanshin - Awaji Earthquake

Disaster that struck the Kinki Region of Japan, a

part of the country spared serious earthquakes

for many decades and one believed to be

relatively safe, resulted in damage on a scale

that exceeded our expectations. By starting fires in districts with highly concentrated wooden

housing and by cutting off lines supplying

essential services, it dealt a severe blow to the

lives of the residents of the disaster region. It also cut traffic networks, with severe

repercussions on productive activities both

within and outside of Japan.

These events have taught us not only that present science can not necessarily be used to predict the exact time and location of a powerful

earthquake, particularly a shallow intraplate

earthquake under the land, but that the power of

an earthquake can exceed any experienced in the

past and that changes both in urban

environments and in transportation and other

features of the socioeconomic environments

both within and outside of Japan mean there is a

risk that a powerful earthquake can inflict terrible harm on human society.

4. ISSUES IN FUTURE CONSTRUCTION

ADMINISTRATION

With the "creation of national land where

people can be safe and secure" as one of the

principal themes of construction administration

in Japan, we have continually striven to reduce

nature's ferocity by, for example, improving

flood control and erosion prevention measures

along with urban disaster protection measures, and strengthening the earthquake resistance of

public works structures, homes, and buildings.

But the Hanshin - Awaji Earthquake Disaster

has taught us that in addition to improving

disaster prevenfion facilities intended to keep

such disasters from occurring, it is also

important that we accept that it is impossible to prevent all disasters, and assuming that they will

eventually occur, prepare for them by providing measures to minimize the damage they inflict. So as described below, it is essential that hardware measures be accompanied by efforts to create crisis management type disaster

protection measures: software measures such as the provision of systems to provide information

concerning disasters and strengthened

coordination between concerned administrative

bodies.

(1) Establishment of Regionally Managed Crisis

Management Systems

4
To minimize the damage that disasters cause, the provision of disaster prevention

facilities will be accompanied by risk

management measures implemented at normal

times in preparation for disasters: the

clarification of the distribution of roles between

concerned organizations, private companies, and

residents (regional government bodies, fire fighting and flood response teams), and the

complete distribution of hazard maps (Figure 2)

etc. In addition, crisis management measures

including the distribution of disaster information

and the implementation by volunteers and others

of various support activities will be carried out

to reduce the damage after a disaster occurs.

(2) Switch-over to Facility Improvement for Damage Reduction

Taking levees as an example of this change in the basic concept guiding disaster

protection facility provision, rather than being

considered to be structures that must prevent

flooding from ever occurring, it will be assumed

that disasters are inevitable and levees will be

treated as structures intended to minimize

damage by, for example, emphasizing the

prevention of extremely severe damage when a

levee does break.

And past hardware measures to prevent

landslides and debris flows that cause frequent

fatal disasters, will be supplemented by software measures: providing belts of trees as buffer zones, strengthening regulations governing risk areas, and so on (Figure 3).

(3) Provision of Comprehensive Disaster

Protection Measures for Urban Areas

With a large proportion of Japanese

population and assets and most of its economic

and social activities concentrated in its cities, in order to prevent the paralysis of the economic

and public functions of the country, and to improve safety during large scale disasters,

comprehensive large scale damage prevention measures will be undertaken by both the

hardware and software sides: reinforcing the

disaster resistance of housing and infrastructures

and improving over-concentrated urban districts. And to permit the rapid and smooth

restoration of the daily lives of the people along

with economic and public life following a

disaster, emergency roadways to replace wide

area arterial roads, wide area disaster protection

bases, emergency transport routes, etc. will be

provided at the same time as multiutility tunnels

are constructed to improve the disaster

resistance of lifelines used to supply city

dwellers with essential services (Figure 4).

5. TOPICS FOR FUTURE TECHNOLOGICAL

RESEARCH

To minimize the damage caused by natural

disasters, research on a number of technologies

must be undertaken. This section of this report

describes a number of technological research

areas related to protection from earthquake

disaster. The concepts on which this selection is based also apply to other types of disasters.

(1) Improving the Earthquake Resistance of

Structures The most basic category of technological

research that is required is the search for ways to improve the earthquake resistance of civil infrastructures. Large scale centriftige and large

scale three-dimensional shaking table (Photograph 1 ) that have been recently installed

will be used to conduct research into seismic

design and retrofit technology.

(2) Earthquake Disaster Loss Estimation

Methodology

In order to more efficiently conduct

projects to increase the earthquake resistance of

civil infrastructures, research will be conducted

to find ways to quantitatively assess the loss caused by credible earthquakes and the effects of earthquake resistance improvement projects.

These will enable to set the seismic safety level

rationally, and to prioritize economical projects

based on the cost - benefits analysis (Figure 5).

(3) Coordination of Seismic Safety Levels of

Urban Infrastructures

Research to achieve coordination of

seismic safety levels for the various kinds of

infrastructures that constitute an urban area will

5
be carried out. The results will, by reflecting the

role of infrastructures in each region and the

effects of earthquake resistance improvement

projects, enable to improve the seismic safety of

overall cities (Photograph 2).

(4) Seismic Information Systems

In addition to providing structures with

appropriate earthquake resistance, it is necessary

to develop technology needed to implement

efficient crisis management. Research to develop seismic information systems including

early damage estimation technology, damage

monitoring technology, and data communication

technology will allow facility managers to take

effective emergency action such as the

temporary repair works on arterial roads

immediately after the disaster (Figure 6).

6. SUMMARY

At the same time as the needs for infrastructures are diversifying, finding ways to

skillfully utilize the nation's resources including

Its limited budget, housing stock, and

infrastructures stock, has become a serious

problem in the face of severe financial

conditions, the aging of the population, the

falling birth rate, the growing value attached to the natural environment and to the global

environment, and other problems. In the future,

the provision of hardware, new protective

structures and the like, is sure to take longer

than it does now, and it will be essential to adopt

comprehensive measures that emphasize the

software approach. This is a switch from

"national land construction" to "national land

management (improvement, use, preservation)."

It will also be necessary to introduce more and

better software measures to deal with the threat of natural disasters.

REFERENCES

1) Ministry of Construction ; Construction

White Paper, 1995

2) National Land Agency : Disaster Prevention

White Paper , 1993,1994,1997

6
Table 1 . Representative Disasters

Disaster Category Location Time Description

Volcanic Disaster Unzen Fugendake

Mountsatn in Nagasaki

Prefecture

June 3, 1991 The eruption and increasing level of activity of

Fugendake resulted in the repeated fonnation of lava domes that srew and collansed causms a series of

pyroclastic flows followed by the formation of another

lava dome and so on. A pyroclastic flow that occurred on June 3 killed 40

people and 3 more people went missing and have never

1-i^£kti Tr\iin/i UCCil lUUIiU.

Windblown tree disasterIn 30 prefectures, but mainly in those

in Kyushu

September,

1991

Storm generated by typhoons 17, 18, and 19 knocked

down and damaged trees. The damage to privately owned woodlots covered

60,000 hectares.

Earthquake

disaster (Hanshin

- Awaji

Earthquake

Disaster)

Centered in the Hanshin RegionJanuary 17, 1995A magnitude 7.2 earthquake (Hyogo-ken Nanbu

Earthquake) occurred with its hypocenter 14 kilometers

below the northern part of Awaji Island. A total of 6,425 people were killed, 2 went missing, and

43,772 people were injured. A total of 110,457 homes

wf*rf^ tntflllv dpQtrovpH ;)tirl 147 mnrf* wf^rf* nartiallv damaged.

Transportation routes, harbor facilities, and other

infrastructure items were damaged along with lines carrying essential services such as water, rnmtniinipafinn wvjiiiiiiuiijwciiiv.'ii iiiiwo, linpQ f^lppfripitv ^i&^ii i^iiy, f*tp wLw.

- Rock Failure The Toyohama

Tunnel at Furubira

in Hokkaido

March 20,

1996

A massive rock (about 1 1 ,000 m') collapsed on top of

the portal of the Toyohama Tunnel. One bus and two passenger cars were destroyed.

A tnffil of 90 npnnip wpfp killpH ^nd 1 iniiirpH

Debris Flow

Disaster

The Harihara River

at Izumi City in Kagoshima

Prefecture

July 10, 1997 A stationary early summer rain front caused the a debris flow (about 200,000 m').

A total of 21 people died, 13 were injured, and 16

buildings were damaged.

Note. These are representative examples of recent disasters of various kinds. Many other disasters have actually

occurred, but they are not hsted on this table.

7
Table 2. Reflection of Earthquake Disasters in Technical Standards for Bridges

Earthquake Principal Damage

Reflection in Technical Standards for Bridges and

Elevated Highways

1923

Kanto Earthquake Disaster

(M 7.9)

Fatalities: 99,331

Injuries: 103,733

Buildings destroyed: 128,266

Details of Road Structure (draft) "Stipulated that design should account for earthquake"

(1926)

"Based on surveys and research concerning design

earthquake force"

Design Specifications of Steel Highway Bridges

"Specifically stipulated design seismic coefficients" (1939)

1964

Niigata Earthquake

(M 7.5)

Fatalities: 26

Injuries: 447

Buildings destroyed: 1,960

Specifications for Seismic Design of Highway

Bridges

"Stipulated the installation of falling-ofif prevention

systems"

"Stipulated the assessment of soil liquefaction"

(1971)

1978

Miyagi-ken-oki

Earthquake

(M 7.4)

Fatalities: 28

Injuries: 11,208

Buildings destroyed: 1,383

"Part V : Seismic Design" in "Design Specifications

of Highway Bridges"

"Stipulated the design of the terminal point of

longitudinal reinforcement (elongation of the anchor

length of steel reinforcing rods)

"Expansion of the quantity of hoop tie reinforcement

(minimum hoop tie steel diameter from 6 mm to 13 mm)" (1980)

"Based on surveys and research concerning the dynamic

bearing strength and defonnation performance of reinforced concrete bridge piers"

"Part V : Seismic Design" in "Design Specifications

of Highway Bridges"

"Stipulated an examination of the ultimate horizontal

strength during an earthquake for reinforced concrete

bridge piers" (1990)

1995

Hanshin - Awaji

Earthquake Disaster

(Hyogo-ken Nanbu

Earthquake: M 7.2)

Fatalities: 6,425

Missing: 2

Injuries: 43,772

Buildings destroyed: 110,457

"Part V : Seismic Design" in "Design Specifications

of Highway Bridges"

"Stipulated design earthquake force accounting for eannquaKe motion causeu oy me nyogo-Ken iNanou

Earthquake"

"Stipulated seismic design based on the ultimate

horizontal strength during an earthquake method for

structural members strongly effected by earthquakes"

(1996)

8
(People) 6000

.a

a

1

•s

iSu

.oZ

500 -

400 -

300 -

200

100

0

148

69

93 96

123 ^ ^ ^

190

438

19 i

6,472

39

1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 (Year) Storm and

Flood Damage

Earthquakes Snow Damage Q Others

Figure 1 . Fatalities and Missing People by Cause of Disaster

Mountain Streams at Risk

of E>ebris Rows

•

Locations at Risk of

Collapse of Steep Slopes •

Locations at Risk of

Landslides

Figure 2. Hazard Map

9
Conventional Slope Protection Measure New Slope Protection Measures

^ r^--^Steep Slope Failure Risk_Area . \ ^Disaster Risk Area E

C)Lj ^ioSteen Slonft Failure Risk Arpji I I

I^Designated as a Green . (Preservation Zone (City Planning Law)

Landslide!

Buffer Tree Belt Zone Provision

Figure 3. Provision of Buffer Tree Belts and Strengthening of Regulations for Risk Areas

Improvement of Earthquake Resistance

Jprivate Facilities of Road

fOccpancy (Sign board, etc.) '

'Bridge Retrofitting

/

fi Emergency Transportation

j KRoute Provision

/

Wide Sidewalk <

^^m. MultiutilityTunnel^^^^^^,,^^^

#gfor Electric Power Lines ^^E^^^^^sbwj

Multiutihty Tunnel 5^:^ Multiutil.ty Tunne Pis^

-v.vv^^C^^ for Electric Power Lines 'j^^^

D D

Vending Machine Overturning Prevention Measures

Figure 4. Improvement of Disaster Protection by Providnig Emergency Transportation Routes

10
Embankment Production Facilities^ Bridge

Normal

Conditions

Highway Network

Data

Socio-Economic

Data

turned

Damage

before EQ

Feedback

Initialization]

Planner

Restoration

\

Actual

Damage

after EQ

J

Loss Estimation

Priority for Retrofitting/Restoration

Time-History of

Earthqual<e Effects

Feedback

Figure 5. Loss Estimation for Pre-/Post Earthquake Risk Management

Accelerometer Network

20-40km along Highway

Microwave Communication

Network

fS3''''^ork Office

Accelerometer

Accelerometer "^^^^ Office Regional Bureau

Real-time Damage

Estimation System

Headquarter

Figure 6. Earthquake Disaster Information System

11
Photograph 1. Large Scale Three-dimensional Shaking Table

Photograph 2. Upgrading Seismic Safety of Urban Area

12
Completing Our Panel's Work

by

•

Richard N. Wright^

ABSTRACT

Our 30th Joint Meeting provides an

opportunity to reflect on our work and

accompHshments and estabhsh our view for the future of our U.S./Japan Panel on Wind

and Seismic Effects. The Panel has helped

us, in the United States, in Japan, and in the

world, to: (1) focus, coordinate and amplify

efforts of government, academia and

industry to better understand extreme wind

and earthquake phenomena, and (2) increase

the resistance of our built environment and

society to their destructive effects. Is it not

time to commit ourselves to the solution of

the problem of destructive winds and

earthquakes? Can we make it the objective

for the next 20 years of the Panel to work

together, with the international wind and

earthquake communities, to provide: (1) the

knowledge of extreme wind and earthquake

phenomena; (2) the practices for planning,

design, construction, operation,

maintenance, and rehabilitation of our built

environment; and (3) the incentives for

societal actions to apply the practices that together will end the threat of wind and

earthquake disasters?

KEY WORDS: Disaster Mitigation;

Earthquakes; Earthquake Engineering; Earth

Science; Japan; Meteorology; Seismology;

Social Science; United States; Wind

Engineering

1. INTRODUCTION

Our 30th Joint Meeting provides an

opportunity to reflect on our work and

' Director, Building and Fire Research Laboratory

National Institute of Standards and Technology

accomplishments and establish our view for the future of our U.S./Japan Panel on Wind

and Seismic Effects. It is a wonderful

opportunity, while the founders of the Panel

can still be with us, to note how the Panel

has helped us, in the United States, in Japan,

and in the world, to: (1) focus, coordinate

and amplify efforts of government,

academia and industry to better understand

extreme wind and earthquake phenomena,

and (2) increase the resistance of our built

environment and society to their destructive

effects.

Moreover, we have the opportunity to define our objectives for future Panel

collaborations. Therefore, I wish to build on the thoughts of Dr. Tsuneo Katayama,

Director General of the National Research

Institute for Earth Science and Disaster

Prevention, at the 29th Joint Meeting and at the Second U.S./Japan Earthquake Policy

Symposium: Is it not time to commit

ourselves to the solution of the problem of

destructive winds and earthquakes? Can

we make it the objective for the next 20

years of the Panel to work together, with the

international wind and earthquake

communities, to provide: (1) the knowledge

of extreme wind and earthquake

phenomena; (2) the practices for

planning, design, construction, operation,

maintenance, and rehabilitation of our

built environment; and (3) the incentives

for societal actions to apply the practices

that together will end the threat of wind

and earthquake disasters?

13
The appendix to this paper is an excellent

summary of the activities and

accomplishments of the Panel prepared by

our U.S. -side Secretary General, Noel

Raufaste. In the following paragraphs, I draw upon the facts from this summary to show that we have established a sound basis

for committing ourselves to Completing Our

Panel's Work and solving the problem of

destructive winds and earthquakes.

Our Panel was established in 1969 to encourage, develop and implement the

exchange of wind and seismic technologies;

develop stronger links between the two

countries; conduct joint research and

cooperative programs; and exchange guest

researchers and equipment. Now, we are holding our 30th joint meeting, and have

established an active family of task

committees that have held more than 60

workshops and conferences, have published more than 1 700 papers, and exchanged over 200 guest researchers. These activities, our

collaborative investigations of effects of

U.S. and Japanese extreme winds and

earthquakes and our 9 Cooperative Research

Programs have resulted in knowledge and

recommended practices used in the United

States, Japan and other nations to reduce our

vulnerability.

2. CHALLENGE TO THE PANEL

Our work is gaining new scope. We are beginning to address public health issues to understand how wind and seismic effects threaten illnesses and injuries and to define

countermeasures. We are beginning to address emergency information services to adapt information and communication

technologies to assist: (1) emergency

managers in search and rescue and in

avoidance of secondary damages such as post-earthquake fires; (2) scientists and

engineers in understanding wind,

earthquake and fire phenomena, and the

performance of the built environment and

political and economic systems; and (3) the

public and private sectors in recovery from

the damages. We are increasingly involving leaders from industry and universities

in the work of the Panel. This scope allows

us to coordinate and focus public, private

and academic R&D, in the U.S. and Japan,

to provide the knowledge and recommended

practices needed to reduce our vulnerability.

We have not yet developed cooperative

activities aimed at defining and implementing the incentives needed by all levels

of government, property owners, and the

general public to apply the recommended

practices systematically and economically

to end the threat of wind and earthquake

disasters. If this proposal for Completing

Our Panel's Work is endorsed by the Panel,

we will have to give substantial future

attention to incentives for mitigation of

wind and seismic effects. Our strategy for

20 years work would involve continued and

sfrengthened collaborations to:

• Exploit the opportunities provided by

wind and seismic disasters to gain

knowledge and public and private

policy support for mitigation.

• Improve knowledge of the destructive

environments arising from extreme

winds, earthquakes and post-event fires,

the response of the built environment,

and societal response during emergency

and recovery periods.

• Develop cost effective recommended

practices for planning, design,

construction, and rehabilitation of the

built environment.

• Develop cost effective recommended

practices for emergency services and

recovery.

• Develop incentives for public and

private sector actions to implement

recommended practices to end the threat

of wind and earthquake disasters.

14
APPENDIX

Background On Panel On Wind And Seismic Effects

1. BACKGROUND - WHY

ESTABLISHED

The U.S.-Japan Cooperative Program in Natural Resources (UJNR) was created in

January 1964; one of three Programs

comprising the U.S. -Japan Cooperative

Science Program. The Panel on Wind and

Seismic Effects was established in 1969. Its objectives are to: encourage, develop, and

implement the exchange of wind and

seismic technologies; develop stronger

technical links between the two countries;

and conduct joint research, cooperative

programs, and exchange guest researchers

and equipment.

Eighteen U.S. agencies participate in the

Panel (see Attachment) to develop and

exchange technologies aimed at reducing

damages from high winds, earthquakes,

storm surge, and tsunamis. This work is produced through collaboration between

U.S. and Japanese member researchers

working in 1 1 Task Committees' with

^ Panel on Wind and Seismic Effects'

1 1 Task Committees (T/C):

1 . T/C "A" Strong Motion Data and

Applications

2. T/C °B" Testing and Evaluation Procedures

for Building Systems

3. T/C "C" Evaluation and Improvement of Structures

4. T/C "D" Earthquake Engineering for Dams

5. T/C "E" Design for Wind and Wind Hazard

Mitigation

6. T/C "F" Disaster Prevention Methods for

Lifeline Systems

7. T/C "G" Structural Control and Intelligent

Material Systems

8. T/C "H" Soil Behavior and Stability During

Earthquakes

9. T/C "I" Storm Surge and Tsunamis

10. T/C "J" Wind and Earthquake Engineering

for Transportation Systems

1 1. T/C "K" Wind and Earthquake Engineering

for Offshore and Coastal Facilities

representatives of private sector organizations. Each committee focuses on

specific technical issues. Task Committee

activities include exchange of technical data

and information on design and construction

of civil engineering lifelines, buildings, and

water front structures, promote and execute

joint research projects, and exchange high

wind and seismic measurement records.

Annual meetings alternate between Japan

and the U.S. (odd numbered years in Japan; even numbered years in the U.S.). Oneweek technical meetings provide the forum

to discuss ongoing research and research

results. They are followed by one-week

technical site visits. The National Institute

of Standards and Technology has been the

U.S.-side Chair since the Panel's creation^.

2. ACCOMPLISHMENTS

1 . Held 29 annual joint Panel

Meetings,

2. Conducted more than 50 Task

Committee Workshops and 15 Task

Committee Conferences,

3. Published more than 1700 papers in

Joint Panel Proceedings, Workshop

Proceedings, and in other technical

journals,

4. Published 22 year listing of

publications List ofPublications

1969-1991,

^ Chairman: Dr. Richard N. Wright, Director

Building and Fire Research Laboratory National

Institute of Standards and Technology, DoC

Secretary General: Noel J. Raufaste, Head,

Cooperative Research Programs, Building and

Fire Research Laboratory, National Institute of Standards and Technology, DoC

15
5. Exchanged over 200 guest

researchers who performed short

and long term joint cooperative

research assignments that have

enhanced host and supply

laboratory's research mission and

contributed to improved structural standards and building codes,

6. Annually visit more than 10 major

public works construction projects

that are using innovative civil engineering techniques and research

laboratories having unique test and

measurement capabilities that enhance the joint Panel's

understanding of research, design,

and construction procedures used by

both countries,

7. Performed joint post disaster

surveys and made entrees for counterpart panel members to participate in post disaster studies of

the performance of constructed

facilities exposed to wind,

earthquake, and tsunamis; results are shared with the professional

community which contribute to improved knowledge and practice

for disaster resistant constructed

facilities,

8. Conducted specialty symposia, e.g., • a two-day symposium on

Hurricane Hugo, Charleston

S.C., 1990 (22nd Joint

Meeting);

• a one-day international

symposium on IDNDR in Gifu,

Japan, 1991 (23rd Joint

Meeting);

• a mini-symposium during

technical site visits at Lehigh

University ATLSS Facility, at New Orleans Corps of

Engineers Facility, and at LBL,

1992 (24th Joint Meeting);

• 25th Panel Anniversary

Symposium, IDNDR focus on

lessons learned in post disaster

investigations, Tokyo, 1993;

• a mini-symposium during

technical site visits at Waterways Experiment Station,

Vicksburg, MI, 1994 (26th Joint

Meeting);

• a mini symposium during site visits at University of

Minnesota's Wind Tunnel

Facility and at the Department

of Geology and Mineral

Industries, Portland, Oregon,

1996 (28th Joint Meeting)

Each event has advanced

technology transfer to participants

and stimulated greater attention to promoting disaster mitigation

programs.

9. Translated into English two

Ministry of Construction reports,

Manualfor Repair Methods ofCivil

Engineering Structures Damaged by

Earthquakes and 2-volume Base

Isolation Systemsfor Buildings;

publications distributed to U.S. civil engineering community as improved practices,

10. Shared technical information during

Joint Panel Meetings, Task

Committee Workshops, and during

routine correspondence between

U.S. and counterpart Japanese

researchers that improved

researchers abilities to perform

mission research.

3. COOPERATIVE RESEARCH

PROGRAMS

Completed seven Cooperative Research

Programs; two on-going Programs.

Accomplishments have improved design

and construction practices for both

countries.

1. Reinforced Concrete Structures (1979-1987), accomplishments

include testing six-story full scale

16
buildings which led to improve

seismic design methods of

reinforced concrete buildings.

2. Lifeline Facilities (1982-1989);

accomplishments included

development of improved seismic

design methods of bridge columns.

3. In-situ Testing Methods for Soil

Liquefaction (1983-1986);

accomplishments include

development of rationale for Standard Penetration Test (SPT)

data based on energy ratio. 4. Masonry Structures (1984-1988);

accomplishments include

development of strength-based

design guidelines for reinforced

masonry buildings.

5. Steel Structures (1985-1987);

accomplishments include testing of

a full-scale five-story building to confirm prediction of performance

based on components and

subassemblages.

6. Hybrid Control (1990-1994);

accomplishments include

development of hybrid control

algorithms that require less energy

for controlling bridge response.

7. Precast Seismic Structural Systems

(1991-1992); accomplishments

include development of strengthbased design guidelines.

8. Seismic Performance of Composite

and Hybrid Structures (1993-).

9. Research on Countermeasures for Soil Liquefaction (1994-).

4. TYPES OF EXCHANGES

Guest research exchanges advanced state of

technology in areas of steel, concrete, and

masonry structures under seismic forces; developed techniques to analyze risks from

liquefaction; modeled water seepage in dam

foundations; performed comparative

analyses of seismic design of U.S. and

Japanese bridges.

5. BENEFITS

The Panel's activities resulted in improved

building and bridge standards and codes and

design and construction practices for

constructed facilities in both countries, for

example:

1 . created and exchanged digitized

earthquake records used as the basis

of design and research for Japan and

the United States.

2. transferred earthquake engineering

information and strong-motion

measurement techniques for use by

seismically active countries, e.g., Australia, Canada, Italy, Mexico,

Peru, Taiwan, Turkey, and North

Africa;

3. produced data that advanced retrofit techniques for bridge structures;

4. developed field test data for use in aerodynamic retrofit of bridge

structures;

5. produced full-scale test data that advanced seismic design standards

for buildings;

6. advanced technology for repairing

and strengthening reinforced

concrete, steel, and masonry

structures;

7. improved in-situ measurement

methods for soil liquefaction and

stability under seismic loads;

8. created a database comparing

Japanese and U.S. standard

penetration tests to improve

prediction of soil liquefaction;

9. created database on storm surge and

tsunamis and verified mathematical

models of tsunami and storm surge

warning systems;

10. established a library resource of

current research on wind and

earthquake engineering and on

storm surge and tsunamis;

1 1 . published proceedings of Panel

meetings. Task Committee

Workshops, and special

publications such as List of Panel
Publications and translated twovolume series on earthquake 2. resistant construction using base

isolation systems;

12. gained better knowledge of both 3, countries research, design and

construction capabilities from in- depth visits to host country's

laboratories and building and public

works projects. Results of such

visits contribute to creation of new

Task Committees, agendas for Joint

Panel meetings and task committee 4. workshops, special visits of U.S.-

Japan researchers, and joint

collaborative research.

6. FUTURE PLANS 5.

The Panel is plaiming:

1 . its 30th Joint Meeting to be

conducted at NIST, Gaithersburg,

MD in May 1998.

to conduct four Task Committee

workshops before the 30th Joint

Panel Meeting.

participation in appropriate research

projects of the U.S. -Japan

Earthquake Disaster Mitigation

Partnership of the April 17, 1996

Agreement, U.S. -Japan Common

Agenda. Appropriate Task

Committees will respond to the

Partnership in planning its work,

to publish its 5th newsletter for

disseminating Panel's activities to peers and to decisionmakers at Government laboratories and

agencies involved in construction,

a Panel Home Page to electronically

disseminate Panel information

worldwide. The effort will build on

current Panel descriptions.

18
ATTACHMENT

U.S. Members — Panel on Wind and Seismic Effects

Department of Commerce National Institute of Standards and Technology

National Oceanic and Atmospheric Administration

Department of Energy

Department of Health and Human Services

Center for Disease Control and Prevention

Department of Housing and Urban Development

Department of Interior Bureau of Reclamation

U.S. Geological Survey

Minerals Management Service

Department of State Office of Foreign Building Operations

Agency for International Development

Department of Transportation Federal Highway Administration

Department of Veterans Affairs

Department of the Army Corps of Engineers

Department of Navy Naval Civil Engineering Laboratory

Department of Air Force Civil Engineering Support Agency

Federal Emergency Management Agency

National Science Foundation

Nuclear Regulatory Commission

California Department of Transportation

NSF Earthquake Eng. Centers Center for Advanced Technologies in Earthquake Loss

Reduction, State University of New York, Buffalo

Pacific Earthquake Engineering Research Center,

University of California, Berkeley

Mid-America Earthquake Center, University of Illinois,

Urbana-Champaign

19
i
STORM SURGE and TSUNAMIS

TSUNAMI AND STORM SURGE CHARACTERISTICS BASED ON LONG-TERM

TIDE OBSERVATIONS

by

Toshihiko NAGAI". Kazuteru SUGAHARA". Hiroshi WATANABE".

Koji KAWAGUCHI''. Masahiro MIHARA''. and Katsumi TAKASHIMA'

ABSTRACT

Based on the 38-year tide observation

records digitized every hour between 1958

and 1995, long waves-characteristics

including Tsunamis and Storm surges were investigated. Long-waves with double

amplitudes greater than 15cm were observed

for 180 cases during the 38 years including

4 tsunamis.

Key Words: Tide Observation.

Long Waves,

Tsunami

1. INTRODUCTION

This paper presents the analysis of

observed long-term tide data ; to clarify

profiles of long-waves including tsunamis

and storm surges. (Nagai. et. al. , 1996)

2. TIDE OBSERVATIONS AND DATA ANALYSIS

38 years of tide data, between 1958 and

1995, obtained at the Kurihama-Tide-Station

were analysed. The station is located at the

entrance of the Tokyo-Bay (N35'' 13' 28".

E139° 43' 27"). and employs the Fuse type

tide gauge with a well. Figure 1 and 2 shows

location of the tide station. Photo 1 shows

the Fuse type tide gauge. The tide well is connected to the sea with a tube as the

Figure 3 shows. The tube of the diameter

131mm works as a low-pass-filter by omitting

the high frequency sea level fluctuations

caused by wind waves.

Observed data were recorded on an analog recorder for the entire observation

term. All the data were digitized every hour

in order to calculate the mean sea level and

the harmonic components.

3. LONG-WAVE RECORDS

Figure 4 shows the observed long-waves

with the heights (double amplitude) greater

than 15cm. Among these 180 cases, 4 casese

were tsunamis, andthe others were caused by

weather disturbances. Table 1 shows joint

distribution between double amplitudes and

periods of the observed long waves. Observed

periods were either between 2-3 minutes or 15-20 minutes, which corresponds to the

local topographical resonance periods of the two different modes, except the 1960-ChileTsunami event with periods of around 80

minutes.

1) Hydraulic Engineering Division. Port and Harbour Research Institute,

Ministry of Transport

3-1-1. Nagase. Yokosuka 239-0026, Japan

TEL:+81-468-44-5017 FAX:+81-468-42-5246

2) ECOH Co. 2-6-4. Kita-Ueno. Taito. Tokyo 110-0014.

Japan

TEL:+81-3-5828-2185 FAX:+81-3-5828-2176

3) Coastal Ocean Research Co. 3-21-1. Shimo-Ochiai. Shinjuku-ku, Tokyo

161-0033. Japan

TEL:+81-3-3950-3740 FAX:+81-3-3951-9171

23
4. THE 1960-CHILE-TSUNAMI PROFILES

Figure 5 shows the observed 1960-ChileTsunami profiles by digitizing with a shorter interval, every 36s. The lower

figure shows the observed water surface

level with astronomical tides, while the

upper figure shows the tsunami profiles by

omitting lower frequency astronomical tide

components. The marks ®, (2), (3). (3), and®',

. (3)' . (3)' , © . © . ®' . ®' mean the data

terms for frequency spectra analysis.

Frequency spectra analysis was

conducted with different record lengths 1024. 2048. 4096. and 8192 data points, which

corresponds to the sampling length of lOh. 20h. 40h. and 80h. respectively, as the

Figure 6 shows. The results showed that the

peak frequency of the tsunami was 0. 0002Hz,

and the second peak was at 0. OOlHz. This

second peak corresponded to the local

topographic resonance frequency. The ratio

of the second peak and the first peak

increased with time. The results of this

study provided more detailed tsunami spectra

information than the previous study

conducted in I960' s. (Hatori, 1969)

5. THE 1996-IRIANJAYA-TSUNAMI PROFILES

The frequency response of the well,

connected with a tube to the sea water, was investigated at the occasion of the 1996

1 r ian jaya-Tsunami event by comparing the

tide gauge data with the ultra-sonic direct

sea surface elevation data. Photo 2 shows

the Ultra-sonic direct sea surface measurement equipment.

Figure 7 is the tsunami profiles

including the NOWPHAS offshore wave gauges

continuous records (Nagai et.al. 1994), the

low-pass-filtered Fuse type tide gauge

records, and the ultra-sonic direct sea surface elevation records. The NOWPHAS

offshore wave gauge is located 50km off the

24

tide station near the Izu-Ohshima Island.

( water depth 50m,

N 34° 40' 23". E 139° 27' 19" )

Figure 8 shows the results of the

spectra analysis of the three records of the

Figure 7. The peak frequency of the tsunami was 0. OOlHz, near to the local topographic resonance frequency. The responce function

indicates that the tsunami was amplified in the Kurihama Bay due to the topographic

resonance. Figure 8 also proves that for

longer period waves, greater than 5 minute

periods, ratio is almost 1.0 between the two records of the low-pass-filtered Fuse type

one and the direct sea surface elevation one.

5. STORM SURGE RECORDS

Harmonic analysis was conducted for

every year from the hourly based observed

data, and the 28 components' amplitudes and

phases were obtained. Table 2 shows the

results of the 4 principal components of M2

(period of 12.42h), S2(12h), Kl(23. 934h).

and 01(25. 819h). ZO values defined as the

sum of the amplitudes of the 4 components

are also shown.

In addition to the each year's

calculated 4 components and the ZO value,

maximum, minimum, and average amplitudes and

the standard deviation (S. D. ) are shown in Table 2. The 4 components' amplitudes

fluctuations were small with the standard

deviation less than 1%. Nevertheless,

amplitudes of the longer period components

such as Sa(lyear) and SSa(0. 5year), showed

much larger fluctuations.

Astronomical tide was calculated from

the 28 harmonic tide components' amplitudes

and phases, and storm surge ( meteorological

tide ) level was obtained as the diference

between the observed tide and calculated one. Table 3 shows the records of the 40 highest

storm surges during the 38 years with the
meteorological cause. Figure 9 shows an example of the storm surge records.

6. CONCLUDING REMARKS

Interesting facts related to the

tsunami and long-wave profiles were found

from the analysis of long-term tide records.

It is desirable to apply these methods of

analysis to additional tide stations, and to compare the results, in order to obtain more precise information. Efforts are now underway to establish a digital network

system of tide data stations, with the

cooperation of the concerned organizations.

(Nagai, et. al. , 1994)

REFERENCES

Hatori.T. (1969) : Analysis of Oceanic Longperiod Wave at Hachijo Island, Bull.

Earthq. Res. Inst, Univ. Tokyo. Vol.47,

pp. 863-874

Nagai, T., Sugahara, K. , Hashinoto, N. , Asai,T.

.

Higashiyama, S, and Toda. K (1994) : Introduction of Japanese NOWPHAS System

and its Recent Topics, Proc. of HYDROPORT" 94, PHRI. pp. 67-82

Nagai, T.. Sugahara, K. . Watanabe, H. , and

Kawaguchi,K. (1996) : Long Term Observations of the Mean Tide Level and Long

Waves at the Kurihama-Bay, Rept. of PHRI,

Vol.35, No. 4, pp. 3-35

Photo 1 Fuse Type Tide Gauge

Photo 2 Ultra- Sonic Direct Sea Surface
Figure 1 Location of the Tide Station (1)I
Structure of the Tide Well(l)

0 1 2 3 4 5 lOn Structure of the Tide Weil©

(unit: mm

)

lOm

Figure 3 Structure of the Tide Well

27
200 T

>

<V^100 +

>

-<

1^'

co

50-

1960Chile Earthquake

1994Hokkaido East-Off

Tsunami Typhoon

Low Pressure

Tsunani Others

Earthquake Tsunami

1993 Guam Earthquake Tsunami

inn n n n 'lo' a fst»f^tmm»o"

year Figure 4 Observed Long-Waves

Table 1 Joint Distribution of the Observed Long Waves

Double Ampl itude

( cm )

Period ( min ) Total

-10 10-20 20-

15 - 20 17 80 0 97

20 - 25 17 22 1 40

25 - 30 12 7 1 20

30 - 40 6 4 0 10

40 - 50 6 1 0 7

50 -100 5 0 0 5

100 -

0 0 1 1

Total 63 114 3 180

28

^ 0.0

-0.5:

2.

1.0

0.0

Ultrasonic wave meter Tide Eauge

1 1 1 I 21 22 23

pr

1

1 '21 22

2/17

23

2/18

Figure 7 Comparison of the Observed 1996-Irianjaya-Tsunami Profile

Table 2 Results of the Harmonic Analysis

M2 S2 Kl 01 ZO

Year amp. (cm) pha. (° ) amp. (cm) pha. (° ) amp. (on) pha. (° ) amp. (cm) pha. C ) (cm)

1958 35. 851 147. 174 17. 103 175. 561 23. 259 176. 155 18. 653 0157. 503 94. 866

1959 36. 283 148. 890 17. 400 177. 502 23. 322 175. 840 18. 336 158.489 95. 341 1960 36. 359 149. 025 ti 17.492 177. 282 O 22. 985 175. 924 18.453 157. 851 95. 289

1961 36. 657 148. 703 17. 255 177. 196 23. 558 176. 107 18. 390 158. 695 95. 860

1962 36. 409 148. 588 17. 283 176. 549 23. 367 176. 397 18.461 158. 798 95. 520

1963 36.613 148. 305 17. 155 176. 745 23. 839 177. 234 18. 608 158. 830 96.215

1964 36. 322 147. 703 17. 273 176. 151 23. 758 177. 406 18. 832 158. 756 96. 185 1965 t: 36. 684 147. 691 17. 360 176. 240 23. 836 177. 252 18. 741 158.410 96.621

1966 36. Ill 147. 768 17.089 176. 167 23. 330 176. 683 18. 553 158.464 95. 083

1967 36. 135 148. 356 17.311 176. 840 23. 441 177. 708 18. 361 159. 506 95. 248

1968 36. 022 148. 286 17. 300 irl77. 755 23. 665 177. 742 18. 737 159.494 95. 724

1969 35. 872 148.018 17. 195 176. 796 23. 365 177. 056 18. 606 158. 766 95. 038

1970 36. 106 148. 227 17. 241 176. 343 23. 527 177. 685 18.519 159.058 95. 393

1971 35. 934 148. 554 17. 143 177. 036 23. 533 177. 778 18.400 158. 878 95.010

1972 35.717 148. 323 17. 202 177. 354 23.216 176. 795 18. 342 159.066 94. 477

1973 35. 968 147.557 17.210 176. 490 23. 482 177. 142 18. 725 158. 799 95. 385

1974 35. 932 148.005 17. 329 177. 023 23. 483 177. 646 18. 638 158. 196 95. 382

1975 35. 765 148. 623 17. 208 176. 858 23. 306 177. 203 18.410 159. 367 94. 689

1976 35. 881 148. 163 17. 170 177. 034 23. 118 176. 123 O 18.247 158. 766 O 94.416

1977 36. 143 147. 877 17. 160 176. 725 23. 240 176. 045 18. 789 158. 331 95. 332

1978 36.215 148. 242 17. 118 176. 825 23. 452 0175. 720 18.473 157. 551 95. 258

1979 36. 157 5^149. 297 17. 078 177. 653 23. 353 176.711 18. 342 158. 068 94. 930

1980 36. 073 148.018 17. 009 176. 002 23. 552 177. 001 18. 533 158. 661 95. 167

1931 36. 488 147. 103 17. 231 0174. 517 23. 581 177. 594 18. 504 159. 102 95. 804

1982 35. 873 148.513 17. 115 176. 502 23. 398 176. 664 18.517 159.451 94. 903

1983 0 35.610 148. 327 0 16.968 176. 335 23. 333 176. 854 18. 558 158. 549 94. 469

1984 35. 982 147. 877 17. 340 176. 165 23. 688 177. 357 18. 532 158.382 95. 542

1985 35. 881 148.448 17.214 176. 760 23. 722 177. 825 18. 689 159. 536 95. 506

1986 36. 246 148. 788 17. 301 176. 891 i: 23. 944 irl78. 198 ir 19.006 159.474 96. 497

1987 36. 051 149. 077 17. 191 177. 094 23. 431 176. 478 18. 579 158.408 95. 252

1988 36. 169 148.087 17.409 176. 662 23. 436 177. 100 18.516 158. 727 95. 530

1989 35. 967 147. 579 17. 229 175. 407 23.611 177. 118 18. 546 159.232 95. 353

1990 35. 739 147. 573 17. 240 176. 442 23. 178 176. 204 18. 633 158. 962 94. 790

1991 35. 698 147. 228 17.261 175. 832 23. 680 176. 978 18.819 158. 129 95. 458

1992 35. 848 147. 281 17. 380 175. 770 23. 464 176. 785 18. 598 158. 040 95. 290

1993 35.911 0146.524 17. 165 175. 275 23. 583 176. 723 18. 572 158. 205 95. 231 1994 35. 761 147.616 17. 147 175.612 23.519 176. 296 18. 759 158. 445 95. 186 1995 35. 867 147. 550 17. 177 175. 608 23. 545 176.611 18. 909 157.870 95. 498

mean 36. 061 148.078 17. 222 176. 500 23. 476 176. 898 18. 576 158. 653 95. 335

S.D. 0. 268 0.6 0. 11 0. 697 0. 204 0. 626 0. 168 0. 533 0.492

ii : ma.Kiraum. O : minimum. S. D. : Standard deviation

30
31
Table 3 Storm Surge Records

Year/Mon/Day

Time

n d A 1 111 U III 1 i U C

U L V i d L i U 11 V, U 111 ^

rlilllaiy rdCLUI

1I 7 Q / 1 n / 1 Q 1 fi (9/1U/19 10. u u

0

L CO/ 7/OQ Q 0 0/ 1/6,0 9 n n u u A 7 1 y p noo n J o 1 1 q 99/ Q/19 99 oZ/ 9/lZ ^Z u u A 9 Tunhnnn ft 9 1 ft

A4

7 n / 1 / "} 1 Q

I U / 1 / 0 i 9 u u

c0Q c: / 7 / 1 Q 00 / / / 1 0 u u A 1 T\/r\Vir»r\n ft ^Ofi 1 y piiuuuojuu

c

0

C 7 / ft / 1 C 9

b / / 9/ 1 D Z U U

A n Ti7nKr\r\nfi799 lypnoonoiii

7 00/ 9/ lo 0 U U o o

Ti7nhr\nnt^ft9 1 Q0 59/ 9/zb 66 0 0 O

Q 71 ^ Typhoon5915

Q b9/ o/z3 10 A A

0 0 Q 7 lypnoonDyuy

i U 58/12/26 16

A A 00 6 D Low Pressurae

1 1 1 1 bb/ 4/ lb 14 uu o c O D Low Pressurae

1 0

1 L 91/10/13 8

A A 00 o b 1 ypnoony iL\

1 Q 86/12/19 7 00 O D Low Pressurae

1 A 1

91/ 2/16 6 00 o b Low Pressurae

1 C

189/ 8/6 7 00 6 o 1 ypnoono9 1 o

1 b

T'T / A/tA Art 77/ 9/19 20 00 O 0 Typhoon77 1

1 / TA/ A/A'7 ir 72/ 2/27 15 0 0 O A o 4 Low Pressurae

1 0

1 0 AA / A/1A IP 83/ 3/13 16 00 o 4 Low Pressurae

1 f\ 1 9 AA/1A/ 1 i 90/12/ 1 4 00 6 4 1 ypnoon9UZo

o n 20 AT/ A/1A 1A 87/ 9/18 16 00 d 4 1 y pnoono / 1

L 1 79/10/ 1 14 00 o o

O Z i ypnoon / y 1

0 0 AT/IA/AA 1C 67/10/28 15 00 o o o ^ lypnoonb / o4

O 0 A1/ A/1A IP 91/ 9/19 16 00 o o

1 ypnoon9 lib

0 A 1 C / A/OA in 75/ 8/23 18 00 o o

1 ypnoon / 0 0 b

0 c 60 PA/IA/AA IT 62/10/30 17 00 o o d I lypnoonbZZ4

2d PA/ i / r p 69/ 4/5 6

A A 00 Q O Low Pressurae

0 7

z / TC/IA/ O T 75/10/ 8 7

A A 00 o o o Z Low Pressurae

0 0 (?C/11/ A 1C bo/ 1 1 / 9 1 fa A A

0 0 d I Low Pressurae

0 0 Z 9 oo/ir\/ 7 o 88/ 10/ 7 6

A A

U 0 Low Pressurae

0 U 90/11/10 11 A A

U 0 Low Pressurae

Q 1 0 1 bo/ b/ 4 / A A

0 u Typhoon65 0 8

0 Z fiQ/in/9fi DO/IU/ZD Q9 u u iypnoonDoi9

Q Q 0 0 82/10/20 7 •00 Low Pressurae

0 4 90/11/ 4 17 :00 1 IL/Un rwii PT*ACClIT"aA riCOoUidC

35 58/ 3/18 16 :00 3 0 Low Pressurae

36 85/ 2/21 17 :00 3 0 Low Pressurae

37 64/ 5/25 17 :00 3 0 Low Pressurae

38 80/ 5/ 9 11 :00 3 0 Low Pressurae

39 80/12/26 19 :00 3 0 Low Pressurae

40 93/10/ 4 7 :00 3 0 Low Pressurae

?S i sewan -Typhoon

1979. LO

•100 -1 1 1 1 r 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

10 0-

Observation tide

Astronomical tide

_1 I L. _1 ' I I 1

I

fl;flO fl:flO 0:00 0:00 0:00 [7 L8 19 20 21

Figure 9 Astronomical and Observed Tide ( Typhoon 7920 ) 32
International Responses to Pacific Tsunami Warnings and Watches

by

Michael E. Blackford

ABSTRACT

The Pacific Tsunami Warning Center has

issued thirteen warnings to the participants in the Tsunami Warning System in the Pacific

since the beginning ofthe International Decade

for Natural Disaster Reduction. The average

time for the dissemination of these warnings

has been about 55 minutes. In most cases tsunami destruction has been confined to

localities that are within one hour's tsunami

travel time fi^om the source. While the

Warning Center's warnings may not reach

those most affected by reecent tsunamis, the

information is nevertheless of great value to those emergency managers fiirther down

stream of the spreading tsunami. An

examination of the warning process indicates

the need for more feedback from the

participants receiving the warnings regarding

the applicability of the information to their

needs and, if they are affected by the tsunami, a timely summary of these affects that can be

used to ascertain the severity of the tsunami.

The study also points up the critical need for

independently fijnctioning regional tsunami

warning centers. KEYWORDS: destructive tsunamis,

emergency managers, feedback, response,

tsunami warning, tsunami watch

1. INTRODUCTION:

Since the beginning of the International

Decade for Natural Disaster Reduction

(IDNDR) the Pacific Tsunami Warning Center

(PTWC), acting as the Operations Center for

the Tsunami Warning System in the Pacific

(TWSP), issued 13 warnings for earthquakes

that were believed to have the potential to generate tsunamis. These events are summarized in Table 1 . It was further believed

that these tsunamis could be destructive in the

Pacific beyond the earthquake macroseismic

area. In nearly every case the tsunamis that were generated proved to be either

non-destructive or non-existent in the far field. All 13 earthquakes for which warnings were

issued resulted in at least a local tsunami.

Some of these caused significant loss of life and property damage.

2. TSUNAMI WARNING ISSUANCE

The average time from earthquake origin time

to the issuance of a warning for these events is fifty-five minutes. Information on the timing

of warnings issued is found in Table 2. The

issuance time ranges from 34 minutes to 92

minutes after the origin time. This range is affected by two factors: an organizational

relationship with a regional warning center

responsible for issuing tsunami warnings to the

northeast Pacific region within 1 5 minutes and

International Tsunami Information Center,

IOC-US National Weather Service, Pacific

Region, National Oceanographic and

Atmospheric Administration (NOAA),

Honolulu, Hawaii 968 1

3

33
the time necessary to acquire and interpret the

seismic waves necessary to determine the size

of the potentially tsunamigenic earthquake.

3. TSUNAMI SEVERITY

In most cases the destructiveness of a tsunami

is confined to areas that are within one hour's

tsunami travel time of the origin of the

tsunami. A summary of some of the runup

(R) and water level gauge (G) data for the

warning events may be found in Table 3. In Table 3 runup values are in meters and gauge

data are in centimeters, peak-to-trough.

While the data do not necessarily reflect uniform fall off of tsunami heights with

increasing distance from the source, it can be

seen that in nearly every case tsunami heights

are below 1.5 meters, a height that may be

take as the threshold of minimum tsunami

destruction, for sites away from the source. Anotable exception is the two meter runup

observed at Hiva Oa where boats were swamped by the tsunami from the northern

Chile earthquake of 30 July 1995.

4. CONCLUSIONS

Although, on the average, the warnings

issued by the PTWC do not reach those most

affected by the tsunami in time, the warnings

are useful to those who are a few hours

tsunami travel time from the source. This is because the warnings provide important input

for emergency managers in this zone. They

must make critical decisions on the

appropriate action to take regarding the

potential tsunami that is soon to arrive in their areas of responsibility.

With the exception of feedback received from

emergency managers in the United States, the

home country of the PTWC, little is known

concerning the actions taken by those who

were warned about the 14 events occurring

thus far in the IDNDR. Japan, which has a

highly developed regional tsunami warning

system, routinely informs the PTWC of

warnings it issues to its citizens. Discussions

with emergency managers from other areas

indicate that there is a wide range of responses

to the warnings. These range from doing

nothing because historically only very great

distant earthquakes have ever caused damage

in a particular region to ordering coastal

evacuation for all tsunamigenic events, without

regard for the earthquake magnitude, upon

receipt of the warning.

The results of this study indicate there is a

critical need for more regional tsunami

warning systems in those areas most

susceptible to local tsunamis. This need was

expressed earlier in the IDNDR by the Japan

Meteorological Agency in their report on the

mitigation of tsunami disasters (JMA, 1993).

It also finds there is a need to formalize a process of feedback between those closest to the source of the expanding tsunami and the

PTWC. In this way the TWSP operations

center can better assess the severity of the

tsunami and provide better information to those who are fiirther away from the

approaching tsunami. There is also a critical need for the operations center to acquire both

seismic and water level data in at least near

real time fi"om sites close to the major tsunami

source areas. These data will allow the PTWC

to assess more quickly the size of the

potentially tsunamigenic earthquake and the

severity of the tsunami it generates.

5. REFERENCES

Japan Meteorological Agency, The Study

Report on the Mitigation of Tsunami

Disasters in the Pacific Basin Countries,

March 1993, 58 pages.

34
"KT No YrMoDy OT

(UTC)

Lat.

TLong. Ms Mw Creographic Location

1 930712 1317 42.3N 139.4E 7.6 7.7 Japan, West of Hokkaido

2 930808 0834 13.0N 144.8E 8.0 7.8 Marianas Islands, South of Guam

3 941004 1323 43.7N 147.3E 8.1 8.3 Russia, Southern Kuril Islands

4 950407 2207 15.2S 173.6W 8.0 7.4 Northern Tonga Islands

5 950516 2013 22.9S 169.9E 7.7 7.7 New Caledonia, Loyalty Islands

6 950730 0511 23 .4S 70.4W 7.3 8.0 Near Coast of Northern Chile

7 950816 1027 05.6S 153.9E 7.8 7.7 Papua New Guinea, Nr. Bougainville I.

8 951203 1801 44.6N 149.4E 7.9 7.9 Russia, Southern Kuril Islands

9 960217 0600 OO.IS 137.0E 8.1 8.2 Indonesia, Irian Jaya Region

1.0 960610 0403 51.4N 177.8W 7.6 7.9 Alaska, Aleutian Islands, Andreanof Is.

11 960610 1526 52.4N 176.9W 7.1 7.3 Alaska, Aleutian Islands, Andreanof Is.

12 970421 1202 12.6S 166.7E 7.9 7.8 Vanuatu, Northwest of Torres Islands

13 971205 1127 55.9N 161. 9E 7.6 7.9 Russia, Kamchatka Peninsula

Table 1 . Earthquakes in the IDNDR through December 1997 for which the PTWC issued RWWs and a

Pacific-wide Warning

35
No. OT

(UTC)

First

Bull.

Mins.

past OT

Supps. Last

Bull.

Total

Warn Time

1 1317 1412 55 1 1457 Oh45m

2 0834 0908 34 2 1145 2h37m

3 1323 1445 82 5 2150 7h05m

4 2207 2244 37 2 2322 Oh38m

5 2013 2111 58 ^ 2300 2h49m

6 0511 0643 92 1 0750 lh07m

7 1027 1119 52 2 1354 2h35m

8 1801 1847 46 2 2101 2hl4m

9 0600 0658 58 1 0081 lhl3m

10 0403 0440 37 1 0541 IhOlm

11 1526 1624 58 1 1643 Oh 19m

12 1202 1304 62 2 1444 lh40m

13 1127 1209 42 2 1351 lh42m

Table 2. Information on RWWs issued by the PTWC. Note: A Pacific-wide warning was issued

for Event No. 3.

36
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37

EARTHQUAKE ENGINEERING

Real-time Hybrid Vibration Experiments with a 2-Degrees-of-Freedom Model

by

Keiichi TAMURA'^and Hiroshi KOBAYASHI'^

ABSTRACT

The real-time hybrid vibration experiment is a new concept experiment combining shaking table

test and numerical response analysis in real-time.

Real-time hybrid vibration experiments were

conducted with a 2 degrees-of-freedom model.

Results of experiments were compared with those

of conventional shaking table tests, and the

validity of real-time hybrid vibration experiment

is demonstrated.

Key words: real-time hybrid vibration

experiment, shaking table test, pseudo dynamic

experiment, actuator delay compensation

1, INTRODUCTION

Most of the conventional hybrid experiments are pseudo dynamic experiments with an expanded

time axis due to limitations of devices, e.g., capability of computation and compensation for actuator delay, and few precedents exist for hybrid vibration experiments using shaking tables. Differing from those conventional techniques, the

real-time hybrid vibration experiment is a new

concept experiment combining shaking table test and numerical response analysis in real-time.

We have developed a real-time hybrid experiment

system at the Public Works Research Institute

after the 1995 Kobe Earthquake. Presented are

the results of real-time hybrid vibration

experiments with a 2 degrees-of-freedom model.

Results are compared with those of shaking table

tests and the validity of real-time hybrid vibration

experiment is demonstrated.

2. OVERVIEW OF REAL-TIME HYBRID

VIBRATION EXPERIMENT

As Figure-1 shows, in the real-time hybrid

vibration experiment, an original structure is divided into two parts. One is an actual model

specimen of original structure. This specimen is usually taken as a part of structure whose seismic

behavior is unknown or complicated. The other is

a numerical model for vibration response analysis.

This model represents a part of structure whose

seismic behavior can be evaluated by numerical

analysis.

The numerical model consists of structural elements (mass, damping and stiffness matrices),

external force, which is calculated from the

acceleration of shaking table, and reaction force

1) Head, Ground Vibration Division, Earthquake

Disaster Prevention Research Canter, Public

Works Research Institute, Ministry of

Construction, Asahi 1, Tsukuba-shi, Ibarakiken, 305-0804, Japan.

2) Research Engineer, ditto.

41
generated at the boundary of the actual and

numerical models. In the numerical analysis, the

external and reaction forces are inputted, and the

displacement of the actual model for the next

time step is calculated. This displacement is

realized by actuators. Then, the external and

reaction forces are measured and taken into

numerical analysis. Iterating these procedures, the

seismic behavior of original structure can be

accurately simulated.

3. FEATURES OF REAL-TIME HYBRID

VIBRATION EXPERIMENT

Time Interval of Experiment

It takes short time from measuring reaction

force to generating actuator signal for the next time step^'. A central difference method is employed for numerical analysis. Time

required for one cycle process is 2.08ms.

Actuator Delay Compensation

Since the response delay is inevitable with a hydraulic actuator, a compensation technique is adopted. This technique predicts the

displacement of an actuator at the time after acutuator delay <5t^\ A schematic illustration of compensation process is presented in Figure-2, in which the predicted displacement

x" is estimated from the calculated

displacement Xj using an nth-order polynomial

equation (1):

3

x"^T apcj (1)

i=0 ^

^

where

ao=4, aj=-6, a2=4, a^--l

The predicted displacement is modified so that the resulting displacement becomes equal to the calculated one.

4. HYBRID VIBRATION EXPERIMENTS

WITH A 2-DEGREES-OF-FREEDOM

MODEL

In order to demonstrate the validity of real-time

hybrid vibration experiment, both real-time

hybrid vibration experiments and conventional

experiments with a whole structure model were

conducted, and the results were compared.

The original structure for experiment is a 2

storied slab model supported by rubber bearings.

Its conceptual view is presented in Figure-L The

slab part consists of H-shaped beams and infilled concrete. An advantage of rubber bearing is large

bearing capacity and low rigidity. Using rubber

bearings and heavy slabs makes it possible to prolong the natural period of test specimen,

which is favorable for experiment. This test specimen basically represents a linear structure,

however, nonlinear behavior of structure is also

represented by installing a viscous damper

between upper and lower slabs or between the

shaking table and the lower slab.

Test cases of hybrid vibration experiments are

listed in Table-L In the hybrid vibration

experiments, the mass, stiffness and damping of

the upper level and the mass of the lower level were numerically modeled, as shown in Figure-1.

Pseudo dynamic experiments with 50 times

extended time axis were carried out to demonstrate the effects of experimental time axis on damping force estimation, which generally

depends on velocity. Besides those hybrid

vibration experiments, conventional experiments

with the whole structure were also conducted, and

the results of hybrid vibration experiments and

conventional experiments were compared.

Input motions employed for experiments were

five cycles of sinusoidal wave with the frequency

42
of 1.7Hz, which corresponds to the fundamental

natural frequency of the whole structure, and the

strong ground motion recorded at Kobe Maritime

Observatory, Japan Meteorological Agency,

during the 1995 Kobe Earthquake. The maximum . peak acceleration was variously changed in experiments.

5. NUMERICAL MODELS FOR HYBRID

VIBRATION EXPERIMENTS

5.1 Linear structure (Cases 1 and 2)

The equation of motion for numerical analysis

is described by

Mx + Cx+Kx=p+g

^j2)

where

M: Mass matrix

C: Damping matrix

K: Stiffness matrix

x: Relative displacement vector

p: external force (seismic response)

vector

q: reaction force vector The mass, damping and stiffness were

determined as follows:

Mass

Mass of slabs and rubber bearings were

considered.

Damping

The damping matrix was estimated from the

damping ratio to the critical /z=0.()26, which was obtained by free vibration tests, and the

relationship C= j3 ^2hl co).

Stiffness

The relationship between load and

displacement was obtained by forced vibration

tests, where the frequency was set as 0.1 Hz and

1.7Hz. The result is shown in Figure-3. Since

the maximum peak displacement of the upper

slab in experiments with the whole strucure was 20-30mm, the stiffness coefficient was

determined as 2.6 X lO^N/m.

5.2 Upper nonlinear structure (Cases 3 and 4)

Mass

Same as 5.1.

Damping and Stiffness

The damping and stiffness matrices can not be

developed by usual matrix operation, when

nonlinearity exists. In the present study, the

reaction force vector q was divided into a irneaT pmt qj^-Kx) ^md "noTniineaT part q2 as shown in Figire-4. qj and ^2 can be estimated

from measuring reaction force and nonlinear

calculation, respectively. Since the damping

force generally depends on velocity, the

relationship between force and velocity was

estimated from the forced vibration tests of

dampers, which is shown in Figure-5. Figure-6

presents the relationship between the damping

force and velocity. As seen from this figure,

this damper generates force almost proposional

to the velocity for the pull-side, and small and

velocity independent force for the push-side.

5.3 Lower nonlinear structure (Cases 5 to 8)

Same as 5.1.

6. EXPERIMENT RESULTS

Figure-7 compares displacement time histories of

the lower slab for hybrid vibration experiments

and conventional shaking table tests with the

whole structure, where the results of pseudo

dynamic hybrid experiments are plotted with the

actual time axis. The cross-correlation

coefficients between hybrid vibration

43
experiments and conventional shaking table tests

are calculated for displacements and shown in

Table-2. The following points may be deduced

from the experiment results.

(1) The real-time hybrid vibration experiment

well reproduces the seismic behavior of the 2- degrees-of-freedom structure for both linear

and nonlinear cases.

(2) The pseudo dynamic hybrid experiment yields

excessive response and inappropriate response

period. This may be attributed to the fact that pseudo dynamic experiment can not properly

reproduce the damping force, which is generally proportional to velocity.

(3) The cross-correlation coefficients between the calculated and resulting displacements in hybrid vibration experiments show very high

values, such as higher than 0.99, for all cases, which indicates that actuator delay

compemsation successfully works.

(4) Causes of slight error between real-time

hybrid vibration experiments and conventional

shaking table tests may exist in:

a. Effects of noise associated with measuring

instruments.

b. Effects of high-frequency forced vibration

of shaking table caused by actuators for hybrid vibration experiment.

c. Slight difference of input motions for real- time hybrid vibration experiments and

conventional shaking table tests.

d. Error in establishing parameters for numerical analysis model.

7. CONCLUSIONS

The main conclusions of the present study may

be summarized as follows:

1) The technique employed in this study to compensate actuator delay has sufficient accuracy.

2) The real-time hybrid vibration experiment

well reproduces seismic behavior of the 2

degrees-of-freedom model and the validity

of experiment is confirmed.

REFERENCES

1) Kazuhiro UMEKITA, et al.. Development of C

Language Library for Super Real-Time

Controller (SRC) for Real-Time Hybrid

Seismic Testing System with Threedimensional-in-plane Excitation, 40th Japan

Joint Automatic Control Conference, 1997 (in

Japanese)

2)Toshihiko HORIUCHI, Masaki NAKAGAWA,

Masaharu SUGANO and Takao KONNO,

Development of a Real-Time Hybrid

Experimental System with Actuator Delay

Compensation, Eleventh World Conference on

Earthquake Engineering, 1996

44
Figure-1 Conceptual view of hybrid vibration experiment

Predict

X3

t-3(^ t t-2S t t-d t t t+d t

Figure-2 Calculation of predicted displacement x

45
Table- 1 Test cases

Experiment

Method

Upper Level Lower Level Input Motion Input

Level

Case

Number

Real-time

Linear Model

Linear Model

5 cycles ot sinusoidal waves (f=L7Hz)

cr\ 1 5Ugal

70gal

lOOgal

Case 1

JMA Kobe

Record (NS comp)

1 r\r\ 1 lOOgal

300gal

SOOgal

Case 2

Nonlinear

Model

5 cycles ot sinusoidal waves

(/•=L7Hz)

SOgal

70gal

lOOgal

Case 3

JMA Kobe

Record (NS comp)

lOOgal

BOOgal

SOOgal

Case 4

Linear Model

Nonlinear

Model

5 cycles of

sinusoidal waves

(/= 1.7Hz)

SOgal

70gal

lOOgal

Case 5

JMA Kobe

Record (NS comp)

lOOgal

300gal

SOOgal

Case 6

Pseudo

Dynamic

5 cycles of

sinusoidal waves if^lJHz)

jugai

70gal

lOOgal

Case 7

JMA Kobe

Record (NS comp)

lOOgal

300gal

SOOgal

Cases

3.00E+l)3

220E+03 I ' ' ^

10 30 50 70

Amplitude (mm)

Figure-3 Relationship between amplitude and stiffoess

46
Nonlinear calculation

q2

^1

p = - Miy

Figure-4 Hybrid experiment dealing with nonlinear factor in vibration

response analysis

Tinie(s)

Figure-5 Forced vibration test of damper

(Sinusoidal wave,/=1.7Hz, Amplitude=80mm)

47
Table-2 Correlation coefficients between

hybrid vibration experiments and shaking table tests

Case

Correlation

coefficient

Casel lOOgal 0.966

Case! SOOgal 0.896

Cases lOOgal 0.881

Case4 SOOgal 0.980

Cases lOOgal 0.981

Case6 SOOgal 0.938

CaseV lOOgal 0.776

Cases SOOgal 0.829

48
Casel lOOgal Ca3c2 SOOgal

Time (s)

Cases lOOgal Ca3e4 SOOgal

-Shakhig ubie test Real-bme hybrid vibration experiment

-Shaking table test

' Real-tim e hy brid vibration e xpeiini e nt

Tirn e(s) Tim e(3)

Cases lOOgal CaseG 50Qgal

-Shaking table test Re al-tim e hy brid vibration e xper im ent

Tim e(3) Tim e(3)

Case? lOOgal Cases SnOgal

-Shaking table test Pseudo dy na-ni ics.hy brid experiment

E 0

Figure-7 Displacement time histories of the lower slab

49
A Vision for the Future of Strong-Motion Recording

Roger D. Borcherdt

ABSTRACT

Strong-motion recordings of shaking are the basis

for earthquake resistant design, construction, and

retrofit practices worldwide. They provide

critical quantitative measurements of damaging

earthquakes in urban environments needed for

mitigation of fiiture earthquake losses. The

present critical lack of strong-motion information

emphasizes that urgent action is required to

significantly increase resources to adequately

record fiiture damaging earthquakes. Recent

estimates for the US suggest that an urgent need

to record the next major earthquake adequately

throughout stricken urban areas requires that

instrumentation and recording efforts be

increased by nearly 20 times within the next five to ten years (Stepp, 1997; Borcherdt, et al., 1997). Justification for this dramatic increase as prepared by the "Committee for the Future of the

US National Strong-Motion Program"

(Borcherdt, ed., 1997) is summarized here.

1. INTRODUCTION

Staggering losses fi'om recent earthquakes

impacting Northridge, California ($15 to $25

billion, 64 lives) and Kobe, Japan (> $100 bilHon

and 5500 lives) clearly demonstrate the potential

impact of moderate to large earthquakes on modem urbanized societies. If a major

earthquake impacted some densely urbanized

areas of the United States in the near fiiture, life and economic losses are estimated to be at least

KEYWORDS: Strong-motion recording, Public

Earthquake Safety, Earthquake hazards

reduction. Emergency response. Strong motion.

twice as large. If these same earthquakes were to impact the areas in thirty to fifty years without

any major changes in earthquake safety, losses

could reach tens of trillions of dollars due to increased urbanization with inadequate safety

standards. These tremendous potential losses with catastrophic and global consequences argue

strongly for dramatically accelerated programs to improve public earthquake ^ety as quickly as

resources permit.

Reduction of hfe and property losses to low and

manageable levels requires significant

improvements in both Hazard Mitigation and

Emergency Response. Quantitative

measurements of strong shaking referred to as "strong-motion recordings" are the critical and

presently scarce element essential for significant

progress in both areas. Modem technology

offers important new opportunities to acquire

these recordings.

This paper provides a brief summary of the

justification for the need to significantly increase

strong-motion observation for public safety. The

application of the limited existing set of strongmotion information to earthquake hazard

mitigation worldwide suggests that arguments for additional information need to be considered in international forums. This summary is presented

here to fiirther evaluate the need for strongmotion observation worldwide. The summary is presented as a series of answers to specific

questions prepared by the "Committee for the

Future of the US National Strong-Motion

Program", (Borcherdt, ed., 1997).

* United States Geological Survey

Menlo Park, CA 94025

50
2. How significant is the earthquake threat to public safety?

• Staggering losses from recent earthquakes

impacting Northridge, California ($15 to $25

billion, 64 lives) and Kobe, Japan (> $100

billion and 5500 lives) clearly demonstrate the

potential impact of moderate earthquakes on modem urbanized societies.

• Dramatic increases in urbanization based on

inadequate safety standards imply that costs

in lives and property from a ftiture major

earthquake in the United States could exceed

$200 billion dollars, cause several thousand

deaths, and significantly impact the global

economy.

3. What are strong-motion recordings?

• Strong-motion recordings are on-scale

recordings of the main damaging earthquake

at locations of most significance for public

earthquake safety.

• Strong-motion recordings are recordings of

the main shock, often on or near structures in densely urbanized environments, within 20 km

of the earthquake-rupture zone for sites on

rock and within about 100 km for sites on soft

soils. Recordings of motions at levels sufficient to cause damage at sites at greater

distances also are of interest for earthquake

engineering in areas likely to be affected by

large subduction zone earthquakes or in areas with exceptionally low attenuation rates.

4. Why are strong-motion recordings critical for

significant improvements in public safety?

• Public safety requires that man-made

structures resist strong, earthquake-induced

shaking.

• Strong-motion recordings are the quantitative

in-situ measurement of shaking and the

resultant dynamic performance of structures needed to build and strengthen the built environment to resist future earthquakes.

• Strong-motion recordings are the basis for all current earthquake-resistant design,

construction, and retrofit codes and practice.

• Strong-motion recordings are the basis for a

significant proportion of the research products

produced for purposes of earthquake hazard

reduction.

• Strong-motion recordings are necessary for real-time damage assessment and emergency

V response in densely urbanized areas as both

efforts require dense sets of on-scale

measurements of damaging levels of shaking on and near structures in earthquake stricken

areas.

• The present scarcity of quantitative

measurements of ground shaking and its damaging effects on the built environment is a major obstacle to reducing fiiture losses of

life and property to manageable levels.

5. Why is the present set of US strong-motion

recordings inadequate?

• No recordings exist of any major (Mw> 7.5)

US earthquake at locations experiencing

damaging levels of shaking.

• No recordings of any high-rise, steel- moment-frame building within 20 km of a

moderate to large (Mw> 6.5) US earthquake

exist.

• No recordings exist in the US of any critical

lifeline at damaging levels of motion, such as the six major bridges crossing the San

Francisco Bay that are being presently

retrofitted, based on as yet undocumented

levels of ground shaking.

• Few (<10) recordings of the dynamic

response of soft soils exist, yet billions of

dollars of bridges, buildings, pipelines, and

highways are being built on such deposits

each year.

• Few (<10) recordings exist of large sudden

coherent pulses of motion ("fault fling" or

"killer pulses") that occur near the fault rupture and are expected to cause

catastrophic losses for cites s" Sa as Hayward,

Oakland and Berkeley, CA.

• Few recordings of most modem stmctures in their in-situ environment have been obtained

of actual damaging levels of earthquake

loading.

51
6. Why is a thorough set of strong-motion

recordings of the next damaging earthquake an

urgent national need?

• Billions of dollars are being expended each

year to build and strengthen the built environment based in many cases on as yet

undocumented strong ground shaking and

structural performance levels.

• If thorough sets of strong-motion recordings

of the next major earthquake are not obtained on and near structures in the stricken areas, then another important infrequent opportunity

will be missed.

• Present expenditures based on a totally

inadequate database will continue and the

catastrophic costs of future earthquakes will increase exponentially with time as urbanization increases.

• The high likelihood for a major damaging

earthquake to strike areas such as the San

Francisco Bay region within the next five years, implies an urgent effort is required to acquire and install the necessary resources to prevent another major missed opportunity.

7. What resources are required to provide an

adequate set of strong-motion recordings of the next major earthquake in the coterminous

United States?

• Recent consensus of a national workshop

(Stepp, 1997) implies a dramatic increase in resources (funding and people) is needed to ensure that critically needed instrumentation

(20,000 stations) is operational by the year

2005.

• Estimates derived on the basis of recent National Seismic Hazard Maps (Frankel, et

al,, 1996) and estimates of population

exposure imply that instrumentation at about

20,000 sites is needed with 7,000 for groundmotion, 7,000 for buildings, 3,000 for

lifelines, such as bridges and pipelines, and

3,000 for critical facilities necessary for emergency response and near-real time

disaster assessment (Borcherdt, 1997a,

1997b, Borcherdt, et al., 1997).

8. What resources are required to record a

specific earthquake in one ofthe areas with high

population exposure to damaging ground

motions?

• Estimates of the density and location of

strong-motion stations needed to record a

specific earthquake can be developed for each

urban area using modem GIS technology,

regional estimates of ground shaking,

inventories of the built environment, and

modem methods to predict resultant

earthquake losses.

• Application of the procedures to the San

Francisco Bay Region for a repeat of the

1906 earthquake (Mw 7.7) provides

significant insight for strong-motion planning

purposes.

• Estimated losses for a repeat of the 1906

earthquake are expected to exceed $200

billion with more than 5000 deaths (RMS,

inc., 1995).

• 140- 180 ground-motion stations are needed

in the city of San Francisco with a spacing of

no more than a few blocks in the heavily

impacted financial district.

• Superposition of the built environment on

predicted ground shaking maps shows that in the southern San Francisco Bay region 45%

of the 1079 bridges, 69% of the 16 airports,

22% of the 233 hazardous material sites, 48%

of the 99 medical facilities, and 48% of the

801 schools are located in areas expected to experience damaging levels of shaking that exceed 0.6 g in spectral response acceleration

at 1.0 second.

• Superposition of the transportation fecilities on a site class map based on the 1994

Recommend Building Code provisions shows

that 69% of the bridges, 57% of the

highways, and 100% of the railways are

located on either stiff clays and sandy soils or on soft clays with a high to very high

amplification capability and moderate-to-high

liquefaction susceptibility.

• The large percentages of important stmctures

(~ 990) and buildings (>3000) located in areas of potentially damaging ground shaking

52
suggest that more than 4000 sites in the SF

Bay region need to be considered for instrumentation.

• If only 10 percent of especially vulnerable

structures in the southern SF bay region are instrumented, then at least 400

instrumentation arrays on and near structures are needed.

• Instrumentation estimates show that the

present level of strong-motion instrumentation

in the densely urbanized areas of the San

Francisco Bay Region is woefully inadequate

to document the ground shaking and the

resultant seismic performance of the built environment to a repeat of the 1906

earthquake.

9. What proportion of strong-motion stations

should be equipped with real time

telecommunication for purposes of disaster

assessment and emergency response?

• Modem instrumentation with

telecommunication capabilities permits areas of strongest shaking and the performance of

structures to be quickly assessed (Nigbor,

1997). Instruments on structures such as major buildings, hospitals, schools, bridges,

freeway overpasses, dams etc. permit rapid

assessment of probable damage state, efficient dispatch and routing of emergency response

resources, and efficient prevention of

additional disaster. Several important

examples illustrating the application of

modem technology to Disaster Reduction now

exist in Japan.

• Preliminary estimates on the basis of

estimated shaking levels suggest that some 50-85% of the strong-motion instmmentation

installed for ground-motion measurement

purposes in cells of highest population

exposure should be equipped with near-real

time communication capabilities for at least some channels.

• Considerations based on the geographic

distribution of the built environment for the

southem San Francisco suggest some 25 to 50

percent of instmmented stmctures should also

be equipped with telecommunication for a few

data channels to assess the damage state of

the stmctures in near-real time.

10. CONCLUSION

•Strong-motion recordings of shaking are the basis

of earthquake resistant design, constmction, and

retrofit practice. For many issues important in earthquake safety, advances will not occur until a

major earthquake provides new strong-motion

data. It is vital that we plan wisely to obtain the

greatest possible return from the next earthquake, so that societies will not be forced to wait for another disaster before acquiring the needed data

to resolve important safety issues.

11. ACKNOWLEDGMENTS

The summary presented here was prepared by the

"Committee for the Future of the US National

Strong-Motion Program" comprised of B. Bolt, C. B. Crouse, G. Hart, K. Jacob, T. Shakal, C. Stepp and USGS Members H. Benz, R.

Borcherdt (Chair), M. Celebi, A. Frankel, W.

Joyner, E.V. Leyendecker, D. Oppenheimer, R.

Porcella, C. Stephens, and D. Wald.

12. REFERENCES CITED

Borcherdt, R. D., 1997a, US National Strong

Motion Program, in Proceedings, Workshop,

Vision 2005: An Action Plan for Strong

Motion Programs to Mitigate Earthquake

Losses in Urbanized Areas, C. Stepp, editor. Committee for the Advancement of Strong

Motion Programs, Monterey, CA, April,

1997, 81-85.

Borcherdt, R. D., 1997b, Earthquake groundmotion measurement for public safety.

Proceedings, 29th Joint Meeting UJNR Panel on Wind and Seismic Effects, Tsukuba,

Japan, May 1997.

Borcherdt, R. D. ed., 1997, Vision for the fiiture of the US National Strong-Motion Program,

The committee for the fiiture of the US

National Strong Motion Program, US

Geological Survey Open File Rept. 97 - 530

B, 47p.

Borcherdt, R. D., Frankel, A., Joyner, W.B, and

Bouabid, J., 1997, Vision 2005 for

53
earthquake strong ground-motion

measurement in the United States, in Proceedings, Workshop, Vision 2005: An

Action Plan for Strong Motion Programs to Mitigate Earthquake Losses in Urbanized

Areas, C. Stepp, editor. Committee for the

Advancement of Strong Motion Programs,

Monterey, CA, April, 1997, 112-130.

Frankel, A., Mueller, C, Bamhard, T., Perkins,

D., Leyendecker, E.V., Dickman, N.,

Hanson, S., and Hopper, M., 1996, National

Seismic Hazard Maps, June 1996,

Documentation, http://gldage.cr.usgs.gov/

eq/hazmapsdoc/junecover .shtml. Nigbor, R.L., 1997, Present and future needs for

strong-motion information. Proceedings,

Vision 2005: An Action Plan for Strongmotion Programs to Mitigate Earthquake

Losses in Urbanized Areas, C. Stepp, editor. Committee for the Advancement of Strong

Motion Programs, National Science

Foundation, Monterey, CA, April 1997.

Stepp, C. J., 1997, Proceedings, Vision 2005:

An Action Plan for Strong-motion Programs

to Mitigate Earthquake Losses in Urbanized

Areas, Committee for the Advancement of

Strong Motion Programs, National Science

Foundation, Monterey, CA, April 1997.

54
Project on 3-D Full Scale Earthquake Testing Facility

- First Report -

Keiichi OHTANI'\ Tsuneo Katayama^^ Heki Shibata^'

ABSTRACT

The Hanshin-Awaji Earthquake (HyogokenNanbu Earthquake, January 17, 1995) clearly

demonstrated that the occurrence of very

strong ground motion in the area near to the

seismic fault is capable of causing severe

structural damage beyond general estimation.

It has emphasized the importance of earthquake

engineering research into why and how

structures collapse in real earthquake

conditions and these processes are reproduced

numerically. Considering the lessons learnt

from recent earthquake disasters, NIED plan to construct a "3-D Full Scale Earthquake Testing

Facility," which will be able to simulate the

process of destruction of structures. This

facility will be a central tool in a new concept of

research bases for earthquake disaster

prevention. NIED was conducted the research

and development of core technology such as the

big and high performance hydraulic actuators,

which have a long displacement and high

velocity, and high performance three

dimensional link joint since 1995 by the 4 year

project We constructed the prototype shaking

table systems and confirmed the performance

tests. NIED will begin the design and

construction of this new facility in fiscal year

1998. This paper summarizes the fundamental

concept of the facility and the result of R&D of core technology.

Key Words: Earthquake Disaster,

High-performance actuator,

3-dimensional earthquake motion,

Shaking Table,

Structural damages.

1. INTRODUCTION

The Hanshin-Awaji Earthquake gave a great

impact to our society. More than 6,400 people

lost their lives and a lot of structures, such as roads, railway bridges, buildings and other

structures, suffered unexpectedly serious

damages by this event This earthquake event was made clear that our society, which is consisted the advanced, complexes facilities and

concentrated population and city functions, has a over-expected weakness against natural

disasters. The many major cities in Japan

located a high potential area for earthquake

hazard. Therefore, from this condition, it is pointed out that big hazard by a future

earthquake at such big cities will affect the

worldwide economic impact based on the border

less, globalization, economic condition. And,

Director, Disaster Prevention Research Division, National Research Institute for Earth Science and Disaster Prevention (NIED), Science and Technology Agency (STA)

^' Dirertor-General, NIED.STA

^' Guest Research Fellow, NIED, STA, Prof. Emeritus, Univ. of Tokyo

55
the high potential area of earthquake hazard are

also located the many countries, such as United

State and Asian region. The progress of

research for earthquake disaster mitigation is very important them to prove world widely. It

is the urgent subject to decrease the potential of

earthquake hazard risk by the effective and

economical technology and measures based on

the appropriate engineering and scientific

knowledge.

Based on these condition, National Research

Institute foe Earth Science and Disaster

Prevention (NIED) has planned to construct a "3-D Full Scale Earthquake Testing Facility."

NIED was conducting the research and

development of core technology since 1995 and

will start the design and construction works of

this new facility in fiscal year 1998.

This paper summarizes the fundamental

concepts of this facility and the current results

of research and development of the core

technology.

2. BACKGROUND

STA was enforced several actions relating

with the promotion of research and

development for earthquake disaster prevention

since the occurrence of Hanshin-Awaji

earthquake.

2.1. Basic plan for research and development on

disaster prevention

The promotion of research and development

of disaster prevention in Japan accelerated of

the clutch based on the "Basic Plan for

Research and Development on Disaster

Prevention" reported by the Prime Minister's

Council of Science and Technology, and finally

approved by the Prime Minister on December

1993.

2.2. Investigative committee for promoting

earthquake disaster prevention

Given this Basic Plan, and in light of the

lessons learnt from the recent earthquake

devastation, an "Investigative Committee for

Promoting Earthquake Disaster Prevention

(Chairman: Prof. Shigeru Ito, Keio University)" was set up within the Research and

Development Bureau, Science and Technology

Agency (STA) in March 1995. This committee was investigated the research and development

issues that need to be accelerated in disaster

prevention related science and technology.

The mandate of this committee was to quickly

propose the research and development issues

that need to be addressed, after which, on May

31, 1995, they published a report entitled

"Policies for Accelerating Earthquake Disaster

Prevention Based on the Experience of Great

Hanshin-Awaji Earthquake and the Other

Destructive Earthquakes."

This report produced the following four

research and development issues for urgent

attention:

1) Research and development into earthquake

disaster prevention by appraisal methods that

would act as a comprehensive basis for

accelerating earthquake disaster prevention,

2) Research and development into information

about earthquake disaster prevention and how

to support the daily existence of the people,

3) Research and development into the

strengthening of urban environment against

earthquake.

56
4) Research and development into the

maintenance of daily order and social activities

during an earthquake.

2.3. Committee to examine the research bases

for earthquake disaster prevention

Based on the lessons learnt from HanshinAwaji earthquake, the various research

institutions, such as governmental, academic

and private sectors, were conducting the

research work for earthquake disaster

prevention. Furthermore, the existing

research institutions are encouraged the

expansion, reinforcement and arrangement of

organization for it's research potentials. But,

we strongly recognized that the difficult problem, which is requested from the

experience of Hanshin-Awaji earthquake to the

science and technology of earthquake disaster

prevention, was raised. For answer to this problem, we think to build up the new type

research organization.

Based on this recognition, STA established a "Committee to examine Earthquake Disaster

Research Bases (Chairman: Prof. Tuneo Okada,

Shibaura Institute of Technology)" in November

1995. This committee published the report

entitled "Promotion of Effective Improvement

of Research Bases for Earthquake Disaster

Prevention based on Consideration of HanshinAwaji Earthquake" in May 1996.

The following research needs were realized

with the chain of comprehensive research to aim the mitigation of earthquake disasters in and around the urban areas;

1) The research and development required the

arrangement of new large-scale experimental

facilities,

2) The research and development by the fluid organization, such as participation of

researchers from many research fields and

different countries,

3) The comprehensive research and

development for earthquake disaster

prevention based on the non-physical aspects.

From these research needs, the committee

recognized of new research bases for earthquake disaster prevention. The concepts

for this research base were stated clearly the

following five items;

1) By the basic consideration is sitting on the

protection of human lives, this bases will be

functioned the progress of cooperation,

exchange and mutual comprehension with

various fields of researchers, such as engineering, science, humanity-social science,

information technology, medical science and

other sciences,

2) The research subjects, which is difficult to conduct the fixed research organization, will promote by the fluid organization systems,

3) By the arrangement the common-use

research facilities, the new research

organization and personnel structures will arrange for the response the wide research

needs from wide areas of research field and

existing organizations,

4) To construct the bases of international

research exchange for the focus to the Asia

and Pacific region,

5) The bases will contribute the effective

transmission of the experience of the

Hanshin-Awaji earthquake to the future

generation and the comprehension and

support by the pubhc for the research of

disaster prevention.

57
Considering these concepts, the committee

proposed the construction (arrangement) of new

research bases for earthquake disaster

prevention. The committee's report

suggested the need in future comprehensive

research to reduce earthquake damage mainly

of urban area. As part of such research, the

report indicated the need to establish a new

research base with subjects of (1)

comprehensive anti-seismic, base-isolation and

response-control systems, (2) relation between

active faults and earthquake disaster prevention,

(3) comprehensive earthquake information.

The report insisted upon the significance of

further increasing the promotion of science and

technology' for earthquake disaster prevention.

2.4. Discussion at the Council for

Aeronautics, Electronics and Other

Advanced Technology

At the latest stage of discussion at the

Committee to examine the Research Bases for

Earthquake Disaster Prevention, STA

recognized to need the wider discussion with

the persons from various fields. The Minister

of State for Science and Technology was refer to the Council for Aeronautics, Electronics and

Other Advanced Technology, which is the one

refer organization of the Minister, for the

discussion of the effective arrangement of

research bases for earthquake disaster

prevention at March 29, 1996. The Council was requested the charge of discussion to the

Sub-committee for Earth Science. The subcommittee was established the Sectional

Committee for Research Bases of Earthquake

Disaster Prevention (Chairman: Prof. Tuneo

Okada, Shibaura Institute of Technology). And,

following three working groups were

established under this sectional committee for

the concrete discussion. (1) Working Group

on Research Bases (Chairman: Prof. Hiroyuki

Kameda, Kyoto University), (2) Working Group

on the Objective Earthquake (Chairman: Prof.

Syunsuke Otani, University of Tokyo), (3)

Working Group on Large-Scale ThreeDimensional Earthquake Simulator Facility

(Chairman: Prof. Emeritus Heki Shibata,

University of Tokyo),

After the total 30 meeting at the council,

subcommittee, sectional committee and

working groups, the Council was reported to the

Minister at September 3, 1997.

The report was clearly pointed out the

arrangement of large-scale three-dimensional

earthquake simulator facility as the core facihty

of the research bases for earthquake disaster

prevention.

3. PROJECT ON 3-D FULL SCALE

EARTHQUAKE TESTING FACILITY

NIED initiated the project on the large-scale

3 -dimensional earthquake simulator facility just

after the occurrence of Hanshin-Awaji

earthquake. The research and development

for core technology for this facility was

conducting since 1995.

At the initiated stage, we named the "LargeScale 3-Dimensional Earthquake Simulator

Facihty." But, at this moment, we renamed to the "3-D Full Scale Earthquake Testing

Facility."

The fundamental concepts of this project

based on the report by the Council for

Aeronautics, Electronics and Other Advanced

Technology.

58
3.1. Position to the project

This facility will construct as the core facility

of the research bases for earthquake disaster

prevention. Therefore, we need to clear the

positions of this facility.

1) Position of earthquake simulator for the main

element of development of the "Time-Space

Domain Simulation System for Earthquake

Disaster."

By the accumulation of the failure testing

result for different type of structures, it will be

possible to make a rapid progress the

usefulness of numerical shaking table. This

progress will connect the development of the

"time-space domain simulation system for

earthquake disaster prevention." This

simulation system is imaged to the total simulation system of the sequence of

earthquake disaster, such as where and how

large earthquake occur, what kind of damage

occur and propagate and other related events.

2) Position of the clearly understanding of

failure mechanism of structures. During the Hanshin-Awaji earthquake, the

structures were suffered over-expected

damage and failures. Therefore, it is necessary to arrange the high performance

"earthquake simulator for the understanding of

failure process of structures during

earthquake.

3) Position of the response mechanism for the

request from major subject of earthquake

engineering.

To apply the experience of structure damage

and failures learnt from Hanshin-Awaji

earthquake and other recent destructive

earthquakes, and to create the safer city and

society against earthquake, it is necessary to

test the following items;

[1] Development and verification of new design

and construction technology for the building

structures,

[2] Development and verification of new design

and construction technology for the civil work

structures,

[3] Development and verification of new design

and construction technology for the

structures sited on different soil conditions,

[4] Verification of development, adaptability and

safety of base-isolation system and response

control technology

[5] Verification of advancement of seismic

performance and safety of the importance

industrial facilities and equipment, such as to keep the social functions and to prevent

disaster propagation.

3.2. Requested fundamental performance

This facility is requested the realization with

fundamental performance as follows;

1) To be able to perform the failure test

It is necessary to have a performance of

reproduce of failure phenomena by the longperiod pulse waves (killer pulse), which was

the one characteristics of Hanshin-Awaji

earthquake motions.

2)To be able to produce the three-dimensional

movements

It is necessary to perfectly reproduce the 3-

dimensional strong motions of Hanshin-Awaji

earthquake, including the displacement and

velocity. This performance will set up to the

minimum requirement.

3)To be able to test for the real-size structures Many phenomena of structural failure were

occurred at only the real size structures. For

the detailed understanding of such phenomena,

it is necessary to conduct the test for the real

59
size structural specimen. Therefore, it is necessary to have the sufficient specification

of maximum model weight, allowable overturning moment capacity and others for the

test of large-size specimen.

3.3. Major specification

Sufficient information needs to be gathered on how structures and foundations behave, and

whether or not they are destroyed, during a major earthquake. The importance of

promoting the strengthening and rationalization

of earthquake-proof structural design is just one

of the lessons learnt from the Hanshin-Awaji

earthquake. Because earthquake vibrations

involve three-dimensional movement, it is necessary' to set up a three-dimensional

earthquake simulator facility to accurately

reproduce earthquake motions. More than 30

three-dimensional shaking table have already

built throughout the world, but they are all only

small- or medium-sized devices. To perform

tests on real-size objects or large-scale models

of test structures and foundations, it is desirable

to have the large-scale 3-dimensional shaking

table. If large-scale 3-dimensional shaking

table was available, tests could be performed to shed new light on the mechanism of dynamic

failure using real-size structures as test objects

and on the mechanism that destroys submerged

structures when soil hquefaction. If a stage

reached whereby design based on such

discovery can be performed, this will contribute

immensely to reducing earthquake disaster.

1) The main specification is shown in Table 1. The actuator performance for three axes, (X,

Y (horizontal axis) and Z (vertical axis)), are shown in Fig. 1 to Fig. 3, respectively. The

table size and maximum test model weight

are the largest specification of the world.

These specification was determined for the

conducting to the almost real-size 4 story, 2

X 3 span reinforced concrete buildings and

the real-size reinforced concrete bridge

columns.

2) The driving method is choose the

accumulator charge and electro-hydraulic servo control system, which is very common

method to make the earthquake simulator.

3) The maximum acceleration of shaking table is determined by the model weight At the

maximum test model weight, maximum

accelerations for horizontal axis are limited to

0.9 G. This value was determined by the

reproduce of ground surface earthquake

motions, not reproduce the response

movement of structures, which is the basic

conception of this facihty.

4) The maximum velocity and maximum

displacement are set up to the maximum

value of future imaged earthquake motions.

5) The maximum overturning moment is set to perform the real-size subjects.

We will construct several buildings, such as the control and measurement building, testing

building, oil source building and others. The

layout of the facility is shown in Fig. 4.

3.4. Construction site and time schedule

The government of Hyogo prefecture will develop the Miki Memorial Park of HanshinAwaji earthquake at the city of Miki. This park

have been functioned three zones, such as

athletic park zone, citizen recreation zone and

disaster prevention zone. This facility will construct as the core facifity of disaster

prevention zone. For this zone, the disaster

prevention center of Hyogo prefecture, school

60
for fire defense and helicopter spots will also

construct in the near future.

The land for this park is located hilly area, and is not developed at this moment. Based

on the result of soil condition survey, the*

foundation of shaking table will set the bottom

of small valley. The current sectional design of

foundation arrangement is shown in Fig. 5. The waved line illustrated the existing land

profile in this figure. The bottom of foundation

will construct on the Kobe layer, which is belonging with the tertiary layer.

The detailed design of mechanical system,

such as shaking table, actuator, 3-dimensional

link joint, oil supply system, control system and

other equipment, and buildings will start in

fiscal year 1998. The completion of this faciUty

will be scheduled in fiscal year 2004 after 7

years plan.

3.5. Matter for management

The report by the Council was suggested

that the management of this facility would be

considered the following condition;

1) The international common use facility

This facility is the very large scale and high

performance testing facility in the world.

Therefore, many researchers, which are belong not only Japan but also worldwide

organizations, can use this facility for their

researches. This facility should be operated

the international common use. It is important to arrange the utilizing structures,

equipment and support section for the outside

users.

2) Operation autonomous

The operation and maintenance of this facility

should be done the professional experts, who

have the professional knowledge and enough

experience. It is important that to secure

those experts and to establish the operation

organization.

3) Fundamental important matters

For the effective operation of this facility it is important to enough care the following items;

[1] To operate the common use, such as users from government, academia, private sector and overseas organization,

[2] To establish the appropriate

administrative and operate mechanisms.

[3] To secure the high carrier personnel and

the continuous budget for the smoothly

management of this facility.

[4] To establish the encouragement, support

and evaluation system for the testing

research project by using this facility.

[5] To arrange the good environment for the

conducting research works.

4. RESEARCH AND DEVELOPMENT OF

THE CORE TECHNOLOGY

4.L Objectives of R & D of the core technologyThe specification of the 3-D Full Scale

Earthquake Testing Facility will be the largest

and highest performance shaking table facility in the world. For the establishment of

manufacturing technology of core technology for the new facility, we are conducting the research

and development works since 1995.

The items of this research and development

are as follows;

1) Development of the high performance

actuator

2) Development of the three dimensional link

joint

3) Conducting the performance test by the

prototype facility

61
4.2. Development of the actuator We set up that the maximum amplitude,

maximum velocity and maximum load of the

actuator are +-100 cm, 200cm/s and 450 tonf,

respectively. These values are the largest ones, which were never condcted.

For establishment of this high performance

actuator, we mainly considered the following

point. The drawing of horizontal actuator is shown in Fig. 5.

1) To prevent seizure between cylinder and

piston rod,

After the several design-work, we developed

the spherical hydro-static bearing. The

structure of this bearing is shown in Fig. 7. By using this bearing system, the friction

between cylinder and piston rod is established nearly zero.

2) To establish low friction capacity betv,-een

cylinder and piston, as possible as we can, We used the floating seal mechanism for the

actuator. Then, we established very low

friction capacity, which is 0.4 kgf/cm2 of

minimum moving pressure of piston rod.

The relation between the hydraulic pressure

and tolerance is shown in Fig. 8. The

relation between hydraulic pressure and

leakage is shown in Fig. 9. The measured

value is shown good coincidence to calculated one at the using pressure region,

which is greater than 100 kgf/cm2.

3) To develop the large flow servo valve.

For the estabUshment of high velocity, 200

cm/s, we need to develop the 45,000 1/min servo valve for one horizontal actuator. We

decided to use 3 servo valves for each

actuator. Then we established 15,000 I/min servo valve, which is the largest flow rate servo valve in the world.

4.3. Development of 3-D link joint

To estabhsh the three-dimensional

movement of shaking table, we need to insert

the link joint between the shaking table and

actuator. For this shaking table system, the

swing angle of link joint is reached to 12 degree.

We used the spherical hydro-static bearing,

which is same system as actuator, and the

bearing clearance adjusting device for

establishment of such large swing angle. The

sectional drawing and bearing structure of link

joint are shown in Fig. 10 and Fig. 11,

respectively.

4.4. Conducting the performance test We constructed the prototype facility by

using the developed actuator and 3-D link joint.

The specification and layout of prototype facility are shown in Table 2 and Fig. 12, respectively.

The prototype facility are consisted 4 horizontal actuators and 4 vertical actuators. These

actuators have same capacity as the 3-D Full

Scale Earthquake Testing Facihty. By the

condition of construction site of this prototype

facihty, the capacity of maximum acceleration is hmited to 0.4 G.

We conducted the following performance

tests for the estabhshment of research and

development result

1) Maximum amplitude test For the confirmation of maximum amplitude

estabhshment, we conducted the maximum

amplitude test by the sinusoidal wave. And,

we confu-med the performance of cross-talk

compensation at this test Fig. 13 shows

the test result of X-axis vibration of +-100

cm. The movement of X-axis is shown the

estabhshment of -I- -100 cm vibration. The

62
movements of Y and Z axes are shown

almost zero by the good accuracy of the

cross-talk compensation.

2) Maximum velocity test This test is the confirmation of maximum

velocity establishment By the limitation of

the oil power supply, we conducted this test

by the deformed sinusoidal wave. Fig. 14

shows the test result of maximum velocity

establishment The maximum velocity of

200 cm/s is established as planned.

3) Test by random vibration

We established the reproductive

performance by the random vibration. Fig.

15 shows the of time history and frequency

characteristics during random vibration.

This result shows that the prototype shaking

table system has good accuracy for the

conducting of random vibration test

TABLE 1 MAIN SPECIFICAnON OF THE FACILITY

Item Horizontal X Horizontal Y Vertical Z

Tabie Size 20 m X 15m

Driving Melhod Accumlator Charge / Electro-Hydraulic Servo Control

Maximum Test Weight 1200 tonf

Maximum Acceleration

(at Max. weight) 0.9 G 0.9 G 1.5 G

Maximum Velocity 130 cm/s 200 cm/s 70 cm/s

Maximum Displacement ±50 cm ±100 cm ±50 cm

Maximum Overturning

Moment

^15,000 tonf • m

(at Az=1G)

^15,000 tonf • m

(at Az=1G)

63

5. CONCLUSION

We learnt many lessons from Hanshin-Awaji

earthquake and other recent destructive

earthquakes. Especially, we need more

research to understand the failure mechanism of

different types of structures during earthquake.

For this research needs, NIED will begin the

construction project of the "3-D Full Scale

Earthquake Testing FaciUty" in fiscal year 1998

for the 7 years plan. After the completion, this

facility will be perfectly opened to international

use.We consider that the researchers together

from worldwide to this facility and the research

projects will determine and evaluate by the

international committee. We hope that this

facility will be situated to one of the cooperative

research organization for the earthquake

disaster mitigation in the world.
TABLE 2 SPECIFICATION OF PROTOTYPE FACILITY

Horizontal X Horizontal Y Vertical Z

J. dUlC OlZc 6 m X 6 m

Maximum Model Weight 50 tonf

Maximum Acceleration 0.4 G 0.4 G 0.4 G

Maximum Velocity 200 cm/s 200 cm/s 70 cm/s

Maximum Displacement +- 100 cm +- 100 cm +- 50 cm

No. of Actuators 2 2 4

10 r.—rr-TT3

. 1,1.1 /v.;;ri,,v,r .// .'.'7 J i 1,1 /.l.Kill/l > t i |. ;',v,v,7,./ ,'///!/ uh'iri'j'. urirj'n ;

.1:1 *-•'/,'////;/ 1/ //i /vY/i/.i/i r.t'i'/;;//V /A

1/ ki'k^'K

10 10 10'

I /.-l-'r' 'l/l ,1 .U:,i.l I I I.I Al/I ,1 ,,..7 •< I I |.< < V/ ,1 ^ii, ; ,< J , ij limmmMmMMm.

WMimBiMMmmiMiimk

r/l":yi n/:\/ 'jh-nvn :.'/ :itr: ^ i/n/ f/'/\ ;///,',r,7i- //;\/ ;'.y/i//i ,'i Vlil'l'.-N lA /.'l',y,^.^ ^^'irirl rVf'lA \ r.UI;'nH</ lA vA

Fig. 1 Actuator Performance of X Axis Fig. 2 Actuator Performance of Y Axis

64
Fig. 4 Layout of the Facility

65
u

a-TOMOII J

Fig. 5 Sectional Design of Shaking Table Foundation

8680 ± 1000

Fig. 7 Bearing of Actuator

50 100 150

Pressure (kgl/cm2)

Fig. 8 Hydraulic Pressure vs. Tolerance

66
Pressure (kgf/cm2)

Fig. 9 Hydraulic Pressure vs. Leakage

Fig. 12 Layout of Prototypr Facility

67
1000 /—« c

c 500

a)a 0

><w

c n A -5UU

Q

-1000

1 00 1

E 50

m

0

>•

c. -50

a

-100

100

50

0

c. -50

CO -100

20 -10 60 80

Time (sec)

100

Fig, 14 Test Result of Max. Velocity

Fig. 13 Test Result of Max. Displacement

10 15 20 25 30 35

Time (sec)

20

ffl

-10

1__1_J_ L J

TTT

I I I

I I I

I I I TT

I I I

I I I J J J_l

I I I

I I I

I I I

I 1 I

I

0

ricqtiency (I I/]

Fig. 15 Test Result of Random Vibration

68

30
Strong Motion from Surface Waves in Deep Sedimentary Basins

by

William B. Joyner'

ABSTRACT

It is widely recognized that long-period surface waves generated by conversion of body waves

at the boundaries of deep sedimentary basins

make an important contribution to strong

ground motion. The factors controlling the

amplitude of such motion, however, are not widely understood. Compared to the body

wave, the velocity of the surface wave is much

less, and, as a result, the curvature of the

wavefront and the geometric spreading are much less. The surface wave behaves

approximately as if it were generated by a line source m a two-dimensional medium. On the

other hand the low-Q basin sediments produce

significant anelastic attenuation, even at relatively long periods. A study of

pseudovelocity response spectra of records of

the 1971 San Fernando and 1994 Northridge

earthquakes at sites in the Los Angeles Basin

shows that late-arriving surface waves with

group velocities of about 1 km/sec dominate the

ground motion for periods of 3 sec and longer.

The rate of amplitude decay for these waves is less than for the body waves and depends

significantly on penod, with smaller decay for longer periods. The amplitude can be modeled

by anelastic attenuation with decay proportional

to the exponential of distance multiplied by an

attenuation coefficient. Methods for estimating

the response spectral amplitudes for these waves

in future earthquakes are presented based on

either the San Fernando or Northridge data. The

response spectral amplitude of surface waves

fi-om the Northridge earthquake is less than

from the San Fernando earthquake by factors as large as four. The surpnsingly large difference

between the San Fernando and Northridge

earthquakes can be explained, at least in part, by

directivity. Estimates of response values in future earthquakes based on the two different

data sets give a sense of the range of

possibilities. These estimates are based on data

from the Los Angeles Basin, but, in the absence

of other data, they could be applied to sites in other deep Quaternary basins. The results presented in this paper indicate that inclusion of

anelastic attenuation may be essential in modeling ground motion in deep sedimentary

basins. Future progress in understanding strong

motion from basin surface waves calls for attention to faithful recording of the long-period

components of ground motion and to recording

motion for times long enough to include the

late-arriving surface waves.

1. INTRODUCTION

The importance of surface waves for longperiod strong earthquake ground motion has

long been recognized. Hanks (197^) examined

displacement time series obtained by double

integration of accelerometer records from the

1971 San Fernando, California, earthquake and

showed that surface waves were a significant

component of the long-period motion. Surface waves in the San Fernando earthquake were also

studied by Lui and Heaton (1984) and by Vidale

and Helmberger (1988) who showed that the

surface waves were generated by conversion

from body waves at the margins of deep

sedimentary basins.

The factors controlling the amplitude of surface waves generated by conversion of body waves

at basin margins are not widely understood.

The amplitude of surface waves is commonly

said to decay as the one-half power of distance.

That statement is only true for laterally

homogeneous media and then only in the

frequency domain. The decay in the time

domain is greater because of dispersion. With

' U.S. Geological Survey, 345 Middlefield Road MS 977,

Menio Park, CA 94025

69
lateral heterogeneity, as with a surface wave

generated at the edge of a basin, the situation is very different. As shown in Figure 1, because

the velocity of the surface wave is much less than the body wave, the curvature of the

wavefront for the surface wave is much less and

the geometric spreadmg of the surface wave is thereby much reduced. In Figure 1 the

reduction would be greater if the boundary were

concave inward. To a first approximation the wave behaves as if it were generated by a line source m a two-dimensional medium. On the

other hand, the low-^ basin sediments produce

significant anelastic attenuation. In this paper

strong-motion data from the 1971 San

Fernando, California, and the Northridge,

California, earthquakes are examined to clarify

the role of surface waves and the factors controlling their amplitude.

2. DATA

The focus of this study was surface waves in deep sedimentary basins generated by

earthquakes outside the basin. The data used were strong-motion records of the San Fernando

and Northridge earthquakes recorded at sites in the Los Angeles Basin (Figure 2). For the

purposes of this paper, the boundary of the Los

Angeles Basin were taken as the 300 m contour

of depth to crystalline basement as determined

by adjusting the subsea elevation contours on

the map by Yerkes et al. (1965) for the effect of

topography. With that definition of the Basin

boundary, the San Fernando and Northridge

earthquakes lie outside the Basm.

The San Fernando data were taken from the

CD-ROM by Seekms et al. (1992). The

horizontal components were rotated to north and

east, approximately perpendicular and parallel,

respectively, to the northern boundary of the

basm. The records were then processed

specifically for this study using as lowcut filter a second-order bidirectional Butterworth filter (Converse, 1992) with a cutoff at 0.125 Hz.

The locut filter is similar to that recommended

by Hanks (1975). Velocity time series were

plotted in order of increasing distance from the source, and records with duration judged

insufficient to record the surface waves were

eliminated, leaving 56 three-component records.

The Northridge data were taken from the

California Sfrong Motion Instrumentation

Program and from the Los Angeles Sfrong

Motion Accelerograph Network operated by the

University of Southern California. Corrected

data were obtained from processing by the

network operators. Both operators employ a lowcut filter that is a ramp in the frequency

domain. Records were excluded from this study

if the frequency at the upper end of the ramp

exceeded 0.16 Hz. Twelve three-component

records remained after the exclusions. As with

the San Fernando records the horizontal

components were rotated to north and east.

3. PRELIMINARY ANALYSIS

In order to assess the contribution of surface waves to ground motion, pseudovelocity

response specfra for 5 percent damping were computed for each record and the time of

maximum response was determined for each

oscillator period and each record. A regression

analysis was performed between the time of

maximum response and the closest horizontal

distance from the recording station to the

vertical projection on the surface of the earth of

the fault rupture that generated the earthquake.

The resulting regression coefficient is plotted

against oscillator period for the San Fernando

earthquake on Figure 3 and the Northndge

earthquake on Figure 4. The regression

coefficient represents the group slowness, that

is, the reciprocal of the group velocity, of the

seismic phase that carries the highest amplitude

for each period. More precisely, the coefficient

is the group slowness relative to the slowness of

the tnggering phase. An examination of the

accelerograms shows that some of the records

triggered on the P-wave and some on the S- wave, but it does not matter because the body- wave slownesses are negligible compared to the

surface-wave slownesses. Group velocities and

slownesses are usually measured by noting the

time of the peak of the envelope of narrowband-filtered seismograms. The approach used

here should give similar results and has the

advantage of employing quantities of

70
engineering significance. Figures 3 and 4 show

that for periods up to about 0.75 sec body waves

with relative slownesses near zero carry the

maximum amplitude. At periods of 3.0 sec and

greater the relative slowness is nearly 1 sec/km,

representing surface waves whose absolute

slowness may exceed 1 sec/km. Between,

periods of about 0.75 and 3.0 sec the regression

coefficients take on intermediate values. These

probably do not represent a seismic phase of

intermediate slowness but rather a situation

where the maximum amplitude is carried by the

body waves on some records and by the surface waves on others. Using the distance

dependence of the time of maximum amplitude

to distinguish surface waves and body waves is a strategy employed by Hanks and McGuire

(1981).

Regression analysis was also performed

between the logarithm of the pseudovelocity

response and the logarithm of distance. The

regression coefficient is plotted against period on Figure 5 for the San Fernando earthquake

and on Figure 6 for the Northridge earthquake.

The surface waves at periods of 3.0 sec and

greater have a decay rate generally less that the

body waves at periods 0.75 sec and less. Note

that the decay rate of the surface waves

decreases sharply with period, suggesting that the decay represents anelastic attenuation, not geometric spreading.

4. EQUATIONS

The results of the last section suggest that the

pseudovelocity amplitudes of the surface waves

could be represented by an equation of the form

y = —exp{-bRB) (1)

Re

where y is the pseudovelocity response, Re is the

distance from the source to the edge of the

basm, Rb is the distance from the edge of the

basin to the recording site, and a and b are parameters chosen to fit the data. Values of Re

and Rb are obtained by constructing the line between the recording site and the closest point on the vertical projection of the fault rupture on

the earth's surface. The intersection point of the

line with the basin boundary is noted, and the

distance between the intersection point and the

closest point on the vertical projection of the

fault rupture is denoted by De- Re= V(D/+25).

Rb is the distance between the intersection point

and the recording site. Values of a and b

derived by fitting the San Fernando data and the

Northridge data separately are given in Table 1

.

Values of Q implied by the values obtained for b are given in Table 2, along with one-standarddeviation ranges, for an assumed phase velocity

of 1 km/sec. The ratios between observed

values and values predicted by equation (1) are shown on Figure 7 for the perpendicular

component of the San Fernando earthquake at periods of 3 to 6 sec. Data for the other

components of the San Fernando earthquake

and for the Northridge earthquake are similar. The standard deviation of the natural logarithm

of the ratio between observed and predicted

values ranges between 0.3 and 0.5. Figure 8 shows the values predicted by equation (1) with a and b fitted to data from the perpendicular

component for the San Fernando (S) and

Northridge (N) earthquakes. Also shown on

Figure 8 for comparison are values predicted by

two attenuation relationships derived from the

general strong-motion data set. Figure 9 shows

the corresponding results for the parallel

component. The values predicted from fits to the San Fernando data are larger than predicted

by the two attenuation relationships by as much

as a factor of four. The values predicted from

fits to the Northridge data are much less than

those from fits to the San Fernando earthquake.

This difference between the San Fernando and

Northridge data is surprisingly large, but it can be explained, at least m part, by directivity.

Estimates of pseudovelocity response obtained

from equation (1) fit to the San Fernando data can be exfrapolated to other sites and other

earthquakes by multiplying the result from

equation (1) by the factor /(M,/?^) 7/(6.6,23),

where / (M,R) is an appropriate attenuation

relationship for pseudovelocity response in

71
terms of moment magnitude M and distance R

in km, 6.6 being the moment magnitude of the

San Fernando earthquake and 23 km the average

distance between the source and the basin edge

for the San Fernando records. The

corresponding estimates for fits to the

Northridge data can be obtained by multiplying

the results from equation (1) by the factor

/(MMe) //(6.7,17). Estimates derived from the

San Femando and Northridge data would give some sense of the range of values that might

occur in a future earthquake. Such estimates,

though based on data from the Los Angeles

Basin, could be applied to sites in other deep

Quaternary basins where data is not available.

5. CONCLUSIONS AND RECOMMENDATIONS

The results presented here show that m a deep

sedimentary basin such as the Los Angeles

Basin the ground motion at periods of 3 to 6 sec

is dominated by surface waves. Methods are described for estimating response spectral

values for such motion. Estimates made using

data from the San Femando earthquake give

values greater by as much as a factor of four

than predicted by attenuation relationships

derived from general strong-motion data sets. The engineering consequences of these large

motions need to be considered for structures with penods of 3 sec and greater and perhaps

also for structures of shorter elastic periods if those periods might be lengthened to 3 sec or beyond by deformation during an earthquake.

The results presented here also indicate the

necessity of including anelastic attenuation in attempts to model ground motion in deep

sedimentary basins.

Future progress in understanding basin surface waves and in predicting their amplitude will

require additional data. Taking full advantage

of moderate earthquakes to obtain additional

data will require that operators of strong-motion

networks take special care for the faithful recording of the long-period components of

ground motion. Not only are instruments of

sufficient dynamic range needed, but also

testing should be done to insure that sufficiently

low noise levels are actually achieved. It is also

necessary to insure that the recorder, once

triggered, will continue to operate for a time

sufficient for the surface waves to traverse the

basin. With velocities of about 1 km/sec, that time may be as long as 100 sec.

6. ACKNOWLEDGMENTS

The author benefited from discussions with

David Boore, John Tinsley, and Jerry Eaton. He

is also grateful to Linda Seekins for her skilled

efforts in making Figure 2 and to David Boore

for his review of the manuscript and valuable

suggestions for improvement.

7. REFERENCES

Abrahamson, N. A. and W. J. Silva (1997).

Empirical response spectral attenuation relations

for shallow crustal earthquakes. Seism. Res.

Lett., 68, 94-127.

Converse, A. M. (1992). BAP: basic strongmotion accelerogram processing software;

version 1 .0, U.S. Geol. Survey Open-File Rept.

92-296A.

Hanks, T. C. (1975). Strong ground motion of

the San Femando, Califomia, earthquake:

ground displacements, Bull. Seism. Soc. Am.,

65, 193-225.

Hanks, T. C. and R. K. McGuire (1981). The

character of high-frequency strong ground

motion. Bull. Seism. Soc. Am., 71, 2071-2095.

Heaton, T. H. and D. V. Helmberger (1979).

Generalized ray models of the San Femando

earthquake, Bull. Seism. Soc. Am., 69, 1311-

1341.

Joyner, W. B. and D. M. Boore (1982).

Prediction of earthquake response spectra, U.S. Geol. Survey Open-File Rept. 82-977.

Liu, H.-L. and T. H. Heaton (1984). Array

analysis of the ground velocities and

accelerations from the 1971 San Femando,

72
California, earthquake, Bull. Seism. Soc. Am.,

74, 1951-1968.

Seekins, L. C, A. G. Brady, C. Carpenter, and

N. Brown (1992). Digitized strong-motion

accelerograms of North and Central American

earthquakes 1933-1986, U.S. Geol. Survey

Digital Data Series DDS- 7.

Vidale, J. E. and D. V. Helmberger (1988).

Elastic finite-difference modeling of the 1971

San Femando, California earthquake, Bull. Seism. Soc. Am., 78, 122-141.

Yerkes, R. F., T. H. McCulloh, J. E. Schoellhamer, and J. G. Vedder (1965).

Geology of the Los Angeles Basin California -

an introduction, U.S. Geol. Survey Prof. Paper

420-A, 57 p.

73
Table 1. Values of a and b obtained by fitting equation (1) to data from the San Fernando and

Northridge earthquakes.

San Fernando earthquake

Period (sec) a b

Perpendicular Parallel Vertical Perpendicular Parallel Vertical 3.0 741 581 341 0.0190 0.0205 0.0097

4.0 791 883 393 0.0139 0.0156 0.0064

5.0 690 887 265 0.0115 0.0075 -0.0001

6.0 514 644 167 0.0090 0.0045 0.0010

Northridge earthquake

Period (sec) a b

Perpendicular Parallel Vertical Perpendicular Parallel Vertical 3.0 327 541 286 0.0116 0.0222 0.0241

4.0 254 488 238 0.0103 0.0166 0.0207

5.0 169 266 156 0.0001 0.0118 0.0167

6.0 132 195 112 0.0026 0.0109 0.0147

Table 2. Values of Q implied by the b values in Table 1, with one-standard-deviation ranges, for an assumed phase velocity of 1 km/sec.

San Fernando earthquake

Period (sec) Perpendicular Parallel Vertical

3.0 55 (45-73) 51 (43-63) 110(77-180)

4.0 56 (46-72) 50 (41-66) 120 (72-430)

5.0 55 (43-75) 84 (61-140) 00 (180-00)

6.0 58 (41-99) 120(70-360) 510 (120-00)

Northridge earthquake

Period (sec) Perpendicular Parallel Vertical

3.0 90 (63-160) 47 (39-60) 44 (36-55)

4.0 76(52-140) 47 (36-69) 38 (30-50)

5.0 5300 (140-00) 53 (37-91) 38 (29-53)

6.0 200 (78-aD) 48 (34-84) 36 (28-49)

74
I Figure 1. Schematic plan view of the wavefronts for an S wave from a point source converting to a surface wave at the edge of a basin. The phase velocity of the surface wave is one-third the S wave

velocity.

r

75
!!«•»• WOOFigure 2. Map showing the boundary of the Los Angeles Basin (double line) as defined in the text. Polygons outline the vertical projection of the rupture surface in the San Fernando earthquake (S)

(Heaton and Helmberger, 1979) and the Northridge earthquake (N) (David Wald, written

communication, 1995).

76
PERPENDICULAR SAN FERNANDO EARTHQUAKE

1 1 1 1—I—I—n—i 1 1 1

1 I I I

2

^1 h

1-Z

UJ

O

o

<

III

I

1 1 1

1

_1 I I 1 L. _i I I 1 1 1—1—

L

0.1 1 .0 PERIOD (S) 10.0

PARALLEL

2

z

Uio

LLU.

UJo

o

X 0^

»-

-T 1 1 1—T-l-jX X

I • 1 l—l—1—L. 0.1 1.0 PERIOD (S) 10.0

VERTICAL

r

1 1 1—I—I I I I ' 1 1 1—I—r-r-r2

it:

O

UJO

o

X 0' <2

II ill I

I I—I—i-i- 0 1 1.0 10.0 PERIOD (S)

Figure 3. Regression coefficient between the time of maximum pseudovelocity response and closest

horizontal distance to the vertical projection of the fault rupture for records from the San

Fernando earthquake. The bars show the one-standard-error range for the coefficient.

77
PERPENDICULAR NORTHRIDGE EARTHQUAKE -1 1 1 1— 1 1 1 1 1 1—TT- I—I—

Kill

HI

-I J I I 1.0 PERIOD (S) 10.0

PARALLEL

zo

u.

u.UJoo

• X 0 <

-I 1 r- -1 1 1 1—I—I—nIII

I

I

I

0.1

_J 1_J L-l_1.0 PERIOD (S) 10.0

VERTICAL

z

UJo

UJO .. o X

X 0 <

-J 1 I I J

'

-I—I—I—I I I

ll

1

i

-1 ' ' I—I L_L. 0.1 1.0 PERIOD (S) 10.0

Figure 4. Regression coefficient between the time of maximum pseudovelocity response and closest

horizontal distance to the vertical projection of the fault rupture for records from the Northridge

earthquake. The bars show the one-standard-error range for the coefficient.

78
PERPENDICULAR SAN FERNANDO EARTHQUAKE

T 1 1 1—I [ I PARALLEL

1.0 PERIOD (S)

t- 0 z

•.u zo

0.X

lU0-1 zo

<

UJ

IT

a.

fii -2

I I r—rI I

1—I—I—

r

ji n i

I

10.0 0.1 1.0 PERIOD (S)

VERTICAL

z

lUzo

a.X

lU0-1 za

<

LU

CC

Q.(0 -2.r

T 1 1 1—r—I I I I -I 1 1 1

1 T I I

ll

:: I

' u

0.1 1.0 PERIOD (S) 10.0

Figure 5. Regression coefficient between the logarithm of pseudovelocity response and the

logarithm of closest horizontal distance to the vertical projection of the fault rupture for records

from the San Fernando earthquake. The bars show the one-standard-error range for the

coefficient.

79
PERPENDICULAR NORTHRIDGE EARTHQUAKE 1 1 1 1—I—I—

Z

UJzo

a.X

UJ0-1 zo

<

UJa«

-2

-1 1 1—I—I—nJ

0.1

_l I I L. 1.0 PERIOD (S) 10.0

PARALLEL1 1 1 1—I—I—r—

rZ

UJzo

CLX

UJ0-1 zo

<

UJ

oc

Q.(0 -2 -

0.1

I I—I—Ir-r

-I ' _l I

' LU- 1.0 PERIOD (S) 10,0

VERTICAL

Z

UJz

o

Q.X

UJCD-I z

o

<

UJ

(E

Q.in -2

-I r—1—I—I—I I I

0.1

' .III I I

I I I

'

' 1.0 PERIOD (S) 10.0

Figure 6. Regression coefTicient between the logarithm of pseudovelocity response and the

logarithm of closest horizontal distance to the vertical projection of the fault rupture for records

from the Northridge earthquake. The bars show the one-standard-error range for the coefficient.

80
PERPENDICULAR SAN FERNANDO EQ

3.0 I

1 1 1 1 1 1 1 r

3.00 S

BASIN DISTANCE (KM)

PERPENDICULAR SAN FERNANDO EQ

100

5.00 S

100

3.0

O

UJ

oc^

COCDO

UJ

(Azo

Q.

(nUJ

oc

1.0

0.3

3.0

PERPENDICULAR SAN FERNANDO EQ 4.00 S 1 ' r-

•• • • • 4 :

a

UJ

a.

CDO

UJ

COzo

Q.

(fl Ula

1.0

0.3 BASIN DISTANCE (KM)

50 BASIN DISTANCE (KM)

J 50 100 BASIN DISTANCE (KM)

PERPENDICULAR SAN FERNANDO EQ 6.00 S

r

•

1 1 — 1

1 1 1 1

'

•

•

• /

• u - it •

• •

• •

•

L_ 1 1 1

1 1 1 1 I 100

Figure 7, Ratios between observed values of pseudovelocity response and values predicted by

equation (1) for the perpendicular component of the San Fernando earthquake.

81
PERPENDICULAR 5.00 S PERPENDICULAR 6.00 S

0 50 0 50

BASIN DISTANCE (KM) BASIN DISTANCE (KM)

Figure 8. Values of pseudovelocity response for the perpendicular component predicted by

equation (1) with coefficients fitted to data from the San Fernando earthquake (S) and the

Northridge earthquake (N). The bars show the one-standard-error range for the coefficient a. Also shown are the values predicted by the equations of Joyner and Boore (1982) for soil sites (JB82) and the equations of Abrahamson and Silva (1997) for soil sites and reverse-fault

earthquakes (AS97). A moment magnitude of 6.7 and a basin edge distance of 20 km were assumed for the JB82 and AS97 curves.

82
PARALLEL 3.00 S PARALLEL 4.00 S

BASIN DISTANCE (KM) BASIN DISTANCE (KM)

PARALLEL 5.00 S PARALLEL

BASIN DISTANCE (KM) BASIN DISTANCE (KM)

Figure 9. Values of pseudovelocity response for the parallel component predicted by equation (1)

with coeflicients fitted to data from the San Fernando earthquake (S) and the Northridge

earthquake (N)- The bars show the one-standard-error range for the coefficient a. Also shown are

the values predicted by the equations of Joyner and Boore (1982) for soil sites (JB82) and the

equations of Abrahamson and Silva (1997) for soil sites and reverse-fault earthquakes (AS97). A

moment magnitude of 6.7 and a basin edge distance of 20 km were assumed for the JB82 and AS97

curves.

83
PERFORMANCE BASED DESIGN FOR PORT STRUCTURES

by

Susumu lAl" and Koji ICHIl"

ABSTRACT

This paper presents a performance based design approach for port structures. The performance

based design is an emerging art, which was born

from the lessons learned from the recent earth- quakes in 1990's. This is to overcome the limitation in the conventional seismic design, which was

based on the force balance against a design seis- mic force. The performance based design is a user

friendly approach to take into account the re- quirements of the seismic performance of a

structure against the probabilistic occurrence of

earthquake motions. This paper is an initial proposal of the seismic performance based design for port stmctures. Key Words : Performance, Design, Earthquake,

Quaywall

1. INTROUDUCTION

The performance based design is an emerging

art, which was born from the lessons learned from

the recent earthquakes in 1990's. This is to over- come the limitation in the conventional seismic

design. In the conventional seismic design, the design is accomplished based on the force balance

against a design seismic force but the design does

not provide the information on the performance of

a structure when exceeding the limit of the force

balance. In the performance based design, design

earthquake motions are defined in two levels and

the required performance of a structure specified

in terms of displacements and stress levels is defined for varying levels of the earthquake motions.

The performance based design, thus, should be the key to accomplishing higher reliability of a struc- ture against earthquake without appreciable in- crease in construction cost.

2. Definition of Performance Grades

In the seismic design considering structural performance, it is necessary to clearly define the required performance of a structure against design

earthquake motions in terms of allowable dis- placements and stress levels. The defined perfor- mance is used as a criteria to evaluate an initial structural design. If the initial design does not

satisfy the required performance, then the design

should be modified until it meets the requirements.

The required performance thus defined is called

seismic performance criteria.

The seismic design considering structural per- formance, called performance based seismic design, is accomplished according to the flowchart

shown in Fig. 1 . Relevant issues in this flowchart

will be discussed below.

(1) Design Earthquake Motions

The levels of design earthquake motions for port structures are specified, in the two level ap- proach, as follows.

Level 1 : Earthquake motion having a return period of 75 years Level 2 : Earthquake motion having a return period of 475 years. Level 2 earth quake motion includes

a near field motion of a very rare event from an active seismic fault, if the fault is located nearby.

The earthquake motions having a return period

of 75 and 475 years have a probability of 50 and

10% occurrence, respectively.

(2) Damage Criteria

The seismic performance criteria are defined

by specifying acceptable extent of damage to a

structure against the two levels of design earth- quake motions. The performance criteria are specified as a function of earthquake motion levels as shown in Fig. 2.

The extent of damage, defining the longitudinal coordinate in Fig. 2, is determined by both

serviceability and structural damage. The serviceability is defined in a broad sense. In addition to the original definition for sea transport, the defini- tion of serviceability includes such effects of

damage as threats to hu'man lives and properties,

loss of function as a emergency base for transportation, threats from hazardous materials, depend1) Port and Harbour Research Institute, Japan : Nagase 3-1-1, Yokosuka, 239 Japan

84
ing on the functions of port structures. The structural damage depends on a structural type; i.e. the extent of structural damage to a gravity quaywall

is mainly specified by displacements and tilting

while that to a sheet pile quaywall is mainly specified by stress states in the structure. The ac- ceptable extent of damage thus depends on both

function and type of a structure. The extent of damage shown in Fig. 2 is specified in the most general qualitative terms into three degrees. More specific descriptions for the extent of damage is defmed in Table 1 with re- spect to the serviceability and the structural damage. The most specific and quantitative damage

criteria will be described in 3 and 4 for each type

of structures.

(3) Performance Grades

The damage criteria defined by three degrees

described above permits to define the performance

criteria as shown in Fig. 2. As shown in this figure, the performance grades are specified in four

grades, XS, XA, XB and XC, as follows.

Grade XS : The extent of damage remains

degree I for Level 2 motion.

Grade XA : The extent of damage remains

degree I for Level 1 motion and

degree II for Level 2 motion.

Grade XB : The extent of damage remains

degree I for Level 1 motion and

degree III for Level 2 motion.

Grade XC : The extent of damage remains

degree II for Level 1 motion.

Collapse of structure, if occurs at Level 2 motion, does not have

threats to the surrounding.

(4) Importance of Structure and Performance

Grades

The performance grades defined above closely

relate to the importance of structures. A structure with higher importance requires a higher perfor- mance grade. The importance of port structures is generally measured by the seismic effects on

serviceability (in a broad sense) and structural damage. For example, the importance of port

structures specified in the current Japanese design

code" are categorized into four classes as shown

in Table 2. These classes of importance approximately corresponds to the required performance

grades as shown in Table 3.

3. Damage Criteria for Gravity Quaywall

In the performance based design, the acceptable extent of damage, i.e. the damage criteria,

should be clearly specified based on the function

and seismic response of a structure. The damage

criteria should be generally established by a group

of design engineers with assistance and advice

from the user and owner of the structure/facility.

The guidelines for establishing the damage

criteria for typical port structures will be shown in 3 and 4. These guidelines are for the most general

case, considering a general purpose quay wall

where the seismic damage poses no threats to human lives, no hazardous material is handled,

without a movable crane, and the sea space in front of the quay wall is unlimited. Additional

guidelines are offered in 5 for the quay walls

having container and other movable cranes.

(1) Seismic response of gravity quaywall

A gravity quaywall is made of a caisson or other gravity wall put on seabed, and maintains its stability by the friction at the bottom of the wall

against the earth pressures from the backfill soil behind the wall. Typical failure modes during

earthquakes are seaward displacements and tilting as shown in Fig. 3(a) for a firm foundation. For a loosely deposited sandy foundation, the failure modes involve overall deformation of the foundation beneath the wall, resulting in large seaward

displacement, tilting and settlements. A wall with

a smaller width to height ratio exhibits tilting

mode rather than horizontal displacements. A wall

designed with a seismic coefficient of 0.15 in the pseudo static approach is on the border line for exhibiting tilting mode and horizontal displace- ments.

Large horizontal displacements and settle- ments of a gravity quaywall do not significantly

reduce the residual state of stability, and are considered generally acceptable for structural damage.

Tilting of the wall, however, significantly reduce

the residual stability, thus providing restrictive conditions for structural damage criteria. The past case histories^' show overturning/collapse of cel- lular block and cantilever types. These types of

gravity walls need a careful consideration in specifying damage criteria regarding overturning/collapse.

(2) Items specifying damage criteria for gravity

quaywall

Seismic performance of a gravity quaywall is specified based on the serviceability in safe

mooring, safe operation of wheeled vehicles and

cargo handling, flooding, and the structural dam85
age exhibiting displacements and tilting (including

relative displacements between the blocks of a

cellular block type quaywall.)-

Items specifying damage criteria are the deformation of wall including displacements, set- tlements, tilting, and differential displacements

(winding of a face line), and the deformation at apron including settlement, differential settlement

at and behind apron, and tilting as shown in Fig. 4.

Damage criteria should be established by

choosing and specifying appropriate items from

the items mentioned above considering perfor- mance requirements mentioned above. More

specifics are given in the next subsection.

(3) Damage criteria for gravity quaywall

The damage criteria are established, as mentioned earlier, considering both serviceability and

structural damage. The criteria for a gravity

quaywall regarding structural damage should be

established by referring to Table 4 with additions

and modification for the specific conditions of a

structure designed. The criteria shown in Table 4

show minimum requirements. Thus, in evaluating

seismic performance by referring to the damage

criteria, if different damage degree results from

different items evaluated, the highest damage degree should be the final results of the evaluation.

The criteria for a gravity quaywall regarding

serviceability should be established by referring to Table 5 with additions and modification for the

specific conditions of a structure designed. In

particular. Table 5 is a reference for upper limit of

damage degree I.

As mentioned earlier, the overall damage criteria should be established based on both serviceability and structural damage criteria established

above.

4. Damage Criteria for IVestle Pier

( 1

) Seismic response of trestle pier

A trestle pier is composed of a pier and a re- taining wall. The pier is a system composed of a deck supported by pile, embankment below the

deck and a bridge between the pier and the re- taining wall. Typical failure modes during earth- quakes depends on the relative magnitude of inertia force and ground displacements as shown in Fig. 5.

Structural damage to a trestle pier is governed

by stress states rather than displacements. It is important to determine the sequence and degrees

of ultimate states to occur in the composite system

of a trestle pier. The 1995 Kobe earthquake caused

various modes of damage, including displacements and tilting toward the sea or the land and

collapse at the most serious case

(2) Items specifying damage criteria for trestle pier

Seismic performance of a trestle pier is specified based on those of a retaining wall and a deck

supported by piles. The seismic performance of

the retaining wall is specified referring to those

for a gravity or sheet pile wall. The effects of

ground displacements, including the movement of

the retaining wall and the embankment below the

deck, should be carefully evaluated for the per- formance of the deck supported by piles. The

seismic performance of the deck supported by

piles is specified based on the serviceability and

structural damage similar to those for a sheet pile

quaywall.

Items specifying damage criteria are as fol- lows (refer to Fig. 6). Displacements

- deck and piles : settlement, tilting, differential displacements

- apron : differential settlement between deck and

retaining wall, tilting, fall/fracture of

bridge

Stresses

- piles (pile top and below mudline)

- deck (deck body, pile cap)

- bridge

Damage criteria should be established by

choosing and specifying appropriate items from

the items mentioned above considering perfor- mance requirements mentioned above.

The sequence to reach the ultimate states with

increasing level of seismic load should be appropriately specified for a trestle pier as follows (refer

to Fig. 7).

1) Pile cap

2) Pile top

3) Deck or Pile below mudline

(within allowable ductility factor)

Structural details for a bridge such as fail-safe device to prevent fall down or easily repairable

structure should be also important, and, if applicable, a structure to absorb the displacements

from the retaining wall should be introduced. This

could lead to a further development of energy

absorption device for a trestle pier.

86
(3) Damage criteria for sheet pile quaywall

The criteria for the retaining wall of a trestle pier should be established by referring to those for a gravity or sheet pile quaywall.

The criteria for a trestle pier regarding structural damage should be established by referring to Tables 4 and 6. The most restrictive conditions

among displacements and stresses should be the

damage criteria. The displacements in Table 4 is applied for residual displacements while the

stresses in Table 6 is for peak stresses during an

earthquake.

Structural damage to the embedded portion of

a pile is generally difficult to restore and has a

potential to trigger collapse of a trestle pier, and

thus needs more restrictive ductility factor used

for design. No case histories are reported on brittle fracture of steel piles during earthquakes. The

case histories on brittle fracture of thick steel co- lumns during the 1995 Kobe earthquake reminded,

however, that it is still necessary to study this as- pect of the steel piles.

The criteria for a trestle pier regarding serviceability should be similarly established as for the gravity quaywall by referring to Table 5.

As mentioned earlier, the overall damage criteria should be established based on both serviceability and structural damage criteria established

above.

5. Damage Criteria for Quaywall having

Wheeled Cranes

In order to be serviceable after an earthquake,

the quaywalls equipped with such facilities as wheeled cranes or ferry facilities need to maintain

the serviceability of these facilities in addition to the basic serviceability required for the general

purpose quaywalls. Safety for human lives should

also be secured. Consequently, the damage criteria for the quaywalls equipped with wheeled cranes,

etc. should be specified based on additional consideration to those shown in 3. and 4. For example,

the serviceability of the quaywalls having a conveyor belt is strongly affected by differential dis- placements and settlements. The effects of earth- quakes on ferry wharves needs additional consideration on displacements of quaywalls, fail safe

devices for passenger bridges, etc. to secure the

safety of passengers and the passenger transport

operation.

In this section, the additional criteria to those

discussed in 3. And 4. are discussed, which are

needed for quaywalls having wheeled cranes such

as container cranes.

(1) Seismic response of wheeled cranes A wheeled crane consists of an upper structure, handling cargoes, and a foundation stracture, sup- porting and transporting the upper structure as shown in Fig. 8. It is generally made of a steel framework. The foundation structure is either a

rigid frame type (as shown in Fig. 8) or a hinged

leg type, which have one hinge at the level A in Fig. 8). The foundation structure is supported by

rails through the wheeles. The rails are often di- rectly supported by a portion of a retaining wall or

the deck of a trestle pier for a gravity quaywall or a trestle pier. When the width of the gravity wall is small, or the quaywall is a sheet pile or cellular type, a separate set of foundations, often a pile

foundation, is provided to support the rails. A wheeled crane at rest is fixed to rails or a quaywall with clamps or anchors, whose strength

provides the upper limit for the resistance of the crane against external forces. A wheeled crane in operation, however, is not supported with clamps

or anchors, so that the resistance of the crane

against external forces is only due to those from

the friction and the flanges of the wheels.

Typical failure modes during earthquakes are derailment, detachment or pull-out of wheels,

rupture of clamps and anchors, buckling, and

overturning^'. As shown in Fig. 9(a), widening of a span between the legs due to the deformation of

the quaywall results in derailment or buckling of

legs. Conversely, as shown in Fig. 9(b), narrowing

of a leg span can also occur due to rocking re- sponse of a crane. This is due to alternating action

of horizontal component of resisting forces from

the quaywall during rocking type response in- volving uplifting of one side of legs. Derailment

and detachment of the wheel can also occur due to the rocking. As shown in Fig. 9(c), when a dent or

differential settlement occur on a quaywall below

the crane, the derailed leg can put into it, resulting

in tilting and overturning of the crane. If the crane has one hinge type legs, the derailment can result

in tilting and overturning of the crane as shown in Fig. 9(d).

Though the clamp or anchor provides more re- sistance for the motion against the external force,

the internal stresses induced in the framework of a crane becomes larger with clamp or anchor than

allowing rocking response.

The quaywall having wheeled cranes needs a

87
special consideration on the foundation of the crane such as for providing a monolithic upper

structure to support the rails.

(2) Items specifying damage criteria for the

quaywall having wheeled cranes

Seismic performance of the quaywall having

wheeled cranes is specified based on the serviceability of and the structural damage to the crane. The serviceability of the crane is specified re- garding the function of upper structure (i.e. cargo

handling) and that of foundation structure (i.e. transportation and support for the upper structure).

The structural damage regarding the crane is specified not only by displacements, derailment,

tilting, and stress of the crane but also the dis- placements and stresses of the rails and the foundation. With regard to the serviceability of the crane, maintaining the power supply should also

be considered.

Items specifying damage criteria are as fol- lows (refer to Fig. 10). For rails and foundation,

the items include rail span, rail winding (including

discontinuity), differential settlement (differential levels between the rails, differential levels, incli- nation and vertical discontinuity along a rail), displacements and stresses of rail foundation. For

a wheeled crane, the items include wheels (derailment), vehicles (detachment), clamps and an- chors (rupture), and displacements of the crane

(derailment, tilting, and overturning) and stresses

in the framework (stress levels, location of buckling, possibility of collapse).

Damage criteria should be established by

choosing and specifying appropriate items from

the items mentioned above considering perfor- mance requirements mentioned above. More

specifics are given in the next subsection.

(3) Damage criteria for the quaywall having

wheeled cranes

The damage criteria are established, as mentioned earlier, considering both serviceability and

structural damage to not only the quaywall but

also the crane and its foundation. The damage

criteria for the quaywall required with respect to the crane are discussed below. The criteria for the quaywall with respect to the crane foundation

should be separately established by referring to the damage criteria for both the crane and the

quaywall.

a) Damage criteria regarding structural damage

The criteria for a wheeled crane regarding

structural damage should be established by referring to Table 7. The most restrictive conditions

among displacements and stresses should be the

damage criteria. The displacements in Table 7 is applied for residual value while the stresses is defined for peak stresses during an earthquake.

The damage criteria for the quaywall having

wheeled cranes should be established by refer- ring to the following discussions.

The damage degree I of the quaywall should be

the displacements less than that to keep the foundation structure of the crane within a elastic

limit. For example, this limit corresponds to the widening of the leg span of one meter for a rigid

frame crane having a rail span of 30 m. There is no limit for the damage degree I for a one hinged

leg type.

The damage degree II of the quaywall should

be the level difference between the rails within

overturning limit for the crane as well as the dif- ferential settlements and tilting of the apron

within the same limit. In addition, a measure to increase the surface friction of the apron can in- crease the overturning limit of a derailed one

hinged leg crane or a crane having a plastic hinge

at a leg. The required friction coefficient is given

by

Ai^ 5h/H (1)

where }A : coefficient of friction dh : expansion of leg span (m)

H : height of the hinge from the apron (m)

(refer to Fig. 1 1)

b) Damage criteria regarding serviceability

The damage criteria for serviceability of a wheeled crane should be specified by referring to Table 8.

The upper limit for assuring the original serviceability of a wheeled crane is given by Table 9, which is used as guidelines for daily maintenance".

This limit can be used as the criteria for a very

important quaywall or a quaywall having a monolithic upper structure to support the crane rails. In

this case, this limit can be introduced as the damage degree 0. The performance grades should be

newly classified in accordance with this new damage degree.

As mentioned earlier, the overall damage criteria should be established based on both serviceability

and structural damage criteria established above.

6. Evaluation of Seismic Performance

88
As mentioned earlier, the seismic design considering structural performance is acoomplished

following the flowchart shown in Fig. 1. Thus,

after establishing the performance criteria refer- ring to the previous sections, the seismic perfor- mance of a designed cross section should be

evaluated and compared with the performance

criteria.

(1) Outline

Seismic performance is evaluated through

seismic analyses and/or model tests of a designed

structure for varying levels of earthquake motions.

The analyses and/or tests results in an extent of

damage defined as a function of an earthquake

motion level. This curve will be called a seismic

performance curve. Evaluation of seismic perfor- mance is accomplished by determining whether

the seismic performance curve is included in the area of the performance grade required in Fig. 2.

For example, if a designed structure has the

seismic performance curve "a" in Fig. 12, the curve is included in the area of performance grade

XA through Levels 1 and 2 earthquake motions.

Thus, this structural design assures the perfor- mance grade XA. If a designed structure has the seismic performance curve "b" in Fig. 12, however, the curve includes the portion to go through

the area of performance grade XB. Thus this structural design assures only the performance

grade XB.

(2) Initial design of a structure

The initial design of a structure to be evaluated

for its seismic performance can be accomplished

by any means, including the conventional pseudo

static approach and other innovative design ap- proaches. An efficient procedure to arrive at the

final design to satisfy the required performance

criteria need the initial design which closely ap- proximates the final design. The candidate for this may be given by the conventional pseudo static approach with appropriate measures against soil liquefacfion.

In the conventional pseudo static design, the importance factor of a structure is used to scale

the design seismic force. In the performance based

design, the importance of a structure is not re- flected in the levels of design earthquake motions

but is used in terms of a required performance

grade of the structure. A fundamental difference seems to exist between the conventional and per- formance based approaches. The apparent difference in these approaches is resolved by referring

to Fig. 13. In this figure, the levels of earthquake

motions which corresponds to the same extent of

damage correspond to the required performance

grades, suggesting the two approaches are basically consistent with each other.

7. Introducing Performance Based Design

The performance based approach discussed in the preceding sections specifies a comprehensive

seismic resistance against earthquakes. This ap- proach will be very useful for establishing enough

seismic resistance with a minimum cost. This

approach, however, is an emerging art based on

the recent earthquakes in 1990's. It is not practical

to introduce this approach to the seismic design of

all types of port structures. This approach should

be introduced step by step by beginning from the

structures of the highest importance such as those

with the special class in Table 2 This approach is particularly useful for designing the structures with the following conditions.

When a structure is located at the near field of an active seismic fault When a standard remediation measures

against liquefaction is difficult to apply.

When a structure is too complex to be designed by the conventional design approach.

When a structure is a new (i.e. unconventional) type.

If the performance based approach can not be

applied to, it is yet desirable to evaluate the seis- mic performance in an approximate way based on

the past case histories and the existing results of

the seismic response analysis. The following re- marks can be useful. Structures with the importance factor higher

than the Class B

By referring to the past case histories, it is desirable to avoid the types of structures which tended to collapse. Structures with the importance factor of the Class C

Effects on the surrounding of the structure should be evaluated in the event of the col- lapse of the structure.

In evaluating the seismic performance curve of

a structure, appropriate methods or methodologies

whose applicability were confirmed with respect

to the past case histories and/or model test results. These methods and methodologies will be described in the next chapter. They include simplified and sophisticated methods. The structures with higher importance should be evaluated with

sophisticated methods. For example, the structures

89
of the special class should be evaluated by effective stress analyses and/or mode! tests, and those

of the class A can be evaluated simplified methods

as well as effective stress analyses and model tests.

If the simplified methods are used, however, the

applicability of the methods should be confirmed

by using a representative design of structures based on the results of the effective stress analyses

an model tests.

References

1) Ministry of Transport (ed) : Technical Stan- dards for Port and Harbour Facilities in Japan,

Overseas Coastal Area Development Institute of Japan, 1991, pp.75

2) Uwabe, T. : Study on quantitative estimation

of seismic damage to gravity quaywall. Technical Note of the Port and Harbour Research

Institute, No. 548, 1986, pp.33 (in Japanese)

3) Inatomi, T. : Damage to port structures by the

1995 Hyogoken-Nambu earthquake. Technical Note of the Port and Harbour Research

Institute, No. 857, 1997, pp.237 and pp.563

(in Japanese)

4) Tanaka, S. et al, : Seismic damage and re- sponse of container cranes during the Great

Hanshin earthquake. Symposium on Great

Hanshin earthquake, Japan Society of Civil

Engineers, 1996, pp.4 13-420 (in Japanese)

5) Japan Cargo Handling Mechanization Association : Maintenance manual for container

cranes, 1996, pp.158 (in Japanese)

Table 1 Damage Criteria for Performance Based Design

Extent of DamageServiceability

(Amount of work

needed for temporary

restoration)

Structural Damage

(Amount of work

needed for full restoration) Degree 1 Full serviceability is maintained without temporary restoration, or with minor temporary restoration.

No damage, or minor damage

Degree II Full or partial serviceability is recoverable with temporary restoration.

Intermediate damage

Degree III Service is difficult to recover until full restoration.

Extensive damage

without collapse

Table 2 Importance of structure defined in the current Japanese design code

Importance

of Structure

Definition (Seismic effects on structures) Special Class Structures having more serious effects for (T)~~®than Class A structures.

Class A (£) Structures resulting in extensive loss of human lives and properties upon

seismic damage

(2) Key structures designed serviceable

for recovery from earthquake disaster

(?) Structures handling hazardous materials ® Structures, if disrupted, devastating

the economic and social activities of

the earthquake damage area

(5) Structures, if damaged, being difficult to restore. Class B Structures other than those of Special Class and Classes A & C. Class C Small easily restorable structures other than those of Special Class and Class A.

Table 3 Importance of structures and Performance Grades

Importance of Structure defined in the current Japanese design codePerformance Grade

for the PIANC seismic design

guidelines

Special Class XA(orXS)

Class A XB

Class B XC

90
Table 4 Damage Criteria for Gravity Quaywall regarding

Structural Damage

Extent of DamageDeformation Rate

^ ' Horiyontnl

displacement

H : Height of Gravity Wall

Tilting towards the sea

Degree I less than 3 7r less than 3 deg

Degree 11 3 - 10% 3 - 5deg

Degree ill larger than 10 % 5 - 8 deg

(or less than 90 %

of critical angle)

Table 5 Damage Criteria for Upper Limit of Degree I regarding Quaywall Serviceability

Main Body

of Quaywall

Settlement

Tilting towards the sea

Differential Horizontal Displacements

20 - 30 cm

2 - 3 deg 20 - 30 cm

Apron Differential Settlement on Apron

Differential Settlement behind Apron

Tilting towards the sea

3 - 10 cm

30 - 70 cm

2 - 3 deg

Table 6 Damage Criteria for Pile Supported Pier regarding

Structural Damage

(Criteria with respect to Stresses) (When pile cap should be the first to yield.)

Extent of Stresses in pile supported pier

Damage Deck Piles

pile cap main

body

pile top below

mudline

Degree 1 elastic elastic elastic elastic Degree IL Plastic

(less than allowable

ductility factor)

elastic elastic elastic

Degree III Plastic Plastic plastic plastic

(less than (less than (less than (less than allowable allowable allowable allowable

ductility ductility ductility ductility

factor) factor) factor) factor)

Table 7 Damage Criteria for Movable Crane regarding

Structural Damage

Extent of Damage

Displacement Stresses in Crane

gross dis- placement of

crane

upper

structure

supporting

structure

Degree I without derailment

elastic elastic

Degree II with derail- ment

elastic Plastic

(less than allowable ductility

factor) for main

framework. Damage to toe (including pull- out of vehicle,

fracture of an- chor/brakes) Degree III without

overturning

plastic

(less than allowable

ductility factor)

without collapse

Table 8 Damage criteria for crane regarding serviceability

Extent of Damage

Serviceability Level

Degree I Full serviceability is maintained with or without minor temporary restoration. Degree 11 Limited serviceability is restored with temporary restoration. (Limited serviceability does not include the

ability to move.)

Table 9 Damage criteria for upper limit of degree 0 (no

restoration needed) for crane serviceability

(Allowable limit for ordinary maintenance)

Items to be evaluated Allowable Limit

Rail Span L (L < 25 m)

(25 m ^L^40m)

±10 mm

± 15 mm

Level difference between sea and

land side rails L/1000

Curving in vertical direction Curving in horizontal direction

5 mm per 10 m

5 mm per 10 m

Inclination 1/500

Rail joint Differential Displacements

(vertical and horizontal) Gap

1mm

5mm

91
Design Earthquakes

(Levels 1 & 2)

1

Importance of Structure

Define Performance Criteria

Evaluate Seismic Performance

(Displacement/Stress)

Modify/Up-grade

Structural Design

& Liquefaction

Remediation

Measures

End of Seismic Design

Fig. 1 Flowchart for Performance Based Seismic Design

(a) On Firm Foundation

•: Loose Saturated Sandy Foundation^^l

(b) On Loose Saturated Sandy Foundation

Fig. 3 Deformation/Failure Mode of Gravity Quaywall

Extent of Damage

Importance

Higher

Settlement of Apron

Differential Settlement at Apron

Tilting

Horizontal Displacement

Settlement

Differential Displacement

Differential Settlement

' behind Caisson

Level 1 Level 2 Level of Earthquake Motion

Extent of Damage

I : No Damage or Minor Damage

IT : Service Recoverable with Temporary Disruption

in : Extensive Damage without Collapse

Fig. 2 Schematic Figure of Performance Grades XS

through XC

Fig. 4 Item to be evaluated for Gravity Quaywall

92
Differential Settlement (between Deck and Retaining Wall)

Fall of Bridge

Horizontal Displacement

Settlement

Tilting

, Differential Displacement

Items to be evaluated for Retaining Wall

Refer to those for Gravity/

Sheet Pile Quaywalls

(a) Deformation due to Inertia force at Deck

Pullout Displacement for Battered Piles

(a) For displacement performance criteria

Stress in Bridge

(b) Deformation due to Horizontal Force from Retaining Wall

Stress at Stress in Deck

Pile Cap ^ 1

Items to be evaluated for Retaining Wall

Refer to those for Gravity/

Sheet Pile Quaywalls

iPirm Foundation^

(c) Deformation due to displacement of loose subsoil

(b) For stress performance criteria

Fig. 6 Item to be evaluated for Pile Supported Pier

Fig. 5 Deformation/Failure Mode of Pile Supported Pier

93
. ©Yielding at Deck

©Yielding at i Pile Cap-^r:;:^^

©Yielding at Pile Top

©Yielding at Embedded Portion u y

Fig. 7 Acceptable Order of Yielding for Pile Supported Pier

/ 1 girder upper structure \brace

supporting structure seaside L leg

1

landside

leg

vehicle & rail

Fig. 8 Schematic figure of Movable Crane

(b) Narrowing Span between the Legs due to Rocking Motion

(a) Widening of Span between the Legs ^

Fig. 9 Deformation Mode of Movable Crane

(c) Tilting of Crane due to Differential Settiement of Foundation

Fig. 9 (Continued)

94
Overall DIsplacernents of Crane

(Derailment, Tilting, Overturning, etc.)

Stresses in Framework

Buckling Location

Local buckling and

Gross Stability

Vehicle (Derailment)

Vehicular Mechanism

(Pull-out) Anchor/Brakes( Fracture)

Foundation of Crane Rails

Rail Span

Rail Winding

Displacement and Stress

Differential Settlement

Difference in Land/Sea side

rail levels Up-down curvature of rails inclination of rail

Fig. 10 Items to be evaluated for Crane

(d) Overturning of One Hinged Leg Crane due to Rocking/Sliding

Fig. 9 (Continued)

Hinge

|

H

Fig, 1 1 Schematic figure for evaluating overturning of using

Eq. (1)

95
structure b

Structure a Extent of Damage

Level 1 Level 2 Level of Earthquake Motion

Examples of Seismic Performance

Structure a : Satisfy Performance Grade XA

Structure b : Satisfy Performance Grade XB

Fig. 1 2 Examples of Seismic Performance

Levels of Earthquake Motion

depending on Performance Grades

for Equal Damage Extent

Fig. 1 3 Levels of Earthquake Motion depending on

Performance Grades

96
Analysis of Sea-Floor Earthquake Data

by

Charles E. Smith' and David M. Boore^

ABSTRACT

The Minerals Management Service (MMS), in cooperation with several oil and gas companies,

installed a seismometer network on the ocean

floor in the Santa Barbara Channel off the coast of southern California. The program was called

SEMS, for the Seafloor Earthquake Measurement

System. The purpose of the program was to characterize the nature of the response of

earthquake ground motions for use in the design

and reassessment of offshore platforms used in petroleum drilling and production. The United

States Geological Survey (USGS) was given a

contract to provide seismological analysis of data

obtained from the SEMS program and compared

it to data from earthquakes measured onshore.

This paper provides an overview of the work by

the USGS on this initivative.

KEYWORDS: earthquake ground motions,

offshore platforms, seafloor seismic

measurements, seismological analyses, seismichazard uncertainties.

1. INTRODUCTION

A major effort was undertaken by both the

Goverrunent and the oil and gas industry to obtain records of earthquake seafloor motions for

the design of new platforms or in the reassess- ment of the integrity of existing offshore

facilities. The prime goal of the program was to obtain data that might help answer the question

of whether ground motions at offshore sites are

significantly different than those at onshore sites;

if this is true, then the decision of using onshore

motions as the basis for the seismic design or reassessment of offshore platforms should be

reevaluated. This paper provides an overview of

the more detailed analysis presented in Boore

' (1997), Boore and Smith (1998) and Boore

(1998) of earthquake data obtained from seafloor

seismic motions measured from the SEMS

program.

2. SHORT HISTORY OF SEMS.

To obtain creatable data on the response of the

seafloor to earthquake-induced ground shaking,

the Sandia National Laboratory was

commissioned, with funding by the MMS and

several major oil companies, to develop, deploy,

and recover data from instruments placed on the

seafloor. A complete history of the SEMS

program is contained in Reece, et. al (1991),

Steefe and Engi (1987), Smith (1991), and

Platzbecker (1997 ). A brief synopsis of the

SEMS project is provided as background for this paper.

The SEMS program was developed in a number

of stages beginning some 20 years ago. These are usually referred to as SEMS I, SEMS II, SEMS

III, and SEMS IV (in this paper standard

numbers are used rather than Roman numerals;

thus SEMS 1, SEMS 2, SEMS 3, and SEMS 4 or more briefly, SI, S2, S3 and S4). The programs were very unique in that all stages of the SEMS

project used digital reading of seafloor

accelerations. Data were analyzed from SI, S2,

and S4.

SEMSl: In 1978, a 3-axis accelerometer was

embedded several meters below the seafloor, and

the output from the accelerometer was fed to a

self-contained instrument package resting on

1 Research Program Manager, Minerals Management

Service, Hemdon, VA 20170

2 Senior Geophysicist, U. S. Geological Survey, Menlo

Park, CA 94025

97
the seafloor. This package digitized the input at a rate of 100 samples per sec and stored the data

onboard. Data recovery was via an acoustic

uplink to a ship deployed specifically for data

recovery. The SEMS was installed at several

offshore locations and at one onshore location.

Data were analyzed from the onshore location

(SIVC) and a nearby offshore location (SIHN)

near platform Henry in the Santa Barbara

channel (See table 1 for station information, and

table 2 for earthquake information).

SEMS2: In 1985, the system was redesigned to have a longer system life, and was deployed near platforms Elly and Ellen, off Long Beach. In other respects, the system was similar to that of

SEMS 1 (a triggered system with data storage in a

unit on the seafloor, using an acoustic uplink

from data retrieval). The notation "S2LB" was

used for this system. Data were analyzed for two

earthquakes occuring in 1986, the North Palm

Springs and the Oceanside earthquakes.

SEMS3: In 1989, the system was again

redesigned, using better batteries, electronics,

and triggering algorithm. The result was a

longer-life, more sensitive system with fewer

false triggers. A major improvement is in using

data from horizontal as well as the vertical

component in the triggering algorithm (the

SEMSl and SEMS2 units used only vertical

component, which, generally has anomalously

low amplitudes of motion). The system was

deployed at two locations, one near the SEMS2

package off Long Beach (S2LB), and another off

of Point Pedemales, near platform Irene (S2IR).

This latter site used a datalogger onboard the

platform, connected via a cable to the sensor, which was embedded in the seafloor. Apparently

the hole did not slump in, and this, combined

with cable drag due to strong currents, limited

the usefulness of this installation. The only data

from a SEMS3 unit used in this paper are that from the 1990 Upland earthquake recorded on

S3 LB (the recordings for this event, however, are very high quality and useful; they have a long

enough duration and a good enough signal-tonoise ratio to record late arriving long-period

surface waves.) Unfortunately, recordings of the

1992 Landers earthquake and aftershocks were

lost because the seafloor data acquisition system

had been dragged away, apparently by a fisherman's net. This is very unfortunate because

the earthquake was one of the largest to have

struck southern California since 1952. The longperiod motions of most concern to platform

design were very strong for that earthquake and,

as a result, they were well recorded on

conventional strong-motion instruments onshore,

thus providing an excellent set of onshore

motions against which to check the offshore

motions (this has been a problem with most of

the SEMS recordings: the earthquakes were far enough away and of low enough magnitude that conventional onshore strong-motion recorders

either did not trigger or did not record signals

that could yield reliable long-period information;

in constrast, the SEMS unit can faithfully record

these weak motions).

SEMS4: To address the problem of data

recovery from stand-alone sea-floor installations,

it was decided to deploy a new system in 1995,

SEMS4, using a commercial 24-bit datalogger on

a platform, with a cable connecting the sensors to the datalogger. The dataloggers also have a dial- up capability, making it possible to interrogate

the units remotely. The loggers are being run at 20 samples per sec. The sensors are force

balance accelerometers, almost flat to acceleration between 0.4 and 1500 Hz (the

response at 1 Hz is nominally down by 3 db

relative to the 100 Hz response); the low

frequency rolloffs starts at about 0.4 Hz. Three

systems have been deployed, near platforms

Eureks (S3EU), Grace (S4GR), and Irene (S4IR).

Records of earthquakes in 1995 and 1997,

recorded by S4GR and S4IR, are analyzed in this report. The SEMS4 instruments have been turned over to the California Strong-Motion Program of

the California Division of Mines and Geology,

who will operate the stations and collect and

disseminate the data. See figure 1 for the layout

of the SEMS4 instrument array.

98
3. ANALYSIS OF DATA

Because of the lack of onshore data for distances

comparable to those from the source to the

SEMS sites, the empirical interpretation of the

data focused on the ratio of response spectra for the vertical and horizontal components (V/H) as a function of period. Comparisons to the few

available ratios and to the ratios derived from

regression analysis of strong motion data clearly

show the offshore ground motions to have

anomalously low ratios for short-period response.

Some evidence is presented that the anomalous

V/H at shore periods is due to very low values

for the vertical component. The differences

between the average onshore and offshore ratios become smaller as the period increases, but still persist at periods as long as 2 sec. A preliminary

study suggests that the differences at the longer

periods are more a function of the average shear- wave velocities under the site than to whether the

site is offshore or onshore.

To augment the data, theoretical calculations were performed of wave propagation in earth

models simulating the offshore environment.

Comparisons of observed and theoretical V/H for fouier spectral amplitudes are in reasonable

agreement. The theoretical calculations show

that the water layer makes almost no difference

to the horizontal components of the motion,

although it does influence the vertical

components of the S-wave portion of the ground

motion at frequencies related to the depth of

water (around 6 Hz for depths of 60 to 70 M); the

effect is negligible for periods near the resonant

period of a platform (generally between 1.5 and

4.0 sees). This is not to say that the water is not an important factor, for it does allow relatively

low shear-wave velocities to exist over wide

regions. There are onshore locations with

comparably low velocities, but they are sometimes fairly restricted in spatial extent.

Because of limited recording duration for some

of the events, the study was restricted to ground

motions less than a 2-sec. period. Recordings for

one event, however, were of long enough

duration to capture clear long-period (near 6 sec),

large amplitude waves, probably surface waves

traveling through the Los Angeles basin. A

choice of an upper limit of a 2 sec period

effectively eliminates these surface waves from

our analysis.

4. SUMMARY OF ACCELEROGRAMS USED

The data used in this report included the largest events recorded on the SEMS units. The stations

from which data were obtained are listed in table

1, which contains a short summary of basic

information for each station; geotechnical

information, and estimates of shear-wave

velocity for the sites are discussed in a later section. The earthquakes used are summarized in table 2, and table 3, containing event-to-station

distances, and is a convenient summary of which

station recorded which earthquakes. Tables

containing more details about events and stations are contained in Boore ( 1 997). A map showing

the locations of the recording stations and earth- quakes is given in -igure 2.

With one exception, each earthquake was

recorded on only one of the offshore SEMS

stations. The exception is the first Simi Valley,

1997 aftershock of the 1994 Northridge

earthquake. This event was recorded on two

SEMS4 stations: S4GR and S4IR. The lack of

multiple offshore recordings for a given event

limits, to an extent, the interpretation of the data. A more important limitation than the lack of

multiple offshore recordings is the relative

scarcity of onshore data at sites near the offshore

sites (by near, we mean along the same general

azimuth from the earthquake to the SEMS site, and at distances as close to the SEMS site as the

coastal configuration allows; for the earthquakes

listed in table 3, there are generally numerous

recordings of ground motions but at epicentral

distances much smaller than the epicentral

distances to the SEMS stations). As tables 2 and

3 show, most of the SEMS records were obtained

99
from moderate-size earthquakes at distances in excess of 70 km. The standard analog, onshore

accelerographs do not have the sensitivity to provide digitizable data at these distances for the

earthquakes recorded on the SEMS sites. The

only earthquake for which we were able to obtain

onshore and offshore data is the Santa Barbara

Island 1981 earthquake, which was recorded on

three onshore stations, one of which was a SEMS

unit installed onshore near the Vic Trace

Reservoir. The other two recordings, SC38 and

SC51, were obtained on standard analog

accelerometers maintained by the University of

Southern California (USC).

Several sites recorded different earthquakes, thus

allowing a check on the stability of the ratio of

motions for the vertical and horizontal

components. These sites include S2EE, with

two recordings, S4GR, with three recordings, and

S4IR, with two recordings. In addition, sites S2EE and S3EE were close to one another, so if counted as one site, three recordings are available

for these sites.

5. V/H-OBSERVATIONS

Visually, the accelerograms recorded on the

SEMS units look much like those from onshore

sites. As an example, figure 3a shows the three

components of motion for the 1990 Upland

earthquake; because the units have pre-event

buffers, the initial P-wave motion has been

captured (unlike the records from analog

accelerographs), and the P-wave is followed by a

clear S arrival, which is followed by a slowly

decaying coda or tail. The vertical component is small relative to horizontal components, but it is possible to fmd onshore records with comparable

relations between the components.

The acceleration, velocity, and displacement time

series for the 1990 Upland SEMS recording are

also shown in figure 3. The acceleration traces are largest near the beginning of the record, and

they decay to small motions at the time of arrival

of the large amplitude long-period waves. The

outstanding features of these figures are the late arriving, long-period (= 6 sec) motions on all three components. These motions are not unexpected, for the travel path (Figure 2) traverses the Los Angeles basin, and the waves

resemble the surface waves that have been

observed to propagate in the basin. In seismological terms, the peak accelerations are probably carried by body waves, while the longperiod arrivals are surface waves.

The main goal of the SEMS program was to study the similarties and differences of ground

motions on the seafloor to those onshore.

Because the earthquakes recorded at the SEMS

sites were generally not recorded at nearby

onshore sites, it is difficult to make a direct

assessment of the agreement between onshore

and offshore motions; ground motions depend on many variables, such as earthquake size and type

of faulting, distance from the source, propagation

path, and local site geology, and a comparison of

only a few recordings is worthless unless

adequate corrections can be made to remove

these influences on the amplitudes of the

motions. The ratio of vertical to horizontqal

motions (V/H), however, might be expected to remove all but the effect of local geology, at least to first order. By comparing ratios, it would then

be possible to compare a few onshore and

offshore recordings to see if they were

comparable or not. This technique was

performed in the study. The study also compared

the ratios from offshore recordings with those

predicted from regression analyses based on

hundreds of onshore recordings from many

earthquakes; this provides a measure of

comparison that represents the average ratio for a

typical site and earthquake of a specified

magnitude and distance. In addition, the study

compared the average V/H for offshore SEMS

sites to the V/H from a few onshore recordings

for which the shear-wave velocities beneath the

recording sites are similar to the velocities we

estimate to exist beneath the SEMS offshore

sites.

100
Several events were recorded at the same station

(table 3). It is interesting to compare V/H for

the multiple earthquakes at a given site to assess

the stability of the ratio. Similar ratios for different events might suggest that the ratio is strongly controlled by local site conditions,

particularly if the events are different magnitude

and have different travel paths to the site. Figures 4 and 5 show such comparisons for

fourier amplitude spectra and response spectra.

We have treated S2EE and S3EE as one site. In these figures, the geometric average of the two

horizontal components has been used for the

denominator. There is a general trend for the

ratios to increase with period, and there is more

scatter at short periods than at long periods. The

first impression is that there is considerable

scatter in the ratios, particularly at short periods.

Careful inspection of the figures, however, shows

that generally the ratios of V/H from different

earthquakes recorded at individual sites are

similar to one another; the large scatter is primarily due to site-to-site variations in the ratio (in particular, compare the S2EE and S3EE to S4IR).

The results are first presented from recordings of

the 1981 Santa Barbara Island earthquake, which was recorded on an offshore station and several

onshore stations. The ratios of 5 percent

damped response spectra are shown in figure 6, in which it is clear that the offshore recording

(SIHN) has a much different V/H than for the

onshore recordings. The difference is largest at short periods and tends to decrease at long

periods. The regression-based ratios are in much better agreement with the onshore ratios

than with the offshore ratio. It was judged that with the possible exception of SC38, the onshore

sites are underlain by materials with higher

shear-wave velocities than the offshore site (SC38 is described to be on dune sand in Anderson et al. , 1981, whereas SIVC and SC51

are on marine terrace deposits), and, therefore, one would expect the spectral ratios for the

onshore sites to be more similar to the ratios

from regression-based results than for the

offshore site.

A comparison between the regression-based

onshore results and the average of the SEMS

offshore results is shown in figure 7. For the sake of clarity, the offshore ratios have been

combined into a single average, in spite of the

site-to-site differences demonstrated earlier; this will make no difference in the overall

comparison of observed offshore and onshore

V/H ratios. The distance at which the AS97

relations were evaluated was 120 km, which is close to the geometric mean distance of 1 13 km

for the events used in forming the ratio. The

regression-based results for C97 were evaluated

at the greatest distance-60 km-for which two

equations are valid. Also included in the

comparison in figure 7 are results from analyses

of specific earthquakes (Loma Prieta 1989 and

Northridge 1994), as well as results from the

SMARTl array in Taiwan. In general, the

onshore results are above the SEMS offshore

results, and the difference is largest at short

periods.

The large difference between average onshore

sites and the SEMS offshore recordings at short

periods is consistent with the fundings of Sleefe

(1990), who made scatter plots of peak

accelerations, with horizontal components on one

axis and vertical components on the other. Using differenet symbols for offshore and

onshore recordings, he clearly found two

populations separated in the same sense as we

found for response spectra. In addition. Smith

( 1 990) found that V/H for peak acceleration and

peak velocity from offshore sites was smaller

than for onshore sites, again in qualitative

agreement with the findings from the spectral

ratios.

6. PEAK MOTIONS AS A FUNCTION OF

DISTANCE

The previous figures show a clear difference in V/H at short periods between the offshore and

onshore recordings. Is this due to onshore vs.

101
offshore differences in the vertical or the

horizontal components, or both? To answer this question, figure 8 is plotted of the response

spectral amplitudes for a few selected periods as a function of distance from the earthquake. Only

the 1981 Santa Barbara Island data was considered since both onshore and offshore data are

available. For comparison, the regression-based

results of AS97 and C97 were included in the

figure. From these plots, it is clear that the

offshore vertical component is always smaller

than the SEMS and USC onshore vertical

components (after accounting for the attenuation

with distance); the difference is greatest at shore

periods. The same is not always true for the

horizontal components. This comparison is strong evidence that the very low values of V/H

at short periods are due to small values of V,

rather than large values of H. A similar

conclusion was drawn by Smith (1994), who

plotted peak accelerations against distance for vertical and horizontal components (see figure

9).

7. RESULTS OF THEORETICAL ANALYSIS

The program HSPEC96 by R. Herrmann was

used to do the theoretical modeling. This

versatile program uses wave-number integration

to compute the complete wavefield in an earth

represented by a stack of laterally-uniform, constant-velocity layers. Our procedure was to generate synthetic seismograms for a specified

type of faulting for the earth model of interest,

and then to treat the synthetic seismogram as we

would an observed seismogram. In most cases, the Fourier amplitude spectrum was computed of

the S-wave portion of the seismogram, although

in a few cases the P-wave portion was studied.

The focal depth used in the model was 10km.

The surface waves resulting from this depth will not be as energetic as the basin waves, which are probably generated by conversion of body waves

at basin edges. For this reason, it is not claimed

that the theoretical modeling includes basin waves. This is consistent with the possible lack

of basin waves in the V/H ratios computed from

the data (because of the limited duration for some of the SEMS recordings or the presence of

noise at long periods).

Comparison of observed and theoretical spectral

ratios in figure 1 0 shows the observed and

theoretical V/H ratios of Fourier amplitude

spectra. The observed ratios are for the

individual SEMS offshore sites, and the

theoretical ratios are geometric averages for a range of focal mechanisms. Although they are somewhat model dependent, the theoretical ratios match the overall trend of V/H decreasing with

frequency, although they do not predict the

precise behavior of the observed ratio at frequencies above about 4 Hz. The ratios at these frequencies are apparently sensitive to

details of the site that we are not including in the

model. The overall reduction is probably due to refraction of the S-wave toward the vertical, with

a resulting decrease in the V/H ratio.

8. CONCLUSIONS

The Seafloor Earthquake Measuring System

(SEMS) is a multiphase instrumentation effort that has been in existence for almost 2 decades.

The SEMS stations are excellent instniments and

have produced high-quality data for a number of

events. However, few data are available from

which direct comparisons can be made of

onshore and offshore motions from the same

earthquake recorded at similar distances and for similar site conditions. For this reason, the

analysis of the SEMS data has had to use a combination of somewhat indirect observational

studies and theoretical calculatipns to answer the

ftindamental question: Are earthquake ground

motions at the seafloor so different from onshore

motions that the more numerous onshore

recordings caimot be used for platform design?

The answer to the ftindamental question is "It depends." It de[>ends on the component of

motion and the frequency of ground shaking.

The ratio of vertical-to-horizontal motions (V/H)

is clearly much smaller than for onshore

102
recordings at relatively high frequencies (above

about 3 Hz). Studies of the vertical and

horizontal motions separately suggest that the

anomaly lies with the vertical motions.

Theoretical studies show that the reduction of

vertical motions can be produced by interactions

of S-waves in the solid materials below the

seafloor and P-waves in the water layer. These

interactions are most important at the resonant

frequencies of vertically propagating acoustic waves in the water layer. A reduced vertical

component can also be produced by refraction of

an incoming wave toward the vertical, such as

will occur for shear-wave velocities that decrease

towards the Earth's surface. V/H computed

from a few onshore sites with shear-wave

velocity versus depth similar to that estimated to be beneath the SEMS offshore stations are much

different at high frequencies than the ratios from

the SEMS stations, suggesting that simple

up - ard-refraction plays a small role in the

dif erence between onshore and offshore motions

ai ; .e higher frequencies.

Thv water layer indirectly influences motions by

allowing low-velocity sediments to exist over a widespread area, and by increasing the pore

pre. sure in the sediments, which will reduce the

velocity in sands and silts.

As noted before, it is easy to get caught up in the

complexities at high frequencies, which reflect the water layer as well as local shear-wave

velocities. Although some parts of offshore

platform systems are sensitive to high-frequency,

vertical component waves (e.g., Smith, 1994,

Brady, 1993), the motions are mudline motions

and are far from the horizontal resonance

frequencies of most offshore platforms. More

importantly, for design and analysis of platforms,

may be periods of motion longer than 1 second.

Particularly useful recordings for the study of

long-period motions were made at a SEMS site offshore Long Beach. Comparisons of response

spectra obtained from the SEMS instruments

with onshore empirical and theoretical

calculations, as well as time-domain comparisons

with onshore waves that have traveled through

the Los Angeles basin, suggest that the seafloor

motions at the SEMS site are significantly

influenced by late arriving, large amplitude

- surface waves ("basin waves") at long periods.

These waves may be niore important for platform

analysis and design than the higher frequency waves that are influenced by the water layer. In

this sense, the travel path may be more important

than the local site conditions.

9. REFERENCES

Boore, D.M. ( 1 997). Analysis ofEarthquake

Recordings Obtainedfrom the Seafloor

Earthquake Measurement System (SEMS)

Instruments Deployed off the Coast ofSouthern

California, U. S. Geol. Surv. Open-File Rept. 97-

733, 242 p.

Boore, D. M. (1998). Basin Waves on A SeaFloor Recording Near Long Beach, California

from the 1990 Upland Earthquake: Implications

for Ground Motionsfrom a Larger Earthquake: Bull. Seism. Soc. Am. (submitted for

publication).

Boore, D. M. and Smith, C. E. (1998). Analysis

ofEarthquake Recordings Obtainedfrom the

Seafloor: Earthquake Measurement (SEMS)

Instrument Deployed offthe Coast ofSouthern

California, Bull. Seism. Soc. AM 89 (submitted

for publications).

Brady, A. G. ( 1 993). Offshore Strong Ground

Motion and Onshore Surrogates, Proceedings,

International Workshop on Wind and Earthquake

Engineering for Offshore and Coastal Facilities,

Yokosuka, Japan, May 12-14.

Reece, E. W., D. E. Ryerson, and R. L. McNeill

(1981). Long-Term Measurements ofGroimd

Motions Offshore, International Conference. On

Recent Advances in Geotechnical Earthquake

103
Engineering and Soil Dynamics, St. Louis,

Missouri, April 26-May 3, 1981, Vol I, 377-380.

Steefe, G. E. ( 1 990). The long-Term

Measurement ofStrong-Motion Earthquakes

Offshore Southern California, Proceedings

Offshore Technology Conference OTC 6336,

561-568.

Sleefe, G. E. and D. Engi (1987). Seafloor

Responsefor two Southern California

Earthquakes, Proceedings 1987 Spring Conf On

Exper. Mech., Houston, Texas, June 14-19, 1987,

and Sandia report SAND86-2441C.

Smith, C. E. (1990). Seismic Design

Considerations for Offshore Oil and Gas

Structures, Proceedings 21" Joint Meeting ofthe

U.S. - Japan Cooperative Program in Natural

Resources: Panel on Wind and Seismic Effects,

NIST SP 776.

Smith, C. E. ( 1 99 1 ). Seafloor Seismic Network

Offshore Southern California, Proceedings 23"* Joint Meeting of the U. S. - Japan Cooperative

Program in Natural Resources: Panel on Wind

and Seismic Effects.

Smith, C. E. (1994). Dynamic Response of

Offshore Steel-Jacket Platforms Subject to Measured Seafloor Seismic Ground Motions,

D. Sc. thesis. Graduate School of Engineering

and Applied Science, George Washington

University, 323 pp.

Ehasz, J. P., Franco, R. J., and Platzbecker, M. R.

( 1 997). Seafloor Earthquake Measurement

System - SEMS4, Sandia National Laboratories,

SAND97 - 1630, Albuquarque, New Nexico,

70pp.

104
Table 1. Station Information (see Tabte 2 in Boore, 1997, for notes)

Code L«t Long UaterOepth(m) Nearest Platform

SIHM 34.3367 •119.5600 50 Henry

S1VC 34.4033 -119.7150 onshore located at Vic Trace Reservoir

SC38 33.8233 -118.3567 onshore

SCSI 34.0233 •118.7867 onshore

S2EE 33.5867 •118.1233 73 Elly/Ellen

S3EE 33.5700 -118.1300 64 Elly/Ellen

S3IR 34.6117 •120.7317 76 Irene

S4EU 33.5617 •118.1167 217 Eureka

S4GR 34.1800 •119.4700 99 Grace

S4IR 54.6117 •120.7300 76 Irene

CM 33.6400 -117.9300 onshore located in Costa Mesa

PV 33.8017 •118.3867 onshore located in Palos Verdes

Table 2. Earthquake information (see Table 4 in Boore, 1997,

for notes and references)

EqlD E<^aine yy/nw/dd hh:mm EpcntrLat EpcntrLong M

S881 Santa Barbara Island 81/09/04 15:50 33.66 -119.10 5.95

NP86 North Pain Springs 86/07/08 09:20 34.00 •116.61 6.10

0$86 Oceans ide 86/07/13 13:47 32.97 -117.87 5.84

UP90 Upland 90/02/28 23:43 34.14 -117.70 5.63

RC95 Ridgecrest 95/09/20 23:27 35.76 •117.64 5.56

CL97 Calico 97/03/18 15:24 34.97 •116.82 4.85

S97A Siai Valley 97/04/26 10:37 34.37 -118.67 4.81

S97B Sini Valley 97/04/27 11:09 34.38 •118.64 4.72

SF71 San Fernando 71/02/09 14:01 34.40 •118.39 6.6

Table 3. Epicentral distances, in km, between ear th<^ke$ used

in this report and stations recording the earth<^kes. SF71 is the San Fernando earthquake; while not recorded on • SEMS vx>it,

the onshore records are used in • coirparison with offshore

records from other earthc^iakes.

sta SB81 NP86 0S86 UP90 RC95 CL97 S97A S97B SF71

SIHN 86.0

S1VC 99.9

SC38 71.1

SC51 49.4

S2EE 147.5 72.5

SSEE 74.4

S3IR

S4EU

S4GR

S4IR

CM

PV

258.1 76.7 79.3

309.1 191.2

94.6

66.4

105
Figure I. Location of the SEMS FV installation showing areas of measurement of equal

magnitude earthquakes.

106
-121* -120* -119* -118* -117*

Longitude

Figure 2. Map of southern California, Lines connect events (open circles) and stations

(pluses) providing data for the corresponding event. The dashed lines show paths for two

recordings of the 1971 San Fernando earthquake; these paths cross the Los Angeles basin, as does the path from the Upland 1990 earthquake to SEMS site S3EE. Waveforms of

these two events are compared in this report. Although pro\iding no data, station S4EU

is shown for completeness.

107
O

E

c

CO

Q)

CDO

CC

30

-20

30

-20

30

-20

28

a) 1990 Upland. S3EE (M=5.6,D=74 km)

horizontal (x)

-20

1.8

-1.8 1.00

-0.95

horizontal (y)

vertical

_L _L

13

•14

1.6

-1.6 0.80

-0.97

horizontal (x)

acceleration (cm/s^) i

20 40 60 80 100 0 20 40 60 80 100

^) 1 horizontal (y)

Ti acceleration (cm/s^)

velocity (crn/s) ' '| ' 1

-—-'Avy^/yl

displacennent I.I.I (cm) y \

1 1 1

3.5

-3.5

-0.52

-028

1 vertical

1 1 acceleration (cm/s^)

velocity {cm/s

displacement (cm) I.I.I. 1 0 20 40 60 80 100 0 20 40 60 80 100

time (sec) time (sec)

Figure 3. a): Three-component accelerograms, in cm/sec^, of the Upland 1990

earthquake recorded at SEMS station S3EE, plotted using the same vertical scale to

emphasize the relative amplitude of the components. The time series are similax to those

recorded onshore, with a clear p>ortion of strong S-wave arrivals following the initial Pwaves. Two interesting characteristics are the small amplitude of the vertical motion

relative to the horizontal motions aind the long-period energy arriving after the portion of

strongest ground acceleration, b), c), and d): acceleration {cm/sec?), velocity {cm/sec),

and displacement (cm) time series for the three components of the S3EE recording of

the 1990 Upland earthquake, plotted using different vertical scales, to emphasize the

appearance of the waveforms. Note the dominance of late arriving 5 to 6 sec waves on the

displacement trace, something not emphasized in the accelerogram.

108
SEMS OBS Recordings

Frequency (Hz)

Figure 4. Comparison of V/H ratios of Fourier amplitude spectra for the offshore

SEMS recordings through 1990. For clarity, the line type was used for all recordings at a

given site, to emphasize the site-to-site variation of the ratios. The ratios for the various

recordings at a given site are similar, and all of the ratios are very similar at low frequencies

ajid show considerable divergence at high frequencies. Spectral ratios were computed after

smoothing each component with a triangular operator spanning 2 Hz.

109
0.1 0.2 0.3 1 2

Period (sec)

Figure 5. Comparison of V/H ratios of 5%-damf>ed resi>onse spectra for recordings

at all of the offshore SEMS sites considered in this report. In view of the widespread

distribution of the stations, the ratios are remarkably similar, particularly for the longer

p>€riods. Theoretical calculations suggest that the spread in the ratios at short periods

may be due to site-to-site variations in water depth and neax-surface geological properties.

110
1 -

0.2-

0.1 -

offshore

Offshore: SB81 O SIHN: M=6.0. D=86 km

Onshore: SB81 C S1VC: M=6.0. D=100 km

Onshore: SB81 O SC38: M=6.0. 0=^71 km

Onshore: SB81 C SCSI: M=6.0. D=49 km

Onshore: AS97 regression, M=:6.0, O « 80 km

Onshore: C97 regression, M x 6.0, SS, D « 60 km

"T I I (II

Period (sec)

0.1 0.2 2

Figure 6. V/H ratios of 5%-daLmped resp>ons€ spectra for ofTshore and onshore

recordings of the 1981 Santa. Barbara Island earthquake, compeared with the regression

results of Abrahamson and SUva (1997) (XS97) and Campbell (1997) (C97). The ratio

for the ofTshore site (SlHN) is much lower at short periods than are the ratios from the

onshore sites.

Ill
0.3

0.2

0.1 -

^^^^ '^N

•v^-^V?,^- 1

Y s><i>

0.3

0.2

O geom«tric average 96% c.l. Bo2<X9niaandNia2i(l993).LP89.0«40km

Bozofgniaaial. (1»4).NR94.0«40l5m

Niazi&Bo2orgnia(l992). SMARTl.D»50km

At>aham$oo4Sitva,U«5.0. 0»120»OT —— Abrahamson and Sitva, Mx6.0, 0«120kni

C*rTvbet97. MxS.0. 0«-«0 ton

• . . > . Campb«>97, M * 6 0, 0 * 60 ton

-0.1

I I I 0.1 0.2 0.3

Period (sec)

Figure 7. Observed offshore VjH ratios of 5%-damped response spectra (open circles)

compared with onshore ratios from regression analyses. The results for the Loma Prieta and

Northridge earthquakes are indicated in the legend by "LPSQ" and "NR94'', respectively.

The Bozorgnia ti oX. (1994) results for the Northridge earthquake differ slightly from those

in the final pubUshed study (Bozorgnia ti a/., 1995).

112
0.1

10

I I I T( 1 %

o

% 1.0

>

CO

0.

0.1

Horizontal: T = 0.2 sec, M=5.95

Offs^wre (SIHN)

Onshon (S1VC. SC38. SCSI)

Abrahamson & SiJva (1997)

Campben(l997)

I I I I I I—I—

p

20 30 40 50 100

Dist (km)

20020 30 40 50 100

Dist (km)

200

Figure 8. 5%-damped pseudo-velocity response spectra for 0.2 and 1.0 sec oscillator

periods as a function of epicentral distance for the 1981 Santa Barbara Island earthquake,

compared with predictions from regression analyses. The different symbols differentiate

between the offshore and onshore recordings of the earthquake. Note that for the vertical

component (top two pyanels), the sp>€ctra from the offshore recording is much lower than

the onshore spectra^ whereas for the horizontal components (bottom panels), the onshore

and offshore spectra are comparable.

113
O CKM -I . 1 . . 1 I I I I .1 0 to 20 30 40 SO eO 70 «3 90 100 110 EpicGntra/ distanco (mif&s)

Figure 9. Epicentral distance verus peak ground accelerations

114
10'

SEMS OBS Recordings and Theory

6

2

o

0)

Q.

C/)

3

&

o

o

(0

10'^

10*

0.2

* I ... I —Geo<T^«tnc average of ratios at a givers station S1HN

S2ee4S3EE

S4GR

S4IR

Theory: model 1

I II 1 1 1 1 •• I Theory: model 2

2

Frequency (Hz)

10^

: 10"'

10 20

10*

Figure 10. V/H ratios of Fourier MnpUtude spectra of the S-wave portion of offshore

recordings, compared to theoretical predictions.

115
Effect of Reservoir-Subbottom Energy Absorption on Hydrodynamic Forces on Dams

by

Robert L. Hall*, Luis de Bejar*, Keith j. Sjostrom* and Enrique E. Matheu*

ABSTRACT

This paper will summarize the recent experimental programs conducted in the U.S.

and China to measure the reservoir-bottom

reflection coefficient, a. Theoretical studies will

also be presented demonstrating the impacts of

the subbottom absorption on the hydrodynamic

loads on the upstream face of a concrete dam.

The seismic evaluation of the Folsom Dam will

be used to demonstrate the impact of including

the effect of reservoir bottom absorption on the

stresses of a concrete gravity dam.

1. BACKGROUND

The interaction between the dam, the reservoir

subbottom, and the reservoir significantly

affects the structural stresses in concrete dams

when subjected to strong earthquake ground

motions. (Hall and Chopra 1980; Fenves and

Chopra 1984; Lofti, Roesset, and Tassoulas

1987). The hydrodynamic pressure waves

impinging on the reservoir subbottom are

partially reflected back into the reservoir and

partially absorbed by the reservoir-bottom

materials. The absorption of the pressure wave

reduces the hydrodynamic pressures on the

upstream face of the dam. The absorption of the

pressure wave into the materials on the bottom

of the reservoir is modeled by a reflection

coefficient known as "a." Approximate

analytical studies including the effects of this complex interaction demonstrate that the

structural responses of concrete dams are strongly sensitive to the amount of energy

absorbed by the reservoir bottom materials

(Fenves and Chopra 1984; Fok, Hall, and

Chopra 1986; Hall, Woodson and Nau 1987;

Duron and Hall 1988).

Refraction and reflection procedures have been

used to characterize material on the reservoir

bottom (Ghanaat, et al. 1993; Ghanaat and

Redpath 1995). These procedures were used at seven concrete dam sites in the United States and at the Dongjiang Dam, China. A seismic

blasting cap was used to generate a hydrodynamic pressure wave for these

experiments, and provided the first step toward

determining average values to be used for current numerical procedures for modeling the

reservoir-bottom absorption.

A more comprehensive waterbome seismic

reflection investigation was performed at Pine

Flat Lake, California. The objective of the

geophysical investigation was to delineate the

geologic stratigraphy and provide acoustic

impedance versus depth plots to depths of 30 to 60 meters below the bottom surface upstream of

the Pine Flat Dam. The results are intended to be used as input toward the development of

seismic modeling algorithms of the Pine Flat

Dam and reservoir. The study is also

conducted, in part, to compare with the

reflection coefficient value computed for the

bottom sediments determined from a previous

investigation (see Ghanaat and Redpath 1995)

using a blasting cap for the generation of a pressure wave.

The current numerical procedures model the

reservoir-bottom absorption as a boundary

condition, approximating the reservoirsubbottom interaction by a one-dimensional (1-

D) wave propagation model with a single

parameter, the reflection coefficient, a (Hall

and Fenves 1980). This procedure has been

implemented into the two-dimensional (2-D)

* U.S. Army Engineer Waterways Experiment Station, Vicksburg, MS

116
code, EAGD (Fenves and Chopra 1984), for concrete gravity dams and into a threedimensional (3-D) code, EACD, for arch dams

(Fok, Hall, and Chopra 1986). Numerical

procedures such as the Boundary Element

Method (de Bejar 1996) can be used to model

the reservoir-subbottom interaction, accounting

for the spatial variation of material properties.

Further, models will need to be developed to accurately reproduce the measured response of

an actual concrete dam-reservoir-foundation

system.

2. MEASUREMENTS

Acoustic subbottom reflections are produced

when a source of acoustic energy is deployed

just below the water surface and fired. In a homogeneous medium, the acoustic waves

extend uniformly in all directions from the source in which the advancing wavefronts are spherical surfaces centered at the source and

normal to the direction of propagation. When

the acoustic energy arrives at a boundary

between two materials of differing density and

elastic velocity, part of the energy will be

reflected back towards the surface and part

transmitted downward into the medium below.

Portions of the transmitted energy will also

undergo absorption or attenuation in the

material while the wavefront propagates through

to the next stratigraphic boundary.

The amplitudes of the incident, reflected, and

transmitted wave energies vary with respect to the density and velocity of the materials through

which the wave energy is propagating. The

ratio between the amplitudes of incident and

reflected wave energy is called the reflection

coefficient (a) and is defined as:

a = ^

Ai

where and ^/ are the amplitudes of the

reflected and incident wave energy, respectively

(Telford, et al. 1976). Reflected wave energies

are detected using hydrophones or piezoelectric

transducers which convert changes in water

pressure caused by the acoustic wavefronts into

electrical impulses. The electrical signals are amplified, filtered, and recorded using a shallow

seismic, digital data acquisition system.

Two independent geophysical techniques for determining a in-situ were used at seven

concrete dam sites in the United States and at the Dongjiang Dam, China (Fig 1). The seismic

reflection technique measures the incident and

reflected shock waves generated by a blasting

cap on the reservoir bottom. The seismic

refraction technique measures the propagation

velocity of the pressure wave in the subbottom

materials by measuring the refracted waves and

then computing the ratio of the acoustic

impedances of the material. The refraction

experiments were based on a technique

developed by Hunter and PuUan (1990).

Blasting caps serve as the source for the

generation of a pressure wave for both types of

experiments. The a value is computed from the

ratio of the acoustic impedances of the

reservoir-bottom material and the water in the

reservoir (Ghanaat and Redpath 1995).

At the Dongjiang Dam, the reflection

experiments were conducted above a submerged

concrete cofferdam. The location of the

cofferdam was determined during the

processing of the experimental data when

construction drawing became available.

Analyses of the reflection experiments resulted

in a completed a value of 0.63 for the reservoirbottom sediments. This value was affected by

the cofferdam. The results from the seismic

refraction testing determined a to be 0.40 for the reservoir-bottom sediments and 0.80 for the

granite rock (Ghanaat et al. 1993).

At the seven U.S. dam sites, the values of a for

the reservoir-subbottom material varied over a range from -0.55 to 0.66. Pine Flat, Hoover,

and Folsom had negative a values. The negative

values are the result of the wave propagation

velocity through the reservoir-bottom material

being less than the propagation velocity through

water. This can occur when the density of the

material is less than that of water. This leads to

117
the conclusion that the reservoir-bottom

material may contain decaying organic material

which is producing gases in the material. Glen

Canyon had a low a values of 0.15. Monticello,

Morrow Point, and Crystal had a values greater

than 0.66. This study concluded that conducting

both refraction and reflection experiments is essential for determining a (Ghanaat and

Redpath 1995).

A waterborne seismic reflection investigation was also performed in Pine Flat Lake. This

study concentrated in the narrow neck of the

reservoir upstream of the dam structure. The

survey was conducted aboard the WES

Research Vessel (R/V) Waterways Explorer

with acoustic energy generated by two highresolution subbottom profiling systems. The

first system was operated at a frequency of 3.5 and 7.0 kHz and is typically called a 'pinger'

because of the audible noise it makes during

operation. The second system is a lower

frequency 'boomer' system and hydrophone

which has an output frequency range of 0.5 to 2.0 kHz to interrogate the subbottom sediment

structure. The higher operating frequency of the

'pinger' system allows greater resolution of the

bottom and subbottom stratigraphy than the

'boomer' or air gun systems but shallower

depths of energy penetration depending on the

characteristics of the subbottom material.

The pinger system consisted of a Datasonics

SBP-5000 subbottom profiling system. The

SBP-5000 transmitters were mounted within a towfish rigidly attached to a telescoping arm

and deployed through the front deck of the

Waterways Explorer. The system allows the

transmission of variable-length acoustic pulses

(0.2 - 3 msec) over frequency ranges of 3.5, 7.0,

10.0 kHz. The transducers of both the source and receiver were positioned 3 feet below the

water surface during data collection. For the

Pine Flat Lake study, the length of the pinger

pulse width at frequencies of 3.5 and 7.0 kHz

was set at 0.2 msec and is typically able to resolve stratigraphic layers having thicknesses

greater than or equal to 0.6 meters. A total trace length of 700 samples were digitally acquired

every 42 )usec which corresponds to a sampling

rate of 16 samples/|^sec. This sampling rate provides an effective depth of subsurface

exploration of approximately 4.5 to 12.4 meters

below the bottom surface, depending on the

bottom and subbottom sediment characteristics.

The electro-mechanical source of the boomer

system is mounted on a sled and, along with the

hydrophone array, towed approximately 21.3

meters behind the R/V during the investigation.

The EG&G Models 23 1 and 232 sources were

operated in the frequency range of 0.5 to 2.0

kHz at an energy level of 300 joules. The

length of the boomer pulse width at the central

frequency of 1 .2 kHz is typically able to resolve

lithologic layers having thicknesses greater than

L5 meters. Under typical surveying conditions,

a total seismic trace length of 700 samples were

collected every 88 fisec (sampling rate = 8

samples/|isec), resulting in exploration depths in excess of 30 meters below the bottom surface.

These detailed studies confirmed the existence

of negative values of a as reported by Ghanaat

and Redpath in their studies. This study also

provided the spacial variation of the reservoirbottom materials, as well as the depth, of

different subbottom material layers. As detailed

numerical procedures are developed, this detailed description of the reservoir subbottom

may be needed.

3. THEORETICAL SUBBOTTOMRESERVOIR-DAM INTERACTION

EFFECT

The effect of the interaction between the

absorptive boundary and the dam via the

pressure field transmitted by the fluid medium

becomes apparent by considering the simple

example in Figure 2. This 2-D model represents

the longitudinal section of a reservoir with

aspect ratio 3 (the ratio of the reservoir length to the dam height, at full capacity). The water is assumed impounded by a rigid boundary at the

far end of the reservoir, and the bottom is characterized by a reflection coefficient typical

of a solid continuum [a s (0,1)].

118
The system is subjected to a steady-state

harmonic acceleration applied uniformly at the

rock base, with amplitude 0.30g (where g is the

acceleration of gravity), and frequency of 1.0 Hz. Figure 3 indicates the linear distribution of

the hydrostatic pressure on the upstream face of

the dam, normalized with respect to its value at the bottom. By comparison, the corresponding

amplitude of the hydrodynamic pressure field on this front wall is computed at six nodes

uniformly spaced along the wall height. These

hydrodynamic pressures were estimated using

Westergaard's approximation (Westergaard

1933) and appear in Figure 3 normalized with

respect to the corresponding hydrostatic

pressure at the point under consideration.

Notice that the maximum value of the

hydrostatic pressure on the wall takes place at node 13, located at a distance of 0.40 H from the

bottom, where H is the dam height. At node 13,

the hydrostatic pressure is increased by a hydrodynamic pressure with amplitude 33% of

the hydrostatic pressure at this node.

The effect of the dynamic interaction between

the flexible subbottom and the dam (H = 91 .4 meters) is considered at nodes 13, 17, and 21,

within the lower 40% of the wall height, where

the hydrodynamic contribution to the total pressure field is significant. Figures 4, 5, and 6

show the normalized amplitudes of the

hydrodynamic pressure at the nodes in question.

The corresponding abscissas in these figures

are normalized with respect to the fundamental

natural frequency of the impounded water,

given by

(0, = -^ [Hz]

AH

where C is the velocity of propagation of the

pressure waves in water. Multiple spectra

appear in each figure according to the value of

the parameter a. Physically, the two extremes

of the domain of a mean as follows: (a) a = 0

corresponds to an infinite water depth of the

reservoir, and (b) a = 1 .00 corresponds to a

rigid reservoir bottom. Intermediate values

correspond to different degrees of foundation

rock acoustic impedance. Notice the resonant peaks at the natural frequencies of the

impounded water, which grow without bound

for a = 1 .00 (as in the case of a resonant elastic system without damping). The elasticity of the

rock subbottom (assumed to extend to infinity)

' effectively acts within the dam-reservoirsubbottom system as an energy-dissipating

mechanism.

Even a small amount of a-decrease from the

vicinity of a 8 (0.95,1 .00) serves as a powerful

moderator of maximum hydrodynamic

responses. For frequency components of the

excitation such that the ratio (oo/co]) smaller

than about 0.50, the effect of a is negligible,

and the system response remains relatively

unaffected with respect to that for a rigid

bottom. For frequency components of the

excitation such that the ratio (co/coj) lies between 0.50 and 0.80, the reduction in the

system response is of intermediate magnitude,

reaching up to 30% reduction at (oo/co j) = 0.80, for a = 0.20, as compared to the corresponding

dynamic magnification for a =1.00. The most

dramatic attenuation of the system response

occurs for frequency contents in the range for the ratio (co/coi) from 0.80 to about 1.00, where

the reduction reaches about 75% for a = 0.35,

for example, as compared to the dynamic

magnification corresponding to a in the vicinity

of 0.95 . For (co/o) i ) > 1 .00, the effect of a on

the system response in inconclusive due to

oscillation according to the specific frequency

content of the excitation.

4. EVALUATION

A seismic evaluation of the Folsom Dam and

reservoir project has been performed (Hall,

Woodson, and Nau 1989). The structure is located on the American River, 32 airline kilometers northeast of the city of Sacramento.

The Folsom Project was designed and built by

the Corps of Engineers during the period from

1948 to 1956 under the authority of the Flood

Control Act of 1944 and the American River

Basin Development Act of 1949. In May 1956,

ownership was transferred to the U.S. Bureau of

119
Reclamation for operation and maintenance.

The concrete gravity section (Fig 7) of the dam

was designed with pseudo-static acceleration of

0.05 g acting upstream. Based on their studies of

the horizonal ground acceleration recorded on

an array of accelerometers normal to the. Imperial Valley fault during the Imperial Valley

earthquake of 1979, Bolt and Seed (1983)

recommend the following ground motions:

Peak horizontal ground acceleration = 0.35 g

Peak horizontal ground velocity = 0.20 m/sec

Bracketed duration (0.05 g) = 16 sec

The seismic analyses of the critical nonoverflow

monolith of the dam were conducted using the

2-D program, EACD-84 (Fenves and Chopra

1984). In this approach, the time history

response of the dam subjected to the specified

earthquake motions is determined with the

simultaneous effects of dam-water interaction,

dam-foundation rock interaction, and reservoirbottom absorption included. Water

compressibility is included in the analysis since

the earthquake response of the concrete dam can be significantly affected by this factor. The

foundation rock supporting the dam is idealized

as a homogenous, isotropic, visco-elastic half

plane. The dam monolith is idealized with an assemblage of four-node nonconforming planar

finite elements. Dissipation of strain energy in the concrete is modeled with a constant

hysteretic damping factor. A viscous damping

ratio for all the natural vibration modes of the concrete dam on a rigid foundation with no

reservoir corresponds to a constant hysteretic

damping factor of twice the viscous damping

ratio (Fenves and Chopra 1984).

The absorption nature of the reservoir

subbottom is characterized by the wave

reflection coefficient, a. The coefficient

represents the dissipation of hydrodynamic

pressure waves in the reservoir bottom and is modeled approximately by a boundary condition

of the reservoir bottom which partially absorbs

incident hydrodynamic pressure waves (Fenves

and Chopra 1984). The wave reflection

coefficient is defined as the ratio of the

amplitude of the reflected hydrodynamic

pressure wave to the amplitude of the vertically

propagating pressure wave incident on the

reservoir bottom. The material at the bottom of

the reservoir determines the wave coefficient a,

in the following equation:

\-K

a =

\ + K

where

K - pc / Pf. Cf. c = Velocity of pressure waves in water

p = Density of water

Or = V^r /Pr - Young's modulus of reservoir bottom material

Pj. = Density of reservoir bottom material

For foundation rock module values of 40, 54.5,

and 76 x lO^N/m^, the above equation leads to a values of 0.75, 0.79, and 0.82, respectively.

The pertinent stress analysis results are shown

in Table 1 . The greatest principal stresses occur

for the case in which the foundation modulus

and the reservoir-bottom coefficient are the

largest. For this set of parameters, a maximum

principal stress of 6 x lO^N/m^ occurs on the

downstream face at an allocation of 22.5 meters

from the crest. This region corresponds to that at which the vertical downstream face begins its transition to an inclined surface. The stress of 6

X 10^ N/m2 is greater that the recommended

tensile strength of 5.8 x 10^ N/m^ for rich concrete. To investigate the depth to which

possible cracking might penetrate, contours of

envelope values of maximum principal stresses are shown in Fig 8. For the worse case, an area approximately 0.6 meters in depth on the

downstream face is subjected to tensile stresses exceeding 4.8 x 10^ N/m^, the least tensile

strength of the dam concrete. By including the

effects of the reservoir-bottom absorption, it is reasonable to conclude that cracking will be

quite limited in extent and depth of penetration

into the monolith.

120
5. CONCLUSIONS

The effect of reservoir-subbottom energy

absorption of the hydrodynamic loads on

concrete dams subjected to large seismic ground

motions may be substantial, particularly for excitation frequency contents in the range of

0.50< (co/coi) <1.00, where 00 1 is the

fundamental frequency of the impounded

reservoir. The measurement of the absorptive

nature of the reservoir subbottom can be

measured with different geophysical techniques.

These techniques range from simple blasting

cap techniques to very sophisticated waterbome

measuring equipment. Analytical procedures are available from the simple 1-D wave propagation

models to nonlinear constitutive models of

partially saturated materials. What has not been

determined is the needed degree of

sophistication of the measurements or the

analytical models. Further research needs to be

performed to quantify the effect the spatial

variation of the subbottom materials, as well as

the geometry of the reservoir bottom, has on the

hydrodynamic loads. These results will

determine the needed parameters of an

engineering model for the reservoir subbottom

and the corresponding geophysical techniques.

6. AKNOWLEDGEMENTS

The research presented in this paper was

sponsored by^he Civil Works Direct-Allotted

EQEN Program. We appreciate the cooperation

of the authorities at the U. S. Army Engineer

Waterways Experiment Station and the Office,

Chief of Engineers, U. S. Army Corps of

Engineers, that permitted us to prepare and

present this paper for publication. Permission to publish this paper was granted by the Chief of

Engineers.

7. REFERENCES

Hall, J. F., and Chopra, A. K. (1980). "Dynamic

response of embankment, concrete-gravity, and

arch dams including hydrodynamic interaction,"

Report No. UCB/EERC-80/39, Earthquake

Engineering Research Center, University of

California, Berkeley, CA.

Fenves, G., and Chopra, A. K. (1984). "EAGD84: A computer program for earthquake analysis

of concrete gravity dams," Report No.

- UCB/EERC-84-1 1, Earthquake Engineering

Research Center, University of California,

Berkeley, CA.

Fok, K. L., Hall, J. F., and Chopra, A. K. (1986).

"EACD-3D: A computer program for threedimensional earthquake analysis of concrete dams," Report No. UCB/EERC-86/09,

Earthquake Engineering Research Center,

University of California, Berkeley, CA.

Lotfi, v., Roesset, J. M., and Tassoulas, J. L. (1986) . "A technique for the analysis of the

response of dams to earthquakes," Earthquake

Engineering and Structural Dynamics, Vol 15,

pp 463-490.

Hall, R. L., Woodson, S. C, and Nau, J. M.,

(1987) . "Seismic stability evaluation of Folsom

Dam and reservoir project," Technical Report

GL-87-14. U.S. Army Engineer Waterways

Experiment Station, Vicksburg, MS.

Duron, Z. H., and Hall, J. F. (1988).

"Experimental and finite element studies of the

forced vibration response of the Morrow Point

Dam," Journal ofEarthquake Engineering and

Structural Dynamics, Vol 16, pp 102 1-1039

Ghanatt, Y., Chen, H., Redpath, B. B., and

Clough, R. W. (1993). "Experimental study of

the Dongjiang Dam dam-water-foundation

interaction," Technical Report QS93-03. Report

to the National Science Foundation on Research

conducted under the U. S. - China Protocol for Scientific and Technical Cooperation in Earthquake Studies, Quest Structures,

Emeryville, CA.

Ghanaat, Y., and Redpath, B. B. (1995).

"Measurements of reservoir-bottom reflection

coefficient at seven concrete dam sites,"

Technical Report QS95-01, Report to the U.S.

121
Army Engineer Waterways Experiment Station

and the Bureau of Reclamation, Quest

Structures, Emeryville, CA.

Hunter, J.A., and Pullan, S.E. (1990). "A

vertical array method for shallow seismic

refraction survey of the Sea Floor," Geophysics,

Vol 55, No 1, pp 92-96.

de Bejar, L. A. (1996). "Subbottom absorption

coefficients for seismic analysis of concrete dams," Proceedingsfrom the First U.S. - Japan

Workshop on Earthquake Engineeringfor

Dams, Vicksburg, MS.

Caulfield, D. C, Caulfield, D. D., and Yim, Y.

(1985). "Shallow subbottom impedance

structures using an iterative algorithm and

empirical constraints," Journal ofthe Canadian

Society ofExploration Geophysicists, 21(1),

pp7-14.

Caulfield, D. D., and Yim, Y. (1983).

"Prediction of shallow subbottom sediment

acoustic impedance while estimating absorption

and other losses," Journal ofthe Canadian

Society ofExploration Geophysicists, 1 9( 1 ), pp44-50.

Hamilton, E. L. (1980). "Geoacoustic modeling

of the Sea Floor," Journal ofthe Acoustical

Society ofAmerica, 68(5), ppl313-1340.

McGee, R.G., Ballard, R.F. Jr., and Caulfield,

D.D. (1995). "A technique to assess the

characteristics of bottom and subbottom marine

sediments," Technical Report DRP-95-3, U.S.

Army Engineer Waterways Experiment Station,

Vicksburg, MS.

Telford, W.M., Geldart, L.P., Sheriff, R.E., and

Keys, D.A. (1976). Applied Geophysics.

Cambridge University Press, New York.

Westergaard, H.M. (1933). "Water pressures on dams during earthquakes," Trans. ASCE (98),

pp 418-433.

122
Table 1 . Effect of Reservoir Bottom Absorption

MAXIMUM PRINCIPAL TENSILE

STRESS (103 N/m2)

CASE FOUND, MODULUS RESERVOIR BOTTOM UPSTREAM DOWNSTREAM

(109 N/m2) REFLECTIVITY FACE FACE

18 40.0 0.99 3433.71 3164.81

19 0.90 3013.12 2633.89

20 0.75 2585.63 2420.15

21 54.5 0.99 3833.62 4081.84

22 0.90 3213.07 3433.71

23 0.75 2744.21 3171.70

25 76.0 0.99 5619.43 6426.14

26 0.90 4716.18 5260.89

27 0.75 3819.83 4336.96

123
Figure 1. Dongjiang Dam

Free surface

0<a<1

a: Wave reflection coefficient

Figure 2. Trapezoidal Reservoir Incorporation of Bottom Absorption Characteristics

124
Maximum Ground Acceleration = 0.30g

Excitation Frequency = 1 Hz

Figure 3. Trapezoidal Reservoir - Front Wall

1

125
Maximum Ground Acceleration = 0.30g

0.25 0.50 0.75 1.00 1.25

Frequency Factor co/coi

CDi = 3.93 Hz

gure 4. Trapezoidal Reservoir - 2D Analysis

126
Maximum Ground Acceleration = 0.30g

0.25 0.50 0.75 1.00 1.25

Frequency Factor co/coi

©1 = 3.93 Hz

Figure 5. Trapezoidal Reservoir - 2D Analysis

127
Maximum Ground Acceleration = 0.30g

2.00

1.75

<D 1.50-

u

1-25 H

\ g 100

N

E

o

0.75

0.50

0.25

Node 21

z = 300 fft]

Westergaard

0.00

a = 1.00

a = 0.00 —' -1 ^

\ 0.25 0.50

a = 0.35

Frequency Factor co/cOi

coi = 3.93 Hz

1.25

Figure 6. Trapezoidal Reservoir - 2D Analysis

128
Figure 8. Maximum Principal Stress

129
A Study on Stress in Concrete Gravity Dam

using Seismic Data during Kobe Earthquake

by

Takashi Sasaki, Tsuneo Uesaka and Isao Nagayama

ABSTRACT

The Kobe Earthquake (the

Hyogoken-Nambu Earthquake of

January 17, 1995) inflicted severe damage on many structures in the

Hanshin and Awaji areas such as had not

been experienced in Japan in recent

decades. However, there was no damage

on dams which affected the their safety.

This paper introduces the

characteristics of ground acceleration

observed at dam sites during the Kobe

Earthquake and discusses the effect of

vertical seismic motion and the safety of

concrete gravity dams in such big

earthquakes. The result of the dynamic

analysis shows that concrete gravity

dams have the high safety against such

big earthquakes.

Key Words: concrete gravity dam,

dynamic analysis,

Kobe Earthqualie,

seismic resistance,

vertical ground motion

1. PREFACE

In the early morning of January 17,

1995, the Kobe Earthquake (HyogokenNambu Earthquake) inflicted severe damage in the Hanshin and Awaji areas. About 250 dams received the shock of

the earthquake within 300 km of its

epicenter. The Tokiwa Dam was located

in a distance only 800 m from the Nojima

earthquake fault. There were also a number of old dams in Kobe City where

the earthquake damage was most severe. The dam safety inspection immediately

after earthquake showed that there were

no damage on the dams which affected

their safety.

This paper introduces the

characteristics of ground acceleration

observed at dam sites during the Kobe

Earthquake and discusses the effect of

vertical seismic motion and the safety of

concrete gravity dams in such big

earthquakes.

2. CHARACTERISTICS OF

EARTHQUAKE MOTION

AT DAM SITES

2. 1. Maximum Acceleration

at Foundation of Dams

(1) Attenuation of Peak Acceleration

About 50 ground acceleration records

were obtained at dam sites during the

Kobe Earthquake. All the dams were

constructed on the rock foundation.

Table 1 shows the peak acceleration

recorded at the foundation of dams

during the earthquake (including the

acceleration obtained at the lowest

gallery in the concrete dams or at the

gallery beneath the embankment dams).

The maximum ground acceleration is 183 gal which was recorded at the lowest

gallery of the Hitokura Dam (concrete

gravity dam, height = 75 m). The dam

1) Senior Research Engineer, Dam Structure

Division, Dam Department, Public Works

Research Institute, Ministry of Construction,

Tsukuba, Science City, 305 Japan

2) Director, Dam Department, ditto

3) Head, Dam Structure Division, Dam

Department, ditto

130
was located in a distance of 47 km from

the epicenter or only 10 km from the

estimated earthquake source fault in the

ground. The location of the earthquake

source fault in the Kobe area was

estimated from the distribution of

aftershocks on January 17, while it coincides with the Nojima fault in the

Awaji area. The attenuation of the horizontal

peak acceleration of the foundation of

dams is shown in Figure 1, and the

attenuation of the vertical peak

acceleration in Figure 2. The envelopes

of the peak acceleration can be expressed

by a straight Hne in the semi-logarithm

plot. They are expressed as follow:

In Aft = In 217 - 0.0170 Z

lnAv=\n 93- 0.0114 Z

where

AJi : horizontal peak acceleration (gal)

Av : vertical peak acceleration (gal)

L : distance from the earthquake

source fault (km)

From the figure and the above equation,

it can be estimated that the maximum of

horizontal peak acceleration induced at

the rock sites near the earthquake source

fault was about 220 gal.

(2) Horizontal Peak Acceleration versus

Vertical Peak Acceleration

Figure 3 shows the relationship

between the horizontal peak acceleration

and the vertical peak acceleration

observed at dam sites during the Kobe

Earthquake. The ratio of the vertical

peak acceleration to the horizontal peak

acceleration ranges from 1/3 to 1/1. This

ratio tends to decrease as the horizontal

peak acceleration increases.

2.2. Acceleration Response Spectrum

The response spectra of the

acceleration in the stream direction

(damping ratio of 10%) at 21 dam sites in

the Kobe Earthquake are shown in

Figure 4. Each spectrum is normahzed so

that the maximum ground acceleration

is equal to 1. The average value of the

normahzed response spectra is about 2

for the natural period ranging from 0. 1 to 0.6 seconds. The response spectra

decrease rapidly when the natural period

exceeds about 0.6 seconds.

3. EFFECT OF VERTICAL SEISMIC

MOTION

3.1. Model Concrete Gravity Dams

The concrete gravity dams used in the

analysis have the typical cross section

whose downstream slope is 0.8:1, and

whose upstream slope is vertical (0.0:1).

The height of the dams ranges from 25 m

to 150 m. Figure 5 shows the finite

element model of the dam, and Table 2

shows the physical properties of the

material.

3.2. Methodology

The response spectrum method with

the modal analysis was used in the

analysis of dynamic stresses in dam body.

The first 6 modes of vibration were

considered. The damping ratio was

assumed 10 %. This value is based on the

results of behavior analysis of the

Hitokura Dam (height = 75 m), where

the acceleration of the foundation was

183 gal and the acceleration of the top

gallery (8 m lower than the crest of the

dam) was 482 gal in the Kobe

Earthquake. Figure 6 shows the result of

the analysis of the Hitokura Dam.

The effect of reservoir water was

accounted for as the added mass matrix

in the modal analysis. The added mass

matrix is calculated assuming that

reservoir water is incompressible.

3.3. Acceleration Records Used

in Analysis

Acceleration records (sets of

horizontal and vertical acceleration)

obtained at the foundations of 21 dam

131
sites. These records include data

measured in the bottom gallery in the

dam. Two types of acceleration were used

in this section. One is the acceleration

record which adjusted so that the

maximum value was 100 gal for both

horizontal and vertical acceleration. And

the second is original acceleration record.

3.4. Results of Analysis

(1) Tensile Stress for Ground

Acceleration of lOOgal

Figure 7 shows the results of the

tensile stress at the heel of the dam for

the horizontal seismic motion and the

vertical seismic motion. The horizontal

motion and vertical motion are separately applied to the dam. Figure 7

(a) is the results for the full reservoir,

and (b) is the results for the empty

reservoir. The symbols are the individual

result and the solid line indicate the

average value for each dam height.

These figures show the tensile stresses

at the heel of the dam for the horizontal

motion and the vertical motion are in

proportion to the dam height, and the

stresses for horizontal motions vary

more widely than the stresses for vertical

motions.

Figure 8 compares the results of the

tensile stress when the horizontal

seismic motion and the vertical seismic

motion are separately applied. Figure 8

(a) is the results for the full reservoir and

(b) is the results for the empty reservoir.

The figures show that the tensile stress

at the heel of the dam generated by the

vertical seismic motion is about 20% - 40% of the tensile stress generated by

the horizontal seismic motion in the case

of the full reservoir, and about 30 - 60%

in the case of the empty reservoir. And

the greater the tensile stress for the

horizontal seismic motion is, the smaller

the effect of the vertical seismic motion

becomes.

(2) Tensile Stress for Original Ground

Acceleration

Figure 9 compares the results of the

tensile stress at the heel of the dam

when the horizontal seismic motion and

the vertical seismic motion are separately applied. Figure 9 (a) is the

results for the full reservoir and (b) is the

results for the empty reservoir.

When the tensile stress at the heel of

the dam generated by the horizontal

seismic motion become large, the tensile

stress generated by the vertical seismic

motion decrease to less than 10% of the

tensile stress generated by the horizontal

seismic motion in the case of the full reservoir, and to less than 20% in the case of the empty reservoir. In general

speaking, the time when the stress by

horizontal motion gets maximum value

and the time when the stress by vertical

motion gets maximum value do not

coincide. So, the above-mentioned

estimations are the upper limits of

effects of vertical ground motions. The

vertical ground motions, therefore, have

less effects in the actual situation.

4. EVALUATION OF SEISMIC

RESISTANCE OF CONCRETE

DAMS

4.1. Conditions for Analysis

The model concrete gravity dam and

the methodology used in this chapter is the same in Chapter 3. 4.2. Acceleration Records Used

in Analysis

In Chapter 3, the effects of vertical

ground motions are very small especially

in the case of the full reservoir. So, only

horizontal ground motions are considered in this chapter.

Two types of acceleration were used

in the analysis. At first, 21 original

acceleration records were used and the

132
results of the analysis were examined

with regard to the distance from the

earthquake source fault. Then, the

typical 4 acceleration records (ACC-1 to ACC-4) which were observed at the dam

sites near the earthquake source fault

were used. In this case, the horizontal

peak acceleration was enlarged as much

as 220 gal. It is the estimated maximum

acceleration in the Kobe Earthquake.

Figure 10 shows the response spectrum

of acceleration records ACC-1 to ACC-4

(damping ratio = 10 %).

4.3. Results ofAnalysis

(1) Maximum Tensile Stress versus Distance from Earthquake Source

Fault

The maximum tensile stress was

induced at the bottom portion of the

upstream face of the dams in all cases. Figure 11 shows the maximum tensile

stress in the dams excluding static stress

with regard to the distance from the

earthquake source fault. The envelope is almost in a straight hne, although the

maximum tensile stress has wide range

depending on the characteristics of the

acceleration records. Figure 12 shows the

maximum tensile stress in the dams

including static stress with regard to the

distance from the earthquake source

fault. It can be estimated from the

figures that the maximum tensile stress

induced in the dams near the earthquake

source fault is about 3.1 N/mm^ in 150m

high dams, 2.2 N/mm^ in 100 m high

dams and 0.4 N/mm ^ in 50 m high

dams.

(2) Maximum Tensile Stress for Ground

Acceleration of 220 gal

Figure 13 shows the maximum

tensile stress in the dams of the different

height induced by the ground

acceleration of ACC-1 to ACC-4. The

stress includes the static stress in all cases. The acceleration ACC-1 produces

the largest stress in higher dams, since

the dominant period of the acceleration

is close to the natural period of those

dams. On the contrary, the acceleration

ACC-4 produces the lowest stress in

higher dams, since the dominant period

of the acceleration is far from the natural

period of those dams.

The figure shows that the maximum

tensile stress increases in proportion to the height of the dam. The envelope is expressed as: o = 0.0226 H (at 220 gal) or a =(0.0129 a - 0.568) //"/lOO

where

o : maximum tensile stress (N/mm^)

a : maximum ground acceleration (gal)

H: height of dam (m)

It can be estimated from the figure or the above equations that the maximum

tensile stress by the ground acceleration

of 220 gal is about 3.4 N/mm^ even in

150 m dams. Since the dynamical stress occurs instantaneously, it is considered

that dams can withstand such a level of

tensile stress.

5. CONCLUSION

The Kobe Earthquake inflicted severe damage in the Hanshin and Awaji areas such as had never been experienced in

Japan in recent decades. However, there

was no damage on the dams affecting

their safety.

This paper introduces the

characteristics of ground acceleration

observed at dam sites during the Kobe

Earthquake and discusses the effects of

vertical seismic motions on dam and the

safety of concrete gravity dams in such

big earthquakes. The results of the

analysis are as follows:

(1) It is estimated that the maximum

peak acceleration at rock sites induced

133
by the Kobe Earthquake was about 220

gal.

(2) The effect of the vertical seismic

motion on the stress of dam body is very

small as compared with the effect of the

horizontal seismic motion. The tendency can be obvious when the stress by

horizontal seismic motion is large, and

the reservoir is full.

(3) It is estimated that the maximum

tensile stress in the concrete gravity

dams induced by the earthquakes is: a = 0.0226 (at 220 gal) or a =(0.0129 a -0.568)77/100

where

a : maximum tensile stress (N/mm^)

a : maximum ground acceleration (gal)

H: height of dam (m)

Therefore, the maximum tensile stress in

150 m high concrete gravity dams

induced by the ground acceleration of

220 gal is about 3.4 N/mm^ Since the

dynamical stress occurs instantaneously,

it is considered that dams can withstand

such a level of tensile stress. So, the

concrete gravity dams are safe in such

big earthquake as Kobe Earthquake.

REFERENCES

(1) Committee on Evaluation of

Earthquake Resistance of Dams:

Report of Committee on Evaluation of

Earthquake Resistance of Dams,

November, 1995

(2) A. Nakamura, 1. Nagayama, T. Sasaki

and T. Iwashita: Safety of Dams

during Hyogoken-Nambu Earthquake

on January 17, 1995 in Japan,

IIWCEE, Acapulco, 1996

(3) I. Nagayama, S. Jikan: Study on Dynamic Behavior of Concrete Dams

During Earthquake with Hydrodynamic Interaction, Int. Symp. on Earthquake & Dams, China, 1987

134

I
Table 1 Peak Acceleration Recorded at Foimdatioii of Major Dams

Acceleration (gal)

Dam Site Horizontal Vertical

Direction Direction

Hitokura 183. 64

Minoo 128 75

Donto 111 _ Gongen 103 67

Kisenyama 90 44

Kurokawa 85 53

Tataragi 65 20

Shirakawa 50 48

Zao 49 25

Yasumuro 38 31

Nishidaira 38 25

Seto 35 12

Masaki 33 33

Senzoku 32 16

Fukui 32 15

Hase 30 22

Table 2 Physical Properties of Materials

Item Value

Concrete

Density 2300 kg/m^

Elastic Modulus 30 kN/mm"

Poisson's Ratio 0.2

System

Damping Ratio 10%

135
1000 p

0 50 100 150 200 250

Distance from Earthquake Source Fault (km)

Figure 1 Attenuation of Horizontal Peak Acceleration

1000

cacI

100 «

0)uu<

<o a. 10 r

(0or

>

0 50 100 150 200 250

Distance from Earthquake Source Fault (km)

Figure 2 Attenuation ofVertical Peak Acceleration

136
0 50 100 150

Horizontal Peak Acceleration (gal)

Figure 3 Horizontal Peak Acceleration versus Vertical Peak Acceleration

0.01 0.1 1 10 Natural Period (s)

Figure 4 Normalized Response Spectrum ofAcceleration (Horizontal Direction)

137
Figure 5 Finite Element Model of Concrete Gravity Dam

80

60 -

&40

0) I

20

analysis

damping ratio=10% — damping ratio=15%

Observation

0 200 400 600 800 1000

Acceleration (gal)

Figure 6 Distribution ofAcceleration at the Hitokura Dam

138
ns o

CME

E

z

M

in£

(0

c

0) I-E

3E

CO

1 -

• Stress for Horizontal Seismic Motion ^ Stress for Vertical Seismic Motion

50 100

Height of Dam (m)

(a) FuU Reservoir

150

O) • Stress for Horizontal Seismic Motion ^ Stress for Vertical Seismic Motion

M

0)

c

«

I-E

E

X

50 100

Height of Dam (m)

150

(b) Empty Reservoir

Figure 7 Height of Dam versus Maximum Tensile Stresses for Horizontal Seismic Motion

and Vertical Seismic Motion

139
c ^

.2 —

o O) Soo

o Zl

.£ £

0) c W -5

1.5

O

ww

0)

^ 1

0.5 -

to

* Height of Dam

* Height of Dam * Height of Dam

150m

100m

50m

1:0.6

1:0.4

1:0.2

0 0.5 1 1.5 2

Stress for Horizontal Seismic Motion

([N/mm2]/[ioogal])

(a) Full Reservoir

c

.2o « O O) ^ §

i ^ 1-5 h

E —

« ^_

75 ^

o

r

5i

^ 1 -

0.5 -

(0

(0

0)

4-1 CO

• Height of Dam

^ Height of Dam

* Height of Dam

150m

100m

50m

± ±

1:0.6

:0.4

:0.2

0 0.5 1 1.5 2

Stress for Horizontal Seismic Motion

([N/mm2]/[l00gal])

(b) Empty Reservoir

F^ure 8 Comparison of Maximum Tensile Stresses for Horizontal Seismic Motion

and Vertical Seismic Motion (Maximum Acceleration : lOOgal)

140
_ 0.8

O O) ^ o

u ^

.12 E

<D c

(/) -5 _ Z

u

>

(0

(0

a> 0)

0.7

0.6

0.5

0.4

0.3

0.2

0.1

1:0.4

* Height of Dam

* Height of Dam

* Height of Dam

1:0.2

150m

lOOm-'

50m

J. J. J-

- 1:0.1

0 12 3 4

Stress for Horizontal Seismic Motic

([N/mm^]/[100gal])

(a) Full Reservoir

g ^

o w 2 o

0.4

1:0.4 1:0.2

I ^ 0-3

5 E

(0 E

>

0)£-t-l CO

0.2

0.1 -

• He i ght of Dam

^ He i ght of Dam

* He i ght of Dam

150m

lOOm-^

50m

/ / •

J.

1:0.1

0 0.5 1 1.5 2

Stress for Horizontal Seismic Motion

([N/mm2]/[100gal])

(b) Empty Reservoir

Figure 9 Comparison of Maximum Tensile Stresses for Horizontal Seismic Motion

and Vertical Seismic Motion (Maximum Acceleration : Measured Value)

141
1000

Natural Period (s)

Figure 10 Modified Response Spectra of Four Acceleration Records (Horizontal Direction)

0 50 100 150

Height of Dam (m)

Figure 13 Maximum Tensile Stress versus Height of Dams

142
(b) Dam Height =100m

0 50 100 150 Distance from Earthquake Source Fault (km)

(b) Dam Height =100m

50 100 150 Distance from Earthquake Source Fault (km)

(c) Dam Height = 50m

Figure 11 Maximum Tensile Stress versus

Distance firom Earthquake Source Fault

(Excluding Static Stress)

(c) Dam Height = 50m

Figure 12 Maximum Tensile Stress versus Distance from Earthquake Source Fault

(Including Static Stress)
Seismic Analysis of Hoover Dam

by

By Larry K. Nuss

ABSTRACT

Hoover Dam is a 221-m (727-foot) high concrete

thick-arch dam located on the border between

Arizona and Nevada about 58 km (36 miles) from

Las Vegas, Nevada. The postulated maximum

credible earthquake (MCE) for Hoover Dam is a magnitude Ms 6.75 on the Mead Slope Fault. Initial structural finite element analysis calculated stresses larger than the tensile strength on the upper portions

of the dam. More sophisticated analysis followed

when additional data was obtained for material

properties and seismic loading. The first approach was a linear-elastic analysis incorporating

foundation-structure interaction with mass in the foundation. The second approach was a non-linear

analysis incorporating concrete cracking and

contraction joint interaction using smeared crack

techniques and kinematic stability analysis of the top of the dam.

KEYWORDS: Hoover Dam; concrete arch dam;

nonlinear and linear dynamic

structural analysis; foundation

impedance; hydrodynamic

interaction, reservoir bottom

reflection coefficient; EACD3D96; ANACAR

1. INTRODUCTION

Hoover Dam is a 221-m (727-foot) high concrete

thick-arch dam located on the border between

Arizona and Nevada about 58 km (36 miles) from

Las Vegas, Nevada. The dam was completed in 1935, has a crest length of 380 m (1244 feet), a crest thickness of 14 m (45 feet), and a maximum

base width of 201 m (660 feet) (see figure 1). It is the highest concrete dam in the United States, the eighteenth highest dam in the world, and forms the

largest manmade reservoir in the United States

[USCOLD, 1995]. The postulated maximum

credible earthquake (MCE) for Hoover Dam is a magnitude Ms 6.75 on the Mead Slope Fault, with

primarily normal fault rupture mechanism involving

rupture from 15 km (9.3 miles) depth to the surface

and 3 km (1.8 miles) closest surface approach to the dam [O'Connell, 1996]. The probability of the MCE is postulated to be as frequent as 1:10,000

years or as infrequent as 1:100,000 years. Initial structural analysis using conventional linear-elastic three-dimensional dynamic finite element methods,

assuming material properties and a massless

foundation, calculated stresses larger than the tensile strength on the upper portions of the dam. These

results indicate concrete cracking occurs in the upper 61 m (200 feet) of the dam. If the top 61 m

(200 feet) of the dam failed during a seismic event, the downstream consequences would be massive.

An estimated loss-of-life of 400 people and

damages not including losses from project benefits

totaling $ 1 7 billion (US) could occur.

More sophisticated analysis followed when

additional data was obtained for material properties

and seismic loading. Currently, there is no software

code available that incorporates all the important

aspects (hydrodynamic interaction, impedance of

dam-foundation interaction, contraction joint action, or rigid block kinematic movements) associated

with a concrete dam for a complete structural analysis. For this reason, various software

programs were run using the Hoover finite element

model and knowledge of the influence of each aspect

1 ) Submitted for presentation at the 30*^^ joint meeting

of the U.S-Japan Panel on Wind and Seismic Effects, May 12-15, 1998, Gaithersburg, Maryland.

2) Larry K. Nuss, Senior Structural Engineer, Bureau

of Reclamation, Structural Analysis Group (D-81 10), P.O. Box 25007, Denver, Colorado 80123,

(303) 445-323 1 , lnu.ss@do.usbr.gov.

144
affecting the dam was gleamed. This way the

relative impact of each aspect on the stabiUty of

Hoover Dam was determined. These analyses took

two different approaches. The first approach was a three-dimensional linear-elastic analyses

(EACD3D96) incorporating foundation-structure

interaction with mass in the foundation, impedance

contrast between the dam and foundation, and

hydrodynamic interaction using compressible fluid [Chopra 1996; Payne 1998]. The second approach was a non-linear three-dimensional dynamic finite element analysis incorporating concrete cracking

and contraction joint interaction using smeared

crack techniques [ANATECH 1997, Koltuniuk

1997] and kinematic stability analysis of the top of

the dam [Scott 1982; Mills 1997].

2. GROUND MOTIONS

In 1993, a regional seismotectonic study was

conducted for the Hoover Dam area [O' Council

1993]. In 1994, estimates for strong ground motions

that seismogenic sources, identified in the regional

seismotectonic report, could be produced at Hoover

Dam. Recommended ground motions representing

the Mead Slope Fault are the Convict Creek record

of the May 27, 1980 Mammoth Lakes, California

earthquake and the Corralitos recording from the Loma Prieta 1989 earthquake (see figures 2 and 3). These ground motions were modified and accepted

based on recommendations by the consultant review

board [Bolt 1995, O'Connell 1995].

3. CONCRETE CORE AND LABORATORY

TESTING

Laboratory tests [Reclamation 1995] on extracted

15-cm (6-inch) diameter concrete core from the dam

showed the concrete was very strong and had

average properties as shown in the table.

The 29,854 MPa (4,330,000-lb/in') dynamic

modulus of elasticity was suspect. A literature search of published dynamic concrete properties

showed that the dynamic modulus is typically equal

to or greater than the static modulus [Harris 1997].

Therefore, the measured static modulus was used for

the dynamic modulus.

Tested Material Properties

Description MPa (Ib/in^) Static Dynamic

Compressive 50 55

(7230) (8040)

Splitting tensile 4 7 (600) (970)

Concrete Modulus 45.436 29.854

(6 590.000) (4 330.000)

Foundation Modulus

Lower elevations 26.200 26.200

(3 800.000) (3 800.000)

Upper elevations 16.547 16.547

(2.400.000) (2 400.000)

Apparent cohesion 0.63 0.63

(see figure 4) (91) (91)

Friction angle 48° 48°

4. RESERVOIR BOTTOM REFLECTION

COEFFICIENT

Dr. Yusof Ghanaat measured the reservoir-bottom

reflection coefficient (alpha coefficient) at Hoover

Dam in 1995 [Ghanaat 1995]. The silt elevation at the dam heel is at elevation 216 m (708.8 ft) (depth

of 54 m (176.8 ft)). Reflection surveys measured

alpha coefficients of -0.09 for the bottom surficial material, 0.68 for the dam concrete, and 0.77 for the canyon rock walls. Refraction surveys measured

alpha coefficients of -0.02 and -0.05 for the bottom

surficial material.

5. HYDRODYNAMIC INTERACTION

The effect of hydrodynamic interaction on Hoover

Dam was studied and included in all the various

dynamic studies [Payne 1997, 1995]. Sensitivity

studies included the affects of incompressible fluid,

compressible fluid, and various reservoir bottom

reflection coefficients. The findings were that hydrodynamic interaction had a relatively small

affect on the stress of state in the dam during an earthquake because of the massive size and inertia of the dam body compared to the inertia force of the water. There was no single correction factor to convert stress values when incompressible fluid or compressible fluid is used. Stress magnitudes and

145
areas of high stresses and the time they occur vary

with each earthquake. Use of compressible fluid instead of incompressible fluid did not always

produce smaller stresses.

6. STRUCTURAL ANALYSIS

Currently, there is no software codes available that incorporate all the important aspects (hydrodynamic

interaction, impedance of dam-foundation

interaction, contraction joint action, or rigid block

kinematic movements) associated with a concrete dam for a complete structural analysis. For this reason, various software programs were run using

the Hoover finite element model and knowledge of

the influence of each aspect affecting the dam was

gleamed. This way the relative impact of each

aspect on the stability of Hoover Dam was

determined. The same finite element model was used

in all the studies (see figure 5).

6. 1 TRADITIONAL STRUCTURAL ANALYSIS

Traditional stnictural analyses were made using the SAPIV linear-elastic three-dimensional dynamic

finite element code with a massless foundation, 10

percent viscous damping, and hydrodynamic

interaction using incompressible fluid added masses

[Nuss 1996, Dollar 1994]. Maximum calculated

arch tensile stresses, with superimposed static stresses, were 12.2 MPa (1772 Ib/in"^) on the upstream face and 12.7 MPa (1840 Ib/in^) in the dovNTistream face. Maximum calculated cantilever

tensile stresses were 10.0 MPa (1445 lb/in") on the upstream face and 1 1.6 MPa (1684 lb/in") on the downstream face. This is well over the d>Tiamic

tensile strength of the concrete and would indicate

cracking of the structure.

6.2 INCORPORATING STRUCTURE - FOUNDATION INTERACTION

The influence of including mass in the foundation

during a structural finite element analysis is investigated using a relatively new program

EACD3D96 [Chopra 1996]. This progiam was

tested and evaluated for consistency with the

previous EACD3D version and for reasonability of

the results when foundation and dam moduli were

varied [Payne 1998]. The impedance between the dam and foundation and radiation damping is included in the analysis. This is believed to be the most realistic linear-elastic structural analysis to

date.

Analysis, incorporating mass in foundation, shows

great reduction of stress in the dam to the point that cracking of the dam is not expected from the MCE

(thus, lack of nonlinear capability in this program is no longer a concern). For example, calculated stress levels are reduced from 1 1.6 MPa (1684 Ib/in^) not

including the foundation mass to 4.1 MPa (600

lb/in") by including foundation mass and interaction (see figure 6). Lower stresses are attributed to the following: First, the stiffness of the concrete compared to the stiffhess of the foundation material

inhibits seismic energy from entering the structure and thus reduces the seismic affect. Second, the

infinite boundary of the foundation provides a radiation damping affect that allows earthquake

energy to dissipate from the structure.

6.3 NONLINEAR DYNAMIC ANALYSIS

Despite the above finding, a non-linear analysis with

a "traditional'' massless studies were continued as a back up and also because of the paucity of testing

and experience with the new program incorporating

foundation mass.

The influence of including contraction joints and

concrete cracking in structural finite element

analyses is investigated using smeared crack

techniques in program ANACAP [Anatech 1997].

However, this analysis does not include the damfoundation and produces higher dynamic inertia forces, which shake the dam enough to open and

close contraction joints and crack the concrete in the

finite element analysis. Since these analyses were

nonlinear, various verification studies are performed

to determine the appropriate solution time step,

damping, convergence tests, and modeling. Four

finite element models evolved during these studies: a 5-joint element model, a 24-pre-directed joint

146
model, a 16-pre-directed joint model, and an 8-predirected joint model [Koltuniuk 1997].

Using the Convict Creek ground motion, the ANACAP analysis predicted horizontal cracking 46

m (150 feet) below the dam crest on the upstream

face, continuing through the dam in the downstream

direction, sloping upward toward the downstream

face (see figure 7). ANACAP indicated stability

and 3-cm (1.1-inch) movement of the dam

upstream. This cracking pattern forms concrete blocks capable of sliding independently from the dam body along the cracked basal plane and

bounded on the sides by vertical contraction joints.

Using the Corralitos ground motion, the calculated

cracking, which is significantly less, is located 82 m

(270 feet) below the dam crest on the downstream

face, and does not progress through to the upstream

face. Therefore, fiirther stability analysis using this earthquake record is not needed.

The capability of extracting an XYZ time history of

hydrod>'namic pressures at nodes on the upstream

face from EACD3D was developed which made it possible to apply hydrodynamic forces to other

finite element codes. This allowed for the ability to apply full compressible hydrodynamic forces including reservoir bottom reflection effects to the

nonlinear ANACAP model of Hoover Dam.

Incorporating full hydrodynamic compressible fluid effects in the nonlinear ANACAP model of Hoover

Dam showed cracking developed sooner, cracking

advanced at a slower rate, but the final cracking

pattern was very similar compared to the incompressible fluid effect. Thus, use of full hydrodynamic would not have changed results in terms of preventing formation of a potential sliding mass in the upper part of the dam.

6.4 KINEMATIC STABILITY OF THE TOP OF

DAM

Kinematic studies were performed to investigate the

sliding stability of an independent concrete block

formed separate from the dam body bounded by

horizontal cracking and vertical contraction joints.

The computer program RIGID uses a Newmark

procedure to determine movements of a rigid body

[Scott 1982]. Loads applied to the block were the accelerations calculated in the concrete dam at 46 m

(150 feet) from the crest, static reservoir loads, and

forces representing full hydrodynamic and reservoir

, boundary effects [Mills 1997] (see figure 8). The

maximum "expected" displacement if a "cracked

block" were to form in upper part of dam during the earthquake is about 9 cm (3.5 inches) in the upstream direction. Such small displacement would

not impair stability of the dam or result in reservoir release because the dam is 30 m (100 feet) thick at this depth arch action and the wedging provides side

restraint.

7. CONCLUSIONS

Based on structural analysis incorporating

foundation mass. Hoover Dam is predicted to withstand shaking from the maximum credible

earthquake without significant cracking. This

improved performance over previous traditional analyses is attributed to the impedance contrast between the dam and foundation, which inhibits earthquake energy from entering the structure. Calculated stress levels during the maximum

credible earthquake are below the tensile strength of

the concrete when incorporating the impedance

between the dam and foundation.

Based on nonlinear structural analysis with a massless foundation (performed in the event that the impedance between the dam and foundation proves

to be inaccurate) concrete cracking at 46 m (150

feet) below the dam crest is indicated. However,

even if this cracking extends through the upstream

to downstream thickness of the dam, forming

independent blocks separate from the dam body, the calculated block movements are on the order of a few inches, which would not cause instabilities nor an uncontrolled release of the reservoir.

The top of dam is considered stable for the postearthquake condition because of many positive

factors. The dam has 20-cm (8-inch) diameter

formed drains at 3-m (10-foot) centers cross-canyon

147
in the dam body to reduce uplift pressures from

infiltration of water along any upstream cracking.

Arch action is maintained during and after an

earthquake, which inhibits any downstream

movements. The top 46 m (150 feet) of the dam

resembles a gravity dam section with a downstream

slope of 0.7: 1 . This size gravity section is stable for

static loads without arch action. Calculated

eartliquake induced cracking is radial so arch action

is maintained. The horizontal basal plane formed by

cracking during an earthquake slope upward toward

the downstream face, which produces a stable slide plane.

8. ACKNOWLEDGEMENTS

The author would like to thank the Consultant

Review Board: Ray Clougli, Bruce Bolt, and Alfred

Hendron; peer review members: Larry Von Thun

and Gregg Scott, team members: Terry Payne,

Barbara Mills-Bria, Roman Kollunuik, Dan

O'Conncll, Mike Romansk-y, Chuck Sullivan, Dave

Harris, and Jack Touseull; and other contributors

Dave Dollar, Yusof Ghanaat, Randy James, Anil

Chopra, Hanchen Tan, Jolin Hall, Greg Fenves, and

Ka-Lun Fok.

9. REFERENCES

Nuss, L.K., HVD-81 lO-MDA-97-1, ^'Executive

Summary ofthe Static and Dynamic Stability

Studies for Hoover Damfor the Modification

Decision Analysis''\ Bureau of Reclamation, May

1998.

Payne, T.L., HVD-81 lO-MDA-97-2, "LtnearElastic Dynamic Structural Analysis Including

Mass in the Foundation for Hoover Dam^\

Bureau of Reclamation, April 1998.

Payne, T.L., HVD-8110-MDA-97-3, "Effects of

Water Compressibility on Dynamic Structural

Analysis for Hoover Dam'\ Bureau of

Reclamation, November 1997.

Koltuniuk, R.M., HVD-8 1 lO-MDA-97-4, ''Nonlinear Dynamic Structural Analysis ofHoover

Dam Including Modeling ofContraction Joint

Opening and Concrete Cracking", Bureau of

Reclamation, September 1997.

Mills, B.L., HVD-81 lO-MDA-97-5, ''Kinematic

Studies to Determine the Stability ofPostulated

Independent Concrete Blocks Indicated by the

Non-linear Analysis ofHoover Dam During

Seismic Loading'', Bureau of Reclamation,

December 1997.

Nuss, L.K., HVD-8 11 0-MDA-97-6,

"Orientations for the Modified Convict Creek

and Corralitos GroundMotions for use in the

Structural Analysis ofHoover Dam"", Bureau of

Reclamation, June 1996.

Payne, T.L., HVD-8 1 lO-MDA-97-7, "EACDFOK

- A Modified Version ofEACD-SD to Obtain

Hydrodynamic Pressure Time Histories at Nodes

on the Upstream Face ofDams'", Bureau of

Reclamation, September 1997

Payne, T.L., HVD-8 11 0-MDA-97-8, "EACDFOK

- Procedure and Verification for Incorporating

Full Hydrodynamic Interaction Other Finite

Element Codes'', Bureau of Reclamation, October

1997.

Payne, T.L., HWD-Sl lO-MDA-02-95 - "Influence

of Water Compressibility - Dynamic Linear Elastic

Structural Analyses - Hoover Dam", Bureau of

Reclamation. September 10, 1995.

Anatech Corporation, "ANACAP - Concrete

Analysis Program", Version 2.1e, 1997.

Scott, G., "RIGID - Dynamic Response ofJointed

Rock Masses", University of Colorado, 1982.

Chopra A. and Hanchen, T., •'EACD-3D-96: A

Computer Program for Three-Dimensional

Analysis of Concrete Dams", University of

California, Berkeley, California, Report No.

UCB/SEMM-96/06, October 1996.

Chopra, A., Hall, J., and Fok, K.. "EACD-3D-A

148
Computer Program for Three-Dimensional

Earthquake Analysis ofConcrete Dams'\

University of California, Berkeley, California,

Report No. UCB/EERC-86/09, July 1986.

O'Connell, R.H., "'Modified Convict Creek and

Corralitos Ground Motions for Hoover Dam - Boulder Canyon Project, Arizona and Nevada'',

Bureau of Reclamation, Technical Memorandum

No. D8330-96-004, February 22, 1996.

O'Connell, D. and Ake, J., "'Ground Motion

Analysisfor Hoover Dam'\ Bureau of Reclamation,

Seismotectonic Report 94-1, January 1995.

O'Connell, D. and Anderson, L., "'Seismotectonic

Study of the Northern Lower Colorado River - Arizona, California, and Nevada for Hoover,

Davis, and Parker Dams'\ Bureau of Reclamation,

Seismotectonic Report 93-4, April, 1993.

Harris, D., "Review of Hoover Dynamic Tests Relative to Other Published Literature'", Bureau of

Reclamation, Materials Engineering and Research

Laboratory, March 20, 1997.

Bolt, B., Clough, R.. and Hendron, A., "Report of

Board of Consultants on Hoover Dam

Modification Decision Analysis, Boulder Canyon

Project, Nevada'\ August 1994, November, 1995,

and September 1997.

Bureau of Reclamation, "Results of Direct Shear

Tests on Concrete Core Specimens, Hoover Dam,

Boulder Canyon Project'', Earth Sciences and

Research Laboratory Referral Number 8340-96-03,

February 5, 1996.

Bureau of Reclamation, "Report ofMass Concrete

Core Testing - Hoover Dam - Boulder Canyon

Project", Materials Engineering Branch Referral

Memorandum No. 8180-95-003, November 27,

1995.

Project", Lower Colorado Regional Office, May 27,

1993.

Dollar, Dave, "Preliminary Analysis ofStructural

Engineering Issues Including Effects ofthe MCE

- Hoover Dam", Bureau of Reclamation, May 13,

1994.

Ghanaat, Y. and Redpath, B., "Measurements of

Reservoir-Bottom Refection Coefficient at Seven

Concrete Dams", Quest Structures, Orinda,

California, October 1995.

United States Committee On Large Dams, "U.S. and World Dam, Hydropower, and Reservoir

Statistics", USCOLD Committee on Register of

Dams, 1995.

Bureau of Reclamation, "Arizona AbutmentGeologic Field Data Report-Modification Decision

Analysis Study-Hoover Dam-Boulder Canyon

149
NEVADA ARI ZONA

ions olong oxis of dom'

Locus of points of compound

curves poroilel to line of centers El.600 to EI.IOOO Base line

PC.EI.I232

Ostonce from oxis 1232 at El. 1255. 16 1200 R= 2105.8516'

ii= 2* 13' 56"

.00-. f

.0 d

PT.EI.IISOXX) 2.50- t*^

See OetoirB"'

- Axis of dom

Rodius to oxis of dam - soaoo'

T45.0Cfrp.C.O:)25^-°° Oistonce from oxis to center of curve 44a066'

ot El. 1290. 298 R = 407. 2609' t' 29*43'3I"

800

ilOO 5 = 0.05

700

-600

1-505

V 26

Arch center,

El. 1100 to EI.I232 N 30,017. 00

"t, W 50,445.00; ! ••^ ..---Bose line

EI.I050-'

t

\ ^

rEI. 1075 i \ (0

<ti :

EL 1025-^

EI.IOOO-''H

-KXX) R C. El. 979. 74

Distance from oxis to center of curve 130.07'

at El. 1039.70 R = I200 574' a = l3°34' 25" 900

800

DETAIL "B"

EXPLANATION

The ores for the upstreom foce ond for the

central portion of the downstreom foce.at ony given elevotion, hove o common center

Fillets extend from El.600 to El. 1225. Rd= Centrol portion, downstreom rodius. Ru= Upstreom radius. Rf = Fillet rodius.' a = Distance from line of centers to point

of compound curve. Oistonce from bose line to point of compound curve.

Oistonce from line of centers to fillet center Oistonce from bose line to fillet center Distance from base line to ore center

Distance from line of centers to point

of tongency.

g = Distance from base line to point of tongency. See table I.

Figure 1 - Plan and Section of Hoover Dam

(reprint from Boulder Canyon Project - Final Reports 1941)

150
o MaxY =

. 72 at 4 .26 UPSTREAM ACCELERATION

MinY = 74 at 4 . 36 —^

Wwv^

LU

o MaxY =

1 . 0 2 . 0

. 43 at 4 .71

3.0 4.0 5,.0 6.0 7.0 TIME - SECONDS

CROSS-CANYON ACCELERATION

a . 0

MinY =

9 . 0 10 . 0

. 47 at 4 . 65

0 1.0 2.0 3.0 4.0 '5.0 6.0 7.0 8 0 9 0 10 TIME - SECONDS

VERTICAL ACCELERATION

MaxY= .34 at 4.32 MinY= -.24 at 4.38

OHO

< „.0

in Max Y=

1 .

' . 0 3 . 0 4.0 5.0 5.0 TIME - SECONDS

7.0

2.50 at ACCELERATION RESPONSE SPECTRA (5% DAMPING)

. 15 MinY=

9 . 0 10 0

.03 at 2.3?

Figure 2 - Convict Creek Accelerograms And Acceleration Response Spectra

151

2 , 0
o Max Y = . 69 at 2 . 57 UPSTREAM ACCELERATION

MinY = ,49 at 3.02

0 1

Ma.x Y =

0 2

.54 at

0

4 . 03

3 0 4 CROSS

0 5 TIME - -CANYON0 6.0 7 SECONDS

ACCELERATION

0 a

MinY =

0 9

- . 46

0 10

at 3.69

10.0

4.0 5.0 6.0 TIME - SECONDS

ACCELERATION RESPONSE SPECTRA (5% DAMPING)

inMaxY= 2.10 at .30 . MinY =

10.0

12 at 2.35

1 H

^ r

'

Note

1 . — ^

5

'. A c c: e 1 e r c Upsi

Cno = Ver

5t 1 on Sp

; ream

Canyo

: 1 c a 1

ectra 1 ; 542 . 6

n 339.6

334 . 6

Intens i t cm/sec

c m/sec

cm/sec

y (ASI) : Sol id

Dashed

ChnDasl1

1 /\

S

^ \

\

1

1'

I \

\

'

.0 .8 1.0 1 . , PERIOD (SECONDS)

1 . 4 1 .6 1 . 8 2 . 0

Figure 3 - Corralitos Accelerograms And Acceleration Response Spectra

152
u u ^-£

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E X

L.•1 X o) » c « « M O 3 a a 1. 3 *> a L — cn > a a

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I-l a L. *t U. U o c a z cn > a c c Z 1 1 — 1—

u u— 1 Ul U) n

_j w u) m

Q

(S QG)OJ

(9SS

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Figure 4 - Tested Shear Properties On Extracted Concrete Core

153

OJ

<c\

J3

m

cnu

»-

CE2:O

z

CO 0) CO

(l> 19 U r-l (9 •U

<M C/5 4) i-H CQ

Cd g

OQ O 4J

(9 Cd
Figure 5 - Finite Element Model Of Hoover Dam And Foundation

154
155
W

—i / ,

/

/

/

/

/

1/

/

o

u

s

o. H

Figure 7 - Postulated Cracking Of Hoover Dam From A Non-linear Dynamic Analysis

With A Massless Foundation

156
Inert ia 1, Hydnodynamic S Static Reservoir Forces

Values at top of dam

Horizontal Inertial Forces

— we .ght D f ma del

II 1 w

IP1

.0 1

MaxY"=

0 2

^311 .

0 3

43 at

.0 A

4.61

5.0 6

ver

0 7

T] •tica

0 B ne -

1 Ine

0 9 Seconc rtial0 10

is Fore

.0 11

res

.0 12 . 0 13

MinY--

.0 14

2681 .

. 0 15

5B at

. 0 15

4.68

— We ight f mc del

»—

in.O

ID 1.0 2.0 3.0 A.O 5.0 6.0 7.0 8.0 9.0 Time - Seconds

10.0 11.0 12.0 13.0 14.0 15.0 16.0

693.94 at 4.35 Hydrodynamic ForcesMinY- -625. 19 at 4.46

^St, it ic ^eser voir fore

^s^V—

ncD

lO.O

(D 1.0 2.0 3.0 4.0 5.0 6.0 7.0 e .0 9.0 Time - Seconds

10.0 11.0 12.0 13.0 14.0 15.0 16.0

Figure 8 - Hydrodynamic And Inertia Forces At The Top Of Hoover Dam

157
Development and Operation of Large Centrifuge at PWRI

by

Osamu Matsuo'\ Tatsuya Tsutsumi^\ Mitsu Okamura^', Tetsuya Sasaki^^ and Kunio Nishi"^

ABSTRACT

A large geotechnical centrifuge with a radius

of 6.6 m has been developed at Public Works

Research Institute in 1997. For the purpose of

the geotechnical earthquake studies, a powerful

electro-hydrauric shaking table designed to work

in the centrifuge has also been developed. This

shaking table provides 40G shaking acceleration

to a model of 1 ton, which acceleraton is equivalent to the maximum ground acceleration

observed during the 1995 Hyogoken Nanbu

earthquake for a model at 50G centrifugal

acceleration field. The centrifuge has been under extensive use to investigate various geotechnical problem.

Results of centrifuge tests carried out so far are

briefly described.

Key Words: Geotechnical Centrifuge,

Shaking Table, Model test Retaining Wall

1. INTRODUCTION

Public Works Research Institute (PWRI)

constructed first geotechnical centrifuge with a radius of 1.25 m in 1961. With increasing

needs of geotechnical earthquake studies, the

second centrifuge with a radius of 2.0 m was

introduced in 1987 with a shaking table having a

capacity of 40* ton. This centrifuge has been

used to study various boundary value problems

including soil liquefaction, seismic slope stability, soil improvement techniques, tunnel excavation,

and so on. The Hyogoken Nanbu earthquake, January 17,

1995, that hit the densely populated area caused

devastating damages to human lives and

properties. It also demonstrated various

earthquake geotechnical problems. Immediately

after the quake, PWRI, the Ministry of

Construction headquarters and the Government

decided to construct a new centrifuge with a

shaker which can simulate strong ground motion

observed in the past earthquake. PWRI

initiated basic and detailed design works in May,

1995. Construction of the centrifuge and the

enclosure started in March, 1996 and completed

in March, 1997.

In this paper, notable features of the centrifuge

are described in detail and results of dynamic

centrifiige tests on retaining walls are also

discussed.

2. CENTRIFUGE SPECIFICATIONS

The centrifuge that has been newly installed at PWRI is the largest centrifuge in Japan, with a

effective radius of 6.6m and maximum payload of

2.7 tons at up to 150G (400G • ton). A

photograph and a schematic illustration of the

centrifuge are shown in Fig.l and 2, respectively.

Notable specifications are summarized in Table 1. The main parts of the centrifuge are housed in an underground reinforced concrete pit, 17.0 m in

diameter and 4.6 m deep. A pair of hydraulic

jacks is installed at one side of rotation arm. When the platform swing up, these jacks push the

swing platform to sit on the end plate of the arm

so that strong earthquake motions can be

simulated by fixing the swing platform to the rigid

rotating arm. This is called "Touch-down System"

(Naguraetal. 1994).

In order to eliminate the imbalance moment

produced during spinning, a in-flight automatic

balancing system is equipped. In-flight

balancing is achieved by moving two balancing

weights on the rotation arm. When the balance

1) Head, Soil dynamics division. Earthquake

Disaster Prevention Research Center, Public

Work Research Institute, Ministry of

Construction, Tsukuba city 3050804, Japan

2) Research Engineer, ditto 3) Senior Research Engineer, ditto 4) Research Engineer, Technical Institute, Hazama

Corporation, Tsukuba city, Japan

158
Fig. 1 Photograph of the centrifuge

Table 1 Specification of centrifuge

(unit : mm)

1 5000 1 5000

Effective Rotor Radius 6.6 m

Maximum Acceleration static test : 150 g dynamic test : 100 g

Payload Weight 5 ton

Payload Capacity 400 g-ton

Swing Platform static test : 2 dynamic test : 1

Platform Space length : 2.4 m

width ; 1.3 m

height :1.0m

Data Acquisition static test : 100 ch dynamic test : 80 ch

Fig.2 Schematic view of centrifuge

of the arm is lost and the horizontal displacement

of the rotating axis measured with a gap sensor becomes large, the imbalance error signals are delivered and the weights are moved. The

auto-balance capacity is 5 % of the maximum

payload, that is 20G-ton.

3. DETA ACQUISITION AND

MONITORING SYSTEM

(1) Rotary Joints

The centriftige is equipped with rotary joints

through which fluids can be sent to the platform.

There are a total of 8 passages, with 6 rotary joints

for oil and 2 rotary joints for either water or air.

159
Dynamic Test Static Test Transducers

Dynamic Strain Amplifier : 80 ch

Static Strain Indicator : 100 ch

Tfv

A/D E/0 Converter

128 ch

GP-IB Interface I Rotating

Arm

Multiport Fiber-optic Rotary Joint

D/A 0/E Converter

128 ch

Control

GP-IB Interface I Room

7K—

I A/p Converter ] Control

Signal Data Acquisition Unit(EWS)

Fig. 3 Flow of data acquisition

Fig.4 Photograph of Shaking table

Table 2 Specification of shaking table

Table Size length : 1.7 m

width : 1.0 m

Shaking Direction horizontal : 1

Type of Shaking Wave sinusoidal wave

irregular wave Maximum Centrifugal Acceleration 100 g Maximum Shaking Acceleration 40 g Maximum Velocity 90 cm/s

Maximum Displacement ±5 mm

Capacity 40 g-ton

Frequency Range 10 - 400 Hz

The capacity of working pressure is 10 MPa for

oil and 0.7 MPa for water or air, respectively.

(2) Data Acquisition System

A diagram of the data acquisition system is shown in Fig.3, For dynamic tests, the

analogue signals from transducers are amplified,

digitized and converted into optical signals

through the electro-optic converting unit mounted

on the arm. Through the multiport fiber-optic

rotary joint, the data are sent to the optic-electric

converting unit in the control room and recorded on the internal disk of a workstation. For static

tests, the signal outputs of transducers are recorded on the static strain indicator on the

rotating arm. The data are sent to the

workstation through the GP-IB interfaces. The

dynamic strain amplifier and the static strain indicator are controlled from the workstation

through the GP-IB interfaces.

(3) Monitoring System

Photographs and video images of a model on

the swing platform in-flight can be taken with the

strobo-camera and the CCD camera mounted on

the arm, respectively.

4. SHAKING TABLE

(1) Specifications

An electro-hydrauric shaking table shown in Fig,4 has been developed. Specifications of the

shaking table are shown in Table 2. The

capacity of the shaking table is as large as that of

the shaker at UC Davis (Kutter et al. 1994) which

is the largest in the world. The shaking table

provides horizontal acceleration of 40G to a model of 1 ton. For the tests conducted at 50G,

horizontal acceleration of 40G is equivalent to the

maximum ground acceleration observed during

the 1995 Hyogoken Nanbu earthquake.

(2) Earthquake Simulation System

The earthquake simulation system is composed of

the excitation device, the hydraulic supply system,

and the control system as shown in Fig.5.

160
§60

c 30 g

2 0 S-30

o

0

-40

-80

- " T "At ~ An - - r yc

(a) f=40Hz, a=23g (v=90cm/s) (b) f=100Hz, a=40g

Time (sec) Time (sec) 0.015

(c) f=200Hz, a=40g (d) f=400Hz, a=25g

Fig. 9 Recorcied response accelerationtime history

105

0

-5

-10

-15,

0.1 0.2 0.3 0.4 0.5 0.6 Time (sec)

(a) Hyogoken Nanbu earthquake

0.7 0.8

' ' 1

' ' iRespdnse waves

0.1 0.2 0.3 0.4 0.5 0.6 0.7 Time (sec)

(b) Tokachi-oki earthquake

Fig. 10 Comparison between target waves

and response waves

0.8

extremely high frequency.

Next, two earthquake waves were used under

30G: the NS component of the Kobe Marine

Observatory acceleration record in the 1995

Hyogoken Nanbu earthquake (Kobe wave), and

the EW component of the Aomori Harbor

acceleration record in the 1968 Tokachi-oki

earthquake (Aomori wave). Each of the target waves was scaled so that the maximum

acceleration was 12 g and the predominant

frequency became 60 Hz. In Fig. 10 the response

acceleration waves of the shaking table with a weight of about 1.4 ton are compared with the

target earthquake waves. These input waves were

corrected with the excitation control system.

Figure 11 shows that the response waves almost

coincides with the target waves.

6. DYNAMIC CENTRIFUGE TEST

Several series of tests, aiming at investigating seismic behavior of huge bridge

foundations on weak rock, retaining walls and

embankment, and lateral spreading of liquefiable

sand behind quay walls, were conducted in the

centrifuge so far. Among them, results of tests on the retaining wall are briefly described in this section.

(1) Test procedures and conditions

In a rigid container with an internal

dimensions of 150cm long X 50cm deep X 30cm

wide, dry Toyoura sand was rained to form dense

foundation soil of 10cm deep with relative density

of approximately 80%. A model gravity

retaining wall with a height of 30cm was placed on the foundation soil and the sand was rained

again to build backfill behind the wall. The

sand was rained intermittently so that accelerometers were set at the predetermined

positions in the model. Configurations of

various sensors in the model are shown in Fig.ll.

On the bottom and side of the model, a total of ten load cells which could measure normal and shear

forces were built in. Test conditions are summarized in Table 3. Relative density of the backfill was approximately

161

4
- The torque motor swings the armature according

to the current.

- The pilot spool is driven up and down by the

swing of armature.

- The quantity and the direction of oil supplied to a main spool are controlled by the movement of

the pilot spool, and the main spool is driven right

and left.

- The quantity and the direction of oil supplied to the actuator are controlled by the movement of the

main spool, and the actuator is moved right and

left.

- The excitation power is transmitted to the

shaking table.

b) Hydraulic supply system

When dynamic tests are performed, it is necessary to supply a large amount of pressurized

oil to the excitation device. Therefore, the oil is supplied continuously from the hydraulic pump in the machine pit to the accumulator on the rotation arm through the rotary joints.

c) Excitation control system

The excitation control system consists of the

signal generation unit and the servo control unit. The control signal is transferred to the excitation

device through the optical rotary joint. The

signal generation device has the functions to generate input signal and to correct the input

signal so as to adjust response waves to target waves according to the feedback signal from the

excitation device.

5. PERFORMANCE

In order to check the performance of the

shaking table, proof tests were carried out. At

first, sinusoidal input acceleration was tested at lOOG. Several points on the shaking limit line

shown in Fig.8 were selected. Figure 9 shows the

response acceleration time-histories of the shaking

table with a model of some 400 kg fixed on it at frequencies of 40, 100, 200, 400 Hz. The

figure indicates that response waves were

distorted in the case of large displacement or

162
Control Room

Signal

Generation Unit

Servo ^ Control Unit

> Rotating Arm

Feedback Signal

Fiber-optic ^ Rotary Joint Control Signal

Hydraulic Supph

—

Servo

Amplifier

Excitation

Device

Hydraulic Pump ~[wxXxx.Sv^S/n/-B£S^^

^

Rotary Joint

I Machine Pit <—|

> Rotating Arm

I

Fig. 5 Earthquake simulatiqii system

(unit : mm)

1700

1 740

^celeration

Transducer /

Shaking Table

/Dispiacenent Transducer

(LVDT) Servo Valve

8 units

Actuator

A

2610

4 units

Centrifugal Force

Anuture Counter Reight

Servo Valve

Actuator

Fig. 6 Plan and side view of shaking table Fig. 7 Schematic view of Actuator and

servo valve

a) Excitation device

As shown in Fig.6, the excitation device is designed symmetrically. Two actuators which

have two servo valves in each are arranged on

both sides of the shaking table. In order to measure the displacement of actuators and the

acceleration of shaking table for the control,

LVDTs and accelerometers are put on the shaking

table. Figure 7 shows the structure of the actuator and

the servo valve. The servo valve is composed of a

large-scale torque motor, a pilot spool and a main

spool, and controls the quantity and the direction

of flowing oil to the actuator according to the

movement of a main spool. In order to make

the excitation capacity larger, it is necessary to

supply a large quantity of flowing oil to the

actuator. Therefore the diameter of the main

spool become large, and the pilot spool is installed

in order to drive the main spool hydraulically.

The pilot spool hangs on the one end of armature

in the direction of a centrifugal acceleration, and

the counter weight is put on the opposite end.

As a result, an unbalanced torque caused by the

self-weight of the pilot spool and a friction torque

by the vertical motion is deduced. The

movement of the servo valve and the actuator is controlled along the following operation.

- The signal from the servo control unit is converted to the electric current by the servo

amplifier, and the current is input to the torque

motor.

163
Table 3 Test conditions

iCbl LUUC rvcictii vc vj.ciioiij' TfiT^iit lllLfUl mntinn lilUlXUll \/fav fippplpratinn tpQtpH

( pal^ in nrototvnp ^ralp^

Centrifugal

acceleration

Casel 82% Sinusoidal 60, 95, 176, 288, 309, 353, 418

30G

Case2 61% Sinusoidal 77, 198, 305,450

Case3 82% Kobe wave 207, 262, 382, 481, 571, 600, 747, 823

Case4 83% Aomori wave 150, 173, 288, 358, 437, 498, 590

CaseS 83% Sinusoidal 341,424

retaining wall

44

dry sand

A5

S6S75859

A8

150

MA Accelerometer

Displacement transducer OS Load cell A9

Fig. 11 Model retaining wall

80% with an exception for Case2 where sand was

prepared in the medium dense condition(61%)

relative density). All the tests being carried out

at 30G centrifugal acceleration field, the models

are equivalent to prototype walls of 9m high.

The models were excited horizontally with

approximate sinusoidal wave with 30 uniform

cycles of predominantly 60Hz acceleration for

Casel, 2 and 5, Kobe wave for Case 3 and

Aomori wave for Case 4. The time axis of the

acceleration time histories of the two earthquake

records were scaled so that predominant

frequency becomes 60Hz. Shaking test was

repeated several times for each model, with

increased maximum acceleration ; for Case 1, for instance, 30 cycles of sine wave was applied

for every step, with a^= 1.99G (65 gals in prototype) for the first step, =2.760 (90 gals)

for second step, and so on.

(2) Results and discussions

In the following discussion, test results are

(a) after first shaking (341 gals)

(b)afiter second shaking (424 gals)

Fig. 12 Deformation of wall and backfill

with clear slip surfaces (CaseS)

164
c

o

N

0 100 200 300 400 500 600 700 800 900

Input acceleration (cm/s")

Fig. 13 Variation of horizontal displacement increment versus input base

acceleration

shown in the prototype sense otherwise

mentioned; measured acceleration and frequency

in the models are divided by a factor of 30. Figure 12 shows photographs taken after shaking

tests with a^=341gals and 424gals in Case 5.

It can be clearly seen in Fig.l2(a) that the wall

slid outwards and rotated counterclockwise and an

active wedge with apparent slip surface developed

in the back fill after shaking event of a^=341

gals. The angle of the slip surface to the

vertical agrees well with that predicted from wellknown Mononobe-Okabe approach (Mononobe

and Matsuo, 1929; Okabe, 1924) in conjunction

with peak input acceleration and an angle of

shearing resistance of the sand of 45 degree.

After the shaking test with =424 gals another

slip surface with gentle slope was formed as shown in Fig. 12(b), as was predicted by

Mononobe-Okabe approach.

Horizontal displacement increment of the top

of the wall during each step divided by the wall

height is plotted against in Fig.l3. For

cases with sinusoidal wave, that is Case 1, 2 and 5,

it was observed that there is a threshold

acceleration of approximately 300gal below

which displacement of the wall was less than 1%

of the wall height and no slip surfaces developed

during shaking. In the step with higher

than the threshold acceleration the model wall

displaced largely and apparent slip surfaces were

observed. This fact is consistent with results of a

detail study by Bolton (1991) that active

conditions are reached by outward movement of

the order of 0.1% of the wall height in dense sand. For Case 3 and 4, in which Kobe wave and

Aomori wave were used, slip surfaces were

observed after shaking step with a^=571 gals

and 498 gals respectively, and deformation of the

walls did not largely increase in the subsequent

step. This may be due to the fact that earthquake waves used in this study, in particular

Kobe wave, had only several cycles of large

acceleration, while 30 cycles of the maximum

acceleration for the sinusoidal wave. It should

be noted in Fig.l3 that displacement of the test with Aomori wave (Case 4) was larger than that with Kobe wave (Case 3). These observation

confirms that many cycles with smaller peak

acceleration contained in the real earthquake waves had little contribution to accumulate the

deformation of the retaining walls. The exact level of earthquake design of the

retaining wall is uncertain, however, it is apparent

that the threshold acceleration observed for Case 3

and 4, that is 571 gals and 498 gals respectively, was considerably in excess of any code

requirement. This may indicate that displacement-based design approaches are needed.

The results presented in this section are part of

ongoing project. Authors have been validating

the Newmark's sliding block approach as a displacement based design method of retaining

walls (Steedman, 1998) by comparing with test

results. REFERENCES

Kutter, B. L., Idriss, I.M., Khonke, T, Lakeland,

J., Li, X.S., Sluis, W., Zeng, X., Tauscher, R.C.,

Goto, Y. and Kubodera, I. 1994. Design of a

large earthquake simulator at UC Davis. Proc.

Int. Conf Centrifuge 94, Singapore. Balkema:

169-175.

Nagura, K., M. Tanaka, K. Kawasaki & Y. Higuchi 1994. Development of an earthquake

simulator for the TAISEI centrifiige. Proc. Int. Conf Centrifuge 94, Singapore. Balkema: 151-

165
156. Mononobe N. and Matsuo H. 1929. On the

determination of earth pressure during

earthquakes, Proc World Engng. Congress,

Vol.9, pp. 177-185

Okabe S. 1924. General theory of earth pressure,

Journal of Japan Civil Engng Society, Vol.12,

No.l

Bolton M.D. 1991. Geotechnical stress analysis

for bridge abutment design. Contractor report

270, Transport and Road Research Laboratory,

Crowthome, Berks.

Steedman R.S. 1998. Seismic design of retaining

walls. Proc. Institution of Civil Engineers,

Geotechnical Engineering, Vol.131, pp. 12-22

166
The Influence of Confining Stress on Liquefaction Resistance

by

M. E. Hynes, R. S. Olsen and D. E. Yule*

Abstract

Laboratory measurements typically indicate

that for a given soil, consistency (relative

density for sands and gravels) and stress history there is a non-linear relationship

between liquefaction resistance and confining

stress (Seed and Idriss 1981; Seed 1983;

Seed 1984; Vaid, Chem & Tumi 1985; Seed

1987; Hynes 1988; Harder 1988; Seed &

Harder 1990; Pillai & Byrne 1994; Youd &

Idriss 1998). Consequently, if cyclic

strengths, either fi-om laboratory

measurements performed at a confining

stress of 1 atm or estimated fi^om

correlations to in situ measurements such as Standard Penetration Tests (SPT), are

linearly extrapolated to higher effective

confining stress levels, the calculated

liquefaction resistances may be too high.

The effect of confining stress on liquefaction

resistance is farther complicated by soil compressibility and stress history.

The state-of-the-practice approach to

account for the non-linear relationship

between liquefaction resistance and vertical

effective stress is to use published charts

derived from existing laboratory data on

similar materials or to determine a site specific relationship with a comprehensive

laboratory testing program. Whichever

approach is used, liquefaction resistance is conventionally represented as the Cyclic

Resistance Ratio (CRR, the ratio of cyclic

shear strength divided by the vertical

effective stress, ct^'). For a given soil at a given consistency and stress history, the

CRR generally decreases with increasing

vertical effective stress. This decrease is

described by the factor K„ which is defined

as the ratio of CRR for a given a^' to the

CRR at a vertical effective stress of 1 atm,

CRRi (compared at the same relative

density).

1. Introduction

The use of laboratory tests to establish

CRRi for a material has decreased over the

last decade in favor of in situ test correlations because of the cost-effectiveness

of in situ measurements, the robustness of

the Seed SPT-liquefaction chart (Seed et al. 1985, Youd and Idriss 1998), and concerns over sample disturbance and other issues

associated with laboratory test results. The

CRRi can be determined from in situ measurements such as the SPT, Cone

Penetration Test (CPT), or shear wave

velocity (Vj), or from laboratory

measurements. The state-of-the-art for

estimating CRR^ using the SPT is given by

Seed et al. (1985); using the CPT is given by

Stark et al. (1995) or Olsen, Koester and

Hynes (1996); and using Vg is given by

Andrus and Stokoe (in Youd and Idriss

1998). The data base for these CRRi

correlations consists of information from

water-laid deposits of sands and silty sands,

level to slightly sloping ground, under

vertical effective stresses of less than 3 atm.

Consequently, laboratory tests have been

used to provide a relative scale to adjust the

*Earthquake Engineering and Geosciences

Division, Geotechnical Laboratory

USAE Waterways Experiment Station

VicksburgMS 39180-6199

167
CRRj values from in situ tests to higher

confining stress levels and non-level ground

stress conditions. The purpose of this study

was to review and report the current state of

knowledge with respect to the influence of

overburden stress on liquefaction resistance.

2. Historical Data and

Charts

Seed and Idriss (1981) to Seed and

Harder (1990)

Early tests on sands and silty sands indicated

considerable scatter in the values of K^,

These data, summarized in Figure 1 and

taken in part from Harder (1988), include

Sacramento River sand (Lee 1965),

Monterey No. 0 and Reid-Bedford sands

(Townsend and MuUuUs 1976), Upper and

Lower San Fernando Dams (Seed et al. 1973) and Fort Peck Dam (Marcuson and

Krinitzsky 1976). Superimposed on Figure 1

is an early relationship suggested by Seed

and Idriss (1981). As more data became

available, the chart was updated by Seed

(1984 and 1987), Harder (1988), and Seed

and Harder (1990), shown in Figure 3.

Upper and Lower San Fernando

Dams, Seed et al. (1973) and Seed

et al. (1989)

Seed et al. (1973) and Seed et al. (1989)

report the results of cyclic triaxial tests on

undisturbed samples of silty sand and sandy

silt from the Upper and Lower San Fernando

Dams (USFD and LSFD). LSFD came

within inches of being overtopped after an upstream slide developed in the dam as a

result of the 1971 San Fernando earthquake.

USFD settled 3 ft and moved about 5 ft downstream, but did not fail; if it had failed,

the downstream dam would also have been

breached. This event resulted in the

evacuation of 80,000 people immediately

downstream of the two reservoirs.

Construction of LSFD began in 1912, and

construction of USFD began in 1925. The

method of construction was hydraulic fill, resuhing in an in situ relative density of

about 55 percent. Seed et al. (1973) and

Seed et al. (1989) observed that the cyclic

strength was about the same for the silty

sands and sandy silts; the method of

deposition resulted in a consistency that now

had a uniform cyclic strength, although the

material type changed. Comparison of the

cyclic strength interpreted fi-om SPT

correlations was very similar but slightly

greater than the strength determined from

the undisturbed specimens of the hydraulic

fill (Figure 4).

Fort Peck Dam, Marcuson and

Krinitzsky (1976)

Marcuson and Krinitzsky (1976) report the

results of cyclic triaxial tests on undisturbed

and reconstituted (wet pluviation) samples of

hydraulic fill and foundation soils from Fort

Peck Dam. Construction of Fort Peck Dam

began in 1934. Relative densities determined

in the laboratory resulted in values of about

40 to 50 percent, rather than the 70 percent

average value indicated fi^om the Gibbs and

Holtz relationships for corresponding

blowcounts. Marcuson and Krinitzsky

(1976) made a comparison of the cyclic

strength of undisturbed and reconstituted

specimens at a confining stress of 8.3 psi

(0.57 atm). These data indicate that the

cyclic strength of the undisturbed specimens

was about 80 (foundation material) to 150

(shell material) percent greater than for

reconstituted specimens.

168
Sardis Dam, U.S. Army Engineer

District, Vicksburg (1985, 1988)

Sardis Dam is one of the three hydraulic fill dams owned by the Corps of Engineers.

Reevaluation of the seismic stability of Sardis

Dam began shortly after the near

catastrophic failure of LSFD, in part because

of its proximity to the New Madrid fault zone in Central U.S. Sardis Dam was

constructed in the late 1930's. Material

mixtures in the fill and foundation range from

sands to silts to high-water-content, lowplasticity clays. The results of cyclic

laboratory tests, conducted over the course of the reevaluation, were provided by U.S.

Army Engineer District, Vicksburg, for

inclusion in this study.

Olsen(1984)

Olsen (1984) generalized the data trends

fi-om the preliminary relationship by Seed

(1984), together with project data at WES

into the following expression: K^, = {a\) ^' ^

. Olsen (1984) reported that the stress exponent, f , ranged fi^om 0.6 to 0.95 with

0.7 recommended for sands. This

recommendation is similar to the updated

Seed curves shown in Figure 2, and also

bounds the data fi^om Vaid and his

colleagues described next.

Vaid et al. (1985),

Vaid and Thomas (1994)

Cyclic strength, K„ for pluviated clean sands

Vaid et al. (1985) conducted cyclic triaxial tests on two fine, clean sands, well rounded

Ottawa sand and an angular tailings material, to investigate the effects of relative density,

compressibility, confining stress, and particle

angularity on cyclic strength. CRR for

confining stresses of 200, 800, 1600 and

2500 kPa were determined as a fianction of

consolidated relative density. The samples were constructed by dry pluviation, and

vibrated to increase density.

Vaid et al. (1985) observed that there are competing effects of increased confining

stress; one is densification due to the

compressibility of the material with

increasing confining stress which has the

effect of increasing CRR and the other is the

curvature in the cyclic strength envelope

which tends to decrease CRR as confining

stress increases. If CRR values are compared at the same consolidated relative

density, the data indicate a trend toward

convergence of the cyclic strength curves, developed for different confining stresses, at lower relative densities. These data imply

that Kg is approximately one for very loose

materials, and increases as relative density

increases. These data indicate that for

clean sands and silty sands have a limiting

value of about 0.6 at a confining stress of

about 8 atm. The cyclic triaxial test data

fi^om Vaid and Thomas (1994) on Fraser

River sand (dry pluviated and vibrated

specimens) follow a similar trend.

Stress focus plots of cyclic strength and CRR

for pluviated clean sands

Trends and deviations in geotechnical data

with confining stress are sometimes easier to see when the data are plotted in log-log

plots. These log-log plots are termed stress focus plots from Olsen (1994). If data fit as a straight line on a log-log stress focus plot,

then that data is well fitted by a simple

exponential curve. Stress focus plots were

used in this study as a framework for

investigating confining stress effects on

cyclic strength and CRR. The Vaid et al. (1985) and Vaid and Thomas (1994) data are plotted on stress focus charts (log jo cyclic

169
strength plotted versus log lo effective

confining stress, atm) in Figure 5. This

figure shows that at confining stresses of 400

kPa and greater, the cyclic strength envelope

is well fitted with an exponential curve (plots as a straight line on a log-log plot).

These data follow the stress focus concept,

namely that the cyclic strength curves for

different relative densities tend to converge

as confining stress increases. This point (or

zone) of convergence is termed the stress focus. As shown by Olsen (1994), the

location of the stress focus is a function of

soil type and mineralogy. The slope of a line

in a stress focus plot corresponds to the

inverse of the exponent used by Olsen (1984)

to describe K,, : K„ = (a'J

^

' ^. Consider

generalized stress focus cyclic strength lines

for a very loose, medium dense and dense

sand. As density increases, the cyclic

strength at a confining stress of 1 atm, CRRi,

increases. As density increases, the slope,

1/f , of the stress focus cyclic strength line

increases. The corresponding K^, curves are determined as: K^, = {a\) ^

" ^ As density

increases, the exponent f decreases and K^,

decreases, resulting in a more severe reduction to CRR.

Gravelly Soils, Hynes (1988 and 1996)

Hynes (1988) conducted 15-in. diameter

cyclic triaxial tests on moist tamped gravel

specimens from Mormon Island Auxiliary

Dam, constructed to relative densities of

about 40 and 64 percent. Similar tests were

conducted at WES on Ririe Dam gravels

(Sykora et al. 1991) compacted to a relative

density of about 45 percent, and Success

Dam gravels compacted to a relative density

of about 50 percent (U.S. Army Engineer

District, Sacramento 1996). Banerjee et al. (1979) conducted tests on well-compacted

Oroville Dam gravels (relative density of

about 84 percent, 12-in. diameter, specimens

constructed in 6 layers with surface vibrator

applied for compaction). Cyclic strengths

for this study were compared at N = 10 load

cycles.

Hynes (1996) observed that the cycUc

strength envelopes for these gravels have an upward turn at low confining stress, less than

3 atm. Hynes (1996) proposed that this

behavior is caused by a stress history that the

sample construction process builds into the

specimen, causing it to behave as an

overconsolidated (oc) soil; oc material has

greater axial and horizontal stiffiiess, is more

resistant to volume change, and thus is more

resistant to development of residual excess pore pressures when subjected to cyclic

loading. In a stress focus chart, overconsolidation is indicated by a steepening of

the cyclic strength line as confining stress decreases. Over-consolidation results in

reduced values of .

The K„ values interpreted from the gravel

data depend upon how the CRR^ is estimated

(also the failure criterion used such as maximum pore pressure response and cyclic

strain level, and membrane compliance

corrections applied). The most conservative

K(, values are obtained by straight-line

projection of the cyclic strength-effective

confining stress Mohr-Coulomb envelope to estimate CRRj . The resulting K„ values for

Oroville gravels are : K„ 0.54 at 2 atm and

0.2 at 8 atm confining stress. The most

optimistic K„ values are obtained by ignoring

the apparent "overconsolidated" data at 2

atm, and then projecting the cyclic strength

envelope to the origin. This results in K^,

values of 0.50 at 8 atm and 0.44 at 14 atm

for Oroville gravels. The range of K„

interpretations for the gravel data collected

in this study are plotted in Figure 6, with the

Seed and Harder (1990) curve for reference.

170
Except for the most optimistic

interpretations, these gravel data generally

plot below the data for clean and silty sands

(resulting in a more severe K„ reduction to CRRi).

Byrne & Harder (1991), Pillai & Byrne

(1994) and Pillai & Stewart (1994)

Byrne and Harder (1991) selected K„ values

for clean sands from previous work to

develop a recommendation for the clean

sands and gravels present at Terzahgi Dam,

Canada. Their data set included the work by

Vaid and his colleagues at the University of

British Columbia at Vancouver (UBC), as well as clean sand data from Seed and

Harder (1990). This clean sand curve is plotted in Figure 7. Pillai and Byrne (1994)

estimated values for Duncan Dam

foundation materials. At Duncan Dam, the

foundation contains a water-laid unit of very

fine sand (D50 = 0.2 mm) with 5 to 8 % fines

(typical gradations shown in Figure 1 la).

Foundation soils were frozen in situ to

extract high quality samples for laboratory

testing. Pillai and Byrne (1994) and Pillai and Stewart (1994) report constant values of

CRR for confining stresses of 2 to 12 atm

from cyclic triaxial laboratory results, and

also constant values of CRR for confining

stresses of 2 to 6 atm from cyclic simple

shear laboratory results. If CRR is constant

regardless of confining stress (for a fixed

relative density), then is equal to one.

The in situ freezing procedure resulted in

undisturbed samples with a wider range of

void ratios and slightly lower average than

the values measured in situ by other means

(including gamma-gamma logging). When

these samples were reconsolidated to

effective confining stress levels of 2, 4 and 6

atm, they densified. The CRR values at 10

cycles correspond to a relative density of

about 55 percent, and indicate values of

about one.

For the liquefaction analysis of the fine sand

unit in the Duncan Dam foundation, CRR

was estimated to be constant with confining

stress in the fine sand, with CRR = 0. 12

(earthquake magnitude = 6.5). Pillai and

Byrne (1994) and Pillai and Stewart (1994)

state that the N-values measured in the unit

at various effective confining stress levels

(various overburden depths) were converted

to Nj 60 values using an energy correction

measured for the SPT equipment and Gibbs

and Holtz (1957) relative density

relationships to determine Nj for a given

relative density (known from the gammagamma logging and undisturbed samples).

CRRi values from Seed's liquefaction chart

(Seed et al. 1985) were inferred from the

Nj 60 values. K„ values were estimated as the

ratios of CRR (equal to 0. 12) to CRRi

values. This procedure combines changes in

CRR due to confining stress with changes

due to densification, and requires

considerable confidence in the relationships

used to determine go for a given relative

density. However, in this case, the resulting

CRR is about the same as would be obtained

if densification effects are treated separately

and Cn and corrections are determined

for fixed values of relative density.

Gibbs and Holtz (1957) performed chamber

tests on a coarse sand (D50 =1.5 mm) with

zero fines and a fine sand (D50 = 0.3 mm)

with 14 percent fines. Gibbs and Holtz

(1957) performed chamber tests on dry,

moist and saturated coarse sand specimens

and dry and saturated fine sand specimens.

They used confining stresses of 0 (selfweight), 10, 20 and 40 psi (0, 0.68, 1.36 and

2.72 atm). For the Duncan Dam analysis, it appears that Nj ^o values were linearly

interpolated from the measured value of Nj

60 = 10 for the fine sand at 1 atm and D^ = 30
% , to the estimated value of Nj \9 at = 65 % , using Gibbs and Ho'ltz (1957)

relationships as a guide.

Marcuson and Bieganousky (1976)

performed SPT chamber tests to determine

Cj^ corrections and relative density

relationships for fine to coarse sands with

low fines contents. They used two fine

sands, Reid-Bedford Model sand and Ottawa

sand, with gradations similar to Duncan

Dam. Marcuson and Bieganousky (1976)

used effective confining pressures of 10, 40

and 80 psi (0.68, 2.72 and 5.44 atm). Their

relationship between Nj go and D^ for fine,

submerged sand is similar to the Gibbs and

Holtz (1957) relationship for dry coarse

sand. The Marcuson and Bieganousky

(1976) data indicate that values decrease

(a more severe reduction from N to ) as grain size and relative density decrease

(Hynes-Griffin and Franklin 1989).

Skempton (1986), Olsen (1994) and Olsen

and Mitchell (1995) provide summaries of

data and estimated corrections. The

potential range in values is large.

It is difficult to compare the K„ values from

the Duncan Dam study with other sources

since: a) the data reduction process couples

densification due to increased confining

stress with confining stress effects on cyclic

strength and penetration resistance; and b)

the resulting confining stress corrections are highly site specific. In this case, the confining

stress and densification effects appear to cancel each other, so CRR would be found

to be constant with depth using procedures

that treat densification and confining stress

separately.

Consensus K^, Curve (Harder 1996,

Youd and Idriss 1998)

The Kg correction was an issue discussed at the Salt Lake City Workshop (Youd and

Idriss, editors, 1998). Published K„ trends

indicate a wide range of possible K„

relationships. After a presentation by Harder

(1996) and considerable discussion by the

participants, a consensus K„ relationship was

selected as the clean sand curve from Byrne

and Harder (1991, Figure 7). It roughly

corresponds to the average for all tested soil types and relative density levels, and serves

as a lower bound for medium dense to loose

sands and silty sands. The data that support

the consensus curve correspond generally

to medium dense clean sands. The

consensus K„ curve may be unconservative

for gravelly soils or very dense soils, and

may be very conservative for loose sands and

silts.

Summary K^, Curves for Different Soil

Types

Clean Sands. The K^, data for clean sands

are grouped in Figure 8. The data fi"om Vaid

show a consistent trend that K„ decreases as

relative density increases for loose to

medium dense clean sands. However, the

CRRi values determined from the laboratory

tests are significantly less than would be

estimated for a clean sand at that relative

density based on blowcount correlations.

Gravels. The limited data for gravels

172
indicate lower values of K„ than for sands

and silty sands. (A lower value of K„ means

a more severe reduction in cyclic strength.)

However, the range of possible values of

is large, depending on the procedure used to estimate CRRj . The K„ boundary for the

clean sand data is the upper bound for

interpretation of the gravel data. The K„

values are minimum when CRRi is estimated

from straight-line extrapolation in a shear

strength vs. confining stress plot, with

samples at lower confining stresses behaving

as overconsolidated material. The K„ values

are maximum when CRR^ is estimated from

straight-line extrapolation in a shear strength

vs. confining stress plot, ignoring

"overconsolidated" data.

Hydraulic Fill and Foundation Soils . The

and cyclic strength data for hydraulic fills are shown in Figures 9 and 10. Data from loose

samples of silty sand formed by wet

pluviation (Fort Peck Dam shell and

foundation material) have values of about

0.9 to 0.95 at confining stresses of 6 to 8

atm. Values of K^, from tests on

undisturbed samples of hydraulic fill from

Sardis, USFD and LSFD generally plot

below the earlier Seed curves. The USFD

data form a lower bound to the data set for hydraulic fill material. Figure 9 also

shows Kp data for silty, sandy foundation

soils (primarily alluvial) from Sardis, Fort

Peck, Arcadia and Enid Dams.

Soil Mixtures TSilty. Sandy Foundation

Soils) . Figures 1 1 and 12 show K„ and

cyclic strength values from cyclic triaxial tests on undisturbed samples of silt, carved

from block samples of the foundation

materials at Enid Dam. Also shown in these

figures are K„ values for foundation soils at Arcadia Dam. The Arcadia samples were

undisturbed, thin-wall shelby tube samples.

For Enid silt, the maximum value of K„

results from including densification of the

sample during consolidation. The minimum

value comes from comparing cyclic strengths

at a constant void ratio. The Enid and

Arcadia points plot close to the hydraulic fill data from USFD, LSFD and Sardis Dam.

Consequently, the USFD data also form a lower bound curve for silty, sandy

mixtures.

Stress History, Undisturbed samples,

Reconstructed Specimens and CRR^

Stress History Effects The database of cyclic

strength and K^, values assembled for this

study indicate that K^, is very sensitive to the

stress history of the soil. The effect of the in

situ stress history on cyclic strength can be

obscured due to sample disturbance unless

special measures, such as freezing (Singh et

al. 1982, Tani and Yasunaka 1988), are taken to minimize disturbance.

Reconstruction of specimens in the

laboratory may introduce an artificial stress history, as is caused by moist tamping, or

result in a near virgin state, as is the case with wet or dry pluviation.

Undisturbed and Moist-Tamped Specimens

Increased cyclic strength caused by stress history effects introduced during laboratory

construction of a specimen may not simulate

in situ conditions unless a similar stress

173
history exists in the field. Samples

constructed by moist tamping may

approximately simulate a stress history for

rolled-fill materials (which are known to

perform very well under cyclic loading, Seed

et al. 1977). However, for cohesionless

soils, high quality undisturbed samples

obtained by in situ fi-eezing are needed to

quantify past stress history effects on cyclic

strength and determine the appropriate K„

correction (Singh et al. 1982).

Undisturbed and Pluviated Specimens

Sample construction by wet or dry pluviation

may simulate deposition of hydraulic fill or foundation deposits beneath a dam, typically

recent alluvium, colluvium or lacustrine

deposits. However, the in situ deposit may

have some stress history and aging effects

that are not simulated by freshly constructed

laboratory samples. These in situ stress history and aging effects would be most

apparent at low levels of confining stress. An elevated cyclic strength at low confining

stress leads to a more severe correction.

If high quality undisturbed samples are used

to determine cyclic strength as a fianction of

confining stress, as was the case for LSFD

and USFD, then the cyclic strength may be

somewhat elevated at low confining stress and the K^, correction less than one. If

recently constructed (pluviated) laboratory

tests are used for relative scaling of strength

to extend field correlations, then the K„

correction may be close to one, and cyclic

strength at high confining stresses may be

overestimated. This can be observed by

comparing the K„ correction for LSFD and

USFD with that for Fort Peck Dam.

CRRi from Laboratory Tests Compared with

CRRi from Penetration Tests Cyclic

strengths of undisturbed samples correspond

fairly well with cyclic strengths inferred from

penetration tests (examples: USFD and

LSFD data; data from Japan on samples

excavated using in situ freezing reported in Prakash and Dakoulas 1994). Cyclic

strengths of samples prepared by wet or dry

pluviation are generally much lower than

expected for a soil at that relative density

(examples: data from Vaid and others for

clean sands; comparison of cyclic strength of

reconstructed specimens and undisturbed

specimens from Fort Peck Dam). The cyclic

strength data for gravels (Folsom, Ririe and

Oroville Dams) were compared with an

estimated CRRi for soils at that relative

density. Estimation of CRRj from the

laboratory gravel data in stress focus plots

leads to values that are significantly less than

expected for a given relative density. This

underestimation of CRR^ can also be

observed in the Fraser River sand data; the

CRRi values from the laboratory tests on

freshly constructed pluviated specimens are much less than would be expected for a

material at that relative density.

The data for freshly deposited materials (Fort

Peck Dam, Vaid) indicate a straight line

relationship on the stress focus plot but the

CRRi values are well below (80 to 150

percent too low for Fort Peck) those

expected for a material at that relative

density. Consequently, if specimens are constructed by wet or dry pluviation, the

results should be similar to the observations

from Fort Peck and Vaid's work, and are not

174
necessarily representative of field conditions;

these results may also greatly overestimate

K(, . The Duncan Dam laboratory data

contradict this trend; these data were

obtained fi'om cyclic tests on undisturbed

samples of fine, clean sand that had been

frozen prior to sampling. The freezing

process has been shown to preserve stress history effects on cycUc strength (Singh et al. 1982). The Duncan Dam laboratory data

indicate equal to one for confining

stresses ranging from 2 to 12 atm.

The stress focus theory described shows that

the cyclic strength envelopes for a given

gradation and mineralogy merge at very high

confining stress, regardless of stress history

and relative density. In the stress range of

interest for dams, however, cyclic strength

envelopes can be very sensitive to these

factors. The cyclic strength chart from Seed

et al. (1983) shows blowcount values at sites that have and have not liquefied. For the

sites that did liquefy, the process of

liquefaction in the field may have the effect

of redepositing the affected soils, thus

erasing past stress history, and resulting in a near virgin deposit. For the sites that did not

liquefy, the past stress history may be

preserved and possibly added to by the

earthquake shaking.

3. Conclusions

1 . Laboratory cyclic strength tests on

relatively loose soil samples reconstituted by

dry or wet pluviation result in high K^, values

(nearly linear strength envelope with

intercept near zero, little reduction in CRR

as confining stress increases).

2. The CRRi values for reconstituted,

pluviated specimens are too low by about a

factor of two when compared to CRR^

values from tests on high quality undisturbed

specimens.

3 . The CRRi values for reconstituted,

pluviated specimens are too low by about a

factor of two when compared to CRRj

values estimated from penetration tests for

soils at about the same relative density as the

reconstituted specimens.

4. The Kg data base developed in this study

from laboratory tests on undisturbed samples

of fine sands, silts and silty sands, including

hydraulic fill and water-laid foundation

deposits, indicates values ranging from a minimum of 0.55 to 0.45 (LSFD and USFD),

and a maximum of 1 to 0.9 (Duncan Dam)

for confining stresses of 4 to 6 atm.

5. Experience at USFD and LSFD indicates

that although material type is variable in

hydraulic fills, the method of deposition

results (for practical purposes) in a uniform

relative density and a uniform cyclic strength.

6. It is hypothesized that stress history

(including aging effects) is an important

factor in determining appropriate values for

K„ . Pluviation in the laboratory results in

near-virgin specimens, but the cyclic

strengths of these specimens does not

correspond to values from undisturbed

175
samples and inferred from penetration tests. Moist-tamping results in specimens with

considerable stress history that may or may

not correspond well to field conditions.

7. Direct measurement of in the

laboratory will require testing high quality

undisturbed specimens. Pluviated,

reconstituted specimens may overestimate

Kg . Moist-tamped, reconstituted specimens

may underestimate K„ .

8. Stress Focus theory, originally developed

for interpreting CPT cone resistance, was

investigated as a framework for interpreting

the non-linear relationship between cyclic

strength and confining stress. The data

indicate a locus for a stress focus boundary

for liquefaction resistance which varies with

soil type. The stress focus format simplifies

the mechanics of relating CPT measurements

to soil properties.

4. Recommendations

1. Before conducting a costly, complex

laboratory testing program for site-specific

values of K„ , parametric dynamic analyses

and liquefaction evaluations should be

conducted to determine whether a detailed

laboratory testing program is warranted.

2. Initially, the analyses should consider the

most optimistic K„ values. If the dam or site

is judged unsafe with these values, remedial

construction is indicated.

3. If the dam is found to be safe, with

factors of safety against liquefaction greater

than 2, the analyses should then be

performed with the lower bound K^, values.

4. If the dam is still judged to be safe with

these values, for example with factors of

safety against liquefaction greater than 1.5,

then flirther laboratory testing or analysis

may be unnecessary to demonstrate adequate

seismic performance.

5. However, if the analyses (with the lower

bound K„ values) indicate factors of safety

less than 1.5, then a laboratory testing

program is recommended to quantify the

appropriate K„ relationships for this site.

5. References

Andrus, R. D. and Stokoe, K. H. 1996.

"Guidelines for Evaluation of Liquefaction

Resistance Using Shear Wave Velocity," Salt

Lake City Workshop, NCEER.

Bieganousky, W.A. and Marcuson, W. F. Ill, 1976. "Liquefaction Potential of Dams and

Foundations, Report 1 : Laboratory Standard

Penetration Tests on Reid-Bedford Model

and Ottawa Sands," Research Report S-76-

2, USAEWES, Vicksburg, MS.

Bieganousky, W.A. and Marcuson, W. F. Ill,

1977. "Liquefaction Potential ofDams and

Foundations, Report 2: Laboratory Standard

Penetration Tests on Platte River Sand and

Standard Concrete Sand," Research Report

S-76-2, USAEWES Station, Vicksburg, MS.

176
FUGROInc 1980. "Cone Penetration

Testing of Arcadia Dam Site," Tulsa District

of the Corps of Engineers, Long Beach, CA.

Harder, L.F. 1988. "Use of Penetration Tests

to determine the Cyclic loading Resistance of

Gravelly Soils during Earthquake Shaking",

PhD Dissertation, UC Berkeley.

Hynes, M.E. 1988. "Pore pressure characterization of gravels under undrained cyclic

loading," PhD Dissertation, UC Berkeley.

Hynes, M.E. 1996. "Liquefaction Potential

of Gravels," Salt Lake City, NCEER

Hynes-GrifFm, M. E. and Franklin, A. G.

1989. "Overburden Correction in Gravels,"

Proceedings of the 20th Joint Meeting of the

UJNR Panel on Wind and Seismic Effects,

NIST SP 760, NIST, Gaithersburg, MD.

Gibbs, H. J. and Holtz, W. G, 1957.

"Research on determining the density of sand

by spoon penetration testing," Proceed-ings.

4th ISSMFE Conference. Vol. I.

Marcuson, W. F. Ill and Krinitzsky, E. L. 1976. "Dynamic Analysis of Fort Peck

Dam," Technical Report S-76-1,

USAEWES, Vicksburg, MS.

Olsen, R.S. 1984. "Liquefaction analysis

using the Cone Penetrometer Test (CPT),"

Proceedings of 8th World Conference on

Earthquake Engineering. San Francisco.

Olsen, R.S. 1994. "Normalization and

Prediction of Geotechnical Properties using

the Cone Penetrometer Test (CPT)," PhD

Dissertation, UC Berkeley.

Olsen R.S. and Mitchell J.K. 1995. "CPT

stress normalization and prediction of soil classification" Proceedings of International

Symposium on Cone Penetrometer Testing - CPT'95. October, Linkoping, Sweden.

Pillai, V.S, and Byrne, P.M. 1994."Effect of

overburden pressure on liquefaction

resistance of sands," Canadian Geotechnical

Journal. Vol. 31, pg 951-966.

Pillai, V.S, and Stewart, R. A. 1994.

"Evaluation of liquefaction potential of

foundation soils at Duncan Dam," Canadian

Geotechnical Journal. Vol. 31, pg 53-60.

Seed, H. B. and De Alba, P. 1986. "Use of

SPT and CPT tests for evaluating the

liquefaction resistance of soils," Proceedings

of the Specialty Conference on the Use of In

Situ Tests in Geotechnical Engineering. Blacksburg, VA, ASCE Geotechnical

Special Publication No. 6, pp. 120-134.

Seed, H. B. and Idriss, I. M. 1981.

"Evaluation of Liquefaction Potential of

Sand Deposits Based on Observations of

Performance in Previous Earthquakes,"

Proceedings of the ASCE National Fall

Convention. St. Louis, Session No. 24.

Seed, H.B. 1983. "Earthquake-Resistant

Design of Earth Dams," Proceedings of

Symposium on Seismic Design of Embankments and Caverns. May, ASCE pg 41-64.

177
Seed, H.B.1984, 1987. Pers. communication

Seed, H. B., Idriss, I. M. and Arango, T. 1983 . "Evaluation of Liquefaction Potential

Using Field Performance Data," Journal of

Geotechnical Engineering Division. ASCE,

Vol. 109, No. 3, March 1983, pp. 458-492.

Seed, R.B. and Harder, L.F. 1990. "SPTbased analysis of cyclic pore pressure

generation and undrained strength" Proceedings. H. B. Seed Memorial Symposium. Bitech Publishers, Vol. 2, pg 351-376.

Singh, S., Seed, H.B. And Chan, C.K. 1982.

"Undisturbed sampling of saturated sands by

freezing." Journal of Geotechnical Engineering. ASCE, New York, Vol. 108, No. 2.

Skempton, A. W. 1986. "Standard

Penetration Test Procedures and the Effects

in Sands of Overburden Pressure, Relative

Density, Particle Size, Aging and Overconsolidation," Geotechnique. Vol. 36, No. 3.

Stark, T. D , and Olson, S. M. 1995.

"Liquefaction Resistance using SPT and

Field Case Histories," Journal of

Geotechnical Engineering. ASCE, New

York, Vol. 121, No. 12, pp 856-868.

Tani, S. And Yasunaka, M. 1988. "Effect

of sampling methods on liquefaction resistance of loose sand," Proceedings, 9''' World

Conference on Earthquake Engineering,

Tokyo-Kyoto, Japan, Vol. Ill, pp 219-224.

Thomas, J. 1992. "Static, cyclic and post

liquefaction undrained behavior of Eraser

River Sand," MS Thesis, UBC, Canada.

U.S. Army Engineer District, Tulsa. 1982.

"Arcadia Lake, Deep Fork River,"

Supplement No. 1 to Design Memorandum

No. 9, "Embankment and Spillway."

U.S. Army Engineer District, Vicksburg.

1988. "The Sardis Earthquake Study,"

Supplement No. 1 to Design Memorandum

No. 5 (1985).

Vaid, Y.P., Chem, J.C. and Tumi, H. 1985.

"Confining pressure, grain angularity, and

liquefaction," Journal of Geotechnical Engineering. ASCE, October, Vol. Ill, No.

10.

Vaid, Y. P. and Thomas, J. 1994. "Post

liquefaction behavior of sand," Proceedings

of the 13th ISSMFE Conference. New Delhi

Vaid, Y. P. and Thomas, J. 1995.

"Liquefaction and post liquefaction behavior

of sand," Journal of Geotechnical

Engineering. ASCE, Vol. 121, No. 2.

Youd, L. and Idriss, I. M. editors. 1998.

"Workshop on Evaluation ofLiquefaction

Resistance," Proceedings, Salt Lake City,

sponsored by FHWA, NSF and WES, in

publication, NCEER, Buffalo, NY.

178
1.2 u

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14

Vertical effective stress (atm, e.g. tsf)

Figure 1 Relative reduction in cyclic stress ratio causing liquefaction with

increase in confining stress, (Seed and Idriss 1981)

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14

Vertical effective stress (atm units, e.g. tsf)

Figure 2 Contours of liquefaction stress exponents on the chart

179
180
Normalized Liquefaction Cyclic Resistance Ratio (CRR-|)

Stress exponent forCRR= CRR-] ( C\, )^

E

S-

(/5 (/) 0)

CO

CD>

(D

LU

"too

(D

>

10.0

1000.0

100.0 -

10.00 100.00

Field Liquefaction Cyclic Shear Strength (atm)

(N=10 and field equvalent values using Cr=0.57)

Figure 4 Stress focus plot of cyclic strength for tailings, Ottawa and Fraiser

River sands (after Vaid et al. 1985 and Vaid and Thomas 1994)

181
0 2 3 4 5 6 7 8 9 10 11 12 13 14

• Vertical effective stress (atm units, e.g. tsf)

Figure 5 Kcr and CRR stress focus data for gra\ els

° SARWS DAM SHELL

SARDIS DAM FOUNDATION ^ SAC. RIVER SAND

lioNTEREY 0 SAND

OrbD BEDFORD SAND ^ NEW JERSEY BACKHLL

^TAIUNGS SAND DR-60

XtAIUNGS sand DR-65

OTTAWA SAND DR-:60 3^0TTAWA SAND Dfl=70

1 2 3 4 5 6 7 8

EFFECTIVE CONFINING PRESSURE (tsf)

10

Figure 6 Recommended K^, values (Harder 1 996)

182
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14

Vertical effective stress (atm units, e.g. tsf)

Figure 7 and CRR stress focus data for clean sands

t

i

€/ea VSar d < €

E

Hydraulic material and foundation soils

Lower San Fernando Dam (hydraulic fill) Upper San Fernando Dam (hydraulic fill)

Sardis Dam (hydraulic fill)

Ft. Peck Dam (hydraulic fill)

Sardis Dam Foundation

Arcadia Dam Foundation

Ft Peck Foundation

Enid Dam Foundation

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14

Vertical effective stress (atm units, e.g. tsf)

Figure 8 and CRR stress focus data for silty sands and hydraulic fills

183
0.1

1.0

10.0 —

100.0 --

1000.0

Osla source

Uppef San Femsndo D«m • 6<ed — * Lake AfrcMrlicad dam -Seed -0— Sards Dam - WES data Fdjom 0am • Gravels - Hyn« —H— RirteOam-WES wB^^M CXmcan Dam • BChydro San Joechln • G«<d - (P - Fam«i«dam.E«edfl3M)

' A Lower San Fernando Dam- Seed

Dpper San Fernando Dam - Seed

Los Angles Dam- Seed

OrovlBe Dam • Seed

Rnopons Dam

I Ottawa Sands - VaJd etc —^— Ottawa Sands - Vald etc -X— Taffinss Sand -Vftid etc A TaJInjs Sands -Vald etc

Fraser Sand - VaJd etc

i\ Fraser Sand • Vald etc -H- Arcadia Dam -WES

Phuicunhaphan,TsaI&TNer$(1932)

liquefactii

Stress

for sil

Probable zone for the Stress

Focus for dirty sands and

sandy mixtures

Liquefaction Stresj

for sands and

Focus

gravels

"T 1 1—TT"

0.01 0.10 1.00 10.00

Lab determined liquefaction resistance strength (atm units)

for field conditions

(at N=15 cycles, and 5% DA strain)

Figure 9 Trends of liquefaction resistance in stress focus format

184
Evaluation of the Seismic Capacity Of

An Existing Thick Wall Reinforced Concrete Structure

Using Probabilistic Criteria

by

F. Loceffl G. Mertzl and G. Rawls^

ABSTRACT

A seismic qualification of a reinforced concrete

nuclear materials processing facility using

performance based acceptance criteria is presented. Performance goals are defined in

terms of a minimum aimual seismic failure

frequency. Pushover analyses are used to determine the building's ultimate capacity and

relate the capacity to roof drift and joint

rotation. Nonlinear dynamic analyses are used to quantify the building's drift versus earthquake

magnitude using a suite of time histories

representing varying soil conditions and levels of seismic hazard.

A probabilistic correlation between joint

rotation and damage state is developed from

experimental data. The results of the

deterministic pushover and nonlinear time

history analyses are evaluated statistically to develop a probability of seismic failure or

fragility. The building fragility level is convolved with the seismic hazard curve to determine annual seismic failure frequency.

KEYWORDS

BUILDING; FRAGILITY, NONLINEAR;

SEISMIC

1. INTRODUCTION

This paper discusses the seismic qualification of

an existing nuclear material processing facility.

This work was part of an effort to update the

facility safety analysis

Westinghouse Savannah River Company, Aiken SC 29808.

The material processing facility is a heavy

concrete structure that was built in the early

1950's. Radiation shielding was the primary

design consideration. Lateral load resistance was given scant attention in 1950's vintage

design codes. This combination of factors

resulted in large, lightly reinforced concrete

sections which do not meet today's seismic

detailing requirements.

The safety analysis is updated to include our

current imderstanding of the seismic hazard at the building site and the building's seismic

response. The current seismic design loading is several times larger than the lateral loads

considered in the original design. When the current seismic loads are combined with the lack

of current code detailing, the structure will not meet a design-code seismic qualification.

An probabilistic evaluation methodology that addresses the lightly reinforced concrete

buildings with 1950's detailing, typically found

in older facilities, is discussed in this paper. Using this methodology, the authors have shown

that a nuclear material processing facility is capable of surviving the postulated design basis

earthquake (DBE).

This paper emphasizes the probabilistic aspects

of this evaluation while a companion paper

(Mertz et al, 1998) emphasizes the analysis

methodology.

185
1 . 1 ACCEPTANCE CRITERIA

DOE Standard 1020 sets acceptance criteria for DOE facilities based on performance goals. For

the structure discussed in this paper the

performance goal is an annual failure frequency

of 2x10"^. The standard allows considerable

latitude in evaluation methodology as long as the specified performance goal for a given

category of structures, systems and components

(SSCs) are met. This latitude consists essentially

of three approaches to meet the performance

goals for the SSC.

• For a hazard probability specified for the

facility use, apply conservative

deterministic evaluation techniques based on national consensus standards as supplemented by DOE Standard 1020

requirements for the facility performance

goal.

• Achieve less than a 10% probability of

unacceptable performance of an SSC

subjected to a scaled design basis

earthquake (SDBE) that is 50% larger than

the DBE.

Demonstrate acceptable structural behavior

by showing that the building armual

probability of seismic failure is less than the

facility performance goal.

A key factor in the probabilistic approach is the

specification of an acceptance criteria, stated in

probabilistic terms, that conforms to the

performance goals in DOE Standard 1020.

The structure discussed in this paper consists of

a reinforced concrete frame with partially

developed joints. Failure for a specific joint is defined, in this paper, as the reduction of

capacity below a nominal value. Frame failure is conservatively assumed to occur when the first joint fails. Thus, this probabilistic assessment

has a definite conservative bias. Identifying a

joint failure, as such, does not imply the failure

of the building frame. In fact, substantial

conservatism exists since a failure of the frame

cannot occur until a sufficient number ofjoints

sustain sufficient damage to cause a collapse

mechanism.

Using this definition of unacceptable structural behavior, the evaluation methodology leads to the calculation of the conditional probability of

seismic failure. This conditional failure

probability is measured against the acceptance

criteria in DOE Standard 1020.

1.2 ANALYSIS METHODOLOGY

There are several options available to evaluate

older existing facilities for seismic loads. The

choice should consider the in-situ building

condition, the level of seismic load, the effects of foundation embedment, the functional

requirements, the level of acceptable damage,

the confinement requirements, and the

performance category of the facility. This paper

concentrates on the more rigorous approach to demonstrate the capability of a facility to withstand a postulated seismic event.

1.3 FACILITY DESCRIPTION

The material processing facility, designed and

constructed in the early 1950s, are reinforced- concrete buildings. They are 66 ft high, 122 ft wide (Figure 1) and consist of eighteen

segments, typically 43 ft long. One-inch

expansion joints separate the segments from

each other. The exterior walls range from 2.5 to 4.8 fit thick and support a haunched roof slab. A

frame structure is contained within the building.

The lower portion consists of continuous walls

and discrete columns while the upper portions

contain continuous walls. The specified design

strength of the concrete is 2,500 psi and Grade40 reinforcing steel was used. The structure is supported on a 5 -foot-thick reinforced-concrete

foundation mat. The total weight of a typical

segment is 24,800 kips.

Primary longitudinal (N-S) stiffiiess against

seismic loading comes from the 4 ft thick shear

walls while the transverse (E-W) stiffiiess is provided by frame action of the reinforced- concrete walls.

The original design was based on the Uniform

Building Code (UBC, 1946) with a 1951

Addenda and on the American Concrete

Institute (ACI) Code ACI 3 1 8-47. The design

focused on gravity loading with only a nominal

seismic lateral load applied statically to the

building structure. The exterior walls were

186
designed to resist a uniform external overpressure. This design condition resulted in

heavier reinforcement on the inside face of the

walls than on the outside face. Many of the

embedment and splice lengths of the reinforcing

steel do not satisfy current ACI specifications

Vkith some embedment lengths only 25 percent

of that required by the current code.

A typical joint that connects the roof to the

exterior wall is shown in Figure 2. This joint was designed for gravity loads and the bottom

slab reinforcing is not fully anchored in the

wall. Seismic loads will cause load reversal,

putting the bottom bars in tension and the

capacity of this underdeveloped bar is reduced

due to bond slip. This joint is 43 feet long and

the geometry of the joint constrains the concrete around the reinforcing bar.

2. DEVELOPMENT OF SEISMIC INPUT

The probabilistic structural analysis requires

that the median responses of the building be

determined. The building sits on a deep layered

site consisting of sands and clays over bedrock.

Bedrock is approximately 950 ft below free

field. Seismic motions were developed for: 1) an

evaluation basis earthquake (EBE) with 2000

year return period, and 2) a seismic margin

earthquake (SME) with a 10,000 year return

period. Both the EBE and SME ground motions

are defmed in the form of 5% damped rockoutcrop response spectra. Eight acceleration

time histories were prepared; four compatible

with the EBE spectrum and four compatible

with the SME spectrum.

To consider the variabilities in the soil between

the free field and the bedrock each time history was convolved through several soil columns, as shown schematically in Figure 3. At the site, there were four deep borings (s950 ft) to bedrock, and five shallow borings, (=150 ft). Each EBE and SME time history was convolved

through 20 soil columns that were formed by

combining each deep boring with all five

shallow borings, resulting in 80 time histories at the base of the building.

The response spectra of the convolved time

histories are plotted at the elevation of the

basemat of the building and a mean spectrum

was calculated for both the EBE and the SME

motions. To reduce the computational effort in

developing the building response, a subset of 1

out of 80 time histories were chosen for both the

EBE and SME events. These 1 1 time histories were selected such that the mean of their

response spectra closely matches the mean of

the full suite of 80 time histories. Furthermore,

the 1 1 spectra are evenly spaced between the

maximum and minimum envelopes of the 80

spectra from the convolved time histories, and

have an equal probability of occurrence. The median response spectra of these time

histories are shown in Figure 4 for the 2,000-

year and the 10,000-year events.

3. DETERMINISTIC BUILDING

RESPONSE

The building behavior was determined by

performing a static pushover analysis to determine the structure's overall lateral load

resistance. Nonlinear dynamic analyses, using a simplified dynamic model, were performed to determine the seismic response.

3 . 1 STATIC PUSHOVER ANALYSIS

In the east-west direction, the structure consists

of a moment resisting lateral frame with a rigid

penthouse structure. A static pushover analysis

of the lateral load resisting frame is performed

to determine the building's lateral load capacity

and the relationship between displacement and

joint rotation.

Lumped nonlinear springs are located at critical joints to represent, cracking of the gross section,

yielding of the longitudinal reinforcing and

bond slip due to inadequate development. In

partially developed joints, the members'

capacity is reduced by the ratio of the actual

development length to the code development

length.

A typical monotonic load-deformation curve or backbone curve for the structure is shown in

Figure 5. The structure remains elastic below a base shear of about 5% of the building weight.

Above this load, individual joints crack and

yield at different load levels, which gradually

soften the overall structural response. A plastic

collapse mechanism is nearly formed after six

187
inches of displacement. For displacements

beyond this point, the slight increase in capacity

due to strain hardening of the reinforcement is nearly offset by the increasing P-A forces. The

ultimate capacity corresponds to about 1 1% of

the structure's weight.

3 .2 NONLINEAR DYNAMIC ANALYSIS

A fragility analysis for a reinforced-concrete

structure subjected to strong earthquake motions

requires realistic conceptual structural models

that consider changes in stiffiiess and material

properties, the variability of seismic source and

in-situ soil conditions. To adequately address

these parameters, numerous non-linear time

liistory analyses were performed. Since nonlinear time history analyses are numerically

intensive, reduced dynamic models are used to perform the analyses.

The elastic response of the frame in Figure 1 is dominated by the response of the first mode,

with roof drifts in-phase with joint rotations.

Thus, the structure is represented with a singledegree-of-freedom (SDOF) model having an

equivalent elastic response as the fiill structural model. The elastic natural frequency of the

structure is on the order of 1 to 1.3 Hz.

The nonlinear response of the SDOF model is represented by the Takeda hysteresis model

(Takeda, 1970) that represents the

experimentally observed behavior of reinforced concrete beams subject to cyclic loads. The 1

EBE and 1 1 SME ground motions are evaluated

using a SDOF model which represent the

nominal capacity of the building based on

'design' material properties. The range of roof

displacements, for the 1 1 representative 2,000

and 1 1 representative 10,000 year ground

motions is summarized in Table 1

The initial structural stiffiiess of the SDOF

model was also perturbed to address the

uncertainty in natural frequency on response.

The range of roof displacements for the 1

representative ground motions with lower bound

(-30%), best estimate, and upper bound (+30%)

stiffness is summarized in Table 2. This

structure is more sensitive to variations in soil column than to variations of initial stiffiiess.

Table 1 Range Of Roof Displacements For

Different Earthquake Magnitudes and Soil

Columns

Ground # Minimum Maximum

Motion

(in) (in)

EBE 33 1.30 2.78

SME 33 6.52 10.2

Table 2 Range Of Roof Displacements For

Different Earthquake Magnitudes, Soil

Columns, And Natural Frequencies

Ground

Motion

# Minimum

(in)

Maximum

(in)

EBE 33 1.30 2.78

SME 33 6.52 10.2

The 1 1 EBE ground motions were also

evaluated using a SDOF model that represented

the median building capacity to investigate the

change in response with capacity. The lateral load capacity of the frame, calculated using

median material properties, is about 27% larger

than the lateral load capacity calculated using

material properties that are exceeded by 95% of

the test data. The influence of material strengths on the range of seismic displacement, shown in

Table 3, is small because the structure is responding in the displacement confrolled

region of the specfra.

Table 3 Range Of SME Roof Displacements

For Different Material Strengths

Material

Properties

# Minimum

(in)

Maximum

(in)

95%

Exceedance

33 6.52 10.2

Median 33 7.21 10.1

Representative nonlinear MDOF were also

performed to validate the SDOF analyses. These

comparisons indicate that the SDOF mass

188
participation was overestimated and

consequently, the SDOF models tend to overpredict the roof displacements.

4. PROBABILISTIC ANALYSIS

Ground motions and the resulting structural

drifts were developed in the proceeding

sections. Theses values are combined in this section with the probability ofjoint failure to determine the mean annual probability of

seismic failure which is compared to the

structures performance goal specified by DOE

Standard 1020.

4. 1 PROBABILITY OF PARTIALLY

DEVELOPED JOINT FAILURE

Rotations are imposed on the joints when a frame drifts under seismic lateral loads. Joints

that do not meet the ACI 318-95, development

length requirements may not develop their full yield moment. In this evaluation, the ACI bond

stress is used to limit the bending capacity

((() Mn), of a partially developed joint, by the

ratio of actual development length, to the ACI

development length. The amount of bar slip at the reduced moment is determined by the

rotation imposed on the joint and ultimately by

the lateral drift of the frame as shown in Figure

6. Failure is defined as the inability of a joint to

resist the reduced moment, at a given drift.

Typical confined bar pullout test results (Eligehausen, 1983), are shown in Figure 7. Monotonic tests indicate that for low

magnitudes of bond slip the bars have a much

larger capacity than the ACI 3 18-95 code allows

and that the code bond capacity corresponds to the capacity at large deformations. Cyclic tests indicate that the capacity degrades with an

increasing number of cycles and the degradation

is more pronounced when cycled with larger

ranges of slip. After 10 cycles, the code capacity

is obtained when loading beyond the maximum

post-bond slip. This test data was reviewed and

judged that 13% and 75% of the specimen

would fail to maintain the ACI bond capacity at peak slip ranges of 0.2 in and 0.36 in

respectively. A lognormal probability

distribution is fit to these two failure estimates

as shown in Figure 8.

Test of full scale joints with partially developed

bars, shown in Figure 9 (Beres, 1992, Aycardi,

1992), demonstrate that the joint is capable of

resisting considerable rotation at the reduced

bending moment (j) Mn l/lj. Joint rotations for

this data are converted to bar slip, ranked, and

used to validate the bar slip probability of

failure in Figure 8. Note that the bar slip in

Figure 6 is the product ofjoint rotation and the

distance between the neutral axis to the

reinforcing, d. A joint rotation of 0.02 radians of

the 24 inch deep test specimen, in Figure 9, causes the same bond slip as a 0.01 radian

rotation on a section that is 48 inches thick. Thus, allowable joint rotation limits should be

viewed v^th caution when evaluating thick

sections.

Individual joint rotations corresponding to each

increment of roof drift in the pushover analysis,

Figure 5, are converted into components of

bending rotation and bond slip. Bond slip failure probabilities from Figure 8 are assigned to each

joint based on the computed bar slip. Bending

failure probabilities are also assigned using a

similar relationship and combined with the bond

slip failure probability. Bond slip dominated the

failure probabilities of this structure.

It was assumed that the loss of any critical member in the load path could result in building

failure, Therefore, an envelope of the individual

critical member joint failure probabilities

represents the probability of structural failure,

and is shown in Figure 10. Parametric studies

indicate that this indetermanent structure can

survive the loss of a single critical joint with a reduced lateral load capacity. As shovm above

the seismic drift is insensitive to lateral load

capacity because the building responds in the

displacement controlled region of the spectra.

Thus, the probability of structural failure, shown

in Figure 10, has a conservative bias.

For roof displacements less than 4 inches (0.5%

drift) the probability of failure is negligible

while a roof displacement of 5.8 inches (0.8%

drift) corresponds to a 50% probability of

failure. The probability of failure for the

structure is dominated by a joint on the exterior

frame that fails by bond slip.

189
4.2 SEISMIC FRAGILITY

To evaluate the results of the structural analysis

described above, to probabilistic acceptance

criteria, an estimate of the conditional

probability of seismic failure or fragility is calculated. The fragility analysis provides an

estimate of the median seismic capacity (50

percent conditional probability of failure) and

the associated uncertainty. The capacity for this analysis is defined in terms of the building drift. The drift is then correlated to a seismic ground

motion parameter.

The fragility estimate for this evaluation is formulated as a log-normal distribution, which

is mathematically expressed as:

P,(A) = 0

hi

P

(1)

where Pf(A) = Conditional Probability of

Failure

Am = Median Drift

P = Logarithmic Standard Deviation

(J) = Standard Normal (Gaussian)

Distribution

A fragility curve for the structure is provided in

Figure 1 1 . The variability or uncertainty in the

analysis is expressed through the logarithmic

standard deviation or beta (P) value. The

variability is the slope of the fragility curve with

larger P resulting in a flatter slope. In this analysis both the randomness in the earthquake

motion and the lack of knowledge or imcertainty

is treated as a combined variability.

The sources of variability in the analysis include

the input time history motion, the structural

stiffness, the strength of R/C sections, and the

ground motion correlation equation. The

variability for each of the above sources was

combined using the square root of the sum of

the squares method to obtain the combined

variability.

The response variability due to input time

history, structural stiffness and strength was

calculated by performing a statistical analysis of

the nonlinear SDOF drift data. In developing

the drift data, 99 nonlinear time history

calculations were performed. Three different

combinations of concrete strength and

earthquake annual probability were evaluated.

These cases are identified in Table 4. Table 4 Nonlinear SDOF Analyses

Case Concrete

Strength

EQ Return

Period

1 95% 2,000 year

2 95% 10,000 year

3 50% 10,000 year

For each of the three cases and the 1 1 time

histories described above, three different

building stif&iess (natural frequency) values were evaluated. The stiffiiess values correspond

to the best estimate, the +30 percent and the -30

percent estimates. Therefore, for each case, 33

(11 time histories x 3 stif&iess values) drift values were calculated. Each of the 33 drift values was considered to have an equal

probability of occurrence. The variation in the drift values, Pr, accounts

for both the earthquake time history randomness

and the structural stiffiiess uncertainty and was

calculated by fitting the 33 data points from

each of the three cases for nonlinear SDOF

analysis to a log-normal disfribution. The slope

of the distribution provides the P value. The

highest Pr value from the three cases is used in

the fragility analysis. The larger P value will

produce a flatter fragility curve that will result in a larger change in failure probability over a

specified range of ground motion. In this analysis the Pr value was calculated to be 0.23. The variability in sfrength (Ps) is determined by

performing two seismic analyses. The first analysis was performed using nominal material

properties (95% exceedance) to calculate the

ultimate strength, and the second analysis was

based on median material properties. For a

constant earthquake level, represented by Cases

190
2 and 3 in Table 4, the variability in a fragility

analysis is measured by the change in building

response due to the change in ultimate strength.

The median drift values in cases 2 and 3 are the same because the building is responding in the

displacement control region of the spectra.

Thus, the variability for this structure with

respect to strength is zero (Ps = 0). The fragility level for a structure is correlated to a ground motion parameter. Studies provided

by Sozen, (Gulkan, 1974), Iwan, (Iwan, 1980),

and Kennedy, (Kennedy, 1984), show that the

drift of nonlinear SDOF systems can be

reasonably correlated to the specfral

displacement by the equation

(2)

Where So (fe, Ag) is the input ground motion

specfral displacement at an effective frequency

fe and an effective damping Ae. The data in this analysis provided a good

correlation between the average specfral

displacement ( 5"^ ) t^ken over a frequency

range from- 0.35-0.65 Hz at an effective damping

level of 10%. Therefore, the following equation was used to represent the drift response (8r) in

terms of specfral displacement

(3)

A small level of variability in the ground motion

equation is addressed by assigning a beta value

(Peq) to the equation. Based on engineering

judgement Peq =0.05 was assigned to the

equation.

The median capacity of the structure is defined

as the lateral drift that results in a 50%

probability of structural failure. To develop the

median capacity and the associated variability

the drift verses probability of failure data in

Figure 10 is fit to a log-normal distribution. The

log-normal fit of the data provides a median

drift capacity of 5.8 inches with an associated

variability on capacity Pc = 0.17. The median

capacity of 5.8 inches represents a 50 percent

probability of failure. The variability for each individual source is summarized in Table 5. These variabilities were combined using square root of the sum of the

squares as the statistical method to determine a composite variability. A composite variability

of 0.29 is calculated for this structure. Table 5 Seismic Fragility

Variability Value

Response - Pr 0.23

Sfrength - ps 0.00

Equation - Peq 0.05

Capacity - Pc 0.17

Composite - P* 0.29

^P = Composite Variability =

Comparing Figure 10 with Figure 1 1, the

building median drift capacity of 5.8 inches and

its associated variability Pc of 0.17, as shown in Figure 10, can be considered a lower bound

fragility curve because it does not contain all of

the sources of variability. The other sources of

variability including response, sfrength, and

ground motion correlation provide adjustments

that flatten the distribution, as shown in Figure

1 1 . The flattening of the fragility curve using

the composite beta value of 0.29 results in a wider range on probability of failure verses seismic input motion. Correlating the drift response to the ground motion parameter

specfral displacement completes the final seismic fragility for the structure. The seismic

fragility for this structure is expressed in term of

the specfral displacement by the equation:

(4)

191
Where So = Spectral displacement at a given

probability of failure

5"^ = Median spectral displacement

(5.8 inches)

P = Composite variability (.29)

X = The number of normal standard

deviations the given probability

is from the median.

4.3. ANNUAL PROBABILITY OF SEISMIC

FAILURE

The fragility curves were convolved

(integrated) with the site mean hazard curve to obtain an estimate of the mean annual

probability of seismic failure. Equation 5, from

DOE Standard 1020, is a good approximation

for more formal numerical integration, was

used.

C

(5)

50 SME

Where Pr = Mean armual probability of

seismic failure

C50 = Median spectral displacement

capacity

P = Composite logarithmic standard

deviation

SME = Median SME response

Hd = Annual probability of exceeding

the median SME

Kh = Slope parameter of the spectral

displacement hazard curve

This equation assumes that the fragility curve is log-normal and that the hazard curve of average

spectral displacement can be approximated by a

straight line on a log-log plot. Values

summarized in Table 5 were used to calculate

the mean annual probability of failure. For the

structure evaluated in this analysis the mean

armual probability of seismic failure was

determined to be 1.8x10"'*, which is less than the

acceptance criteria performance goal of 2x10"''. Thus, this structure meets the probabilistic

acceptance criteria specified in DOE Standard

1020.

5. CONCLUSIONS

A methodology to predict structural behavior in older DOE reinforced concrete facilities was

implemented. This methodology can be used to demonstrate seismic capability consistent with

the performance goals stated in DOE Standard

1020 when traditional deterministic methods

indicate deficient seismic designs. Adaptations

of the methodology can be used to meet

performance goals developed for other nuclear

and non-nuclear buildings.

Key to the development of realistic estimates of

the ultimate lateral load resisting capacities for existing structures is the understanding of the

behavior of reinforced concrete joints with

partially developed bars. These joints do not

necessarily demonstrate brittle behavior and the

limited rotation capability of partially developed

joints can contribute significantly to the overall

ductility of the reinforced concrete frame.

Notv^dthstanding the ductility available when

estimating the limit state, significant damage in the structure is expected to occur, thus new

construction should fully develop bars.

This structure has an elastic frequency on the

order of 1 to 1.3 Hz, which increases further as the lateral load increases. This high period

structure is displacement controlled thus

computed drifts are relatively insensitive to the

initial structural stiffiiess and capacity. The

drifts are a function of the low frequency

displacements in the ground motions.

6. ACKNOWLEDGMENTS

The information contained in this article was

developed during the course of work done under

Contract No. DE-AC09-89SR18035 with the

U.S. Department of Energy.

The analyses presented in this paper were

performed by the engineers in the Structural

Mechanics Section and the Site Geotechnical

Services Department of the Westinghouse

Savarmah River Company. The generous

192
guidance provided by Dr. Robert P. Kennedy,

Prof. Charles E. Miller, and Prof. Mehta Sozen

are gratefully acknowledged.

7. REFERENCES

American Concrete Institute, ACI-3 18-5 1, Building Code Requirementsfor Reinforced

Concrete, 1951.

American Concrete Institute, ACI-3 18-95,

Building Code Requirementsfor Structural

Concrete and Commentary, 1995.

APPLIED TECHNOLOGY COUNCIL, ATC19, "Structural Response Modification

Factors", 1995.

APPLIED TECHNOLOGY COUNCIL, FEMA

273, "NEHRP Guidelines for the Seismic

Rehabilitation of Buildings", 1996.

APPLIED TECHNOLOGY COUNCIL, FEMA

274, "NEHRP Commentary on the

Guidelines for the Seismic Rehabilitation of

Buildings", 1996.

Aycardi, A. E., Mander, J. B., and Reinhom, A.

M., "Seismic Resistance of Reinforced

Concrete Frame Structures Designed Only

for Gravity Loads: Part 11 - Experimental

Performance of Subassemblages, NCEER92-0028, National Center for Earthquake

Engineering Research, December 1992.

Beres, A.,White, R., Gergely, P., "Seismic

Performance of Interior and Exterior Beamto-Column Joints Related to Lightly

Rernforeed Concrete Frame Buildings:

Detailed Experimental Results", NCEER92-0024, National Center for Earthquake

Engineering Research, September 1992

DOE-STD- 1020-94, "Natural Phenomena

Hazards Design and Evaluation Criteria for

Department of Energy Facilities", April

1994.

Eligehausen, R., Popov, E. P., Bectero, V. V.,

"Local Bond Stress-Slip Relationships of

Deformed Bars Under Generalized

Excitations," Report UCB/EERC-83/23,

October 1983.

Gulkan, P. and Sozen, M.A., "Inelastic

Responses of Reinforced Concrete

Structures to Earthquake Motions," ACI

Journal, Vol. 71, No. 12, December, 1974.

International Conference of Building Officials,

Uniform Building Code, 1994.

Iwan, W. D., "Estimating Inelastic Response

Spectra from Elastic Spectra", Earthquake

Engineering & Structural Dynamics, Vol. 8, 1980.

Kennedy, R.P., et.al. "Engineering

Characterization of Ground Motion - Task I: Effects of Characteristics of Free-Field

Motion on Structural Response,"

NUREG/CR-3805, Vol. 1, U.S. Nuclear

Regulatory Commission, 1984.

Mertz, G., Loceff, F., Houston, T., Rawls, G.,

and Mulliken, J., "Performance Based

Seismic Qualification of Reinforced

Concrete Nuclear Materials Processing

Facilities", 6'^ National Conference on

Earthquake Engineering, Seattle, May,

1998.

Takeda, T., Sozen, M. A., and Nielson, N. N.,

"Reinforced Concrete Response to Simulated Earthquakes", ASCE Journal of

the Structural Division, Vol. 96, No. ST 12., 1970

193
122'

cz

oo

Figure 1. Frame cross section and

vertical mass distribution

#6 @ 6

2'-0" #11 @ 6"

#1 1 @ 6" #6 @ 12-

7'4"

#9 @ 6"

-2-0"

1 1 @ 6"

3'-0"

Figure 2. Typical joint detail

o

oooo

Select 11 Represenative EBE

Motions and 11 Represenative

SME Motions

t . A M I .20' I w / 5 shallow SOU

T columns

i\ i

/ 5 shallow SOU ^ columns

1

\^ 4 deep soU ^ columns

I

80 EBE Motions

80 SME Motions

. 20 composite

soil columns

4 EBE Rock Motions y/XW 4 SME Rock Motions

Figure 3. Development of Seismic

Input

C

o

TO

8o<

5%

Damping

0.1 1 10

Frequency (HZ)

100

Figure 4. Mean site specific spectra

^ 12%

O 10%

rj

uu

rj

i-J 2.5 5 7.5 10

Roof Displacement (inch)

Figure 5. Monotonic load-deformation

curve

Figure 6. Relationship between bar

slip and drift

194
T [N/cim«)

Figure 7. Bar pullout test (Eligehausen, 1983)

-0.02 -0.01 0 0.01 0.01 0.03

Rotaion (radian)

Figure 9. Full scale joint test (Beres, 1992)

100% I 1 | 80% \ \ 60% /

1 40% :/----:

o /

£ 20% /r -

0% I '^-^^—^ \ 0 2.5 5 7.5 10

Spectral Displacement (in)

Figure 11. Building fragility curve

Bar Slip (in)

Figure 8. Probability of failure versus bar slip for confined joints

Roof Displacement (inch)

Figure 10. Envelope of joint failure

probability versus roof displacement

195
Development of an Analysis of Stmctural Steel Fracture and Development of Technical Solutions

Hiroyuki Yamanouchi ',Akiyc

ABSTRACT

This paper presents the outline of a

comprehensive technology development project by

the Ministry of Construction, Jqjan, in which an

analysis of structural steel fiacture and technical

solutions should be developed. Material properties

and welding effects on steel fracture, fabricating and

fracture of connections and collapse mechanism and

fracture of steel structures are now being investigated.

Key Words: Steel Fracture Materialproperties

Welding

Collapse mechanism

1. INTRODUCTION

In the extremely strong earthquake that

struck Kobe and other parts of southern Hyogo

Prefecture on January 17, 1995, structural steel in

high-rise buildings and elsewhere was found to have

snapped like sticks ofchalk.

Presently, the approach to construction of

buildings and other structures using steel materials has

two facets: elastic design to resist ordinary loads and

small or medium-strength earthquakes by ensuring

that no residual deformation will result from small-to- medium stresses to structural steel; and plastic design

to ensure that in the event of a major earthquake,

inelastic deformation of structural steel will dissipate

enough energy to prevent the entire structure's

collapse.

In the Kobe earthquake, however, structural

steel materials broke before they could dissipate

energy through inelastic deformation, suggesting that a force smaller than the design force was able to destroy them.

Mukai ^ and Takashi Hasegawa ^

This is why studies will analyze these phenomena and devise ways to analyze, investigate,

and develop effective remedies.

This project initiated in April, 1996 and will be finished in March, 1999. In this project.

Building Research Institute (BRI) is responsible for organizing and implementing the development of the

analysis and solutions of steel members, welding and

building structures.

2. FINAL GOAL

Our final goals are to clarify the demand for

structural steel, to develop the guideline on welding

procedures and to propose the design method for avoiding the brittle fracture of steel structures.

3. ORGANIZATION

BRI is carrying out the project as a

cooperative research with The Kozai Club (KC).

We have three sub-committees as shown in Fig. 1 . In

addition, we are carrying out Research for Innovation(RFI) and US-Japan Cooperative Research

as part of this project. In the following chapters, the

outline ofthese activities will be introduced.

4. WELDING AND FRACTURE OF

MATERIALS

In this sub-committee, five subjects are

1) Director, Codes and Evaluation Research Centa, Building

Research Institute, Ministiy of Construction, Tachihara 1, Tsukuba,

Ibaraki, 305-0802 Japan

2) Head of Aerodynamics Division, Department of Structural

Engineering, ditto

3) Research Engineer ofStructural Dynamics Division, ditto

196
being investigated to clarify the material properties

and welding effects on steel fracture. Those subjects

are as follows:

(1) Effect of Size

Experimental variables are plate thickness

(25mni, 40mm, 100mm) and toughness of steel plates

(low tou^iness, high tou^iness).

(2) Effect ofwelding

Experimental variables are heat input (CO2:

40 kJ/cm, ES: 800 kJ/cm) and toughness of steel

plates (low toughness, high toughness).

(3) Effect ofImpact

Ejq)erimental variable is loading rates

(Static, 1 m/sec, 3 m/sec, 10 m/sec).

(4) Effect ofAmplitude

Experimental variable is displacement

amplitudes (monotonic, ±2 8 p, ±4 5 p, ±8 d p).

(5) Effect ofTime

Experimental variable is the time of load

duration (10 seconds, 5 minutes, 2.5 hours).

These subjects have been examined by

beam bending tests; experiments with low toughness

steel are almost completed

5. FABRICATING AND FRACTURE OF

CONNECTIONS

The objectives ofthis sub-committee are to analyze the factors of brittie fracture observed in the welded connection and to verify reliable measures for

the new-generation steel, tiie fabrication procedures,

in-process inspection of tfie construction of new

buildings. The final goals of this sub-committee are

to clarify the phenomenon of beam-to-column

connections, truss connections, etc., to develop

guidelines on the fabrication procedures for improving

the seismic performance, to assess the economic,

social and political costs of implementing the recommendations in details of connections for more

reliable inelastic action and to revise All's Standard

for the Ultrasonic Inspection of Weld Defects in Steel

Structures. There are four woridng groups in this sub-committee.

(1) Data Analysis

In tills woridng group, to investigate the

steel properties for building structures, fracture data

base is under construction.

(2) Fundamental Study

In order to evaluate the material properties

of steels prepared for fiill scale tests and to study the welding effects on material properties, material tests were conducted. Those were tensile tests, hardness

tests, charpy impact tests, fracture toughness tests, eto.

(3) Full Scale Connection Test To investigate the relationship between the

plastic deformation capacity of beam-to-column

connection and the toughness of materials/connection

details/fabrication level, cyclic loading tests of beamto-column connection have been conducted. The

parameters are toughness of steel materials (low

toughness/high toughness), connection details (conventional type/revised type), welding condition

(normal heat input/high heat input), loading speed

(static/dynamic) and slab contribution.

(4) Strain Rate/ Weld Defects Test

Butt welded joints and T weld joints with

low toughness steel have been tested, to investigate the strain rate and weld defects on the

strength/fracture ofbeam-to-column connection.

6. COLLAPSE MECHANISM AND FRACTURE

OF STEEL FRAMES

The main objective ofthis sub-committee is

to determine the required plastic deformation capacity

of members in steel rigid frames subjected to

earthquakes. It is presumed that the required plastic

deformation edacity of steel members depends on the

ultimate resistance of the frames, the formation of

mechanism, tiie intensify of the input earthquake

ground motions, and so on. In order to accomplish

this objective, the following studies are now well

197
underway in this subcommittee.

(1) Earthquake response analysis ofthe frames having

brittle fracture at beam-ends

The earthquake response analyses of the 9-

story 3-bay planar frame with brittle fracture were

performed in order to investigate the effect of brittle

fractures at beam-ends on seismic response of steel

rigid frames.

Fig 2 shows the hysteresis model of plastic

hinges at beam-ends assumed in the analysis model.

The most important parameter of this analysis is the

plastic rotation capacity ( ^ f) of the hinges. In this model frame, the plastic rotation capacity {6 f) ofthe hinges at beam-ends was assumed to be 0, 0.005, 0.01,

0.02rad.. Fig 3 demonstrates an example of the

analysis results in terms of maximum interstoiy drift

angles in each story. In case of ^ f = 0.01, the maximum interstoiy drift angle of the frame against

the Kobe earthquake ground motion is larger than that

against the other earthquake ground motions.

(2) Simplified Response Prediction Models

In this sub-committee, the simplified fish bone model were developed to predict the seismic

behavior ofthe frames. The predictions by using the

fish bone model were compared to the results by using

the frame model for verifying the predictability ofthe

fish bone model.

(3) Column Overdesign Factor (COF) for Ensuring

Beam-Collapse Mechanism in Earthquake Response

The objectives ofthis analysis is as follows;

1) To determine the COF needed for ensuring beamcollapse mechanism

2) To investigate plastic rotation expected to columns

ifthe COF smaller than 1 From the results of the earthquake response

analysis using the fish bone model, following the

results were obtained.

1) Even if column yielding is permitted, overall behavior ( including max. overall drift angle, max.

stoiy drift angle, max. beam rotation ) remains

relatively unchanged as long as the COF^1.1.

2) For the case where the max. velocity of input EQ is

0.5 m/sec, max. column plastic rotation was smaller

than O.Olrad. (3-story model) and 0.005rad. (6 and 9

story models) when the COF ^1.1.

(4) Experimental Study on Inelastic Behavior of Joint Panel Zone

This study was conducted to investigate the

elastic-plastic behavior of joint panel zone and to propose the adequate guide on strength and rigidity.

The following three series of tests were carried out in

this study.

Series 1: Test on the beam to SHS ( square hollow

section ) column connections subjected to diagonal

bending moment ( see Fig. 4)

Series 2: Test on the effect of manufacturing process of SHS column

Series 3: Test on the H-shaped column connections

(5) Model Building Studies

The objectives of this study is to investigate

the seismic performance of U.S. steel perimeter

fimnes and Japanese spatial moment resisting frames. For this purpose, the SAC theme structures have been

redesigned by Japanese seismic code under similar

soil and hazard conditions as spatial moment resisting

fi^es using box columns.

A comparison between nonlinear responses of U.S. perimeter(SAC3-LA) and of redesigned

Japanese spatial moment resisting frames(BRBA,

BRDB) is performed. From the results of the earthquake response analysis, a clear difference in

seismic performance of U.S. frames and Japanese

fimies in terms of interstoiy drift angles, cumulative

plastic rotations( Tj +) was found, (see Table 1, Fig. 5, Fig.6 and Fig.7)

7. RESEARCH FOR INNOVATION

We have just started the research on the

198
new generation steel, new connection, new inspection

and new structural system to create the new steel

structural system.

8. US-JAPAN WORKSHOP

US-Japan woitehops on steel fiacture

issues were held three times. The first woiicshop was held in June, 1996 in San Francisco and UC

Bericeley. The second one was in Februaiy, 1997 in San Francisco. And the third one was in April ,1998 in Tol^o. In those workshops, the information on tfie

research results was exchanged between both

countries and future cooperative research items were

discussed. The proceedings ofthe first two woricshops

have been available, (Ref 1) (Ref2).

9. CONCLUSION

The outline of the project on the steel

fracture issues was presented. It is hoped to complete

our project with practical recommendations in the next year.

REFERENCES

1. " Report of First US-Japan Woricshop on Steel

Fracture Issues " Building Research Institute, The

Kozai Club, September, 1996

2. " Report ofUS-Japan Workshop on Brittle Fracture of Steel Building subject to Earthquakes " Science

and Technology Agency, Building Research Institute, March, 1997

Coordinating

Committe

Synthesizing

Committee

Welding and Fracture of Materials

Fabricating and Fracture of Connection

Collapse Mechanism and

Fracture of Steel Frames

• \ Research for Innovation (RFD I •

'< US-Japan Cooperative.Research . ;

Fig.l Organization

Plastic

Rotational

Capacity

Fig.2 Hysteresis Model ofPlastic Hinges at Beamelcentro

9

taft hachinohe

!

v\ ^ L _i

// \

'*^'

on

00

0 0.01 0.02 0.03 0.04 RMAX(rad)

6 =0.005 rad F

0 0.01 0.02 0.03 0.04 RMAX (rad) 6=0.01 rad

F

Fig.3 Maximum Interstory Drift Angles

Fig.4 Diagonal Loading Test

199
Table 1 Beam and Column Sections of 3-Story Frames

Story/Floor

BRI3-A BRI3-B SAC3-LA

Column

(BCR295) Girder (SN400B)

Column

(BCR295) Gilder (SN400B)

Column

(SOksi) Girder (36ksi)

Ext. Int. Ext. Int. Ext. Int.

3/4 -450X 16 H-550X200X

9X 19

-400X 16 H-550 X 200 X 9X 16 W14X257

(H-419X407

X31 X49)

W14X3U

(H-437X412 X 36X58)

W24X68

(H-602X228X

IIX 15)

2/3 -450XI9 -400X 19 H-550 X 200

9X 19 W30X116

(H-762 X 267 X

14X22)

1/2 -450 X 22 H-550X200X

12X22 -400 X 22 H-550 X 200 X9X22

W33X 118 (H-835X292X

14X19)

VM H H M S

* M H H

M M H

H H

-H- VH H H M

, 4 O ~9.00m

4 C 9.00fn

BRI3-Frame SAC3-Frame

Fig.5 Plan Views and Elevations of 3-Story Frames

story

4 r1

-o— BRI3-A -o— BRI3-B -A- SAC3-LA :ELCENTRO NS

rad. 0 0.005 0.01 0.015 0.02

Fig.6 Maximum Interstory Drift Angles

(Vt^lSOkine)

• 7 ± =0-1.0 • 7± ==1.0- 2.5 • 7 ± =23 -5.0

0.3

=5.0- 10.0 =10.0-20.0

0.4

4.6 2.4 2.3 2.3 2.3 2.3 2.1 5.1 • •- •

•

2.4 2.2 2.3 2.2 2.3 2.1 • •- •

•- •

BRI3-A (EL CENTRO NS 410gal)

4.8 0.9 2.1 0.9 2.1 0.9 2.0 « •

-«

•

3.5 3.5 4.1 3.4 3.3 12.^ • •

• •

BRI3-B (EL CENTRO NS 400gal)

1.8 0.5 1.2 0.7 15 2.0

1 r-r* T* •

3.2 0.2 5^T T

5;? 0.2 3.8,

SAC3-LA (EL CENTRO NS 51 Igal)

Fig.7 Damage Distribution ( Vir=150kine)

200
Design Guidelines for the Seismic Modification of Welded Steel Moment Frame Buildings

by

John L. Gross, Ph.D., P.E.^

ABSTRACT

Prompted by the widespread damage to welded

beam-to-column connections as a result of the

1994 Northridge earthquake, the National

Institute of Standards and Technology (NIST)

initiated a study to determine the efficacy of

various techniques for the modification of

existing welded steel moment frame connections to improve their seismic performance.

Problems associated with retrofitting of

existing WSMF buildings are discussed and the

alternative strategies selected for study are described. Results of 18 full-scale tests of twosided (interior) connections, some having a lightweight concrete slab on metal deck, are presented. Design guidelines, based on the

experimental results, have been written in cooperation with the American Institute of

Steel Construction (AISC) and are described.

KEYWORDS: buildings; connections; design;

earthquake engineering; frames; rehabilitation;

steel

1. INTRODUCTION

The January 17, 1994 Northridge earthquake

caused significant unexpected damage to welded steel moment frame (WSMF)

construction. In particular brittle fractures in the beam-to-column moment connections were

found in over 100 buildings (Youssef et al. 1995). In some instances the beam flange-tocolumn flange welds fractured completely

resulting in greatly reduced moment resistance

at the connection. Fortunately, no members or

buildings collapsed as a result of the connection

failures and no lives were lost. Nevertheless,

the widespread occurrence of these connection

failures is indicative of basic deficiencies in welded steel moment frame design and

construction practice prior to the 1994

Northridge earthquake. Indeed, the beam-tocolumn connection detail in common use at the

time of the Northridge earthquake was deleted

in an emergency code change ("ICBO Board"

1994). There is concern that existing structures incorporating these pre-Northridge welded

moment connections may not provide the

desired level of seismic performance in a major

earthquake. The work described in this paper

addresses the design of modifications to the

WSMF connections to provide improved

seismic performance.

1.1 Background

In the United States, seismic design of WSMF

construction is based on the assumption that, in a severe earthquake, frame members will yield

in a ductile fashion thereby dissipating energy.

The welds and bolts that connect the frame

members, being considerably less ductile, must

be designed so as not to fracture (SEAOC

1990). The beam-to-column moment connections should be designed, therefore, for

either the strength of the beam in flexure or the

moment corresponding to the joint panel zone

shear strength.

The Uniform Building Code, or UBC GCBO

1994), is adopted by nearly all California

jurisdictions as the standard for seismic design.

From 1988 to 1994 the UBC prescribed a beam-to-column connection that was deemed to

satisfy the above strength requirements. This

"prescribed" detail required that the beam

flanges be welded to the column using

complete joint penetration (CJP) groove welds.

Building and Fire Research Laboratory

National Institute of Standards and Technology

Gaithersburg, Maryland 20899 USA

201
The beam web connection was made by either

welding directly to the column or by bolting to a shear tab which in turn was welded to the

column. A version of this prescribed detail is shown in Figure 1. Although this connection

detail was first prescribed by the UBC in 1988,

it has been widely used since the early 1970's.

In general, fractures of these "prescribed"

moment connections were found to initiate at the root of the beam flange CJP weld and

propagate through either the beam flange, the

column flange, or the weld itself. In some

instances, fracture extended through the

column flange and into the column web. The

steel backing, which was generally left in place, produced a mechanical notch at the weld

root. Fractures often initiated from weld

defects in the root pass which were contiguous

with the notch introduced by the weld backing.

A schematic of a typical fracture path is shown

in Figure 2. A fracture analysis, based upon

measured material properties and measured

weld defect sizes (Kaufmann et al. 1997),

revealed that cleavage fracture would occur at stress levels roughly equal to the nominal yield

strength of the beam.

1.2 Connection Failures

Brittle fracture will occur when the applied

stress intensity, which can be computed from

the applied stress and the size and character of

the initiating defect, exceeds the critical stress intensity for the material. The critical stress intensity is in turn a function of the fracture

toughness of the material. In the fractures that occurred in WSMF construction as a result of

the Northridge earthquake, several contributing

factors were observed which relate to the

fracture toughness of the materials, size and

location of defects, and magnitude of applied

stress. These factors are discussed here.

The self-shielded flux cored arc welding

(FCAW-SS) process is widely used for the CJP

flange welds in WSMF construction. The

E70T-4 electrode in common use prior to the

Northridge earthquake, is not rated for notch

toughness and has been found to have very low

Charpy V-notch (CVN) toughness, frequently on the order of 7 J at 20° C (Kaufmann et al. 1997).

The practice of leaving the steel backing in place introduces a mechanical notch at the root of the flange weld joint as shown in Figure 2. Also, weld defects in the root pass, being

difficult to detect using ultrasonic inspection,

may not have, been rejected by the inspectors

and therefore were not repaired. Further, the use of "end dams" in lieu of weld tabs was

widespread.

The weld joining the beam flange to the face of

the relatively thick column flanges is highly

restrained. This restraint inhibits yielding and

results in somewhat more brittle behavior.

Further, the stress across a beam flange

connected to a wide flange column section is not uniform but rather is higher at the center of

the flange and lower at the flange tips. Also,

when the beam web connection is bolted rather

than welded, the moment is carried principally

by the beam flanges. Finally, the actual yield

strength of a steel member may exceed the

nominal yield strength by a considerable

amount. Since seismic design of moment

frames relies on beam members reaching their

plastic moment capacity, an increase in the

yield strength translates to increased demands

on the CJP flange weld.

Modifications to pre-Northridge WSMF

connections to achieve improved seismic

performance seek to reduce or eliminate some

of the factors which contribute to brittle fracture mentioned above. Methods of

achieving improved seismic performance are addressed next.

2. IMPROVING SEISMIC PERFORMANCE

There are several approaches to minimizing the

potential for fracture including, 1) strengthening the connection thereby reducing the beam

flange stress at the column face, 2) limiting the

beam moment at the column face, or 3)

202
increasing the fracture resistance of welds.

Any of these basic approaches, or a combination of them, may be used. This paper

presents three connection modification

methods: welded haunch, bolted bracket, and

reduced beam section. The first two of these

modification methods employ the approach of

strengthening the connection and thereby

forcing inelastic action to take place in the

beam section away from the face of the column

and the CJP flange welds. The third method

seeks to limit the moment at the column face by

reducing the beam section at some distance

from the column thereby introducing a

structural "fuse."

2.1 Reduced Beam Section

The reduced beam section (or RBS) technique

is illustrated in Figure 3. As shown, the beam

flange is reduced in cross section thereby

weakening the beam in flexure. Various

profiles have been tried for the reduced beam

section but only the circular cut is considered

here. The intent is to force a plastic hinge to form in the reduced section. By introducing a

structural "fuse" in the reduced section, the

force demand that can be transmitted to the

CJP flange welds is also reduced. The

reduction in beam strength is acceptable in most cases since drift requirements frequently

govern moment frame design and the members

are larger than needed to satisfy strength

requirements. The RBS technique applied to the bottom flange only tends to reduce the

overall frame stiffness on the order of 5%.

This technique has been shown to be promising

in tests intended for new construction.

The RBS plays a role quite similar to that of

connection reinforcement schemes such as cover plates. Both the RBS and connection

reinforcement move the plastic hinge away

from the face of the column and reduce stress levels in the vicinity of the CJP flange welds.

Connection reinforcement often requires welds

that are difficult and costly to make and

inspect. These problems are lessened with the

RBS, which is somewhat easier to construct.

On the other hand, a greater degree of stress reduction can be achieved with connection

reinforcement. With the RBS, there is a

practical limit to the amount of flange material

that can be removed and consequently, there is a limit to the degree of stress reduction that can be achieved with the RBS.

The reduced beam section appears attractive for

the modification of existing connections

because of its relative simplicity, and because it does not increase demands on the column and

panel zone. For new construction, RBS cuts are

typically provided in both the top and bottom

beam flanges. However, when modifying

existing connections, making an RBS cut in the

top flange may prove difficult due to the

presence of a concrete floor slab. Consequently, in this study addressing the

modification of existing connections, the RBS

cut is provided in the bottom flange only.

2.2 Welded Haunch

Welding a tapered haunch to the beam bottom

flange (see Figure 4) has been shown to be

very effective for enhancing the cyclic

performance of damaged moment connections

(SAC 1996) or connections for new

construction (Noel and Uang 1996). The

cyclic performance can be further improved

when haunches are welded to both top and

bottom flanges of the beam (SAC 1996)

although such a scheme requires the removal of

the concrete floor slab in existing buildings.

Reinforcing the beam with a welded haunch

can be viewed as a means of increasing the

section modulus of the beam at the face of

column. However, a more appropriate

approach is to treat the flange of the welded

haunch as a diagonal strut. This strut action

drastically changes the force transfer

mechanism of this type of connection and can be shown to greatly reduce the stress in the

beam flange welds.

The tapered haunch is usually cut from a

structural tee or wide flange section although it could be fabricated from plate. The haunch

203
web is fillet welded to the beam and column

flanges. The haunch flange is then groove

welded to the beam and column flanges (see

Figure 4).

2.3 Bolted Bracket

The bolted bracket is an alternative to the

welded haunch and has the added advantage

that no field welding is required. Rather, high

strength bolts are used to attach a welded steel bracket, fabricated from plate, to both the beam

and column as shown in Figure 5. Installation

of the bolted bracket eliminates the problem

associated with welding such as venting of

welding fiimes, supply of fresh air, and the

need for fire protection.

As with the welded haunch, the bolted bracket

forces inelastic action in the beam outside the

reinforced region. Tests have shown this to be

an effective repair and modification technique

producing a rigid connection with stable

hysteresis loops and high ductility (Kasai et al. 1997).

Various types of bolted bracket have been

developed. The haunch bracket (Figure 5)

consists of a shop-welded horizontal leg,

vertical leg and vertical stiffener. The two legs are bolted to the beam and column flanges. An

angle bracket (not shown), cut from a relatively

heavy wide flange section, has been used for

the top flange where it is desirable to conceal

the modification within the concrete slab.

3. EXPERIMENTAL PROGRAM

The modification of pre-Northridge moment

connections differs from new construction in two significant ways:

1) Existing welds are generally of low

toughness E70T-4 weld metal with steel backing left in place and their removal and

replacement using improved welding practices

and tougher filler metal is both difficult and

expensive, and

2) Access to the connection may be limited,

especially by the presence of a concrete floor

slab which may limit or preclude any

modifications to the top flange.

With these limitations in mind, the National

Institute of Standards and Technology (NIST)

initiated an experimental program for the

express purpose of determining the connection

performance for various levels of connection

modification. As such, initial tests were

conducted on specimens that typically involved

modifications only to the bottom flange. Based on successes and failures, additional remedial measures were applied until acceptable

performance levels were obtained.

The NIST experimental program was designed

to complement other test programs that had

been completed or were in progress. In the

majority of the tests conducted prior to NIST

involvement, the test specimens consisted of

bare steel frame subassemblages representing

one-sided (exterior) connections. The NIST

program sought to obtain data on interior, or

two-sided, cormections to determine if such

connections perform as well as one-sided

connections. Additionally, the presence of a concrete slab, whether designed to act compositely or not, tends to shift the elastic neutral axis of the beam upward thereby

increasing tensile flexural strains at the bottom

beam flange weld as compared to those in a bare steel frame. To address this issue, some NIST tests included a steel deck-supported

lightweight concrete slab. The concrete slab was not designed for composite action,

however, shear studs designed to transfer

lateral forces into the moment frame force the

slab to act compositely with the steel beam.

Beam secfions used in the NIST experimental

program were selected to conform to those

used in the SAC Phase 1 test program (SAC

1996). Two-sided connecfions, however,

required larger columns than those used in the

SAC tests to accommodate the unbalanced

beam moments. Columns were selected so as

to not require the addition of column web

stiffening, commonly referred to as "doubler

plates." The columns selected also did not

204
require continuity plates as would be consistent

with practice in the early 1980's. The two test specimen sizes consisted of the following beam

and column sections, respectively: W30x99,

W12x279 and W36xl50, W14x426.

The NIST experimental program involved the

testing of 18 full-size beam-to-column

connections which had been modified using the

techniques described herein. One specimen was repaired and re-tested. A diagram of the

test specimens and representative test apparatus

is shown in Figure 6. The tests were

conducted at the University of Texas at Austin,

the University of California, San Diego and

Lehigh University's ATLSS Research Center.

4. EXPERIMENTAL RESULTS

The objective of modifying moment connections in existing buildings is to improve their

performance in future earthquakes. Experimental results indicate that the modified

connections are generally capable of developing

at least 0.02 radian of plastic rotation. A plot

of the moment at the face of the column versus

total plastic rotation for a representative haunch

modification with concrete slab is shown in Fig. 7. While not meeting new construction

standards, these modified connections will

provide a significant improvement in performance compared to existing pre- Northridge connections. The use of these

modified connections should reduce potential

economic losses and mitigate safety concerns

for existing WSMFs in future earthquakes. A

minimum plastic rotation of 0.02 radian

provides a reasonable and realistic basis for the

seismic rehabilitation of a wide variety of

ordinary buildings constructed with WSMFs.

4.1 RBS Results

The experimental data indicate that the addition

of the beam flange cutout, by itself, is not

sufficient to significantly improve connection

performance. In all cases in which the low

toughness beam flange groove welds were not

replaced, the welds fractured at low levels of

plastic rotation indicating that additional measures would be required to significantly

improve performance. Better performance was

achieved by not only providing a flange cutout,

but also by replacing the existing top and

bottom beam flange groove welds with a higher

. toughness weld metal. Tests indicated that this level of modification permits the development

of plastic rotations on the order of 0.02 radian

to 0.025 radian.

4.2 Welded Haunch Results

For both sets of member sizes tested, the test data show that, when the beam top flange

groove welded joint was left in its pre- Northridge condition, the welded haunch

modification outperformed the RBS

modification. Of the three sets of bare steel specimens tested, five beams experienced

welded fracture at the top flange. Two-thirds

of the beams, however, were able to develop

plastic rotations of at least 0.025 radian. When

the concrete slab was present, none of the

beams experienced weld fracture and the plastic

rotation achieved for the six beams tested varied from 0.028 radian to 0.031 radian, more

than adequate for modification purposes.

4.3 Bolted Bracket Results

For the bolted bracket tests, four specimens

showed early fracture of the top flange weld

when the top flange connection was not modified. When a stiff double angle was

bolted to the top flange and column face, the

top flange did not fracture and the connections were able to develop 0.05 radian plastic

rotation. The addition of a top angle, however,

necessitates the removal of a portion of the concrete slab.

5. DESIGN GUIDELINES

Based on the results of 18 tests conducted

under the program described herein, design

guidelines have been developed which allow

the proportioning and detailing of the three

modification techniques described above. The

205
guidelines have been written in cooperation

with the American Institute of Steel

Construction (AISC) and will be available as part on their Design Guide series.

The design procedures account for the expected

material yield strength and the design plastic

moment for each modification has been

calibrated to experimental results through a

factor which accounts for strain hardening. A

plot of this strain hardening factor versus story

drift ratio for the RBS modification (W36xl50

beams) is shown in Fig. 8. Because the

seismic modification of existing welded steel moment connections is not fully investigated

and there are many options to consider, the

guideline contains a significant amount of

commentary. Additionally, the guideline

reports, in a common format, the results of 47

tests conducted by others.

6. CONCLUSIONS

This paper has provided a brief overview of the

issues surrounding the modification of existing

welded steel moment connections to improve

their seismic performance. Three modification

schemes were described; the welded haunch,

bolted bracket and reduced beam section. An

experimental program involving 18 tests of

full-scale beam-to-column subassemblages was

described. Results indicated that the modified

connections are capable of developing a minimum of 0.02 radian of plastic rotation.

Recommendations for the proportioning and

detailing of the various connection modifications are contained in a design guide.

7. REFERENCES

ICBO (1994). Uniform Building Code.

International Conference of Building Officials

aCBO), Whittier, CA, 1994.

"ICBO Board Approves Emergency Structural

Design Provisions" (1994). Building Standards.

September-October, 1994, p26.

Kasai, K., Hodgon, I. And Mao, C. (1997).

"Bolted Repair Methods for Fractured Welded

Moment Connections," Proceedings, Behavior

of Steel Structures in Seismic Areas (Stessa

'97), Kyoto, Japan, August 3-4, PP 939-946.

Kaufmann, E.J., Fisher, J.W., DiJulio, R.M.

and Gross, J.L. (1997). "Failure Analysis of

Welded Steel Moment Frames Damaged in the

Northridge Earthquake," NISTIR 5944,

National Institute of Standards and

Technology, Gaithersburg, MD.

Noel, S. and Uang, C.-M. (1996). "Cyclic

Testing of Steel Moment Connections for the

San Francisco Civic Center Complex," Report

No. TR-96/03, University of California, San

Diego, La Jolla, CA.

SAC (1996). "Experimental Investigations of

Beam-Column Subassemblages," Technical

Report SAC-96-01, Parts 1 and 2, SAC Joint

Venture, Sacramento, CA.

SEAOC (1990). Recommended Lateral Force

Requirements and Commentary, Structural

Engineers Association of California (SEAOC),

Sacramento, 1990.

206
Figure 1 - "Prescribed" Moment Connection Detail

Figure 2 - Fracture of Complete Joint

Penetration Flange Weld

207
Figure 3 - Reduce Beam Section (RBS)

Modification

<

Stiffener

Haunch

(cut from W section

or welded from plate)

Figure 4 - Welded Haunch Modiflcation

208
I T

Figure 5 - Bolted Bracket Modification

1

Lateral Support (Typ) g. _

W30x99(A36)

Rigid Linl< with

~ Load Cell

Hydraulic Ram and

Load Cell

Concrete Floor Slab W12x279 (Gr. 50) , Metal Deck (8 ft wide)

W3Qx99{A36)

l^-O"

Figure 6 - NIST/AISC Test Set-Up

209
3000

-0.04 -0.03 -0.02 -0.01 0.00 0.01 0.02 0.03 0.04

Total Plastic Rotation (rad)

Figure 7 - Moment vs. Plastic Rotation for Haunch Modification

) Xc

\

i i

1

1 ^«

JK UCSD-RBS-1 (Beam 1) • UCSD-RBS-1 (Beam 2) + UCSD-RBS-2(Beam 1) -UCSD-RBS-2 (Beam 2) -UCSD-RBS-2R (Beami)

UCSD-RBS-2R (Beam 2) UCSD-RBS-3 (Beami)

UCSD-RBS-3 (Beam 2) XUCSD-RBS-4 (Beam 1) XUCSD-RBS-4 (Beam 2)

story Drift Ratio (%)

Figure 8 - Strain Hardening Factor vs. Story Drift Ratio /or RBS

Modification of W36xl50 Beams

210
DRAFT MANUAL FOR

SEISMIC ISOLATION DESIGN OF UNDERGROUND STRUCTURES

by

Shigeki UNJOH", Jun-ichi HOSHIKUMA", Kazuhiro NAGAYA'' and Kazuhiko MURAl'^

ABSTRACT

Public Works Research Institute has conducted

3-year joint research program on seismic

isolation systems for underground structures to improve the structural performance and the

safety during earthquakes. This project has

been made through the joint research program

between Public Works Research Institute,

Public Works Research Center and 17 private

companies. Developed seismic isolation

systems for the underground structures are made by constructing the isolation materials

with low-shear modulus around the

underground structures to absorb the effect of

ground deformation. Five kinds of seismic

isolation materials have been developed and the

analysis and design methods for the

underground structures with the seismic

isolation systems have been also studied and

developed. The final 'accomplishment is complied as a "Draft Manual for Seismic

Isolation Design of Underground Structures" in

March 1998.

KEY WORDS : Seismic Design

Underground Structure

Seismic Isolation

Seismic Isolation Material

Seismic Isolation Design

Design Manual

1. INTRODUCTION

Underground structures such as tunnels and

pipelines are generally affected by the

displacement and deformation of the

surrounding ground during earthquakes. In general, therefore, the underground structures are less influenced by the effect of earthquakes

than the structures on the ground in which the earthquake response is amplified through the

structures.

On the other hand, the underground has

recently been starting to be developed and to be densely used especially in urban areas. The

underground structures are often required to be

constructed at the sites where the effect of

earthquake becomes critical in the design, such

as the sites with soft soil conditions, the sites where the ground condition is drastically

changing, and the sites where structures with

different vibrational characteristics are constructed closely or jointly.

During the 1995 Hyogo-ken-nanbu Earthquake,

the damage to the underground structures were

relatively slight comparing the structures on the

ground such as buildings and bridges.

However, some of the underground structures such as subway station were damaged

destructively. At the Daikai-Station of the

Kobe High Speed Train, the RC columns were

failed in shear and the upper slab was settled.

1) Head, Earthquake Engineering Division,

Earthquake Disaster Prevention Research

Center, Public Works Research Institute,

Ministry of Construction, Tsukuba-shi,

Ibaraki-ken, 305, Japan

2) Research Engineer, ditto

3) Visiting Research Engineer, ditto

211
The damage to sewage systems such as cracks

and dislodgement of pipes were also found.

The Public Works Research Institute has been

studied and developed the seismic isolation

systems for the underground structures to improve the seismic performance and the safety

by constructing the isolation materials with

low-shear modulus surrounding the

underground structures. The isolation materials

absorb the deformation of the ground during

the earthquakes. This study was made through

the joint research program between Public

Works Research Institute, Public Works

Research Center, and 17 private companies

including material makers, general contractors,

design consulting firms.

In the Joint research program, major objectives

of the research and development are as follows:

1) Development of Isolation Materials

Applicable for the Seismic Isolation

Systems

2) Construction Methods of Seismic Isolation

Materials

3) Design Methods for Underground

Structures with Seismic Isolation Systems

The final accomplishments of the research and

development is compiled as the "Draft Manual

of Seismic isolation design for Underground

Structures" in March 1998.

This paper presents the concept of the seismic

isolation systems for the underground

structures and the outline of the draft design

manual.

2. SEISMIC ISOLATION SYSTEMS FOR

UNDERGROUND STRUCTURES

2.1 Concept of Seismic Isolation Systems

In general, underground structures are

subjected to the deformation through the

interaction between the ground and the

structures. Therefore, when the stiffness of the

structures are increased, the flexibility of the

structures is decreased then the section force

developed against the same deformation is increased. Hence, the design to increase the

section or number of reinforcing bars to ensure

the earthquake force developed like usual

structures is not effective in general. In this case, it is effective to isolate the structures from the deformation of the ground.

There are several ways to decrease the effect of

ground deformation to be transmit to the

underground structures. Major ways are the

followings :

1) To make the underground structures

flexible by decreasing the stiffness

2) To decrease the effect of ground

deformation to be transmitted to the

underground structures

The usual way, which has been employed for

actual submerged turmels and shield tunnels

and common utility ducts, is the above 1)

using flexible joints. When the stiffness of the

joints are decreased, the ground deformation is absorbed at the joints and the section force of

the structures is decreased. However, when the

displacement developed at the joints becomes

excessive, there are cases in which such

excessive displacement is not acceptable or the

special water-proof joints are required

depending on the performance level required to the structures during large earthquakes.

On the other hand, the above 2) includes the

methods in which the seismic isolation layer

consisted of the materials with low shear

modulus comparing the surrounding soils are constructed around the structures as shown in Fig.l. Since the shear deformation of the

ground is absorbed by the seismic isolation

layer, the excessive displacement, which may

be developed at the specific joints, is prevented

by this methods. Furthermore, since the ground

deformation is absorbed, the isolation layer is

212
effective to earthquake ground deformation

both in the longitudinal and transverse

directions.

Here, the method to decrease the effect of

earthquakes by constructing the seismic

isolation layer around the underground

structures is defined as "Seismic Isolation

Systems for Underground Structures".

2.2 Application of Seismic Isolation Systems

Th effect of earthquake is generally large for

the underground structures under the following

conditions based on the past earthquake

damage experiences.

1) Boundary section where the ground

conditions are critically changed

The effect of earthquakes on the underground

structures becomes large at the sites where the

ground condition is changing from stiff ground

to soft ground, or from cut ground to embanked ground. The deformation and the

strain is concentrated at the boundary of the

such sections with the change of ground

conditions.

2) Connection section of two different

structures The deformation is concentrated at the

connection section between shaft and tunnels, or junction sections, by the difference of the

vibrational characteristics of two adjacent

structures.

Therefore, the application of the seismic

isolation systems is effective such boundary

sections with different ground conditions or

different structural conditions as shown in Fig.2. The concentration of the deformation

and the strain is absorbed by the seismic

isolation layer and the seismic performance of

the underground structures can be improved.

Also, the transmission of shear deformation can

be decreased by the seismic isolation layer, the

effect of earthquakes is decreased for the

transverse direction of the structures with wide

section in which the surrounding shear stress is critical in the seismic design.

Furthermore, when it is required to prevent

water from coming in the structure depending on the required performance of the structures,

the application of the seismic isolation layer

with a water-proof function is effective both

for the increase of the earthquake resistant performance and the water-proof performance.

2.3 Seismic Isolation Materials

Seismic isolation materials applicable to the underground structures are required to have the

performances of seismic isolation functions and

the function as the backfill materials. The

development of the seismic isolation materials

have been made for the shield-driving tunnels

and the open-cut type tunnels. The required

performances are as follows:

1) Low shear modulus and high shear

deformability

2) High durability, long-term stability, and

small volumetric changes

3) High constructionablity (for example for shield-driving tunnels : transportability by

pumping in a liquid state and high

filling-up performance

4) Watertightness

5) No dilution by ground water

6) No contaminants

Based on the above required performances, in the joint research program, 5 kinds of the

seismic isolation materials were developed as shown in Table 1. The material characteristics

including mechanical one, such as shear

modulus, durability, watertightness, creep, and

constructionablity were tasted using developed

materials.

Fig3 shows examples of the mechanical

properties of the developed materials obtained

through the hollow cylindrical cyclic shear

213
tests. The all materials were tested by the same

testing methods.

To simulate the actual condition in the tests, the surface soil layer with about 3m are assumed for the open-cut type tunnels. And for

the shield driving tunnels, the surface layer

with about 20 m was assumed. Then the

confined pressures were selected as 0.5, 1.5 and 3.5 kgf/cm^ The cyclic loading rate is assumed as 1 Hz considering the natural period

of the surface layer. The strain range tested was assumed up to 10% considering the large

deformation during the large earthquakes based on the analytical results.

Fig3 shows that the shear modulus and

damping ratio for Urethan-based material,

Silicon-based material and Liquid Rubber

material are almost constant in the range of the

strain tested. And the confinement dependency was not found.

On the other hand, Asphalt-based material has

the strain dependency in which when the strain

increases the shear modulus decreases and the

damping increases. The confinement

dependency is found at the small strain range

but is not remarkable.

For Precast Rubber Panel, the strain

dependency and confinement dependency are found. Since the precast rubber panel is made

by binding the rubber tips by resin, the precast

rubber panel has the void inside the panel. The

strain dependency is developed by the resin

characteristics is changed in the high strain range then the shear modulus decreases.

Seismic isolation design of the underground

structures has to be made based on the material

characteristics as above mentioned. Some

materials have other dynamic characteristics

such as velocity dependency. They are also

obtained through the necessary tests.

2.4 Construction Methods

Fig.4 shows the outline of the construction

methods of seismic isolation materials. For the shield-driving tunnels, the same construction

methods of the backfill to the tale void is applicable. The materials are injected to the

tale void from the inside of the tunnels and the

seismic isolation layer has constructed around

the structures. To prevent the inflow of the

isolation materials toward the shield machine

and to construct seismic isolation layer

certainly in the tale void, the shield machine

requires the inflow prevention devices but not important remodeling. For the open-cut type

tunnels, the seismic isolation layer can be

constructed with the construction of the

tunnels. In the joint research project, both

construction methods are verified through the

construction tests of the seismic isolation layer.

3. VERIFICATION TESTS OF THE

EFFECTIVENESS OF SEISMIC

ISOLATION SYSTEMS

3.1 Test Models

To verify the effectiveness of the seismic

isolation systems, the model tests were made

using large shake table at the Public Works

research Institute.

Fig. 5 shows the scale of the model. Tunnel is assumed to be constructed at the change

section of ground conditions. The tunnel was

the almost 1/70 size of actual structures with a diameter of 70mm and the thickness of 2mm.

The ground was made of Silicon where the soft

soil was assumed to have the shear modulus of

lkgfi'cm\ and the stiff soil was assumed to have the 20kgf/cm\ Seismic isolation layer was

assumed to have the thickness 10mm and the

shear modulus of 0.05kgf/cm\

The model was subjected to the sinusoidal

ground motion and the random earthquake

214
ground motion. Since the natural frequency of

the model was 6.5Hz, the sinusoidal wave with

the natural frequency of the ground was input

to the shake table.

3.2 Test Results

Fig. 6 shows the typical test results. In the

'

right side section where the ground condition is changed, the seismic isolation layer is constructed. The strain in the tunnels in the

longitudinal direction developed at the change

section of the ground conditions was decreased

by 30% by employing the isolation layers. This was the aknost expected effectiveness through

the analysis.

4. DRAFT MANUAL FOR SEISMIC

ISOLATION DESIGN OF

UNDERGROUND STRUCTURES

4.1 Table of Contents

The draft manual consists of 9 chapters, 4

design examples and the 12 reference

materials. The table of contents is as follows.

1. General

1.1 Scope

1.2 Definition of Terms

1.3 Symbols

2. Basic Principle of Seismic Isolation Design

for Underground Structures

3. Design Earthquake Ground Motion and

Design Ground Displacement

3.1 General

3.2 Design Ground Displacement during

Earthquakes

3.3 Dynamic Soil Properties

3.4 Design Earthquake Response Spectrum

3.5 Input Ground Motion for Dynamic

Analysis

4. Seismic Design of Underground Structures

in Transverse Direction

4.1 General

4.2 Horizontal Ground Displacement during

Earthquakes

4.3 Static Analysis Methods of

Underground Structures in Transverse

Direction

4.3.1 General

4.3.2 Response Inertia Force Methods

4.4.3 Other Static Analysis Methods

4.4 Model of Underground Structures in Transverse Direction

4.4.1 Model of Shield Driving Tunnel

4.4.2 Model of Open-Cut Type Tunnel

4.5 Evaluation of Safety

4.6 Check of Safety by Dynamic analysis

Methods

4.6.1 General

4.6.2 Analytical Model

4.6.3 Evaluation of Safety

5. Seismic Design of Underground Structures

in Longitudinal Direction

5.1 General

5.2 Horizontal Ground Displacement during

Earthquake

5.3 Static Analysis Methods of

Underground Structures in Longitudinal

Direction

5.3.1 General

5.3.2 Analysis Methods using

Beam-Mass Model

5.3.3 Analysis Methods using

Axisymnmentrilc Model

5.3.4 Analysis Methods using Simplified

3-Dimensional FEM Model

5.3.5 Analysis Methods using

3-Dimensional FEM Model

5.4 Model of Underground Structures in Transverse Direction

5.4.1 Model of Shield Driven Tunnel

5.4.2 Model of Open-Cut Type Tunnel

5.5 Evaluation of Safety

5.6 Check of Safety by Dynamic analysis

Methods

5.6.1 General

5.6.2 Analytical Model

5.6.3 Evaluation of Safety

6. Seismic Design of Connection Section

between Shaft and Tunnel

215
6.1 General

6.2 Horizontal Ground Displacement during

Earthquake

6.3 Static Analysis Methods of Connection

Section between Underground

Structures

6.4 Model of Shaft and Underground

Structures

6.5 Evaluation of Safety

7. Design of Isolation Material and the

Material Properties

7.1 General

7.2 Asphalt-based Material

7.2.1 General

7.2.2 Material Properties

7.3 Urethan-based Material

7.3.1 General

7.3.2 Material Properties

7.4 Silicon-based Material

7.4.1 General

7.4.2 Material Properties

7.5 Liquid Rubber Material

7.5.1 General

7.5.2 Material Properties

7.6 Precast Rubber Panel Material

7.6.1 General

7.6.2 Material Properties

8. Design of Seismically Isolated Tunnels

against Usual Loads

Design Examples

1. Design Example of Open-Cut Type Tuimel

in Transverse Direction

2. Design Example of Shield-driving Tunnel

which is constructed at Changing Site of

Ground Condition

3. Design Example of Shield-driving Tunnel

which is constructed under the Retaining

Caisson

4. Design Example of Connecting Section

between Shaft and Tunnel

Reference Materials

1. Mechanical Properties of Isolation Materials

2. Construction Methods of Shield Tunnels

with Isolation Design

3. Construction Methods of Open-Cut Type

Tunnels with Isolation Design

4. Applicability of Seismic Isolation Design for

Longitudinal Direction of Underground

Structures

5. Applicability of Seismic Isolation Design for Transverse Direction of Open-Cut Type

Turmels

6. Applicability of Seismic Isolation Design for Transverse Direction of Shield driving

Tunnels

7. Applicability of Seismic Isolation Design for Connection section between Shaft and

Tunnels

8. Applicability of Analysis Methods in Longitudinal Direction of Underground

Structures with Isolation Design

9. Applicability of Analysis Methods in Transverse Direction of Underground

Structures with Isolation Design

10. Analysis Examples of Settlement of

Surrounding Soils around Underground

Structures with Isolation design

11. Verification Tests Results of Effectiveness

of Seismic Isolation Design of Underground

Structures

12. Verification Tests Results of Effectiveness

of Seismic Isolation design of Underground

Structures

4.2 Basic Principle of Seismic Isolation

Design

In the draft design manual, the basic principle

of the seismic isolation design is specified as follows:

(1) The objective of the seismic isolation

design for the underground structures is to decrease the section forces developed during

earthquakes

(2) The thickness and the length of the

isolation layer shall be designed so as to get

the effective isolation function.

(3) When the seismic isolation systems are employed, the stability during the construction

216
and the stability against the usual loads shall be

verified.

(4) In the seismic isolation design, the two type

of earthquake ground motion shall be taken

into account. They are the earthquake ground

motion with high probability to occur during

the lifetime of the structures and the

earthquakes ground motion with strong

intensity and the low probability to occur

during the lifetime of the structures. Against

these two types of earthquake ground motions,

the underground structures shall be designed to insure the seismic performance level depending on the structural characteristics, purposes of

use, importance, etc.

(5) Seismic isolation systems are applied both

for the transverse and longitudinal directions of

the underground structures. In the transverse

direction, the earthquake response is analyzed

by using Finite Element Method (FEM) model

where the inertia force of ground is applied to the model. In the longitudinal direction, the

earthquake response is analyzed using

beam-spring model where the deformation of

the ground applied is analyzed through the

dynamic analysis of the ground. In the analysis

of the connection of the shaft and the tunnels,

the beam-spring model or axisymmetric FEM

model. The properties of soils and structures

shall be given appropriately depending on the

response level.

(6) In the design of the underground structures with complicated vibrational characteristics

during earthquakes, the safety shall be check

by using detailed model and analysis methods.

(7) Isolation materials shall be selected

considering the constructionablity,

watertightness, durability, material properties,

etc., and shall be used in the reliable range of

the material properties.

5. CONCLUDING REMARKS

The preceding pages presented an outline of

3-year joint research program on seismic

isolation systems for underground structures to improve the structural performance and the safety during earthquakes. There is an idea of

the seismic isolation system for the

underground structures long time ago, but the

isolation materials and the construction

methods applicable for the systems had not yet

been developed. Through the joint research

program, 5 kinds of seismic isolation materials

have been developed and the analysis and

design methods for the underground structures with the seismic isolation systems have been

also studied and developed. The final

accomplishment is complied as a "Draft

Manual for Seismic Isolation Design of

Underground Structures". Since the draft manual is now under printing, it will be

available in around June.

This research is one of the first steps to realize a new earthquake resistant structure. We are planning to study furthermore about the

practical application of the isolation systems

and the verification tests using full-scale structures should be studied.

ACKNOWLEDGMENTS

This study was made the joint research

program between Public Works Research

Institute, Public Works Research Center and 17

private firms. The authors thank all members

of the joint research program who have

conducted research and development eagerly. In particular, Mr. Isao TAKATORI, Director of

the Public Works Research Center and Dr. Takeyasu SUZUKI, Kumagai-gumi

Cooperation for their faithful contribution to the joint research program.

REFERENCES

1) Public Works Research Institute : Report of

The Disaster Caused by the 1995

Hyogo-ken Nanbu Earthquake, Journal of

217
Research, Public Works Research Institute,

Vol.33, March 1997 (in English)

2) Public Works Research Institute, Public

Works Research Center, 17 Private Firms : Report of The Joint Research on Seismic

Isolation Design of Underground Structures Vol.1 and Vol.2, Joint Research Report,

No. 154 and 192, November 1996 and

December 1997, (In Japanese)

3) Public Works Research Institute, Public

Works Research Center, 17 Private Firms : Report of The Joint Research on Seismic

Isolation Design of Underground

Structures, - Draft Manual for Seismic

Isolation design of Underground Structures

-, Joint Research Report, March 1998

(Under Printing)

4) Unjoh, S., Hoshikuma, J., Nagaya. K, and

Murai, K: Development of Seismic

Isolation Systems for Underground

Structures and the Mechanisms of Seismic

Isolation, 7th US-Japan Workshop on

Earthquake Disaster Prevention for Lifeline

Systems, November 4-7, 1997, Seattle,

Washington

5) Suzuki, T, and Tanaka, T : Research and : Development on the Seismic Isolation

Systems applied to Urban Tunnels (Part-1:

Development of Seismic Isolation Materials

and Construction Methods), 7th US-Japan

Workshop on Earthquake Disaster

Prevention for Lifeline Systems, November

4-7, 1997, Seattle, Washington

6) Tanaka, T, and Suzuki, T : Research and : Development on the Seismic Isolation

Systems applied to Urban Tunnels (Part-1:

Effects of Seismic Isolation and Seismic

design), 7th US-Japan Workshop on

Earthquake Disaster Prevention for Lifeline

Systems, November 4-7, 1997, Seattle,

Washington

218
Table 1 Seismic Isolation Materials Developed

Construction Methods Isolation Material Material Contents

Shield Driv ing Tunnel Asphalt-based Material

Asphalt and portland cement with

high-water absorbing polymer

Urcthan-basod Material Urethan with fly ash and pcMyor

Silicon-based Material Silicon oil and fly ash with polyether

Open-Cut Type Tunnel Liquid Rubber Material

Polybutadiene-type liquid rubber with

polyisocyanate

Precast Rubber Panel

Rubber tips made of shredded tires with

urethan polymer resin

Fig.l Concept of Seismic Isolation Systems for Underground Structures

219
(1) Boundan, of the Change of Ground Condition

(2) Connection between Shaft and Tunnel

(a) Shield Driving Tunnels

(1) Boundary of the Change of Ground Condition

220
25

'J

'Si 20

15 a

iU

5

0

lo-"

10"

10-'

^ 50 J 40

so

30

o 20

H 10

0,0

50

40

5 30

as 20

10

10-' 10-'

Shear Strain

10- 10- 10-

(a) Asphalt-b,ased Material

10-' 10-'

Shear Strain

10-

,1 I I I I I

. = l.Sk»f/^

ac

50

40

.2 30

c 20

'a. E

« 10 G

0

Jl

• .r, =O.Ski</i^ A 7. = l.SI«(/a'

1 »

10-' 10-' r

Shear Strain

10- 10- 10- 10- 10-'

Shear Strain

10"

ft ? o

O », =O.Sk»</ai' a », = I.5k»</c»'

JO

(b) Urethan-based Materials

50

40

30

20

10

so

eQ

A », = 1.5k»f/(«' =3.51n</ii'

10- 10-'

Shear Strain

10- 10- 10- 10-

(c) SOicon-based Materials

10-'

Shear Strain

10-

0». =0.5ki</M'

I

OQO

50 ^ 40 o5 30

a:

aa 20

a.E

10 rt

»

10- 10-'

Shear Strain

10- 10- 10- 10-

(d) Liquid Rubber Materials

10-' Shear Strain

10-

50

40

« 30

a:

Oli c 20

'5. E

fid Q 10

U

1 Aiifl^^''^

• >, =l>.SI«</c^ A », = 1.5kt'/irf

10- 10- 10" 10- 10- 10- 10- 10- 10- 10- Shear Strain Shear Strain (e)Precast Rubber Panel

Fig.3 Dynamic Mechanical Properties of Seismic Isolation Materials Developed

221
(a) Shield Drivinii Tunnels

Fiy.5 Model for Shake Table Tests

222
3000

2000

1000

-1000

-2000

-3000

With Isolation

Without Isolation

1

mm —*, \

•••.X

\

i

\

! Soft Soil Sriff SoU

;

'

i

' \ Isolation Length

1

1 1

100 200 300 Distance (cm)

400 500

(a) Strain Distribution in Tunnel Model in The Longitudinal Direction

(Sinusoidal Input : 6.5Hz, 150gal)

2500

2000

'o^ 1500 •| 1000 ^ 500 •i 0 ^ -500 - -1000 '^ -1500 -2000

-2500

' With Isolation

' Without Isolation n I. T .1 * A ^ A .'. A « A ,'t f.

V ¥

•.' V V -J V V V V v' V S

0.5 1 1.5 Time (s)

(b) Strain Response

(Sinusoidal Input : 6.5Hz, 150gal)

0.5 2 2JS 3 Time (s)

(c) Strain Response (Earthquake Wave)

Fig.6 Test Results of Shake Table Tests

V V

2.5

223
Comparison between the affected populations of indirect health effects

after the 1995 Great Hanshin-Awaji earthquake

by

Keiko Ogawai>, Ichiro Tsuji^), Shigeru Hisamichi^)

Keishi Shiono^)

ABSTRACT _

Indirect health effects (any kinds of

health outcomes, not directly caused by

the structural damages ) after the

earthquake have come to be the issue

after the fatal earthquakes such as the

1995 Great Hanshin-Awaji earthquake.

The investigations about the mortality

and morbidity due to both direct and

indirect health effects at the community

level are required to identify the most

effective countermeasures in the preimpact and post impact phase.

As an example of indirect health

effects, age-adjusted death rates of

acute myocardial infarction were

compared among several affected

regions. In Nada, Higashi-Nada,

Hyogo, Nagata districts in Kobe City we

observed the sharp increase in the

average death rates between January

and March, 1995 in comparison with

1994 and 1996. Outside of Kobe City,

the similar increase was observed in

Amagasaki and Tsuna. The different

patterns in the increase of rates

between January and March, 1995 are suggestive of the multiple risk factors.

The further investigation is required to

identify the environmental factors

(structural and non-structural) to

reduce the total health outcomes.

KEYWORDS:

indirect health effects

age-adjusted death rate

acute myocardial infarction

1. INTRODUCTION

The first step in preventing adverse

health outcomes would be to identify

the risk factors and to establish the

effective measures in adverse. There

have been numerous reports regarding

the human casualties directly caused by

structural damage after the earthquake

(Glass, 1977; de Bruycker, 1985; Coburn,

1987; Jones, 1990; Noji, 1990; Shiono,

1991b). Not only the death and

injuries caused by the structural

damages but also indirect health effects

have also been reported

1)Department of Public Health, Tohoku

University School of Medicine, Miyagi,

Japan

2) Nagaoka Technology College, Niigata,

Japan

(Logue,1978; 1979; 1980; 1981a; 1981b).

224
For instance, it has been reported that

the incidence of coronary heart disease

increased after the disasters

(Trichopoulos, 1983; Katsouyanni, 1986;

Suzuki, 1995; Leor, 1996).

Nevertheless, there are very few studies

to describe the indirect health effects

after the earthquake at the population

level (Kloner, 1997).

Indirect health effects after the

earthquake in this paper refers to as all

the medical health consequences not

directly caused by the structural

damages. Description of the magnitude

of indirect health effects and

identification of their risk factors would

lead us to better implementation of

preventive measures after the disasters.

For this purpose, we compared ageadjusted death rate of acute myocardial

infarction (AMI) in Kobe and seven

other cities in Hyogo Prefecture before

and after the Great Hanshin-Awaji

Earthquake.

2. SUBJECTS AND METHOD

The Great Hanshin-Awaji

Earthquake hit the southern part of

Hyogo Prefecture on 17 January, 1995.

The epicenter was reported to be located

on the northern tip of Awaji island.

The magnitude was given at 7.2 on the

Japan Meteorological Agency. We

obtained all death certification data

(n=127,474) at Hyogo Prefecture

between 1994 and 1996 from the Vital

Statistics Recording Office, Ministry of

Health and Welfare, Japan. The data

included data of death, age of death, sex,

area code, date of death for each

decedent, but did not include personal

name or other identifier. We classified

cause of death according to

International Classification of Diseases,

9th Revision aCD-9) for 1994 and 10^^

Revision aCD-10) for 1995 and 1996.

Age-adjusted death rates of AMI, as standardized to the model population of

Japan in 1985, by month were

calculated in all nine districts within

Kobe City and seven cities in southern

part at Hyogo Prefecture (Amagasaki,

Nishinomiya, Sumoto, Ashiya, Itami,

Takarazuka and Tsuna).

3. RESULT

Fig. 1 shows the age-adjusted death

rate of AMI by month. Monthly trends

of the age-adjusted death rate of AMI

could be classified into two different

patterns. One example was presented

in Fig. lA. It was the result in Nada

district, Kobe City. Notable increase

in the age-adjusted death rate was

observed only in January, February and

March, 1995. The other pattern was

presented in Fig. IB; Kita district, Kobe

City. The death rates did not increase

in January, February and March, 1995.

Fig. 2 summarizes the age-adjusted

death rates of AMI at each region

between January and March in 1994,

1995 and 1996, respectively. We

compared the average rates between

January and March in each year. The

notable increase in the average death

rate was observed in some regions such

as East Nada, Nada, Hyogo and Nagata

districts among Kobe City and

Amagasaki and Tsuna. We could not

observe uniform trend between men

and female in each region.

Fig. 3 showed different patterns of the

monthly trend of age-adjusted death

rates of AMI from January to March,

1995. The peak in the death rates in

225
Nagata district in men and women was

observed in January. ,0n the other

hand, the peak in the death rates in

Nada district was observed on February,

one month later. In case of Ashiya in

men, the peak was observed in March.

The death rates in men in Tsuna

showed two peaks in January and

March. The trend in the death rates in

Ashiya and Tsuna was different

between men and women.

Table 1 showed the actual number of

death of AMI according to the 17

regions. We compared the total

number of death between January and

March in each year. The number of

death of AMI in 1995 was more than

twice as that of 1994.

4. DISCUSSION

Our population based study showed

excess mortality of AMI in some regions

after Great Hanshin-Awaji earthquake.

The pattern of the increase in death

rates were different among the affected

regions. Fig. 2 suggests us the need to

measure the risk factors at the regional

level for the causing inference. The

different trend in death rates for the

early recovery stage as shown in Fig. 3 are suggestive of the multiple risk

factors to AMI.

Several cases reports about the

increase in the incidence of ischemic

heart diseases after the disasters have

been reported (Faich, 1979; Trevisan,

1992). Although the mechanisms to

increase the mortality and morbidity of

cardiovascular diseases have still to be

clarified, the stresses in the postdisaster period could be considered as a

possible explanation (Bertazzi, 1989;

Willich, 1993).

The following three points are

possible explanation of the increase in

death rates between January and

March, 1995.

One possibility is due to the change of

the classification of cause of death,

namely fi-om ICD-9 to ICD-10. It was

recommended that we should put the

exact cause of death on "heart failure" cases. This recommendation could

possibly increase the death rate of AMI.

The increase of death rates in our study,

however, was limited between January

and March, 1995. Therefore the

monthly trend observed in our study

could not be explained by the change of

the classification.

The second possibility is due to the

deterioration of hospital services by the

structural and non-structural elements

in the damage by the seismic activities

with the same of the incidence of death

rates. The increase of death rates

could be explained by the increase of

fatal rate. We are analyzing the

relationship between the function loss

in the hospital and prognosis of AMI

patients.

The third possibility is the increase of

the incidence of AMI. Actually the

number of death of AMI from January

to March, 1995 became the double of

that of the same term, 1994.

Considering the magnitude, the

possibility cannot be denied.

Identification of the risk factors is

mostly required. For this purpose, we

are measuring "the inconvenience of

daily life due to lifeline disruption" to

analyze the relationships between them

(Shiono,1989; 1991a).

The further research will be required

to identify the additional possible

environmental factors to influence the

226
overall health outcomes on the affected

populations.

5. CONCLUSION

The epidemiological research at the

population level is essential to identify

the risk factors for the health

consequences after the catastrophic

disasters which need the external

assistance. The public health

approach should be defined on the

investigation about the magnitude of

health outcomes on the affected

population.

6. ACKNOWLEDGMENT

This study was supported in part by

Grants-in-Aid for Scientific Research on

Priority Areas from the Ministry of

Education, Science and Culture of

Japan (Grant No. 09234102).

REFERENCES

Bertazzi P.A. et al.(1989) .Ten-year

mortality study of the population

involved in the Seveso incident in 1976.

Am J Epidemiol 129, 1187-1200

Coburn A.W. et al (1987) .Factors

affecting fatalities and injury in

earthquakes. Internal report,

Engineering seismology and

earthquake disaster prevention

planning. Hokkaido, Japan, Hokkaido

University, 1-80

de Bruycker, M. et al (1985) .The 1980

Earthquake in Southern Italy:

Morbidity and Mortality. Int J

Epidemiol 14, 113-117

Faich G. and Rose R.(1979). BHzzard

Morbidity and Mortality: Rhode

Island, 1978.

Am J PubUc Health 69, 1050-1052

Glass R.I. et al (1977). Earthquake

injuries related to housing in a Guatemala village. Science 197, 638-664

Jones N.P. et al (1990). Considerations

in the epidemiology of earthquake

injuries. Earthquake Spectra. Vol 6,

No.3, 507-528

Jones N.P. et al (1994) .Risk factors for

casualty in earthquake: The application

of epidemiologic principles to structural

engineering. Structural Safety 13, 177-

200

Katsouyanni K. et al (1986).

Earthquake-related stress and cardiac

mortality: Int J Epidemiol 15, 326-330

Kloner R.A. et al (1997). Populationbased analysis of the effect of the

Northridge Earthquake on cardiac

death in Los Angeles County, California.

Am J Coll Cardiol 30 (5), 1174-80

Leor J. et al (1996). Sudden cardiac

death triggered by an earthquake. N.

Engl. J. Med. 34, 413-9

Logue J.N. (1978) .Long-term effects of a major natural disaster: The Hurricane

Agnes flood in the Wyoming Valley of

Pennsylvania, June, 1972. Doctoral

Dissertation, Columbia University

Faculty of Medicine, School of Public

Health, Division of Epidemiology, New

York

227
Logue J.N. et al (1979). Emotional and

physical distress following Hurricane

Agnes in Wyoming Valley of

Pennsylvania. Public Health Reports 94,

495-502

Logue J.N ., Hansen H. (1980). A case- control study of hypertensive women in a post-disaster community. Journal of

Human Stress 6 (2), 28-34

Logue J.N. et al (1981a). Some

indications of long term health effects of a natural disaster in American Society.

Public Health Reports 96 (1), 67-79

Logue J.N., et al (1981b). Research

issues and directions in the

Epidemiology of health effects of

disasters. Epidemiologic Reviews 3,

140-162

Meisel S.R. et al (1991). Effects of Iraqui

missile war on incidence of acute

myocardial infarction and sudden death

in Israeli civilians. Lancet 338, 660-61

Noji E.K. et al (1990). The 1988

earthquake in Soviet Armenia: a case

study. Annals of Emergency Medicine

19, 891-897

Shiono K. , Shumuta Y. (1991a).

Inconvenience in resident's daily living

activities from post-earthquake

suspension of utility services, part 2.

Procedure for estimation.

Comprehensive Urban Studies No. 41,

37-46

Shiono K. et al (1991b). Post-event rapid

estimation of earthquake fatalities for

the management of rescue activity.

Comprehensive Urban Studies No. 44,

61-106

Suzuki S. et al (1995). Hanshin-Awaji

earthquake and acute myocardial

infarction. I^ancet , 345, 981

Trevisan M. et al (1992). Earthquake

and Coronary Heart Disease Risk

Factors: A Longitudinal Study. Am J

Epidemiol 135, 632-7

Trichopoulos D. et al (1983).

Psychological stress and fatal heart

attack; the Athens (1981) earthquake

natural experiment. Lancet 1, 441-3

Willich S.N. et al (1993). Sudden cardiac

death:support for a role of triggering in

causation. Circulation 87, 1442-50

Shiono K. (1989). Inconvenience in

resident's daily living activities from

post-earthquake suspension of utility

services. Comprehensive Urban Studies

No. 38,

149-167

228
o

§ 200 o

1 234567 89 10 11 12 1 23456789 10 11 12 1 23456789 10 11 12 94 95 96

Fig. 1A Age-adjusted death rate of acute myocardial infarction

by month in Nada district, Kobe City

-MEN

- WOMEN

o

O200 o

o"o

o

Q. 160

120 -

229
o

<=> 150 o

Jan-Mar. Jan-Mar. Jan.-Mar. 1994 1995 1996 year

Fig. 2A Age-adjusted death rate of acute myocardial infarction

according to the district of Kobe City in men #

o

oloo

oo

80

""East Nada

""Nada

Hyogo

, - -X- * Nagata

" Suma

' —•- Tarumi

! — - Kita " Tyuou

"Nishi

Jan.-Mar. 1994

Jan.-Mar. 1995

Jan.-Mar. 1996 year

Fig. 2B Age-adjusted death rate of acute myocardial infarction

according to the district of Kobe City in women #

# The values are the average rates between January and March in each year

230
o

§ 100 o"o

a.

20

—»- Amagasaki

m m "Nishinomiya

*" SumotB

' Ashiya — Itami — Takarazuka

"Tsuna

Jan -Mar. 1994

Jan -Mar. 1995

Jan.-Mar. 1996 year

Fig. 2C Age-adjusted death rate of acute myocardial infarction

according to the city of Hyogo Prefecture in men #

— Amagasaki

"Nishinomiya

Sumoto Ashiya

Itami Takarazuka

"Tsuna

Jan.-Mar. 1995

Jan.-Mar. 1996 year

Fig. 2D Age-adjusted death rate of acute myocardial infarction

according to the city of Hyogo Prefecture in women #

# The values are the average rates between January and March in each year

231
200

#1 January February March

95

Fig. 3A Age-adjusted death rate of acute myocardial infarction

in January, February, and March, 1995 in men

#1 The values are the average rates between January, 1994 and December, 1994.

#2 The values are the average rates between April, 1 995 and March, 1 996

232
Table 1 Number of death of acute myocardial infarction

between January and March in each year

REGION NUMBER OF DEATH NUMBER OF DEATH NUMBER OF DEATH

FOR THREE MONTH FOR THREE MONTH FOR THREE MONTH

IN 1994 . IN 1995 IN 1996

East Nada District Kobe City 19 34 12

Nada District, Kobe City 11 35 11

Hyogo District Kobe City 17 38 14

Nagata District Kobe City 20 38 18

Suma District Kobe City 16 33 17

Tarumi District Kobe City 16 28 25

Kita District Kobe City 23 24 24

Cyuou District Kobe City 9 20 17

Nishi District Kobe City 13 25 16

Amagasaki 44 105 80

Nishinomiya 39 69 51

Sumoto(Awaji island) 0 b

Ashiya 7 15 10

Itami 8 20 19

Takarazuka 12 28 20

Tsuna(Awaji islamd) 7 25 14

TOTAL 266 546 354

233
New Framework for Performance Based Design of Building Structures -Design Flow and Social Systemby

Hisahiro HIRAISHI", Masaomi TESHIGAWARA", Hiroshi FUKUYAMA", Taiki SAITO",

Wataru GOJO", Hideo FUJITANI", Yuji OHASHI", Izuru OKAWA", Hisashi OKADA"

ABSTRUCT

This paper introduces the outline of the new

structural engineering framework and social system for the performance-based design of

building stmctures proposed under the 3-year

Comprehensive Research and Development

Project on "Development of a New Engineering

Framework for Building Structures" was

launched in fiscal 1995. In the project, the

clarification of target performance, the evaluation

of performance and the indication of performance,

are emphasized as the main three elements of this framework. The implementation of the proposed

framework is also expected to promote

engineering innovation, the progress in building

engineering, and globalization.

Key Words : Performance-based Design,

Performance Evaluation,

Target Performance Level,

Social System

1. INTRODUCTION

The present structural design framework

prescribes the design load and external force, as well as the allowable stress and deformation, but

does not specify the performance requirements

explicitly. Only detailed calculation methods are

specified without clear indication of target

performance and building performances (Figure

1). As a result of that, the present framework

cannot explain explicitly the real building

performance and is becoming increasingly

inappropriate for new technologies and

performance indication. Then it has been needed

to establish a new "performance-based structural design framework". This framework would also encourage the communication between consumers and engineers in order to make a consensus on building structural performance,

and the application of new materials and new

technologies, by its rational performance

requirements and its flexibility in evaluation of

performance.

To establish such a performance-based

framework, a 3-year Comprehensive Research

and Development project on "Development of a New Engineering Framework for Building

Stmctures (referred to below as Comprehensive

R&D Project)" was launched in fiscal 1995. The

concept of the performance-based stmctural

design has been discussed in the technical

coordinating committee of the project (Chairman:

Prof Dr. Tsuneo OKADA). Three subcommittees are organized under the technical

coordinating committee.

This paper introduces the outline of the

concept and the framework of Performance Based

Design (P.B.D.) with the structural performance

evaluation system discussed in the "Performance

Evaluation" sub-committee (Chairman: Prof. Dr. Hiroshi AKIYAMA), the target performance of

buildings stmctures and their levels from various

point of view in "Target Performance Level" subcommittee (Chairman: Prof Dr. Yoshitsugu

AOKI), and the social background and supporting

systems should be to conduct P.B.D. practice

1) Building Research histitute. Ministry of

Constmction, 1 Tatehara, Tsukuba, Ibaraki,

305-0802, Japan

234
smoothly in the market in the "Social System subcommittee (Chairman: Dr. Katsumi YANO)".

This paper introduces the outline of the performance based structural framework in a

stage of research. So, this framework should be

reconsidered in adopting into the regulation or code, for example Building Standard Law.

2. OBJECTTVTS

The primar}' objective of the new

framework is to create an system in which the performance of buildings is clearly indicated and

"consumers" (owners and users) are well

informed of how their buildings perform and how

much it costs to attain the performance (design,

supervision and construction costs). The new

framework would also bring about other benefits,

such as progress in building engineering and

design techniques, greater flexibility in design,

and closer intemational cooperation. It is important to clarify target performance and verify

by the rational performance evaluation method, so

that the building performance satisfies the target

performance initially clarified. Such an approach allows more flexibility in choosing design techniques and calculation

methods, because it aims to understand

performance requirements, and to clarify the

target performance and evaluate the building

performance rationally.

Next, it is important for engineers to explain

the building structural performance to owners,

users, and the pubhc. hi the process of decision of

target performance, engineers are expected to communicate with owners, in order to understand

the requirements of owners, and to make advices

to them from the engineering and public point of

view. Then, users and the pubhc are able to understand the building performance.

Moreover, it is also important that the building strucmral performance will be one of the

most important measures for consumers to defme

the building value. As a result of that, the concept

of cost-performance is treated in structural

engineering by the new framework with a performance-based approach.

3. CONCEPT OF THE NEW

PERFORMANCE-BASED DESIGN

FRAMEWORK

Figure 2 shows a flow of the new

performance-based structural framework

proposed by the Project (referred to below as the "new framework"). The new framework

consists of three key procedures: "clarification of

target performance", "evaluation of performance"

and "indication of performance".

At the first stage of (frame- 1), "Basic

Strucmral Performances" which are primarily

required for the building structures are estabhshed.

Safety, Reparability and Ser\'iceability are itemized as the Basic Strucmral Performance.

hi the second stage, "Basic Strucmral

Performances" which are described as the "Limit

States" for each "Performance Evaluation Item"

in general expression in the frame-3. The types

of loads or extemal forces and their magnimde in the frame-2 are set along with setting of the frame-3 . Performance levels of each performance

evaluation item should be defmed by the

relationships between the magnitude of loads and

extemal forces which affects to the structure, and

the limit states that the structure should be in. The performances evaluated in the frame-4

of each evaluation items should be indicated

clearly in the frame-5.

4. CLARIFICATION OF TARGET

PERFORMANCE

In principle, the target performance of a building is clarified how the building should

perform according to each performance

evaluation items, i.e. the state of the stmcmral

frame and each building elements under assumed

loads and extemal forces. To do so, it is necessary to study the performance requirements

for the building (items and levels of the performance required).

235
First of all, a building is required to have

public functions. Buildings have certain meanings

in the society and have to be suitable for the general public, or society. The minimum

requirements of building performance are defined

in the code. Building is required to have

functions specific to its usage. In other words, a

building should fulfill essential functions that can be understood with its context in the public.

Next, there are needs or requirements of

building owners and users. Any owner or user has some ideas of the building performance they

require, however vague they might be, based on

the information available to them. These

requirements might be classified into those

required generally by owners and users and those

specifics to each case. On the other hand, the engineering

performance of a building has been based on the

judgements of the experts in structural engineering, based on empirical records of

damages caused by loads and external forces of

past earthquakes and other events. In recent

years, however, explicit methods of making such

expert judgement have been developed.

By using available methods, structural engineers will specify the target performance of

each building that would reflect the requirements

of lay "consumers".

4.1 Basic Structural Performance

Three basic structural performances, Safety,

Reparability and Serviceability are itemized. Each

of them corresponds to security of human lives,

security of property from the viewpoint of

easiness to repair, and security of serviceability,

respectively. Table 1 describes the objectives

and the contents to evaluate these basic structural performances.

4.2 Performance Evaluation Items and Limit

StatesThe combination of basic structural performances and the objects to be evaluated are defined as Performance Evaluation Items.

Limit state for each performance evaluation item

is listed in general expression in Table 2. In the

left column of Table 2, the objects to be evaluate

are enumerated. These are structural frame,

structural member, non-structural member,

equipment/machine, fixture, furniture and soil. Structural member and non-structural member

might be arrange into one term as building

members.

For example, safety limit state of structural frame is defined as that the destruction directly

affects human life should be avoided. And in the safety limit of the building member, it is defined that falling out or scattering of building

members that directly affects human life should

be avoided. Safety limit state for safety

performance, reparability limit state for

reparability performance, and serviceability limit

state for serviceability performance are set.

4.3 Types and Magnitude of Loads and

External Forces

Usual loads (such as dead or live loads,

buoyancy, negative friction, soil pressure, water

pressure etc.), unusual loads of snow, wind,

earthquake, other forces such as temperature

stress, special soil or water pressure etc. should be

considered. The magnitude of loads and

external forces and their combination might be set corresponding to the three basic performances

level; considering social situation, and frequency

of occurrence. The idea of design earthquake load in that scheme

is introduced in Appendix I.

4.4 Performance Level

Performance levels of each performance

evaluation item will be indicated by the

relationships between the magnitude of loads and

external forces which affects to the structure, and

the limit states which the structure should be in. Performance levels themselves can be

determined by designer and owner as the distance

from empirical reference level such as code

requirement, or a reliability method, etc.

236
Some issues which need to be considered in determining the performance level of buildings

are discussed in Appendix n.

5. DESIGN AS A SOLUTION TO FULFILL

THE TARGET PERFORMANCE

Structural design is carried out to attain the

target performance. Note that a structure means the structural system as a whole here,

which involves not only the structural frame but

also every building element including interior and

exterior members, equipment, devices,

furnishings and grounds.

The structural engineers practice their philosophy in developing a structural system that realizes the target performance. For example,

several solutions may be possible when trying to

attain the target performance of a structural frame

to resist earthquakes; the engineers can either design the structural frame to bear the seismic

forces and energies on its own, or use some

devices to control the responses. In either way,

detailed measures are developed through studies. The new framework will thus encourage

technological innovation, such as the development of new structural frames or new

devices. This will eventually motivate the

structural engineers to embrace technological

development.

After determining the details, the structural engineers prepares drawings and specifications, on which construction works are to be based.

6. EVALUATION OF PERFORMANCE

"Evaluation of Performance" is conducted in the third stage according to the "Principle of

Performance Evaluation"; the response value

should not exceed the limit value to satisfy the performance level. The performance level is represented by engineering expression in this stage.

Some definite evaluation methods will be

developed in accordance with this flow to realize

"The Principle of Performance Evaluation."

The performance level is represented by

engineering expression in this stage.

"Evaluation of Performance" is conducted

according to the following steps.

1) Quantitative determination of the magnitude of

loads and external forces

Magnitude of loads and external forces are determined in accordance with reliable materials

relating to the background and the setting method.

2) Set the type of engineering value used for the response value and limit value

Suitable types of engineering value for response value and limit value should be

determined for performance evaluation. Not

only force, but displacement, velocity, and

acceleration, energy, etc. can be selected for evaluating the structural performance. It means

that the structural performances are defined by

engineering terminologies.

3) Establishment or calculation of the limit value

The limit value which satisfies the limit state should be established (calculated or judged)

according to the items describing the quantitative

determination method of limit states values. 4) Calculation of the response value

The response value should be calculated by

the suitable analytical method.

5) Comparison of the response value with the

limit value

The response value should be compared

with the limit value and confirm the performance

level.Practical methods for evaluating the

structural performance and designing are necessary to be developed in accordance with this "Principle of Performance Evaluation" flow. The principle of performance evaluation should

promote the renewal of the conventional

evaluation method, following to the development

of social fulfillment and the advancement of

evaluation technology. Accordingly, detailed

performance evaluation or design methods

established by current knowledge are only

exemplified in order to renew easily or select

237
practically.

7. INDICATION OF PERFORMANCE

The evaluated performance should be

indicated for each performance evaluation items.

For example, destruction of structural frame

which affects human lives directly by O O

(loads or external forces) will almost be avoided.

Probability for satisfying the basic performances

may also be indicated.

This ultimately serves as a bridge between

the engineers and society, i.e. consumers (owners,

users and the public) of buildings. Easily,

indication of building performance will become

one of the key roles of structural engineer. This new responsibility will eventually give a recognized social status to the profession that society can rely on. The recognized stractural engineers would be those who can clearly explain

to the public how the buildings' performance was

achieved at reasonable cost. By the new framework, the performance

required by the public for building structures is translated into the target performance by the

structural designer in the technological domain.

The engineers work to achieve this target

performance and then announces the actual performance to the public.

8. SOCIAL SYSTEM

In order to make buildings actually

performance-based-designed and the objective of

this Project fulfilled, new "Social System" has to be developed, which is composed of various

supporting devices for P.B.D. practice like social codes/rales, institutions, technical tools,

information systems, etc. The outline of the new

Social System and its necessary elements are as follows:

(1) Process of P.B.D. P.B.D. can be assumed to be conversion between

three phases of information related to stractural performance: "Design Brief, identifying clients'

needs and other requirements for the project",

"Design Criteria, specifying target performance

for the project" and "Design Solutions, verified to comply with the Design Criteria". P.B.D. is carried out through the following process:

a) Identifying needs about expected performance

through appropriate communication between the

structural engineer and the client (consequently

supporting the clients to develop the Design

Brief)

b) Developing the Design Criteria including the

structural design policy, target performance and

verification methods

c) Obtaining the approval for the Design Criteria

from the client d) Developing the Design Solutions (i.e. repeating

cycles of preparative design and its verification of

conformity to the target performance)

e) Presenting verified performance of the Design

Solutions to the client

f) Delivering Design Solutions and other

necessary information (e.g. construction methods,

quality control conditions, supervision methods,

etc.) to the production/construction stage

(2) Need for functions of the new Social System

The following four functions are to be attained by

the new Social System: — Functions mainly beneficial to clients —

a) To support clients to concretize their needs

based on correct understanding of structural performance

b) To ensure sufficient reliability of conversion of

clients' needs into target performance

c) To ensure sufficient reliability of conversion of

target performance into performance of Design

Solutions — Function mainly beneficial to engineers —

d) To prepare appropriate environment for those

who intend to implement the P.B.D. practice

(3) Framework for the elements of the new Social

System

To fulfill the four expected functions, the framework of the Social System should be as

238
shown in Table 3. They need to be developed to cover any of the following three types of P.B.D.

practice.

a) "Individualized objective-oriented type" — To

set target performance fittest for the needs and

design and verify the solutions by unique,

individualized manner

b) "Standardized verification method type" —

To set or choose target performance within given

range or menu, design freehand and verify the

solutions utilizing ready-made methods

c) "Dependent on deemed-to-satisfy solutions

type" ~ To set or choose target performance

within given range or menu and design and verify the solutions depending on ready-made

prescriptive (deemed-to-satisfy) design guide

(4) Key Elements of the new Social System

Various elements need to be developed within the above mentioned framework.

The followings are examples of key elements.

- Performance certification service

- Structural design information managing system

- Quality assurance scheme for structural design

practice

Information system on abilities and

qualifications of engineers and organizations

- Data base of reference technical information

- Evaluation system for technical tools

- Standard guide of design practice and model

contract documents

- Independent bodies to provide technical services

for engineers

- Insurance system suitable for P.B.D. practice

- System to support engineers to acquire

knowledge and ability

9. CONCLUSIONS

In this paper. The Performance-Based

Design Framework was outlined. This

framework would encourage the making

consensus between consumers and engineers on

building structural performance, and the

apphcation of new materials and new

technologies, by its rational performance

requirements and its flexibility in performance

evaluation. The new framework explained here

would resuh in proper recognition of high-quality

technologies, and would ultimately improve the performance and quality of building structures. And the building structural performance would be one of measures for consumers to define the building value. The following items are considered as R&D

subjects and the guideline give the directions.

1) Background study to determine the magnitude

of loads and external forces. 2) Determination methods for limit value which

can be represent the limit state appropriately.

3) Calculating / analytical methods for response

value which can be represent the response

appropriately.

4) Monitoring the performance of building,

especially after earthquake.

5) Indication methods of evaluated performance

6) To make sure the structural designer (including

inspectors) can carry out their jobs smoothly in the new framework, it is essential to set up the

suitable social system including technological

tools, customs and institutional arrangements

which affect the structural designer's practice.

ACKNOWLEDGMENTS

Support from the R&D committee members

on the Development of a New Engineering

Framework for Building Structures are gratefully

appreciated.

REFERENCES

1) The Building Center of Japan, and Japan

Institute of Construction Engineering: Fiscal 1995

Report of Development of a New Engineering

Framework for Building Structures, March 1996.

2) Building Research Instimte, Ministry of

Construction, The Building Center of Japan, and

Japan Institute of Construction Engineering:

239
Fiscal 1996 Report of Development of a New March 1997.

Engineering Framework for Building Structures,

Table 1 Basic Structural Performance (required performance)

1) Safety Purpose : To avoid hazard which directly affects human lives inside and outside of

the buildings. ( Security of human lives

Contents to evaluate the performance : To prevent the loss of supporting capacity of structural elements and soils which

supports vertical forces from the viewpoint of safety. To prevent the falling out or scattering of building elements ( structural members,

nonstructural members ), equipment/machines, fixtures and umiture from the viewpoint of safety.

2) Reparability Purpose : To maintain the function against the damage caused by the outer stimuli (actions)

to the buildings. (Security of property) Contents to evaluate performance : To control the deterioration and/or damage degrees on structural frames, building elements. ( structural members, nonstructural elements )

equipment/machines, fixtures, furniture and soil from the viewpoint of easiness for

repair.

3) Serviceability Purpose : To secure the serviceability (fiinction and habitability ) of the buildings. (Security of serviceability) Contents to evaluate the performance : To eliminate harmful deformation or vibration on structural frames, building elements ( structural members, nonstructural members ) and members,

equipment/machines, fixtures, furniture and soil from the viewpoint of human

sense and building function.

Deterioration of material properties and affected damage during the lifecycle of building should be considered as a factor in the evaluation of every basic strucniral performances.

Table 2 Evaluated Objects and Fundamental Performance

\y\Perform.

\^imit~^

\state

Objects \,

Safety

(keep of Human Life)

Reparability

(keep of Properties)

Serviceability (keep of Function and Habitability) Safety Limit Reparability Limit Serviceability Limit

Structural FrameNon-destruction*'

to human life

within Assigned Damage Non-Harmful*' Def. or Vib.

for normal use

Building Members

(Structural/ Non-Structural Members)

Non-drop, Scatter

to human life

within Assigned Damage Non-Harmful*' Def. or Vib.

for normal use

Equipment/

Machines/

Fixture

Non-Overturn, Drop, Movement

by deformation or vibration of structural frames or memt)ers

within Assigned Damage

by deformation or vibration of strucmral frames or members

Non-Harmful*' Def. or Vib.

of structural frames or members for normal use of equipments / machines

Furniture

Non-Overturn, Drop, Movement

by deformation or vibration of structural frames or members

within Assigned Damage

by deformation or vibration of structural frames or members

Non-Harmful*' Def. or Vib.

for normal use

Soil

Non-destruction*'

(decrease of support ability or change*' of

soil)

within Assigned Damage

(decrease of support ability or change*' of

soil)

Non-Harmful*' Change*'

for normal use of buildings or traffic

<Supplement>

(*1) destruction: loss of supprting capacity of structure elements and soil which supports vertical forces (*2) harmful: available without interference in the usual usage

(*3) change: landslide, movement, deformation, decrease of stiffness (ex. by liquefaction), gap, crack of soil

240
Table 3 Framework of the new Social System

\ Expected

\. Tu actions

Type o f \

sub-system s\

Mainly beneficial for clients Mainly beneficial for engineers

(a ) To supportclients

t 0 concretize their needs

(b) To ensure

sufficient reliability

ofconversionof

clients' needs into target performance

(c) To ensure sufficient

reliability of conversion

oftarget performance

into performance o f Design Solutions

(d)Toprepare

appropriate environment

for P.B.D. practice

(I) Basic

systems

I • a - 1 ) Performance

evaluation and certification system I-a-2) Environment to provide technical service to support concretization of needs

I-b-1) System to ensure

reliability of conversion

process

I-c-1) System to ensure

reliability of design and

performance verification process

I-d-1) System to define liability and responsibility of each body involved l-d-2) System to support

engineers to acquire necessary knowledge/abilities I-d-3) Environment in which

P.B.D. practice can be economically feasible

(II) Evaluation

system o f engineers/

organizations

II-a-1) Qualification/ information system of engineers' consultation

abilities

Il-b-I) Qualification/ information system of engineers' abilities for conversion process

II-c-1) Qualification/ information system of engineers' abilities for design and performance verification process

ll-d-I) Liability insurance system taking the level of qualification of engineers into account

(III) Technical

information

/tools

III-a-1) General information on relation between performance and its benefit III-a-2) Information on

social /community needs

including minimum

requirements stipulated in building regulations

III-b-1) Technical information on conversion process III-b-2) Service by

independent bodies to evaluate the result of conversion, etc.

III-c-1) Technical information on design and performance

verification process III-c-2) Service by

independent bodies to evaluate Design Solutions,

verification and technical

tools, etc.

III-d-1) Technical information

for acquirement of knowledge/ abilities III-d-2) Technical information,

technical evaluation system of independent bodies, etc. provided by bodies who have

liabilities for them

Present Future

^ Start ) Target performance : Not clear

Calculation method:

Clear and specifical

Q End ( Building performance : ^\_^-—^ Not clear

Start

LSD

ASD

Target performance

clear

usd\ Calculation method:

Selectable

LRFD

Others

End Building performance:

clear

Figure 1 Present and Future Structural Framework

241
Owners, Users

and the Public

Performance Requirements

I

Clarification of Target Performance

(frame-1)

Basic Structural Performance

Safety, Reparability, Serviceability

(TabIe-1)

I

Performance Evaluation Items

(frame-2) (frame-3)

Types and Magnitude of

Loads and Limit State External Forces < >

Performance (TabIe-2)

Level

(frame-4)

Evaluation of Performance

Principle of Performance Evaluation

Response value should not exceed limit value to satisfy performance level

Response value Limit vadue

Evaluation Method

1) Quantitative determination of the magnitude of loads and external forces

2) Set the type of engineering value used for the response value and limit value

3) Establishment or calculation of the limit value

4) Calculation of the response value

5) Comparison of the response value with limit value

(frame-5)

Indication of performance

Building performance should be indicated for each performance evaluation items

ex.) Destruction of structural frame which affects human lives directly does not occur under oo (loads or external forces).

Figure 2 Evaluation system of Structural Performance

242
APPENDIX I. New Design Earthquake

Motion

A.I.1 Design Earthquake Motion

The followings are the basic concept of our

proposal for prospective design seismic force in performance-based design scheme (BRI

proposal).

In our new proposal, the design earthquake

load is specified with earthquake ground motion

not with seismic force. The earthquake Ground

Motion is basically given at the engineering

bedrock which is defined as larger with more than

400 m/s in shear wave velocity.

The basic concept in evaluating the design

earthquake motions is expressed in the followings.

(1) Based on the historical earthquakes, active

faults, seismotectonics, earthquakes shall be

selected considering the intensity indices such as peak acceleration with its occurrence rate at the construction site.

(2) A site specific earthquake ground motion or

its characteristics of the selected earthquakes shall be deterrruned.

(3) The earthquake ground motion thus

determined shall be modified with the effect of

dynamic soil structure interaction.

(4) The ground motion will be converted into seismic force with evaluation of response of the strucmre

A.I.2 Evaluation of Earthquake Load

Evaluation of Seismic Activity

The seismic activity shall be estimated using

the following equation.

where, E denotes earthquake, PGA represents

peak ground acceleration or its alternative

intensity index, Te denotes the return period of the earthquake, and PGA(Te) is the expected value

during the return period Te. The seismic activity, source mechanism, and

source locations vary with site. The types of

earthquake sources to be considered in design are

at least in the following three conditions.

(1) Damaging earthquake in historical data

(2) Earthquake due to active faults

(3) Earthquake for which occurrence is appropriate from seismotectonics but source

locations is not identified.

(3) is assumed recognizing that (1) and (2) are not completely compiled and similar earthquake can

occur in any place within a seismotectonic region.

Evaluation Earthquake Ground Motion

Earthquake ground motion or its characteristics shall be evaluated by selecting the earthquakes considered at the site and with the property of source, path and site effect

(1) Case in which source mechanism should be

considered.

The hypocentral distance is comparable with or

less than the fault dimension, the effect of source mechanism and rupture process to the earthquake

ground motion property can not be ignored.

Therefore, the estimation of design earthquake

ground motion should be done using model

capable of taking those effects into account. For

example,

Aij(f)=G(f,Ej)*Pij(0*Sj(f)

i=l, n: n : number of earthquakes to be

considered

where, Aij(f): Design earthquake ground motion

characteristics at ground surface or standard

position

f: frequency

G(f,Ei): Source property of i-th earthquake Ei

Pij(f): Property of propagating path from i-th source to j-th site (e.g., attenuation due to distance)

Sj(f): Soil amplification property of j-th site

hi estimating the earthquake ground motion,

uncertainty and variation of the data and method

applied should be considered, since the source mechanism and rupture process of an earthquake cannot be predicted deterministically and the

underground structure above bedrock cannot be

243
investigated thoroughly.

(2) Case in which source mechanism need not be

considered

The effect of minute variation in source mechanism on ground motion in case that the hypocentral distance is larger than the source dimension, is generally small. Therefore, the following equation can be used.

Aij(f)=GPij(M,D,f)*Sj(f)

where,

GPij(M,D,f): spectrum at bedrock

D: distance from source to site GPij(M,D,f) can be estimated by the M-A

regressive equation. The long-period property

ascribed to deep underground structure above

seismic bedrock shall be considered when it is appropriate to incorporate.

A.I.2.1 Estimation of Site Amplification

Property

Site amplification property for i-th site Sj(f) shall be estimated with the amplification due to the surface soil above bedrock, the correction

coefficient for topographical irregularity.

However, earthquake response analysis is preferable for excessive irregular topography or in case soil amplification changes due to nonlinear

response of soils.

Sj(f)-Slj(f)*S2j(f)

where, Slj(f): Amplification coefficient for surface soil

S2j(f): Correction coefficient for topographical

irregularity

( 1 ) Amplification coefficient for surface soil When the surface soil is almost horizontally

layered and the influence of excess pore water

pressure is ignored, the amplification coefficient can be estimated with the predominant frequency

of shear wave propagating vertically in the horizontally layered structure.

(2) Correction coefficient due to topographical

irregularity

The correction coefficient due to topographical

irregularity is use for considering the influence of

irregular surface land form or non-horizontal

layers. Therefore, in case that the surface soil is almost horizontally layered and then the influence can be ignored, the coefficient shall be one.

A.I.2.2 Evaluation of Dynamic Soil Structure

Interaction Effect

The effect of dynamic soil structure interaction

shall be considered since the soils supporting the foundation is not rigid. The inclusion of he

effect in input earthquake motion means that the

Cijk(f)=Aij(f)*Ik(f)

where, Cijk(f): design earthquake ground motion

at building foundation

Ik(f): Correction coefficient of the effect of

dynamic soil structure interaction

However, when the excessive nonlinearity in soil and foundation is expected, a more realistic model

should be used.

A.I.2.3 Evaluation of Earthquake Load

Earthquake load equivalent to effective input

motion in fixed base condition or equivalent

design earthquake load index can be obtained by

the following formula

Dijkl(f)=Cijk(f)*Bl(f)

where, Dijkl(f): Design earthquake load index

Bl(f): Coefficient to translate to earthquake load

such as story shear force coefficient considering

the structural property.

However, since the design earthquake load index

is an average or overall intensity index, it may not be able to grasp the destructiveness of the design

motion. In such case, a specific method such as dynamic analysis procedure using earthquake

motion time history shall be used.

244
APPENDIX n. Performance Level

There are many issues which need to be

considered in determining the performance levels of

buildings. Some of the these issues are listed below and discussed in the sections to follow.

(1) Performance Level of Existing Buildings

(2) Acceptable Risk Level

(3) Minimum Cost Level

(1) Performance Level of Existing Buildings

The current building code in Japan provides

design and analysis procedures to achieve the primary design objectives such as the life safety

under a large (severe) earthquake. Even the current code doesn't describe the level of safety

explicitly, it has been accepted in the society by

revising its context reflecting the building damage

by past earthquakes. Therefore, it is quite

reasonable to determine the target performance level of buildings in a new design procedure by referring

to the performance level of existing buildings which

were designed in accordance with the current code.

The performance level should be examined

under consideration of the possibility of fliture earthquake damage. Since there is large uncertainty

in estimating future earthquake loads, the seismic

safety of existing buildings should be examined in terms of probabilistic measures such as the

reliability index /? in a building life time. Model of buildings

Two typical buildings designed in accordance with

the current design code are selected as the representatives of existing buildings; one is an 8-

story reinforced concrete building and the other is a

6-story steel building. Constmction sites are assumed to be in Tokyo and Osaka, Japan. Since

the design seismic zone factor is the same for both

sites (Z =1.0), the design shear forces are identical

for both buildings. The uncertainties associated

with structural properties are assumed to be

negligible comparing the uncertainties of earthquake

loads, and not considered in this study.

- Model of earthquake ground motions

Input earthquake ground motions are

simulated referring to the guideline,

"Recommendations for Loads on Buildings,"

published by the AU (Architectural Institute of

Japan) in 1993. This study assumes that the maximum earthquake acceleration and the ground

amplification factor are random variables. - Seismic

reliability estimate

Sample input ground motions are generated

and the nonlinear response analyses of the designed

buildings are carried out. From the relation between the input scale and the maximum story drift

ratio, the reliability index /? is evaluated as a function of the design criterion. Figure A.II.l shows the relation between the maximum drift ratio Y and the safety index /? for the reinforced concrete building and the steel building, respectively . As shown in the figures, the

reliability index /? of Tokyo site is generally

smaller than those of Osaka site. The difference of

the safety indices between RC building and Steel buildings in the same site is not so large.

From the calculated results, the performance of

the buildings and its reliability index could be

approximately summarized in Table A.II. 1

Table A.n.l

Example of Reliability Index for RC Buildings

Performance items /?*

Concrete crack /? = 0

Failure of secondary elements /? = 1.0 Failure of stmctural elements /5 = 2.0 Collapse of building /? = 3.0

* reterence penod IS 50 years

(2) Acceptable Risk Level

In daily life, we usually neglect the very small

risk such as the risk of being hit by a comet,

however, the risk of being hit by a car may not be

considered negligible. If we reduce the strength of

a building, the risk associated with earthquakeinduced building damage may increase. So, the question is how large risk people may think

acceptable, and what level of safety should be

assigned to building stmctures. We call the potential risk in daily life, such as

245
the risk by disease, traffic accident, etc., as "background risk," and gathered statistical data of

such risks from various sources. Obtained data are summarized into a risk database where the data of

death of people are categorized by the type of causes,

years, etc. The annual death ratios (=risks) in Japan by different causes are summarized in Table

A.n.2.

Table A.n.2

Examples of Annual Risk in Japan

Risk items Annual risk

Fire lO-'tolO"'

Earthquake lO-^tolO"^ Suicide lO'^

Traffic accident 10"^

Disease 10"^ to 10"^

In case of earthquakes, the death ratio was evaluated

by taking moving average with twenty year intervals,

and it shows some fluctuation between the range of

10"^ and 10"^. Some people reports that people will neglect the event which annual occurrence ratio is below 1 0'^, however, when we think about the huge

disaster at the Great Hanshin-Awaji earthquakes, it

is clear that the frequency of event is not only a measure to judge its acceptability. The impact of

the event to the society should be discussed together.

Figure A.II.2 is a schematic figure showing the

relation between the frequency of the risk events and

their social impact, and the boundary of acceptable

region may be drawn in this figure.

(3) Minimum Cost Level

Total cost of a building in its lifetime is generally modeled by the following equation:

C,o,ai = C,„,(R) + C,<R)P,<R)

where, R is the design parameter of the building to represent its resistance, C,o(ai is the total cost, is the initial cost for construction, Cf is the damage cost, and Pf is the probability of the occurrence of such

damage. In this study, the damage cost Cf is assumed to consist of three different components.

where, C^p is the cost for repairing the building

damage, C|os is the cost associated with the loss of

contents, and C^p^ is the cost considering the secondary damage such as the loss of business. The

initial cost, Cjnj, is assumed to be a simple function

of the parameter R, and the damage costs, Crep, C|os

and Cspd, are modeled as functions of the maximum

story drift ratio. Figure A.II.3 shows the analytical

flow to obtain the total cost by the Monte-Carlo

simulations. The optimum design parameter to minimize

total cost are evaluated for various types of

buildings. Table A.n.3 shows the results of for the buildings in Tokyo. In case of the private house

and the office building, the minimum cost levels are found to be less than the level of current code

requirement, however, in case of the school building

and the hospital building, the minimum cost levels are much larger than the current design level because of the large cost of damage to their

functions. These results suggest the necessity of

higher performance levels of such public buildings more than the code requirement levels of general

buildings.

Table A.n.3

Examples of Minimum Cost Design Levels

Building type Minimum cost level* Private house 92

Office 98

School 120

Hospital 200

* current design level =100

It is very sensitive issue to include the loss of

human life into the calculation of damage costs. Of course, it may be possible to consider the loss of

human life as the price of life insurance or cost for compensation, etc., however, it doesn't mean that the human life is equal to such costs. Therefore, we

didn't include the loss of human life into the above

cost calculations. Multiple design criteria including

costs and human life in different axes should be

discussed.

246
3

% 1

RC Building

Osaka ; ^.^^r"^^

', \^dr^ L

Tokyo

1 /'

' /

'

1 /—1

1/200 1/100 1/50 Maximum Story Drift Ratio Y

0 1/200 1/100 1/50 Maximum Story Drift Ratio Y

Figure A. II .1 Relation between the maximum story drift Y and the reliability index )3 in 50 years

Social Impact

10 10 ^ 10

Figure A. 11 .2 Concept of Acceptable Risk

Risk Level

Max.Acc.

of Earthquake

Design Base

Shear

\^ Response Evaluation —

Max. Drift Ratio: Z Damage

Index: D

^

Initial : Cini

Repair: Crep

Contents: Clos —>| Total Cost: Ctotal

Spreading: Cspd

Figure A. E .3 The Analytical Flow to Obtain the Total Cost by the Monte-Carlo Simulations

247
Highway Bridge Seismic Design:

How Current Research May Affect Future Design Practice

by

Ian M. Friedland^ W. Phillip Yen^ Ronald L. Mayes^ and John O'Fallon^

ABSTRACT

Under a program sponsored by the Federal

Highway Administration, the National Center for Earthquake Engineering Research is conducting a research program on new

highway structure design and construction

which has among its objectives studies on

the seismic vulnerability of tunnels,

retaining structures and bridges and the

development of technical information on

which, in the case of bridges, revisions can be made to current national design

specifications. As a wrap-up to the program, research results are being reviewed

and assessed in order to determine the

impact that their results may have on the

future development of a consistent seismic

design specification for highway structures. This paper summarizes some of the

important results of the research conducted

under the program and discusses issues

resulting from this impact assessment task

with respect to expected effects on future

design practice.

KEYWORDS: bridges, codes, criteria,

design, earthquake, highways, retaining

structures, specifications, structures, tunnels

1. INTRODUCTION

1 . 1 Background

The loss of life and extensive property

damage suffered during the 1989 Loma

Prieta, 1994 Northridge and 1995 Kobe

earthquakes emphasized the need for

research to provide new procedures and

specifications for constructing earthquakeresistant bridges and highways. In

recognition of this need, the Federal

Highway Administration (FHWA) initiated a comprehensive Seismic Research Program

for bridges and highways in the fall of 1992.

This program is being conducted by the

National Center for Earthquake Engineering

Research (NCEER) in cooperation with

agencies participating in the Federallysponsored National Earthquake Hazards

Reduction Program.

The research being conducted by NCEER

consists of two separate FHWA-sponsored

projects. Both projects involve research

studies on the seismic vulnerability of

highway construction in the U.S. including

bridges, tunnels, retaining structures, slopes

and embankments, culverts and pavements.

One project focuses on existing transportation infrastructure while the other is concerned with new highway construction.

The motivation for these studies comes from

the fact that the present guidelines for

seismic design and retrofit of highway

bridges are 10-15 years old, and that there

are no national seismic design or retrofit

standards for the other components of

typical highway systems. In addition, recent

' National Center for Earthquake Engineering

Research, State University of New York at Buffalo,

102 Red Jacket Quadrangle, Buffalo, NY 14261-

0025

^ Federal Highway Administration HNR-10, TumerFairbank Highway Research Center, 6300

Georgetown Pike, McLean, VA 22101

^ Dynamic Isolation Systems, 3470 Mt. Diablo

Boulevard, Suite A200, Lafayette, CA 94549

248
experience in California, Costa Rica, the

Philippines, and Japan has provided new

insight into bridge and highway response

during earthquakes.

Significant progress has also been made in

understanding the seismic risk of the U.S., in

geotechnical engineering terms and in

seismic resistant design, such that a comprehensive review of design and retrofit

philosophies and procedures can now be

undertaken. However, although much has

been learned, there are still many gaps in

basic knowledge. Furthermore, not all existing knowledge can be immediately

applied to the highway arena and fiirther studies are required to facilitate the transfer

of this technology.

As a result, the FHWA initiated the two

major studies comprising the NCEER

Highway Project; one on existing

transportation infi-astructure and the second on new design and construction. Research

on these projects was initiated by NCEER in

mid- 1993 and has a national focus. It is intended to address differences in seismicity,

bridge types, and typical design details

between eastern and central U.S. bridges and

those which have been studied in California.

Furthermore, unlike the western U.S., design

and retrofit strategies for the eastern and

central U.S. need to reflect the probability

that an earthquake significantly larger than

the design earthquake can occur.

1.2 FHWA Research for New Highway

Structure Design and Construction

The FHWA program on new highway

structure design and construction (officially

known as the FHWA Seismic Research

Program) has among its objectives studies on the seismic vulnerability of tunnels,

retaining structures and bridges and the

development of technical information on

which, in the case of bridges, revisions can

be made to the current national design

specifications. This research has national

applicability, but in view of the relatively

advanced state-of-practice on the West

Coast, is focussing on low-to-moderate

seismic zones. The program includes both

analytical and experimental studies, with a

focus on the following technical areas:

• seismic hazard exposure and ground

motion input for the U.S. highway

system;

• foundation design and soil behavior

• structural issues of importance, response

and analysis;

• design issues and details; and

• design criteria review.

As a wap-up to the program, a final task is being conducted which is providing a review

of the results obtained from each of the

studies conducted under the program, in

order to assess the impact that their results

may have on the future development of a

consistent seismic design specification for

highway structures.

The purpose of this paper is to summarize

some of the important results of the research

conducted under the program and to discuss

issues resulting from the wrap-up impact

assessment task, with respect to their

expected effects on future design practice.

2. SEISMIC HAZARD EXPOSURE

AND GROUND MOTION INPUT

The research in the area of seismic hazard

exposure has focused on the evaluation of

alternative approaches for portraying and

representing the national seismic hazard

exposure in the U.S., quantifying and

developing an understanding of the effects

of spatial variation of ground motion on highway structure performance, and the

249
development of inelastic design spectra for

assessing inelastic deformation demands.

2.1 Representation of Seismic Hazard

Exposure

Research in the area of seismic hazard

exposure representation was conducted in

order to:

• explore a number of important issues

involved in national representations of

seismic ground motions for design of

highway facilities; • recommend future directions for

national seismic ground motion

representation, especially for use in

nationally applicable guidelines and

specifications such as the AASHTO

seismic design provisions for bridges;

and

• identify areas where further

development and/or research are needed

to define ground motion representation

for guidelines and specifications.

The ground motion issues that have emerged

in recent years as potentially important to highway facilities design and that were

considered in this work included

consideration of:

(a) Should new (1996) USGS maps

provide a basis for the national seismic

hazard portrayal of highway facilities?

If so, how should they be implemented

in terms of design values?

(b) Should energy or duration be used in a design procedure?

(c) How should site effects be characterized for design?

(d) Should vertical ground motions be

specified for design?

(e) Should near-source ground motions be

specified for design?

The following summarize the key elements

of each issue and conclusions of the

research.

(a) New USGS maps - In 1996, the U.S.

Geological Survey (USGS) developed new

seismic ground shaking maps for the

contiguous U.S. These maps depict contours

of peak ground acceleration (PGA) and

spectral accelerations (SA) at 0.2, 0.3, and

1.0 second (for 5% damping) of ground

motions on rock for probabilities of

exceedance (PE) of 10%, 5%, and 2% in 50

years, corresponding to return periods of

approximately 500, 1000, and 2500 years,

respectively.

The research considered whether the new

USGS maps should replace or update the

maps currently in AASHTO, which were

developed by the USGS in 1990. The key

issue regarding whether the new USGS

maps should provide a basis for the national

seismic hazard portrayal for highway

facilities is the degree to which they provide

a scientifically improved representation of

seismic ground motion. Based on an

analysis of the process of developing the

maps, the inputs to the mapping, and the

resulting map values, it was concluded that

these new maps represent a major step

forward in the characterization of national

seismic ground motion. The maps are in

substantially better agreement with current

scientific understanding of seismic sources and ground motion attenuation throughout

the U.S. than the current AASHTO maps. It was therefore concluded that the new USGS

maps should provide the basis for a new

national seismic hazard portrayal for

highway facilities.

The issue of an appropriate probability level or return period for design ground motions

based on the new USGS maps was also

examined. Analyses were presented

250
showing the effect of probabiHty level or

return period on ground motions and

comparisons of ground motions from the

new USGS maps and the current AASHTO

maps. It was recommended that for design

of highway facilities against collapse,

consideration should be given to adopting

probability levels for design ground motions

that are lower than the 10% probability of

exceedance in 50 years that is currently in

AASHTO. This is consistent with proposed

revisions to the 1 997 NEHRP provisions for

buildings, in which the new USGS maps for a probability of exceedance of 2% in 50

years have been adopted as a collapseprevention design basis.

(b) Consideration of energy or duration - At

the present time, the energy or duration of

ground motions is not explicitly recognized

in the design process for bridges or

buildings, yet many engineers are of the

opinion that the performance of a structure may be importantly affected by these

parameters, in addition to the response

spectral characteristics of the ground

motion. As a result, it was concluded that

some measure of the energy of ground

motions is important to the response of a

bridge, but, at present, there is no accepted

design procedure to account for energy.

Research in this area should be continued to develop energy-based design methods that can supplement current elastic-responsespectrum-based design methods. It was also

concluded that energy rather than duration is the fundamental parameter affecting

structural behavior.

(c) Characterization of site effects - At a

Site Effects Workshop held in 1992 at the

University of Southern California (USC), a

revised quantification of site effects on

response spectra and revised definitions of

site categories were proposed.

Subsequently, these revised site factors and

site categories were adopted into the 1994

NEHRP provisions and the 1997 Uniform

Building Code (UBC). Since the

development of these revised site factors,

two significant earthquakes occurred (the

1994 Northridge and 1995 Kobe

earthquakes) which provided substantial

additional data for evaluating site effects on

ground motions, and research using these

data has been conducted.

The site factors and site categories in the

current AASHTO specifications are those

that were superseded by the USC Workshop

recommendations in the NEHRP Provisions

and the UBC. Under this research, the

question was whether the USC Workshop

recommendations should be utilized in

characterizing ground motions for highway

facilities design and whether they should be

modified to reflect new data and new

knowledge since the 1992 Workshop. The

most significant differences in the USC

Workshop recommendations and the

previous site factors (those currently in

AASHTO) are: (l)the revised site factors

include separate sets of factors for the shortperiod and long-period parts of the response

spectrum, whereas the previous site factors were only for the long-period part; (2) the

revised site factors are dependent on rather

than independent of intensity of ground

shaking, reflecting soil nonlinear response;

and (3) the revised site factors are larger

(i.e., show a greater soil response

ampliflcation) than the previous factors at low levels of shaking, as appropriate to the

lower-seismicity regions in the U.S.

It was found that the post-Northridge and

post-Kobe earthquake research conducted to date generally was supportive of the site factors derived in the 1992 USC Workshop,

although revisions to these factors might be

considered as further research on site effects

is completed. It was therefore recom251
mended that the factors developed at the

use Workshop and adopted by the NEHRP

Provisions and the UBC be proposed as part

of a new national representation of seismic

ground motion for highway facilities design.

(d) Vertical ground motions - At present,

the AASHTO specifications do not contain

explicit requirements to design for vertical

accelerations. Ground motion data from

many earthquakes in the past 20 years have

shown that, in the near-source region, very

high short-period vertical spectral

accelerations can occur. For near-source moderate-to-large magnitude earthquakes,

the rule-of-thumb ratio of 2/3 between

vertical and horizontal spectra is a poor

descriptor of vertical ground motions. At

short periods, the vertical-to-horizontal

spectral ratios can substantially exceed

unity, whereas at long periods, a ratio of

two-thirds may be conservative. It was

demonstrated that our current understanding

and ability to characterize near-source

vertical ground motions is good, especially

in the western U.S. where the near-source region is better defined (i.e., near mapped

active faults). It was also demonstrated that

high vertical accelerations as may be

experienced in the near-source region can

significantly impact bridge response and

design requirements in some cases. On the

basis of these findings, it was concluded that

vertical ground motions should be

considered in bridge design in higher

seismic zones for certain types of bridge

construction. It was recommended that

specific design criteria and procedures be

developed for certain bridge types.

(e) Near-source ground motions - The

characteristics of near-source horizontal

ground motions and the effects of near- source ground motions on bridge response were examined. As the distance to an

earthquake source decreases, the intensity of

ground motions increases, and this increase

in ground motion intensity is incorporated in

new USGS maps. However, in addition to

their higher intensity, near-source ground

motions have certain unique characteristics

that are not found at greater distances. The

most significant characteristic appears to be

a large pulse of long-period ground motions

when an earthquake rupture propagates

toward a site. Furthermore, this pulse is larger in the direction perpendicular to the

strike of the fault than in the direction

parallel to the strike. This characteristic of

near-source ground motions has been

observed in many earthquakes, including

most recently in the Northridge and Kobe

earthquakes. Preliminary analyses of bridge

response indicate that near-source ground

motions may impose unusually large

displacement demands on bridge structures.

It was therefore concluded that traditional

ground motion characterizations (i.e., response spectra) may not be adequate in

describing near-source ground motions,

because the pulsive character of these

motions may be more damaging than

indicated by the response spectra of the

motions. Recommendations include the

need for additional research to evaluate

more fiilly the effects of near-source ground

motions on bridge response and to incorporate these effects in code design

procedures. Until adequate procedures are developed, consideration should be given to evaluating bridge response using site- specific analyses with representative near- source acceleration time histories.

2.2 Spatial Variation of Ground Motion

The objective of the research in this area was to develop procedures for determining

spectrum compatible time histories that

adequately represent spatial variations in

ground motion including the effects of

different soil conditions. The procedures

252
were then used to examine the effects of

spatial variabiHty on critical response

quantities for typical structures.

The methodology used a spectral

representation to simulate stochastic vector

processes having components corresponding

to different locations on the ground surface.

An interative scheme was used to generate

time histories compatible with prescribed

response spectra, coherency, and duration of

motion. Analysis results for eight example

bridges were tabulated, showing the relative

ductility demand ratio for column flexure

due to seismic wave propagation spatial

effects. In general, there was about a 10%

maximum increase when using linear

analysis, and a 25% maximum increase

when using non-linear analysis for bridges

up to 1000 feet in length. Results were also

tabulated for relative opening and closing at expansion joints for bridges with

superstructure hinges. In general, the

relative joint opening movement was up to two times when using either linear or nonlinear analysis for bridges up to 1 000 feet in

length.

Potential future code impacts resulting from

this work are as follows:

• For right bridges under 1000 feet in

length with at least two spans and

uniform soil conditions, the use of

synchronous support ground motions

may be recommended. If a conservative

approach is desired, the seismic response

coefficient could be increased by 1 0% or

the R-factor could be decreased by 20%.

• For bridges over 1000 feet in length,

with supports on different local soil

conditions or with high skews, the use of

time history analyses involving

asynchronous support ground motions

may be advisable. In so doing, a number

of scenario earthquakes and several

different values of wave velocity should

be investigated. It is important to note,

however, that these results are preliminary and have not been

independently validated as yet.

The implementation of time history analyses

• may significantly increase overall design

cost for complicated bridges. However, it is expected that overall structural performance

would also be significantly improved by the

ability to account for differing soil

conditions.

2.3 Inelastic Design Spectrum

The research in this area had the objective of

developing inelastic response spectrum

which would allow designers to assess the

inelastic deformation demands, ultimately

leading to improved seismic performance

for new bridge construction. The spectrum

are being derived for nationwide use, accommodating different seismic environments and site soil conditions. They are also

being developed for design applications, by

accounting for scattering and variabilities

that exist in real earthquake ground motions

and for non-linear structural response.

Under the current program, the research has

not progressed to the point where its results are ready for implementation. When

complete, it is likely to have a major impact on seismic design code requirements for

bridges, as inelastic spectra will be one of

the key elements in a displacement-based or energy-based design procedure. Future

work in this area should include procedures

for determining inelastic spectra at a specific

site. The current state of research provides an approximate method that starts with an

elastic spectrum rather than time history; as time histories for the eastern U.S. are

currently lacking, this approach will have an

obvious appeal.

253
3. FOUNDATION DESIGN AND SOIL

BEHAVIOR

Research tasks in this area investigated and

improved criteria for the design and analysis

of major foundation elements including

abutments, retaining walls, pile and spread

footings, and drilled shafts. In addition,

work was performed on soil liquefaction and

lateral spread identification and mitigation.

3.1 Abutments and Retaining Walls

Research on bridge abutments and retaining

walls focused on modeling alternatives,

clarifying the process of design for service

loads versus seismic loading, and providing

simplified approaches for design that

incorporate key issues affecting seismic

response. The research also attempted to provide a new procedure for determining the

seismic displacements of abutments and

retaining walls founded on spread footings,

which differ from current procedures by

addressing mixed-mode behavior (i.e., including rotation due to bearing capacity

movement and sliding response). Both

experimental and analytical studies were

conducted; the experimental studies

included sand-box experiments on a shaking

table and centrifuge models. Results of this

research included:

• Development of a simplified procedure

for estimating abutment stiffness. A key

element of this approach is determining

the portion of the wall that can be relied

on to mobilize backfill resistance. • Extending current AASHTO design

procedures to the more general case of

translation and rotation of walls and

abutments. The results are presented in a manner that will allow the methods to be easily introduced into a future code

revision. The new procedures will be of

greatest use for free-standing gravity

walls and for active mode abutment and

wall movements.

• Consideration of passive loading

conditions for walls and abutments.

Current AASHTO provisions only

address active loading conditions. Since

passive loading can result in forces that are up to 30 times those for active

conditions, there is a strong possibility

that many bridges will not develop

passive resistance without abutment

damage.

3.2 Pile and Spread Footings and Pile

Groups

Studies on pile footings, spread footings and

pile groups included experimental and

analytical research tasks which were

intended to: provide improved

understanding of the lateral response of pilecap foundations; evaluate the influence of

modeling parameters on estimated

displacement and force demands;

recommend methods for characterizing the

stiffness of pile footings; quantify the

importance of radiation damping and

kinematic interaction on response; and

evaluate conditions under which uplift

becomes significant and how best to model

uplift in a design procedure. Results from

these studies included the following:

• For pile-cap systems, the research

demonstrated that design procedures

should use simple additions for the

contribution from the base, side and

active/passive ends when estimating the

lateral capacity of embedded spread

footings in dense sand, along with elastic

solutions with an equivalent linear soil

shear modulus at shallow depths to estimate the secant stiffness of the

footing. This effectively confirms that

existing procedures can be used to obtain

reasonable approximations of pile-cap

254
foundation response, as long as consideration is given to the levels of

deformation and embedment for the

system.

• Axial and lateral loading response and

stiffiiess characteristics are important

parameters for the design of single piles

and pile groups, although such

information is not currently addressed in

the AASHTO provisions. Axial

response often controls rocking response

of a pile group. New procedures and

simplified stiffness charts are provided

for determining the lateral loaddeflection characteristics of single piles

and groups.

• Nonlinear load-deflection analyses

illustrate the sensitivity of results to uncertainties in p-y stiffness, gapping,

pile-head fixity, bending stiffness

parameters, and embedment effects. The

analyses have demonstrated that loaddeformation response is more affected

by input variations than by the moment

within the pile. • For spread footings without uplift, the

- research demonstrated that (a) ignoring

soil-structure interaction reduces the

fiindamental period of the system,

resulting in higher accelerations; (b)

increasing the effectiveness of

embedment increases radiation damping

and reduces the fundamental period of

the system; and (c) neglecting radiation

damping has only a minor effect on the

system. Uplift of the spread footing

results in a softer mode of vibration for

the system, with increasing fundamental

period as the amount of uplift increases.

3.3 Drilled Shafts

Research on drilled shafts was conducted in

order to provide information on the

influence of modeling procedures on the

response of the structure, evaluate the

effects of modeling on estimated

displacement and force demands on the

foundation, and to summarize methods for

characterizing the response of drilled shaft

foundations, including their limitations.

Results of this work included the following:

• Foundation stiffness has been shown as a key parameter and contributor to the

dynamic response of the structure,

necessitating realistic estimates and

appropriate integration into a detailed

structural analysis. The response of a

soil-foundation system to load is nonlinear; however, for practical

purposes, an equivalent linear

representation is normally used.

• Guidance is provided on the

development of equivalent linear and

nonlinear stiffness values, and the

importance and sensitivity of foundation

geometry and boundary conditions at the

shaft head are identified. A key

conclusion is that realistic representation

of pile-head fixity can lead to a much

more economical design.

• The p-y approach is recognized as the

most common method of analyzing the

nonlinear response of the shaft to lateral load. Parameters that must be

considered include the effects of soil

property variation, degradation effects,

embedment, gapping, and scour effects.

3.4 Liquefaction Processes and Liquefaction Mitigation Methodologies

A significant amount of research has been

conducted under the NCEER Highway

Project on liquefaction processes, screening

for liquefaction potential, and the

development and/or improvement of

liquefaction mitigation methodologies.

Much of this work was conducted under the

companion FHWA project on seismic

vulnerability of existing transportation

255
infrastructure, but all of it is appropriate for

either new design or existing construction

evaluation. Among the major studies

conducted under this project was a review,

synthesis, and improvement to recent

developments in simplified procedures for

evaluating the liquefaction resistance of

soils, and the compilation and evaluation of

case studies and procedures for ground

liquefaction mitigation. Results of this

research included:

• Identification of a consensus simplified

procedure for evaluating liquefaction

resistance. Minor modifications for the

determination of the stress reduction

factor used in the calculation of the

cyclic stress ratio were recommended,

which allow the stress reduction factor to be calculated to depths greater than 30

meters.

• Identification of the latest procedures for

determining cyclic resistance ratios

(CRR) using cone penetration test (CPT)

procedures. One of the primary

advantages of CPT is the consistency

and repeatability of the method. Plots

for determining the liquefaction

resistance directly from CPT data, rather

than converting to an equivalent

standard penetration test (SPT) N-value,

are presented. Procedures are also

provided for correcting CPT data based on overburden pressures, fines contents,

and for thin layers. • Plots for determining CRR from shear

wave velocity data have been prepared,

and procedures for correcting shear

wave velocity data due to overburden

stress and fines content are explicitly

given.

• Methods which have been employed

successfully for liquefaction mitigation

include deep dynamic compaction, deep

vibratory densification, gravel drains,

permeation grouting, replacement

grouting, soil mixing, and micro

blasting. Parameters and limitations for

each of these approaches are summarized, including typical treatment

depths and applicable soil types.

• Flow charts for assessing ground

deformations for pre- and post-treatment

conditions were developed. These are accompanied by recommendations for

preferred ground improvements methods

based on differing site conditions.

4. STRUCTURAL IMPORTANCE,

ANALYSIS, AND RESPONSE

Several studies were conducted in order to provide a definition of structural importance,

which is necessary in the development of

design and performance criteria, and to evaluate methods of analysis and structural

response. These studies also provided a

synthesis of current systems and details

commonly used to provide acceptable

seismic performance in various states and

regions. Among the findings of these

studies were the following:

• Provisions employed by the California

Department of Transportation (Caltrans) were generally more rigorous than those

used by the majority of states (who

primarily used current AASHTO

provisions). However, adoption of

Caltrans' design provisions nationwide

would likely complicate designs and add

to construction cost; this may be

unjustified for many low-to-moderate

seismic hazard states. In addition, if Caltrans' experience is to be adapted

nationally, some adjustments are required in order to accommodate bridge

types and details commonly used

elsewhere.

• Studies that were conducted on the

application of advanced modeling

methods for concrete bridge components

256
provided a computer program which

determines moment-curvature and forcedeflection characteristics for reinforced

concrete columns; excellent correlation

was obtained between analytical and

experimental test results for these

components.

• A refmed model to simulate the

hysteretic behavior of confined and

unconfined concrete in both cyclic

compression and tension was developed.

The model includes consideration of the

nature of degradation within partial

hysteresis looping and the transition

between opening and closing cracks. • A study on energy and fatigue demands

on bridge columns resulted in design

recommendations for the assessment of

fatigue failure in reinforcing steel, based on the results of nonlinear dynamic

analyses. This methodology

incorporates traditional strength and

ductility considerations with the fatigue

demands. Based on parametric studies,

it was concluded that low cycle fatigue

demand is both earthquake and

hysteretic model dependent.

• Based on an examination of existing and

proposed methods for quantifying bridge

importance, a specific method was

selected and tested against a database of

bridge information commonly available

within the FHWA's National Bridge

Inventory. One limitation of the study is that it deliberately avoided addressing

political and economic issues related to bridge seismic design criteria and

highway network considerations.

• Following the Northridge earthquake, concerns were raised as to the role

vertical accelerations may have played

in causing damage to one or more

bridges. In a study conducted to investigate the effects of vertical

acceleration on bridge response,

preliminary results indicate that vertical

components of ground motion could

have a significant effect on bridge

response for structures within 10 km of

the fault, and even within 20-30 km for

certain conditions. The results of this

study will be controversial when

publicized; however, a far too limited

study was conducted (only six example

bridges were analyzed) in order to provide definitive guidance at this time.

• In a study which investigated the

applicability of simplified analysis

methods to various types and

configurations of bridges, a number of

design and analysis limitations were

identified. Parameters evaluated

included curvature, span length ratio,

pier height, skew and span connectivity.

Based on the analyses, a definition for

"regular" bridges and for which

simplified methods are appropriate was

developed. In general, regular bridges

must have three or fewer spans, variation

of mass distribution between adjacent

spans varying by less than 50%, a maximum ratio between adjacent pier

stiffnesses in the longitudinal and

transverse directions not greater than

4.0, and a subtended angle in plan not

greater than 90°.

5. STRUCTURAL DESIGN ISSUES

AND DETAILS

A number of studies were conducted in

order to improve design procedures and

structural detailing for highway structures,

but the focus was primarily on bridges; one

study also examined movement detailing for

tunnels. These studies looked at issues of

capacity detailing for ductility, elastic

behavior, and movements. Among the

results of this research were the following:

• A design concept termed Damage

Avoidance Design (DAD) was

257
developed which attempts to avoid

plastic hinging in columns, thereby

avoiding loss of service for important

bridges following a major earthquake.

The concept evaluated details which

provide for rocking of columns and

piers, which rotate about their ends but

are restrained from collapse through

gravity and the optional use of central

unbonded post tensioning in the column

core. A second design concept termed Control

and Repairability of Damage (CARD)

was also developed, which provided

structural and construction details for

reinforced concrete columns that provide

replaceable or renewable sacrificial

plastic hinge zone components. In this

concept, the hinge zones are deliberately

weakened and regions outside the hinge zones are detailed to be stronger than the

sacrificial (fuse) zone; the remaining

elements of the structure then remain

elastic during strong earthquakes.

In a study on transverse reinforcing

requirements for concrete bridge

columns and pier walls, it was found that

the current AASHTO requirements

could be lowered by up to 50% while

still achieving displacement ductilities of

4 to 7 for bridges in low to moderate

seismic zones. An important aspect of

this work though was that the end

anchorages for transverse steel hoops

must be maintained for the reinforcing to be effective; 90° bends on J-hooks were

found to be inadequate.

Research was conducted on moment

overstrength capacity in reinforced

concrete bridge columns, and a

simplified method for determining

colunrn overstrength was developed.

The upper-bound overstrength factors

developed in this task validate

prescriptive overstrength factors

recommended in ATC-32, but also

indicate that some factors in current

Caltrans and AASHTO provisions may

be too low.

• A synthesis was conducted on details

commonly used to accommodate

expected movements on bridges and

retaining walls in the eastern and

western U.S. Based on the synthesis,

design and detailing recommendations

were made in order to provided the basis

for improved bridge design standards.

The specific elements considered in this

effort included restraining devices,

sacrificial elements, passive energy

dissipation devices, and isolation

bearings. A similar effort was

conducted on movement criteria and

detailing for tunnels.

• For steel superstructures, a number of

issues were considered, including

ductility based on cross-section

configuration, applicability of

eccentrically-braced frames, details

which allow for easy repair of steel

sections following a moderate to large

earthquake, anchor bolt performance

under lateral uplift loads, and

economical moment connection details

between steel superstructures and

concrete substructures.

6. CONCLUSIONS

As a result of a research program sponsored

by the Federal Highway Administration,

researchers working for the National Center

for Earthquake Engineering Research have

developed a number of analytical tools,

methods of analysis, structural design

details, and specification recommendations

appropriate for seismic design of highway

system structures. The primary focus of this

work has been on highway bridges, but

some research on tunnels and retaining

structures was also performed. The program

has also resulted in recommendations

258
regarding the representation of seismic

hazard in future design codes, the

performance and improvement of soils

under seismic shaking, and an improved

understanding of the behavior of structural

systems and components under seismicallyinduced forces and displacements. In

addition, it is likely that additional

recommendations regarding the use of a performance-based design philosophy and

dual-level design and performance criteria

will be made to AASHTO as a result of this

work.

The results of this program will likely be

considered and incorporated into an effort soon to be initiated under the AASHTOsponsored National Cooperative Highway

Research Program (NCHRP). NCHRP

Project 12-49 will start in the summer of

1998 and has as its objective the

development of the next generation of

seismic design specifications for the

AASHTO Load and Resistance Factor

Design Specifications. Analysis tools and

design details will be disseminated to the

practicing engineering community and are

also expected to impact future highway

structure design practice.

• 7. ACKNOWLEDGMENTS

Dr. George C. Lee is the principal

investigator on the NCEER Highway

Project. The authors would like to acknowledge Dr. Lee's guidance and

direction on this project. In addition, the

Impact Assessment task conducted under the

project is managed by the Applied

Technology Council, with Mr. Christopher

Rojahn as task principal investigator. Task

participants include Donald Anderson, John

Clark, C. Stewart Gloyd, Richard V. Nutt,

and Maurice Power; much of the summary

information reported in this paper was

extracted from their task reports.

259
DEVELOPMENT OF

PERFORMANCE-BASED BUILDING CODE IN JAPAN

- FRAMEWORK OF SEISMIC AND STRUCTURAL PROVISIONS -

By

HIRAISHI Hisahiroi), MIDORIKAWA Mitsumasa^),

TESHIGAWARA Masaomi^), andGOJO Wataru'^)

ABSTRACT

On February of 1996, it was

officially announced by the Ministry of

Construction that the Building Standard Law

of Japan should be revised into that based on

performance. The building code in Japan

will be changed from current prescriptive type

into performance-based type in a few years.

In responding this announcement, the

performance -based building code is now

under development at the Building Research

Institute (BRI).

In this paper, presented is the

framework and concepts of the performancebased seismic and structural provisions in

Japan proposed by BRI. In the principles of

structural safety, the required performance

and loads/forces levels are clearly defined.

There are four routes in verification

procedures and associated structural

specifications following the principles of

structural safety; proposed route, conventional

route, small building route requiring no

calculation, and other route including

alternative verification procedures, deemedto-satisfy provisions, and expert judgments.

Seismic effects to buildings are considered on

the basis of basic seismic design spectrum

defined at the engineering bedrock under

surface soil layers.

There are three levels in the

objectives and requirements to building

structures and loads/forces levels. The

objectives are life safety, damage prevention.

and continuous normal operation of a building.

The principle of verification procedures is that the predicted response values should not

exceed the estimated limit values.

The newly proposed verification

procedure for major earthquakes is illustrated, as all others remain basically the same as those actually in use. There are indeed

various analytical methods for predicting the

response of structures subjected to earthquake

excitations. The one which is shown here is based on the equivalent single -de^ee -office dom system and response spectrum

method.

KEY WORDS: performance-based building

code, seismic and structural provisions,

required performance level, verification

procedures.

1. INTRODUCTION

The need for the development of

performance -based standards is a logical

consequence of the rapid economic growth of

Japan, which is strongly affected by the

1) Director, Structural Engineering Dept.,

Building Research Institute, Ministry of

Construction, 1 Tachihara, Tsukuba, Ibaraki,

305-0802 Japan.

2) Research Director for International Codes

and Standards, BRI, MOC.

3) Head, Structure Div., BRI, MOC.

4) Head, Building Economy Div., BRI, MOC.

260
international economic progress.

In 1995, World Trade Organization

(WTO) initiated first the idea of performancebased standards, which was concluded in the

form of the Agreement on Technical Barriers

to Trade (TBT). This agreement calls for an

obedience wUl towards the guidelines and

recommendations issued by the International

Standards and International Standardization

Institutions. Furthermore, International

Organization for Standardization (ISO) is strongly promoting the revision of the current

international standards on the basis of

performance principles.

According to U.S.-Japan Framework

Talks on Bilateral Trade, the American side

has requested that the deregulation poHcy for

restructuring the Japanese administration

should be extended to the building industry as well, where the review of Building Standard

Regulations and reduction of construction

cost for housing are required.

Reflecting this developments, on

February in 1996 it was ofiicially announced

by the Ministry of Construction authorities

that the Building Standard Law of Japan

should be revised on the basis of performance

principles. Very recently, in the Building

Council report of March 24, 1997, entitled

"For a New Building Administration

Framework, which could cope with the

economic & social changes and their

prospects in the 21st century", it was clearly

stated that in order to compile a highly

flexible New Building Standard Law, the

current provisions must be revised into those

based on performance. That served as a

basis for the compilation of "Guidelines for

the Performance-based Building Code".

2. PERFORMANCE-BASED

BUILDING CODE

Unlike the in-current-use

conventional Building Code, the

Performance-Based Building Code prescribes

clearly the type and the level of the required

performance for a given building structure. In other words, for the precisely determined

response of the structure subjected to assumed

loads and forces, it prescribes the verification

procedures to be used for the estimation of

structure's conformity with the required

structural safety.

However, even in the case of the

performance -based provisions, the

prescription of a minimum required level is necessary, being this the same as in the

•current Building Code Provisions. In this sense, the performance-based code is different

form the performance -based design, which

has been a current topic among structural

engineers. The latter deals with a design

procedure which is based on a clearly defined

target performance for the structure considered, normally being prescribed higher

than the minimum required performance level.

Basically, the performance-based design is the structural design on the basis of

consultation between the structural engineer

and the owner of the building.

In this paper are presented the

framework and the conception of the

Performance-Based Structural Code, which is now under development at Building Research

Institute (BRI) in Japan. The main aspects

considered here are the conceptual framework

of the Structural Code; the level and

conception of the earthquake, wind, snow and

live forces^loads; required structural

performance against each force s/loads and the

verification procedures to be used for the

estimation of structure's conformity with the

required performance level.

It should be noticed here that

presented in this paper is just the state-of-theart and up-to-now level of development of the

Performance-Based Structural Provisions at BRI in Japan. It should not be considered as a fiilly completed version, ready to be

presented for the final official approval.

3. CONCEPTUAL FRAMEWORK OF

PERFORMANCE-BASED

STRUCTURAL CODE

The conceptual framework of

Performance-Based Structural Code proposed

261
by BRI is shown in Fig. 1. Following the

principles of structural safety, the verification

procedures to be used for the estimation of

structure's conformity with the required

performance level are roughly classified as (see Fig. 1):

a. Proposed route

b. Conventional route

c. Small building route, and

d. Others

The proposed route represents a new

verification procedure to be used instead of

the current one, which is based on the

calculation of allowable stress and estimation

of ultimate capacity for lateral load. It considers the effects of major earthquakes as well as other forces and loads. The other

effects which are not considered in the

structural calculations, such as construction

quality, durability, quality of construction

materials, and nonstructural elements, are covered by structural specifications. In

essence, by using this procedure it is possible

to evaluate and verify the structural

performance possessed by a designed

structure, regardless of the design method

used. It is just a verification procedure

which verifies whether or not the prescribed

performance objectives are met.

Accordingly, for structural specifications as weU the minimum required supplementary

specifications are prescribed.

The second route represents the

conventional verification procedure now in use, adopted as the standard structural

calculation method. It can be supplemented

with additional provisions in addition to those

of the first route described above. However,

if the principles of performance -based

provisions are to be followed, it should be

noticed that the obviously unnecessary parts

to be considered by structural calculations are eliminated. To this extent, the second route can be considered as a kind of deemed-tosatisfy verification procedure.

The third route applies to small

buildings. This route does not require

structural calculations and is considered to be

deemed-to-satisfy provisions. It prescribes

only conventional-based structural

specifications. Through this route, is attempted to make as clear as possible the

details of each structural specification. In case of a possible structural calculation

alternative, special clauses which allow for

the implementation of newly developed

materials, design methods and construction

methods are provided.

In the fourth route are included all other alternative verification procedures and

deemed-to-satisfy provisions, such as those

developed and certified by private institutions as well as those requiring expert judgments.

The types of loads and forces

considered in the newly proposed verification

procedure remain almost the same with those

currently in use. However, for the case of

earthquake effects only, new earthquake

motion provisions are prepared to replace the

current earthquake force provisions.

In a definite proposal, the earthquake

motion response spectra at the engineering

bedrock, assumed to be the stratum having

shear wave velocity in the range of several

hundreds m/s, is considered as the basic

design spectra. On the basis of this

conception for the earthquake input motion, it

is possible that earthquake effects be not only

accounted rationally through the

incorporation of influence of local soil

conditions on ground motion characteristics at the free surface but also conveniently

incorporated in the newly developed design

procedures of seismically isolated and

response controlled structures. Furthermore,

it is anticipated that the future proposals

expected for the verification and design

procedures be suitably implemented.

4. REQUIRED PERFORMANCE LEVEL

FOR BUILDING STRUCTURES

An outline of requirements for

building structures and loads/forces levels is shown in Table 1 . In the vertical column on

the left hand side of the table are shown the

requirements for building structures, while in

the rest of the table are shown the main types

262
of loads^forces to be considered and their

corresponding levels for each of the

requirements assigned for building structures. Undoubtedly, the loads/forces shown in Table

1 are to be combined according to specified

rules.

As it is shown in Table 1,

requirements for building structures are

classified in three categories, which are explained below.

4.1 Life Safety

The essential purpose of this

requirement is the safety of life. It should be

expected that under the action of loads/forces

taken into consideration, the building should

not experience any story collapse. In other

words, it is required that the situation of not

providing sufficient space for possible

survival of building occupants should not be

experienced.

4.2 Damage Prevention

The aim of this requirement is damage prevention. Under this provision, it is required first that after the action of the

loads'forces taken into consideration, no

structural damage which could threaten the

structural safety of the building will take

place. Furthermore, it is required that no

other kind of damage which causes in the

building structure a situation which does not

comply with other requirements of the

Building Standard Law should be experienced.

The above mentioned requirement for no

structural damage which could threaten the

safety of the structure means that the

structural safety performance required by

Section 4.1 should be preserved. The second

requirement related to other kind of damage

means that the provisions of Building

Standard Law concerning fire safety should

be satisfied. It should be mentioned here

that, the requirements for Damage Prevention

described in this section are included in the

Life Safety requirements as well.

4.3 Continuous Normal Opo'ation

The purpose of this requirement is the assurance of continuous normal operation

of the building structure. It aims at avoiding

the harmful deformations and vibrations in

structural fi-ames, members, interior and

exterior finishing materials of the building

structure while subjected to loads/forces taken

into account. The above mentioned harmful

deformations and vibrations are assumed to be those related to dead, live and snow loads

acting for a relatively long time on the

structure causing thus excessive deformations

in slabs and beams, and consequently

discomfort to the occupants or difficulties in

the operation of the building. The details for

the requirements concerning the discomfort to the occupants or difficulties in the operation

are not yet clearly formulated. Therefore a

further investigation is necessary. It should

be mentioned here again that, the

requirements for Continuous Normal

Operation described in this section are included in the Life Safety requirements and

Damage Prevention requirements as well.

For each of the three categories of

requirements for building structures described

above are assumed the following levels of

loads/forces:

4.4 Maximum Probable Event Level

This level of loads^forces

corresponds to the category of requirements

in Section 4.1 for building structures and is assumed to produce the maximum possible

effects on the structural safety of a building to be constructed at a given site. The

maximum possible earthquake motion level is determined on the basis of historical

earthquake data, recorded strong ground

motions in the past, seismic and geologic

tectonic structures, active faults, and others.

This earthquake motion level corresponds

nearly to that of highest earthquake forces

used in the current seismic design practice,

representing the horizontal earthquake forces

induced in the building structures in case of

major seismic events. Wind forces and

snow loads are determined on the basis of a

263
100-500 year return period. This level is somewhat higher than the current one used in

the actual design practice.

4.5 Once-in-a-Lifetime Event Level

This level of loads/forces

corresponds to the category of requirements

in Section 4.2 for building structures and is assumed to be experienced more than once

during the Hfetime of the building. Strictly

speaking, earthquake, wind and snow are natural phenomena with different probability

of occurrence and normally for each of them

should be assumed different return period.

Therefore a return period interval of 30-50

years is supposed to cover all these three

natural events. This level of earthquake

motion corresponds nearly to the middle level

earthquake forces used in the current seismic

design practice, representing the horizontal

earthquake forces induced in the building

structures in case of moderate earthquakes.

The levels of wind forces and snow loads are nearly the same with those being actually

used in the current design practice.

4.6 Ordinary Event Level

This level of loads/forces

corresponds to the category of requirements

in Section 4.3 for building structures and is normally assumed to be experienced several

times during the lifetime of the building.

For the case of snow loads it is roughly

assumed a return period of 3-5 years. This

level is not clearly prescribed even in the

current provisions. Therefore a further

careful investigation is needed for it. Finally, the way the live loads will

be treated in accordance with building

structures requirements is still under

investigation. Because of its totally different

character compared to earthquake, wind and

snow loads/ forces, known as natural

phenomena of temporary effects, it is considered that the live loads could be better

prescribed through two separate options:

extraordinary and ordinary options.

5. VERIFICATION PROCEDURES FOR

A REQUIRED PERFORMANCE LEVEL

Various response and limit values

are considered for use in proposed

verification procedures, in accordance with

each of the requirements prescribed for

building structures. A representative

example of this arrangement is shown in

Table 2. The principle of verification

procedures is that the predicted response

values due to the action of forces/loads on

building structures should not exceed the

estimated limit values. Fundamentals of

proposed verification procedures

corresponding to each level of earthquake,

wind and snow loads/forces are described

below.

5.1 Vaification Procedures Corresponding

to Maximum Probable Event Level

In case of earthquakes, the maximum

displacement response of the building

structure subjected to strong ground motions

should be smaller than the displacement Umit.

While in case of wind and snow, it is required

that the maximum stresses developed in the

structure should be smaller than the stress

limits. In defining displacement and stress limits for earthquake motion and wind forces

respectively, it may be necessary to consider

the effects of repeating cycles in the plastic

region of the response as well. However,

fixing some stress limit values for the case of

wind forces is very difficult at the moment,

because the actual design of building

structures against wind forces in general do

not account yet for the inelastic behavior.

Concerning the analytical methods to be used

for predicting structural response, it is noted

that they should not be necessarily the same

as the current ones. Accordingly, in the

newly proposed verification procedures, it is expected that analytical methods to be used

for the case of earthquake excitations and that

of wind/snow forces/loads be different. In

the former case it is expected to apply

Equivalent Single Degree of Freedom System

264
and Response Spectrum Method, while in the

latter one Static Elasto-Plastic Analysis.

5.2 Verification Procedures Corresponding

to Once-in-a-Lifetime Event Level

For this level of earthquake, wind

and snow loads/forces it is required to be

confirmed whether the stresses taking place at each structural element satisfy the condition

of being smaller than the Hmit stress. The

limit stress mentioned here impUes that the

whole structure behaves generally within the

elastic range. In case of snow loads, it is additionally required that the creep effect be

taken into account in defining Umit stress values. In any case, the fundamental

conceptions of the current and newly

proposed verification procedures are not

much different. Therefore, it is expected

that the actual static elastic analysis be of

further use.

5.3 Verification Procedures Corresponding

to Ordinary Event Level

Actually, the verification for this

level of loads/forces is not definitely required.

Only in case of special need or situation, the

necessary performance is examined in the

current design process. Displacement, stress and acceleration Umit values are used in the

verification procedures of this level. Defming these Umit values seems to be a

rather difficult issue which indispensably

needs a careful investigation.

The verification procedures for Uve

loads are expected to be almost the same as those being used in the current practice.

Moreover, from Table 2 it can be noticed that no description on foundations and soils are given. This subject is also under

investigation.

Besides the Umit values defined on

the basis of the requirements for building

structures as it is shown in Table 2, other

displacement-, stress- or acceleration-related

Umit values, defined on the basis of the

requirements for architectural, mechanical

and electrical elements permanently attached

to buildings, are considered in certain cases if

necessary. On this point, a special

investigation is needed.

As it was mentioned above,

excluding the newly proposed verification

procedure for maximum probable earthquake

events, all others remain basically the same as those actually in use. Therefore, hereafter

the focus is put on the proposed verification

procedure for the case of earthquake

excitations. A flow chart of this procedure is illustrated in Fig. 2. There are indeed

various analytical methods for predicting the

response of structures subjected to earthquake

excitations. The one which is shown here is based on the equivalent single -degree -offreedom system and response spectrum

method.

5.4 Proposed Verification Procedure

for the Case of Majw Earthquakes

According to this procedure the steps

to be followed are:

I. Determine the Umit displacement of the

structure.

II. Determine the hysteretic characteristic,

equivalent stiffness and equivalent

damping ratio of the structure.

i) Model the structure as a simplified

equivalent single -degree -of-freedom

system (ESDOFS) and establish its force-displacement curve (see Fig. 2a).

U) Assume now that the Umit displacement

determined in step I corresponds to the

above mentioned ESDOFS.

iii) Determine the equivalent stifl&iess in

accordance with the limit displacement.

iv) Determine the equivalent damping ratio on the basis of viscous damping ratio,

hysteretic dissipation energy and elastic

strain energy of the structure (see Fig.

2b).

III. Determine the response spectra to be used

in the verification procedure.

i) For a given basic design spectrum at the

engineering bedrock level, draw up the

free-field site -dependent acceleration

(Sa) and displacement response spectra

(Sd), for different damping levels.

265
ii) In the estimation of free-field sitedependent acceleration and displacement

response (step i) above), consider the

strain-dependent soil deposit

characteristics.

iii) In case of need, present graphically the

relation of Sa-Sd, for different damping

levels.

IV. Examine the safety of the structure. In this final step, it is verified whether the

response values predicted on the basis of

the response spectra determined according

to the step III satisfy the condition of

being smaller than the limit values

estimated on the basis of step II (see Fig.

2c).

The verification procedure presented

above is in essence a blend of equivalent

single -degree -of-freedom modeling of

structures with the site-dependent response

spectrum concept, which makes possible the

prediction of maximum structural response in case of major earthquakes as well as the

confirmation whether the predicted response

values are smaller than the limit ones. Moreover, it is also noted that the soil- structure interaction effects should basically

be considered. The factor of structural

characteristics Ds, used in the current practice

for verifying the ultimate capacity of the structure to resist lateral loads, is determined

on the basis of the concept that the structural

strength necessary to keep the displacement

response during earthquakes smaller than the

limit displacement, estimated on the basis of

plastic deformation capacity of the structural

members, should be guaranteed.

From the above discussion, it can be

concluded that the newly proposed

verification procedure is just the process to estimate the Ds values. The difference lies on the fact that the proposed procedure does

not go up to the calculation of the Ds values.

It ends just before this step.

In order to determine the limit

displacement of the structure, a specific

displaced mode is necessary to be assumed in

advance for its inelastic response (see Fig. 2a).

Basically, any predominant or possible to be

experienced displaced mode of the structure subjected to earthquake forces can be applied.

The predominant or possible to be

experienced displaced mode implies any of

the failure modes observed during the major

earthquakes such as beam failure mode, story

failure mode or any other definite failure

mode. Furthermore, precisely determined

characteristics of structural materials should

also be provided.

In the illustration presented above

for the proposed verification procedure the

limit value referred to is the maximum

displacement. Nevertheless, besides

displacement any other measures can be used,

for example energy. In this case, both the

response and limit values should be expressed

in terms of energy.

The application of the proposed

verification procedure for building structures where torsional vibration effects are predominant requires a further detailed

investigation.

Finally, a more appropriate

consideration of the loading duration time and

material properties in the current verification

procedure based on the allowable stress concept is under investigation.

6. FUTURE SCOPE

Having established the fundamental

principles for the revision of the current

Building Standard Law of Japan does not

mean that everything is done. The

framework and concepts of performance- based building provisions presented in this

paper constitute just the beginning of an enormous task to be done in the future. In

order to realize the intentions of performancebased standards, directed towards the

expansion of free initiative, the promotion of

new technologies, and the activation of

market competition, as well as the verification

of the designed performance level in

constructed building structures, the

establishment of building related institutions

is needed. For this purpose. The Building

266
Council is appealing for the openness of

private institutions towards building

verification procedures and inspection.

Expanding the role of private institutions in

the verification/inspection system is also a

ver>' important condition for the

implementation of performance-based

provisions. Consequently, for a successful

operation of this verification/ inspect ion

system, high level of competence, organizing

ability and responsibilit}^ are required.

Furthermore, the emphasis should

not be given only to the performance-based

provisions. In order to widen the use of

recently emerged performance-based design,

it is necessary to further intensify the efforts towards a marketable performance. In this sense, the popularization of performance

indication system proposals is desired.

7. CONCLUDING REMARKS

In this paper, presented is the state of

the art of the Performance-Based Building

Code of Japan, currently under development

at the Building Research Institute. In essence, performance -based provisions intend

to provide as clearly as possible answers to the frequently raised questions: for what

purpose, towards what objective, and for what

conditions. The greatest advantage of this

new approach lies on the fact that it focuses

primarily on the achievement of the

prescribed objectives, regardless of the

methodology used. As a result, while

promoting technical development, it may

become possible some time in the future that

the owner himself to select the desired

performance of the building. On the other

hand, due to the long time and high cost required for its implementation, it may

happen that the performance -based approach

results in a complicated verification procedure,

pointing out thus the need for a much more

careful judgment in selecting between

specification-based or performance -based

provisions. There are still many issues to be

considered in the future and in dealing with

them it should be kept always in mind the

purpose that the performance -based concept is to be applied.

ACKNOWLEDGMENT

This manuscript was stimulated by the

authors' participation as members of the

"Task Committee to Draft Performance-Based

Building Provisions", where they have shared

their opinions with other members. They

would Uke to express their gratitude towards

all of them.

REFERENCES

1) BRI: Towards performance-based

standards, BRI-H9 Autumn Seminar Notes,

Building Research Institute, Ministry of

Construction, November, 1997 (in Japanese).

2) BCR: For a New Building Administration

Framework, which could cope with the

economic & social changes and their

prospects in the 21st century. Building

Council Report, March, 1997 (in Japanese).

3) IS0/IEC Directives - Part 2: Methodology

for the development ofinternational standards,

1992.

4) BCJ: Structural provisions for buildings,

Commentary on Building Standard Law, The

Building Center of Japan, 1997 (in Japanese).

5) AIJ: Recommendations for loads on

buildings. Architectural Institute of Japan,

1996.

6) ISO 6240: Performance standards in building - Contents andpresentation, 1980.

7) ISO 6241: Performance standards in building - Principles for their presentation

andfactors to be considered, 1984.

8) ISO 7162: Performance standards in building - Contents and format of standards

for evaluation ofpresentation, 1992.

267
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269
Verification Procedures

(Structural Calculation)

Structural

Specifications

proposed

route ^

Principles of

Structural Safety;

Required

Performance Levels

Proposed Verif. Procedure

- against major eartlnqual<es

- against other loads & forces

minimum

supplementary

specifications

convent,

route

Loads & Forces

- earthquake; basic design spectrum at engrg. bedrock

- others

Conventional-based Verif. Procedure

- allowable stress

- interstory drift

- rigidity & eccentricity

- ultimate capacity for lateral force

conventional-based

supplementary

specifications

small building route; no calculation

others

Alternative Verif. Procedures

Deemed-to-Satisfy Provisions

Expert Judgments

conventional-based

specifications;

deemed-to-satisty

provisions

Fig. 1 Conceptual Framework of Proposed Performance-Based Structural Provisions

270
structure

Model

Force

Vector

Displaced

Mode

he : equivalent height

A : horizontal displacement at equivalent height

Qb : base shear force

Hysteresis Dissipation

Energy in ForceDisplacement Curve

(a) Structure Model and Inelastic Response

Force-Displacement Curve

Displacement

Elastic Strain Energy

(b) Energy for Equivalent Damping Ratio

Response Displacement

Sd Spectrum according to

i Equivalent Damping Ratio

Response Acceleration

Spectrum according to

Equivalent Damping Ratio

Equivalent Natural Period

6r< limit displacement

Equivalent Natural Period

Ar< limit acceleration

(c) Comparison of Expected Response Values and Estimated Limit Values

Fig. 2 An Illustration of Proposed Verification Procedure for Major Seismic Events

271

I

REAL TIME INFORMATION

ACQUISITION and DISSEMINATION

273

The American Red Cross - Centers for Disease Control and Prevention

Health Impact Surveillance System for Natural Disasters

Enrique Paz-Argandona and Josephine Malilay^

ABSTRACT

Since 1987, the American Red Cross and the

Centers for Disease Control and Prevention have

collaborated on the Health Impact Surveillance

System for Disasters, which collects data on

morbidity and mortality related to disasters in the United States and its territories. We

describe the surveillance system and present an

analysis related to 104 disasters occurring from

1994 to 1996. Associated with these disasters were 426 fatalities, 9,846 cases of morbidity in the disaster-affected populations, and 2,752

cases of morbidity among 45,066 American Red

Cross personnel. Injuries were the most

frequent cause of death in 1994 and 1995,

whereas drowning were the most common in 1996. The percentage of disaster-related deaths

that were due to drowning increased from 32.9%

in 1994 to 52% in 1995; however, the

distribution of disaster types also changed. The

use of motor vehicles was heavily implicated in drowning deaths. Injuries and illnesses in the

disaster-affected population occurred with

greater frequency during the impact phase of

acute-onset disasters such as tornadoes and

hailstorms and during the post-impact phase of

floods and tropical cyclones. The estimated risk for morbidity among ARC staff members was

greatest for tropical cyclones. Illnesses exceeded injuries among ARC staff members for every disaster type except wildfires across the 3 study years. We recommend that prevention

efforts focus on preventing deaths by drowning

and those caused by motor vehicle-related

injuries.

KEYWORDS: earthquakes; epidemiology;

floods; hurricanes; natural disasters; public

health surveillance; tornadoes

I. INTRODUCTION

The public health importance of natural

disasters ~ defined as ecological disruptions

causing human, material, or environmental

losses that exceed the ability of the affected

community to cope using its own resources and

that often require outside assistance ~ have been

documented worldwide (1). During 1971 to 1995, approximately 141.5 million people

worldwide were killed, injured, made homeless,

or otherwise affected by an estimated 5,240

natural disaster events; economic damages were

estimated at $439.3 miUion (2). In the United

States, economic losses of $70 billion were

incurred from 15 major weather-related disasters

between August 1992 and January 1995.

Human vulnerability to natural disasters has

increased with population growth, increased

urbanization, and increased population

concentration in hazard-prone areas (3). The

post-disaster setting is often characterized by

deteriorating environmental conditions that can compromise sanitation and hygiene. The risks for increased mortality and morbidity are

potentiated by: 1) changes in pre-existing levels of disease, 2) ecological changes as a result of

the disaster, 3) population displacement, 4)

changes in population density, 5) disruption of

public utilities, and 6) interruption of basic

public health services. In addition, disasters

may also lead to an exacerbation of

psychological problems in the community, as the

1. Epidemiology Intelligence Service,

Epidemiology Program Office, Centers for Disease Control and Prevention, Atlanta,

Georgia 30333 USA

2. National Center for Environmental Health,

Centers for Disease Control and Prevention,

Atlanta, Georgia 30345 USA

by

275
normal routines of people are disrupted.

Common health hazards after disasters have

been 1) exacerbation of chronic illness; 2)

psychological effects; 3) a lack of food, water,

and shelter resulting from population

displacement; and 4) climatic exposure (4).

Responding to natural disasters in a timely and

appropriate manner requires epidemiologic tools that can rapidly provide information upon which

public health decisions may be made. These

tools may be used to control epidemics; monitor

rates of preventable deaths, illness, and injuries;

monitor health care needs among the affected

population; and identify appropriate

interventions.

A commonly used epidemiologic tool following a disaster is surveillance. Surveillance is the

ongoing and systematic collection, analysis, and

interpretation of outcome-specific data for use in planning, implementing and evaluating public

health practice (5). Data from surveillance

systems are used both to determine the need for public health action and to assess the

effectiveness of programs.

In the post-disaster setting, surveillance provides

information that can serve as the basis for action

during the immediate disaster and also for planning of future activities. Such information

is used to answer the following questions (6):

• What problems are occurring? Why are they occurring?

• Where are problems occurring?

• Who is affected?

• What problems are causing the greatest

morbidity and mortality?

• What problems are increasing or decreasing?

• What problems will subside on their own? When?

• What problems will increase if unattended?

• What relief resources are available?

• What relief activities are in progress?

• Are relief activities meeting relief needs?

• What additional information is needed

for decision-making?

Such systems for collecting the above

information must be flexible to changes in the

definitions of health outcomes; acceptable to users ofthe data; sensitive and specific for

capturing valid and reliable information; timely

in collection, analysis, and response; accurate,

representative, and ethical (7).

2. BACKGROUND

To improve the reporting of health events related to disasters ~ defined as any death, injury, or

illness occurring during the pre-impact, impact,

or post-impact phase of a disaster ~ the

American Red Cross (ARC) and the Centers for Disease Control and Prevention (CDC)

developed the Health Impact Surveillance

System for Natural Disasters (HISSD) under a memorandum of agreement in 1986. The

objectives of HISSD were:

• To estimate the magnitude of morbidity

and mortality associated with major

disasters in the United States and its territories.

• To characterize the impact of each

disaster type.

• To identify risk factors for disaster- related injury, ilbiess, or death among

disaster-affected populations.

• To monitor health and identify risk factors for injury and illness among

ARC personnel involved in relief operations.

• To stimulate epidemiological research

aimed at preventing or mitigating

morbidity and mortality associated with

disasters.

The role ofthe ARC in this surveillance system

is to determine the need for emergency and

preventive health services by documenting the

number of deaths, illnesses, and missing persons

related to a disaster event (defined as disasters

costing $50,000 or more for ARC operations).

The role of CDC is to analyze the data collected

276
by the ARC, to assess the adverse health effect of the disaster event, and to advise the ARC on

response and prevention.

From 1988 to 1993, the ARC summarized and

forwarded disaster-related morbidity and

mortahty statistics to CDC for compilation (8,

9). In 1996, CDC conducted a survey to assess

the usefiibiess of the system, improved collection

instruments, field-tested new forms, and

evaluated the flow of information from ARC

service centers and shelters, to its headquarters,

and finally to CDC (10, 11).

3. COMPONENTS AND OPERATION OF

THE SYSTEM

The population under surveillance is the entire population in the disaster area, who seek

assistance in ARC shelters or service centers,

including the ARC staff members who are paid

employees or volunteers for relief operations.

Information about deaths is population-based

and is collected by ARC volunteers and nurses who quer>' their clientele, local hospitals,

doctors' offices, medical examiners or coroners, and local authorities, such as sheriffs' offices. Information about injuries and ilbiesses is provided by the ARC health services based on

visits for these services. The flow of health

information is generated and processed in ARC

field disaster-relief facilities. From these field

facilities, the flow of the mortality and morbidity

data is traced through the field operations

headquarters to the ARC national office, and

finally to CDC (see Figure 1 .)

Such information is organized by year to mclude:

• The number of fatalities, injuries, and

illnesses per individual event.

• The number of fatalities, injuries, and

illnesses by type of disaster.

• The geographic location at which these

health conditions occurred.

• Demographic information on individual

clients, including decedents.

• Causes of injuries, illnesses, and

deaths.

• Descriptions of circumstances in which

individual cases of injuries, illnesses,

and deaths occurred.

• The number of ARC volunteers and

staff who are injured, ill, or die during

relief operations.

The results of the analysis are presented in a

preliminary report to the ARC and CDC. A

final report is subsequently produced and

disseminated to the disaster community (12).

The reports serve the following objectives:

• To recommend ways of preventing

deaths in fiature natural disasters based on the systematic description of past

events.

• To describe disaster-related morbidity in the disaster-affected population and

among ARC staff members.

• To provide the descriptive epidemiology

needed to generate hypotheses for

fiirther analytic studies.

• To evaluate the surveillance system's

performance for the years under study

and to recommend ways of improving

the system.

4. ANALYSES FROM THE

SURVEILLANCE SYSTEM

In this section, we present surveillance data from

the years 1994, 1995 and 1996.The number of

disaster events by natural hazard, state, and year

when the event occurred are shown in Figures 2-

4.

4.1 Mortality Results

4.1.1 Causes of death

A larger number and greater variety of disasters

occurred in 1995 and 1996 than in 1994, but

fewer fatalities were associated with these

disasters. The Northridge earthquake was

perhaps the most severe disaster of 1994 and

accounted for the largest number of fatalities. Injuries and drowning remained the leading

277
causes of death across the 3 study years.

Injuries were the leading cause of death in 1994

and 1995 and accounted for most of the deaths

associated with earthquakes and tornadoes.

Crushing injuries and unspecified multiple

injuries were the leading causes of death in all 3 years. Motor vehicle-related injuries may have

been under represented.

The proportion of deaths by drowning increased

across the study years, accounting for 32.9%,

43.4%, and 52.3% of all deaths in 1994, 1995,

and 1996, respectively. The use of a motor

vehicle was heavily implicated in disasters

associated with drowning, such as floods, flash

floods, and Tropical Storm Alberto. The results are consistent with the use of a motor vehicle

being a risk factor for death by drowning.

Whether these motor vehicle deaths were

entirely preventable is unknown, but at least eight of the deaths were known to have occurred

during floods when drivers ignored "road

closed" signs or when "road closed" signs were

not used properly. Other deaths by tree fall injuries and structural collapse of roadways

could have been prevented if drivers stayed off

roads during tropical cyclones and floods. These deaths point to the need for better communication of prevention messages.

Heart attacks were the third most fi-equent cause of death in the earthquake year, 1994, but were not as fi'equent in other disaster years

except during the clean-up phase of tropical

cyclones and floods in 1996. These findings

point to the need for hospitals to be ready to

treat patients who have heart attacks

precipitated by earthquakes, tropical cyclones, or floods. The proper operation of backup

electrical power in hospitals during and after an

earthquake is important in critical care facilities; three fatalities were associated with failure of

mechanical ventilators. Fires resulting from

candles and stoves being lit during power

outages were a preventable cause of death.

4.1.2 Demographic characteristics

During studied years, more men than women

have died fi-om disaster-related causes. The

number of deaths among men consistently

exceeded the number among women in every

phase of tropical cyclones, and male sex is a

risk factor for death during these events. It may

be that men are more likely than women to be

engaged in high-risk clean-up activities, such as

cutting tree limbs, or that men are more likely to engage in risk-taking behaviors that involve

motor vehicles. Men may also be more likely to be exposed to risks as a result of employment on power crews and other occupationally related

activities.

The consistent finding across 3 years that more

than half of deaths occurred in persons 60 years

or older during disasters indicated the greater

physical vuhierability of this population. The

results may demonstrate the need for preventive

messages, improved evacuation efforts, and an

identification of risk factors among older people.

4.1.3 Place of death and place of injury

For the 3 years studied, most deaths occurred

outdoors, in single-family homes, or in motor

vehicles. The distribution of place of injury was

not consistent over the 3 years, mainly because

the data were skewed by the 1994 Northridge

earthquake, in which fatal injuries occurred

mainly in multi-family dwellings, and by a

church roof collapse in the same year, in which

a number of fatal injuries also occurred.

The two fatalities among ARC staff members

were due to cardiovascular events. Further

circumstances are unknown; the deaths may

have been brought on by the physical activity

associated with disaster relief.

4.2 Morbidity Results

Morbidity occurred more fi-equently during the

post-impact phase of floods and tropical

cyclones than during the impact phase, a pattern

also noted in previous years (8, 9). In contrast,

in disasters with sudden acute onset, such as tornadoes, morbidity was more likely to occur

during the impact phase. Our finding that

278
illnesses were more common than injuries

among field personnel may be somewhat usefiil in planning health assistance to staff members,

but further study of disaster-related morbidity is necessary'.

5. DISCUSSION

The ARC-CDC Health Impact Surveillance

System is the only known surveillance system in the U.S. that systematically collects morbidity

and mortality data related specifically to natural

and technological disasters. As the nation's

designated relief agency, the ARC is in a unique

position to collect data as disaster-relief

operations are conducted. The surveillance

information helps the ARC to target resources

for future disaster assistance, and it helps CDC,

as the nation's prevention agency, to better focus prevention efforts. The system also

collects valuable information on the

circumstances of each case of illness, injury, or death among personnel specifically trained in disaster relief

Like most surveillance systems, the ARC-CDC

Health Impact Surveillance System has

limitations that analysts should keep in mind

when interpreting the data. For example, as with most surveillance systems, a number of

limitations arose with interpretation of the data. Whereas the difference between disaster

categories such as "earthquake" and "tornado"is straightforward, the difference between others,

such as floods vs flash flood, may be more

difficult to distinguish. There also may be

additional floods with tornadoes that were not

characterized as such. Because of this lack of

standard definitions for disaster types, the

analysis of mortality and morbidity within

disaster types is most useful for those categories

that are clearly distinct fi^om one another, such

as earthquakes and hurricanes.

Another limitation is that the accuracy of

whether a fatality was truly disaster-related was

a fiinction of how well the circumstances of the

fatality were described. Responses varied

widely from a few words ( e.g., "died by

drowning") to detailed descriptions providing all circumstances, including the date, time, and

location of death, and details regarding events

leading up to the death. Some deaths recorded

by the system and included in the analysis were

probably not actually disaster-related, and

other deaths may have been indirectly related to disasters even though they are not classified as such because of a lack of detail provided.

Particularly suspect are deaths by chronic

disease processes or because of pre-existing

medical conditions, which may or may not have

occurred in the absence of the disaster.

As with disaster-relatedness, the determination

of whether a death occurred before or after impact or whether it was related to a secondary

disaster was largely a function of the level of

detail provided in the form. As a result, there

may be significant under reporting of deaths

related to a secondary disaster and of deaths

occurring during the pre- and post-impact

periods, as well as an over estimate of the

number of deaths that occurred during the

impact phase.

A fourth limitation is that even though the

system asks that the cause of death be

ascertained from the death certificates of the

victims, many fatality forms list the information source as nonmedical, such as the police or a

family member. Furthermore, many deaths are

listed with a circumstantial rather than a medical

cause, such as "car accident." Conversely,

injuries sustained in car accidents may not be

noted as such, and there is likely to be some

overlap between the injury and the motor vehicle

categories. The causes of death presented in this report should therefore be interpreted as broad

categories describing a general circumstance of

death rather than specific physiological events.

The consistent difficulties with morbidity reports

described above, have led to the development of

a new form on which to report morbidity. This

form provides information individually rather

than as an aggregate tally. The new form will improve the quality of data by providing preexisting categories of injuries and illnesses, as

279
well as by prompting for the location, time, and

circumstances of the injuries. After 1997, the

year in which this form was first implemented, an improved analysis of the morbidity

associated with disasters will be possible.

6. RECOMMENDATIONS FOR THE

PREVENTION OF DISASTER-RELATED

MORTALITY AND MORBIDITY

In addition to pointing to the need for improved

weather forecasting and for dissemination of

weather information to at-risk populations, the

above analysis indicates that the following could

help reduce disaster-related mortality and

morbidity in disaster-affected communities.

• Make the avoidance of deaths in motor

vehicles during flooding or heavy rains a major focus of prevention efforts. The

National Weather Service,

meteorologists, and local emergency

management authorities should

coordinate their announcement of

warnings and establish safe detour

routes in communities affected by

severe flooding. During a flood watch,

for example, public advisories should be

broadcast to caution people to observe

existing barricades and avoid routes that

authorities have declared unsafe.

Moreover, people in cars should be

advised not to attempt to outrun the

flood, but to seek shelter in a nearby

pubhc building.

• Make the prevention of deaths and

injuries following the impact of a

tropical cyclone a major focus of

disaster-related health education.

Health education should emphasize

tree-cutting safety, power-line safety,

the avoidance of candles as a light

supply following power outages, and

the proper use and ventilation of

generators.

major focus of prevention efforts. In educational campaigns, people in the

community should be encouraged to keep in touch as much as possible with

elderly neighbors and family members

over the course of a disaster so that

they can provide assistance when

necessary.

• Focus disaster-response plans for acute- onset disasters on mass-casualty

preparedness and the immediate care of

victims under disaster conditions (e.g.,

search and rescue, triage, and

transportation). Large numbers of

casualties may be expected during the

impact phase of tornadoes and

earthquakes. The hospital deaths

associated with power loss following the

Northridge earthquake demonstrate the

need for constant vigilance.

7. CONCLUSIONS

The Health Impact Surveillance System for Disasters provides a basis for case definitions of

injuries and illnesses associated with disasters; documents disaster-related mortality and

morbidity; and provides data with which to perform cost analyses. Further improvements

include a revision of the ARC's data collection

training manual and in procedures used by with

ARC staff, implementation of standardized case

definitions for injuries and illnesses under

International Classification of Diseases-9

coding, computerization ofthe ARC field collection, and the Centers for Disease Control

collaboration with the ARC to gather

information from emergency rooms and other

health providers in disaster sites.

8. REFERENCES

1. Gunn SWA. Multilingual dictionary of

disaster medicine and international

relief. Dordrecht, The Netherlands;

Kluwer Academic Pubhshers, 1990.

Make the avoidance of deaths and

injuries among people 60 and over a 2. International Federation of Red Cross

280
and Red Crescent Societies. World

disasters report 1997. Oxford, UK:

Oxford University Press, 1997.

3. U.S. Federal Subcommittee on Natural

Disaster Reduction (SNDR). Natural

disaster reduction: a plan for the nation.

Washington, DC: SNDR 1996.

4. Western KA. Epidemiologic

surveillance after natural disaster. Scientific Publication No. 420.

Washington, DC: Pan American Health

Organization, 1982.

5. Thacker SB, Berkehnan RL. Public

health surveillance in the United States. Epidemiol Rev 1988;10:164-90.

6. Sidel VW, Onel E, Geiger HJ, Leaning

J, Foege WH. Public health responses

to natural and human-made disasters.

In: Maxcy, Rosenau, Last, eds. Public

Health & Preventive Medicine, 13**^ ed. CT: Appleton & Lange, 1992: 1 173-86.

7. Centers for Disease Control and

Prevention. Guidelines for evaluating

surveillance systems. MMWR Morb

Mortal Wkly Rep 1988;37, No. S-5.

8. Duclos P. American Red Cross disaster

database collaborative project:

surveillance system for natural disasters

using American Red Cross records.

Atlanta, GA: Centers for Disease

Control and Prevention, 1988.

9. Quenemoen L. Evaluation of the health

impact surveillance system for disasters. Atlanta, GA: Centers for Disease

Control and Prevention, 1993.

10. Fiedler L, Malilay J. A formative

evaluation of the health impact

surveillance for natural disasters. A

report to the American Red Cross.

Atlanta, GA: National Center for Environmental Health, Centers for

Disease Control and Prevention, 1996.

IL Paz E, Gorjaric M, Gunderson E. A

field evaluation of the health impact

surveillance for disasters. A report to the American Red Cross. Atlanta GA:

National Center for Environmental

Health, Centers for Disease Control and

Prevention, 1996.

12. Paz E, Hall SA, MaHlay J. American

Red Cross—Centers for Disease Control

and Prevention health impact

surveillance system for disasters. A

report to the American Red Cross for years 1994, 1995, 1996. Atlanta, GA:

National Center for Environmental

Health, Centers for Disease Control and

Prevention, 1997.

281



Figure 1. Flow Chart of Client and Health Information in Disaster Relief Operations,

American Red Cross - CDC Health Impact Surveillance Systems for Natural Disasters

Morgue

ARC

Facility

Service

Family

Services

ARC Staff

Shelter

Registration

Health

Services

Nurse

.Referrals.

''^Counts^

'

Health

Services

ARC Field

Headquarters

Records Mortality

and Info Reports

T

^ National

Headquarters

other Information

Sources

(Sheriffs, Media, Etc.

CDC

t

Key

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- Client Movement

ARC

Form ARC / other

entity

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285
Development of the Disaster Information System(DIS/Earthquakes)

by

Kazuo Okayama'', Takaharii Kiriyama^', Seishi Yabiiuchi^'

ABSTRACT

Utilizing the experiences oF the Great HanshinAwaji Harthquake, the National Land Agency has

been piomoting the development of the Disastei

Infoimation System (DIS/Karthquakes) which uses

the Geographic Information System (GIS). This

system is expected to provide quick and appropriate

decision making in all three phases, "preparation",

"'emergency measures" and "recovery/rehabilitation".

Since April 1996, the National Land Agency has

been opcratit)g the Early Estimation Systetn

which automatically estimates the scale of flamage

causcti by an caithquakc using the very limitetl

inforn)atioii available immediately after an

earthquake occurs. 'Junently, the agency is

pursuing the development of an [*mergency

Measures Support System (EMS), which will

consolidate and share infonnation through the

constniction of an on-line network linked with other

disaster-prevention organizations, and utilize such

information in support of emergency measures such

as rescue and medical care, emergency

transportation, evacuation, lifelines, and volunteers..

Key Words : Disaster Prevention Information

Geographic Information System(GIS),

Early Estimation ofDamage

i Support ofEmergency Measure

1 OVERALL GONCEPT AND STATUS OF

DEVELOPMEN T OF THE DIS

L] Background

The (}reat Hanshin-Awaji Earthquake, which

occurred right under the city of Kobe on January 1 7,

1995, again showed the importance of rapid

response activities by the national government,

particularly the importance of estimating damage

immediately after an earthquake.

If organizations concerned with disaster prevention,

have numerical map and geogiaphical location data

and a system that combines this data for quick and

efficient application, they should be able to quickly

detemiine the state of damage, and support rescue

and recovery activities quickly and effectively.

The difficulty encountered in collecting appropriate

infonnation after the Great Hanshin-Awaji

Earthquake reemphasized the importance of

information. How to collect, put in order and

analyze information efficiently have become major

factors in recognizing the necessity of building a new system.

1)Director, Earthquake Disaster Countermeasures

Division, Disaster Prevention Bureau, National Land

Agency, 1-2-2 Kasumigaseki Chiyoda-ward, 100 Japan,

2)Deputy Director, 3)Former Deputy Director

286
The new basic plan of disaster prevention which was amended in July 1995 considers the importance

of information in the following three stages:

prevention, emergency measures and

recovery/rehabilitation. It shall promote the

construction of geographic information systems to

support the realization of disaster-preventive

measures.. It also states that the on-line database

network, shall be construct.

Based on this experience, the National Land Agency

has been promoting preparation of a Disaster

Information System by utilizing Geographic

Information System (GIS) that manages information on topography, ground conditions, population,

building stock, disaster response facilities, etc.,

connected to digital maps on a computer.

1 .2 Overall concept

In order to develop the DIS, the National Land

Agency is examining ways in which the Geographic

Information System (GIS) is being used/utilized

domestically and abroad in relation to disaster

prevention. It has established committees and

coordinating groups composed of academic experts on disaster prevention and systems development,

and of persons from related agencies, incorporating

the views of such groups into its development of the

system.

As shown in Figure 1, the DIS focuses on three

stages of an earthquake disaster. They are emergency period, recovery/rehabilitation period,

and preparation period for the next disaster. This

system is expected to effectively support quick and

appropriate decision making by the organizations

concerned.

The DIS includes plans for the preparation of a "Map and Disaster Prevention Information Data

Base" containing map data and other information

relating to government agencies, public facilities,

roads, disaster prevention facilities, etc. Through a

network, the system will tie in such information as

post-earthquake damage, the status of emergency

measures, and the state of reconstruction of public

facilities, lifelines, etc. to digitalized maps on the

computer.

As part of its effort to support post-disaster

responses, the agency is also developing an Early

Estimation System (EES), which aims to provide

approximate estimates of the scale of damage in the

immediate aftermath of a disaster, under conditions

of limited information; and an Emergency Measures

Support System (EMS), which aims to support a

variety ofemergency measures (details to follow).

As time passes, recovery/rehabilitation measures become more important, and here comes the

Recovery/Rehabilitation Measures Support System,

which provides information to support the

establishment of recovery and rehabilitation plans at

various levels, and to help manage their progress.

While the above deals with responses after a disaster,

the agency is also considering utilizing its resources

at the stage of "preparations for disaster." Such

resources include its Map and Disaster Prevention

287
Information Data Base, which has accumulated over

the course of developing the systems, and the knowhow that the agency has developed in the past,

including its methods of estimating earthquake

damage.

By utilizing data bases that have been developed

beforehand, the Earthquake Damage Estimation

System estimates damage caused by hypothetical

earthquakes, and, on the basis of such estimates,

supports efforts to propose disaster-prevention and

emergency-response measures. The Support

System for the Improvement and Planning of

Earthquake-related Disaster Prevention Facilities

estimates the number of disaster prevention facilities

needed, assists in the selection of possible sites, and

forecasts the impact that such facilities would have,

thus supporting the planning of appropriate

earthquake-related disaster prevention facilities.

1 .3 Status of development

The National Land Agency has been working on the

development of such systems since fiscal 1995.

For its Map and Disaster Prevention Information

Data Base, it has developed digital maps on a scale

of 1/25,000 and 1/2,500, and, as shown in Table 1,

has prepared data linked to these maps on natural

conditions, such as topography and geology, social

conditions such as population, public works

facilities, lifelines and disaster prevention facilities.

With regard to its comprehensive systems, the

agency has been operating the EES since April 1996,

and is currently pursuing the development of the

EMS, which will create a network linking various

disaster prevention-related agencies, and will

consolidate, organize and analyze the information

provided by such agencies in support of emergency

measures.

2. THE EARLY ESTIMATION SYSTEM (EES)

2 . 1 The aims of EES development

The EES provides quick estimates of the

approximate scale of damage caused by an

earthquake under conditions of limited information

immediately after the disaster. The system has

been designed to provide information that will

contribute to prompt and appropriate judgments

relating to emergency measures.

In Japan, past records on earthquakes and

earthquake damage are available, making it possible,

to a certain extent, to organize a coherent picture of

the relationship between earthquakes and the damage caused by them in different areas. By

applying to such records analytical methods newly

obtained in recent years, it has become possible to

estimate injury and loss of human life resulting from

buildings that are destroyed by earthquakes.

The EES is equipped with forecasting tools that

utilize such know-how, as well as with a data base

containing information on topography, ground

conditions, buildings, population, etc. for the entire

country. The system is also characterized by its

ability to receive in real time data from

288
seismographs installed in approximately 1200

locations around the country by both the

Meteorological Agency and local governments, and

to use such data on seismic intensity in its estimates. The EES is also connected to the Meteorological

Agency's Comprehensive Observation System for

Seismological Activity, which enables it to

immediately use seismic data that has been collected

by the Meteorological Agency. Based on this data,

the system estimates the distribution of seismic

intensity for each mesh (approximately 1 square km)

in the country, and the damage to buildings and the

casualties due to building damage (Figure 2).

2.2 Verification of estimates and results of system

operation

hi a simulated response to the Great Hanshin-Awaji

Earthquake, the system produced estimates within

roughly five minutes of its receipt of data fi"om the

Meteorological Agency. The system's estimate was that the earthquake destroyed approximately

100,000 buildings, and that damage resulted in

casualties (deaths) to about 4,000 people. Thus, it was generally capable of assessing the scale of

earthquake damage immediately after the disaster

struck.

From the time the system went into operation in

April 1996 through the end of March 1998, it has

recorded 69 earthquakes with seismic intensities

above 4, of which five have registered readings

higher than 5. hi the largest of these earthquakes,

which occurred on May 13, 1997 in the Satsuma

region of Kagoshima Prefecture, the system

recorded a maximum seismic intensity of "weak 6,"

and estimated destruction to 832 buildings and

resultant human casualties (deaths) of 15 (Figure 3). Although this exceeded the actually reported

damage of 77 buildings totally or partially destroyed

and one person seriously injured, it roughly

expressed the scale of the largest earthquake disaster of the past two years. Because the system tends to

estimate on the high side for earthquakes ofthis size,

there is a need to consider making further

improvements hereafter. However, when

assessments of damage based on reports from the

scene require time, the system permits a quick, albeit

rough, grasp of the scale of damage caused by an

earthquake, and in this way has contributed

substantially to the material available for the government to make judgements on initial response

activities.

Since September 1997, as a result of having added new forecasting categories, including the number of

persons seriously injured, the number in critical

condition, and the number evacuated, the system's

information is being used by related agencies in

preparing emergency response activities. Hereafter,

the agency plans to encourage the use of the system

for speedier launches of response activity, and as

preliminary information for the EMS, which is now

under development.

3 . THE EMERGENCY MEASURES SUPPORT

SYSTEM (EMS)

3 . 1 The aims ofthe EMS development

289
The EMS establishes a mechanism for organizing

and sharing information through the GIS on damage

sustained in a disaster and on the status of

preparations and actions relating to various

emergency measures. This is information that must be shared, and which the system provides by

organizing information that is available from related

agencies, and other information required for the

adoption of emergency measures. The system

constructs a data network that links related agencies

through use of data processing and

telecommunications methods.

Under the EMS, the agency will develop a system

that takes such shared information and generates

from it usefijl, value-added information that can be

utilized in the formulation of emergency measures,

ranging from rescue and medical care to emergency

transportation, evacuation, lifelines, and volunteerrelated activities.

3.2 The construction of networks linked with

related agencies

By constructing an on-line network that ties the DIS

to the various disaster-prevention information

systems owned by related agencies, it will become

possible to share data bases and to exchange

information among related agencies. With ample

consideration given to needs for safety during

disasters, the agency will utilize the Central Disaster

Prevention Radio Network as its means of

telecommunications, a system being developed to

link related agencies.

By overlapping onto digitalized maps information

gathered from related agencies and previously

established data bases of disaster prevention-related

information, and, moreover, by organizing such

information onto reports and providing it to related

agencies as effective, added-value information

aiding various emergency measures, the EMS

fosters the following kinds of objectives and makes

it possible for the government to execute prompt and

appropriate emergency measures , together.(Figure

4):

• the sharing ofvarious kinds of information;

• coordination with related agencies;

• greater efficiency in analyzing and organizing

data.

3 .3 Applications ofthe EMS

The EMS will be systematically developed with a

focus on the following kinds of applications, which

consolidate onto the GIS the information and

knowledge that has been gathered regarding the emergency measures that will be required

immediately after earthquakes.

* Support system for rescue and medical care To support the dispatching of rescue and

emergency medical teams, the fransporting of

injured or sick persons outside the disaster area,

and the transporting of medical supplies, etc.

* Support system for emergency transportation

To support emergency transportation activity

290
for food, water and other material.

* Support system for evacuation

To support evacuation measures, such as the

appropriate accommodation of large numbers

of evacuees during extensive disasters.

* Support system for lifelines To support the utility industry and others in

their efforts, so as to foster the effective and

concentrated restoration of lifeline functions.

* Support system for volunteers

To support an efficient and appropriate

deployment of volunteers.

These systems are being methodically developed,

beginning with those for which mechanisms of

information distribution etc. have been established.

4. FUTURE OUTLOOK

In this way, the DIS is being built through the

methodical development of systems appropriate for

each stage. To utilize the DIS even more

effectively, however, there is a need to reinforce its

ability to distribute information—to coordinate with

related agencies and the media, to release public

information to businesses, residents, etc.—and to

dynamically introduce new technologies.

First, in terms of strengthening coordination with

related agencies, there is the need to go beyond the

establishment of mechanisms for the sharing of

disaster prevention information during disasters, and

to work toward increased coordination aimed at

enhancing the sharing and maintenance of

information during ordinary times as well. There

is also the need to foster use of data bases in

everyday operations and to use the system in

training activity and in programs aimed at

' developing disaster-prevention specialists.

Moreover, as a step toward closer coordination with

local governments, the further sharing of data bases

should be encouraged between such govemments

and the departments and bureaus possessing map

information and data bases on houses etc.

By appropriately providing businesses, residents and

others with information organized according to

objectives of utilization, the effectiveness of disaster

prevention measures is strengthened. Conversely,

it would also be possible to consider a system of

information gathering that utilizes the Internet and

other means to collect such information from

businesses and residents.

Among the new technologies that will be considered

as a part of fostering more sophisticated uses of the DIS are those aimed at securing methods of data

transmission, including the Central Disaster

Prevention Radio Network, the telecommunications

systems of other agencies, satellite

telecommunications, the Internet, and so on.

Among the possible methods of gathering

information from disaster areas is the utilization of

remote sensing technology which would allow the

assessment of scale of damage over wide areas and

mobile terminals. Mobile terminals can also be

291
utilized as a mechanism for providing appropriate

information from the DIS to disaster sites.

To supplement the development of the GIS data

base, efforts should be made to utilize the digital

maps and disaster-prevention information that are

being developed by the private sector, as well as

satellite photography. In addition, to foster more

sophisticated uses of the GIS, efforts to promote the

utilization of car navigation technology should be

considered.

Making the DIS easier to use is also an issue that

needs to be dealt with hereafter, and in this regard

efforts should be made to improve display methods

through such means as adopting three-dimensional

display technology, utilizing more versatile

visualization technology, and so on. Also, it will

be necessary to provide better methods of checking

the system and the disaster prevention structure and

of providing better ways of enhancing their

utilization.

While always considering systematic and

technological improvements, the agency will

develop the DIS in stages, coordinating its efforts more and more closely with other agencies. The

aim will be to develop a system that supports

disaster prevention measures that utilize information

in the most effective way possible.

292
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1 hour

1 day

1 week

Earthquake Damage Estimation System

f

Plan Preparation Support System for Earthquake

Disaster Prevention Facilities, etc.

Early Estimation System (EES)

r Emergency Measures Support System

a. Rescue/Medical Care

b. Transportation

c. Evacuation

d. Life lines

e. Volunteers

r Recovery/rehabilitation Support System

Figure 1 Composition of Disaster Information System (DIS /Earthquakes)

295
f

Manual input of \

V earthquake dataJ

^Meteorological Agency

Earthquake information

(Automatic activation)

Judgment for execution of damage estimation ^

W Estimation of earthquake motion distribution

Estimation of damaged buildings

Estimation of casualties

caused by building collapse

Display of

results

Data base

By Mesh

* Soil data * Topographic data * Building data * Population data

By Municipality * Building data * Population data

Figure 2 Flow of Earthquake Damage Estimation

296
Displayed Data : Seismic Intensity

Time : 14:38:00 13/05/1997

Epicenter •130° 18' 00" E 31° 54' 00" S Magnitude :M= 6.2

Depth of seismic ft n Urn

1 6. 5

' 0

6 + 6, 0

'- 6, 5 0 6- 5. 5

'- 6. 0 11

5 + 5. 0

'- 5. 5 159

4. 5

'- 5. 0 710

n 4 3. 5

'- 4. 5 4 3 8 2

Miyanojyo T. (5+)

Kagoshima C. (4)

Figure 3 The estimated result of distribution of seismic intensities in the case of the earthquake in the

Satsuma Region of Kagoshima Prefecture on May 13'^, 1997

297
Main EMS System

a. Preparation

b. Emergency measures

c. Recovery/rehabilitation

Map/Disaster Prevention

Information DB

Damage Information DB

Related agencies

Disaster Information System

Local Government

Disaster Information System

ure 4 System Image of EMS (Emergency Measures Support System)

298
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299
Recent FEMA Activities in Earttiquake Risk Analysis and Mitigation

by

Stuart Nishenko, Claire Drury and Jeff Milheizler^

ABSTRACT

The Federal Emergency Management

Agency (FEMA), in collaboration with

the National Institute of Building

Sciences (NIBS), released the HAZUS

earthquake loss estimation methodology

in 1997. This methodology assists state and local emergency managers in

estimating seismic risk to their

jurisdictions in order to focus planning

and mitigation strategies. The

methodology also provides the capabihty

to conduct post-earthquake loss

estimation for emergency response, and

provides a nationally consistent exposure

and inventory database to compare

seismic risk across multiple regions

throughout the United States. HAZUSrelated research and outreach activities are summarized, as well as plans for the

development and release of wind and

flood loss estimation modules.

KEYWORDS: earthquake

modeling; geographic information

systems; HAZUS; loss estimation;

mitigation; Project Impact.

1. INTRODUCTION

The recent Northridge, California and

Kobe, Japan earthquakes were wake up

calls for the earthquake community.

These events raised awareness about the

damage potential of a moderate-sized

earthquake striking close to an urban

center, and demonstrated that high risk

could be present in areas of low seismic

hazard. Many questions were raised

about the earthquake problem in the

United States - were seismic policies

focused on regions of high risk or high

hazard? Did cities like Boston or New

York have a high enough risk to experience a disaster like Kobe, despite

their low seismic hazard?

In the past, much of the perception of

the 'earthquake problem' was based on

an understanding of the earthquake

hazard - the location of faults, geology,

and the distribution of strong ground

motion in space and time - instead of

earthquake risk, which is a product of

the hazard, the population and building

exposure, and the vulnerability. Policy,

land use, and development decisions at the Federal, state, and local level are risk-based decisions and need

appropriate inputs. Areas of high

earthquake risk may not always be

coincident with areas of high earthquake

hazard.

Detailed information is available about

the earthquake hazard in different

regions of the United States through the

efforts of the US Geological Survey and

the National Earthquake Hazards

Program Policy and Assessment Branch, Program Assessment and Outreach Division, Mitigation

Directorate, Federal Emergency Management Agency, Washington DC 20472

300
Reduction Program. There are few

corresponding risk maps, however, that

could be used for risk-based earthquake

planning and mitigation. Most of the

general understanding about risk is restricted to property damage, insured

losses, and casualties related to specific

scenario events or regional probabilistic

loss studies (NRC,1989; NIBS, 1994).

Until recently, there was no nationally

consistent earthquake loss estimation

methodology for the United States. Without such a standardized technology,

it was infeasible to compare levels of

damage or losses between regions.

In support of the National Mitigation

Strategy, FEMA has developed a standardized earthquake loss estimation

methodology, HAZUS (Hazards United

States) that uses a nationally consistent

hazard, exposure, and inventory database

to estimate earthquake losses throughout

the United States. HAZUS provides

local, state, and regional emergency

management officials with the tools

necessary to plan and stimulate efforts to reduce risk fi^om earthquakes and to prepare for emergency response and

recovery following an earthquake.

HAZUS is built on an integrated

geographic information system (GIS)

platform that rapidly produces regional

profiles and estimates of earthquake loss. HAZUS is currently available in both

Maplnfo and ArcView versions. The

methodology has been tested against the

experience fi^om several past earthquakes

and against the judgment of experts, and

has been judged capable of producing

results that are credible for the intended

purpose. Additionally, a series of pilot

studies were conducted in Portland, OR

and Boston, MA. Detailed descriptions

of the HAZUS methodology can be

found in the HAZUS Users Manual and

Technical Manuals (NIBS, 1997a,b). A

series of articles in the special issue of

Earthquake Spectra on Loss Estimation

(Brookshire et al., 1997; Kircher et al., 1997a,b; Whitman et al., 1997) provide

additional information.

Jamieson and Milheizler (1997)

reviewed the development of the

HAZUS methodology and provided a

description of the individual modules

(Potential Earth Science Hazards,

Inventory, Direct Damage, Induced

Damage, Direct Loss, and Indirect Loss)

that comprise the HAZUS methodology.

This article summarizes research and

outreach activities in the United States

since the release of HAZUS in 1997 and

discusses plans for the development of

wind and flood loss modules.

2. CURRENT HAZUS ACTIVITIES

2.1 National Activities

2.1.1 Proj ect Impact

FEMA's Disaster Resistant Community

initiative. Project Impact, utilizes a 4-

step approach to creating safer

communities - forming partnerships,

assessing risk, prioritizing mitigation

needs, and communication with the

community. Examination of the

community's risk for natural disasters

and identification of its vulnerabilities to those risks are essential to successful

mitigation. HAZUS inventory data is being used for the analysis of several

different hazards, including earthquake,

flood, wind, and wildfire, to produce a Community Profile for Project Impact

communities. The HAZUS loss

301
estimation methodology is being used to estimate earthquake losses in areas with an earthquake risk. Two Project Impact

communities with significant exposure

to earthquakes are Oakland, CA and

Seattle, WA. The other hazards are being examined by overlaying the

HAZUS inventory with hazard layers

and using GIS capabilities to approximate exposure and potential

losses. These multi-hazard data layers

are available with HAZUS on

supplemental CD-ROM's. In addition,

FEMA plans to provide each Project

Impact community with HAZUS

software and assistance as needed to use HAZUS to conduct baseline earthquake

risk analyses to facilitate mitigation

planning.

2.1.2 Annualized Earthquake Loss

Since HAZUS is a standardized

methodology with a nationally consistent

inventory, it provides the perfect

platform to assess and compare seismic

risk across multiple regions throughout

the continental United States. This

analysis compares earthquake risk in

terms of average annualized losses

(AAL), which is the average loss over

different return periods, normalized

annually. These loss estimates help to compare the average level of risk

between regions. Risk management

decisions also need to account for the

exposure of the region in addition to the

absolute level of loss. A new index has

been developed, the annualized loss ratio

(ALR), which is the ratio of average

annual loss to exposure. This index

provides a measure of relative risk and

can be used to compare risk across

different geopolitical units such as census tracts, metropolitan areas, counties, or states.

2.1.3 Training

Regularly scheduled training classes

have been held at contractor facilities in

Menlo Park, CA and FEMA's National

Emergency Training Center in

Emmitsburg, MD. These classes provide

3 1/2 days of in-depth training on

HAZUS and GIS. In 1997 and 1998, over 100 users have been trained in

HAZUS. These users include

emergency managers, planners,

geologists, GIS analysts and others from

45 states, three territories, local

governments, the Red Cross, the three

regional earthquake consortia, and

FEMA personnel.

2.1.4 Technical Support

Technical support is being provided to HAZUS users via phone, fax, and e- mail. FEMA is also developing a HAZUS homepage, which will describe

current HAZUS developments and

applications nationwide, and provide a network for HAZUS users. The HAZUS

home page is located in the Mitigation

section of the FEMA Internet site

(http : //www. fema. gov).

2.2 Regional Activities

In addition to national scale studies,

HAZUS is being used by state and local

officials for earthquake response and

recovery planning, and to investigate

mitigation alternatives. Results of an

initial survey (Anagnos et al., 1998)

conducted after the first release of

HAZUS to state emergency managers

indicated at that time that users had

conducted analyses using the default

inventory data included with the

methodology. The survey also showed

302
that users are now beginning to undertake the task of refining existing

inventories and collecting more detailed

local data for incorporation into HAZUS

to improve loss estimates.

2.2.1 Western United States

Throughout California, the HAZUS

methodology is being used to estimate

levels of ground motion for specific fault

systems (e.g., the San Andreas Fault near Parkfield; the northern Hayward

Fault near Berkley, as well as the

Rodgers Creek and San Jacinto Faults).

These estimates have been used to develop emergency response plans and

to conduct response exercises in both

northern and southern California.

FEMA Region 9 is engaged in

developing a San Francisco Bay Area

HAZUS users group that would enable

widespread public and private sector

participation. The goal of this group is to improve preparedness for the next major

earthquake in the Bay area.

In the state of Washington, initial HAZUS projects in Seattle are focusing on transportation systems. Additionally, a volcano hazards database for Mt.

Rainier and other Cascades volcanoes is being developed for use with the

HAZUS inventory information to identify the exposure of communities to mudflows and other volcanic hazards.

Shortly after the release of HAZUS in

the spring of 1997, the Portland METRO

Emergency Planning Program used

HAZUS analysis and maps generated by

HAZUS to facilitate discussions of

earthquake hazard mitigation measures

at a workshop attended by

representatives of the business, utilities,

and public sectors of the cormnunity.

2.2.2 Central United States

In Kentucky, Alabama, Tennessee, and

Indiana efforts are underway, typically

'in cooperation with state university

systems, to refine the existing default

data and to incorporate inventory data

fi*om state and local sources.

Largely due to the efforts of the Central

United States Earthquake Consortium

(CUSEC), HAZUS has played a

significant role in the Southwestern

Indiana Disaster Recovery Business

Alliance and the Southwestern Indiana

Disaster Resistant Community Initiative.

Both groups are working to coordinate

and guide long-term planning and

implementation of regional efforts to reduce vulnerability to earthquakes,

floods, and other natural disasters. They

are developing a HAZUS demonstration

project that will emphasize training,

team building, data inventory, strategy

development, and program review at the

community level. The Central US

Earthquake Consortium is documenting

this demonstration project for the benefit

of other Central US communities.

2.2.3 Eastern United States

A compilation of detailed geologic

information is currently underway in the

New York City metropolitan area to better define seismic site response.

Additionally, inventory collection

programs are underway to upgrade the

default HAZUS inventory data and

prepare for the multi-hazard version of

HAZUS. The formation of the New

York City Metropolitan Area Loss

Reduction Consortium in 1998 will

303
provide technical assistance for the

development and implementation of

mitigation and loss reduction strategies.

The Northeast States Emergency

Consortium (NESEC) has developed an automated default Report Format to

assist in developing HAZUS reports at the state, county, and community level.

Vermont has been active in mapping

earthquake hazards in 'soft' soils and

will use this information to develop

appropriate mitigation activities in

vulnerable areas.

Additional inventory collection efforts are underway in New Hampshire, where

an innovative program is using

Americorps volunteers to collect site- specific, all-hazards inventory data for

incorporation into HAZUS.

North and South Carolina are working

with HAZUS to refme the default

inventory databases and are learning to use HAZUS products.

3 . FUTURE HAZUS ACTIVITIES

3.1 Multi-Hazard Loss Estimation

FEMA and NIBS are currently in the

process of expanding the capabilities of

HAZUS to make it a multi-hazard loss

estimation methodology. Flood and wind

loss modules are under development and

will be integrated into HAZUS in

approximately two years. Flood and

Wind committees were created to oversee the development of these two

modules. Each is comprised of members

with experience and expertise in the

flood and wind fields. Dr. Joseph

Minor, University of Missouri-Rolla,

chairs the nine-member Wind

committee; and Mr. Douglas Plasencia,

Kimley-Hom and Associates, chairs the

eleven-member Flood committee.

A key element in the development of

these modules is to have users provide

input throughout the process. Users'

Workshops are scheduled for both the

Flood and Wind Modules. These will be

attended by a wide variety of potential

users, including emergency managers,

floodplain managers, state and local

representatives, and others. The

outcome of these workshops will be a Users' Requirements Report that will be

furnished to the development contractor

to ensure that the end product meets the

needs of potential users.

2.3 International Loss Estimation

The United States-Japan Common

Agenda for Cooperation in the Global

Perspective has identified real-time

seismic information systems and

earthquake loss estimation

methodologies as topics for discussion at the 1'^ High-Level US - Japan

Earthquake Policy Cooperation Forum.

The creation of the Seismic Information

Systems Task Committee, as part of the

US-Japan Panel on Wind and Seismic

Effects, is an opportunity to foster

cooperation between US and Japanese

researchers and policy makers. The Task

Committee will provide technical

support to the Common Agenda, and

will act as a forum for identifying,

developing, and reviewing data systems

and methodologies involved with

seismic information systems, earthquake

loss estimation, geospatial and

topographic information systems, and

early seismic warning systems.

304
4. CONCLUSIONS

The introduction of HAZUS in the

United States has sparked interest and

activity in earthquake loss estimation at the Federal, state, and local level. Loss

estimation also provides a unique

opportunity for international

collaboration and partnership. Inquiries

about HAZUS and earthquake loss

estimation in general from China, Japan,

Latin America and Russia demonstrates

the common challenges that we all face

with respect to natural disasters and the

willingness to work together to create

safer communities for the future.

5. REFERENCES

Anagnos, T., Lawson, R. S., Schneider,

P., and Drury, C, 1998, Initial Problems and Successes in

Implementing the HAZUS Loss

Estimation Methodology Throughout

the United States, in Proc. 6th

National Conference Earthquake

Engineering, Seattle, WA.

Brookshire, D., Chang, S. E., Cochrane,

H., Olson, R., Rose, A., and Steenson,

J., 1997, Direct and Indirect

Economic Losses from Earthquake

Damage, Earthquake Spectra, 13,

683-701.

Jamieson, G., and Milheizler, J., 1997,

The Use of GIS in Loss Estimation

and Risk Assessment, Proc. 29"^ Joint

Meeting of the US-Japan Panel on Wind and Seismic Effects, UJNR,

May 13-16, 1997 Tsukuba, Japan.

Kircher, C, Nassar, A. A., Kustu, O.,

and Holmes, W., 1997a,

Development of Building Damage

Functions for Earthquake Loss

Estimation, Earthquake Spectra, 13,

663-682.

Kircher, C, Reitherman, R. K.,

Whitman, R. V., and Arnold, C,

1997b, Estimation of Earthquake

Losses to Buildings, Earthquake

Spectra, 13, 703-720.

National Institute of Building Sciences,

1997a, HAZUS Technical Manual, 3

vol., Washington DC

National Institute of Building Sciences,

1997b, HAZUS97 Users Manual,

Washington DC

National Institute of Building Sciences,

1994, Assessment of State-of-the Art

Earthquake Loss Estimation

Methodologies, FEMA 249,

Washington DC 300 pp.

National Research Council, 1989,

Estimating Losses from Future

Earthquakes, FEMA-177,

Washington DC 23 1 pp.

Whitman, R. V., Anagnos, T., Kircher,

C. A., Lagorio, H. J., Lawson, R. S.,

and Schneider, P., 1997,

Development of a National

Earthquake Loss Estimation

Methodology, Earthquake Spectra,

13, 643-661.

305
SEISMIC INFORMATION SYSTEM FOR CIVIL INFRASTRUCTURES

by

SUGITA Hideki NOZAKI Tomofumi'>

ABSTRACT

This paper describes comprehensive

image of the seismic information system (SIS).

Two points are included in the paper: i.g., a new

system architecture to realize SIS with

systematic control, possibility of extension and

the independence of the subsystems, and several

element technologies applicable to the

subsystems of SIS. The proposed concept does

not only concentrate on the technologies of the

supply-side, but also the philosophy and the

technologies that is "objective oriented." As the

counter-earthquake activity system is responsible many complex jobs at a time, and as

the information technologies is becoming highly

technical, the concept introduced here is very

much help for the personnel of the counter- earthquake activity system.

Key Words: Counter-earthquake activity system,

Information system, New technology

andphilosophy

1. INTRODUCTION

Since the Hyogo-ken Nanbu Earthquake, which revealed the necessity for quickly

monitoring damage, communicating information,

and making decisions, many organizations have

constructed various systems to deal with

earthquake information, which are listed in

Table 1-1 . Their principal functions are to:

1) monitor, collect, and adequately display

accelerograph measurements and data from

other organizations and systems

(observation and collection),

2) estimate the damage to facilities and injury

to people by the earthquake and consequent

fires, from the data collected {damage

estimation),

3) take emergency measures based on the data

collected, and the estimated damage, such

as immediate suspension of facility

functions and warnings to users {emergency

response support), and

4) support the decision making processes by

presenting instructions given in emergency

manuals and proposing optimum strategies

{counter-earthquake system support).

So far, most of these systems are developed for use within the organization.

Although each system remotely accelerographs,

collects and communicates information through

the network, and exchanges data between its submodules constructed for each function, it has

its own independent database. When users encounter the occasion to exchange data

between systems, they must conduct a series of

complicated operations and must know the

1) Head, Earthquake Disaster Prevention Technology

Division, Earthquaice Disaster Prevention Research

Center, Public Works Research Institute, Ministry of

Construction, Tsukuba, Ibaraki, 305-0804 Japan

2) Senior Research Engineer, ditto

306
methods for operating the systems, which may

differ by system. As such information systems

usualK use common earthquake motion

measurements, ground condition and facilit\'

data, we should investigate methods for sharing such data without losing the

possibilities for extension and /

independence of each system.

2. CONVENTIONAL APPROACHES

FOR CONSTRUCTING SEISMIC

INFORMATION SYSTEMS AND

BREAKTHROUGH

2.1 Top-Down Approach

Most seismic information

systems have been constructed with a top-down approach. For example, a system that 1) collects ground motion

data, 2) estimates human casualties and

fire occurrence from the data, and c)

suggests the actions necessary' for preventing damage is designed to include all these fiinctions in one host

machine as shown in Figure 2.1. Although it is possible to supplement

functions to the system later, the topdown approach fiindamentally creates

the image of an entire system first. Hence, the top-down approach has

disadvantages such as

1) a system does not operate until the

whole system is completed,

2) it is difficult to renew the system,

since a slight change may largely

affect the entire system (thus such

systems easily become obsolete),

and

3) all users within an organization

must fully know the provided

operation method.

2.2 Bottom-up Approach

A new movement is occurring in the

Given Huge Comprehensive System

Interface

(^User^ (^User^ User

Figure 2.1 Top-down Approach

Figure 2.2 Disadvantage of Top-down

307
2.3 Breakthrough

The top-down approach

constructs systems that share data and

functions but are not flexible or free. On the other hand, the bottom-up

approach constructs systems that are easy to add new functions and to access

but may not be using common data.

construction of information systems along with

the recent development and diffusion of

information network technologies, such as the

internet. In the WWW, for example, each

terminal freely constructs a server according to a minimum set of integrated rules including the

TCP/IP protocol, and communicates information

to many and unspecified clients. Such a state forms a contrast to the above top-down

approach in terms of flexibility and

possibilities of extension of each

function of servers. This construction

method is called the bottom-up

approach.

With the bottom-up approach,

it is possible to construct a database and

run an application on one server as its administrator hopes. Other persons can use the same system by using a browser or other similar software.

When the administrator needs a new

function, he/she only either adds the

desired function to the server or supplements a new server. In this

situation, there is no need for considering other users. However,

systems constructed with the bottom-up

approach are inappropriate for systematic activities since servers usually use different functions and data

independently.

These two approaches are both extremes of

system construction (or system formation). By

integrating the advantages and characteristics of

both, a new and more efficient method for constructing seismic information systems (SIS)

may be developed. The ideas are summarized

as follows:

1) It clarifies the minimum set of information

Arbitrarily Participating Systems

with Isolated Data Formats

Software

Collection

Software

Database

Software

Estimation

"1

Common Protocol

Common Language

I

Browser

Clients to "Browse " Each Server

Figure 2.3 Bottom-up Approach

Server A Server B

ID "0123" Name "XX Bridge"

Location "Lat,, Long." Type "Steel Girder" Damage "Severe"

Server C

Name "XX Bridge" Damage TV Image

Name "XX"

Damage "Rank-A"

Type Image

Server D

Name "XX Bridge" ID "R50-035" Damage "Collapse"

Order of Items? Contents? Format of Data?

Figure 2.4 Disadvantage of Bottom-up

308
that is needed for each level of an

organization. The information that is open

to a level is also open to lower levels {data

sharing).

2) All divisions that have acquired permission can operate or refer to outputs of SIS with

shared data (function sharing).

3) A certain level of an organization can supplement its own data and

function to the SIS {system

flexibility).

To actualize these ideas,

integrated methods should be

developed and organized for sharing

data and functions in different levels of

an organization. The recent diffusion of

network technologies has spread

common protocols and software such as

http and Java applets. However, more

precise data items and format

definitions must be defined for using a

large amount of data and functions

needed for systematic counter- earthquake activities. The following

alternatives may be adopted for sharing

data and functions:

1) An entire organization uses one

database and the same application

software.

2) All databases are constructed with

a single format (schema).

3) All databases contain at least a minimum set of data items, which

make users possible to use the data

by converting them with simple

application software.

To make data accessible to all

users, all organizations that use the SIS

must clearly understand their duties

concerning counter-earthquake

measures and make lists of necessary

information. Although such operations are labor

consuming for the organizations, the initial cost

in terms of money, time, and labor is sure to be

well spent in constructing a more

comprehensive, flexible, and organized system.

Incidentally, Geographical Information Systems

(GIS), which display collected data and

Comprehensive, Rough Information

for HQ's Operation That Suites HQ

Summarized Information of Each Bureau Operation That Suites Regional Bureau

°JDII

Local. Detailed Information of Each Site Operation That Suites Each Work Office

Figure 2.5 Data/Function Sharing

Database

Supply of

Require

Supply of Required Data

Supply of Numerical Result •Operation Request

•Result Display •Map Location

Clieni

Figure 2.6 Breakthrough Technology

309
Table 2.1 A&D of Respective Approach

Top-down Bottom-up Breakthrough

Development/ Imp rovement Speed

slow rapid comparat i ve 1

y

rap i d Poss i b i 1 i ty of Extens i on

sma 1 1 large comparatively

1 arge Independence of

Subsystems

Almost none Almost

i ndependent

1 ndependent

under some contro

Physical Cost

in Development

Qu i te much Sma 1 1 Not much

Labor Cost

Large when

study i ng manipulation

Responsibi 1 ity

of each server

admi n i strator

Initial

coord i nat i on

is required

Uniformity of Data SecuredDifficult to estab 1 i sh Secured when

necessary

Systemat i c Development and

use Strict Chaot i c Pract i ca

estimations on maps, will be independent from

the collecting and estimating procedures. In

the approach introduced here, data interfaces can

be jointly used even when GIS applications/data

are different. The advantages and the disadvantages

are summarized on Table 2.1. According to this,

strict coherence of the top-down approach, the

incoherence of the bottom-up approach and the

advantages of the proposed approach against

others are clearly depicted.

3. FUNCTIONS, TECHNOLOGIES,

APPLICATIONS OF SEISMIC

INFORMATION SYSTEMS

3.1 Functions to be Included in

Seismic Information Systems

This section summarizes

functions to be included in SIS of

organizations that administer civil

infrastructures, such as the Ministry of

Construction. The following functions

are proposed to be included in SIS.

(a) Evaluation of counter-earthquake

AND

GUl/GSI

projects

SIS should help determine the priority

of reinforcing projects, based on their

influence over emergency activities and

economic damage.

(b) Evaluation of counter-earthquake

activity systems

SIS should help evaluate the speed and

accuracy for collecting and

communicating information of counter- earthquake activity systems.

(c) Monitoring. collection and

estimation of earthquake data

SIS should collect characteristic values

and wave data that are monitored and

calculated by accelerographs and should

estimate epicenters, etc.

(d) Support of anti-seismic activities SIS should spontaneously inform of earthquakes,

display manuals for emergency activities.

(e) Detection of facility damage

SIS should directly detect and communicate

damage to public facilities by censors and so on.

(f) Real-time estimation of damage

SIS should quickly estimate the damage to

facilities based on earthquake information and

ground and structure data.

(g) Collection of inspection data

Pre-earthquake Project Assessment —

Earthquake Countermeasure System Efficiency Assessment DB

Earthquake Monitoring & Estimation

Earthquake Countermeasure Support — DB

Facility Damage Detection and Collection

Real-time Damage Estimation —

Inspection Data Collection

DB

DB

DB

DB

DB

DB

DB

Common

DB

Figure 3.1 Functions of SIS

310
SIS should record and communicate actual

inspection data collected at the sites.

(h) Display of maps, images, and animated

pictures

SIS should have the interfaces to refer and input

information appropriately.

(i) Communication of information

(sound, images, animated pictures, and

data^

SIS should transmit data through public

and private telephone lines, facsimiles,

internets, intranets, extranets, etc. The following sections outline

several technologies and systems that the Public Works Research Institute (PWRI) is developing. These

fiinctions, which are now independently

studied, may be integrated into subsystems by coordinating data and by

refining each function.

the category (f) 'real-time estimation of damage.'

Example displays of the system for maximum

acceleration, estimated liquefaction risk, and

estimated damage to facilities are shown in Figures 3.2 to 3.4. The system is also installed with a multiple-address device, which

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3.2 Accelerograph Network and

Urgent Damage Estimation

System

The Ministry of Construction

has installed approximately 800 online

accelerographs throughout Japan

(accelerograph network) to help urgent

inspection of its facilities, such as highways and river facilities, after earthquakes. This accelerograph \' network falls in the category (c)

'monitoring and collection of

earthquake data' of Section 3.1. PWRI

collects seismic information

experimentally from approximately 100

accelerographs in the Kanto Area, and

is developing a system for estimating

liquefaction risks and bridge damage in

this area. This system corresponds to

Figure 3.2 Estimation of Max. Acc.

iMwD itTH^ mnvo T-^to sw-i*c) -lol"!

Figure 3.3 Estimation of Liquefaction Risk

311
jt/mp «to^i t»rt<a) r-iisii «+fi*c»

Figure 3.4 Estimation of Facility Damage

Elhernet 10Mbps

Seismograph Network

Figure 3.5 System Architecture

immediately and automatically dials all numbers

registered when an earthquake occurs. This

device corresponds to the category (d) 'support

of anti-seismic activities.' A connection and

operation diagram of the system is shown in Figure 3.5.The characteristic values of earthquake

motion (e.x., maximum acceleration and SI values) are transmitted from accelerographs

immediately after the earthquake occurs and are recorded in files within a communication server. The urgent damage estimation system calculates

liquefaction risks and facility damage levels based on these numerical files as well as ground

312
and facility information collected in advance.

The system also contains map data and can

display the collected seismic data and the results of calculation on maps.

3.3 Earthquake Assessment System for

Socioeconomic Effect (EASSE)

The earthquake assessment system for socioeconomic effect (EASSE) calculates

quantitatively the mid-term and long-term

economic losses by damage to transportation

facilities, such as highways and railways. The

Damage on highway faculties Damage on production facilities Normal

Conditions

Highway Network

data

Socioeconomic

data

Assumed

damage

before earthquake

Feedback

Planning

Initialization Execution

Planner ^ Restoration

Priority of countermeasure

irifiuerices economic effect

Time history of economic effect

Figure 3.6 Idea of EASSE

Figure 3.7 EASSE Display

313
L

Transportation Data

Traffic Estimation Part 7 L

Traffic Analysis

I

Transport Time"^

Socioeconom

Data

Conversion Part

Production Potential

after Earthquake

Restriction of Production

by Transport Time & Cost

Reduced Production

Economic Estimation Part 1

1-0 Analysis

7

Economic Effect of Transportation

Facilities' Damage

Figure 3.8 Module Structure of EASSE

PWRI has been developing a prototype for 3

years, from 1995 to 1997. As shown in Figure

3.6, this prototype system, which runs on a standalone PC, computes the drop in production

due to damage to highway or railway sections

input on a map display. Data for investigating

reinforcement projects of transportation

facilities in an area, such as the economic loss

for each reinforcement pattern, are obtained

simply by inputting damaged sections based on

a hypothesized earthquake and reinforcement

pattern. An example display for inputting

damaged road sections and an output image are shown in Figure 3.7. EASSE, which falls in the

category (a) 'evaluation of counter-earthquake

projects,' may also be used for creating postearthquake restoration projects. Since this system is now operating independently, it contains map data and also falls in the category

(h) 'display of maps.'

For developing EASSE, the

procedures necessary for estimation were

converted into independent modules as shown

Figure 3.8. The traffic estimation module

calculates the increase in trip time by the

earthquake based on highway-network data and

socioeconomic data that are necessary for

computing traffic demand. The conversion

module calculates the drop in productivity in a

target district from the results of the traffic estimation. The economic estimation module

computes the effect of the drop in productivity

in and out of the damaged district.

3.4 Seismic Performance of Highway

Network

We should investigate if transportation

facilities are able to serve satisfactorily even

immediately after an earthquake. The seismic

performance of the entire highway network

should be studied to assure that no district is

isolated by damage to highway sections and that

disaster prevention activities are taken within a

required period of time. PWRI is developing a system which calculates the degree of

performance with which satisfactory prevention

activities can be taken. The institute is also

investigating a method for expressing the

314
Seismic Performance of Total Network?

Priority of Links in Terms of Seismic Performance?

Figure 3.9 Network Seismic Performance

Highway Network Given Link Damage

Link I

Link 2 s

Counter-disaster OD

Background OD

I I Link n

Network

Seismic Performance

Evaluation

Seismic Performance

Index

Network

Seismic Performance 4>

Importance of Vulnerable Link

, (Priority)

Decision Making for Counter-earthquake Plan

Figure 3.10 Flow of Calculation

importance of a damaged section quantitatively.

Like EASSE, this system corresponds to the

category (a) 'evaluation of anti-seismic projects.'

This system evaluates the seismic

performance of the entire network and the

importance of damaged sections when an

earthquake disconnects the link of the network.

The seismic performance of the network is

calculated by computing the sum of disaster

prevention activities' effects, which are determined based on the trip times of traffics in the network after the earthquake. A method is

also investigated for calculating importance

indices of network sections using the network

seismic performance indices above.

315
Damage State of

Important Facilities Qmniitative/Visual Detailed

Facilities in Wide Area

Overall Condition

Qualitative Visual

Possible Visual

Detailed

Detailed

time

Qualitative Infonnation

Quantitative Infonnation

Real-time Damage

Estimation

Overall & Rough

Damage

Detection

Exact Damage

Detection

Remote Damage

Investigation

In-situ Damage

Investigation

Figure 3.11 Combination of Damage Detecting Method

Figure 3.12 Example Image From Helicopter

3.5 Other Subsystems for SIS

Besides the subsystems' technologies

and methods above, several other issues are studied which can be parts of SIS. Those include

(1) earthquake damage detection technologies

and (2) counter-earthquake activity system

performance evaluation method.

The first one includes various

technologies to detect the damage to

infrastructures by utilizing sensors attached to them and remote sensing

technologies. Some sensors such as

laser distance meter can detect

phenomena precisely, but they are expensive, while other sensors as wire

cutting sensor are inexpensive and give

only rough information of possible

damage. Important facilities such as

large bridges need to be watched

carefully by sophisticated sensors. On

the other hand, most of the facilities

that stretch over wide area are enough

to be observed roughly to detect

possible damage. As for the remote

sensing technologies, animated images

taken from a helicopter and pictures sent from the investigation team

directly are useful and important

information to examine the

restoration/rehabilitation strategies.

Images from satellites are useful if they can be obtained immediately after the earthquake. Taking the these ideas

into account, a menu for utilizing the

damage detection sensors from the

point of view of the cost, exactness and

speed is studied as a guideline by

PWRI.

Another useful method is that

to evaluate the performance of a counter-earthquake activity system in terms of

the rapidity and the preciseness to cumulate the

damage information. In this method, all the

personnel and equipment are expressed as

abstract "gates" which transform the data from

input and send to output. In the method, the

information is defined as a combination of the

316
amount of information after an

earthquake. Using SIS in the normal

conditions can improve the familiarit\'

of the stuff. Rules concerning seismic

information systems, common

databases, and the development of

independent ftinctions are also helpful

for the systems and functions used in the normal condition. By applying

these concepts, we can construct a comprehensive system that is easy to use during both normal and earthquake

times and to enlarge when necessary. Because the idea introduced

Figure 3.13 Network Expression of Counter-earthquake here includes comprehensive

Activity System

time and the information quantit>': i.g., {t, I). By

defining the gates for all the entities in the

system, and b>' connecting them with each other,

the counter-earthquake activity system is expressed as an abstract network system.

Analyzer can obtain the cumulating pattern of

the information quantity and examine the

performance of the system quantitatively. This

also helps him/her to determine the bottle neck

and the weak point part in the system.

4. CONCLUSION

The conventional SISs of the Ministry

of Construction and most of other seismic

systems under development are independent and

do not share databases or map data. As

described in Section 3.3, data should be shared

and functions should be separated according to a minimum set of defined rules to create efficient and flexible systems. The methods for operating SIS must be familiar to the system

staff since they must quickly treat an enormous

systematic regulation, it cannot be

applied only by parts of organization,

say, two or three work offices or regional

bureaus. To realize the concepts here some

adequate promotion system to coordinate all the

organization must be established.

REFERNCES

1) Kazuhiko KAWASHIMA. Kenichi TOKIDA Hideki SUGITA. Tomofu NAKAJIMA, Hideo MATSUMOTO,

''Guidelines for Disaster Information Systems for Important Infra-structures". Proceedings of tlie 25th

Joint Meeting of U.S. -Japan Panel on Wind and Seismic

Effects. May 1993

2) SUGITA Hideki. HAMADA Tadashi. "Development of

Real-time Earthquake Damage Estimation System for Road Facilities'', Seventh U.S. -Japan Workshop on

Earthquake Disaster Prevention for Lifeline Systems, Nov. 1997

3) N0ZAKI Tomofumi, SUGITA Hideki, "System to Assess Socio-economic Effect of Earthquake Disaster'', Seventh U.S. -Japan Workshop on Earthquake Disaster Prevention for Lifeline Systems. Nov. 1997

4) "Real-time Eartliquake Damage Estimation System for Road Facilities", PWRI Newsletter No. 7L Jan. 1998

5) "Earthquake Assessment System for Socioeconomic

Effects fEASSEr. PWRI Newsletter No. 61, Jan. 1997

6) Shun-etsu ODAGIRI. Hideki SUGITA et al, "Development of Real-time Seismic Information System

for MOC, Proceedings of the 29th Joint Meeting of

U.S. -Japan Panel on Wind and Seismic Effects, UJNR.

May 1997

317
Table 1.1 Example of SISs developed in Japan

Sytem Name Organ i zat ion Monitor i ng Damage

Estimation Emergency Response

Act i V i ty Support

t nputs Notes

Disaster Information SystemNat i ona 1 Land Agency o o JMA Seismographs DIS

Rial-time Earthquake

Damage Estimation System

Ministry of Construction o o Se i smograph SATURN

Strong Mot i on Observation Network

Natl. Research Inst, for Earth Science and Disaster Prevention, Science and Technology Agency

o Se i smograph K"net

(Kyosh in-net)

Strong Motion Observation Network Japan Meteorology

Agency O Se i smograph

Se 1 sm 1 c 1 ntens i ty Observation Network

F i re—Defense Agency o Se 1 smograph for Seismic Intensity

Simple Earthquake

Disaster Estimation

System

Fire-Defense Agency O Seismic Conditions

Se 1 smograph 1 nformat i on SystemHokka 1 do Dev Bureau o WISE

Earthquake D i saster Estimation SystemTokyo F 1 re Department o o

Earthquake Disaster

System

Kawasaki City o o O Se i smograph

Dens© Arr3y Strong

Mot 1 on Mod

tor i ng Network

1 <_'r\L'i idirid \j I Ly Se 1 smograph

S© 1 smo^rsph Network Government

Phonics Disaster Prevention SystemHyogo Prefecture o o O Se i smograph

Yokohama-city Disaster Prevention Information SystemYokohama City o Other Systems

Disaster Image Transmitting SystemYokohama City o TV Camera

UrEDAS/HERAS Japan Ra i Iway o o O Se i smograph

Seismograph Network Japan Highway Public Corporat i on o Se i smograph

Seismic Information Gathering and Network

Alert System

Tokyo Gas o o O Seismograph, SI sensor. Liquefaction

sensor

SIGNAL

Input! Input!

Input! Input!

Figure 1.1 Isolated SISs

318
New Developments in Seismic Risk Analysis for Highway Systems

by

Stuart D. Wemerl, Craig E. Taylor^, James E. Moore II^,

John B. Mander^, John B. Jemigan^, and Howard H. M. Hwang^

ABSTRACT

This paper summarizes current research to develop a new seismic risk analysis (SRA)

procedure for highway and roadway systems.

The procedure synthesizes geoseismic,

engineering, network, and economic models to assess earthquake effects on system-wide traffic flows and travel times. The SRA results provide an improved basis for prioritizing

highway components for seismic retrofit, and

for defining seismic performance requirements

for these components.

KEY WORDS: earthquake, seismic, risk,

highways, roadways, bridges, hazards, system,

network

1. INTRODUCTION

Past experience has shown that earthquake

damage to highway components (e.g., bridges,

roadways, tunnels, retaining walls, etc.) can

severely disrupt traffic flows and this, in turn, can impact the economy of the region as well as post-earthquake emergency response and

recovery. Furthermore, the extent of these

impacts will depend not only on the seismic

response characteristics of the individual

components, but also on the characteristics of

the highway system that contains these

components. System characteristics that will

affect post-earthquake traffic flows include: (a)

the highway system network configuration; (b)

• locations, redundancies, and traffic capacities

and volumes of the system's links between key

origins and destinations; and (c) component

locations within these links (e.g., Moore et al, 1997).

From this, it is evident that earthquake damage

to certain components (e.g., those along

important and non-redundant links within the

system) will have a greater impact on the

system performance (e.g., traffic flows) than

will other components. Unfortunately, such

system issues are typically ignored when

specifying seismic performance requirements

and design criteria for new and existing

components; i.e., each component is usually

treated as an individual entity only, without

regard to how its damage may impact highway

system performance. Furthermore, current

criteria for prioritizing bridges for seismic

retrofit represent the importance of the bridge as a traffic-carrying entity only by using average

daily traffic count, detour length, and route type

as parameters in the prioritization process. These criteria do not account for the systemic

effects associated with the loss of a given

bridge, or for combinatorial effects associated

with the loss of other bridges in the highway

system. However, consideration of these

systemic and combinatorial effects can provide

a much more rational basis for establishing

seismic retrofit priorities and performance

requirements for highway components.

1 Seismic Systems & Engineering Consultants, 8601 Skyline Blvd., Oakland CA 9461

^Natural Hazards Management Inc., 5402 Via del Valle, Torrance CA 90505

^University of Southern California, 3518 Trousdale Parkway, Los Angeles CA 90089

4 State University of New York at Buffalo, 230 Ketter Hall, Buffalo NY 14260

5 Ellers, Oakley, Chester, & Rike, 5100 Poplar Avenue, Suite 1600, Memphis TN 38137

6 University of Memphis, 3890 Central Avenue, Memphis TN 38152

319
In recognition of these issues, the National

Center for Earthquake Engineering Research

(NCEER) has included system seismic risk

analysis (SKA) in its current six-year seismic

research project entitled "Seismic Vulnerability

of Existing Highway Construction." This paper

describes the SRA research being conducted

under the NCEER project including: (a) a new

SRA procedure that has been developed under

the project; (b) an initial demonstration

application of the procedure to the Memphis

Tennessee highway system; (c) current research

to further develop the procedure; and (d) the

applicability of the procedure for real-time postearthquake loss estimation.

2. SEISMIC RISK ANALYSIS PROCEDURE

2.1 General Description

The highway system SRA procedure is shown in Figure 1. It can be carried out for any number

of scenario earthquakes and simulations, in which a "simulation" is defined as a complete

set of system SRA results for one particular set of input parameters and model uncertainty

parameters. The model and input parameters

for one simulation may differ from those for other simulations because of random and

systematic uncertainties (Werner et al., 1996).

For each earthquake and simulation, this multidisciplinary procedure uses geoseismic,

geotechnical and structural engineering,

transportation network analysis, and economic

evaluation models to estimate: (a) earthquake

effects on system-wide traffic flows (e.g., travel times, paths, and distances); (b) economic

impacts of highway system damage (e.g., repair costs and costs of travel time delays); and (c)

post-earthquake traffic flows along vital roadways (to facilitate emergency response

planning). Key to this procedure is a modular

GIS data base that contains the data and models

needed to implement the system SRA.

This SRA procedure has several desirable

features. First, it has a GIS framework, to enhance data management, analysis efficiency.

and display of analysis results. Second, the GIS

data base is modular, to facilitate the

incorporation of improved data and models

from future research efforts. Third, the

procedure can develop aggregate SRA results that are either deterministic (consisting of a

single simulation for one or a few scenario

earthquakes) or probabilistic (consisting of

many simulations and scenario earthquakes).

This range of results facilitates the usefulness of

SRA for a variety of applications (e.g., seismic

retrofit prioritization and criteria, emergency

response planning, planning of system

expansions or enhancements, etc.). Finally, the

procedure uses rapid engineering and network

analysis procedures, to enhance its future use as a real-time predictor of system states and traffic impacts shortly after an actual earthquake.

2.2 GIS Data Base

The GIS data base consists of four modules with

data and models that characterize the system,

seismic hazards, component vulnerabilities, and

economic impacts of highway system damage.

To facilitate analysis efficiency, these modules

are pre-processors to the four-step SRA

procedure shown in Figure 1

2.2.1 System Module

The system module contains the following

information to characterize the highway system,

as provided by transportation and urban

planning specialists:

System Data - including: (a) system network

configuration linkages, and component types

and locations; (b) numbers of lanes, traffic flows, capacities, and congestion functions for

each roadway link; (c) origin-destination zone

locations and trip tables; and (d) any special

system characteristics, such as certain roadways

being critical for emergency response or

national defense.

Trajfic Management - including measures by

transportation authorities for modifying the

system to ease post-earthquake traffic flows

320
(e.g., detour routes, modifications of roadways

from two-way to one-way traffic, etc.)

Transportation Network Analysis Procedures -

to estimate post-earthquake traffic flows for each simulation and scenario earthquake.

2.2.2 Hazards Module.

The hazards module contains input data and

models provided by geologists and geotechnical

engineers for characterizing system-wide

ground motion, liquefaction, landslide, and

surface fault rupture hazards. Input data

include: (a) the ensemble of scenario earthquake

events developed during the initialization phase

of the SRA (Sec. 3.1); (b) locations and

topographic data for slopes within the system

that could be prone to landslide; and (c) local

soil conditions throughout the system, as needed

to estimate local geologic effects on ground

shaking and the potential for liquefaction and

landslide. Models contained in the hazards

module will estimate: (d) the attenuation of rock

motions with increasing distance from the

earthquake source, for a range of earthquake

magnitudes; (e) the effects of local soil conditions on the motions at the ground surface; and (f) permanent ground displacements due to earthquake-induced landslide, liquefaction, and

surface fault rupture. A deterministic

representation of hazards models will use mean

values of these quantities. A probabilistic

representation will use probability distributions

to account for uncertainties in the seismologic,

geologic, and soil input parameters and in the

hazard evaluation models.

2.2.3 Component Module

The component module contains input data and

models provided by structural and construction

engineers to characterize each component in terms of a "loss model" and a "functionality

model". The loss model represents the

component's direct losses (i.e., repair costs),

and the functionality model represents its "traffic states" (i.e., whether the component will

be partially or completely closed to traffic

during the repair of the earthquake damage, the

durations of these closures, and speed limits for

traffic along the component during repair). Both

models are a function of the level of ground

shaking at the component's site, as well as the

level of permanent ground displacement due to liquefaction, landslide, or surface fauh rupture.

The models for each component are developed

' by evaluating: (a) its seismic response to each

designated level of ground shaking and

permanent ground displacement; (b) its "damage state", (i.e., the degree, type, and

locations of any earthquake damage to the

component); (c) its damage repair procedures;

and, from this (d) its traffic states at various

times after the earthquake (to reflect the rate of

traffic restoration as repairs proceed).

After each component's traffic states are obtained, they are incorporated into the highway

system network model to obtain the overall

"system state", i.e., the ability of each link in the

system to carry traffic at various times after the

earthquake (in terms of number of open lanes,

speed limits, etc.). These system states will

reflect the effect of each component's damage

state on adjacent and underlying roadways.

This, of course, will also depend on the location

of the component within the overall system, as well as system network characteristics.

A deterministic representation of loss and

functionality models will use mean values of the

component repair costs and traffic states. A

probabilistic representation will use probability

distributions to account for uncertainties in the

evaluation of the component seismic response,

and in the estimation of the resulting repair

costs and traffic states.

2.2.4 Socio-Economic Module

The socio-economic module contains models

and data for evaluating broader social and

economic impacts of earthquake-induced traffic flow disruptions. These impacts can include

indirect dollar losses (e.g., to commuters and

businesses), effects on emergency response

(e.g., reduced access to medical, police, fire321
fighting, airport, government centers, etc.), and

societal effects (e.g., reduced access to residential areas, shopping areas, etc.). This

module is developed by transportation

specialists, urban planners, and economists.

3. ANALYSIS PROCEDURE

3.1 Step 1 : Initialization of Analysis

The initialization of the SRA (Step 1) contains

two parts. First, regional earthquake source models are used to define an ensemble of

scenario earthquakes, in which each earthquake

is most commonly defined in terms of its magnitude, location, and frequency of

occurrence. Uncertainties in defining the values

of the various earthquake input parameters may

also be modeled at this stage. The second part

of Step 1 establishes the total number of

simulations for each scenario earthquake, as further described in Werner et al. (1996).

3.2 Step 2: Development of Each Simulation

for Each Scenario Earthquake

Under Step 2, the following evaluations are carried out to develop each of the simulations

for each scenario earthquake:

Hazard Evaluation. First, the data and models

contained in the hazards module are used to estimate the earthquake ground motions and

geologic hazards throughout the system.

Direct Loss and System State Evaluation. Once

the hazards are estimated, the data and models

from the component module are used to evaluate direct losses and system states (defined

at various times after the earthquake).

Trajfic Flow Evaluation. The system data and

transportation network analysis procedure from

the system module are applied to the pre- earthquake system and post-earthquake system

states, to assess earthquake effects on systemwide travel times, travel distances, and travel paths, as well as traffic flows along roadways

vital to emergency response.

Socio-Economic Impact Evaluation. Once the

earthquake effects on traffic flows within the

system are evaluated, the data and models from

the socio-economic module are used to evaluate

impacts of the impeded traffic flows in terms of: (a) indirect dollar losses; and (b) reduced access

to and from emergency response centers.

3.3 Step 3: Incrementation of Simulations and

Scenario Earthquakes

Under Step 3, the evaluations from Step 2 are

repeated, in order to develop multiple

simulations for multiple scenario earthquakes (if

the SRA is to be probabilistic).

3.4 Step 4: Aggregate System Analysis Results

This final step in the SRA process is carried out

after the system analyses for all simulations and

scenario earthquakes have been completed. In

this step, the results from all simulations and

earthquakes are aggregated and displayed.

Depending on user needs, these aggregations

could focus on the seismic risks associated with

the total system or with individual components.

Furthermore, the system or component results could be provided: (a) for individual

simulations, which is termed a seismic

vulnerability analysis, and/or (b) for the broader

(probabilistic) range of simulations, leading

either to loss statistics (e.g., average annualized

loss) or to loss distributions that show the

severity of earthquake-induced system losses for

different probability levels^. For research

purposes, the impacts of incorporating

uncertainties . into the SRA will be of

considerable interest. For other purposes, such

as the planning of seismic strengthening

programs for existing highway systems, outputs can be adapted and/or simplified to meet the

particular requirements of each user audience.

^The "loss" can be defined in several ways, such

as direct repair cost, travel time delays due to earthquake damage (between certain key origindestination zones or aggregated over all zones),

indirect losses due to travel time delays, or other

adverse consequences.

322
4. DEMONSTRATION ANALYSIS

4.1 Objective and Scope

Early in the NCEER Highway Project, the SRA

procedure was used with then-available data and

models to carry out a demonstration SRA of the

Memphis, Tennessee highway-roadway system

(Fig. 2). The objective of the analysis was to: (a)

illustrate the application of the SRA procedure,

and the types of results that can be obtained; and

(b) provide a basis for identifying and

prioritizing research needs to improve the

procedure. Because of limitations in many of

the then-available data and models, the results from this SRA are preliminary. Nevertheless, it

is of interest to briefly summarize this SRA, in order to illustrate the applicability of the

procedure. This SRA application is described in more detail by Werner and Taylor (1995).

4.2 Assumptions

The Memphis highway-roadway system is shown in Figure 2. This demonstration SRA

consisted of deterministic analysis of the

response of this system to four different

earthquake events (Fig. 3a). This paper presents

results from one of these earthquakes, termed

Earthquake D, which has a moment magnitude

of 5.5 and is centered about 35 km to the north

of the northern segment of the beltway that surrounds the city of Memphis. Assumptions

for this SRA are summarized below.

4.2.1 System Input Data

The system's network configuration was

obtained from the University of Memphis.

Traffic data, roadway traffic capacities, and 0-D

zones within the system were provided by the

Memphis and Shelby County Office of Planning

and Development (OPD). The traffic flow data were from their 1988 traffic forecasting model.

4.2.2 Network Analysis Procedure

The MINUTP traffic forecasting software

(Comsis, 1994) was used to analyze pre- and

post-earthquake traffic flows. This software was chosen because it is used at the MemphisShelby County OPD, and all regional traffic data were available in the input format for this software. MINUTP is based on the Urban

Transportation Planning System (UTPS), which was developed over two decades ago by the

• U.S. Dept. of Transportation (see Sec. 5.5.1).

Also, the then-available version of MINUTP

was not GIS-compatible, which increased the

effort needed for our system analysis.

4.2.2 Seismic Hazards

The system-wide ground shaking due to Earthquake D was represented in terms of peak

ground acceleration (PGA), and was based on

soil conditions obtained from prior local geologic mapping by the University of Memphis

(Fig. 3b). The PGA at each bridge site was

estimated by: (a) computing site-specific

bedrock accelerations by using an early version

of the Hwang and Huo (1997) attenuation

equation; and (b) applying the Martin and

Dobry (1994) soil amplification factors to these

rock accelerations, to obtain corresponding

ground surface PGAs that include effects of

local soil conditions (Fig. 4).

4.2.3 Bridge Loss Models

Loss models previously developed under the

ATC-25 project for conventional highway

bridges were used to estimate direct losses for each bridge in the system due to each

earthquake (ATC, 1991). In these models, the

direct losses depend only on whether the bridge

has simple spans or is continuous/monolithic;

i.e., other bridge structural attributes that could

impact seismic performance are not considered.

4.2.4 Bridge Functionality Models

Functionality models for this demonstration

SRA represented bridge traffic states as the

number of lanes open at discrete times after an

earthquake, as a function of PGA and the

original number of lanes along the bridge. They

were developed by modifying ATC-25 bridge

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restoration models based on prior observations

of the seismic performance and repair and

reconstruction processes for California bridges

during the Loma Prieta and Northridge

Earthquakes (Werner and Taylor, 1995). Two

different models were developed in accordance

with the ATC-25 conventional highway bridge

designations — one for simple-span bridges and

one for continuous bridges. In addition, to

illustrate effects of bridge damage repair rates on post-earthquake system performance,

functionality models were developed for two

discrete times — three days and six months after the earthquake.

4.2.5 Economic Model

Studies of economic impacts of earthquakeinduced highway system damage have shown

that indirect dollar losses due to such damage

can far exceed the direct losses for repair of the

damage (e.g., Gordon and Richardson, 1996).

However, methods for estimating such impacts

for future earthquakes are not yet well

developed. Therefore, for this demonstration

SRA, a simplified procedure from BAA (1994) was used to estimate costs due to deterioration

in commute time only. These cost estimates are based on vehicle-hours of delay (as obtained

from the MINUTP system analyses),

corresponding person-hours of delay (based on

an assumed average vehicle occupancy rate of

1.4 persons/vehicle), truck-hours of delay

(assuming 30 percent of the vehicles are trucks),

and excess fuel costs due to travel time delays.

4.3 RESULTS

4.3.1 Direct Losses

In accordance with the ATC-25 model used in this demonstration SRA, direct losses due to damage to the system's bridges are represented

as a damage ratio, DMG (%), which is defined

as the ratio of the repair cost for each bridge to

its total replacement cost. For Earthquake D,

the average damage ratio (averaged over all of

the 286 bridges in the system) was 37.4%.

4.3.2 Travel Times and Distances

System State Results. Figure 5 shows the pre- earthquake system state and post-earthquake

system states at times of three days and six

months after Earthquake D. This figure

indicates that, although Earthquake D has only a moderate magnitude (Mw = 5.5), its proximity

to the northern segment of the Memphis

highway system causes extensive roadway

closures in that segment, with lesser impacts on

other segments of the system.

Total System-Wide Travel Times. Table 1 contains the total pre- and post-earthquake

travel times and distances for the Memphis

highway system. This table shows that the

modified system states due to Earthquake D

result in a total system-wide travel time three

days after the earthquake that is nearly 34

percent longer than the pre-earthquake values.

At six months after the earthquake, the bridge

repairs within that time have reduced the total travel time; however it is still nearly 20 percent

longer than the pre-earthquake value.

Total System-Wide Travel Distances. Table 1 shows that the total system-wide travel distances at times of three days and six months

after the occurrence of Earthquake D are not

sensitive to the modified system states. This

trend may be due to the significant loss of

service along the faster but less direct highway

segments at the north and northeastern portions

of the beltway, because of the many damaged

bridges along those segments. As a result,

drivers would be forced to use ground surface

routes with fewer damaged bridges that are

shorter but slower than the beltway routes.

0-D Zone Travel Times. Table 2 shows that, at a time of three days after the earthquake, the

travel times between the 0-D zones listed in the

table are, on the average, nearly 16 percent

larger than those for the pre-earthquake system.

The travel time increases are largest for

northernmost of the highlighted zones, which

are at Shelby Farms (Zones 249 and 252),

Bartlett (Zone 264), and the Covington Pike

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(Zone 274). This is because, as previously

noted, it is this section of the Memphis area highway and roadway system that is most

severely damaged. At a time of 6 months after the earthquake, Table 2 shows that the travel times to and from these zones have been

reduced substantially, and are now only 5.3 percent larger than the pre-earthquake values.

O-D Zone Travel Distances. The travel distances to and from the O-D zones listed in Table 2 are insensitive to system damage from

Earthquake D (Werner and Taylor, 1995).

Economic Impacts. Estimates of economic

impacts for times of both three days and six

months after the earthquake are shown in Table

3. They are based on total system-wide travel time delays per 24-hour day of 126,000 vehiclehours and 73,000 vehicle-hours at times of three

days and six months after the earthquake

respectively (as previously shown in Table 1). From this, the BAA (1994) cost estimation

procedure leads to a total cost per day of the

earthquake-induced time delays of $1.6 million

at three days after the earthquake, and $930

thousand at six months after the earthquake.

We then estimated the total time delay costs over a one-year time period after Earthquake D,

by assuming an average daily time-delay cost

for the year of $930 thousand (which

corresponds to the above daily cost at a time of

six months after the earthquake). From this, the

total cost of the system-wide time delays over

this one-year time period was computed to be

365 days x $930,000 = $340 x 106.

5.0 NEW DEVELOPMENTS

Since the above demonstration SRA was carried

out, there have been significant ftirther developments and improvements to the

procedure. The improved procedure will be

used in a re-analysis of the seismic risks to the

Memphis highway-roadway system that is planned later during this year (1998). This

analysis will be probabilistic, using multiple

scenario earthquakes and simulations.

The new developments to the SRA procedure

have focused on the establishment of improved

models for: (a) multiple scenario earthquakes;

(b) ground shaking and liquefaction hazards; (c)

bridge vulnerability modeling; and (d)

transportation network analysis. These new

developments are summarized in the remainder

. of this section.

5.1 Scenario Earthquakes

In a SRA of a system with spatially dispersed

components, individual scenarios are required to evaluate correlation effects of earthquakes, i.e., the simultaneous effects (including systemic

consequences of damages) of individual

earthquakes on components located at diverse

sites. Scenario earthquake models for our SRA

procedure for highway systems are based on an

adaptation of work by Frankel et al. (1996) for the Central and Eastern United States (CEUS),

as part of the United States Geological Survey

(USGS) National Hazard Mapping Program.

The Frankel et al. work for the CEUS uses four

different spatially smoothed models based on

historical seismicity data, plus a special model

for the New Madrid Seismic Zone (NMSZ).

Our adaptation of these models is summarized

in Sections 5.1.1 and 5.1.2.

5.1.1 Historical Seismicity Models

For developing scenario earthquakes for our SRA of the Memphis highway-roadway system,

we have defined a large seismicity zone around

Memphis that extends from 88.0 to 92.0 degrees

longitude and from 34.0 to 38.0 degrees latitude. This zone has been divided into small

microzones, with dimensions of about 11.1 km

in both length and width.

Three different models are weighted to establish

the earthquake activity within each microzone,

based on historical seismicity data from a USGS

catalogue that is an updated and improved

version of the Seeber-Armbruster (1991)

earthquake catalogue. These models are developed from earthquakes with the following

325
magnitude cutoffs and completeness times: (1)

magnitude 3+ earthquakes since 1924; (2)

magnitude 4+ earthquakes since 1860; and (3)

magnitude 5+ earthquakes since 1700. In addition, Frankel et al. include a fourth model

(Model 4) that is a large background seismicity

model that applies to the entire seismicity zone, and is weighted with the above three models to establish earthquake activities.

The number of earthquakes shown in the USGS

catalog to exceed the respective minimum

magnitude of Models 1 through 3 respectively is counted and, based on the starting and end date

of the model (e.g., 71 years for Model 1), is converted to a frequency of occurrence. Then,

to account for uncertainties in the locations of

these earthquakes, a relatively flat gaussian

model is applied that redistributes and smooths

the earthquake locations among the microzones

Given this redistribution of earthquake

occurrences for each of Models 1-3, and

assuming a threshold magnitude of 5.0 for the onset of earthquake damage, a "b" value of 0.95

in the Richter magnitude-frequency relationship

is assumed (derived elsewhere) to estimate the

frequency of occurrence of earthquakes with

magnitude > 5.0 in each microzone (for each of

these models). For Model 4, a uniform

distribution is used to allocate potential

earthquakes with magnitudes > 5.0 among all of

the microzones.

Based on a method of adaptive weighting, we

followed Frankel et al. in combining the four

above-mentioned models in order to derive

frequencies of occurrence of earthquakes of

magnitude > 5.0 in each microzone. Next, we

summed these frequencies to -determine the

corresponding frequency of occurrence within

the overall seismicity zone. Using this frequency and the frequencies in each

microzone, we then developed a conditional

cumulative probability matrix for the overall

seismicity zone. This two-column matrix

contains microzones (numbered) in one column,

and cumulative conditional probabilities (from 0

to 1) in the other column. In addition, we used a

Poisson model to convert the frequency of

occurrence of earthquakes with magnitudes > 5.0 in the overall seismicity zone to a corresponding probability of occurrence.

At this stage, a natural way to develop these

scenarios for purposes of analyzing system

performance and for eventually compiling

information on loss distributions and their

variability over a time dimension is to employ a "walk-through" analysis. (Daykin et al., 1994).

The first step in such an analysis is to select an

appropriate time frame over which the analysis

would be carried out (e.g., one or more time

frames of 10 years, 50 years, 100 years, etc.). Then, for each year in each time frame (starting

with Year 1 and then repeating the process for

each successive year), successive uniform

random number generators are applied with the

appropriate cumulative conditional probability

distribution to evaluate: (a) whether or not at

least one earthquake of magnitude >5.0 has

occurred somewhere in the large seismicity zone during the year; (b) if so, whether or not a second earthquake has occurred in the zone

during the year; and (c) for each earthquake that has occurred in the zone during the year, the

microzone where the earthquake is located. We

also use a random generation technique to estimate the earthquake magnitude, with the

likelihood of diverse magnitude levels assumed

to be represented by a Richter (lognormal)

magnitude-recurrence relationship.

5.1.2 New Madrid Fault Zone

For modeling the New Madrid fault zone while

the Frankel et al, approach was undergoing

modifications, we have initially followed earlier

USGS procedures described by Leyendecker et

al. (1995). In this, we have: (a) modified the

Der Kiureghian et al. (1977) approach to

distribute earthquake occurrences within the

fault zone; (b) applied estimates of the

frequency of occurrence for earthquakes in the zone based on the Frankel et. al. approach and

other relevant studies, and converted these to probabilities of occurrence using a Poisson

326
model; and (c) postulated that the fault zone is comprised of four parallel linear faults.

Following this, a walk-through analysis is used

to develop a random sequence of earthquakes

occurring within the zone during the time period

of interest. To illustrate, let us assume that the

probability of occurrence of an earthquake with

a given magnitude (say magnitude 8.0) within

the New Madrid fault zone is 0.002. From this,

the walk-through process for each year involves

the use of successive random number generators

to indicate: (a) whether an earthquake of this magnitude has occurred within the fault zone; and (b) if so, which of the four fault traces is the source of the earthquake. Then, subsequent

steps involve: (c) estimation of the rupture

length along the fault trace, using the WellsCoppersmith (1994) relationship between

rupture length and earthquake magnitude and

including a normally distributed uncertainty

factor (in log space) with a standard deviation of

0.22; and (d) estimation of the location of the

rupture length within the overall fault trace, by

using a polar method to generate a normally

distributed uncertainty factor in log space (Law

andKelton, 1991)8.

The results of this walk-through analysis of

earthquakes occurring within the New Madrid

fault zone are combined with the results of the

walk-though analysis of potential earthquakes

from the historical seismicity models (Sec.

5.1.1) to estimate the total earthquake activity

during each year of the time frame of interest.

5.1.3 Current Status

The above approach has been used to develop

an initial set of scenario earthquakes for the

Memphis area. The modeling assumptions

leading to these earthquakes are now being

^In this, the difference between the rupture

length and the total length of the fault is computed, and a uniform random number

generator is used to indicate where the fault rupture is initiated relative to one end of the

fault trace.

reviewed, prior to our developing a final set of

scenario earthquakes for our forthcoming SRA

of the Memphis highway-roadway system.

5.2 Ground Motion Hazards

The ground motion hazards for our updated

SRA of the Memphis highway-roadway system

will be represented as five-percent damped

ground response spectra at the ground surface.

The estimation of these spectra for a particular

site will involve: (a) use of a rock motion

attenuation relationship to estimate spectral

amplitudes of rock motions; and (b) application

of soil amplification factors to these rock

motion spectra, to develop corresponding

spectra of motions at the ground surface that incorporate effects of local soil conditions.

For our SRA of the Memphis highway-roadway

system, we will be using: (a) the Hwang and

Huo (1997) rock motion attenuation

relationships for peak acceleration and for

spectral accelerations over a wide range of

natural periods; and (b) the Hwang et al. (1997)

soil amplification factors for NEHRP site classifications A through E. These procedures

have the following benefits: (a) they are

internally consistent, i.e., they are intended for use together to compute ground surface peak

accelerations and spectral accelerations (as the

product of the Hwang and Huo rock motions

and the Hwang et al. soil amplification factors);

(b) they specifically focus on anticipated CEUS

ground shaking characteristics; (c) the Hwang

and Huo rock motion attenuation relationships

compare well with other well-established

relationships for the CEUS; (d) the Hwang et al. soil amplification factors are developed from

state-of-the-practice analytical procedures; and

(e) effects of uncertainties in various input

parameters are considered.

5.3 Liquefaction Hazards

The treatment of liquefaction hazards within the

multi-scenario framework of the SRA procedure

involves the following steps: (a) compilation of

soils data for the region; (b) for a given scenario

327
earthquake and simulation, evaluation of the

potential for liquefaction throughout the

highway-roadway system, including estimation

of permanent ground displacements; and (c)

estimation of traffic states at bridges and along

roadways within the system due to these ground

displacements. Our plans for carrying out these

steps in our SRA of the Memphis highwayroadway system are summarized below.

5.3.1 Soils Data

Under a prior project carried out at the Center

for Earthquake Research and Information

(CERI) of the University of Memphis, data from

8,500 boring logs throughout Shelby County

were compiled by Ng et al. (1989). Ng et al. then divided the county into a series of cells with dimensions of about 2,500 ft. by 3,000 ft., and used the data from the boring logs to develop the following information for those

cells where boring logs were available: (a)

estimated average values SPT blowcounts,

natural soil density, and unconfmed

compressive strength for each soil layer, as well

as ground surface elevation, and groundwater

level; and (b) development of a representative

soil log for the cell. A GIS data base containing

these data has been made available by CERI for use in our SRA of the Memphis highwayroadway system. For those cells, where no data were available, soil properties have recently

been estimated using data from the nearest cells with soils of the same geologic unit (Hwang and

Lin, 1997). It is noted that CERI is currently

updating this data base; however this updated

data base will not be completed and available

for use until early 1999.

5.3.2 Hazard Evaluation Procedure

Evaluation of the potential for liquefaction

hazards to the Memphis highway-roadway system for a given scenario earthquake event will be carried out only for those cells that contain bridges and/or

roadways within the system. This evaluation will consist of the following steps, which generally follow

the approach by Youd and Gummow ( 1 995):

Initial Screening. An initial screening of soils and

geologic will be carried out to initially establish which

cells in the system have a low potential for liquefaction and therefore can be eliminated from

further analysis. Our initial screening efforts will be

guided by prior liquefaction evaluations of the Memphis area by Hwang and Lin (1997) for earthquakes of magnitudes 6.5, 7.0, and 7.5 centered

in Marked Tree, Arkansas.

Further Screening. For those cells shown by the

initial screening to have a potential for liquefaction, further screening will be carried out through very

simplified and conservative assessment of the range of possible ground shaking hazards in the cell due to the various scenario earthquakes for the SRA, in order

to eliminate additional cells shown by this fiirther screening to have a low liquefaction potential.

Seed-Idriss Procedure. For those cells that are still shown to have a potential for liquefaction, the SeedIdriss (1982) procedure will be used for a final evaluation of liquefaction potential.

Permanent Ground Displacement For the cells shown from the above steps to have potentially

liquefiable soils, permanent ground displacements

will be estimated as follows: (a) for bridge or roadway

sites with gently sloping ground or a free face

condition, the Bartlett-Youd (1995) procedure will be

used to estimate lateral spread displacements; and (b) the Tokimatsu-Seed (1987) procedure will be used to estimate vertical settlements.

5.3.3 Liquefaction Effects on Traffic States

Estimation of the effects of liquefaction on traffic

states along the bridges and roadways within the Memphis highway-roadway system will be based on

analysis of: (a) empirical data compiled by Youd

(1997) that describes bridge damage modes due to

liquefaction-induced ground displacement for 116

bridges during earthquakes in the United States, Costa

Rica, and Japan; and (b) liquefaction maps for the San

Francisco Bay Area due to the 1989 Loma Prieta Earthquake that are now being completed at the USGS; and (c) a data base of liquefaction-induced

road closures in the Bay Area following the Loma

Prieta Earthquake (ABAG, 1997).

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5.4 Bridge Modeling

5.4.1 Background

Essential to the SRA process is the incorporation

of models for estimating bridge damage states and traffic states. This section describes

candidate bridge models now under development.

Damage-state modeling of individual bridges can be carried out using conventional structural analysis tools that employ either the

Capacity/Demand or Lateral Strength (pushover)

methods of analysis, as described in the FHWA

(1995) Retrofit Manual. However, application of

these methods would lead to an intractable task if applied to each of the large number of bridges

that will comprise a highway-roadway system.

Therefore, any analysis tools that are used for bridge damage-state modeling for highway

system SRA must be rapid and efficient to implement. In addition, to increase efficiency of

the damage-state modeling process, we are exploring the feasibility of developing damagestate models for bridge groups rather than

individual bridges (where each group would

consist of bridges with certain similar attributes important to seismic response). To enhance

analysis efficiency, the damage-state models (for

individual bridges or groups) will be developed in a pre-processor to the main SRA procedure

As an option to the use of analytical models, an

alternative damage-state modeling approach is the use of empirical models developed from

experiential observations. However, the principal

problems with such models are: (a) they use vague damage descriptors such as "slight",

"moderate" or "extensive" that neither account

for the post-earthquake serviceability of bridges nor provide a clear basis for estimating postearthquake repair costs and traffic states; and (b)

they are mostly based on California bridges,

whose structural characteristics are often very

different from those for the stock of bridges

found elsewhere in the United States. These two

reasons negate the use of empirical modeling

techniques by themselves. However, empirical

observations of the actual performance of bridges

during past earthquakes will, of course, provide a

valuable basis for validating analytical bridge

damage state models that are developed.

For these reasons, it is our view that analytical

procedures are the methods of choice for developing bridge damage-state models for highway system SRA. In this, alternative models

•with differing degrees of refinement will be

incorporated into the component module, in which the selection of one of these models for a

particular SRA application would depend on such

factors as available bridge data, bridge

characteristics, etc. Results from these models

will then be used with expert-opinion and

empirical information in order to estimate bridge

traffic states due to each damage state.

With this as background, the remainder of this section is organized into three main parts.

Section 5.4.2 describe one damage-state

modeling approach that is being developed

specifically for use with highway-roadway

system SRA ~ the "rapid-pushover" method by

Mander and Dutta (1997). Following this, Section 5.4.3 summarizes other candidate

damage-state modeling methods that are being

developed under the NCEER Highway Project or

other research programs. Finally, Section 5.4.4 summarizes our plans for developing bridge and

roadway traffic states, once the damage states are

established.

5.4.2 Rapid-Pushover Method

The rapid-pushover method (Mander and Dutta,

1997) is a new non-linear static (pushover)

procedure for rapid estimation of bridge damage

states. It accounts for the contributions of the

piers and the arching (3D) action of the deck to the total base-shear capacity of the bridge system.

Deck Contribution. The contribution of the deck

to the bridge system's total base shear capacity

has been systematically overlooked in most

capacity analyses. This contribution is due to the

resistance of the deck resulting from plastic

moments that are mobilized by the bearings

working as a group. This action occurs because,

as the deck rotates, there also occurs some lateral

329
displacement which is resisted by frictional forces arising in each bearing. Mander and

Dutta (1997) have evaluated this effect for bridges with multiple simply-supported spans and

with continuous spans. For these cases, a plastic

mechanism analysis is used to establish the deck

capacity as the lowest capacity of all possible

postulated failure mechanisms. These failure mechanisms incorporate the geometry of the deck

spans, the relative flexibility of the pier bents, and

resistance and the capacities of the bearings.

Pier Contribution. Under longitudinal or

transverse excitation, a bridge pier is presumed to display a marked degradation of strength capacity

as the earthquake shaking proceeds. The

magnitude and rate of the strength decay will

depend upon the design details at or near the

potential plastic hinge zones ~ particularly

connection details such as lap splices and

anchorage zones - and the shear capacity of the

columns and the column-to-cap connections.

Although sophisticated energy-based evaluation

techniques are available for evaluating these sources of strength decay, a more simplified

displacement-based method of analysis is instead

proposed, in order to increase the speed and

efficiency of the evaluation process. This method

uses a simplified strength decay model for the

bridge pier, in which the total pier capacity is assumed to consist of: (a) diagonal strut (or arch)

action which constitutes the concrete resistance;

and (b) resistance contributions arising from the

longitudinal and transverse reinforcing steel. Mander and Dutta (1997) suggest that these

contributions to the pier capacity can be simply

expressed in terms of geometric factors alone,

many of which may be obtained (or inferred)

from existing Bridge Management System data

bases.

Discussion of Rapid-Pushover Method. This

method is a rapid yet technically rational

approach for developing bridge capacity spectra.

Furthermore, the capacity spectra include various

displacement thresholds that each represent the onset of a new damage state. Each of these

damage states are physically defined so as to

facilitate their interpretation during subsequent

estimation of bridge traffic states. For example.

depending on a bridge's geometry and detailing,

various damage states may be defined in terms

of: (a) first yield; (b) the onset of cracking and

spalling; (c) loss of anchorage; (d) concrete

failure; (e) pier damage or collapse, due to such

causes as splices in plastic hinge zones or inadequate transverse or longitudinal

reinforcement; (f) deck unseating; (g) bearing

failure; and (h) abutment backwall failure. In

addition, although the rapid pushover method has

been formulated as a deterministic approach,

procedures are being studied that would extend it to be probabilistic as well, in which model and

material property uncertainties are represented.

Capacity-Demand Resolution. Once the capacity

spectrum is developed, a capacity-demand

analysis is carried out to determine each bridge's

damage state for a given scenario earthquake and

simulation. The first step in this process is to establish the demand spectrum at the bridge site by adjusting the five-percent damped site-specific

ground-response spectrum at each bridge site to account for increased effective damping due to increased yielding and damage to the bridge as

the level of displacement increases. Then, the

damage state for the given scenario earthquake

and simulation is taken to correspond to that damage state within which the demand and

capacity spectra intersect. This is determined

analytically by computing the difference between

demand vs. capacity base shear coefficients at displacement levels that represent the onset of

each successive damage state, and then

identifying the damage state where the sign of the

difference first changes.

Current Status. Although the basic framework of

the rapid-pushover method is established, it is

still under development to incorporate such

phenomena as effects of bridge skew, foundation

damage modes, etc. In addition, the method is currently being validated through its application

to actual bridges that have been subjected to earthquake shaking and have well-established

seismic response characteristics. It is noted that a

simplified version of the rapid-pushover method

is currently under development for enhancing the

transportation lifeline module in HAZUS (Basoz

and Mander, 1998).

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5.4.3 Other Damage State Models

This section briefly summarizes other candidate

bridge damage state models. One model is being

developed specifically for application to the

large Mississippi River crossings in Memphis

(Liu, 1997). The other models are presented as possible options or supplements to the rapid

pushover method. These mclude modeling

procedures currently being developed by Jemigan

and Hwang (1997) and by Shinozuka (1998).

Major Bridges. The rapid-pushover method and

the other bridge modeling methods described

below would be applied to all bridges in the

Memphis highway-roadway system, except the

two large steel bridges that cross the Mississippi

River along Interstate Highways 40 and 55. For

these major bridges, capacity spectra will be

developed from results of a prior detailed seismic

vulnerability analysis of the Interstate 40 river crossing, and from an approximate assessment of

the Interstate 55 river crossmg, which has not yet

been subjected to a detailed seismic vulnerability

evaluation (Liu, 1997).

Jemigan and Hwang (1997). In an ongoing

study to develop damage state fragility curves for the 452 bridges within the highway-roadway

system in Memphis and Shelby County,

Tennessee, Jemigan and Hwang (1997) are applying the capacity-demand method described

in the FITWA (1995) seismic retrofit manual.

This study has consisted of the development of a GIS data base of structural attributes for these

bridges, a grouping of bridges according to superstructure and substructure characteristics,

and the development of fragility curves for each

grouping that establish the probability of

achieving none/minor, repairable, or significant

damage as a function of peak ground acceleration

(ATC, 1996). Dynamic analysis is used to develop the demands for bridges within each

group, whose attributes are selected from random

sampling of the range of attributes for that group. To date (April 1998), fragility curves have been

developed for most of the bridge groups defined

for the Memphis and Shelby County bridges.

Shinozuka (1997). Another damage state modeling approach is being developed under the

NCEER Highway Project by Shinozuka (1997).

This approach will establish bridge damage state

fragility curves through the use of numerical

simulation based on rigorous dynamic analysis,

in conjunction with professional judgment and

quasi-static and design-code type analysis. The

approach will be validated through comparisons

of analytical predictions against observed

performance of bridges during past earthquakes.

5.4.4 Traffic States

The final step in this bridge modeling process is the establishment of fraffic states along the

roadways at each end of the bridge, and also

along roadways that pass beneath, above, or adjacent to the bridge. These traffic states represent the ability of the various roadways to carry fraffic, in terms of the number of lanes that remain open to fraffic and possibly any reduction

in speed limit as well. Once they are established

for a given scenario earthquake and simulation,

they are incorporated into a system network

model to establish overall post-earthquake system

states (to which fransportation network analysis

procedures are applied to estimate earthquake

effects on system-wide traffic flows). Therefore,

the estimation of traffic states from the bridge

damage states is a key step in the overall system

SRA process.

These traffic states will vary with time after the

earthquake, to reflect the estimated rate and type

of post-earthquake repair of the bridge. This rate of repair will, in turn, depend not only on the type

and extent of damage to the bridge, but also on

construction practices within the region of the

country that contains the highway system being

analyzed. To account for these variables when

establishing improved bridge models for the

planned re-analysis of the Memphis highway

system, an expert opinion approach is being

developed that will involve: (a) establishing each

possible damage state for the various bridges in the system; (b) having experienced bridge

engineers from the Memphis area and the

Tennessee Department of Transportation review

these damage states and provide their opinion as

331
to the costs, types, durations, and traffic impacts

associated with the repair process for each

damage state; (c) interpreting these estimates

using bridge repair cost and functionaUty data

from past earthquakes (in Cahfornia and

elsewhere); (d) from this, estabhshing models

that provide repair costs and traffic states (at various times after the earthquake) for each

bridge damage state; and (e) incorporating these

models into the component module for the SRA

procedure, for use during our subsequent SRA for the Memphis highway-roadway system.

5.5 Transportation Network Analysis Procedure

5.5.1 Background

As previously noted, the network analysis

portion of our prior demonstration SRA of the

Memphis highway system relied on MINUTP ~

a standard program that implements Urban

Transportation Planning System (UTPS)

algorithms (Werner et al., 1996). Experience

from that analysis showed that data preparation

and implementation of MINUTP was

unacceptably time consuming - partially due to the fact that MINUTP was not GIS-compatible.

Also, although UTPS models and their

derivatives are standard planning tools in cities receiving Federal support for local transportation projects, such models have the

following deficiencies for SRA applications: (a)

consideration of an adequate level of detail for representing the region served by the system

(i.e., region boundaries, 0-D zones, and the

system network structure) is costly; (b) loss-of- service measures developed from UTPS

network assignment models are inconsistent

with loss-of-service measures from other UTPS

models; (c) behavioral shifts due to major

disasters such as large earthquakes are difficult to represent; and (d) the UTPS procedure has

little capacity for considering time dependence

of system performance characteristics.

In view of this, it became clear that an

alternative transportation network analysis

procedure was needed that: (a) provides a capacity for more rapid estimation of network

flows; (b) represents the latest well-developed

technology and circumvents technical

limitations of the UTPS algorithms; (c) is compatible with the GIS-based framework of

our current SRA procedure; and (d) provides a

capability for using transportation system input

data typically available from Metropolitan

Planning Organizations (MPOs).

We have found that a new Associative Memory

(AM) procedure for rapid estimation of traffic flows that was developed at the University of

Southern California (USC) best meets the above

objectives (e.g., Moore et al., 1997). The

objective of this AM work has been to provide

rapid and dependable estimates of flows in congested networks, given changes in link

configuration due to earthquake damage, and to attach these changes to the decision-making

procedures used to prioritize bridges for seismic

retrofit. Such a procedure articulates well with

existing efforts in the field, because these flow

estimates are input to both total transportation

system cost and accessibility measures.

5.5.2 Overview of AM Procedure

The AM procedure is derived from the artificial intelligence field to predict changes in highway

system flows. These predictions are based on good approximate solutions to constrained

optimization problems that represent the

economic determinants of network flows. As

such, the AM procedure has the capability to determine changes in the system's total commuting time due to changes in the highway

system network. To illustrate, if one link of a freeway is being considered for retrofit, the

change in the total system commuting time due

to removal of this link is calculated by the

following steps: (a) identification of equilibrium

flows and commuting times for each link in the

intact (pre-earthquake) network; (b) calculation

of total system commuting times by summing

the commuting times for all links; (c) removal

of the link from the highway system, simulating

closure due to earthquake damage; and (d)

determination of the change in total system

commuting time due to the link's removal.

332
5.5.3 Development of AM Matrix

The AM procedure focuses on the development

of an AM matrix that is used to map given sets of system network configurations (stimulus) to lead to corresponding traffic flows (response).

The AM matrix is developed from the following

steps:

Step 1. Training and Test Cases. Standard

numerical analysis is used to develop an ensemble of user equilibrium traffic flows for various network configurations, all of which

represent the same general type of network and

traffic flow characteristics. Most of these

solutions are designated as training cases, with

the remainder designated as test cases. These

flows are computed for each link in the system

in terms of equivalent passenger-car-units per

hour.

Step 2, AM Training. The training cases from

Step 1 are used to train the AM; i.e., to determine the elements of the AM matrix that minimize the mean-square difference between

the true user equilibrium traffic flows for all training cases and the estimated flows using the

AM matrix.

Step 3. AM Testing. The basic premise of this approach is that the AM matrix will provide a good estimate of traffic flows from other

network configurations that represent similar

conditions to those of the training cases, but

have not been included in these cases. To check

this, the AM matrix is used to predict traffic flows for each test case from Step 1, and these

predicted flows are compared to the actual flows

for the test cases as obtained during that step.

Step 4. AM Refinement. From past experience,

Step 3 will usually lead to excellent

comparisons between predicted and actual

traffic flows if an adequate number of training cases has been selected. However, if needed,

additional training and test cases can be

developed in Step 1 and used to further refine

the AM matrix and the accuracy of its traffic flow predictions.

5.5.4 Current Status We are programming the AM procedure for

rapid estimation of traffic flows developed at the University of Southern for incorporation

into the SRA methodology. In addition, we

have compiled network data for the Memphis

highway-roadway system for an updated SRA

* of this system.

Our programming of the AM procedure

considers that the procedure has two submodules — the training and stimulus-response

sub-modules. The training sub-module solves

conventional user-equilibrium flow problems

given different configurations for the Memphis

network. The stimulus-response sub-module

constructs an AM matrix that best fits these user equilibrium inputs (network configurations) and

outputs (traffic flows). In this way, the exact

user-equilibrium solutions "train" the AM,

which then can be used to obtain very rapid

estimates of traffic flows for other network

configurations not included in the training submodule. These AMs have been shown to provide good approximations of user- equilibrium flows associated with new network

configurations, including networks in which

capacity has been lost.

Creation of training data is a pre-processing

step, but users of the SRA methodology will

also have the opportunity use the training submodule to solve for exact user-equilibrium

flows for various post-earthquake network

configurations. Regardless of why users might

elect to solve these flow problems exactly, the

results of the analysis can usually be added to the training data provided to the stimulusresponse sub-module.

We have programmed user-equilibrium traffic- assignment and the generalized inverse-matrix

modules in the C programming language,

specifically Watcom C/C++ VI 1.0. These submodules must be integrated into one model to be tested and applied. We are now

programming an integrated analysis

environment that contains a transportation data333
base management system, training module,

stimulus-response module, and output

generation module.

We have also been working with the Memphis

and Shelby County Office of Planning and

Development (OPD), who is the MPO for the

Memphis region, to compile network input data

for use in our forthcoming SRA of the Memphis

highway-roadway system. The data for this system is based on OPD's most recent (1995)

MINUTP model. These network data includes

665 origin-destination zones and associated trip

tables, 3,853 nodes and their attributes, and

9,716 directional links and their attributes. These data have now been incorporated into the

GIS data base for our Memphis system SRA.

6.0 REAL-TIME APPLICATIONS

Research is being carried out by earthquake

scientists and engineers to develop procedures

for estimation of seismic effects in real time.

Such procedures facilitate rapid emergencyresponse decision making by using scientific and engineering monitoring systems and models

for seismic data collection, analysis, initial real time prediciton of seismic effects, and updating

of real-time predictions as new earthquake data

becomes available (e.g., Eguchi et al., 1997;

Taylor etal., 1998).

The highway system SRA procedure described

in this paper features is well suited for real-time

prediction of highway system seismic

performance. Particular benefits of the

procedure for such applications include its use of GIS-based modules with rapid procedures

for: (a) predicting seismic hazards, component

performance, and system-wide traffic flows; and

(b) display of prediction results. We envision that the use of the SRA procedure

for real-time predictions of highway system

seismic performance would require the

following pre-earthquake steps, as a unified

effort of regional government officials,

emergency response planners, earthquake

engineers, and transportation specialists.

System Inventory. Engineers and planners

should: (a) identify the extent of the highwayroadway system to be analyzed; (b) compile

relevant data for the system, including network,

traffic, component, and origin-destination zone

data as described earlier in this paper; and (c)

identify locations and access routes for key

emergency response/recovery facilities.

Real Time Information Needs. Government and

emergency response planning officials should

identify their particular post-earthquake

information needs from the results of the real- time application of the SRA procedure. This

could include information on: (a) locations of

earthquake damage to the highway-roadway

system; (b) impacts of this system on traffic flows, including alternative routes that would be

taken by users immediately after the earthquake;

(c) accessibility to and from hospitals, police

and fire departments, airports, and other key

emergency response centers; and (d) the

effectiveness of alternative short-term traffic management procedures in reducing postearthquake traffic congestion and improving

access to emergency response facilities.

SRA Module Development. After the above

steps have been carried out, systems and

engineering information needed to rapidly carry out highway-roadway system SRAs in real time can be developed within the GIS-based SRA

preprocessor modules. This would include

development and incorporation of: (a) models

for estimating seismic hazards throughout the

system that are based on regional seismologic

and geologic characteristics; (b) vulnerability

and fragility models for characterizing damage

states and traffic states of the bridges and other

components that comprise the system; and (c) an AM matrix for estimating traffic flows for the highway-roadway system and its range of

potential post-earthquake system states.

Integration into Real-Time Earthquake Damage

Assessment System. We envision that this highway-roadway system performance

predictions would be part of a larger real-time

earthquake damage assessment system that

334
would be in place for the region. Accordingly,

the predictions developed in the previous step,

together with the SRA procedure itself, should

be integrated into this real-time system, so that information on future earthquake magnitudes

and locations can be readily accessed for rapid

estimation of post-earthquake system

performance and losses.

6.0 CONCLUDING COMMENTS

This paper has described a new SRA procedure

for highway systems. A demonstration

application of the procedure to the Memphis

highway system has provided preliminary

results that show the type of information that can be obtained using SRA. Significant

research has been carried out that will

dramatically improve the reliability of the

system performance resuhs obtained using the

SRA procedure.

SRA can enhance the prioritization, planning,

and implementation of seismic risk reduction

for highway systems. Its principal benefit is its ability to directly represent seismic performance

of highway systems - in terms of postearthquake traffic flow - and to represent

systemic effects associated with the damage to various highway components. This information

will provide a much improved basis for decision-making pertaining to such issues as

prioritizing various components for seismic

strengthening, establishing component seismic

performance and design criteria, and justifying

funding for seismic retrofit or other seismic risk reduction measures. In addition, because the

SRA procedure uses rapid GIS-based methods

for estimating seismic performance of highwayroadway systems, it can be readily adapted to real-time prediction applications.

ACKNOWLEDGEMENTS

This research is being funded by the National

Center for Earthquake Engineering Research

(NCEER) under their Highway Project. This

financial support is gratefully acknowledged.

The authors also wish to acknowledge: (a) Dr.

Ian Buckle and Mr. Ian Friedland of NCEER

and Prof Masanobu Shinozuka of the

University of Southern California, for their

encouragement and helpful suggestions; (b) Mr.

Jon Walton, for his programming and GIS

support; (c) Messrs. Clark Odor and Esther

Anderson of the Memphis and Shelby County

OPD, for providing system, traffic, and trip-

- table data for the Memphis area highwayroadway system; and (d) Mr. Edward

Wasserman and his staff at the Tennessee

Department of Transportation in Nashville,

Tennessee, for providing valuable bridge data,

drawings, and reports from their files.

7.0 REFERENCES

Applied Technology Council (ATC) (1991)

ATC-25 — Seismic Vulnerability and Impact of

Disruption of Lifelines in the Conterminous

United States, Redwood City CA.

Applied Technology Council (ATC) (1996).

ATC-32 -- Improved Seismic Design Criteriafor

California Bridges: Provisional

Recommendations, Redwood City CA.

Association of Bay Area Governments (ABAG)

(1997). Riding Out Future Quakes: PreEarthquake Planning for Post-Earthquake

Transportation System Recovery in the San

Francisco Bay Region, Oakland CA, October.

Bartlett, S.F. and Youd, T.L. (1995). "Empirical

Prediction of Liquefaction-Induced Lateral

Spread" Journal of Geotechnical Engineering

ASCE, 121(4), April, pp 316-329.

Barton-Aschman Associates (BAA) (1994).

Interstate 10 Recovery Report — Northridge

Earthquake Recovery California Department of

Transportation, District 7, Office of Operations,

Los Angeles CA. September 15.

Basoz, N. and Mander, J. (1998). Enhancement

of the Highway Transportation Lifeline Module

in HAZUS, Draft Report to National Institute of

Building Sciences, Washington D.C., April 3.

335
Comsis Corporation (1994). MINUTP Technical

Users Manual Silver Springs MD, July.

Daykin, C. D., Pentikainen, T., and Pesonen, M.

( 1 994). Practical Risk Theoryfor Actuaries,

London: Chapman & Hall.

Der Kiureghian, A. and A. H-S. Ang, 1977, "A

Fault Rupture Model for Seismic Risk

Analysis," Bulletin ofthe Seismological Society

ofAmerica, 64( 4), pp 1 173-1 194, August.

Eguchi, R.T., Goltz, J.D., Seligson, H.A.,

Flores, P.J., Blais, N.C., Heaton, T.H., and

Bortugno, E. (1997). "Real-Time Loss

Estimation as Emergency Response Decision

Support System: The Early Post-Earthquake

Damage Assessment Tool", Earthquake

Spectra, 13( 4), November, pp 815-832.

Federal Highway Administration (FHWA)

(1995) . Seismic Retrofitting Manual for

Highway Bridges, Publication No. FHWA-RD94-052, Turner-Fairbank Highway Research

Center, McLean VA, May.

Frankel, A., Mueller, C, Barnhard, T., Perkins,

D., Leyendecker, E.V., Dickman, N., Hanson,

S., and Hopper, M. (1996). National Seismic

Hazard Maps, June 1996 Documentation,

Preliminary Report prepared at U.S. Geological

Survey, Denver CO, July 19.

Gordon, P., Richardson, H.W., and Davis, B. (1996) . Transport-Related Business Interruption

Impacts of the Northridge Earthquake Lusk

Center Research Institute, University of

Southern California, Los Angeles CA, March.

Hwang, H.H.M. and Huo, J-R. (1997).

"Attenuation Relations of Ground Motion for Rock and Soil Sites in Eastern United States",

Soil Dynamics and Earthquake Engineering,

Vol. 16, pp 363-372.

Hwang, H.H.M. and Lin, H. (1997). GIS-Based

Evaluation of Seismic Performance of Water

Delivery Systems, University of Memphis,

Memphis TN, February 10.

Hwang, H.H.M., Lin, H., and Huo, J-R. (1997).

"Site Coefficients for Design of Buildings in Eastern United States", Soil Dynamics and

Earthquake Engineering, Vol. 16, pp 29-40.

Jernigan, J.B. and Hwang, H.H. (1997).

Inventory and Fragility Analysis of Memphis

Bridges, Center for Earthquake Research and

Information, University of Memphis, Memphis

TN, September 15.

Law, A.M. and Kelton, W.D. (1991). Simulation

Modeling & Analysis, New York: McGrawHill, Inc., New York NY.

Leyendecker, E. V., D. M. Perkins, S. T. Algermissen, P. C. Thenhaus, and S. L. Hanson,

(1995). USGS Spectral Response Maps and

their Relationship with Seismic Design Forces

in Building Codes, Open-File Report 95-596,

U.S. Geological Survey, Denver CO.

Liu, W.D. (1997). "Major Bridge Damage State Modeling", Year 5 Research Plan, NCEER

Highway Project, National Center for Earthquake Engineering Research, Buffalo NY,

October 3

Mander, J.B. and Dutta, A. (1997). "A Simple

Pushover Method for Rapid Evaluation of

Bridge Capacity", NCEER Bridge DamageState Modeling Workshop, San Francisco CA,

August 6-7.

Martin, G.R. and Dobry, R. (1994).

"Earthquake Site Response and Seismic Code

Provisions" NCEER Bulletin, 8( 4), pp 1-6.

Moore, J.E. II, Kim, G., Xu, R., Cho, S., Hu, HH, and Xu, R. (1997). Evaluating System

ATMIS Technologies via Rapid Estimation of

Network Flows: Final Report, California PATH

Report UCB-ITS-PRR-97-54, December.

Ng, K.W., Chang, T.S., and Hwang, H.H.M.

(1989). Subsurface Conditions of Memphis and

Shelby County, Report NCEER-89-0021,

National Center for Earthquake Engineering

Research, Buffalo NY, July 26.

336
Seeber, A. and J. G. Armbruster, 1991, The

NCEER-91 Earthquake Catalog: Improved

Intensity-Based Magnitudes and Recurrence

Relations for U. S. Earthquakes East of New

Madrid, Report NCEER-91 -0021, National

Center for Earthquake Engineering, Buffalo NY.

Seed, H.B. and Idriss, I.M. (1982). Ground

Motions and Soil Liquefaction during

Earthquakes Earthquake Engineering Research

Institute, Berkeley CA, December.

Shinozuka, M. (1997). "Development and

Validation of Bridge Fragility Curves", Year 5

Research Plan, NCEER Highway Project:

Seismic Vulnerability of Existing Highway

ConstructionOctoher 3

Taylor, C.E., Chang, S.E., and Eguchi, R.T.

(1998). "Updating Real-Time Earthquake Loss

Estimates: Methods, Problems, and Insights",

Proceedings of Sixth U.S. National Conference on Earthquake Engineering, Seattle WA, May

31 -June 4.

Tokimatsu, K. and Seed, H.B. (1987).

"Evaluation of Settlements in Sands due to Earthquake Shaking" Journal of Geotechnical

Engineering Division, ASCE, 1 13(8), August, pp

861-878.

Wells, D.L. and Coppersmith, K.J. (1994).

"New Empirical Relationships among

Magnitude, Rupture Length, Rupture Width,

Rupture Area, and Surface Displacement"

Bulletin ofthe Seismological Society ofAmerica

Vol. 84, No. 4, pp 974-1002.

Werner, S.D. and Taylor, C.E. (1995). Interim

' Year 2 Report for Task 106 E-7.3.I:

Demonstration Seismic Risk Analysis of

Highway/Roadway System in Memphis,

Tennessee, Report prepared for National Center

for Earthquake Engineering Research, Buffalo

NY, at Dames & Moore, San Francisco CA,

September.

Werner, S.D., Taylor, C.E., and Moore, J.E. II (1996). Volume I Strawman Report: Seismic

Risk Analysis of Highway Systems, Report

prepared for National Center for Earthquake

Engineering Research, Buffalo NY, at Dames &

Moore, San Francisco CA, October.

Youd, T.L. and Gummow, G.A. (1995).

Screening Guide for Rapid Assessment of

Liquefaction Hazard to Highway Bridges, Draft

Report to National Center for Earthquake

Engineering Research, Buffalo NY, August 8.

Youd, T.L. (1997). Empirical Data: Performance of Bridges Subjected to Permanent

Ground Displacement, Personal Communication

to S.D. Werner and C.E. Taylor, July.

Table 1 Effects of Earthquake D on Total System Travel Times and Distances

PARAMETER PRE-EARTHQUAKE

VALUE

TIME AFTER EARTHQUAKE

= 3 DAYS

TIME AFTER EARTHQUAKE

= 6 MONTHS

Value Percent Increase over Pre-EQ

Value Percent Increase over Pre-EQ

Total vehicle hours traveled over 24-hour period (incl. congestion)

3.73 X 105 4.99 X 105 33.8 4.46 X 105 19.6

Total travel distance (mi) over 24-hour period

15.5 X 106 15.6 X 106 small 15.6 X I06 small

337
Table 2

Effects of Earthquake D on Travel Times to/from Origin-Destination Zones (24-Hour Time Period)

Origin-Destination Zone I 1^ L^di iiiuuai^.^ Travel Time

(Hours)

3 Days After Earthquake 6 Months After Earthquake

Description Number

Travel Time

(hrs)

Percent Increase over Pre- Earthquake Time

Travel Time

(hrs)

Percent Increase over Pre-Earthquake Time

Government Center (downtown Memphis)

7 128 143 11.7 133 3.9

o 122 141 15.6 130 6.6 Medical Center 122 136 1 1.5 127 4.1 ZD 114 129 13.2 121 6.1

"77 Z / 114 129 13.2 121 6.1 zo 115 129 12.2 121 6.2 119 133 1 1.8 124 4.2

University of Memphis 11111 I 119 131 10.1 122 2.5

President's Island (Port) 1 J 1 138 153 10.9 144 4.3 Memphis Airport 1 oo 136 150 10.3 142 4.4

Federal Express 1 SQ 130 145 11.5 136 4.6 Mall of Memphis 201 127 145 14.2 133 4.7 Hickory Hill 213 171 185 8.2 177 3.5 Poplar-Ridgeway 230 130 148 13.0 136 4.6 231 1 JU 147 13.1 136 4.6 Germantown 236 141 157 11.3 147 4.3

241 176 187 6.3 181 2.8 Shelby Farms 249 169 176 4.1 174 3.0 252 127 211 66.1 152 19.7

Bartlett 264 148 199 34.5 155 4.7 Covington Pike 274 137 181 32.1 151 10.2 TOTALS 2813 3255 15.7 2963 5.3

Table 3 Economic Impacts of Travel Time Delays due to Earthquake D

Time After Earthquake

Time Delay (Vehicle-Hours/24-Hour Day) Cost/Day

Total Non-Trucks Trucks

3 Days 126,000 88,200 37,800 $1.6 X 106

6 Months 73,000 51,100 21,900 $9.3 X 105

338
\~2. SYSTEM ANALYSIS FOR 1

I EARTHQUAKE E^, AND r r"

GIS DATA BASE

Next

Simulation

SIMULATION n(m)

3. INCREMENTATION OF SIMULATIONS

AND SCENARIO EARTHQUAKES

Next

Earthqualo J'

Incrementations Completed ^ 4. AGGREGATE SYSTEM i ANALYSIS RESULTS i

a) Overall Four-Step Procedure

STEPS 1-4 ^

OFSRA H PROCEDURE I

SYSTEM MODULE

• Network Inventory

• Traffic Data

• O-D Zones

• Trip Distributions

• Traffic Management

• System Analysis Models

• Model Uncertainties

HAZARDS MODULE

• Seismic Zones

• Topography

• Local Soils

• Ground Motion Attenuation

• Geologic Hazard Models

• Model Uncertainties

SOCIOECONOMIC MODULE

•Data

• Models

• Model Uncertainties

COMPONENT MODULE

•Data

Structural Repair Cost

Repair Procedure

• Models

Loss

Functionality Uncertainties

b) GIS Data Base

Figure 1 . SRA procedure for highway transportation systems

339
b) Origin - Destination Zones

Figure 2. Memphis area highway system

340
38 O2.0*M<3.0 OMsS.O

oO.OsM<^0 O't.0sM<S.0

o M<0.0 O 3.0sM<4.0

a) Scenario Earthquakes

Legend

Bridge Location

Mississippi River Roads

River

Soils

Soil Type 2 mm Soil Type 3 ISoil Type 4

b) Local Geology (Hwang and Lin, 1993)

Figure 3. Scenario earthquakes and local geology

341
nil

a

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o „ < o o o o o <o o n "J LO CO ~ o o o o o o

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342
\

Legend

Bridge Location

Road Closed

/\/ One Lane /\yTwo Lanes

Three Lanes

* Four Lanes

a) Pre-Earthquake

b) Post-Earthquake

Figure 5. System states

343
" IJ) e: "v^ a s t ^a. t i r 1 cg^ N -t: w C3 k: Jl 11

€5 1:1 d_ s vj 1 a J i3i ]^ C-3L 11 " M 3_ T_J X. c£i

Professor of Keio University (Chairman of the Above Committee)

Makoto WATABE

Director of The Devastating Preventive Network of Yokosuka City

Satomi HIROKAWA

Th.is paper presents about the report

of devastating network in Miura penin

sula near Toky o . 1 9 9 5 , January . 1 7 , eary

in the morning ,Kobe Earthquake damag

ed many people in Japan. At this eart

hquake , informations were very poor. Si

nee then various cities had committee

s to modify these situations . Yokosuka

City and NTT (Nipon Telephone and Tel

egram) (Chairman was myself) started th

e committee in the same year of March

1 . They were using the ordinary malti

media because of difficalties of usin

g extra methods (like the battery not

working) when devastating earthquake

comes. By 2 years, we could finish bas

ic ideas and the now were realizing.

Key Words : Yokosuka City

Mult imedia

Information network

Application software

Devastating network

1 INTRODUCTION

1995 January 17 eary in the morning,

we had Kobe-Awaji devastating earth

quake, and Japanese people had the big

damages. The cities of Japanese at t

hat time, should consider the mformat

ion ::;y stftins , iiiipotan n to inior ia th^ camuges of, for -.nr^tance , p

c^'yple 111 the damaged areas fro

Hi ;,he cities or firefightinq o

t Sices of the cities. Fort una

if:iy , Yokosuka City was quite ea

gar f <:r i^.f orniat ion systems of

jiatural disastir^r. Especially

•"he r '-servat ion of drikiuq wat

e r , trie 7 must: carry it iroru bag

ami River, f..ir from Yok;'.suka , so

tney form nne ranks of water

before Kobe Earthquake.

2 DEVASTATING NETV^OT^K

D e V c; s t. a t i n g : ; e r w o r k was u s e r u

1 , of course, at natuur al disas

r. e r e v e n t: s , b c r. even o r d i 1 1 a 1 1 y

times usiiig multimedia ijiforma

tion and correspondent network

s,and information between rei

a ted organizations are vei'v im

portant . These are the basic i

deas of " devastating network ".S

afeties of the people in the d

istricts and better services o

f administrations will be also

important . The above network s ystems are used for vordmally

time, for the information ser

344
vices , ed'jcat ion inf omation ' s common u se and for information between admini

stration offices. At devastating time,

to chenge application software , using

the same tools of ordinally time, info

rmation of damages degrees, of accumil

ation, of good tim.ing about the loss

of the people, the common knowledge ab

out the devastating information for e ach information offices are necessary

. Uses of devastating iietwork,on ordi

nal times, were not only the effectiv

e uses of devastating ne^twork in ordi

nal times but devastating network sys

terns must be used ordinal daily beca

use on devastating times, the ordinaly

people , som.etimes , could - not use specia

1 devastating network or devastating

netv/ork was broken arid the poeple cou

Id iiOt realize it until they start to

use or the batteries of devastating

network were run out.

The reason of maltimedia for devasra

ting network were the following;

combinations of variouse information

of pi-ctures,of places, of voices and 1 etters to understand easily the damiag

ed degrees by coming devastation will

be especially i:iecessary at devastati

ng t imies .

3 MIIIRA PENINSULA City (Yokosuka City

) MADE A COMMITTEE FOR DEVASTATIG NET

WORK - ^

Not only peninsula's closed situatio

ns but also this peninsula area are c ailed "Tanito" (valley and door), mixed

with vallies and hi lis, and when deva

stating earthquake comes, m the above

areas are qute difficult to

inform their damages to thei

r area or near areas . Actuall

y,some places of firfighting

radios and potable telephone

s could not communicate each

other (PHS : portable telephon

e became better communicatio

ns recently) .Yokosuka City w as eager about devastating n etwork since long time ago,

nd drinking water were store

d in the water tanks, for ins

tance under the parks becaus

e drinking water were brough

t from Sagami River by the s teel pipes as already writte

n before . Beside the above, th

ey are promoted to prepare m

achine mater ials , food and me

dicines . However the method o

f inf ormat ion , between firefi

ghting offices or cities dev

astating network radios and

general telephones could onl

y use . Cor responcpondent meth

od between self defense armi

es, polices and medical offic

es are known to be only by t

elephones . These the above re

sons became to start the com

mittee of devastating networ

k. Beside the above items, NTT

s roles could not be missed.

In Yokosoka City, NTT may hav

e rsearch office soon, and so

meny people of NTT live in

Miura peninsula area. So NTT

plans the similar devastatin

g netwok with Yokosuka City.

345
Aiid tnis was the one of the reasons >/ hy Yokosuka City made the committee o

f devastating network.

4 CONSIDERATION AND PROCESS

Almost all cities of Miura peninsula

h.ave similar conditions , so other tha

n Yokosuka City, 3 cities, 1 town, NTT a nd Kanagawa prefecture office joined

together for this commit tee . And self

defend army of f ices , mar ine security

of f ices , polices , medical offices and

lifeline business groups (all together

33 offices) joined together. 2 years 1

on.g , com.mi ttee started from March 1 th

e same year of Kobe-Awaji devastating

earthquake . In year of 1995,11 times o

f meet ings (considerations : 3 times org

anizer meetings: 4 times top committe

e:4 times) and 4 5 times of person ^ s h

earings were held to find out the rea

1 problems. And basic concepts were de

termined

Through these meet ings , each related

offices discussed and concidered the

real necessary information , stiles of

these information and what the real u seful information will be. Finally, Oc

tober 26 of nhe same year , H"" ARCSJ (Aid

For District Devastating Network) wer

e made as the result for the rocal de

vastating network.

The second year of devastating netwo

rk commi ttee , dependig upon basic cone

epts , realized devastatiJig network, dis

cussed the specifications of devastat

ing network. 11 times of meetings and

all together 4 1 times of liearings wer

e done. The specifications of necessar

y functions and practical us es of this function were se ttled,and concluded the 2 ye

ars project. By this devastat

ing network project, the trus

t each others of the related

offices were much more inc

reased. After this , committee

of devastating network, at Mi

ura peniunsula area,meny off

ices got together to do the

training of devastating netw

ok. In that sense, the new con

nections of each others will

be made.

The second years of this pr

oject,1996 April, 4 cities an

i d 1 town , collected together

1 the policies of the common p

urpose and once again get to

gether to fix the satellite

telephones , that were establi

shed in prefecture's office

I and polices offices so that

' at anytimes they can contact

j with each other. Upon the ab

ove ideas , communications net

work by the real multimedia

'will be prepared. The later o

I f the second years , depending

upon the final results, star

ted the real devastating net

work.

The research people of NTT'

s developed application soft

ware and Miura peninsula are

became the fields and by ma

ny people of the related joi

ned together for the experie

I nces of application software

346
s. Points of this development were the

use of the standard communication sy- stem, at the same time, to many address

, the communication traffic were flow

n about and treated them with composu

re.Hardwear to load the software were

made by Yukosuka City with some assis

tance from the administration of trad

es and industries . Using LAN and sarve

rs of Yokosuka City and of their educ

ation study offices, the communication

circuits and for the edge PC will be

maintenanced after 1997.

At August 31 1997, using the studied

facilities , the exercise was performed

by Yokosuka City. The information of d

evastating network was to the main me

asure office and we stayed there to e stimate the results. the main measure

office necessaryly chenged some syste

m and brought the new portable termin

ations with staffs of f ierf ighting , to

exercise to send multimedia informat

ion to that main measure office throu

gh pictures, GPS data , voices and lett

er s .

5 FUTURE

The brushup of examined systems and

prepare the real system will be neces

sary to improve these systems . Through

these improvement , finally the wonderf

ul systems will be made.

The practical use of the regulations

will be sometimes quite difficult, so

the through experiment system , hear ing

s will be expected and the practical

rules and systems will be obtained th

rough the forms of frulesj.

The costs of correspondent

maintenances were not cheap,

so ordinal correspondent inf

ormation systems were used,W

e would like to use the excl

usive correspondent safe sys

tems in the future.

347
4J
349
Geospatial Analysis Support to Natural Disasters

By

William E. Roper

ABSTRACT

Natural disasters have a major impact, globally

and within the United States (U.S.) causing injury

and loss of life, as well as economic losses. To

better address disaster response needs, a task force

has been established to leverage technological

capabilities to improve disaster management.

Geospatial analysis is one of these important

capabilities. A cross section of geospatial

technologies applicable to disaster management

are presented. These include: 3-D visualization,

hyperspectral imagery, use of spectral libraries,

digital multispectral video, fluorescence, radar

imaging systems, photogeologic analysis, shaded

relief imagery, differential global positioning

system, and geographic information systems. A

sample of satellite and sensor systems currently

available is presented.

KEYWORDS: disaster management; mapping;

hyperspectral; geospatial; spectral library; radar

imaging; fluorescence; GIS; photogeologic

analysis; GPS; satellite sensors; shaded relief; 3-D

fly through.

1. INTRODUCTION

Natural disasters are a constant threat to mankind

on a global scale. Global disaster costs are continuing to rise. Annual global economic costs

related to disaster events average $440 billion per

year (World Disaster Report, 1996) with floods

being the major cause (Figure 1). In the U.S., the

number of lives lost due to natural disasters has

been decreasing over the last several decades,

largely because of advances in disaster indication

and warning capabilities. In terms of damage to property, however, the trend is reversed. For the

period 1992-1996, the average cost of natural

disasters in the U.S. has been $54.3 billion, with

hurricanes and earthquakes tied as the leading

cause (Figure 2). These rising costs are the

combined result of increased urbanization,

particularly in high-risk coastal areas, and the

increased complexity and size of our

infrastructure.

The loss of life and property continues to rise in

many regions of the world because of these

events. One example is the Bangladesh weather

event of 1970, when a tropical cyclone slammed

into its delta region killing 300,000 people (Tobin

and Montz, 1997). The crop losses were

estimated at $63 million, and more than 280,000

cattle were drown (Burton, Kates, and White,

1993). The rich delta soil is an agricultural resource that still draws people to settle there,

therefore a recurrence of this type of weather

event could likely pose a similar disaster.

This paper will focus on geospatial analysis and some of the specific developments in this rapidly

changing area that can assist the disaster manager.

There has been significant capability growth in

the geospatial areas of remote sensing, spectral

analysis, global positioning systems (GPS),

geographic information systems (GIS), and

modeling and simulation techniques (Roper,

1997). Each adds important value in

characterizing infrastructure, risk areas, disaster zones, and control points that are essential to rapid deployment of scarce resources in the most

effective manner.

2. GLOBAL DISASTER

INFORMATION NETWORK

In February 1997, Vice President Albert Gore sent a letter to key Federal departments and agencies

' Director, U.S. Army Topographic Engineering

Center, 7701 Telegraph Road, Alexandria, VA

22315-3864, www.tec.army.mil

350
requesting that senior officials discuss the

feasibihty of establishing a global disaster

information network. In response to this request, a Disaster Information Task Force was established

to evaluate the needs and issues, examine the

feasibility, and outline a phased, integrated

approach to address this important global need

(Disaster Information Task Force Report, 1997).

There has been considerable effort expended in developing and coordinating activities in the U.S.

Federal government over the last 1 1/2 years

relating to the Global Disaster Information

Network (GDIN). Some of the initial Geospatialrelated efforts focused on the integration of

archival and real-time data sets, and the

adaptation of new and emerging technologies.

Ongoing activities of the Disaster Information

Task Force related to geospatial technology

include directed technology support, information

integration, and modeling technologies for

disaster effects. The specific recommendation for the directed technology area includes

development of approaches to integrate new and

emerging tools and technologies for modeling,

simulation, data fiision, etc., for use by disaster

managers and planners.

It is important to consider the application of

geospatial data and analysis across the

comprehensive Disaster Management Cycle. This

basic four-phased fi-amework of mitigation,

preparedness, response, and recovery, when

integrated with GDIN capabilities, can be a strong

supplement to current disaster support functions

(Figure 3). Geospatial information can make a

critical contribution to the disaster management

community through enhancing the definition,

identification, accuracy, and availability of

essential information for community resilience.

3. GEOSPATIAL RESEARCH

COMMUNITY INVOLVEMENT

The flow of disaster related information can be

conceptually shown as a seven step process as shown in Figure 4. The geospatial research

community may have a role in each of these steps,

depending on the particular disaster situation.

This could include assistance in defining the

problem through current image analysis.

Assistance in determining collection and analysis

methodologies assists in defining the requirement.

A key area of support is providing supporting

data in the form of maps, imagery, and spectral

information.

An even more important support area is data

exploitation. This includes the processing of

digital data, image integration, feature

classification and attribution, classification

output, accuracy assessments, and post-processing

operations. It is the most technically challenging

step in the process. The decision support phase

includes geospatial visualization, merged data

analysis, and specialized decision support

products. This involves the synthesis of data

types in order is generate data layers (such as,

soils, vegetation, terrain) along with models and

simulation techniques that use the various data

layers.

It is during this phase that the concept of virtual

forums could take place. These forums would

allow expert input from multiple locations to be

jointly focused on problem solving for the disaster

situation. Within the geospatial community this could include virtual fly-through support showing

the impacts of possible decisions on the natural

environment, the built environment, and on the

population, including those with special needs. It also could include analysis of changing situational

information, and image-based change detection

and analysis.

In the final two phases, tailored map products and

GIS overlay information can be used as integral

parts of directives and guidance to disaster

mangers in the field. These specific products

could be maps delineating evacuation routes, area

identification for damage assessments, or point

locations for water distribution.

The geospatial research community has typically

been interdisciplinary, including the natural

sciences, engineering, architecture, land use

planning, photogrametry, etc. However, in the

disaster management arena, broader

351
interdisciplinary teaming will be required. This

could include public policy and health specialists

at the Federal, state, and local level. It may

include other medical specialists, police, national

guard, and communications experts.

The greatest potential for loss reduction is during

the mitigation phase (Disaster Information Task

Force Report, 1997), when communities can be

made more disaster resistant. The largest share of

costs, however, are directed toward the recovery

phase, where good mitigation principles also need

to be put into practice rather than just rebuilding

to be impacted by a similar disaster in the future,

geospatial products and location specific tools

developed during the response phase of the

disaster may be excellent vehicles for planning

and implementing effective mitigation.

4. GEOSPATIAL TECHNOLOGY

OPPORTUNITIES

There are a number of new and evolving

technologies and capabilities in the geospatial area that have application to disaster management.

Some of these techniques assess and present data

in new and innovative ways. Others are possible

today because of new sensor and data processing

capabilities.

4.1 DrawLand Visualization

DrawLand is one of the software programs used to support terrain visualization research. It was

developed by the U.S. Army Topographic Engineering Center (TEC) and continues to be refined

and used in research and operational applications.

TEC has recently entered into a cooperative

research and development agreement with

ERDAS Corporation to make DrawLand available

commercially as part of the ERDAS Imagine

software program. Its release is planned for late in 1998.

DrawLand's main input is digital terrain elevation

data (DTED), which can load the program into

memory directly from CD-ROM. The user can

specify the geographic area to be loaded. Given

the southwest comer and the size of the cell,

DrawLand searches for the appropriate files and

can combine data from several files to produce a 3-D terrain scene. A sample scene over a mountainous valley terrain is shown in Figure 5. A 1 minute digital fly-through of this geospatial

database will be presented during the oral presentation.

DrawLand has been used to visualize imagery

from a variety of sources to include: Landsat,

SPOT, high-altitude aerial photography, and

Interferrometric Synthetic Aperture Radar

(IFSAR). It also can use data from commonly

used commercial software for disaster

management support, such as Arclnfo, ArcView,

and ERDAS Imagine. DrawLand can drape raster data over digital terrain elevation data within

minutes to create the appearance of a 3-D map.

In the interactive or flight mode, the terrain is displayed as a reduced resolution polygon surface. Users can adjust the resolution and vary the

rendering mode to suit their purpose (e.g., wire

fi"ame for speed, photo texture for realism).

Coordinates, altitude above Mean Sea Level,

distance above ground, yaw, pitch, and roll, are displayed for the viewpoint or for a model. The

software also provides mission planning tools,

such as masked area depiction, line-of-sight

calculations, and flight path design, and can

include unit symbols or polygon models of objects

based on ground locations. All of these tools

could be tailored to the particular disaster

management situation and requirements.

During flight mode, the movement of the user's viewpoint can be recorded, as can the movement

of any selected model that is being controlled.

The animation can be recorded one frame at a time to a VCR tape or various digital movie

formats. Model movements also can be played

back in real time.

4.2 Hyperspectral Imagery

Hyperspectral remote sensing combines imaging

and spectroscopy in a single system that includes

data sets and processing methods. Hyperspectral

data sets are generally composed of about 100 to

352
200, or more, spectral bands of relatively narrow

bandwidths (5-lOnm). The spectral range of

interest of these data sets usually encompasses the

portion of the spectrum dealing with reflected

energy from the visible to the short-wave infrared

(0.4 to 2.5^m). Hyperspectral airborne sensors can image ground materials in many bands of

relatively high spectral resolution in a digital

mode (Samuel Barr, 1997). Figure 6 illustrates this as applied to the Jet Propulsion Laboratory's

Airborne Visible Infrared Imaging Spectrometer

(AVIRIS) sensor. If a stack of picture elements

(pixels) of a single target were extracted from the

data set and plotted out as a function of

wavelength (Figures 6 and 7), an average

spectrum of all of the materials in the pixel would

result. Because of the 3-D nature of these data

sets, they are generally referred to as image cubes

as depicted in Figure 8.

The large amount of data in the hyperspectral

image cube may provide an important new tool in disaster management. However, there is still much to learn about the practical application of

this technology. An example application, the

mosaic image of Landsat Thematic Mapper data

and AVIRIS data of a portion of the Bighorn

Basin, northeast of Worland, WY, U.S., is shown

in Figure 9. This image illustrates the synergy

between large area coverage by satellite sensors and targeted airborne imaging hyperspectral data. The background image is a roughly 20 by 30 km

portion of a Landsat Thematic Mapper color

composite of bands 3,2,1 (true color), saturationenhanced to contrast with the AVIRIS overlay.

North is shown toward the bottom of the page.

The 3-D hyperspectral image cube demonstrates

the high spectral resolution nature of the AVIRIS

data, which has 224 bands covering the spectral

range of 0.4 - 2.5 ^m at 10 nm resolution. The

AVIRIS cube face is a true color composite using

bands 31, 19, and 10 (0.66nm, 0.55^m, and

0.45 ^m). The cube sides represent color-coded

reflectance spectra for the pixels along the edges

of the image. The color scheme of black, blue, green, yellow, red, and white indicates increasing

reflectance (ENVI internet home page, 1998).

These data are used together in a hierarchical

strategy in this application for geologic mapping

and exploration using Landsat to provide an overview and to locate targets for more detailed

study. The hyperspectral data are used for mineral species identification and abundance

mapping, and field mapping and field spectroscopy for verification. Similar analysis of

this kind of geospatial data might be used to

identify earthquake, landslide, or soil liquefaction

. potential in the mitigation phase of disaster

management. It is important to note that the

commercialization of hyperspectral systems will soon make these data widely available.

Commercial aircraft systems are in use today, and

several satellite systems are planned for deployment by the year 2000.

4.3 Socet Set 3-D Visualization

Socet Set is a geospatial analysis software system

jointly developed by the TEC and the private

sector. Some of the main features of the Socet Set System are to triangulate images from a variety of

sensors, automatically generate elevation data at almost any resolution, generate 3-D features, and

generate orthophotos. Near real-time fly-through

is achieved using Rapid Scene software in conjunction with Socet Set. Both will run on the

Sun computers in near-real time, and an NT

version is expected to be available this fall.

The next generation will be Rapid Scene Open

Graphics Library (OGL), which will operate real time on a Pentium PC running the NT operating

system. The advantages of this NT version are

that the hardware and software required are much

less expensive. A top-of-the-line graphics card,

costing approximately $2,500, and a 200 MHz

Pentium will perform impressively. Another

advantage is that the software uses the native

Socet Set database, therefore no conversion

process is needed.

This software gives the user the capability to properly register (triangulate) the following

sensors: standard aerial digitized frame imagery,

SPOT, LANDSAT, RADARSAT, Japanese Earth

Remote Sensing Satellite, Omni, generic

panoramic, and generic close range. The Socet Set Development Toolkit enables a programmer to

353
insert additional math models into the software to perform registration in conjunction with other

sensors.

Whenever stereo imagery is available for the

above sensors, one can generate high-resolution

elevation data using the Automatic Terrain

Extraction (ATE) module of the Socet Set

software. Thus, it is possible to generate data that has a post spacing of Im, if so desired. The

horizontal and vertical accuracy of this data

depends on a number of factors, such as the

resolution of the imagery, the type of control

points used, and the convergence angle of the

stereo images. Further applications, such as

terrain shaded relief images, and line of sight

analysis, can be done within Socet Set. The line of sight capability provided within Socet Set also

integrates buildings and trees into the analysis (if

constructed in the feature extraction module

described below).

Where the elevation data generated using

automatic terrain extraction does not meet quality

control criteria, a full suite of interactive editing

tools is available to manually update the data. Typically this may be required over features such

as lakes where there is little contrast in the

imagery for the automatic correlation process to perform efficiently.

Another key capability is the ability to create

digital orthophotos where the displacement is accounted for because of terrain relief This in turn can be made into a map substitute with grid

lines and feature annotation overlain for quick

updates of maps in emergency situations.

The Feature Extraction module enables the user

to collect arial, line, and point features while in a 3-D stereo environment. Thus, a true coordinate

exists for every point digitized. The feature

extraction tool also allows the construction of

3-D wire frame models that high resolution

simulator fly-through packages depend on to make the generated scenes appear realistic. The

wire frames can be exported into several other

software packages for further exploitation.

A module called Image Perspective

Transformation (IPT) is available, which renders

high resolution fly-throughs in non-real time.

Although this is not a real-time interactive flythrough capability, several features are still unique on this module. The software allows the user to texture the rendered scenes from multiple

images that are registered in an automated

fashion. Thus, a building can have texture on four

sides and the roof from five different images, and

the user does not have to manually register each

image. Since the images have already been tied to the ground, and with each other photogrammetrically, all of the image texture from all of the

images will correctly cover the appropriate

building face as shown in Figure 10 (a 1 minute

dynamic fly-through was shown in the oral

presentation).

As mentioned previously, Socet Set is one of the

premier database development tools for

constructing high resolution fly-throughs. All of

the above tools give the user the ability to put

together, from two or more images, a complete,

accurate database. The interface with the Evans

and Sutherland, Inc., simulator databases is a final important step in allowing the database to maintain its integrity. Typically, in the translation

of data from one software package to the next,

important attributes are lost or altered, decreasing

the accuracy and usefulness of the database.

The applications of these tools are numerous. TEC has done work to help locate where World

War I-era munitions were buried in the Spring

Valley neighborhood of Washington, D.C., by

triangulating images taken in the 1920s with

modem imagery. This gave analysts the ability to precisely locate where potential burial locations

existed in a modem coordinate system.

For disaster assistance Socet Set can create high

resolution data sets from a wide variety of image

sources. Using Rapid Scene with Socet Set, 3-D

depictions of the terrain and building features can be created. The disaster manager could virtually

walk into the situation to conduct assessments and

planning activities.

354
In summary, this software provides the ability to provide rapid, high resolution databases that can

support a multitude of applications in today's

d>Tiamic environment.

4.4 Spectral Library Database Program

The ever increasing amount of data and spectral

information that is in current databases, and the

future flood of data from hyperspectral sensors, will require a more usable spectral database

library for more effective interpretation and

development of products. The possibility of an open cross platform web-based spectral library is a very powerftil concept. It could provide an

invaluable tool for future spectral related research,

and greatly reduce the time and resources necessary to produce useful products from

spectral data. The design of such a library would

require careful assessment of user needs,

minimum data characterization requirements, and

easy input and access controls.

TEC currently has more than 5000 spectral

signatures, as well as signatures from other

organizations in its existing database catalogue.

These include visible-near infrared, fluorescence

and thermal spectra obtained from field,

laboratory and imagery. These data are being

organized and characterized into an interactive

library structure. The initial design concept is shown in Figure 11a. Upon completion, the

library is intended to have multiple scientific tools for viewing spectral data and performing

numerical and statistical tools for viewing data

and performing numerical and statistical analysis.

The distributed system will house the database

and scientific tools on different servers and

possibly different platforms. The system structure will be transparent to the user who will access the

data over the Internet via a web browser or similar

interface. A prototype of the computer metadata

display and spectral signature is shown in Figures

lib and 1 Ic. This is an activity where we will be

seeking broad collaborative partnerships to build a comprehensive and useful spectral data library.

4.5 Digital Multispectral Video

Digital Multispectral Video (DMSV) is an immerging technology that has strong potential

application to disaster response and mitigation

activities, as well as many other site characterization applications. The DMSV is an

airborne instrument that acquires high spatial and

temporal resolution multispectral (visible to near

infrared) imagery. This technology is very useful

for accurately characterizing complex tidal,

' atmospheric, geologic, anthropogenic induced

change, and geometric events that would be

difficult to measure with other systems.

The surface characterization application of

DMSV, shown in figures 12 and 13, illustrates the

system's tuning ability for detection of whether

shoreline or aquatic vegetation are predominate in an environmental monitoring application. In Figure 12 the location and density of shoreline

vegetation is very evident, but only the presence

or absence of aquatic vegetation is observable

using the 0.75, 0.66, and 0.55 micrometer bands.

If a band combination of 0.77, 0.75, and 0.55

micrometers is used, the density of aquatic

vegetation can be observed (Figure 13).

The DMSV system is comprised of four charged

coupled device (CCD) cameras with 12-mm focal length lenses, a ruggedized 486 PC, 32 Mb of

RAM, a 500 Mb hard disk, and a 4-Mb AT framegrabber board. Each of the four cameras were

fitted with a 25-nm band pass interference filter. These filters were centered at 450-nm, 550-nm,

650-nm, and 750-nm, respectively. The four

bands are captured simultaneously and stored on

internal RAM. Each 8-bit, 740 by 578 pixel fourband frame is a little over 1.7 Mb in size, which

allows for the collection of 17 frames before the

data must be transferred to the PC hard drive.

4.6 Fluorescence

Fluorescence is the emission of light or other

electromagnetic radiation of longer wavelengths

by a substance as a result of the absorption of some other radiation of shorter wavelengths.

Fluorescence spectroscopy is a common technique

used in many scientific fields including

geology, biology, and medicine, and more

355
recently, remote sensing. Fluoresced energy is considered to contain more information about a

features structure than reflected energy. Thre are two primary techniques to obtain fluorescence

information, active fluorescence and passive

fluorescence. Active fluorescence is the more common method in which the excitation energy is supplied by some source other than the sun. Normally, this is a laser or some other

monochromatic light source. Passive

fluorescence uses solar radiation as the excitation source and emission can only be measured in solar absorption regions, also called Fraunhofer

lines(J.N. Rinker, 1997).

TEC is active in many areas of fluorescence

research. Currently, there are two operating

bench-top spectral fluorometers being used in this research. One is a portable passive spectrofluormeter. The second is a new Laser-Induced

Fluorescence Imaging System (LIFI), which will

begin operation this summer. The LIFI

instrumentation is used to derive basic

relationships between an objects physical state and fluorescence response. Fluorescence sensors have been used very successfully to study

petroleum spills, plant stress, and aquatic

chlorophyll.

The significance of fluorescence signatures for

petrochemicals, such as oil, is shown in Figures

14a and 14b. Figure 14a represents the

fluorescence frequency distribution of an organic

garden soil. When only one drop of oil is mixed

into the soil, the frequency distribution is dramatically changed. This same characteristic

could be used to remotely detect, and precisely

locate, small underground gas and oil leaks

following earthquakes and other natural disasters.

There are a number of ongoing collaborative

research projects in the fluorescence area between

TEC and other groups and agencies, including

U.S. Department of Energy, Disney's Epcot

Center, and the Virginia Institute of Marine

Science. Much of the work in this area will be

incorporated into the spectral library program.

4.7 Radar Systems

The state-of-the-art in exploiting interferometric

synthetic aperture radar (IFSAR) for terrain

information is advancing rapidly, and provides

significant potential for use in crisis support

operations. Unlike conventional SAR imagery,

IFSAR data permits the generation of rectified

SAR images co-registered with an accurate terrain elevation file. In addition, this imagery can have

an absolute geographic accuracy of 3m RMS or

less. The rapidity with which IFSAR data can be

collected and processed over wide areas, and the

all-weather, day-night capability, offers

significant potential for providing direct support

to crisis situations, as well as enhancing the

performance of spectrally-based assistance. In

addition, IFSAR terrain elevations can be

employed to rectify hyperspectral imagery,

allowing for the registration of radar and

hyperspectral imagery in the ground plane, thus

providing an improved database for the extraction

of topographic information (Figure 15).

The contractor for this program, titled Interferometric Synthetic Aperture Radar for Elevations (IFSARE), was the Environmental

Research Institute of Michigan (ERIM). Their

efforts resulted in the fabrication of an

interferometric radar system integrated with a GPS internal navigation system which was

mounted on a Learjet 36A. The National

Aeronautic and Space Administration jointed with

the Jet Propulsion Laboratory in California to develop the processing software and the groundprocessing environment. This software and

ground processing capability has now been

transitioned to the Intermap Technologies

Company, and is available for commercial

applications.

This effort represents a convergence of

technology developed by a large number of

investigators, only a few of whom are referenced

above, and a pressing need for low cost, fine

resolution, highly accurate terrain elevations for a wide variety of applications. It is critically

dependent on recently devised GPS capabilities

and the advent of high-speed data processing

capabilities.

356
In summary, the IFSARE system for collecting

digital elevation map information, at low cost, is just now becoming available for application to problems such as disaster responses. It is anticipated that significant IFSAR data collections

will occur in the next few years. Ongoing

activities within TEC are focused quantifying the

performance of IFSAR techniques. Additional

work will be done for demonstrating the capability to merge radar and hyperspectral data. There is significant potential for application of

IFSAR data in all four phases of disaster

management.

4.8 Photogeologic Analysis

Historical Photogeologic Analysis using Aerial

Photography allows mapping of terrain features,

such as fractures or the surface expression of

these fractures, which are called lineaments. Fractures in the bedrock are important to identify

because they often serve as contaminate conduits.

They are the "doorways" that allow surface

contamination to enter the ground water system

(Figures 16, 17, and 18). Changes in land use and

land cover often obscure the surface expression of

these fractures in the underlying bedrock.

Additionally, knowledge of the location,

direction, and length of fractures significantly

improves the speed and results of costly

Geophysical Studies by correct alignment of their survey track planning. Also, surveys that, for lack

of good planning input, do run parallel to

fractures, often produce erroneous data.

In an area of Karst terrain, photogeologic analysis

identification of historical sinkhole depressions can be used. These features also frequently

"disappear" with changes in Land Use and Land

Cover. Like fractures, sinkholes serve as a direct

contaminate conduit for connecting the surface

with the ground water system.

Photogeologic analysis can be applied to the

identification of historic seismic shear zones, and

to the geo-positioning of these features onto

current maps and GIS products. Such products

could be used in all phases of disaster

management.

4.9 Shaded Relief Products

Shaded relief image and vector products are intended to give the user a better perspective of

the ground terrain of interest. Figure 19 shows

the registration of a 20-degree angle hyperspectral

image with a 90-degree vertical hyperspectral

image of the same area.

The co-registered image gives the perspective of

higher resolution and near 3-D presentation. In

this application, the same land-use color coding was used for each image. The classification was

done using automatic delineation of roads,

grasses, trees, water, etc., using only the spectral

response of those materials.

4.10 Differential Global Positioning System

Techniques developed to process signals from two

GPS receivers operating simultaneously can be

used to determine the 3-D vector between the two

receivers. These techniques are known as

Differential GPS (DGPS), and can be used to produce results ranging from millimeters to a few

meters, depending on the method used. DGPS

can easily achieve centimeter-level accuracy

using the carrier phase information broadcast by

the GPS satellites. The On-The-Fly (OTF) system

has been under development at the TEC since the

late 1980s. This system provides real-time 3-D

positions with horizontal and vertical accuracy of

3 cm over ranges up to 20 km from a single

reference station without static initialization.

This high accuracy DGPS technology, developed

at TEC, is being used aboard various platforms

(i.e., airboats, helicopters, and wheeled vehicles)

to support the U.S. Geological Survey's efforts to accurately map the Everglades National Park and

surrounding suburban areas. This mapping

project is in direct support of the South Florida

Ecosystem Restoration Initiative, which involves

various federal, state, and local agencies. Data

collected for this effort will be used to produce

water flow models to accuracies that were

previously impossible,and, thus, will enable the

357
assessment ofthe effect of flood control structures and urbanization on this fragile natural ecosystem.

The DGPS technology also is being used to very

accurately measure tides at the boat or inlet location without the need to construct a physical

tide measurement station. The first application of

this system is underway at Kings Bay inlet in South Georgia (Figure 20). This could dramatically change the way tides are measured. It also has application to all disaster management

situations where rapid accurate knowledge of tide levels is needed to better plan or respond to the

emergency.

4.11 Geographic Information Systems

Geographic Information Systems (GIS) collect,

manage, analyze, and display geographic data. While GIS has much in common with other

information systems technologies, it is unique in

its ability to process information about the

location of geographic features (Board of Earth

Sciences and Resources, 1997). Because of this emphasis on location, GIS technology has found

application in a wide variety of fields, including

banking, precision farming, real estate, forestry,

military operations, and emergency management.

A key feature of GIS is its ability to integrate data

from different sources. GIS data comes from

maps, satellite imagery, aerial photography,

survey data, pictures, and text (Berry, 1995). GIS

software takes this disparate information and puts

it in a common framework.

The power of GIS lies in its sophisticated tool set for analyzing geographic information. Distance,

direction, and area measurements can be

calculated. Map layers can be overlaid and

combined in different ways as shown (Figure 21).

Buffers inside or outside of features can be

generated. Shortest paths through a network, or

across a surface, can be calculated. Relationships

among features, like connectivity, adjacency, or

nearness, can be determined.

The analysis functions of a GIS can be combined

in powerful ways. A GIS can answer complex

queries, such as "Find the closest support vehicle near point A, and route it along the shortest path

between its current location, point A and point B. Choose the path that avoids roads within 200

yards of the floodplain, and roads that are currently under construction."

GIS technology is particularly relevant to emergency management and can be used in all four phases: mitigation, preparedness, response,

and recovery. For mitigation, a GIS can show the

locations of hazards and analyze the vulnerability

of people and property under different potential

disaster scenarios. For preparedness, a GIS can map the locations and characteristics of resources

available to respond to a disaster. Evacuation

routes can be predetermined for different disaster

scenarios. When disaster strikes and the response

phase starts, GIS can support the identification,

location and deployment of resources. Adjustments can be made in real time to reflect the changing hazard, infrastructure, or availability

of resources. For short-term recovery, GIS is a

valuable tool used during damage assessment, and

for the creation of documentation required for

relief support. Finally, GIS can be used for

redevelopment or relocation planning as part of a longer-term recovery effort.

An example application of GIS in the project

management area is the Civil Works Digital

Project Notebook (DPN). The objective of the

DPN was to develop a Windows-based software

package capable of replacing the 38 3-in binders

of Civil Works project maps and information, and

enabling geographically referenced queries of

project information. The DPN is composed of a

series of functions to display information about

the Civil Works projects referenced to district,

division, congressional district, state, and national

boundaries. Each project, defined as a point on a map of the U.S., has associated tabular data, such

as name, type, status, funding amount, etc., that can be displayed on command. In addition, there

is a linked description, large-scale map, and

picture associated with each project as shown in Figure 22. The project information used in the

DPN was compiled from the hard copy project

notebooks and/or district input.

358
ArcView, a commercial-off-the-shelf GIS

package from ESRI, Inc., was used as the

fundamental building block of the DPN. The

ArcView-based DPN displays various themes of

importance to HQ personnel, district and division

personnel, and congressional staffs, who are accustomed to using the traditional bound

document. These themes are displayed on a map

of the U.S., which includes projects (represented

by dots), major waterways, major roads, district boundaries, division boundaries, congressional

boundaries and state boundaries. The user can query projects based on geographical area, type,

category class subclass, status, funding and/or name. The menu was designed to be simple and

usable by those with no ArcView experience, and

minimal computer experience.

5. SATELLITE SENSOR INFORMATION

There are a number of satellite based sensors

currently available for image-based product

production. A sampling of current satellites and some near-term projected systems scheduled for deployment is shown in Figure 23. Landsat and

SPOT were the sources of space-based imagery

during the 1970s and 1980s. Spatial resolution for these systems ranged from 120 to 10 meters, with

most applications using 30-m spatial resolution

data during that time frame. Revisit times for these systems were 16 to 18 days for Landsat, and

26 days for SPOT (Remote Sensing Users' Guide,

1997).

More recent systems have added all-weather

capabilities with RADARSAT and IFSAR in 1995, and spatial resolutions down to 5 m. Revisit

times also decreased to every 2 to 9 days. The

EarlyBird sensor, launched in late 1997, had a

spatial resolution of 3 m and a 2 to 3 day revisit time. Unfortunately, communication with the sensor was lost and no images were ever received

from the system. The follow-on sensor system,

by EarthWatch, Inc., is QuickBird, which is scheduled for launch in late 1999.

Space Imaging, Inc, plans to launch a new

satellite, in June of this year, that could add

significant imagery resources. It will have a 1-m

spatial resolution in the panchromatic mode and a

2- to 4-day revisit capability. In the multispectral

mode, its spatial resolution will be 4 m using 4

bands in the 0.45- to 0.90-um range.

6. CONCLUSION

The opportunity to leverage technology in the

. geospatial area to assist in disaster management

has never been greater. There are many tools and

processes currently in use that have not been

applied to assist in disaster management.

Examples include the application of hyperspectral sensor data, use of digital multispectral video, and

geospatial 3-D fly-through analysis. All of these

capabilities could support and enhance the

information available to the disaster management

decision maker.

There are exciting changes expected to occur

during the next few years in the geospatial data

community. New aircraft and space-based sensor systems are planned that will revolutionize the

spectral and spatial resolution of data available for commercial applications. There will be

challenges, particularly in the data processing and

management area, because of the extremely large

spectral databases these new sensors will

generate.

The spectral library project also provides an

opportunity to expand cooperatively our global

understanding of the vegetative and geologic

spectral makeup of the earth. The baseline data

from this effort would be invaluable in conducting

change analysis assessments following a natural

disaster, such as an earthquake or hurricane.

Using some of the analysis tools described earlier,

the analysts and decision makers could virtually

walk into the disaster situation. Other spectral

technologies, such as fluorescence, could be used

to precisely locate very small underground gas

and oil leaks remotely.

Within the next decade, there may be the ability to better harness geospatial analysis capabilities to help reach the vision for the cooperative exchange

of timely, relevant information useful during all phases of disaster management—to save lives and

reduce economic loss.

359
7. REFERENCES

Barr, Samuel, Hyperspectral Imagery Exploitation

Tutorial, International Symposium on Spectral

Sensing Research, San Diego, CA, 1997.

Berry, Joseph K., Spatial Reasoning for Effective

GIS, Fort Collins, CO, GIS World Books, 1995.

Board on Earth Sciences and Resources,

Rediscovering Geography, National Research

Council, National Academy Press, Washington,

D.C., 1997.

Burton, Ian, Robert W. Kates, and Gilbert F. White, The Environment as Hazard, 2d Edition,

New York, NY: The Guilford Press, 1993.

Disaster Information Task Force Report,

Harnessing Information and Technology for Disaster Management, Global Disaster

Information Network, 1997.

ENVI Inc., AVIRIS Image of Big Horn Basin,

Wyoming, http://www.envi-sw.com/images/asprs, 1998.

Remote Sensing Users' Guide, U.S. Army

Topographic Engineering Center, 1997.

Rinker, J.N., Spectral Remote Sensing Tutorial,

International Symposium on Spectral Sensing

Research, San Diego, CA, 1994.

Roper, William E., Challenges in Spectral Sensing

Research; Observations to Information,

International Symposium on Spectral Sensing

Research, San Diego, CA, 1997.

Tobin, Graham A., and Burrell E. Montz, Natural

Hazards: Explanation and Integration, New York,

NY: The Guilford Press, 1997.

360
Figure 1: Global Natural Disaster Costs

and Distribution by Event Categories

(GDIN Task Force Report, 1997)..

Figure 2: United States Natural Disaster

Costs and Distribution by Event Category

(GDIN Task Force Report, 1997).

361
Figure 3: The Four Fundamental Elements of Disaster Management

Decision Support

Models, GIS, etc.

( Data Exploitation

V Product Generation

Actions

Measurable Outcome J y

/ Supporting Data

\ Imagery, Maps,

Weather, etc.

Requirement

What Is Needed Problem

( Disaster Event and

\^^^^Phenomenology

Disaster

Managemefifr

;|C0n!|)«l«wj^

Figure 4: Elements of the Disaster Management Process (GDIN Task Force Report, 1997).

362
Figure 5: Image of River Valley

used in DrawLand Fly-Through.

Figured: Data Collection

niustration of the AVIRIS

Hyperspectral System.

224 Spectral Bands

i

Single Pixel 20 n X 20 m

224 Images Taker Simjitaneously

In Adjacent Spectrai Bands, Innerently Registered

363
0.40 0.66 0.91 1.17 1.42 1.68 1.94 2.19 2.45 Wavelength (nm)

Figure 7: Spectral Distribution from a Single AVIRIS Image Cube.

Figure 8: Pixel, Spectral Distribution, and Image Cube, Relationships in a Hyperspectral Analysis.

364
365
Figure 10: Scene for Geospatial Fly-Through of Rosslyn, VA, using Socet Set Image Exploitation.

366
Vegetation

Fluorescence

Waveleaglli lo&niiatica

Intensity Units

Passive

Wavelcnglfa tnibnBatjoa

(ii(«A$i(y Units

Soil

Rock _

Mineral —

Caftural

Gas

W»ter/Snow/Ice

Petroleam

Misc —

V

>

Spectram

Filename

Spectrunt Type

Cottection Type

Feature Type

0«t« Time

Location

Detailed Descriptioa Reference

Project

Name

Detailed Deso^ioa

Personnel

Name

Contact tnfoftnation Background

Detaikd Baekgrouod File

Agency

Name

Addresi

A

Radiometer

Malce Model FOV

Calibration Date

Imager

Name

Altitude GSD

Photo

LocatkM rime

Ortentation

Reference Image

?\xti Location Imager

Figure 11a: Framework for the Spectral Library Database Structure.

367
Efc Dirohp a* 5 >

Asphalt BDU Matetial Black Locust

Burro Grass C5

C6

Clay Grass (Fescue)

Gypsum

Hawaiian Lava Japanese Maple

Juniper Limestone UveOalf Loam

M1-A1 Tank Oak Leaf

Pin Oak

Poncho Material Quartz Sand Sand OropsBed

ill

Spactfum

Name: BraOin Snakeweed

Filt IjOiSS.asc Typt Vitible NIR

Collection: Field Faalwe Vegetation Dale 0808^967

Time: 13.00:00

Lat: 32.60000000

Lon- 106 70000000

Elev: 822.000

Note: GiseivGrey. H = 0 5 m

jProjscfc jQfitcjAgsnqr. TEC

\Penonneii Saiiorwhiis. 3o!> OetaJj«|

jPhoto: none DetaHsl

RarfMniwIar Name: GER

Moiiel: Matte IV FOV: 4.00 Cal*ralmn Date: 01/01^900 Pmatm bifDrmafian WavaBeg: 400.00 WaveEnif: 260000 Wave Inc: 5.00 Wave Unds. nm

Unrts- Pertenl Refiectjnce

Calib, Fi!8 garjm .vnl

Show Spacttai Curve

Type: Shnjb Genus: Xa-ittiocephaium Species: soraltirae Cover 0

Note' None

liiMiifi^^

Figure lib: Prototype Metadata Display.

£fc Dl>pl« H* B ^ m

Asphalt BDU Material Black Locust Bioom Snakeweed

Surto Grass C5

C8Day

Grass (Fescuel.

Gtavel Gypsum

Name: Groom 5i>3k?>^ed

Fila: IjoiSS asc Type Visible NIB

Collection: Field Feature: Vegetation

Dale, oa^ge?

Time: 13:00:00

Radlsmattf

Name:

ivlodel: FOV

Calibration Date:

GER

Mark

4.00 01/01/1900 Pmihm InfomiaUoH Wave Bog: 400 00 Wave End; 2500.00

Broom Snakeweed

^1 Maximum X

Minirnum Y: Manimum Y: X Label Spacing- 000 1200 1400 1600 1S0O 2000 2200 2400

Wave Beg: 4CD.X

Wave End: 2600.00 Wave he: 5.m

Wave ijnits: nm

Units: Percent Retlactance

Calib. File: get.OOI.wvl

Y Label Spacing: p 3

[

Reploi~_"j|

Figure 11c: Prototype Spectral Signature Display.

368
Figure 12: Digital Multispectral Video (DMSV) image compiled using bands 0.75, 0.65 and 0.55 micrometers.

This combination shows the shoreline vegetation as well as the presence or absence of aquatic vegetation.

Figure 13: Digital Multispectral Video (DMSV) image using a difTerent combination of bands. Changing

the band combinations to 0.77, 0.75 and 0.55 micrometers shows density of aquatic vegetation.

369
Organic Garden Soil

Emission (nm) 2CB 3tB

Excitation (nm)

Figure 14a: Fluorescence frequency distribution for organic

garden soiL

Emission (nm) 2Q0 300 Excitation (nm)

Figure 14b: Fluorescence frequency distribution for the same organic soil mixed

with one drop of oiL

370
Figure 15: Interferometric Synthetic Aperture

Radar (IFSAR) image.

Figure 16: Photogeologic Analysis using 1937 and 1992 Aerial Photo Images.

371
Figure 18: Fracture Trace Analysis and Image Overlays.

372
Figure 19: Comparison of a shaded relief image and a 2D land use image.

373
Figure 20: Differential Global Positioning System (GPS) application for precise tide level measurement using the Nav-Star Satellite Constellation.

Figure 21: Geographic Information System (GIS) Data Layers.

374
CONEMAUGH RIVER LAKE

SUMMARY OF PERTINENT DATA

30 SEPTEMBER 1992

AUTHORIZATION. Flood Control Act approved 22

June 1936. as amended by the Flood Control Act

approved 28 June 1938.

LOCATION. The dam is located on the Conemaugh

River, in Indiana and Westmoreland Counties, Pa., 7.5 miles upstream fktm Saltsburg, Pa. where the Conemaugh River and Loyalhanna Creek join to form

the Kiskiminetas River. The reservoir is located in Indiana and Westmoreland Counties, Pa

Figure 22: GIS-Based Digital Project Notebook.

Sensor Spatial Resolution Revisit Time Operational Dates Wavelength Regions # of Bands

Landsat MSS 80 meter 16-18 days since 1 972 0.50-1. lum 4 LandsatTM 30 meter 16 days since 3/84 0.45-2.35 um: 6

120 meter 16 days since 3/84 10.4-12.4 t/m 1 SPOT PAN 1 0 meter 26 days since 2/86 0.51-0.73 um 1 SPOT XS 30 meter 26 days since 2/86 0.50-0.89 urn 3 Std Aenal Photo vanable user-defined since 1980 B&W, Color IR. Color RADARSAT 10-30 meter 2-9 days since 1 0/95 C-Band SAR

IFSAR 5-10 meter user-defined since 1995

Digital Orthophoto vanable user-defined since 1980s user-defined

Digital MSI Video 0 25 meter potential user-defined since 1994 0.35-0.95 urn 4 EarthWatch. Inc. 2-3 time/day

EarlyBird-Pan 3 meter lost communication 0.45-0.80 urn 1 EartyBird-MSI lost communication 0.50-0.89 urn 3

QuickBird-Pan launch late 1999 0.45-0.90 urn 1 QuickBird-MSI launch late 1999 0.45-0.90 urn 4 Space Imaging. Inc. Panctiromatic 1 meter 2-4 days Spring 1998 0.45-0.90 um 1 Multispectrai 4 meters 0,45-0.90 um" 4

Figure 23: Table of Current Satellite System Availability and Capability.

375
}I
WIND ENGINEERING

Analysis of Wind and Wind Effects Re\isited - A Case Study

of Deer Isle-Sedg^ick Bridge

by

D. W. Marsh-, B. Bienkievdcz^, andH. R. Bosch-'

ABSTRACT

In 1980 the Federal Hidiway Administraiion began

a detailed study of the viind-iaduced oscnianons of

the Deer Isle-Sedg%^ick Bridge. The bridge is instrumented \sith an array of anemometers and

accelerometers which measure wind \-elocit\- and

bridge response. The present study analyzes the

\^-ind-uiduced motion of the bridge to determine

fiindamental frequencies and mode shapes. It introduces Proper Orthogonal Decomposition

(POD) as a technique for determining primaryfrequencies and mode shapes and compares the

results to those obtained using spectral analysis

exclusiveh-. It unhzes v."a\ elet transform (WT)

analy sis to m\ estigate energy content of temporal

flow events and peaks of the bridge deck response

Both the POD and techniques are found to be

usefiil m analy sis of wind f[o\y and ^^md-mduced

response of the bridge deck.

KE\'AVORDS: wind, proper orthogonal

decomposition, ^\-a^-elet analysis, bridge responsefield measurements, aerodynamic response.

1. INTRODUCTION

The Deer Isle-Sedg\\ick Bridge (DISB) is a longspan suspension bridge similar in cross-section to the old Tacoma Narrows Bridge, which feiled

catastrophically in 1940 due to \\-md-mduced

structural \-ibration. The feilure of the Tacoma

Narrows Bridge made e\ident the need for detailed

analysis of the dynamic beha^ior of long-span

bridges subjected to wind loadmg. The DISB s design was augmented with many structural modifications to minimize wind-induced oscillations,

but significant response is still obsen ed. In 1980,

the Federal Highway Admmistration (FHW'Al

began a detailed study of the wind-induced motion

of the DISB The present paper describes analy sis

ofthe FHW'A da.ta to esiabiish wind chara.c:er.sr:cs atthe bridge site and to determine mode shapes anc

natural frequencies of bridge :scilla:icn. Ii introduces new tools for -wind and bridge response

data analysis: the Proper Orthogonal

Decomposmon iPODi and \^'a%"elet Transfoim

iA\T) analysis. The POD :s sh:-- to re ere:-\-e

m determining Mbranonai cnaracier.iiics oi the

bridge. The is employ-ed in analy-sis of the

bridge peak response.

2. BACKGROL"^'D

21 Com-entional Analysis

Com-entional analy-sis of v»ind and \'.ina ^:OwCed

effects on bridges, buildings and other structures is frequentiy earned our m frequency domain, using

spectral approach.

2.1.1 Wind Field

W'md flow m the annosphenc bo^ondaiy Layer is usually described for wind componenis m three

orthogonal directions; along-\%-md. lateral, and

\-emcal. The charactensncs of flucnianons of

these components are typically specified by power

spectra, which are compared \\Tth empirical

' Dept. of Cnil Engmeenng. Colorado Stare Um%-ersity. Fon CoUins. Co S C'5 2

3 - 1 3 "2

" Tumer-Fairbank High\'»iay Research Center. Federal Highway- Administration. McLean. \'A

::i:'l-::^6 (on leave from Dep: of Civil

Engmeermg. Colorado State Lm\ersii>. Fon

Colhns. CO 80523-13":)

Tumer-Fairbank Highway^ Research Center. Federal Highway Administration, McLean, \'A

22101-2296.

379
spectral formulas based on field measurements. A

number of such formulas have been proposed. The

spectral models recommended by Kaimal, Harris,

and Lumley and Panofsky, Simiu and Scanlan

(1996), are considered in this paper.

2.1.2 Bridge Response

Fundamental frequencies of oscillation of lightly

damped structures can be determined from spectral

analysis of response measurements. The peaks in the autospectra of the response are either due to peaks in the excitation spectra or normal mode

oscillations. The cause of such peaks can be

determined by analyzing the phase information of

the cross-spectra between measurements at different

points on the structure. In case of a bridge deck,

vertical (bending) and torsional modes can be

distinguished by analyzing the cross-spectrum

between measurements at two laterally spaced

points on the structure. The measurements m phase

indicate a vertical mode, while measurements that are 180 degrees out of phase indicate a torsional

mode.

The ftmdamental modes of oscillation of a lightly

damped structure can be defined using the

autospectra of response measurements taken at different points on the structure. For a given natural

frequency, the square root of the autospectral value

at this frequency gives the magnitude ofthe ordinate

of the mode shape at a considered location. The

sign of this modal value is determmed with respect

to a reference pomt usmg the phase mformation

from the cross-spectrum between the measurements

at the reference point and the selected location.

The coherence fiinction provides important

information for determining fiindamental frequencies

and modal shapes. It can be used to estimate the

random errors in the phase values and thereby

establish the statistical significance of the phase

information. In general, the autospectral values

should be used to determine the fiandamental mode

shapes only if the cross-spectra between the

considered locations produce near unity coherence

and near 0 or 1 80 degrees phase, Bendat and Piersol

(1993).

2.2 Proper Orthogonal Decomposition

Proper Orthogonal Decomposition, also called the

Karhunen-Loeve expansion, is a mathematical

technique to establish deterministic spatial fiinction that is best correlated with a given random field. This is accomplished by finding the fiinction ofthe

largest projection (in the mean-square sense) on the

field. The procedure leads to an eigenvalue

problem involving spatial covariance.

The simplest implementation of the POD is for variables measured at umformly spaced locations. In this case the POD for a variable r reduces to the

following (discrete) eigenvalue problem

[i^]=i{<i)}

where is the space covariance of the random

variable r, A is the eigenvalue, and {€>) is the

eigenvector (eigenmode). The eigenvectors are used in a series expansion of the variable r,

where the principal coordinates q^it) can be

computed (in a discrete form) as follows

qn{t) =

' J

Each principal coordinate q„(t) corresponds to a

specific eigenvector 0„ , which in turn represents

n-ih modal shape of the variable r.

It is shown that the spatial distribution of the

variance of r can be written in terms of the

eigenvalues and eigenvectors

It follows that the relative magnitude of the

380
eigenvalue indicates contribution of a particular

mode to the random field r.

In this study, the POD is employed to determine the

eigenmodes and principal coordinates of approach

wind flow and the natural fi^equencies as well as normal modes ofthe bridge deck oscillation. These

quantities are then compared with the results obtained using spectral analysis.

2.3 Wavelet Transform Analysis

Conventional spectral analysis is based on Fourier

Transform (FT), which is of a global nature. In the process, time localization of occurrence of extreme

values of a given signal, such as peaks of wind

speed and/or wind-induced bridge response, is lost. In addition, the standard FT is only applicable for

stationary data. This limitation is to some extent overcome by a modified FT, the Short Time Fourier

Transform (STFT). In this approach, short

fractions of the original data record, resulting from

application of fixed-duration filtering window, are used in the FT and a time-frequency decomposition

of the original signal is obtained. However, the

STFT has a number of shortcomings. The most

critical is a limited frequency resolution.

Limitations of the FT and STFT are overcome by

the Wavelet Transform (WT). Instead of using a window of a fixed time duration, the base functions

of span dependent on time-scale (or frequency) of

interest, are employed. Typically, these fimctions

have a wavy nature and their duration is finite. These "small waves" are labeled wavelets. This is in contrast to harmonic (sine and cosine) waves of

infinite span, employed in the FT. The WT base

fimctions are obtained by dilatation (stretching or compressing) of a reference function, called the

mother wavelet. A number of the mother wavelet

fimctions have been developed. One ofthe fimctions

- the Mexican hat wavelet- is employed in analysis

presented m this paper.

The WT unfolds the signal as a time-frequency (or

time-scale) fimction represented by wavelet

coefficients. It leads to a good time-frequency

resolution for both short and long-duration

components ofthe signal. The parameter similar to

the autospectrum (calculated for example using

the STFT), the wavelet modulus or its square, can

be computed. It is typically plotted as a fianction of time and frequency (or scale) and such

representation of the WT results is called a

scalogram. The volume enclosed by the surface of

the scalogram is directly related to the energy of

the signal, just as the volume under the STFT

autospectrum and the area enclosed by the

conventional FT autospectrum, correspond to the

variance of the analyzed signal.

The real, continuous WT is defined by the

following transform pair

X{aJ)= \ x{u)i//a,{u)du

x{t) = "t;

J J X(a,u)i//^^{u)—dadu

where

1 U - t y/.{u) = -1=11/ {

)

^la a

and

il/(u) = mother wavelet fimction, a = scale parameter,

t = time instant,

x(t) = original signal,

X(a, t) = wavelet transform, and

C = normalization constant.

The choice of the mother wavelet depends on the

intended use. The 'Mexican Hat" wavelet fimction

was used in the analysis presented herein.

3. FIELD CONFIGURATION

3.1 Deer Isle-Sedgwick Bridge

The Deer Isle-Sedgwick Bridge (DISB) is a long- span, girder-stiffened suspension bridge, on the

Atlantic coast of Maine, which connects the

381
mainland at Sedgwick with Deer Isle , in the NESW direction. It was constructed in 1938 and

opened to traffic in 1939. Its main span is 1080 feet long, while the two side spans are 484 feet in length. In addition, there is a 100-foot long approach span on each end giving a total bridge length of 2248 feet. The 20-feet wide deck carries two traffic lanes and

it has an H-type cross-section, similar to that ofthe

old Tacoma Narrows Bridge. Originally, the deck was supported only with vertical hangers from the

main cables. Later, cable stays, traverse bracing,

and cable ties were added to increase the bridge

resistance to wind. Although these modifications were effective in attenuating wind-induced bridge

oscillations, instances of excessive response

attributed to wind are still observed. As a result, the

bridge continues to be the subject of an ongoing

field measurement program carried out by FHWA,

in collaboration with the State of Maine.

3.2 Instrumentation

The bridge is instrumented with an array of

anemometers and accelerometers to momtor the

wind speed and bridge accelerations, see Figure 1

There are six tri-axis Gill anemometers mounted on

outriggers which extend 12 feet from the side and 3

feet above the deck. In addition, two skyvane

anemometers are mounted on the east tower. One is located 18 feet above the tower top, while the

remaining anemometer is at the tower base,

approximately 33 feet above the water surface. The

anemometers provide information on three

components ofthe wind velocity: horizontal normal

to the deck, horizontal along the deck, and vertical, see Figure 1

Six pairs of single-axis servoaccelerometers are

distributed along the span of the bridge, with four

pairs of accelerometers on the main span and two

pairs of accelerometers on the North side span, see Figure 1 . Three additional accelerometers are used

to measure the motion of one of the bridge towers.

Signals from pairs of the accelerometers on the

deck are combined to monitor the torsional and

vertical (heaving) motion of the deck, while the

response in torsion, bending, and sway is extracted

for the tower. Readings from the anemometers and

accelerometers are acquired nearly simultaneously.

with a sampling rate of approximately 20 samples

per second and a typical record length of 10

minutes.

4. DATA ANALYSIS

4. 1 Conventional Data Analysis

4.1.1 Wind Field

The wind data were broken into 4096-data point

records, of approximately 205-second length.

Typically three such records were employed in spectral and cross-spectral analysis, which

included ensemble averaging. The spectra were

corrected for the frequency response of the

anemometers, using approach proposed by

McMichael and Cleveland (1978). Representative

normal to the deck horizontal and vertical velocity

spectra (uncorrected and corrected for the

frequency response ofthe anemometers) are shown

in Figure 2. They are compared with empirical

wind spectra models proposed by Harris, Kaimal,

and Lumley and Panofsky, Simiu and Scanlan

(1996).

4.1.2 Bridge Deck Response

Since the analyzed data was dominated by the

response in vertical (heave) direction, the results presented herein are limited to this direction. Representative autospectra of the deck vertical motion are depicted in Figure 3, while the natural

frequencies and-mo^al shapes, determined from the

spectral/cross-spectral analysis are shown in Figure 4. A comparison ofthe natural frequencies

for the three vertical modes is presented in Table 1

A very good agreement with the results reported by

Kumarasena et al.( 1991) can be observed.

4.2 Proper Orthogonal Decomposition

4.2.1 Wind Field

As mentioned earlier, the POD analysis is sigmficantly simplified when the data is specified

at (spatially) uniformly distributed locations. From

the data set defined by anemometer locations m

Figure 1, approximately equally spaced

382
anemometers 2, 5, and 6 were selected for the POD

calculations. Representative results are shown in Figures 5 and 6, where the convergence of the

reconstructions of the horizontal (normal to the

deck) and vertical velocity components near the deck

mid-span (anemometer location 5) are presented. It can be seen that the reconstruction involving only one POD mode was sufficient to fiiUy recover the

original time series of the vertical velocity

component. Similar conclusions were found for the

remaining anemometer locations.

4.2.2 Bridge Deck Response

The POD analysis of the bridge response was

carried out for accelerometer data at locations 7

through 12. The signals from three pairs of the

accelerometers (7-8, 9-10, andIl-12) were combined to obtain vertical and torsional

accelerations at three, equally spaced bridge deck

locations (quarter-span, half-span, and three- quarter-span), respectively. These six quantities

(vertical and torsional accelerations at three

locations) were used to calculate the space

covariance matrix [R^], ofthe dimension six-by-six.

Next, six eigenvalues, eigenmodes and principal

components of the bridge accelerations were

computed. Each eigenmode was arranged into two

parts:. (1) associated with the vertical degree of

freedom and (2) associated the torsional motion. In

this format the six vertical-torsional pairs of the

modes are depicted in Figure 7, together with the

corresponding six eigenvalues. The modes are arranged in a descending order of the eigenvalues.

It can be seen that the first three modes are

essentially vertical, while the remaining three modes

are torsional. Included also in Figure 7 are power

autospectra ofthe six principal coordinates The

frequency of the dominant spectral peak is marked

for the first four modes. It can be seen that the

(three) POD vertical modes in Figure 7 closely

resemble the natural modes obtained from spectral

analysis. Also a comparison of the natural

frequencies in Table 1 and spectra in Figure 7, shows that the spectral peak frequencies in Figure

7 are equal to the natural frequencies in Table 1. When the POD modes are ordered according to a

descending magnitude of the spectral peak

frequencies in Figure 7, then there exists one-to-one

equivalency between the POD results and the

natural modes and frequencies resulting from

conventional spectral analysis.

The last three modes in Figure 7 are torsional. As

is indicated by the spectra of the principal

coordinates associated with these modes, their participation in the bridge deck response is significantly smaller than that for the vertical modes. Mainly due to this fact, extraction of

torsional modes was difficult using spectral

analysis. It follows that this limitation is overcome when POD approach is employed.

Further analysis, not presented herein, shows that regardless ofnature ofthe acceleration signals and

the level of participation of natural modes in the

structural response, the POD always leads to a set of the natural frequencies and structural modes.

However, this approach has also a drawback. The

number of modal contributions possible to be

detected using the POD can not exceed the number

of input signals used in analysis. If the number of

the data channels is higher than the number of

expected significant modes, this may not be a problem. Effort to apply the POD results to aid

determination of the modal structural damping is currently underway.

4.3 Wavelet Transform Analysis

Wavelet transform (WT) analysis was used in this study to investigate frequency content of(temporal)

peaks of the wind field and bridge deck response. Scalograms involving WTmodulus were employed

in the study. Also the wavelet coefficients were

used in (wavelet) filtering and reconstruction ofthe

analyzed signals.

4.3 .1 Wind Field

Representative results ofWT analysis ofwind field are shown in Figure 8, for the anemometer near the

deck mid-span, anemometer 5 in Figure 1. A

fraction of the record of the horizontal (normal to the deck) velocity component and plot of the

corresponding WT modulus are depicted. The

time series in the figure is centered at the time

instant of occurrence of the peak vertical

383
acceleration at the center of the deck. This

scalogram highhghts discontinuities in the wind

velocity signal and reveals the spectral content of

the wind velocity peaks. Significant contributions

reaching down to 0. 18 Hz, at several time instants, are exhibited.

4 .3 .2 Bridge Deck Response

Figures 9 and 10 show representative results ofWT

analysis of the bridge deck response. A fraction of

the time series of the deck response a the mid-span

location (accelerometers 9-10, Figure 1) is shown in Figure 9, together with its WT scalogram. The

scalogram indicates a slightly modulated harmonic

signal, with maxima at approximately 0.7 Hz. A

closer examination of the numerical values of the

WT modulus shows that the peaks actually occur at the frequency of 0.698 Hz. This is in a close

agreement with the POD results in Figure 7, where

a dominant participation ( in the vertical motion) by

the mode with the natural fi^equency of 0.698 Hz is apparent. Compare also spectral results in Figure 3

Application ofthe WT results in decomposition and

reconstruction of the bridge response time series is illustrated in Figure 10. The original signal (upper

plot), the signal contribution at the fi'equency of

0.698 Hz (middle graph), and the signal

reconstructed using the WT results (lower plot) are shown. It can be seen that indeed the 0.698 Hzcomponent ofthe signal is dominant (middle graph)

and that the original signal can be reconstructed

from the WT results.

It has been shown elsewhere, Bienkiewicz and Ham

(1997), that the cross-wavelet analysis of the

approach wind and wind-induced loading may

provide useful physical insight, not available using

traditional (e.g. FT based) techniques.

5 CONCLUDING REMARKS

The Deer Isle-Sedgwick Bridge data displays

motion dominated by vertical modes of oscillation. Bridge response in the first three vertical modes was

identified using traditional spectral approach.

Compatible results were obtained using the POD

analysis. In addition, by application of the POD it

was possible to identify modes of vibration not

clearly apparent from FT spectral analysis.

Wavelet transform was found useful in timefrequency analysis of extreme wind speed and

bridge response. It made possible determining

energy content of both the peak wind speed and

bridge deck acceleration.

Further investigation is needed to fully evaluate the

potential of application of the proper orthogonal

decomposition and wavelet transform, as well as

other novel techniques, in study of wind effects on

long-span bridges and other wind-prone structures.

6. REFERENCES

Bendat, J. S., and Piersol, A. G. (1993)

Engineering Applications of Correlation and

Spectral Analysis, John Wiley and Sons, Inc.

Bienkiewicz, B. and Ham, H. J. (1997), Wavelet

Study of Approach-Wind Velocity and Building

Pressure," Journal of Wind Engineering and

Industrial Aerodynamics, Vol. 69-71, pp. 671-683.

Bienkiewicz, B., Ham, H. J. , and Sun, Y. (1993)

"Proper Orthogonal Decomposition of Roof

Pressure," Journal of Wind Engineering and

Industrial Aerodynamics, Vol. 50, pp. 193-202.

Bosch, H. R, and Miklofsky, H. A. (1993)

"Monitoring the Aerodynamic Performance of a

Suspension Bridge," Proceedings of the 7* U.S.

National Conference on Wind Engineering, Los

Angeles, CA, Vol. I, pp. 125-134.

Kumarasena, T., Scanlan, R. H., and Morris, G. R. (1989) "Deer Isle Bridge: Field and Computed

Results," Journal of Structural Engineering, Proc. ASCE, Vol. 115, No. 9, pp. 2323-2328.

Kumarasena, T., Scanlan, R. H., and Ehsan, F. (1991) "Wind-Induced Motions of Deer Isle Bridge," Journal of Structural Engineering, Proc. ASCE, Vol. 117, No. 11, pp. 3356-3374.

McMichael, J. M. and Cleveland, W. G. (1978)

"Characteristics of Helicoid Anemometers,"

NBSIR 78-1505, National Bureau of Standards,

384
Washington, D.C., 1978.

Simiu, E. and Scanlan, R. H. (1996), Wind Effects on Structures, 3'^'* Edition, John Wiley and Sons, Inc.

Table . 1 Natural Frequencies of Deer Isle-Sedgwick Bridge

Vertical Mode Spectral Analysis

[Kumarasena et al.] POD Analysis

[Present Study]

V Symmetric 0.28 Hz 0.308 Hz

Anti-symmetric 0.49 Hz 0.508 Hz

2"'* Symmetric 0.68 Hz 0.698 Hz

Figure 1. Deer Isle - Sedgwick Bridge ~ Instrumentation Layout

385
Figure 2. Autospectra of Horizontal (a) and Vertical (b) Velocity Components

386
1e+5

0.01 0.1 1.0 10.0 0.1 1.0 10.0 0.1 1.0 10.0 Frequency (Hz) Frequency (Hz) Frequency (Hz)

Figure 3. Autospectra of Vertical Accelerations of Bridge Deck

Figure 4. Natural Modes and Frequencies Determined from Spectral Analysis

387
200

100

0

-100

-200

100

0

-100 -1

-200

100 -

0

-

-100 -

-200 300

Original Time Series Reconstruced Time Series

301 302 303 304 305 306 Time (sec)

Figure 5. POD Reconstruction of Horizontal Velocity Component

307

200

100 -

0

-

100

200

100

0

-

100 -

200

100 -

0

-

100 -

200

Original Time Senes

Reconstruced Time Series

300 301 302 303 304 305 306 307 Time (sec)

Figure 6. POD Reconstruction of Vertical Velocity Component

388
Mode Shapes Spectra of Principal Coordinates

X^1.39e-2

X=1 .236-4

X=5.56e-5

X=1.44e-5

X=1.39e-5

— Vertical Torsional

0 200 400 600 800 1000 Distance from Southwest Tower (tt)

1e-S

1e+0

10-5

le+0

1e-5

\e*0

iJ4

0.508 Hz

ILL

0.698 Hz

A. .jliilli 111

01 10 Frequency (Hz)

Figure 7. POD Mode Shapes and Autospectra of Principal Components

389
^1200

CO 1

!JlOOO oo

(D ^ 800

Normal Velocity - Anemometer 5

295 300 305

time (sec)

Wavelet Modulus

310

295 300 305

time (sec)

Figure 8. WT Spectrogram of Normal Velocity

310

315

315

50

Vertical Acceleration - V9-10

295 300 305

time (sec)

Wavelet Modulus

310 315

295 300 305

time (sec)

310 315

Figure 9. WT Spectrogram of Vertical Acceleration at Deck Mid-Span

390
Figure 10. Wavelet Transform Reconstruction of Vertical Acceleration at Deck Mid-Span

391
Next Generation Trans-Strait Road Projects and

the State of Technology Development

by

Michio Okahara , Masahiro Nishitani

ABSTRACT

Super long-span bridges between 20 and

30% greater than the Akashi Kaikyo Bridge

need to be constructed in order to create new

traffic axes to enliven and stimulate outlying

regions of Japan for the 21st century. Studies

have been undertaken to develop ways to construct super long-span bridges more

economically and rationally. As the results,

new types of structures, new concepts of

designs, and innovative execution technologies

have been introduced, permitting the

construction of super long-span bridges at much lower cost than by simply extending and

applying existing technologies.

Key Words : Trans-Strait Road Projects

Super Long-Span Bridges

: New Types ofStructures

New Concepts ofDesigns

1. INTRODUCTION

'^ The Akashi Kaikyo Bridge, the longest one among not only bridges between Honshu

and Shikoku but also all bridges in the world,

opened on April 5, 1998. When the Kurushima

Bridges and Tatara Bridge will open as scheduled in the spring of 1999, Honshu and

Shikoku will be linked completely by the three routes as envisioned in the original plans.

New traffic axes are being advocated as the key to making effective use of the limited

land area of Japan to provide this country with

a more balanced national land structure for the

21st century. And the lessons learned by the

Hyogo-ken Nanbu Earthquake have shown us

that the redundancy in infrastructures is extremely important.

For such backgrounds, new traffic axes

to play a key role in creating newly defined

multi national land axes to enliven and

stimulate outlying regions of Japan occupy the

following position in the "New Comprehensive

National Development Plans" authorized by

the Japanese Government in March, 1998. The

Tokyo Bay Mouth Road, Ise Bay Mouth Road,

Kitan Strait Road, Kanmon Strait Road , Hoyo

Strait Road and Shimabara-AmakusaNagashima Bridges projects, that should be

implemented with close attention paid to cost- benefits effects and other related conditions,

are planned to promote the development of

new technologies including those that reduce

the cost of long-span bridges construction, to protect their surrounding environments, and to stimulate outlying regions by promoting

increased cooperation and interaction among

regions.

Figure 1.1 presents trans-strait road

projects now at the concept stage.

To complete the Akashi Kaikyo Bridge

and other Honshu-Shikoku Bridges, new

technologies of various kinds were developed,

permitting the construction of safe and

1) Director, Structure and Bridge Department,

Public Works Research Institute, Ministry of

Construction, Tsukuba, JAPAN

2) Advisory Engineer for Bridge, Planning and

Research Administration Department, ditto

392
reliable long-span suspension bridges in the

2,000m class. It will be necessary to apply even more advanced versions of these technologies

in order to construct the next generation

projects.

But the meteorological and

oceanographic conditions in terms of

topography, geology, water depth, wind speed

and so on at the planned sites of future projects

are expected to be severer than those at the

Seto Inland Sea area where the HonshuShikoku bridges were constructed. Since the

straits to be crossed will be wider and deeper,

planned bridges will require superstructures

with longer spans and substructures

appropriate for deeper water. Faced to the

Pacific Ocean, they will be vulnerable to the

effects of typhoons and ocean waves. They

must also be constructed in earthquake prone

area. Considering these conditions, it has been

concluded that super long-span bridges

constructed as the part of future projects will

be between 20 and 30% longer than the Akashi

Kaikyo Bridge. It is believed that it would be

technically possible to use the same technology

applied to the construction of the HonshuShikoku bridges to build bridges greater than

ever before, but to build them more

economically and rationally, newer

technologies must be developed.

2. OUTLINES OF

TRANS-STRAIT ROAD PROJECTS

Three trans-strait road projects, namely

the Tokyo Bay Mouth Road, Ise Bay Mouth

Road, and Kitan Strait Road, are introduced

below.

2. 1 Tokyo Bay Mouth Road

The Tokyo Bay Mouth Road is about

20km long trans-strait road (marine section : about 10 to 15km) crossing the Uraga Strait to link the Yokosuka-shi in Kanagawa-ken with

the Futtsu-shi in Chiba-ken.

The Uraga Strait is an international

navigation channel (channel width : 1,750m)

where ships converge. The Tokyo Bay Mouth

Road will be constructed close to the location

of the epicenter of the Great Kanto Earthquake

of 1923.

The bridge now under consideration is a long-span suspension bridge with a center span

length of 2,250m.

2.2 Ise Bay Mouth Road

The Ise Bay Mouth Road is about 90km

long trans-strait road (marine section : about

20km) crossing the Ise Bay Mouth from Irago

Cape at the tip of the Atsumi Peninsula in Aichi-ken to the Shima Peninsula in Mie-ken.

The Ise Bay Mouth is a strait designated

as an international navigation channel (channel

width 1,200m). Plate boundary-type

earthquakes of Magnitude 8 class occurred

near the planned site around 1945, and there is a fear of the Tokai earthquake near the route. The plan now under consideration

hypothesizes a long-span suspension bridge

with a center span length of 2,000m.

2.3 Kitan Strait Road

The Kitan Strait Road is a trans-strait

road with a length of about 40km (marine

section : about 11km) linking the Wakayamashi in Wakayama-ken with the Sumoto-shi in Hyogo-ken.

The Kitan Strait Road locates parallel to the Median Tectonic Line where the high level of activity is forecast and close to the

epicenters of the Nankai Earthquake and other

plate boundary-type earthquakes.

The study underway in preparation for

the construction of the bridge over the Kitan

Strait hypothesizes a long-span suspension

bridge with a center span length of 2,700m.

Figure 2.1 shows the planned route and Figure

2.2 shows the Kitan Strait Bridge.

393
3. INTRODUCTION TO NEW

TECHNOLOGICAL DEVELOPMENTS

3.1 Introduction to New Technological

Developments

Priority and preferential studies of

technologies believed to have the potential to contribute to the shortening of construction

period and reduction of construction cost are now in progress. The major technological developments

that have been promoted are broadly

categorized into three groups : 1) new types of

structures, 2) new concepts of designs, and 3)

innovative execution methods. An outline of

these technological developments is presented

in Table 3.1.

3.2 New Types of Structures

(1) Girder Sections with Lower Cost and Better Aerodynamic Stability

It is vital to guarantee that super longspan suspension bridges remain stable during

strong wind conditions. Methods of

guaranteeing aerodynamic stability include

increasing the stiffness of stiffening girders

and devising innovative new girder sections.

For the Akashi Kaikyo Bridge, a truss type stiffening girder already used in earlier

bridges has been adopted. And because of their

small center span lengths of about 1,000m,

single box type stiffening girders have been

used for the Kurushima Bridges.

Problems that must be overcome to construct super long-span suspension bridges

with a center span length greater than 2,000m

include 1) the steel weight increase caused by measures to increase the stiffness of the

stiffening girders and 2) the truss girders are vulnerable to the effects of wind by the high

drag force. To overcome these problems,

studies now in progress are focused on the use of slotted box girders and single box girders on two premises: 1) the use of box girders will

improve the wind resistance, improving the

vibration properties and aerodynamic

properties and 2) it is possible to construct a

superstructure using the hoisting erection

method that raises the box girder blocks

directly from the sea surface at the erecting

location.

(2) Underwater Foundations with Lower Cost

and Better Earthquake Resistance

Comparisons of the planned sites of

future projects with those of the HonshuShikoku Bridges reveal that 1) the former tend

to be closer to the epicenters of large scale

earthquakes, 2) their foundations must be

constructed in deeper water, 3) and the

properties of the bearing ground supporting

their foundations are worse than in the case of

earlier bridges. It will, therefore, be necessary

to develop underwater main tower foundation

types that are of more highly earthquake

resistance and more economical and rational to construct than existing cylindrical solid

foundations (the main tower foundations of the

Akashi Kaikyo Bridge for example).

Studies to meet these needs are based on

the twin-shaft type foundation shown in Figure

3.1. The benefits of this type include 1) lower

concrete volume that reduces construction cost and shortens construction period, 2) the light

weight that allows its use on relatively softer

ground, and 3) the light weight and lower

center of the gravity for superior earthquake

resistance. It is essential that future projects be

preceded by studies to determine the shape

most appropriate for each project considering

design and construction conditions such as the

water depth, geology and so on at the planned

sites.

3.3 New Concepts of Designs

(1) Wind Resistant Design

While the Honshu-Shikoku Bridges were

being designed, a number of wind resistant

design methods for long-span bridges were

studied and tested experimentally to improve

394
design precision. The knowledges obtained

from the results of the full model wind tunnel

studies conducted to study the aerodynamic

stability of the Akashi Kaikyo Bridge in

particular has been applied to propose a number of new concepts that may be

incorporated into wind resistant design of

future super long-span bridges.

[1] Review of Wind Fluctuation Characteristics

As the span length of bridges increases,

the cross section of girders will be determined

in accordance with wind load. It is, therefore,

possible to create more economical and

rational designs by improving the precision of

wind load calculations.

Wind load is calculated by increasing the

static load calculated from mean wind speed

accounting for the effect of wind fluctuation.

The results of the full model wind tunnel tests of the Akashi Kaikyo Bridge and observations

of natural winds have confirmed that it is possible to achieve a relative reduction of the

effect of wind fluctuation acting on the girder

of a long-span suspension bridge. In other

words, the wind load used to design super

long-span suspension bridges can be lower

than that calculated based on conventional

standards.

[2] Development of Flutter Analysis

Aerodynamic stability of long-span

suspension bridges has been studied based on wind tunnel tests in use of a section model

supported by spring, but it is now known that since the span of bridges has increased, it is impossible to fully reproduce their behavior

using a section model. For this reason, the

wind resistant design for the Akashi Kaikyo

Bridge involved the clarification of

aerodynamic stability by conducting the wind

tunnel tests using the 40m long full model to reproduce the complex vibration properties of

the real bridge. The findings of this studies

have permitted the development of a flutter analysis to be used to precisely clarify the

aerodynamic stability of a long-span bridge.

(2) Seismic Design

It has been pointed out that future

projects sites are close to the epicenters of

large scale plate boundary-type earthquakes

and the existence of active faults in the vicinity.

It is, therefore, necessary to adopt appropriate

design earthquake ground motions and

corresponding analytical methods so that it will

be possible to practice economical and rational

design and will guarantee the aseismicity of the

structures.

[1] Basic Concepts of Seismic Design

As a basis of seismic design, the design

earthquake ground motions and the

corresponding safety levels of structures will

be considered at two stages. At Level- 1 (LI),

"damages which destroy transportation

functions shall be prevented for moderate

ground motions induced in the earthquakes

with high probability to occur within the life time of structures". At Level-2 (L2),

"recoverable functional damages shall be

allowed, but collapses shall be prevented for extreme ground motions induced in the

earthquakes with low probability to occur at future projects sites."

[2] Input Design Earthquake Ground Motions

The input design earthquake ground

motion used for LI design is evaluated by

statistically analyzing past earthquakes within

300km of the center of future projects sites to hypothesize ground motion with return period

of 150 years. The input design earthquake ground

motion used for L2 design is evaluated on the

hypothesis that either large scale plate

boundary-type earthquakes or inland intra-plate

earthquakes caused by active faults will occur

relatively close to future projects sites. This

ground motion is evaluated in some ways : 1)

attenuation equations, 2) fault rupture process

models, 3) recorded strong ground motion at near field of large scale earthquakes.

[3] Seismic Design Methods of Foundations

The seismic design of foundations is

395
conventionally done based on the response

spectrum method : the use of a rigid body using a two-degree-of-freedom model that represents

soil stiffness as a linear spring. But because it

is clear that during a large scale earthquake, the

stiffness and damping properties of

surrounding soils produce nonlinear behaviors,

the LI seismic design method that accounts for these properties has been developed. It is, therefore, now possible to perform high

precision rational seismic design of

foundations.

The check of the stability of foundations

against L2 ground motion is made by elastoplastic FEM time history response analyses. In the analyses, the nonlinear stress-strain relation

of surrounding soils is modeled as the modified

Ramberg-Osgood model, and a model that can

represent the characteristics of the separation

between a foundation and ground is used. The

properties of ground are analyzed in detail by

this method.

(3) Design of Superstructures

In superstructure design standards of the

Honshu-Shikoku Bridges, provisions

contributing substantially to lower construction

cost and shorter construction period have been

reviewed.

[1] Allowable Stress of Main Cables

Because the weight of main cables in a super long-span suspension bridge with a span

length exceeding 2,000m will account for

between 20 and 30% of the steel weight of the

bridge, and lowering the weight of main cables

will make a large contribution to lowering

construction cost and shortening construction

period.

The design of main cables in the

Honshu-Shikoku Bridges were adopted as the

allowable stress of 56kgf/mm^ for the

Innoshima Bridge (completed in 1983) and

64kgf/mm^ for the Seto-Ohashi Bridge

(completed in 1988). In the design of the

Akashi Kaikyo Bridge, because the cable

strands material was improved to increase the

tensile strength from 160kgf/mm^ to

1 80kgf/mm^, the allowable stress was raised to 82kgf/mml

In the design of super long-span

suspension bridges, it was found that the

allowable stress of main cables could be set at lOOkgf/cm^ on such grounds as, 1) the quality

of high strength strands material will stabilize,

2) bridge erection will have high precision, 3)

corrosion prevention technologies will be sure

to have improved, and 4) there will be leeway

considering the safety balance of an entire

suspension bridge system.

A comparison of the allowable stress of

main cables with a case where it would be

identical to that of the main cables of the

Akashi Kaikyo Bridge (82kgf/mm^) reveals

that the weight of main cables can be lowered

by about 40%.

[2] Methods of Live Loading

The design live load of super long-span

suspension bridges is based on a calculation

method that reduces live load according to the

span in the same way as the design of the

Honshu-Shikoku Bridges. And the method of

loading only a traffic lane width instead of

loading a carriage way width is adopted to account for the real situation of motor vehicle

traffic.Main towers have conventionally been

designed by performing influence line loading : loading live load in a loading range that

represents the severest possible conditions on

the design section. But because it is highly

unlikely for such loading conditions to actually occur, it is clearly possible to increase the

allowable stress.

(4) Design of Substructures

Because the selection of the bearing

layer to support a foundation is governed to a

great degree by the dimensions of a foundation,

the quantity of soils to be excavated to reach

the bearing layer, etc., this is an important

396
matter in determining the construction cost and

period. To practice an economical and rational

design, the bearing capacity of ground and

deformation of a foundation must be precisely

calculated and reflected in the design.

Accordingly, the method involving the

clarification of the on-site ground properties

through geological explorations and laboratory

tests, the precise modeling of the results, and

FEM analyses accounting for these ground

properties have been developed. Specifically,

1) the geological properties of ground are

clarified by acoustic explorations, boring

explorations, or borehole loggings at the site,

2) the undisturbed specimens obtained by

boring are used to clarify the deformation

properties of ground from a minute strain level

to a failure range, and 3) the nonlinear

properties of ground are modeled and analyzed

based on the results of the first two steps.

3.4 Innovative Execution Methods

(1) Execution Methods of Superstructures

Execution methods of superstructures

have been introduced existing execution

methods from other countries. Examples

include 1) the use of tension bolts to assembly

tower shaft joints, 2) the use of the hoisting

erection method to install girder blocks, and 3)

finishing tower bases with grouting. Other

methods under consideration are the systematic

overlapping of work steps by, for example,

simultaneously erecting hanger ropes and

girders, a main cable erection method that does

not require catwalks, and more economical use of tower erection cranes.

(2) Execution Methods of Substructures

Maritime conditions will be particularly severe at the sites of future projects ; ones to be

constructed facing the Ocean where they will

be exposed to the effects of typhoons and

ocean waves. Execution methods that minimize

the effects of the maritime conditions at the

sites in order to improve working days ratio

under these severe conditions now being

studied include the use of semi-submersible

pontoons immune to the effects of waves, the

prefabrication of caissons and other steel members, and so on.

3.5 Effect of New Technological Developments

A comparison of the results of the trial design performed using newly developed

technologies with that based on existing

technologies has confirmed that new

technological developments have been

effective.

Table 3.2 presents the comparison of the

results for the Tokyo Bay Mouth Bridge. It indicates that it is possible to reduce

construction cost roughly by 30 to 50% in case developing new technologies are utilized. The

factors for this reduction are presented below.

But assuming that the factors overlap, the

percentages representing the contributions of

each new technology to the reduction of

construction cost are just rough yardsticks.

1) Developments of new types structures (about 25%)

- Adoption of a slotted box girder (with an open grating)

- Adoption of a twin-shaft type foundation

2) Introduction of new concepts designs

(about 10%)

- Reduction of wind load

- Classification of design earthquake ground

motions at two stages

- Review of safety factors

- Appropriate evaluations of bearing capacity

of ground

3) Innovative execution methods

(about 5%)

- Review of fabrication precision and

introduction of overlapping execution works

- Improvement of submarine drilling and

working days ratio The developments of new types

structures contribute greatly to the construction

cost reduction.

397
4. SPECIFIC EXAMPLES OF

NEW TYPES STRUCTURES

4.1 New Types of Superstructures

(1) Slotted Box Girders

[1] Development of girders with better

aerodynamic stability

A slotted box girder has an opening at the center of girder. Section models premised on a center span length of 3,000m with two

side spans of 1,500m have been used for wind

tunnel tests to study the relationship of the

flutter onset wind speed with the opening

pattern, opening width and aerodynamic

appendages.

The results have revealed the following

facts.

1) Aerodynamic stability is improved by

providing an opening at the center of girder,

and the larger the width, the better

aerodynamic stability.

2) It is possible to improve aerodynamic

stability by installing center barriers in the center of the opening.

3) It is possible to improve aerodynamic

stability by installing guide vanes at the end of

girder.

4) Guard rails contribute to improved

aerodynamic stability and it is possible to improve aerodynamic stability during negative

angle of attack by installing under barriers at the bottom of girder to create vertically

symmetrical cross sections.

Figure 4.1 shows a cross section

proposed based on the results of the wind

tunnel tests.

[2] Developments of girders with lower cost The central part of a slotted box girder

must be provided with an opening as a wind

resistance measure (the solidity factor of the

opening is about 50%). But it is more

economical and rational to provide the

necessary opening width by installing an open

grating to permit motor vehicles to drive on the

top of the open grating than to provide the

width of traffic lanes on the top of box girder.

The girder with an open grating sharply cuts construction cost and shortens construction

period. Specifically, 1) a main tower interval

need not be expanded, 2) a foundation width

need not be increased, and 3) the steel weight

of a super long girder can be reduced.

The number of traffic lanes of future

projects is assumed to be four lanes. In this case the central two lanes will have to be

located on the open grating. The adoption of a

slotted box girder will also permit stage

construction, as the first two lanes are opened

on the top of box girder and two more lanes are added later after an open grating has been

installed. In Japan, open gratings have been

installed on some long-span bridges, such as the Seto-ohashi Bridge and the Akashi Kaikyo

Bridge. But because they were introduced to guarantee aerodynamic stability, they were

installed on parts of these bridges that normally

load no traffic such as the central strip and road

shoulder. They have never been used to form a roadway. Table 4. 1 presents some examples of

their use as a roadway in foreign countries.

Photograph 4.1 shows the open grating of the

Mackinac Bridge in the United States. It has

not been replaced during the forty years since it was constructed.

At the PWRI, driving tests are planned to confirm the running safety of motor vehicles to travel at high speed on open gratings. The tests will be carried out to study 1) skid resistance on open gratings, 2) running safety when road

surface conditions differ between the left and

right wheels of motor vehicles (when changing

lanes for example), 3) human engineering

verification during driving on them (riding

comfort, uneasiness experienced by drivers and

so on), and 4) traffic management measures

(speed limits and so on), etc. Skid resistant tests are now underway

(Photographs 4.2 and 4.3). The tests are being

398
done with two kinds of open gratings : the open

grating used at the Akashi Kaikyo Bridge and

the open grating with notches formed on its

lattice members surface to increase skid

resistance.

The tests were done with the Test Vehicle running to the direction of the

principal members of the open gratmgs and

with the Test Vehicle running at right angles to the direction of these members. And sprinklers were used to reproduce rainy weather

conditions m order to test their skid resistant

properties during rainfall. Figure 4.2 shows the results of the tests. The results reveal the following facts, 1) the

sliding friction coefficients of gratings are smaller at slow speeds than at high speeds, 2)

the notches on the gratings surface can slightly

improve their sliding friction coefficients, 3) a lane changing can be performed surely for a motor vehicle running in the same direction as

that of the principal members, but braking is more unsurely, 4) it is necessary to develop an open grating that provides far greater safety

when braking and changing lanes.

It has also been confirmed that the

adoption of a slotted box girder with an open

grating will reduce the steel weight of girder by

about 30% from the weight of a truss girder.

This weight reduction will encourage the

rationalization of main cables, main towers and

substructures, permitting an entire suspension

bridge to be constructed more economically

and rationally.

It IS now assumed that only the center of

girder will be open gratings, but girders with

the entire roadway width formed by open

gratings (that is, all-grating girders) are also

under consideration. The adoption of these

types would permit both sharp reduction in the

steel weight and large cost saving.

(2) Single Box Girders

It is considered that it would be difficult to guarantee a flutter onset wind speed

(hypothetically 80m/s) on a center span length

longer than 2,000m by adopting single box

girders without improvements.

So studies are now being conducted in an effort to improve vibration properties of

super long-span suspension bridges by

connecting the main cables to the stiffening

girder with cross-hangers (Figure 4.3) crossing ever the deck to restrict the structural torsion.

The cross-hangers under consideration

are a steel box type and cable type. A steel cross-hanger is also effective against

compressive force. Flutter analyses have been carried out,

confirming their effectiveness. The cross- hangers would be installed at the locations

shown in Figure 4.4 in the case of a super

long-span suspension bridge with a center span

length of 2,500m with two side spans of

1,250m. The flutter analyses results have

demonstrated that the flutter onset wind speed

is improved by about lOm/s by the single box

girder with cable cross-hangers from that of the

bridge without the system about 60m/s and by

about 20m/s by the single box girder with steel cross-hangers.

But to design the single box girders with

steel cross-hangers, it is necessary to overcome

problems related to the connection between

cross-hangers and girder and the structural

details of cross-hangers intersection part.

4.2 New Types of Substructures

(1) Main Tower Foundations for Super LongSpan Suspension Bridges

To propose a main tower foundation for super long-span suspension bridges, research

has been focused on the following items that are assumed to contribute significantly to saving cost to study a structure created by

improving the twin-shaft type foundation

shown in Figure 3.1.

[1] Rationalizing the large foundation design

methods

The use of the seismic design methods

399
and substructural design methods described in

3.3 permits more rational foundation design.

[2] Improving the shape of foundations

The adoption, premised on design

method rationalization, of a drastic structural

shape that achieves a sharp reduction in the

body quantities will sharply lower cost.

[3] reducing the quantity of submarine drillings

To cut the cost of submarine drillings,

studies must be carried out to develop

substructural design and construction methods

that eliminate the need for submarine drillings.

[4] Adoption of reinforced concrete main

towers

The adoption of reinforced concrete

main towers will lower cost by rationalizing

the reinforced concrete tower's construction

method. And the construction of reinforced

concrete towers will result in large reduction in the size of tower foundations made possible by

the smaller dimensions of main tower's

bottoms.

[5] Rationalization of concrete works

The concrete works that accounts for the

principal share of the cost of substructure

works must be rationalized by, for example,

devising new execution methods or structures

that do not require the use of a concrete plant

barge.

Figure 4.5 shows a hybrid caisson

foundation that has been proposed as a new

structure that will permit these improvements.

A hybrid caisson foundation is a

structure that transmits tower reaction forces

from the top slab made of reinforced concrete

to ground through the caisson wall that is a combined steel and concrete structure. The

wall, a type called a full sandwich structure, is formed by casting highly flowable concrete

between steel plates with stiffeners. The

adoption of the full sandwich structure can

save labor by eliminating the need to assemble

reinforcements and to compact fresh concrete. The main towers are made of reinforced

concrete for lower cost and continuity with a

foundation. To minimize the quantity of

expensive underwater concrete used, the

interiors of the caissons are filled with sea water instead of underwater concrete. This type

also can reduce ground reaction forces and

permits a shallower bearing layer.

Another innovation being studied is a measure to reduce foundation size and

eliminate the need for submarine drillings by

spreading crushed rocks and grouting in their

mound, forming a skirt on the bottom surface

of a foundation, and inserting the skirt into the

mound.

Figure 4.6 shows the work procedure.

(2) Anchorages for Super Long-Span

Suspension Bridges

Figure 4.7 shows an anchorage with the

splay saddle mount and anchor block separated.

A splay saddle mount and anchor block is separated to reduce the quantity of concrete

used. The bottom surfaces of both are inclined

to minimize sliding forces. Downward inclined compressive force

produced by the bending in main cables acts on

the splay saddle mount. So it is designed with

the axis of the member oriented in this

direction to transmit this force directly to ground. The adoption of this shape can reduce

the size of the body and the maximum ground

reaction force to install it vertically on ground

in the direction of the force. The anchor block is the part that resists

the huge horizontal force of main cables.

Inclining its bottom surface can reduce the

quantity of concrete used while satisfying the

required sliding safety factor. Figure 4.8 presents the execution

procedure.

The anchor block and splay saddle

mount are prefabricated separately as reinforced concrete caissons, and after they are towed to the site by tug boats and installed at the fixed location, concrete is casted inside

them respectively. In anticipation of cases that

400
the reinforced concrete caisson of the anchor

block will be too heavy to be executed while

floating and setting, a method of dividing the

anchor block in some parts then joining them

on the water is under study.

Technical issues that must be resolved

for this anchorage type include preliminary

submarine drillings, inclining of the bottom

surface related to concrete works, and others.

5. CONCLUSIONS

The studies have shown that new

technologies such as developments of new

types structures, introduction of new concepts

designs and innovative execution methods will

permit the construction of super long-span

bridges at much lower cost than if existing

technologies were applied.

Further studies of new structures, design

methods, and execution methods are necessary

in order to achieve even lower construction

cost and shorter construction period.

And for each project, the investigations

of natural conditions at the planned sites will

be continued and reinforced. Then based on

their results, the studies will be made to make

the design and construction plans more

economical and rational in the view of the

unique local situations.

ACKNOWLEDGEMENTS

The Ministry of Construction has

established the Investigation Committee on

Trans-Strait Road Projects to efficiently

conduct surveys of super long-span bridges in

conception with the trans-strait road projects.

Some of the newly developed technologies

introduced in this report have argued in the

Committee.

We sincerely thank Dr.Yoshida

(Chairman : President of Honshu-Shikoku

Bridges Engineering Co. Ltd.) and all of the

Committee members for their encouraging

guidance.

REFERENCES

Public Works Research Institute, "Report

of the Investigation Committee on Trans-Strait

Road Projects in Japan", August 1993 (in

Japanese)

Public Works Research Institute, "Report

of the Investigation Committee on Trans-Strait

Road Projects in Japan", March 1996 (in

Japanese)

Table 4. 1 Suspension Bridges with Open Grating Used as Roadway

Bridge Country Center Span Year Location of Purpose

Length(m) Completed Open Grating

New Tacoma Br. US 853 1948 Lane boundaries Aerodynamic stabilization Mackinac Br. US 1,158 1957 Sidewalks, inside lanes Aerodynamic stabilization Salazar Br. Portugal 1,013 1966 Inside lanes Aerodynamic stabilization Angostura Br. Venezuela 712 1967 Inside lanes Weight reduction

Aerodynamic stabilization

401
Table 3. 1 Outline of Technological Developments

Item Outline of technological developments

Developments of new types

structures

Girder sections with lower

cost and better aerodynainic

stability

Studies of slotted box girders with an open grating at the

center of girder and single box girders with cross-hangers

for lower cost and better aerodynamic stability.

Underwater foundations with

lower cost and better earthquake resistance

Studies of underwater main tower foundations and

anchorages for lower cost and better earthquake resistance.

Developments of new concepts

designs

Wind resistant design Study of the possibility of reducing wind load by reviewing

natural wind fluctuation characteristics. Development of flutter analysis.

Seismic design Setting two stages of design earthquake ground motions and

studies of seismic design methods for each stage. Design of superstructures Review of the safety balance of entire suspension bridge

systems in order to achieve lower construction cost. Studies of live load loadmg method that accounts for

real conditions of motor vehicle traffic. Design of substructures Studies of appropriate methods of evaluating ground bearing

capacity and deformation.

Innovative

execution

methods

Reduction of

construction cost Studies of construction cost reductions by reviewing material standards and fabrication precision.

Shortening of

constraction period

Studies of construction period reduction based on systematic

overlapping of work steps. Studies of work methods that increase the working days

ratio under severe marine conditions.

Table 3.2 Effect of New Technological Developments (Case of Tokyo Bay Mouth Bridge)

Item Tnal design based on Trial design based on

existing technologies new technologies

Basic Span lengths (m) 720 + 2,250 + 720 860 + 2,250 + 860

specification s Cable interval (m) 30.5 25,5 Dead load (tf/m/Br) 42,33 25,12

Superstructures Girder Shape Truss Slotted box girder with open grating Width X Height (m) 30.5 X 14,0 32.0 X 4.0 Tower Shape Truss-type/reverse Y-type tower shaft Rahmen-type / single tower shaft Tower height (m) +324 +295 Tower shaft interval (m) 30,5 - 52,0 25.5 - 36,0

Cable Allowable stress (kgf/mmZ) 82 100

Diameter (cm) 115 86

Substructures lA Dimensions (m) 90 X 68 90 X 55 2P Dimensions (m) 58 X 80 35 X 75 3P Dimensions (m) 58 X 80 35 X 75 4A Dimensions (m) 90 X 68 90 X 55 Volume Super- Tower (tO 60,000 (1,00) 37,000 (0,62)

structures Cable (tf) 64,000 (1,00) 35,000 (0,55) Girder (tf) 78,000 (1,00) 58,000 (0,74) Totals (tf) 202,000 (1,00) 130,000 (0,64)

Concrete of substructures (m3) 1,448,000 (1.00) 756,000 (0.52)

Approximate construction period (years) 11 (1,00) 6,5 (0,59)

Approximate Superstructures (100 million yen) 2,420 (1,00) 1,250 (0,52) construction Substructures (100 million yen) 1,730 (1,00) 1,060 (0,61)

cost Total (100 million yen) 4,150 (1 00) 2,310 (0,56)

Remarks

402
Hayasaki Strait

Nagashiina Strait Hoyo Strait

Tokyo Bay Mouth

Ise Bay Mouth

Kitan Strait

Straits Strait width (km)

Maximum water depth

(m)

Maximum tidal current speed

(m/s) Maximum wave height(m)

Tokyo Bay Mouth

Ise Bay Mouth

12 80 1.0 8 20 100 15 21

Kitan Strait 11 150 3.5 18 Kanmon Strait 2 20 1.5 almost 0 Hoyo Strait 14 200 3.0 12 Hayasaki Strait 5 110 3.5 12 Nagashima Strait 2 70 4.0 18 Akashi Strait 4 100 4.5 10

Figure 1. 1 Major Trans-Strait Road Projects

Hyogo-ken

Akashi Kaikyo Bridge

Awaji-island

Osaka

Osaka-bay

Kansai Airport

Kitan Strait Road

) • Wakayama Wakayama-ken

Awaji-island Wakayama

Figure 2.1 Kitan Strait Road Route

Figure 2.2 Kitan Strait Bridge

403
Figure 3. 1 Twin-Shaft Type Foundation (left) and Cylindrical Solid Foundation (right)

main cable

center barrier

guide vane

under barrier Figure 4.1 Slotted Box Girder with Aerodynamic Appendages

(running to principal members direction) (running at right to principal members direction)

o

o

co

OX) c

100 120 running speed (km/h)

Figure 4.2 Results of Skid Resistant Tests

80 100 izo running speed (km/h)

main cable

cross-hangers

Figure 4.3 Single Box Girder with Cross-Hangers

location of cross-hangers (T)

^TTtrmJL 1 ^SrTTTlTlllTllTTTTT^

.613.0 613.0 744.0 992.0 744.0 613.0 613.0.

. 1.226.0 2.480.0 , 1.776.0

Figure 4. 4 Location of Cross-Hangers

404
crushed rock skirt mound

Figure 4.5 Hybrid Caisson Foundation

reinforced concrete tower

filler (sea water)

grouting

® fabrication of steel caisson o movement for offshore working yard

D casting highly flowable concrete d setting, grouting and filling

and outfitting

I I I^—u I 1

Figure 4.6 Execution Procedure of Hybrid Caisson Foundation

splay saddle mount

incorporating with caisson

protection concrete Figure 4.7 Anchorage Separated of Splay Saddle Mount - Anchor Block

® fabrication of caisson @ towing and setting of anchor block

"I

handling and setting

of splay saddle mount

floating crane barge ® casting concrete

concrete plant barge

Figure 4.8 Execution Procedure of Anchorage Separated of Splay Saddle Mount - Anchor Block

405
Photograph 4.1 Open Grating of the Mackinac Bridge

Photograph 4.2 Situation of Skid Resistant Tests Photograph 4.3 Open Grating used Tests

(with Notches)
New Hurricane Wind Structures and Wind Speed Measurements

by

Peter G. Black^

and

Frank D. Marks, Jr.* ABSTRACT

A major source of difficulty in past efforts to predict TC intensity, wind fields, and storm

surge at landfall has been the inability to measure the surface wind field directly and the

inability to predict how it changes in response to external and internal forcing. A synthesis ofpast

observations of gust factors in hurricanes, in

addition to new GPS dropsonde observations,

have made it possible to estimate peak gust, 1- min and 10-min sustained mean windfields at thelO-M level. Significant departures fi-om the

traditional log law have been found. Recently,

multiple low-level wind maxima were observed

in eyewall observations fi-om GPS dropsondes.

Recent Observations of eyewall mesovortices

have made it possible to observe the structure and characteristics of these features as they

make landfall. They have been found to be

associated with strong convection in the eyewall

at a time when rapid strengthening is occurring.

This can produce short periods of intense winds

at considerably larger distances inland than is normally expected for landfalling hurricanes.

KEYWORDS:

boundary layer; eyewall; gust factor; hurricane;

mesocyclone; mesovortex; satellite; radar;

tropical cyclone; typhoon.

1. INTRODUCTION

It is an important international priority to improve the forecasts of surface wind field,

intensity, structure and storm surge in

landfalling tropical cyclones (TC) in order to successfully mitigate the detrimental physical

impacts associated with these storms. Coastal

population growth in the U.S. of 4-5% yr', is outpacing the historic 1-2% yr' rate of

improvement in official hurricane track

predictions. While specific track prediction

models have indicated a 15-20% improvement

over the past 2-3 years, very little skill has been

shown in the prediction of intensity change or wind field distribution (Neumann et al 1997).

For this reason, the average length of coastline

warned per storm, about 570 km, has not

changed much over the past decade, nor has the

average overwaming percentage, about 75%.

However, the average preparation costs have

increased eight-fold in the past 7 years from

$50M storm ' in 1989 (Sheets 1990) to an

estimated $300M storm ' in 1996, or about $1M

nm ' of coastline warned (Jarrell et al 1992;

Neumann et al 1997). The increasing potential

for severe loss of life as coastal populations soar, and potential monetary losses of tens of billions

of dollars requires that greater effort be directed

to understanding all physical processes which

play an important role in modulating TC wind

fields and storm surge at landfall. A major source of difficulty in past predictions

of TC intensity, wind fields, and storm surge at landfall has been the inability to measure the

surface wind field directly and the inability to predict how it changes in response to external

and internal forcing. The surface wind field

must presently be estimated from a synthesis of

scattered surface ship and/or buoy observations

and aircraft measurements at 1.5 km to 3.0 km

altitude (Powell 1980; Powell et al 1996; Powell

and Houston 1996). This task is complicated by

variations with height of the storm's structure,

such as the change with height of storm-relative

flow due to environmental wind shear and to the

variable outward tilt of the wind maximum with

height.

1 NOAA/AOML, Hurricane Research Division,

4301 Rickenbacker Causeway, Miami, FL 33149

407
Numerous studies of TC structure have been

made previously using various combinations of

remote sensing and in situ data. Numerous

studies of TCs have been made concentrating on NOAA aircraft data, ground based radar and

surface damage reports, e.g., Willoughby and

Black (1996) and Black and Marks (1991).

Based on NOAA aircraft observations, eyewall

mesovortices and attendant supercell convection were associated with intense turbulence, vertical

air motions in excess of 20 m s ' at cloud base

and momentary loss of aircraft control during

low-level penetrations in rapidly developing

Hurricanes Gladys (1975) and Hugo (1989).

Vorticity perturbations were deduced with

magnitudes on the order of Midwest

thunderstorm mesocylones. Land based radar

observations and damage surveys after

Hurricane Andrew (1992) suggested that

enhanced swirling motion associated with

convectively initiated eyewall mesovortices may

have been responsible for the intense inland

wind damage associated with landfall in South

Florida (Wakimoto and Black 1994; Willoughby

and Black 1996). Convective perturbations

along the inner edge of the outer eyewall of

Typhoon Paka (1997) led to three distinct

destructive wind surges over the northern half of

Guam.

An in-depth examination of 3-5 s gust factors at 10-m level derived from a number of sources

suggest that separate populations of gust factors are associated with mid-latitude storms, over- water and over-land TC conditions. The mean

over- water gust factors for 1-min, 10-min and

30-min measurement duration in TCs were

found to be 1.23, 1.40 and 1.48, respectively.

The ratio of average maximum wind estimates in West Pacific TCs from the post- 1970 data set over those from the pre- 1970 data set, is found

to be about the same as the ratio between flight- level (cloud base) winds and surface winds, an average of 0.8 (Powell, 1980). Recent Global

Positioning System (GPS) dropsonde (GPS

sonde) data in the eyewalls of Hurricanes

Guillermo (1997) and Erika (1997) in 1997

suggest that different ratios may apply in the TC

outer region beyond the eyewall than in the

eyewall itself. The difference in wind estimates

between the two time periods in the western

Pacific may be due to the failure to take into

account the decrease of the wind with height in the boundary layer of the TC for the pre- 1970

era observations.

Black (1993) suggested that the TC gust factor

increased with height at the same rate that the

mean wind decreases with height in the TC

atmospheric boundary layer (ABL), implying

that convection conserves momentum in the

ABL, maintaining a nearly constant peak gust

wind speed with height. The recent Guillermo

and Erika GPS sonde data have shown that the

vertical structure in the ABL is much more

complex than previously thought containing

multiple wind maxima. Multiple wind maxima in the ABL was first observed by Wilson (1979)

with instrumented tower observations.

2. EYEWALL MESOVORTEX STRUCTURE

In Hurricane Andrew (1992), an eyewall

replacement cycle developed as the storm moved

across the Gulf Stream. The Miami WSR-57

radar was able to observe the dissipation of the

old eyewall over the Bahamas simultaneously

with its replacement by a larger eyewall. A slow

contraction of the new eyewall followed and two

centers of convective activity formed in the

eyewall and rotated around the eye. As the storm

approached Miami, two distinct cyclonic mesovortices could be seen adjacent to the convective

centers of action on opposite sides of the

eyewall, which rotated about a common center in the middle of the eye. The presence of two

meso-vortices indicated a predominance of wave

number-2 asymmetric structure. However, as the

eyewall approached the coast and came into view

of the Tampa WSR-57 radar, as well as the

Melbourne WSR-88D radar, a transition was

observed from a rotating wave number-2

asymmetric flow to a fixed wave number

asymmetric flow relative to the translating center, even as the intense winds destroyed the Miami

WSR-57 radar.

The Tampa WSR-57 radar, which was being

recorded digitally by a team from the Hurricane

Research Division, scanned the eyewall at 30-s

intervals, covering an altitude band of 3-8 km.

The WSR-57 revealed that a series of 7 intense

raincells developed in the north portion of the

eyewall as it made contact with the coast, moved

across south Dade County and dissipated in the

south portion of the eyewall, south of

Homestead, PL, during the 45 min required for

the eyewall to move ashore. Development of the

intense raincells, which began as the eyewall

made contact with the coast, continued at intervals of 3- to 7-min, and ended once the

eyewall was completely over land. Each had a

408
life cycle of 8-15 min growing in intensity from

30 dBZ (-10 mm h ') to 50 dBZ (150 mm h '). The rapid growth in cell intensity implied

intense updrafts within the cells. These updrafts,

imbedded within the background TC-scale

vorticity, enhances the vorticity locally on the

scale of the updraft by means of vortex tube

stretching and tilting of horizontal vorticity into

the vertical. Thus, meso-vortices, similar to that associated with the tornado cyclone in rotating • severe thunderstorm cells, were probably

produced in Andrew's eyewall in association with

each intense raincell.

Through the process of geostrophic adjustment,

the pressure field adjusts rapidly to perturbations

in the wind field on the mesoscale which are

larger than the Rossby radius of deformation

(on the order of 10 km for TC eyewalls). Hence,

as the perturbation vortex grows with the

raincell, an accompanying pressure perturbation

develops near the inner edge of the eyewall,

where the updraft is located. Anecdotal evidence

for the existence of this pressure perturbation was obtained from two sources. First, by pure

serendipity, the NOAA-11 polar-orbiting

spacecraft passed over South Florida at a time

exactly midway through the raincell production

process as the eyewall was moving onshore. The

1-km resolution infrared image (not shown)

revealed a "hot spot" in the image, not in the

center of the eye, as normally expected, but

offset from the center immediately adjacent to the eyewall convection. The second

serendipitous observation was made by a private

citizen, who observed their minimum pressure

reading for the storm from a home barometer,

later calibrated, which was situated exactly within

the warmest pixel of the image and within 3 min

of the satellite image time. Four additional

private pressure observations in the nearby area confirmed the existence of a pressure

perturbation along the edge of the eyewall that was 9 hPa lower than the minimum pressure in the center of the eye observed by Air Force

reconnaissance aircraft at nearly the same time.

Such a mesovortex was actually penetrated by

research aircraft at low altitude (300 m) in Hurricane Hugo (1989), obtaining detailed

flight-level measurements. The Hugo aircraft

flight revealed a classic meso-vortex signature

with a wind speed perturbation of 30 m s ' and a pressure perturbation of 13 hPa and was tracked

for 5 revolutions about the eye center during a

1.5 h period as 5 separate cells developed and

decayed, an almost identical scenario to Andrew.

An eyewall mesovortex was first photographed

from above by a U-2 aircraft in Typhoon Ida

(1958) (Fletcher et al 1961). The eyewall

actually folds into the eye as it attempts to partially wrap around the meso vortex in Ida. Both Ida and Hugo shared a common

characteristic with Andrew in that they were both

very intense and deepening rapidly. One might

conclude that meso-vortices and their attendant

enhanced and streaky surface winds are a

characteristic of intense, deepening storms, and

that, should this occur as landfall approaches,

then intense inland wind damage is to be

expected.

2.1 Hurricane Hugo

On 15 September 1989, a NOAA WP-3D made

the first aircraft penetration into Hurricane Hugo

at an altitude of 450 m when it was -500 km

northeast of Barbados. The aircraft encountered

intense turbulence and suffered the loss of an

engine. Data from this aircraft showed that it penetrated a mesoscale vortex imbedded in the

inner edge of the eyewall adjacent to intense

convection.

The mesovortex had a diameter of 1 km at 500

m altitude which is a factor of 10 smaller than

the eye diameter. This is about the same ratio as suction vortex size to its parent tornado (Fujita,

1971). The 1 km is also 10 times smaller than a

tornado's parent mesocyclone and about 5 times

larger than a tornado. The wind and pressure

perturbations about a linear pressure and wind

speed profile are 30 m s ' and 12 hPa,

respectively, The former is about a factor of 3

smaller than the eyewall maximum winds. In contrast, suction vortex winds are about a factor

of 2 greater than tornado rotational winds (Fujita

1971). The perturbation vorticity is -10' s ', an order of magnitude greater than eyewall or mesocyclone vorticity and about the same as tornado vorticity.

During 14 subsequent orbits of the eye the

aircraft penetrated the vortex on nine different

occasions with diameters of 1-2 km. The vortex

penetrations, at gradually increasing altitude,

showed that the vortex's maximum strength and

smallest diameter appeared to be at cloud base

and broadened with height. The vortex rotated

around the center of circulation with a period of

19 min, implying a translation speed of 30 m s '. This was the first time that an aircraft had

penetrated such a phenomena in a TC, although

vortices of this type have been observed, and are probably more common than previously

409
believed (e.g., Fletcher et al 1961; Marks and

Houze 1984; Muramatsu 1986; Bluestein and

Marks 1987).

2.2 Hurricane Luis

During the daylight hours of 6 September 1995,

1-km resolution GOES-9 1-min interval images

and GOES-8/9 15-min stereo images were

obtained over Hurricane Luis. These data were concurrent with NOAA WP-3D one-min

horizontal and vertical airborne radar scans. These observations revealed a series of 8

cycloidal loops. The low-level center is indicated

by the primary low-cloud swirl, while the upperlevel center is indicated by the center of the

cirrus cloud rim and the infrared maximum

temperature. Secondary low-cloud swirls

appeared to rotate around the primary swirl. The

cycloidal loops had an average period of 90 min

and an average diameter of 20 km. The upper

eye diameter averaged 60 km, while the lowlevel diameter averaged 40 km. The upper-level

center was displaced to the east-southeast of the

primary low-cloud swirl by an average of 25

km. Overshooting convective turret clusters were

observed in the eyewall with similar 90-min

periods and duration averaging 20 min.

One event, corresponding to the first WP-3D eye

penetration, was analyzed in detail using the

radar and one-min GOES-9 data. Several

minutes after rapid increase in radar reflectivity

occurred in the northeast eyewall sector, a cluster

of overshooting turrets was observed emerging

above the cirrus shield in the north eyewall

sector. The cluster continued to bubble as the

turret and reflectivity maximum rotated around

to the west eyewall sector. Strong evidence of

cyclonic rotation of the turret elements was

observed during the peak overshoot period.

Simultaneously, the GOES-8/9 stereo imagery

revealed that thin cirrus elements at the upper

edge of the eyewall were being entrained into

the eye as they descended toward the primary

low-level center adjacent to the overshooting

turret cluster. During this period, the low-level

center was migrating toward the eyewall sector where the turret cluster was observed.

2.3 Synopsis

Features observed here are very similar to those

encountered during a NOAA WP-3D flight into

Hurricane Hugo (1989) (Black and Marks

1991). The storm structure was somewhat

different in that case with a smaller eye than

Luis, but the intense convection was clearly

associated with a mesovortex which was

separable from the intense background vortex

circulation. The mesovortex had perturbation

pressure on order of 15 hPa and wind

perturbation on order 30 m s '. Vertical

reflectivity structure was similar to that in Luis

with intense cores sloping outward and

upstream.

The mesovortex in Luis never penetrated to low

levels, and did not appear to be as strong.

However, the 6 revolutions about the eyewall in Hugo were very similar to the 8 loops observed

for Luis. Only the revolution period was longer

for Luis (90 min) compared to Hugo's (20 min)

due to the larger eye diameter (60 km vs. 14 km

respectively). A schematic composite of the flow

fields, depicted in Fig. 1, illustrates how the

mesovortex flow is superimposed upon the TCscale flow.

3. RECENT ABL OBSERVATIONS IN

HURRICANES GUILLERMO AND ERIKA

(1997)

The successful deployment of the new GPS

sondes with reliable wind, temperature, humidity

and pressure measurements every 0.5 s to within

less than 10 m of the surface were made for the

first time from the NOAA WP-3D and

Gulfstream IV (G-IV) aircraft in the inner core of eastern Pacific Hurricane Guillermo (1997).

Additional drops were made on three days in Atlantic Hurricane Erika (1997).

Preliminary analysis of a few of the eyewall

soundings have revealed several new and

unusual ABL structures. Figure 2 shows three

normalized eyewall ABL soundings of potential

temperature (0), specific humidity (q) and wind

speed (WS) from Hurricanes Guillermo and

Erika The vertical coordinate is normalized by

the depth of the ABL, defined as the depth of

the constant 6 layer (-300 m). These eyewall

soundings indicate three consistent low-level

wind maxima at approximately 0.7 normalized

height units (-200 m), at 1.4 units (-400 m),

and at 2.5 units (-750 m). The lowest wind

maximum appears just above the top of a constant-q layer, whose depth is shallower than

the constant-9 layer. The other two wind maxima

occur at and just above the constant-9 layer.

These soundings are typical of other eyewall

soundings that show multiple wind maxima in the ABL and exhibit a shallow constant-q layer.

The latter corresponds with a layer of nearly

410
constant wind direction (not shown), and may be

representative of the surface layer. These wind

observations are consistent with Australian tower

observations in the inner, high-wind core of TC

first reported by Wilson (1979) and recently

discussed by Kepert and Holland (1997). These

data showed a low level wind maximum

consistently at the 60-m level, as well as a wind

maximum near the top of the 400-m tower.

The observation of a thin layer of elevated

specific humidity in the high wind region

beneath the eyewall is very suggestive of a spray

layer which may enhance evaporation in the

>90% relative humidity air. The existence of a wind maximum above this layer indicates that

upward vapor fluxes in the ABL may be

controlled more by shear-induced turbulence at the top of the high specific humidity layer than

by direct flux from the sea. Sea spray processes

such as discussed by Fairall et al (1994) may

become important. Additional analysis of this revolutionary new data source should lead to profound new insights into the workings of the

TC eyewall ABL.

4. CONCLUSIONS

A unique combination of 1-min interval superrapid-scan GOES-9 images and NOAA aircraft

data provides unprecedented insights into the

dynamics of eyewall convective outbreaks, eye

motion, and low-level cloud motion in the eye. The mesovortices observed in concurrent

GOES/Aircraft 1-min animations appear to be

similar to features of eyewall mesovortices

observed by the flights into Gladys (1975) and

Hugo (1989) and to observations in Andrew

(1992). It is hypothesized that the mesoscale

vortices are advected by the TC-scale vortex

causing significantly higher winds in regions

where the wind velocities of the two vortices are near their maxima and in the same direction.

The insights gained from this work have

potentially far reaching implications as to an improved understanding of the track and

intensity fluctuations associated with these

features and to strategies for mitigating attendant

damages at landfall.

5. REFERENCES

Black, P.G., 1993: Evolution of maximum wind

estimates in typhoons. Tropical Cyclone

Disasters, J. Lighthill and Z. Zhemin, eds.,

Peking University Press, Beijing, PRC, 104- 11

Black, P. G. and F. D. Marks, Jr., 1991: The

structure of an eyewall meso-vortex in Hurricane

Hugo (1989). Proc. 19th Conference on

Hurricanes and Tropical Meteorology, AMS,

Miami, FL, 579-582.

• Black, P. G. and L.K. Shay, 1998: Observations

of tropical cyclone intensity change due to air- sea interactions. Proc. Symposium on Tropical

Cyclone Intensity Change, Phoenix, AZ, AMS,

161-168.

Bluestein, H.B., and F.D. Marks, 1987; On the structure of the eyewall of Hurricane Diana

(1984): Comparison of radar and visual

characteristics. Mon. Wea. Rev., 115, 2542-

2552.

Fairall, C. W., J. D. Kepert and G. J. Holland,

1994: The effect of sea spray on surface energy

transports over the ocean. The Global

Atmosphere and Ocean System, 2, 121-142.

Fletcher, R.D., J.R. Smith, and R.C. Bundgaard,

1961: Superior photographic reconnaissance of

tropical cyclones. Weatherwise, 14, 102-109.

Fujita, T. T., 1971: Proposed mechanism of

suction spots accompanied by tornadoes. Proc.

7th Conference on Severe Local Storms, AMS,

Kansas City, MO, 208-213.

Hasler, A.F., P.G. Black, V.M. Karyampudi, M.

Jentoft-Nilsen, K. Palaniappan, D. Chesters,

1997: Synthesis of eyewall mesovortex and

supercell convective structure in Hurricane Luis

with GOES 8/9 stereo, concurrent 1-min GOES9 and NOAA airborne radar observations. Proc.

22nd Conference on Hurricanes and Tropical

Meteorology, AMS, Ft. Collins, CO, 201-202.

Jarrell, J. D., P. J. Hebert and M. Mayfield, 1992:

Hurricane experience levels of coastal county

populations from Texas to Maine. NOAA Tech.

Memo. NWS NHC-46, 152 pp.

Kepert, J. D. and G. J. Holland, 1997: The

Northwest Cape tropical cyclone boundary layer

monitoring station. Proc. 22nd Conference on

Hurricanes and Tropical Meteorology, AMS, Ft. Collins, CO, 82-83.

Marks, F.D., and R.A. Houze, 1984: Airborne

Doppler radar observations in Hurricane Debby.

Bull. Amer. Meteor. Soc, 65, 569-582.

411
Muramatsu, T., 1986: The structure of

polygonal eye of a typhoon. J. Met. Soc. of

Japan, 64, 913-921.

Neumann, C, H. Nicholson, C. Guard, 1997:

National Plan for Tropical Cyclone Research

and Reconnaissance (1997-2002), FCM-P25-

1997, Office of the Federal Coordinator for

Meteorological Services and Supporting

Research.

Powell, M. D., 1980: Evaluations of diagnostic

marine boundary layer models applied to hurricanes. Mon. Wea. Rev., 108, 757-766.

Powell, M. D., S. H. Houston and T. A.

Reinhold, 1996: Hurricane Andrew's landfall in South Florida. Part I: Standardizing

measurements for documentation of surface

wind fields. Wea. and Forecasting, 11,304-327.

Powell, M. D. and S. H. Houston, 1996:

Hurricane Andrew's landfall in South Florida. Part II: Surface wind fields and potential real- time applications. Wea. and Forecasting, 11,

329-349

Sheets, R. H., 1990: The National Hurricane

Center, past, present and future. Wea. and

Forecasting, 5, 185-232.

Wakimoto, R., and P.G. Black, 1994: Damage

Survey of Hurricane Andrew and Its Relationship to the Eyewall. Bull. Amer. Meteor.

Soc, 15, 2, 189-200.

Willoughby, H.E., and P.G. Black, 1996:

Hurricane Andrew in Florida: Dynamics of a

Disaster. Bull. Amer. Meteor. Soc, 77, 543-549.

Wilson, K. J., 1979: Characteristics of the

subcloud layer wind structure in tropical

cyclones. International Conference on Tropical

Cyclones, Perth, Australia.

412
Fig. 1 Schematic representation of the flow field in a eyewall mesovortex superimposed upon the

hurricane scale circulation. Bothe circulations are superimposed on a visible image of Hurricane

Luis, September 6, 1995.

413
e(K)

303 313 323 343

20.0 30.0 40.0 50.0

Wind Speed (m s"^) and q (g kg"^)

70.0

Fig. 2. GPS dropsonde profiles of specific humidity (q g kg'^), potential temperature (6 °C) and wind

speed (WS m s'^) for three typical profdes in the eyewall of Hurricanes Guillermo (thick solid lines)

and Erika (thin dashed lines). Vertical coordinate is normalized by the depth of the ABL defined as

the depth of the constant q layer (-300 m).

414
Consideration on Flutter Characteristics of Super Long-Span Bridges

by

Hiroshi SATO", Katsuya OGIHARA"^ and Ken-ichi OGI

ABSTRACT

Aerodynamic stability is one of the most important

themes in the design of a super long-span bridge.

To improve the aerodynamic stability of a super long-span bridge, a series of wind tunnel studies

and analytical studies were conducted, and it was

found that slot at the center of girder was effective

to improve the aerodynamic stability. The

relationship between flutter characteristics and

unsteady aerodynamic forces was discussed, and it was found that flutter characteristics were closely

correlated with unsteady aerodynamic force

coefficients Mzi LeR/Mgi and Mqr.

KEYWORD: flutter, super long-span bridge,

slotted box girder, unsteady aerodynamic force

1. INTRODUCTION

The Akashi Kaikyo Bridge has the world-longest

span length of 1990m. In Japan and in the world,

there are several plans or ideas to construct bridges

longer than the Akashi Kaikyo Bridge. In the design of such super long-span bridges,

aerodynamic stability is one of the most important

themes. The approaches to improve aerodynamic

stability can be classified into structural one and

aerodynamic one. This paper deals with the latter approach.

It was proposed by the authors that slotted box

girders were effective to increase flutter speeds of

super long-span bridges [1]. In this paper

discussed is the relationship between flutter characteristics and unsteady aerodynamic forces of slotted box girders.

2. FLUTTER CHARACTERISTICS OF

SLOTTED BOX GIRDERS [1]

The effect of location and size of slot on

aerodynamic characteristics was examined through

section model wind tunnel tests. Considering a

super long-span bridge which has center span

length of 3,000m with two side spans of 1, 500m,

the structural conditions were assumed. Reduced

mass n (=m/( p B'^), m: mass per unit length, p : air density, B: girder width), reduced polar

moment of inertia v (=I/( p B''), I: polar moment

of inertia per unit length), and natural frequency

ratio £(=f9/fz, f^: torsional natural frequency,

fz: vertical bending natural frequency) were 16, 2.1, and 2.1, respectively. The cross section of the model is shown in Fig.l. From the test results, it was found that the slot at the center increased the

flutter onset wind speed. It was also found that the

flutter onset wind speed was increased with the width of slot at the center of the girder (Fig.2).

In order to understand the effect of slot at the center of girder, preliminary analysis was

conducted for slotted plate. For the analysis,

aerodynamic forces acting on each plate was

calculated using the Theodorsen's function. The

aerodynamic interference between the 2 boxes was

neglected. Using these aerodynamic forces, two

degree-of-freedom flutter analysis was conducted

by U-g method [2]. The result of the flutter analysis (Fig.2) indicated that the flutter onset wind speed increased with size of slot. The

differences, between the analysis and the experiment seemed to be caused by aerodynamic

interference between the 2 boxes.

Although wide slot at the center of the girder

improves flutter characteristics, narrower slot

1 ) Head, Structure Division, Structure and Bridge

Dept., Public Works Research Institute,

Ministry of Construction

2) Deputy Manager, Second Design Division,

Design Department, Honshu-Shikoku Bridge

Authority, (Former Senior Research Engineer,

Structure Division)

3) Research Engineer, Structure Division,

Structure and Bridge Dept., Public Works

Research Institute, Ministry of Construction

415
would be preferable from the viewpoint of

construction cost of towers and foundations. To

improve aerodynamic characteristics, the effect of some devices was studied by section model tests. The tested devices are illustrated in Fig. 3. The

results showed that the center barrier and guide vanes improved flutter characteristics very well

(Fig.4). However, the flutter speed was not so high

when angle of attack was -3 deg. It was found that the guard rails at the bottom deck increased the

flutter speed considerably at this angle of attack

(Fig.5).

3. UNSTEADY AERODYNAMIC FORCES

OF SLOTTED BOX GIRDERS

From the above studies, it was found that slotted

plates and slotted box girders have better flutter characteristics than single plates and single box

girders. It was also found that the devices such as center barrier and guide vanes are effective to improve flutter characteristics of slotted box

girders.

In order to understand causes of flutter characteristics of slotted plates and box girders more precisely, unsteady aerodynamic forces were

measured for three models: model A (single box

girder, b=0 in Fig.l), model B (slotted box girder,

b=0.22B in Fig.l) and model C (slotted box girder

with devices, Fig.3). The measurement was made

by forced oscillation method [3] with angle of

attack 0 degree. Coefficients of the unsteady

aerodynamic forces were defined as follows:

L=7r p {B [LzR CO ~z+Lz] OJ z'] +BUeR"j'0+Lei^^0"]} (l-O

M=7r p {B^[MzR w ^z+Mzi cu z'] +B^[M eROJ ^ 0+M eicu 0']} (1.2)

where, L: lift (upward positive), M: aerodynamic

moment (head up positive), z: vertical displacement (upward positive), 6 : torsional displacement (head up positive), co : circular frequency, ( )': d( )/dt, L^x or Mxx: coefficients of

unsteady aerodynamic forces (z- caused by vertical vibration, g-. caused by torsional vibration, r: in phase with displacement, i: in phase with velocity).

Among measured unsteady aerodynamic force

coefficients, the most effective coefficients for

flutter, which will be explained next, are shown in Fig. 6. For comparison, theoretical coefficients for single plate and slotted plate, which were

calculated from the Theodorsen's function, are shown in the same figures. The slot ratio of the

slotted plate was the same as the Model B and C.

In general, it is difficult to predict coupled flutter characteristics directly from these coefficients. For

2-degrees of freedom system, Nakamura [4] showed approximate relationship between

unsteady aerodynamic coefficients Mzi , M g i, L 9 R and M 0 R and some flutter properties as follows:

(5a=-7r^MziX/j/-7r-Mei/v (2.1)

X = Zo/0o/B

^KLeR/i-\+{fz/fefcr')/n (2.2)

= l + 7rMeR/v (2.3)

where, 6 a: aerodynamic damping in logarithmic

decrement.

These equations were derived by assuming that absolute value of aerodynamic damping and phase

angle are small, and that absolute value of the amplitude ratio X is small. As is shown here, M g r

affects the frequency ratio cr . L g r and a affect the amplitude ratio X. Mzi , M g 1 and X affect the aerodynamic damping.

Assuming s , ju and v as 2.0, 15 and 2.0,

respectively, frequency ratio, amplitude ratio and

aerodynamic damping were calculated for three Models, single plate and slotted plate. The results are shown in Fig. 7. The critical reduced frequency

of slotted plate and slotted box girder, where

aerodynamic damping turns negative, is smaller

than that of single plate and single box girder. It means that slotted plate and slotted box girder

have better flutter characteristics than single plate

and single box girder. It is also found that flutter speed of single plate is higher than single box

girder (Model A), and that flutter speed of slotted plate is higher than slotted box girder (Model B).

416
Comparing unsteady aerodynamic force

coefficients of single plate and single box girder

(Model A), it is found that they are almost

identical except for M ^ i. Since M g i produces

positive aerodynamic damping as can be seen in eq.(2.1) and Fig. 6, it is found that the difference

of Mel explains the different flutter speeds of

single plate and single box girder (Model A). In a

similar way, it is found that the difference of M^i

explains the different flutter speeds of slotted plate

and slotted box girder (Model B), because Mzi

produces negative aerodynamic damping.

Therefore. Nakamura's equations are effective to explain flutter characteristics. However, flutter characteristics such that slotted plate and slotted box girder have better flutter characteristics than

single plate and single box girder, can not be

explained directly from these equations.

4. INEQUALITY FOR FLUTTER ONSET

If onset of flutter is deflned as d a^O, simpler

inequality for onset of flutter can be derived from

(2.1)-(2.3) as follows:

aMz, LgR/Mei+ySMeR^l (3.1)

a=(e'/ie'-mn/u) (3.2)

0=(\/(e--m7t/v) (3.3)

The left hand side of inequality (3.1) was

calculated for the Models A, B and C using

measured unsteady aerodynamic forces, as well as for single plate and slotted plate using the Theodorsen's function, e , /j. and v were assumed as 2.0, 15 and 2.0, respectively. The

results are shown in Fig.8. The slotted box girders

and slotted plate show higher flutter speed than the

single box girder or single plate. Since the first term of the left hand side of inequality (3.1) is much larger than the second term, it can be said

that this higher flutter speed was caused mainly by

the property of M^i Lg^/Mgi.

In Fig.8, reduced flutter speed U/(fB) of slotted box girder with devices is almost identical with

that of slotted box girder. In Fig.9, the results are plotted with f^B/U. Flutter speed of slotted box

girder with devices is higher than that without

devices. It means that the effect of devices came

from small value of Mqr, which affected apparent

frequency in wind.

5. CONCLUSION

Slotted box girders have good flutter characteristics, and they can be improved by some

devices like center barrier and guide vane. In this paper, the relationship between flutter characteristics and unsteady aerodynamic forces of the slotted box girders was discussed. The main

findings are as follows:

(1) Flutter characteristics of single plate, slotted

plate, single box girder and slotted box girder can be explained by their unsteady aerodynamic forces through Nakamura's equations and the following

inequality for flutter onset: orMziLeR/Mgi+ySMeR^l

(2) The higher flutter speed of slotted box girders

and slotted plate than the single box girder or

single plate was caused mainly by property of Mzi

LeR/Mei.

(3) The effect of the devices like center barrier and

guide vane came from small value of Mqr, which

affected apparent frequency in wind.

REFERENCES

[1] Sato H. and Ogihara K, Aerodynamic

characteristics of slotted box girders.

Proceedings of the 28th Joint Meeting of the Panel on Wind and Seismic Effects, UJNR,

1996

[2] Washizu K., "Aeroelasticity", Kyouritsu

Shuppan, Tokyo, 1957 (in Japanese).

[3] Okubo, T., Narita N. and Yokoyama K., Some

approaches for improving wind stability of

cable-stayed girder bridges, Proc. of the 4th

International Conference on Wind Effects on

Buildings and Structures, 1975

[4] Nakamura, Y., An analysis of binary flutter of

bridge deck sections, J. of Sound and

Vibration, 57(4), 1978

417
B

0.05 IB

< 2 cl=B/17

Fig.l Cross Section of Slotted Girder

25

ffl

3

-a

20'

15

§ 10'

1

•5 .

0.0 0.1

Analysis ^ Experiment

0.2 0.3

Slot Ratio b/B

0.4 0.5

Fig.2 Flutter Onset Speed and Slot Ratio

Guard Rails

Center Barrier Guide Vane

Guard Rails

b-0.22B

5 d=B/17

0.051B

B

Fig.3 Slotted Box Girder with Devices

418
2.0-

1.5-

^# • — "

Angle of Attack -•- 0°

---3°

5

0.5

0.0' Basic Center Barrier Center Barrier + Guide Vane

Fig.4 Effect of Tested Devices

2.0-

1.5-

EP Si

l.O'

k. - uD

0.5-

0.0' -3

1

1

1 1 1

^< \

>

—•— Without Guar( ——With Guard R

. .. —

IRail

ail

Angle of Attack

Fig.5 Effect of Guard Rails at the Bottom Deck

419
0.01 Reduced Frequency fB/U

(c)M,

0.01

single plate

- • slotted plate X single box girder A slotted bos girder

slotted box girder with devices

0.1 Reduced Frequency fBAJ

0R (d)M

Fig.6 Coefficients of Unsteady Aerodynamic Forces

420
c

.S 4> c Si

< =

0.01 Reduced Frequency fB/U

X

- single plate sloned plate

single box girder

slotted box girder .

slotted box girder with devices

(c) Aerodynamic Damping in Logarithmic Decrement 8 a

Fig7. Parameters Related to Flutter Characteristics

421
a

_!

a

[3 a

a

01*

SI

R

CA

\

Ah

CoAn

/£}

Reduced Frequency fB/U

(c) Single Box Girder

a

a

a A a

01* ^1^0 R

if

t

!

A

if

i

Reduced Frequency fB/U

(d) Slotted Box Girder

a

a

Fig8. Judgement of Flutter Onset

(plotted with ffi/U) .

Reduced Frequency fB/U

(d) Slotted Box Girder with Devices
single plate

slotted plate

X single box girder

A slotted box girder

slotted box girder with devices

0.01 0.1 1 Reduced Frequency f^B/U

Fig.9 Judgement of Flutter Onset

(plotted with f^ B/U)

423
structural Control for Wind and Earthquake Loads:

NSF'S Coordinated Research Program

by

M. P. Singh' and T. T. Soong^

1. INTRODUCTION

Civil engineering structures are commonly designed for their strength and

stability. The structural systems are analyzed to calculated forces in various

load-carrying elements such as beams,

columns, etc. These elements are then

proportioned such that they can withstand

the calculated forces without overstressing or instability failures. Since elastically

designed structures could be bulky and

costly, they are allowed to yield, at least for

extreme loads such as earthquakes. Such

designs, therefore, admit the possibility of

structural damage of the load carrying

elements in an extreme event.

In the last two decades, there has been a growing interest to find ways to reduce or control the effect of the extreme events. The earthquake-induced effects on

structures can be reduced either by filtering or absorbing the damaging energy

transmitted to a structure. A significant

amount of research has been done to develop base isolation methods that primarily filter out the damaging energy

from reaching the superstructure. The base

isolators increase the fundamental period of

the system such that combined structure

isolator systems shifts into the lower

response spectrum range.

The energy dissipaters or energy sinks,

placed at suitable locations in structures,

have also been used for reducing dynamic

response. The energy dissipater that have

been recently considered for earthquake

applications are the viscous, viscoelastic,

and friction dampers, and yielding devices

that add damping and stiffness (ADAS) to

the system. These devices absorb vibration

energy that otherwise would have gone to deform and possibly damage the structural

elements. These devises can be designed

such that they are disposable. That is, an

overly deformed or damaged energy

dissipater can be replaced with new ones

after a strong event, if considered necessary.

The aforementioned approaches are commonly referred to as passive control

approaches, as the devices cone into action

only after the structure has responded to the

external disturbance. The reliability and

usefulness of these methods is now quite

well established in structural engineering

community. As such, these methods are being increasingly used in practice in

buildings in seismically active regions. The

National Science Foundation (NSF) has

played a major role in the development of

these passive control approaches; it has

made it possible to bring these useful

concepts to fruition and to implementation

' Professor, Dept. of Eng. Science and Mechanics, Virginia Tech, Blacksburg, VA 24060

^ Samuel Capen Professor, Dept. of Civil Engineering, State Univ. of New York at Buffalo, Buffalo, NY

14260

424
stage by providing continuous funding to research projects dealing with this topic over the past twenty five years.

Along with the development of passive

devices, the research community has also

been exploring the development of the

active control methods. In the active

methods, the external forces are applied to control the response. The application of

forces through tendons or other forms of

actuators have been examined. When,

where, and how much the forces should be

applied is decided according to a suitable

algorithm based on the measurements made

on the response of the structure, and

sometimes also on the external excitation.

Each control system consists of three basic

components: (a) a sensing system, (b) a decision making unit, which determines the

necessary control actions required to achieve the desired control objectives, and

(c) an actuation system that apply control

forces determined by the algorithm.

Although the active control methods

have been used in electrical, mechanical and

aerospace engineering, these methods are not directly usable with civil engineering

structures as these structures have their

unique set of challenges and different

design issues. The reasons for this are:

(1) Civil structures are massive systems,

and therefore the required control force

and power can be several orders of

magnitude higher than those required

for mechanical systems.

(2) The civil structures also have large

degrees of freedom.

(3) Civil structures and loading on them

have larger uncertainties levels. Thus

control robustness is an important issue. (4) The control system must be extremely

reliable, as life safety is one of the

primary design criteria for civil structures.

(5) The fimctionality control of distributed

civil infi-astructure system has no

parallel in the mechanical systems, and

these will require different innovative

control concepts.

(6) The problem of control of existing

structures pose a different set of

problems with various constrains,

requiring significantly different control

solutions

2. STRUCTURAL CONTROL

RESEARCH PROGRAM OF NSF

Realizing the potential of the new

technology, the National Science

Foundation actively sought community

opinion through following national and

international workshops and panel to start a new research program.

(1) U.S. Panel on Structural Control

Research, established in 1989 under

the direction of Professor George

Housner.

(2) International Workshop on Intelligent

Structures, Taipeh, Taiwan, July 1990.

(3) Joint NSF-EPRI Workshop on

Research Needs in Intelligent Control

Systems, Oct. 1990.

(4) U.S. National Workshop on Structural

Control Research, University of

Southern California, Los Angles, Oct. 1990.

(5) Workshop on Sensors and Signal

Processing for Structural Control,

Washington, DC, Feb. 1991.

These forums provided the intellectual

framework to start a new research initiative entitled Program on Structural Control for

Safety, Performance, and Hazard Mitigation

by the NSF in 1992 (Ref. 4). The program was initiated for five years. The broad

objectives of the program were to foster, on

a coordinated basis, multi-disciplinary

research and development of passive, active

and hybrid control technology for

application to buildings and civil infi-astructure systems subjected to dynamic
loads. The emphasis of research program was to extend the control concepts so that they can be implemented on civil infrastructure systems, by providing

sustained support for the:

(1) Development of passive, active, semiactive, and hybrid control systems

suitable for civil structures. (2) Investigations of the robustness and

reliability of control systems.

(3) Development of advance sensors and

actuator technology suitable for civil structures

(4) Development of advance signal

processing techniques and their

applications in structural control.

(5) Development of innovative integrated

structural and control systems, smart

structures, smart materials and

sensing devices.

(6) Sensing and control systems for

distributed civil infrastructure

systems.

A total of 51 research projects,

examining various aspects of structural control have been funded to develop new

control methodologies applicable to civil structures. This involves a research

expenditure of about $ 9.6 million over a period of 5 years. NSF has also provided

additional support for research in this area through National Center for Earthquake

Engineering Research (NCEER) at the State University of New York at Buffalo. The

projects have been awarded to academic

institutions and private consultant, and are dispersed all over the country. The control

concepts that appeared to be futuristic only

a few years ago, now seem feasible,

primarily due to quantum developments that have occurred in the sensors and

information-processing field in the recent

past.

The funded projects are focused on

research in the following areas:

• Active, passive, and hybrid control

technologies for civil structures

• Innovative systems for energy

dissipation

• Variable damping and stif&iess devices

to reduce dynamic response

• New control algorithms applicable to

civil structural systems

• Robustness and reliability of control

systems

• Actuator dynamics and time delays

• Emerging technologies for structural systems, smart and self healing

materials, sensors, remote sensing,

monitoring, and diagnostics systems

• Optimal placement of sensors and

actuator

The research projects have developed

innovative algorithms for application to

civil structures. The algorithms that have

been used, improved or developed are: feedback control, optimal feedback/ feedforward control; Lyapunov-based control;

bang-bang control; nonlinear optimal

control; acceleration feedback control;

sliding mode control with linear and

nonlinear controllers; fuzzy control; neuralnet based control; and controls;

adaptive controls; frequency weighted

controls; peak response confrol. The

classical control approaches are now being

taken to new levels so that they can be

applied to massive civil structures.

To apply large forces required by civil structures, several dampers and actuation

devices are being considered. Active mass

dampers and mass drivers, active tendons,

and active bracing systems operated by

hydraulic actuators have been used in scaled

experiments. The regeneration concept

used for stopping and braking of suburban

electric trains is being considered to develop

the so-called regenerative actuators. The

use of potential energy to apply large forces

is being considered to develop the so-called

gravity actuators. Passive and active liquid

426
dampers are also being considered for wind

response control applications.

Since the reliability of active control

schemes is still not established, hybrid

control methods utilizing a proper

combination of passive and active control

approaches are being considered by several

investigators to provide desired levels of

control over a spectrum of external load

effects. Base isolation in combination with

active control is one popular hybrid scheme.

Controllable sliding isolators, that regulate

the friction at the sliding interface, have

been examined. This scheme can be

effective in achieving a balance between the

conflicting requirements of being able to provide only limited sliding displacement one hand and reducing the superstructure

accelerations on the other hand. Passive

energy dissipating cladding systems in

buildings can be supplemented by active

devices to enhance the overall system

performance. Another concept of megasubstructure control, which utilizes a part of

the building mass to act as an active mass

damper, has also been explored in analytical

studies.

Since the traditional active control of

civil structures may require a large power

source, semi-active schemes that do not

require large power source are being

examined. The semi-active devices

primarily regulate the structural parameters,

such as stiffness and damping, in a timely

fashion. In civil engineering community,

these schemes have been called semi-active

primarily because they do not require a

large infusion of outside energy to the

structure. In the semi-active systems,

structural parameters can be controlled by

either of the following dampers: orifice- controlled dampers, friction controllable

dampers, electro-rheological dampers, or magneto-rheological dampers. Some of

these devices can regulate both the damping

and stiffness, and that it can be done without

a large power source. The development of

an efficient control algorithm for a semiactive device is, however, more challenging

because the problem is highly nonlinear.

The applications of the control systems

are being considered for earthquake, wind, wave forces, vehicle loading, and human

. loading. The structural systems that are being examined are buildings, bridges,

distributed systems, and nonstructural

subsystems.

To evaluate the performance of

different control algorithms, devices, and

strategies on a common standardized

analytical platform, two benchmark

problems have been recently developed. To

evaluate the control of earthquake effects, a twenty-story building designed for the

FEMA's SAC project has been adopted,

whereas for the control of wind induced

vibrations, a 76-story building model is used

as a benchmark structure. The details of

these building are available through Internet on the University of Notre Dame web page

at: www.nd.edu/~quake. The investigators

are invited to use these models to evaluate

their control schemes. There will be 17

technical papers, using these benchmark

models, presented at the upcoming

World Conference on Earthquake

Engineering to be held in Kyoto, Japan in

June28-July 1, 1998.

There is also a need to develop

benchmark problems for other structures such as bridges. However, since the bridge

control procedure are in their very early

stage of development, it will be sometime

before such a standardized benchmark

problem will be available for control

scheme evaluations.

One immediate positive outcome of the

structural program has been in the area of

education. One of the NSF's important

missions is to support research that will lead

to scientifically educated and well-trained

workforce. A direct measure of this 427
outcome is number of students with masters

and Ph.D. dissertation and theses produced

in this area of research. Figure 1 shows the

in various years in the control area and the

system identification, damage detection, and

Year o f P ab lica tion

Year of Publication

Figure 3: Civil Engineering Control Theses

Figure 1 : Total Control Theses

total number of theses produced in the area of control. Since the fields of system

identification, damage detection, and health

monitoring are integral part of the control

research, Figure 2 shows the number of

nn

Year of Publication

Figure 2: Total System Identification, Health

Monitoring, and Damage Detection Theses

theses produced in these particular areas. A

clear trend of increasing activity, especially

since the beginning of the nineties is quite

evident fi^om this data. Since the NSF's

research program is primarily focused on

the control of civil engineermg structures. Figures 3 and 4, respectively, show the

number of civil engineering theses produced

fS 2

Y ear of Publication

Figure 4: Civil Engineering System

Identification, Damage Detection, and Health

Monitoring Theses

health monitoring areas. Here again the

increasing trend, especially since the

beginning of the nineties is quite evident.

Figures 5 and 6, respectively, compare the

relative level of activity in different

engineering disciplines in the two areas. The discipline of civil engineering has

clearly taken a lead in research activity in

this area. It is quite relevant to mention

here that it is this educated workforce that

will change the way the civil engineering

structures will be designed in the future. This data in Figures 1 through 6 has been

428
extracted from the report submitted by

the US Panel on Structural Control

BMech. Eng.

Figure 5: Control Theses Surveyed by Discipline

ta

Figure 6: System Identification, Health

Monitoring, and Damage Detection Theses

Surveyed by Discipline

Research to the National Science

Foundation (Ref. 2).

3. PRACTICAL APPLICATIONS

STRUCTURAL CONTROL

RESEARCH

The final objective of the research

program is to utilize the research in full- scale implementations. The passive control

schemes are being increasingly used in structural engineering practice. The active,

semi-active and hybrid schemes, however,

are still in the experimental stage. Japan has

taken the lead in using active devices in existing buildings, but only for the low-level

wind and earthquake response control. There have been many laboratory

experiments on scaled models, attesting to the success of active schemes. These model

tests, however, do not address the actual

power and force requirements problem

realistically. Similarly semi-active methods

with on-off control have been implemented

on one or two degrees of freedom simple

laboratory models subjected to earthquake

type motions. The semi-active devices such

as controllable sliding bearings, electrorheological dampers and magnetorheological dampers, are getting ready for scaled model demonstration. The

experiments have been undertaken to characterize the mechanical characteristics

of these dampers. The next step is to develop efficient algorithms and actual

demonstration on scaled models. It is expected that full-scale implementation of

semi-active devices is likely to occur soon,

as the risk involved in their utilization in real buildings are not as much as those with

active devices. It is primarily because these

devices do not infrise external energy into a

structure whereas the active devices do. As

for the hybrid schemes, no significant

experimental work even on a scaled building

model, demonstrating their application in the

laboratory, has been reported yet.

Once a concept has been developed, its utilization in practice lies in the industrial

domain. That is, the industry must take the

bold step of implementing a new

technology. In the US, it can be a slow

process. Such was the case in the

implementation of base isolation and other

passive control methods in practice.

International collaboration in terms of

exchange of ideas and technical data,

utilization of complementary resources and

strengths of different countries, taking

advantage of the differences in construction

practices in different countries, can help

accelerate implementation of a useful

technology. Thus NSF has always

encouraged the participation of the US

scientists and engineers in international

joint research program, exchange programs,

international symposium, workshops and

conferences. There are many other

advantages of international collaboration

429
such as the (1) eUmination of dupHcation,

(2) better identification of research needs,

(3) creation and effective utiHzation of

international test beds, (4) improvement of

research skills, (5) better educational and

exchange opportunities, (6) increased

visibility and awareness of earthquake

engineering in the general public, and (7)

strengthening of research and educational

infrastructure for the future.

4. FUTURE RESEARCH NEEDS IN

STRUCTURAL CONTROL

Based on a careful assessment of the current research activities in the US and

other countries, and the input received from

the researchers involved in the structural control program through various workshops

and meetings, the following six broad areas have been identified for future research

endeavors:

1. Research in passive, active, semi-active

and hybrid control with emphasis on

nonlinear systems, nonlinear confrol,

nonlinear identification, predictive and

adaptive control, actuator saturation, actuator and sensor and malfunction,

application to sfrong seismic inputs,

especially vertical components.

2. Research on control of large dispersed

and distributed parameter systems

(lifelines) with special emphasis on

intelligent sensors and fore-warning

systems, information processing and

decision making systems.

3. Research on high performance,

innovative, and intelligent materials

4. Research on system integration with

emphasis on hardware/software

integration, integrated design of

structure-control system, optimal sensor and actuator locations, reliability costbenefit considerations, and integration of

health monitoring systems.

5. Control system evaluation through

analytical and experimental benchmark

studies.

6. Education and technology transfer

involving training of graduate students,

practitioners, and development of design

guidelines and code provisions

More details of these broad research areas and the genesis of their development are provided in the reports of the following

workshops/meetings

1 . Joint US-Japan Workshop on Mitigation

of Urban Disasters: Cooperative

Research on Structural Control, Kyoto,

Japan, March 14-15, 1996

2. "Fourth Coordination Meeting for NSF

Research Program on Structural

Control," University of Nofre Dame,

South Bend, Indiana, October, 4-5, 1996

3. Second International Workshop on

Structural Control, Hong Kong,

December, 18-21, 1996

4. Fifth Coordination Meeting for NSF

Research Program on Structural

Control," University of Nevada, Reno,

Nevada, August, 18-19, 1997 (Ref. 5)

5. FUTURE PROGRAMS IN

HAZARD MITIGATION

The NSF is developing a new Major

Research Equipment Program that is intimately related to the area of structural control in hazard mitigation. The program

is still in the planning stage. It has also

been referred to as the National Network for High Performance Seismic Simulation

(NHPS) program. The program is proposed

to respond to the need for an integrated

430
network of experimental research facilities and a new research environment. It is expected to advance the scientific understanding of the impacts of

earthquakes. It will help mitigate the effect of disasters attributable to a lack of

knowledge about the behavior of

engineering materials, soils, and

construction during earthquakes. The

network will include advanced-design

earthquake simulation facilities, large scale

testing systems, and field facilities. It will

provide a means for the rapid exchange of

ideas and information, and offer immediate

access to research data generated anywhere

in the network. It will also serve as a forum

for bringing researchers and practitioners

together to share their expertise with

students and professionals engaged in earthquake engineering. It will create an environment where students are learning

through research that is supported by the

latest experimental and communication

technologies. It is expected to enhance the

synergy and vitality in earthquake

engineering.

The objective of NHPS is to advance

scientific knowledge, avoid future

catastrophes, and protect the populace, built environment and economy in future

earthquakes. NHPS will consist of three

special purpose (new and enhanced)

laboratories to simulate earthquake

generated actions on structures and to monitor the motions and response of the

built environment during such motions or during actual earthquakes. NHPS will

include the following new or enhanced

equipment and facilities.

• Advanced-design earthquake simulation

facilities. To meet the challenge of

high-intensity ground motion

parameters stipulated by the 1994 Los

Angeles and 1995 Kobe events, this NHPS component will include new

advanced-design earthquake simulation

systems for structural testing and

development of ''on-board" shaking

units in centrifuges for soil testing.

Similarly, the complexities of Tsunami

waves and their effects on shorelines

and coastal facilities will be studied

using an advanced wave generator

mounted in a large wave tank.

• Large-scale testing system. Failures of

structural steel elements in the Los

Angeles and Kobe earthquakes have

created an exigency for testing

structural elements, assemblies of

elements, and response modification

devices in full scale. These elements

exhibit complex nonlinear behavior and

require the development of large-scale actuators and improvement of existing

capabilities for combined vertical and

lateral loading of test specimens.

• Field simulation and laboratories. This

component of NHPS will comprise field testing installations and mobile

laboratory units to monitor the behavior

of constructed facilities before, during

and after an earthquake. It is needed in order to accumulate behavioral data that cannot be obtained in the laboratory

because of difficulties in replicating the

structure replete with complications

introduced by site, construction, and

architectural effects.

This program when implemented will have

far reaching effect in the development and

implementation of the structural and

systems control methods.

6. CONCLUDING REMARKS

The paper describes the development of

the NSF's Program on Structural Control.

NSF views the research on structural control

as an important means for natural hazard

reduction. NSF has invested significant resources to initiate this program by funding

51 research projects with a research

expenditure of $9.6 millions. Some of these

431
projects are still continuing. The

researchers are involved in solving several

issues related to the control of civil engineering structures. They are developing

new algorithms, actuation devices,

materials, and new control concepts.

Although the five-year program is formally

over, the NSF's support of the research

activities in this promising area has

continued.

The active and semi-active control

technologies, however, are not quite ready

for implementation in practice. The

requirements of large control forces and

large external power source are serious

impediments in the application of active

control. In this respect, the semi-active

schemes seem to be more promising for

their application to civil structures, as they

do not need a large power source. However,

these schemes are still in the laboratorytesting phase.

The NSF and the structural control

research community consider the

coordinated international collaboration and

active industrial participation very

important component of the program for a successful utilization of this technology.

7. ACKNOWLEDGEMENTS

The writers have had the opportunity of

coordinating the research activities of the

NSF's program of research on structural control. Their views on the program, gained

through this coordination, are reflected in

this paper. The writers acknowledge the

help and information they have received

from different sources, including the NSF

Program Directors S. C. Liu and E. J, Sabadell, and Prof. Sami Masri of the

University of Southern California.

However, the opinions, interpretations, and

views presented in the paper are entirely

those of the writers, and not of the NSF

Program Directors or the National Science

Foundation.

8. REFERENCES

1. Chong, K. P., Liu, S. C, and Li, J. C,

Editors, "Intelligent Structures", (1990),

Elsevier Applied Science, London and

New York, 460 pp.

2. Housner, G. W., Masri, S. F., Singh, M.

P., and Soong, T. T., " Structural

Control Research: Future Horizons of

the General Field of Structural Control",

Report by U.S. Panel on Structural

Control submitted to National Science

Foundation, August 1997.

3. Liu, S.C., Chong, K. P., and Singh, M.

P., "Civil Infrastructure Systems

Research: Hazard Mitigation and

Intelligent Material Systems", J. of

Smart Materials and Sfr, 3 (1994),

A169-174

4. National Science Foundation,

"Structural Confrol Inititative", NSF 91-

62, Arlington, VA, 1991

5. Soong, T. T. and Singh, M. P., "Fifth

Coordination Meeting Report for NSF

Research Program on Structural

Confrol", University at Buffalo, School

of Engineering and Applied Sciences,

State University of New York at Buffalo, NY, October 15, 1997

432
Wind and Seismic Research for Improved Engineering Consensus

Standards and Housing Construction

by

Jay H. Crandell'and William Freebome^

ABSTRACT

This paper provides an overview of recent engineering research that has resulted in improved engineering standards, design methods,

and building codes for the construction of

housing and other t\pes of buildings in the United

States. The engineering advancements include

the development of a new hurricane wind map, new load and directionalit>' factors for wind, and

a new method of analyzing wood-frame shear

walls.

KEYWORDS.

Houses, Engineering, Research, Wind, Seismic,

Consensus Standards, Building Codes

1. INTRODUCTION

Housing construction in the United States has

become subject to increased scrutiny with respect

to its performance in high wind and earthquake

risk regions. As a result of this scrutiny the need

for affordable and simple construction methods

has been challenge by the need to improve the

safety of these buildings. The focus of this summary paper is to give a broad overview of

recent efforts to improve the safet>' of residential buildings while maintaining affordability and

simplicity of construction methods or regulations.

Over the past two years, the National Association

of Home Builders and the U.S. Department of

Housing and Urban Development have joined in a multi-year cooperative program to address the

safety and affordability of future housing in the

United States. The title of the program is Housing Affordability Through Design

Efficiency (HATDE). The program is under the

management of the NAHB Research Center, Inc.

Other partners have included State Farm

Insurance Companies, Applied Research

Associates, Virginia Polytechnic Institute and

State University, Johns Hopkins University,

Clemson University, and Andersen Corporation.

The program has extended recent research funded

by other institutions such as the National Science

Foundation and the U.S. Department of

Agriculture to applications related to efficient design of residential buildings and other types of

structures.

2. OVERVIEW OF THE HATDE PROGRAM

The objective of the HATDE program is simply

stated as follows:

"To conduct practical research activities which

support the development and implementation of

innovative and efficient engineering principles

and construction practices in support of

reasonably affordable and safe housing in all hazard conditions in the United States.

"

To meet this objective a comprehensive research

agenda was developed and continues to be

subject to review and input from a broad-based

research coordination group. The research

program and agenda encompasses the following

major elements:

'NAHB Research Center, Inc., 400 Prince

George's Boulevard, Upper Marlboro, MD

207,74-8731.

^U.S. Department of Housing and Urban

Development, 451 Seventh Street, SW,

Washington, D.C. 20410.

433
Coordination 3 STRUCTURAL LOADS (WIND)

Research Coordination Group (90

representatives)

Peer Review Group (6 experts in engineering, architecture, and housing)

• Research Areas

Loads

Resistance (Strength)

Performance Assessment

Quahty/Defects Analysis

• Dissemination

Buildmg Codes

Engineering Standards

Education & Demonstration

Pubhcation/Reports/Articles

The research coordination effort serves several

purposes including identification and

prioritization of research needs, dissemination of

research findings, coordination with similar

research programs and initiatives, and

development of partnerships. Research activities are selected fi-om the research agenda based on

priority and fianding availability among the

collaborators. A smaller peer review group

assists in the direction of program funding and

critical review of research activities, plans,

results, and proposed applications. The program

is specifically designed to address research needs

in a manner that will have the most immediate

and effective impacts on improving residential construction and design practices. The

underlying principle is that more efficient engineering approaches will result in improved

performance of homes (relative to current day

practices) without adversely impacting the cost of

construction or housing affordability.

The remainder of this paper will present the key

research and dissemination activities accomplished to date in the HATDE program.

A major emphasis in the formation of the

HATDE program was related to wind loads,

particularly in hurricane prone regions. This

emphasis was associated with the construction

cost impacts realized when homes were subject to engineered design using existing engineering load

standards such as the American Society of Civil

Engineer's standard Minimum Design Loads for Buildmgs and Other Structures (ASCE 7)[1].

Because of this concern two projects were

directed toward research needs which would

improve the accuracy of this wind load standard

when applied to homes and other structures.

The first project focused on the development of a

hurricane coast wind map that utilized the latest advancements in hurricane wind field and risk modeling [2] [3]. Using these models which were

validated by data from numerous actual

hurricane events, Applied Research Associates

(Raleigh, NC) produced a new generation design

wind map for the hurricane coast regions of the

United States. The map shown in Figure 1 is essentially the same map that is now being

considered for approval in the ASCE 7 consensus

standard. It is important to note that the new map results in a faster degradation of hurricane

wind contours over land. This shift of the wind

contours toward the coast is a result of the more

accurate hurricane wind field modeling.

The second project related to wind loads re- evaluated the wind load factor for probabilitybased design formats such as Load and

Resistance Factor Design (LRFD). LRFD load

combinations are supported in the ASCE 7

standard and they are advancing in application to

residential construction with the advent of LRFD

provisions for wood construction [4]. The load

factor study included a delphi process of wind

engineering experts in the United States to help

identify the latest knowledge regarding the

stochastic parameters related to wind loads. Also

included in this work was the investigation of a wind directionality factor that adjusts wind loads

to account for the probability that wind will not always come fi"om a direction that produces the

434
worst-case wind effect on any particular

structure or its components.

As a result of this work a new wind load factor

and a separate directionality factor is being

proposed for inclusion in the next version of the

ASCE 7 consensus standard. The previous wind

load factor of 1.3 included a 0.85 factor

adjustment for directionality. By removing the

0.85 directionality factor, the wind load factor

would numerically change to 1.5 (1.3/0.85 =

1.5). This change was also supported by the re- analysis of the wind load factor using the delphi

results and principles of uncertainty [5]. The

directionality factor is then treated as an

adjustment parameter (depending on shape of the

structure) when calculating the nominal (50-year

return period) wind load. Based on this work, a

possible representation of a wind load

combination and the wind velocity pressure

equation might be as follows:

0.9D + 1.5W

q= 0. 613K,K,iKy

where,

P

= dead load

W = wind load

q = wind velocity pressure (N/m^)

Kz = exposure coefficient Kzt = topographic factor

Kd = directionality factor of 0.85

V = nominal design wind speed (m/s)

I - building importance factor

Other research has shown that the load factor

should be higher for hurricane prone regions.

The final outcome of these changes will be

forthcoming through the ASCE 7 consensus

standard balloting process.

4. STRUCTURAL RESISTANCE

A major ^ocus in the area of seismif' design and

wind resiiiance wood-fi'ame home^ ;\as bee i in the area of wall braciiig or the lateral force

resisting system (LFRS). Ti.. major components

of the LFRS of a home are light-frame shear

walls with wood structural panels. Of course,

the performance of these walls is dependent on

the manner of restraining the walls against

rotation. Common practice is to include holddown brackets and special metal connectors to transfer overturning loads to the building

foundation. Other fasteners, including nails,

anchor bolts, and shear plates, transfer shear

loads collected by horizontal diaphragms (floors

and roofs) to the shear walls. Similarly, the base

of the shear wall is connected to the walls or foundations below. While this scheme provides a

reasonably simple method of engineering

analysis, it is not the most efficient practice for

relatively light residential buildings such as

single-family detached homes.

To improve the efficiency of designing the LFRS

of homes, a shear wall research project was

initiated in the HATDE program. The project was designed to build on previous research on the

perforated shear wall method [6]. By this method, an engineer may readily and accurately

determine the strength of a fiilly-sheathed wall

with openings, and hold-downs are only required

at the ends of the walls. While resulting in a moderate reduction in capacity compared to a

wall with hold-downs restraining each fiill-height

segment, it provides sufficient strength for many

light-fi^ame residential construction applications, even in high wind and seismic conditions. The

perforated shear wall method was first developed

by researchers in Japan over 20 years ago [7]

The HATDE program expanded the work to include investigation of perforated walls with fiill restraint of each segment and with no restraint other than conventional anchor bolts through the

sill plates. These tests included numerous

opening configurations in walls that were 12.2 m

(40 ft) long. Both cyclic and monotonic loading

conditions were investigated [8] [9]. Finally, four

walls of a 3.7m (12 ft) length with comer

fi-aming and no hold-down restraints were

subjected to the cyclic loading test r-otocol [10].

The unit shear strength obtained thes tests was more than 85 peri, nt of that achieved with

the fiilly restrained walls previously tested. This

435
finding is a strong indication that comers may be

considered as providing adequate shear wall

restraint when properly designed and detailed. This phenomenon is known as the "comer

effect". The testing information has been used to

assist in the development of improved wall

bracing provisions of the proposed International

Residential Code.

Additional tests have been recently completed

that investigate the inclusion of narrow wall

segments within a fiilly-sheathed perforated shear

wall (NAHB Research Center, Inc., unpublished

report). The tests also investigated walls with

garage door openings having narrow shear wall

segments and varying degrees of framing

enhancements relative to conventional framing

practices. One pilot test was conducted to

investigate the effect of reduced base restraint of

the perforated shear wall (i.e. anchor bolt spacing

increased from 0.6 m (2 fl.) to 1.8 m (6 ft.)). An

additional pilot test looked at enhancement of

shear wall performance using strategically placed

metal tmss plates at the wall and window

comers. The walls tested in these recently

completed tests are shown in Table 1

The preliminary results of these later tests indicate that the perforated shear wall design

method is applicable to walls with narrow aspect

ratio wall segments (i.e. a 4:1 ratio of height to width of segments between openings). However,

the opening heights adjacent to the 4:1 aspect

ratio wall segments were limited to 50 percent of

the total wall height in these tests. Also, some

very economical and simple enhancements to garage opening framing can provide useful

design solutions in relatively high lateral loading

conditions. Increasing the anchor bolt spacing on

the sill plates had a negligible effect on the

perforated shear wall capacity and stiffiiess for

the pilot test. Additional testing will be

conducted to better quantify the effects of further

reductions to the base restraint of perforated

shear walls. Finally, the use of metal tmss plates

to reinforce key joints in the wall framing

enhanced the shear wall performance by as much

as 40 percent

5 SUMMARY AND CONCLUSIONS

In the first two years of the HATDE program,

several research activities related to stmctural

loads and resistance has been conducted to improve the efficiency of engineering residential buildings. The findings have been implemented

in engineering consensus standards and in the

development of new residential building code

provisions in the United States. The following

conclusions can be drawn from these efforts:

1. The resistance (strength) of residential constmction, particularly the lateral force

resisting system, is significantly

underestimated (or not optimized) with

current engineering methods of design.

Future efforts should continue to develop and

apply innovative engineering approaches that

better quantify the lateral strength of lightframe residential buildings. From this work

the design of residential buildings for high

wind and seismic conditions will be

addressed in an optimal fashion.

2. Wind loads in hurricane coastal regions have

been improved by implementing improved

models for hurricane winds as they degrade

over land.

3 . A new study on a wind load factor and wind

directionality will result in a more tractable

and risk-consistent design method for determining wind loads on various types of

stmctures.

6. REFERENCES

[I] American Society of Civil Engineers

Minimum Design Loads for Building and Other

Structures, American Society of Civil Engineers,

New York, NY (1995).

[2] Vickery, P.J., P.F. Skerlj, A.C. Steckley, and

L.A. Twisdale, Hurricane Wind Field and Gust

Factor Models for Use in Hurricane Wind

Speed Simulations, Applied Research

436
Associates, Raleigh, NC (1997) pending

publication.

[3] Vickery, P.J., P.F. Skerlj, and L.A.

Twisdale, Simulation of Hurricane Risk in the

United States Using an Empirical Storm Track

Modeling Technique, Applied Research

Associates, Raleigh, NC (1997) pending

publication.

[4] Load and Resistance Factor Design Manual

for Engineered Wood Construction, American

Forest & Paper Association, American Wood

Council, Washington, DC, (1996).

[5] EUingwood, B. and P. Beraki, Wind Load

Statistics for Probability-Based Design,

prepared for the U.S. Department of Housing and

Urban Development, the National Association of

Home Builders, and the NAHB Research Center,

Inc. by Johns Hopkins University, Baltimore,

MD, October 1 997 (pending journal publication;

available through NTIS).

[6] Dolan, J. and Johnson, A, Monotonic Tests of Long Shear Walls with Openings, prepared

for the American Forest and Paper Association

by Virginia Polytechnic Institute and State University, 1996.

[7] Sugiyama, H. and Matsumoto, T., Empirical

Equations for the Estimation of Racking

Strength ofa Plywood Sheathed Shear Wall with

Openings, Summary of Technical Papers Annual

Meetings, Trans, of A.I. J., 1994.

[8] Dolan, J. and Heine, C, Monotonic Tests of

Wood Frame Shear Walls with Various

Openings and Base Restraint Configurations,

Prepared for the NAHB Research Center, Inc. by

Virginia Polytechnic Institute and State University, 1997.

[9] Dolan, J. and Heine, C, Sequential Phased

Displacement Cyclic Tests of Wood Frame

Shear Walls with Various Openings and Base

Restraint Configurations, Prepared for the

NAHB Research Center Inc. by Virginia

Polytechnic Institute and State University, 1997.

[10] Dolan, J. and Heine, C, Sequential Phased

Displacement Tests of Wood Framed Shear

Walls with Corners, Prepared for the NAHB

Research Center Inc. by Virginia Polytechnic

Institute and State University, 1997.

437
Figure 1: New Hurricane Design Wind Contours for the ASCE 7 Consensus Standard (courtesy Peter Vickery, Applied Research Associates).

438
Table 1 : Shear Wall Configurations

Specimen Wall

Configuration

Openings Sheathing Area

Ratio, r Anchor Bolt

Spacing

Wall 1 None 1.0 2' o.c.

Wall 2 'A//A//A//A

20'

(1) - 12' X 4' 0.57 2' o.c.

1 r-2'typ.

Wall 3 (3)-4' x4' 0.57

20'

2' o.c.

Wall 4

16'-

(1) - 12' x6'-8" 0.29 2' o.c.

Walls'

Id'

(1)- 12' x6'-8'^ 0.29 2' o.c.

Wall 6' (3) -4' x4' 0.57

20' -I

2' o.c.

Wall 7 y777//77A

20'-

(3) -4' x4' 0.57 6' o.c.

For SI: 1 ft.(') = 0.3048 m, 1 in.(") = 25.4 mm.

' Alternative framing methods used.

439

SUMMARY of JOINT COOPERATIVE

RESEARCH PROGRAMS

U.S.-Japan Cooperative Earthquake Engineering Research Program

on Composite and Hybrid Structures

- Current Status of Japan Side Research -

by

Isao Nishiyama *1, Hiroyuki Yamanouchi *2 and Hisahiro Hiraishi *3

ABSTRACT

The U.S. -Japan Cooperative Earthquake

Engineering Research Program started in 1979

following the recommendations as outlined in the

final report of the U.S. -Japan Planning Group

for the program (Ref.l). The overall objective of

the total program is to improve seismic safety

practices in both countries through cooperative

studies to determine the relationship among full- scale tests, small-scale tests, component tests, and

related analytical and design implication studies.

A five-year research program on Composite and

Hybrid Structures was recommended to start in 1993 fiscal as the Phase 5 based on a number of

technical meetings between the U.S. and Japan

(Ref.2).

Because of diverse and broad scope of the

subject area, the research program was organized

into the following four groups: Concrete Filled

Tube Column Systems; Reinforced Concrete

(RC) and Steel Reinforced Concrete (SRC)

Column Systems; RC / SRC Wall Systems; and

New Materials, Elements and Systems. In addition to the objectives of the total program,

Phase 5 aimed at (1) developing design

guidelines (for a unified code development) for

typical composite and hybrid structures, and (2)

developing new and innovative composite

structural elements and hybrid systems using

advanced new materials and / or devices.

Japan side has just completed his assignment of

the cooperative research work in the fiscal year

of 1997. This report presents the outlines of the

research conducted during five years and the

general contents of the proposed draft guidelines.

KEYWORDS:

composite and hybrid structures; concrete

filled tube column systems; reinforced concrete

and steel reinforced concrete column systems;

RC/SRC wall systems; new materials, elements

and systems; outline of research results; proposed draft guidelines.

1. RESEARCH RESULTS ON CFT

1 . 1 Basic Research Plan

There are many experimental and analytical

studies on concrete filled tube column (CFT)

systems which are reported in technical journals.

First, the strength and ductility of the CFT

systems are predicted by processing these existing

data. Secondly, the effectiveness of these

predictions is verified by supplementary

experimental studies. As the materials' strengths

in use are quickly increasing, wide range of

structural steel strength and concrete strength are considered to verify the applicability of the

predictions. Finally, draft design guidelines are developed.

1.2 Research Items and Results

(1) Database

Test data of CFT columns and beam-columns

were collected from the Japanese literature published in 1971 through 1995, and a database was developed. A total of 786 test data (test specimens) were found: 501 square CFT and 285

circular CFT. A database for the tests of

connections between CFT column and steel beam

was also prepared. Column bases and connections

between CFT frame and brace are also important

structural elements of CFT system, but however

very few test data were available so far in Japan.

* 1 Head, Housing Construction Division,

Production Engineering Department,

Building Research Institute (BRI), Ministry

of Construction (MOC), Tachihara-1,

Tsukuba, Ibaraki, 305-0802, Japan.

* 2 Director, Codes and Evaluation Research

Center, BRI, MOC.

* 3 Director, Structural Engineering

Department, BRI, MOC.

443
(2) Trial Design of Theme Structure

Structural designs of 10, 24 and 40 storied CFT

moment frame buildings and CFT dual system

buildings were carried out on the theme structure shown in Fig.l. In these structural design, CFT

member strengths were calculated based on the

simple (generalized) superposing method

proposed in the AIJ-SRC standards (Ref.3). The

buildings with the same floor plan were also

designed as pure steel frames.

o

o

D

Z>

i

> CFTi i

Columr and S- 3eam

CFT-C

> 4

'olumn

I •

o

t 1

i ii

t—

\ 4 \ 4

\ 4

\

1^

as H

\ 4

race or inge Device

1 4>

Beam

> 4

6.400

t i

6.400

\ 4

6.400

\ 4

6.400

\ 4

6.400

\ •

6.400

Figure 1 Floor Plan of Theme Structure on CFT

The total amount of structural steel, which is the

index for estimating the economy of buildings,

used for CFT buildings was compared with that used for pure steel buildings. In this comparison,

CFT showed advantages over pure steel especially

for higher buildings. The economical difference

in CFT buildings with / without bracings was not

large. It was because that the weight of bracings

and the weight increase in the braced bay frame

members compensated with the weight reduction

of other frames which carried less horizontal

force. -

The modified plans which have 16 or 24

columns in each story, wdiich were expected to show more advantages by CFT columns, were

also investigated.

(3) Experimental and Analytical Study

The objectives of the experimental study are to evaluate the synergistic effects of structural steel tube and filled concrete and to evaluate stress transfer mechanisms in beam-to-column

connections. So as to clarify these problems, four

test programs were planned with several study

parameters.

a) Experiments

1) stub-column tests 2) stub-column eccentric loading tests 3) beam-column tests 4) beam-to-column connection tests

b) Study Parameters

1) tube shapes (rectangular, circular)

2) tube strengths (400, 600, 800 MPa)

3) width-to-thickness ratio

(FA, EC, FD-rank* 1)

4) concrete strengths (20, 40, 80-103 MPa)

5) connection details (diaphragm, etc.)

* 1 FA-rank of width-to-thickness ratio means

that large member ductility is expected thanks

to its compact section. EC-rank means that it can at least assure the yield strength of the

member without deterioration. The width-tothickness ratio of FD-rank is chosen as 1.5 times of that of EC-rank.

133 stub-column tests on rectangular (B=100-

324mm) or circular (D=108-450mm) sections were completed. As the dimensions of the

selected specimens were relatively large, and

material strengths of structural steel tube

(oy=400-780N/mm2) and concrete infill (Fc=20-

103NATnim2) were also large, the maximum test strength reached l,400tonf (13.72MN). As for

the stub-column eccentric loading tests, 80

specimens were completed. From these test results,

flexural moment (M) versus axial force (N)

interaction of CFT section was obtained. The

analytical M-N interaction estimated on the basis

of the proposed stress versus strain models for

concrete infill and steel tube considering

synergetic effects well agreed with the test results.

As for the beam-column tests, 20 rectangular and

13 circular specimens were tested. Most of the

specimens (16 for rectangular and 9 for circular

sections) were tested under the constant axial

thrust of 40% of compressive yield strength and

others (4 specimens each for rectangular and

circular sections) were tested under varying axial

thrust of 70% of compressive yield strength and

30% of tensile yield strength. The structural steel strengths (400, 600, 800MPa), concrete strengths

(40, 90MPa) and width-to-thickness ratios (FA,

EC-rank) were selected as test parameters. As for

rectangular sections, 4 specimens (constant axial

thrust) were loaded in the direction of the plane

which inclined 22.5 or 45 degrees from the axes

of side plates. Fairly good agreements both in restoring force and axial shortening

characteristics were obtained between test results and analytical ones, in wtiich the proposed

models for concrete infill and steel tube from

444
stub-column concentric and eccentric tests were adopted with arbitrary selected hinge length.

Inelastic 3D-FEM analyses were also carried out

to see the stress flow (distribution) in the CFT

beam-columns.

1 1 beam-to-column connection specimens were

tested. Ten of them were one-way frame

specimens (eight of them were tested with constant column axial force of 20% of

compressive yield strength and two were tested with varying axial force between 70% of

compressive yield strength and 30% of tensile yield strength) and the rest was the two-way frame

specimen. Test results showed quite stable restoring force characteristics. The maximum

shear strengths of the beam-to-column

connections were well above the maximum panel

shear strength proposed by AIJ-SRC (Ref.3). The

recommended maximum panel shear strength

proposed by AlJ-Steel Tube (Ref.4) coincided

with the lower bound of the test results. A slightly' detailed test results and analytical

studies on stub-columns, beam-columns and

beam-to-column connections were summarized in Ref.5 and Ref.6.

(4) Empirical Study on Ductility

As for the strength of beam-columns, the

analytical evaluation was quite satisfactory.

However, the analytical evaluation on the ductility

of beam-columns looked not promising, as the

selection of the hinge length was arbitrary.

Therefore, the empirical formulation for the

ductility of beam-columns was tried both for

rectangular and circular sections using existing

test results. Empirical formulas taking into

account the factors of axial force, the width-tothickness ratio of steel tube and the strength of

concrete infill were proposed for rectangular and

circular sections, respectively.

As shown in Fig. 2, the envelop of the shear force

versus deflection relationship of the beamcolumn shown by OABC, where O is the origin, A

is the yield strength, B is the maximum strength

and C is the deteriorating curve, is simply

characterized by OAB'B" , where B' is the 95%

pre-maximum strength point and B" is the 95%

post-maximum one. From the empirical study, B' was given as the stiffness reduction factor in comparison with equivalent elastic stiffness and

B" was estimated as the deformation capacity.

Envelop of hysteresis loop

Figure 2 Envelop of Hysteresis Loop of CFT

Beam-Columns

(5) Design Guidelines

Any of the structural design standards used in Japan do not contain provisions concerning the

structural characteristic factor Ds (Rw in the U.S.)

of CFT structures, which is necessary to calculate

the required value of the lateral load resisting

capacity of the story. Under this circumstance,

Japanese working group for CFT systems tried to develop guidelines to the structural design of CFT

systems, which contain the following items: i) formulas to evaluate strength, deformation

capacity and Ds of CFT column considering the

effects of confined concrete, local buckling, axial

force and biaxial bending, ii) design formulas for

diaphragm and shear panel of the beam-tocolumn connection, iii) modeling of restoringforce characteristics of column, connection and

overall CFT system, and iv) method of concreting, concrete mixture and material tests at site.

Table 1 shows the tentative contents of the draft

guidelines for the design of CFT column system.

Table 1 Draft CFT Design Guidelines

1. Introduction

1 . 1 Structural characteristics of CFT column system

1.2 State-of-the-art of research on CFT

1.3 Research carried under U.S.-Japan Program

1.4 Contents

2. Basic seismic design concept of CFT column system

2. 1 Basic seismic design concept and scope of

application 2.2 Seismic design method based on current method

2.3 Seismic design method based on performance

criteria

445
3. Behavior and design of CFT member

3.1 General

3.2 Behavior of CFT short column under concentric compression force 3.3 Behavior of CFT short column under combined

compression force and bending moment

3.4 Behavior of CFT beam-column

3.5 Design of CFT column

4. Behavior and design of CFT joints

4. 1 Behavior of CFT column to steel beam

connection panel

4.2 Design of CFT column to steel beam connection

4.3 Design of brace connection

4.4 Design of CFT column bases

5. Construction of CFT column system

5.1 Steel tube

5.2 Concrete infill

6. Example of trial design

Appendix 1 . Trial design of CFT column system

Appendix 2. Test specimens carried under U.S.-Japan

Program

2. RESEARCH RESULTS ON RCS

2.1 General

In Japan, a great number of beam-to-column subassemblage tests on RCS (reinforced concrete

column and structural steel beam) systems have

been conducted. However, the variations of the

joint details are quite wide and so the test results have not been thoroughly investigated yet.

Therefore, these existing test results are first compiled in a common format as a database.

Then, the joint panel shear strength and ductility are investigated. In this consideration, the joint

details are classified into through column type

and through beam type.

As the existing test data are partial to interior

through beam type joints, necessary exterior joint

tests and through column type joint tests are planned. A basic study to investigate the stress transfer in the joint is also planned. In Japan, twoway frame system is more common, so 3D joint

tests are planned. Frame test is also planned so as

to increase the accuracy of the evaluation of the

strength and ductility. Inelastic 3D finite element

analyses are also planned to more precisely

understand the behavior of the joints. Finally,

draft design guidelines is developed.

2.2 Research Items And Results

(1) Review and Database

A total of 436 experimental data was included

into a database, in which the information of about

160 items such as generals, the details of columns,

beams and joints, experimental results and so on

is written for each test. The collected test data are

sort into 17 typical details for through beam type

joints and 13 for through column type joints

based on the types of reinforcing details. The

data are also classified into 1) panel shear yielded

data and 2) others.

Panel shear yielded data vwere used to verify the

accuracy of the existing design formulas

(maximum strength) for each typical details of

the RCS connections. Adding the test data

produced by the U.S.-Japan program, a better

panel shear strength design formula was proposed

by Eq.l.

Qp=Qw-hQf+Qh+Qc (1)

where,

Qw=C 1 * Aw*sxwy

Qf=0.5*Af*sTfy

Qh=0.25*Pw*(ywy*Bc*mcd

Qc=0.4*C2*C3*Bc*Dc*0.1*cob*j6

Aw: sectional area of web plate

sxwy: shear yield stress of web plate

Af: sectional area of web of cover plate

sxfy: shear yield stress of cover plate

Pw: shear reinforcement ratio

(jwy: yield stress of shear reinforcement

Be: width of column

mcd: central distance between external

reinforcements

Be: column width

Dc: column depth

cab: concrete compressive strength

j6: joint panel shape factor (=3 for +, 2

for T, and 1 for L joints)

CI: 0.8 for without FBP (face bearing

plate) and 0.9 for with FBP

C2: 0.8 for without FBP and cover plate;

1.0 for with FBP or cover plate

(prototype); 1.1 for prototype with

extended FBP, or with outer side small

column, or with inner side band plate; 1.5 for prototype with outer side band plate or with FBP -i- vertical rebar, or for

diagonal stiffener; 1.6 for diagonal

stiffener -i- wide FBP, or diaphragm.

C3: 0.9 for without transverse beam and

1.0 for with transverse beam.

The displacement information was used to estimate the shear force versus shear deformation

relation of the joint panel.

(2) Trial Design of Theme Structure

6 and 12 story building frames were designed by

the current Japanese design standards (Ref.3 &
Ref.7), wdiose floor plan is identical to Fig.l. The

allowable stress design method was used with the

static lateral forces corresponding to the base

shear force coefficients of 0.918 and 0.133 for

the 6 and 12 story buildings, respectively. Time

history analyses using the equivalent multi-mass

shear system for four recorded ground motions

with 50 cm/sec of velocity amplitude were also conducted in which the hysteresis model was assumed by normal tri-linear with the monotonic

envelop obtained by static pushover analysis. The

maximum story drift and the maximum ductility

ratio of the designed building frames were

studied.

The designed buildings are also utilized to further

investigate the realization of the proposed design

guidelines from the practical view points.

(3) Beam-To-Column Connection

a) Stress Transfer Mechanism Study

The shear strength of the joint panel is thought to be estimated as the sum of the shear strengths of

inner concrete, outer concrete, web of the

structural steel and hoops. However, the

contribution of outer concrete on the shear

strength is quite doubtful as it is not known how

the shear stress is transferred between inner and

outer parts. So as to make clear the stress transfer

mechanism, several sophisticated experiments were carried out.

b) Through Column Type Joint Tests

Ten specimens for interior beam-to-column

connections were tested. In these tests, the effects

of vertical stiffeners and the cover plates were

investigated. These test results were useful for

developing design formula for panel shear

strength. The detailed test results are shown in Ref.8.

c) T- and L-Shaped Joint Tests

Fifteen beam-to-column connection specimens

were tested to make clear the effects of the

geometry (cruciform, T and L) of the joints. Here,

the joint details of the through beam type with

FBP, extended FBP, cover plate and band plate are all included. The through column type is also considered. Through these experiments and 3DFEM analyses, the shape factors for cruciform

shaped joint, T-shaped one and L-shaped one are evaluated as 3.0, 2.4 and 1.4, respectively.

However, in the proposed design guideHnes, the

traditional shape factors as 3.0, 2.0 and 1.0 are adopted for practical simplification with safer side

decision. The detailed test results are shown in Ref.8.

d) 3D Joint Tests

So as to see the inelastic behavior of beam-tocolumn connections under two directional

loading, four 3D joint test specimens were

constructed. Three of them are through column

type with the identical shape and one is through

beam type. One of the three identical through

column joints was loaded in the direction of the

frame (beam) in an ordinary manner. Second one

was loaded in the direction of 45 degrees with

respect to the axis of the frame. The third one was

loaded following a circle shaped orbit. The

strength and restoring force characteristics of the

first and second specimens were quite resemble

each other and the effect of loading direction can be considered negligible. However, the circle

orbit loading largely reduced the strength. This

effect was not included in the proposed design

guidelines, which will be the future problem. The

detailed test results are presented in Ref.9.

(4) Frame Test

So as to understand the overall inelastic behavior

and required ductility in each structural elements

of RCS frame, a two story (1.35m in story height)

and two bay (2.1m in beam span) frame

specimen was tested. The frame was designed as weak joint panel. The test results showed fairly

good ductility, but the hysteresis loop showed

pinched.

(5) 3D-FEM Analyses

Elastic and inelastic behavioral characteristics of

bond and friction between concrete and steel were

investigated by fundamental experiments. The

test results were reflected to modify the

constitutive models for the inelastic 3D-reM

program. Analytically obtained monotonic load

versus deflection relationships were compared

with the envelops of the cyclic behaviors of

beam-to-column connections with excellent

agreements, v^ich verified the effectiveness of

3D-FEM analyses. The 3D-FEM analyses also gave us better understanding of the stress distribution in the beam-to-column connection.

This analytical method was also applied to 3Djoint test and frame test and fairly good results were obtained. The detailed analytical results are shown in Ref.8.

3D-FEM analyses will be continued to complement data on the structural performance

of RCS connections out of the extent of test data

447
and to further improve the shear design formulas

of RCS connections.

(6) Equivalent Damping of Joints and Frames

Equivalent viscous damping of 15 beam-tocolumn connections and 4 frames was calculated

at each displacement amplitudes. The estimated

damping was summarized as follows; i) Beam

hinging specimens showed the largest damping

and it reached 40% at the large displacement

amplitude, ii) Column failure or bearing failure

specimens showed the least damping and it was about 10% even at the large displacement,

amplitude, iii) Joint panel shear yielding

specimens showed intermediate damping between

10-20% and the cover plate improved the energy

dissipation capacity.

(7) Draft RCS Design Guidelines

In recent years, a large number of RCS

connection details have been developed and

applied to the real construction practices.

However, many of the new connection details and

systems developed are not covered by the existing

standards, and thus the establishment of original

design procedures for RCS connections and

systems are urgently needed in Japan.

Japanese working group for RCS systems

developed draft design guidelines for RCS

systems, which contained the following items: i) formula to evaluate panel shear strength, ii) yield

mechanisms to be recommended and how to realize the intended mechanism, iii) modeling of

restoring force characteristics of beam-to-column

connections, and iv) fabrication and construction

method.

Table 2 shows the tentative contents of the draft

guidelines for the design of RCS system.

Table 2 RCS Draft Guidelines

Preface Part 1 : Draft design guidelines

1. General

1.1 Scope of application

1.2 Terminology

1.3 Notations

1.4 Related codes and standards

2. Materials

2.1 Kind and quality of materials 2.2 Material constant

2.3 Allowable stress and material strength

3. Structural design

3.1 Fundamentals for structural planning

3.2 Fundamentals for panel design and details

3.3 Design methods

3.4 Method based on current practice 3.5 Method based on performance criteria 3.6 Design example

4. Fabrication and ConstrucUon

5. Example of Construction

Part 2: Technical Information

1. Database

1.1 Infroduction

1 .2 Profile of database

1.3 Investigation of existing shear strength design

formulas

1.4 Proposed design formula

1.5 Proposed skeleton model

2. Experimental and Analytical Results done by U.S.- Japan Program

2.1 Stress transfer in the joint panel

2.2 Behavior of through beam type joint

2.3 Behavior of interior through column type joint 2.4 Behavior of exterior joint

2.5 Behavior of 3D joint 2.6 Behavior of frame

2.7 Inelastic 3D-FEM analysis

2.8 Equivalent damping of RCS joints and frame

3. RESEARCH ON HWS

3.1 General

The structural system of core wall with exterior

steel frame is not common in Japan and its design

method is not established yet. So, six, twelve and

twenty-four storied theme structures were

preliminary designed. According to the

preliminary design, six storied model was

considered to be designed just depending on the

large shear strength of walls. Twenty-four storied

model needed hat truss (and belt truss) to reduce

large overturning moment induced at the foot of

the coupled shear walls, wiiich made the

development of general design procedure rather

difficult. Therefore, twelve storied theme structure was first selected and the design problem was

picked up. Then, the design implication is expanded into much higher or lower systems.

The rationality of the designed system is verified

through the analytical and experimental studies.

3.2 Research Items And Results

(1) Trial Design of Theme Structure

First, twelve story model building (see Fig. 3) was

designed on the basis of the general design

concept (Ref.7). The strength of the designed

building was too large to be investigated as the

target strucmre to be developed. Then, the

building was revised considering the design
concept for the coupled-shear wall in New

Zealand (Ref.lO). In New Zealand practice,

earthquake load is distributed to each wall

according to the overturning moment ratio carried by boundary beams. As the building still had large overstrength, the reinforcements in the core walls were intentionally reduced to reach

reasonable strength level, 35 percent as the base

shear coefficient. The final designed building was

investigated whether it performed well or not

under the seismic effects through the dynamic

inelastic analyses using fish-bone model or frame

model.

6.400

1 6.400| 6.400

| 6.400

1 6.40o| 6.40o|

Figure 3 Floor Plan of Theme Structure on HWS

(2) Coupled-Shear Wall Test

One-third scale model of 12 storied coupledshear wall test was carried out. During the test, the

forces acting in each member was measured so as

to understand the force re-distribution in the

coupled-shear walls and boundary beams for

design purpose. For this purpose, load cells were

installed into all boundary beams. The coupledshear walls showed very stable hysteresis loops

until 1/67 radian in drift index. From the readings

of the load cells, it was observed that the

boundary beams act like wedges inserted between

walls after they cracked and expanded in length.

These test results were investigated by FEM and

MS (multi spring) model analyses. The detailed

test results and some analytical studies were

discussed in Ref.ll and Ref.l2.

(3) T- and L-Shape Shear Wall Test

To understand the stiffness, strength and

deformability of 3D- wall is essential for the

design implication to HWS systems. Three onethird scale T-shaped shear wall specimens without

boundary columns, which represented the walls of

the lowest story of the 12 storied prototype HWS

system, were conducted. In these tests, the shear

force and flexural moment with different

moment-to-shear ratios were applied with varying

axial forces.

Large axial force was expected at the corner of

the 3D-wall of lowest story wdien two directional

seismic force affected on the HWS system. Then,

the ductility of the corner part of the wall

depended much on its confinement. Therefore,

four L-shaped shear walls varying their

confinement level were tested with large axial

force. These test data were utilized to develop

hysteresis model of 3D-walls.

The detailed test results were discussed in Ref.l3.

(4) Theoretical Study

Theoretical investigation was carried on the

dynamic behavior of 3D HWS under the bidirectional earthquake motion, in order to establish a rational mathematical model in view of

the experimental results, and the fluctuation of

shear forces acting on dynamically-behaving

rigid walls and flexible steel frames, to determine

the design shear force for HWS.

(5) Literature Survey

About eighty papers on boundary beams and

thirty papers on RC wall to steel beam

connections were surveyed. As for the inelastic behavior of the boundary beams, the past

analytical and experimental information was

considered to be enough for design purpose. On

the other hand as for the RC wall to steel beam

connections, the isolated joint strength tests were found in the reports and no sub- assemblage tests were found. From this viewpoint, some

verification test might be necessary for RC wall to

steel beam connection. However, as the flexural

stiffness of the steel beam with long span was very

small and the rotational deformability of the joint

itself was not so large, the experiment was not

carried out.

(6) Design Guidelines

Seismic performance of each member in HWS

differs significantly. Coupled walls and link

beams may be damaged within a relatively small

drift, while exterior steel frames will remain elastic at the limit drift of the walls. Design guidelines

for HWS system should consider these different

performance of each structural element. It is also indicated that the following items are important in 449
the design of HWS, in addition to the design

methodology of the coupled shear walls and link

beams: design for diagonal loading, soil spring

effect, seismic use of perimeter steel frame,

confinement of compression wall, and method of

energy dissipation.

Table 3 shows the tentative contents of the draft

guidelines for the design of HWS system. The

detailed explanation of the design concept is presented in Ref.l3.

Table 3 HWS Draft Guidelines

Introduction

1 . Scope of Application

1.1 Structural components

1.2 Scale and geometry of building

1.3 Materials

2. Target Performance in Seismic Design

2.1 Establishment of target performance

2.2 Confirmation of target performance

3. Check of Target Performance

3.1 Input ground motion

3.2 Analytical methods

3.3 Check of design criteria

4. Check of member performance

4. 1 Fundamentals for member performance

4.2 Walls

4.3 Boundary beams

4.4 Exterior frames

4.5 Steel beam to core wall connections

4.6 Foundations

Appendix 1 . Design examples

Appendix 2. References, Test report and Other

Appendix 3. Examples of Dynamic Analyses

4. RESEARCH RESULTS ON RFI

4.1 Feasibility Study

Following items were discussed as possible

research topics: Fiber reinforced plastics (FRP),

high-performance concrete (HPC), intelligent

material, prestressed steel member, hinge device,

mega-structure system, recycle element, fire- proofing material for CFT, and high-performance

steel. Some hearing-type meetings with material

manufacturers and general contractors were conducted with a view to study a possibility of

above items as research topics of RFI, and FRP

and HPC were selected for feasibility studies on

effective use.

4.2 Research on FRP

The research program on effective utilization of

FRP materials for composite and hybrid

450

structures contained three research items as follows. These items were selected through the

feasibility study on effective utilization of FRP.

a) Development of the evaluation method for

high-performance FRP-RC panels.

b) Development of the effective repair and / or strengthening method by using FRP for

existing RC members.

c) Feasibility study on the effective utilization of

FRP to the electrical facilities.

The behaviors of FRP-RC panels of flat- and

tube-types reinforced by 2-dimensional FRP

reinforcements, under axial tension and

compression, in-place flexure and shear and out- of-plane flexure were experimentally investigated.

The flexural and shear behaviors and

confinement of concrete of RC columns wiiich were wrapped by FRP strand or FRP sheet / tape

with resin for repairing and / or strengthening were also investigated. The application of FRP to the electrical facilities such as a power station, and

structures that had to be sheltered from electrical

noise was studied from the literature survey.

4.3 Research on HPC

There are few cooperative research between

concrete makers and structural designers in Japan.

The makers have many technologies but they

don't know how to use it. On the other hands,

designers have a few information about new

technologies of concrete. But they have many

hints about the idea of future concrete.

The main objective is to exchange the

information of makers and structural designers to discuss about how to use effectively the concrete

materials to the structural members and how will be the future concrete. Through the discussions,

the following two topics were depicted.

a) Light weight concrete with high strength of

which the specific gravity is imaged to be

about 1.2 and 1.6, and the compressive

strength of 30 and 60 MPa, respectively

b) Advanced concrete with high tensile strength

and ductility of which the tensile strength is imaged from 30 to 200 MPa, and the tensile

ductility from 1 to 10 %.

As for the light weight concrete, two kinds of

imaged concrete were realized and several

fundamental tests on bond strength and

compressive strength were carried out.
As for the high tensile strength concrete, various

types of fibers with mortal were tested and some

of them showed high tensile strength and good

compressive ductility. However, it was made clear

that such performance was quite sensitive to the

kind of fibers.

4.4 Technical Information

The research results can not be summarized as design guidelines but they can be used as technical information. Design guidelines will contain the items concerning the design,

fabrication, construction and application of the

advanced materials mentioned above, that is, FRP-RC panel element, I^RP strand and sheet / tape for repairing and strengthening of existing

RC members, FRP for electrical facilities, light

weight concrete with high strength and concrete

with high tensile strength and ductility.

5. SUMMARY

U.S. -Japan Cooperative Earthquake Engineering

Research on Composite and Hybrid Structures

initiated in 1993 fiscal as a five year program

came to the final stage. This paper presents the

outlines of the research results conducted during

this five years and the general contents of the

proposed draft guidelines by Japan side. Research results by the U.S. side vjhich will come

out in other two or three years shall be reflected

to improve the design guidelines presented in this paper.

ACKNOWLEDGMENTS

The authors wish to express their great thanks to the Members of Japan Technical Coordinating

Committee for their useful comments and

suggestions to the development of design

guidelines and / or technical information on CFT,

RCS, HWS and RFI.

REFERENCES

1. "Recommendations for a U.S. -Japan

Cooperative Research Program utilizing

Large-Scale Testing Facilities", Report No.

UCB/EERC 79-26, 1979.9.

2. "Recommendation for U.S. -Japan Cooperative

Research Program -Phase 5 Composite and

Hybrid Structures", Report No. UMCEE 92-29,

1992.11.

3. " Standards for Structural Calculation of Steel

Reinforced Concrete Structures,"

Architectural Institute of Japan, 1987 revision.

4. " Recommendations for the Design and

Fabrication of Tubular Structures in Steel,"

Architectural Institute of Japan, 1990 revision.

5. S. Morino, "An overview of U.S. -Japan

Cooperative Earthquake Research Program on

CFT column systems," SEWC'98, July 19-23,

1998.

6. K. Sakino et al., " Experimental studies and

design recommendations on concrete filled

steel tubular columns -U.S. -Japan Cooperative

Earthquake Research Program-," SEWC'98,

July 19-23, 1998.

7. " Structural Provisions for Buildings,"

Building Center of Japan, 1994.9. (in

Japanese)

8. H. Noguchi et al., " Shear strength of beam-tocolumn connections in RCS system,"

SEWC'98, July 19-23, 1998.

9. 1. Nishiyama et al., " Bi-directional seismic

response of reinforced concrete column and

structural steel beam subassemblages,"

SEWC'98, July 19-23, 1998.

10. T. Paulay and M. J. N. Priestley, " Seismic

Design of Reinforced Concrete and Masonry

Buildings," John Wiley & Sons, Inc.

11. M. Teshigawara et al., " Seismic test on 12-

story coupled shear wall with flange walls,"

SEWC'98, July 19-23, 1998.

12. M. Teshigawara et al., "Energy absorption

mechanism and the fluctuation of shear force

in the coupled shear walls," SEWC'98, July

19-23, 1998.

13. T. Kabeyasawa et al., "Displacement-Based

Design of Hybrid Core Wall System,"

SEWC'98, July 19-23, 1998.

451
U.S.-Japan Cooperative Earthquake Research Program

on Composite and Hybrid Structures - U.S.-side Progress

by

Subhash C. Goell

ABSTRACT

A five-year research program on Composite

and Hybrid Structures as Phase 5 of the U.S.-

Japan Cooperative Earthquake Research

Program was recommended to be initiated in 1993 in both countries. The research work in Japan started in fiscal year 1993. However,

fuller participation of researchers on both

sides started in early summer 1995. The

sponsorship of the program is by the National

Science Foundation in the U.S. and by the

Ministry of Construction along with a number

of industry groups in Japan. This paper

presents a brief status report of the program

and research progress made to date on the

U.S. side. Because of diverse and broad scope

of the subject area, the research program is organized into the following four groups:

Concrete Filled Tube Column Systems (CFT);

Reinforced Concrete (RC) and Steel

Reinforced Concrete (SRC) Column Systems

(RCS); and RC/SRC Wall Systems (HWS); New

Materials, Elements and Systems (RFI). A

theme structure with well selected layout,

geometry and design loads for the research is also presented, which provides a common

focus for various systems to be studied, and

also a common prototype structure from

which the components and sub-assemblages

are drawn.

Key Words:

Concrete Filled Steel Tube;

RC Column with Steel Girder;

RCS Core Wall with Exterior Steel Frame;

New Materials Elements and Systems.

1 . INTRODUCTION

The U.S.-Japan Cooperative Earthquake

Research Program began in 1979 under the

auspices of the UJNR Panel on Wind and

Seismic Effects. The overall objective of the

total program is to improve seismic safety

practices in both countries through

cooperative studies to determine the

relationship among full-scale tests, small-scale

tests, component tests, and related analytical

and design implication studies. First four

phases of the program have been Reinforced

Concrete (RC) Structures, Steel Structures,

Masonry Structures, and Precast Concrete

Structures. Research on Mixed Steel/RC

Structures was identified as an important phase

of the program as recommended in the

planning group report.

It is widely recognized that innovative uses of

two or more different materials in a structure

leads to more efficient system for resisting

seismic forces. During the past ten years the use of composite and hybrid structures has

increased in the U.S. and Japan. In spite of some research and development work by

Japanese construction companies, not enough

is known at present regarding their seismic

behavior or performance. Design procedures

and codes for use in typical design offices are not well developed at present.

Considering the importance of developing

design guidelines (a unified code

development) for typical composite and

hybrid structures that are used in current

practice, and of developing new and innovative

composite structural elements and hybrid

systems using advanced new materials and/or

devices, a five-year research program on

Composite and Hybrid Structures was recommended as the fifth phase of the

ongoing U.S.-Japan Cooperative Earthquake

Research Program. The recommendations

were based on a number of technical meetings

of the U.S. and Japan Planning Groups and

finally a Joint Planning Group Workshop held

in Berkeley on September 10-12, 1992 (Ref.

1).

Because of diverse and broad scope of the

subject area, the research program is organized

into the following four groups: Concrete Filled

Tube Column Systems (CFT); RC/Steel

Reinforced Concrete Column Systems (RCS);

1 Professor, Dept. of Civil and Environmental

Engrg., University of Michigan, Ann Arbor,

MI 48109-2125, USA

452
and RQSRC Wall Systems (HWS); New

Materials, Elements and Systems (RFI). A

theme structure provides a common focus of

the program to facilitate cross comparison

between various system types identified and to derive structural elements and sub-assemblages

for detailed studies.

2. PROGRAM MANAGEMENT,

COORDINATION AND CURRENT

STATUS

The research program is planned for a period

of five years in both countries, and funding

has been provided accordingly. Research

work on the Japanese side started in the spring

of 1993. However, fuller participation and

coordination of research work on both sides

started in early summer 1995 when the first group of U.S. research projects were awarded.

Cooperation and coordination of work by all participants are most essential to successful

completion of this program. Various

committees have been formed for this purpose. A Joint Technical Sub-Committee

(JTSC) in each of the four components of the

research program provides technical advice

and coordination. Each JTSC has a co- chairman from each side with membership

including all researchers in that area. These

groups meet as often as needed. All

participants and institutions are also part of the

bigger Joint Technical Coordinating

Committee (JTCC) to review progress and

discuss scientific and technical issues on a common basis. This committee meets once a

year. The last (fourth) JTCC meeting was held

in Monterey, California, in October 1997. The

fifth JTCC meeting is scheduled to be held in

fall 1998 soon after the award of fourth year

U.S. research projects which is expected in

April-May 1998. A smaller group called Joint

Steering Committee (JSC), which consists of

key representatives from the JTCC, oversees

the entire program and provides guidance on

issues that are common to the four

components of the program. The overall

program has a technical coordinator and a co- chairman from each side.

In addition to sharing of technical information

and ideas among researchers, exchange of

personnel involved is strongly encouraged.

This is happening more now as the research

program has gotten into its advance stage.

Active participation of practitioners and

various industry representatives in planning,

coordination and execution of the research

work is also a strong feature of this program.

3. PROGRAM OBJECTIVES

Since the subject area of the Composite and

Hybrid Structures is diverse and broad, the

research program was organized into the

following four groups: CFT Column Systems;

RaSRC Column Systems; and RQSRC Wall

Systems; New Materials, Elements and

Systems. The first three groups aim at developing practical design guidelines (a

unified code development) for typical

composite and hybrid structures currently

used. The last group aims at developing new

and innovative composite structural elements

and hybrid systems using advanced new

materials and/or devices.

4. THEME STRUCTURE

The theme structure provides a common

focus and a strong link between various

components of the research program, facilitate cross comparisons between various systems to be studied, and also provides a common

prototype structure from which the structural

elements and sub-assemblages for detailed

studies are drawn. The following criteria were

used for selection of the theme structure:

- The building plan was selected so as to

reflect the benefits that the hybrid structures provide over non-hybrid structures.

- The basic plan is common to various types

of hybrid structures. The number of stories

and the make-up and combination of

structural components and details can be

varied.

- Rules to determine dead load, live load and

seismic forces to be used in design

simulation are common in the U.S. and

Japan Groups.

5. RESEARCH ON CFT SYSTEMS

A number of research projects were funded

during the first two years. These projects

focused on the behavior of CFT column-toWF beam moment connections. The specimens

are nearly full size and include circular and

square tube sections for columns. The

connection details include the use of

diaphragms, shear studs, welds, and bolts. The

main variables are the connection details to

transfer beam forces into the column. The

objectives are:

453
1) To determine the force transfer

mechanism, examine the effects of various

connection details on this mechanism, and on

the connection strength, stiffness and ductility

under cyclic loading.

2) Develop and evaluate practical and

economical connection details for seismic

resistance.

3) Formulate practical design guidelines.

Some testing work also includes study of

beam-columns under combined axial force

and bending. Analytical studies accompany

the experimental work. The analytical models

include complex finite element formulations

in an effort to develop simpler empirical or mechanics based models for practical design

work. Analytical work is also aiming at studying the bond and shrinkage effects, and

confinement effects in CFT members

subjected to different load conditions.

6. RESEARCH ON RCS SYSTEMS

RCS structures in the U.S. generally consist of

columns made of light steel shapes encased in

RC. The light steel shape provides ease of

erection and connection to the steel beam.

Currently, there are seven active projects in the

U.S., that are related to RCS structures. The

projects include preparation of database on

connections, testing of exterior and interior

beam-to-column connections with and without

floor slab, composite frames with partially

restrained connections, and use of high

strength steel and concrete. The joint detail

variables include: lateral ties, beam bearing

plates, use of PRC in place of stirrups.

Analytical studies focus on modeling the

connection and frame behavior to address

practical analysis and design issues.

7. RESEARCH ON HWS SYSTEMS

In one research project on seismic behavior of

steel/composite coupling beams and their

connections to the RC shear wall has been

studied experimentally and analytically. Four

one-third scale specimens were tested which

represented a portion of the wall and one half

length of the coupling beam from a 20 story

theme structure. The effect of concrete

encasement of the steel beam and details of the

connection in the embedded portion have

been studied. Two more research projects were started in the second year which deal with

studies of composite SRC shear walls with steel boundary elements, and steel frames with RC

cast-in-place in-fill walls.

8. RESEARCH ON NEW MATERIALS,

ELEMENTS AND SYSTEMS (RFI)

The research work in this group aims at developing and application of new and

advanced materials in innovative composite

structural elements and systems (Research For

Innovation - RFI). Thus, the studies in this group are more of feasibility type than those

in the previous three groups where the

objectives are to develop detailed guidelines

for practical design work.

Significant amount of research work has been

devoted to advanced cementitious and plastic

composite materials. Albeit, the available

information needs to be expanded to application in seismic load conditions. In two

projects under this program, work is in

progress on developing innovative composite

systems consisting of steel and fiber reinforced

concrete (FRC). The structural elements are made of selective combinations of FRC and

steel members. The combinations under study

include: FRC-encased open web steel joists,

and high performance FRC core encased in

slurry infiltrated mat concrete (SIMCON)

shells for reinforcement as well as stay-inplace form work. In another project

application of fiber reinforced concrete in the

joint regions of RCS systems is being studied.

Work is also in progress on further

development of Engineered Cementitious

Composite (ECC) materials and their selective use in structural elements, such as columns

with large ductility demands.

9. CONCLUDING REMARKS

A brief overview of the progress of U.S. -Japan

Cooperative Earthquake Research Program on

Composite and Hybrid Structures has been

presented in this paper. This five-year

program started in 1993 in Japan and in 1995

in the U.S. The two year time lag is being

taken as an opportunity to plan the future

research work in a more careful and useful manner in order to derive the most benefit

from the work that has already been

completed on both sides. The overall

coordination efforts, cooperation and

exchange of information have been excellent.

More active exchange of research personnel is currently occurring in this program. At least

454
four or five researchers from each side have

participated for short and long term durations.

More details on the current status and

technical progress made in this program can

be found in the minutes of the last (fourth)

JTCC meeting (Ref. 2). A listing of the general

recommendations from that meeting is given

in the Appendix of this paper. A www site has

also been established which contains updated

information on the overall status of this program as well as summary of results and

findings from individual research projects

(www.eerc.berkeley.edu/usjhcs).

10. REFERENCES

1. "Recommendation for U.S.-Japan

Cooperative Research Program - Phase 5 Composite and Hybrid Structures," Report

No. UMCEE 92-29, Department of Civil

and Environmental Engineering, The

University of Michigan, Ann Arbor, MI,

48109-2125, November 1992.

2. "Summary, Resolutions and

Reconmiendations of the Fourth Joint

Technical Coordinating Committee

Meeting," Report No. UMCEE 98-03,

Department of Civil and Environmental

Engineering, The University of Michigan,

Ann Arbor, MI, 48109-2125, January

1998.

11. APPENDIX

General Reconmiendations from the 4th JTCC

meeting:

1. Exchange of researchers, and research data

(e.g., via www) on both sides should be

continued at an increased level.

2. Close cooperation and collaborative

research effort on both sides should be

continued till the end of the five year

program of both countries.

3. Scope of this program may be expanded

to include more thorough examination of

promising innovative technologies and

materials (such as those explored in the

RFI Program) applied to repair and

upgrading of existing structures,

application to infrastructure systems, and

so on.

4. Efforts to synthesize and interpret

knowledge gained in the program, and to disseminate this knowledge and

design/analysis methodologies to the

design profession and industry should be

accelerated.

5. Consideration should be given to perform

testing work on carefully selected full frames in possible cooperation with other

research programs.

6. Material manufacturers, construction and

other industrial organizations should

continue to actively support the research

program.

7. Each JTSC should meet as needed to achieve good coherence in the cooperative

research work.

8. Each JTSC should study development of

performance criteria as related to design

guidelines to be developed in each

country.

9. Use of common set of ground motions is encouraged to permit more direct

comparison of dynamic analysis results.

10. The funding agencies in both countries

should maintain proper balance of

research effort among the four areas of the

program consistent with the research

needs.

1 1 . Funding should be provided for joint

coordinated publication of research work

with practical implications.

12. The 5th JTCC meeting should be held in early fall of 1998 at a place to be hosted

by the Japan side.

455

MANUSCRIPT PRESENTED

at MINI-SYMPOSIUM

Development of New High Bridge Piers Containing Spiral Reinforcement

by

Okahara Michio ", Fukui Jiro Adachi Takuya Okoshi Moriyuki ^\ Koga Yasuyuki

ABSTRACT

The construction of expressway and other

arterial roads in Japan is shifting from those

running the length of the Japanese Archipelago

to roads across its islands, a change in emphasis that has increased the number of

roads constructed through mountainous regions

of the country. Recent years, a strong demand

for the preservation of natural environments

has been accompanied by the need for bridge

construction methods that have minimal effects on nature. To meet this new requirement, high

bridge piers must be constructed.

In response to these circumstances,

rationalize execution and to develop the 3H

(Hybrid Hollow High Pier) Method: a new

high bridge pier structure that is both

economical and provides earthquake resistance.

Kye Words: High Pier

Spiral Reinforcement

Development of Construction

Performance Confirmation Tests

1. INTRODUCTION

The construction of expressway and other

arterial roads in Japan is shifting from those

running the length of the Japanese Archipelago

to roads across its islands, a change in emphasis that has increased the number of

roads constructed through mountainous regions

of the country. Past roads through mountainous

areas included many sections constructed by means of large scale cutting and embankment

work. But in recent years, a strong demand for

the preservation of natural environments has

been accompanied by the need for bridge

construction methods that have minimal effects on nature. To meet this new requirement, high

bridge piers must be constructed. And the work

performed to construct bridge piers must

include environmental measures such as cutting

less soil and reducing the size of execution

yards. It is also necessary to reduce labor

requirements and the quantity of work

performed to deal with both a shortage of and

an increase in the average age of skilled

construction workers.

During the Hyogo-ken Nanbu Earthquake of

1995, road bridges that play important roles as evacuation routes and emergency transportation

arteries, were destroyed with serious effects on

the life of local society. It is now essential to develop new kinds of bridge piers that provide

earthquake resistance superior to that of

conventional reinforced concrete bridge piers.

In response to these circumstances, the

Public Works Research Institute of the

1 ) Director, Structure and Bridge Department,

Public Works Research Institute, Ministry of

Construction

Tsukuba Science City, 305-0804,Japan

2) Head, Foundation Engineering Division, Structure and Bridge Department, Public

Works Research Institute, Ministry of

Construction

ditto 3) Researcher, Foundation Engineering

Division, Structure and Bridge Department,

Public Works Research Institute, Ministry of

Construction

ditto 4) Director, Research Section 3, Advanced

Construction Technology Center,

Tokyo-to, 1 12-00 12,Japan

459
Ministry of Construction has worked in cooperation with the Advanced Technical

Center, and private companies to rationalize

execution and to develop the 3H (Hybrid

Hollow High Pier) Method: a new high

bridge pier structure that is both economical

and provides earthquake resistance.

2. OUTLINE OF THE 3H METHOD

2.1 Present Problems and Development Goals

Most high bridge piers now designed and

constructed are reinforced concrete bridge

piers. Extremely large quantities of steel reinforcing material is used in order to minimize their cross section dimensions. The

revision to the Road Bridge Guidelines

completed in 1996 stipulates that bridge piers

shall be provided with sufficient stiffness by

installing highly concentrated hoop ties and

intermediate hoop ties. This has made

execution of bridge piers extremely difficult,

resulting in many problems related to construction periods and costs. It is also

necessary to guarantee safe execution at high

work locations. In response, technical development has been

undertaken in an effort to improve high bridge

piers by

( 1 ) increasing execution efficiency,

(2) improving bridge pier earthquake

resistance,

(3) preserving the environment,

(4) cutting costs, and

(5) improving the quality and appearance of

the work.

2.2 Structure of a 3H Method Bridge Pier

Figure 1 through Figure 4 present an outline of

the structure of 3H Method bridge piers.

The most important distinguishing feature of

the structure of a 3H Method bridge pier is the

fact that part of the axial direction reinforcing

rods installed with the conventional method are replaced with steel (H-steel or steel pipes) . As Figure 3 and Figure 4 show, the

intermediate hoop ties are replaced with spiral

reinforcement. This spiral reinforcement forms

a spiral column consisting of the steel and

axial direction reinforcement surrounding it. Figures 5 and 6 show spiral columns. These

are installed around the full circumference of

the bridge pier section to form the bridge pier

column. Because this is a steel - reinforced concrete structure that includes steel material,

its buckling load carrying capacity is greater

than that of a reinforced concrete structure. This permits a reduction in the decline in its bearing strength after maximum load during

bending behavior. And by closing the axial

direction reinforcement, the spiral

reinforcement confines the buckling of the steel reinforcement generated during large

deformation of the bridge pier. This provides

the same function as intermediate hoop ties. These features improve the toughness of bridge

piers. It is also possible to construct bridge

piers with far greater earthquake resistance

than that of conventional bridge piers.

2.3 3H Method Execution Procedure

The 3H method execution has been

developed basically by effectively combining

existing technologies. It is also more rational

than past methods of constructing bridge piers.

It is extremely important, however, to make

sure that the initial assembly of the spiral

columns is performed precisely. And to reduce

labor, the spiral columns must be as long as

possible. Depending on the bridge pier height

and other construction conditions, appropriate measures must be take to prevent vibration,

oscillation, etc. of the spiral columns during

execution.

Execution methods can be broadly

categorized into the following two methods

460
depending upon the type of forms used.

2.3.1 Execution Method Using Precast Forms

This execution method is used mainly to build high bridge piers with a height ranging

from 30 to 60 meters. Because precast forms

are used on the inside and outside surfaces of

the bridge pier, it is the best method from the

viewpoint of execution properties, quality, and

appearance.

The execution is performed by first

installing the spiral columns, assembling the

precast forms into appropriate units on land,

using a crane to lower the units into place, then

anchoring them. Finally, the spaces between

the precast forms are filled with secondary

concrete.

2.3.2 Execution Method Using Movable Forms

This execution method is used mainly to construct bridge piers higher than 50 meters in

height. The use of large movable forms permits

improved execution properties and shorter

work periods.

With this method, the spiral columns and

hoop ties are installed, then jacks are used to simultaneously or alternately raise the forms

and the scaffolding in order to construct the

bridge piers.

2.4 Special Features of the 3H Method

The following are the special features of the

structure and the execution method described

above.

( 1 ) More Efficient Execution

- Replacing part of the axial direction

reinforcement with H-shaped steel, steel pipes, or other steel material sharply reduces the

quantity of complex reinforcing work that is necessary. This can bring substantial

improvements in execution efficiency and

speed up the execution.

- The use of spiral columns can eliminate the

work required to install intermediate hoop ties.

- The use of precast forms or large movable

forms also contributes to more efficient execution.

(2) Improving Earthquake Resistance

It is a steel - reinforced concrete structure built by replacing part of the axial direction

reinforcement with H-shaped steel or steel pipes to provide buckling load carrying

capacity and toughness superior to that possible

with a reinforced concrete structure. (3) Environmental Protection

- The use of precast forms or large movable

forms can reduce the quantity of natural resources consumed.

- The method can reduce the size of execution

yards, mitigating the effects of the work on the

surrounding environment.

(4) Cost Reductions

- More efficient execution shortens

construction periods, lowering costs.

( 5 ) Improved Quality and Appearance

- The use of factory made or processed

structural members contributes to more

dependable quality and more attractive bridges.

3. PERFORMANCE CONFIRMATION

TESTS CONDUCTED TO DEVELOP NEW

TECHNOLOGY

In order to develop the 3H Method, it was

necessary to accurately clarify previously

unknown dynamic properties and their

behavior. The authors have performed element

tests of several kinds. These tests have

confirmed that the 3H Method has properties

equal or superior to those of the conventional

method.

And loading tests of conventional reinforced concrete structures and structures made using

the 3H method were performed with models

1/4 the size of real bridge piers.

The remainder of Section 3. describes the tests and their results.

461
3.1 Column Specimens

3.1.1 Outline of the Test The specimens modeled part of the hollow

cross section of bridge piers. With dimensions

of 1,600 X 450 X 1,700, they were about 1/2

the size of those of an actual bridge. The test cases are shown in Table 1 and outlines of the

specimens are shown in Figure 7. Case 1

( standard specimen) represented a

conventional reinforced concrete structure; Cases 2 through 7 represented steel -

reinforced concrete structures made using

H-shaped steel; Cases 8 and 9 represented steel

- reinforced concrete piers made using steel pipes; and Case 10 represented a reinforced

concrete bridge pier made using spiral

reinforcement. Cases 2 through 9 were tested by varying factors such as the pitch of the

spiral reinforcement, the intervals between the

columns, and the axial direction reinforcement

ratio (percentage of the total steel cross

section area accounted for by the axial

direction reinforcing steel area) , the hoop tie

pitch, etc. The total steel material section areas

in the steel - reinforced concrete structures and

the reinforced concrete structures were almost

identical and the axial direction reinforcement

ratio in the steel - reinforced concrete structure was about 10%.

The tests were performed by monotonically

increasing the vertical load and measuring the

displacement of the specimens in the height

direction and the strain etc. of the steel reinforcement.

3.1.2 Test Results

Fracturing of the specimens in every case occurred in the form of cracking of the concrete surface in the loading direction at the

ends and in the middle of the specimens. As

the load increased, the centers of the specimens

bulged out at right angles to the loading

direction. Afterwards, the protective concrete

covering peeled off, and the testing ended

when the axial direction reinforcement buckled.

Photographs 1 and 2 show the way that the

H-shaped steel and steel pipes fractured. Table 2 summarizes the test results. The

strength ratio ( P / a ) that clarifies the

bearing strength in each case compared the

maximum stress found from the maximum load

and the concrete strength of the test pieces.

The following information is revealed by this Strength ratio.

( 1 ) In Case 2 through Case 4, the confining

effects of the spiral reinforcement provided

maximum stress almost equal to that in Case 1 where intermediate hoop ties were used. And

only slight differences were observed in the

maximum stress and strength ratio as a result of the pitch of the spiral reinforcement.

(2) Case 3 and Case 5 reveal that the

intervals between columns has almost no effect on the maximum stress. (3) Case 3 and Case 7 reveal that as the

interval between the hoop ties is increased, the

maximum stress declines by about 30%.

Figure 8 shows the strain of the spiral

reinforcement at about the center of the Case 2

specimen. Up to maximum load, the strain in the middle (S12, S12) was highest. But the

strain of the spiral reinforcement at that time

ranged from 1,000 to 1,500 /z , which was less than the yield strain (between 1/7 and 1/5 of

approximately 7,300 jU ) • At the stage where

the continued loading had reduced the load to about 80% of the maximum load, the strain of

the spiral material in a part corresponding to the intermediate hoop ties (S2, S7, SI 5)

abruptly increased. This spiral reinforcement

displays behavior typical of intermediate hoop

ties.Figures 9 and 10 show the displacement at

right angles to the load direction in the center of the specimens. In Case 2 and Case 3,

462
displacement did not increase immediately after

the maximum load, then after the load fell to about 80%, displacement began.

In Case 7 where the hoop tie pitch was 150

mm, displacement began immediately after maximum load. And even in Case 5 where the

column interval was large, displacement

occurred immediately after maximum load just

as it did in Case 7. These results reveal that the

pitch of the spiral reinforcement, column

interval, and pitch of the hoop ties provide

deformation confinement in the lateral direction

that can be counted on to provide effects that

substitute for those of intermediate hoop ties. Figure 1 1 presents the relationship between

the stress and the strain when the pitch of the

spiral reinforcement is varied. Little change was observed in either the maximum stress or

the behavior after maximum stress as the pitch

of the spiral reinforcement was varied. From a specimen strain near 3,000 fj. , the greater the

pitch of the spiral reinforcement, the higher the

percentage that the stress declined. And in these cases, even at the stage where the

specimen strain reached 10,000 yU , the

specimen's stress remained at 150 kgf/cm^ or more. This confirmed its superior deformation

properties.

Figure 12 presents the relationship between

the stress and the strain when the pitch of the

spiral reinforcement is held constant while

other conditions are varied. When the pitch of

the hoop ties was large at 150 mm, the

maximum stress of the specimens declines

sharply. But if the strain of a specimen

surpasses approximately 3,000 ix , the

percentage decline of the stress is almost

identical in every case. Figure 13 presents the relationship between

the stress and strain in three cases: principal

steel is H-shaped steel + axial direction

reinforcement (Case 4) , steel pipe + axial

direction reinforcement (Case 9) , and only

axial direction reinforcement (Case 10) . This

figure reveals that differences in the kind of

principal steel used have little effect on the

maximum stress of the specimens nor on the

strain of the specimens at maximum stress. But

when the maximum stress is exceeded, the

stress declines more when only axial direction

reinforcement is used than it does in other

cases.

3.1.3 Summary

The study was performed to confirm the

performance of "steel reinforced concrete plus

spiral reinforcement": the basic structure of a 3H bridge pier. The results have confirmed that the basic structure of a bridge pier made using

the 3H Method provides axial compressive

strength equal to that of conventional bridge

piers and superior deformation properties.

3.2 Alternating Loading Tests

3.2.1 Outline of the Tests Figure 14 presents cross sections and

dimensions of specimens that are scaled down

replicas of real bridges and outlines of the

tests. The modeling was done by arranging the

axial direction steel to obtain the same bending

bearing strength as models of conventional

bridge piers. The testing was done by applying

axial force corresponding to the dead load from

the superstructure. Afterwards, the horizontal

displacement at the loading point when the

axial direction reinforcement and the steel at the outside edge of the cross section of the

bridge pier foundation reached the yield value was set at 1 6 y. The displacement of this integral multiple was loaded alternately

negatively and positively under displacement

control. And the number of repetitions at each

loading step was set at 3.

3.2.2 Test Results

Figures 15 through 17 show the hysteresis curves of the horizontal load - horizontal

463
displacement of the conventional method and

the 3H Method (models with H-shaped steel and steel pipes) , while photograph 3 presents a view of the test. The displacements at about 1 6 y where the tensile side steel reached the

yield value were almost identical at about 15 mm for both the conventional method model

and 3H Method model. The maximum bearing

strength was a little higher in the case of the

3H Method model. Both methods provide

sufficient deformation performance. But the

percentage decline in the bearing strength

during large deformation seems to have been

smaller in the 3H Method model case. And a comparison of the shapes of the hysteresis curves reveals spindle-shapes with superior

energy absorption in both cases. The area of

the hysteresis loop of the 3H Method model is

clearly larger than that of the conventional

method model. And because a reversed

S-shaped slip is not observed, it is concluded

that its earthquake resistance is greater than

that of the conventional method.

Detailed analysis is now in progress.

4. CONCLUSIONS

The 3H Method can substantially reduce

labor requirements from the level necessary to implement the conventional method.

Various element tests and negative - positive

alternating horizontal loading tests using

specimens that are scaled down models of real bridges that have already been performed have

clarified the structural properties of piers

constructed using the 3H Method. But because

it is a new type of structure, some aspects of

its execution are still not clearly understood.

The next task is to incorporate knowledge of

these points obtained from future executions in design, execution, and estimation manuals as it

is obtained.

464
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465
Figure 1. Precast Form Structure

Figure 2. Movable Form Structure

466
H-s: laped Steel

Spiral Reinforcement

Axial direction

; Reinforcement

1^1

Figure 3. H-shaped Steel Type Figure 4. Steel Tube Type

f ^ H H H H

H H H H

mr

a'

Spiral Reinforcement

H-shaped Steel

Figure 5. H-shaped Steel Type Arrangement Diagram

o

o

o o o o o

o o o o o

o

0'"

o

Spiral Reinforcement

Steel Pipe

Figure 6. Steel Tube Type Arrangement Diagram

467
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468
Measurement

Locations

.5J8 5J0.

i H i sip H i S7 H S2

5000 "Sf? -s^- Ultimate Load

^_Maximum Load

-o-2,000tf

--l,800tf

-^l,600tf

l,200tf

800tf

400tf

(30

S18 S15 S12 S10 S7 S4 S2 Gauge No.

Figure 8. Strain Distribution of Spiral Reinforcement

2500

2000

1500

-a§ 1000

500 Case 2: Spiral reinforcement at a pitch of 75 mm

Case 3: Spiral reinforcement at a pitch of 100 mm

Case 4: Spiral reinforcement at a pitch of 150 mm

0 10 20 30 40 Displacement (mm)

Figure 9. Load - Displacement Under Varying Spiral Reinforcement Pitch

2500

2000

1500 00

5 1000 o

500 Case 3: Column interval of 100 mm

Case 5: Column interval of 200 mm

Case 7: Hoop ties 150 mm

0 10 20 30 40 Displacement (mm)

Figure 10. Load - Displacement Under Varying Conditions

469
300

250

00 ^ 200 -

V)

CO

0) ti COc

<uB

o

150

100

50 Case 2: Spiral reinforcement at a pitch of 75 mm

Case 3: Spiral reinforcement at a pitch of 100 mm

Case 4: Spiral reinforcement at a pitch of 150 nmi

2000 4000 6000 Specimen Strain (

/z

)

8000 10000

Figure 11. Stress - Strain Caused Under Varying Spiral Reinforcement Pitch

300

Case 3: Case 5: Column interval of 200 liim

Case 6: Principal reinforcement ratio of 40%

Case 7: Hoop ties: 150 mm

2000 10000 Specimen Strain (

/x ) Figure 12. Stress - Strain Under Varying Conditions

300

0 I . i . 1 i 1 i 1 • 1 0 2000 4000 6000 8000 10000 Specimen Strain (

)

Figure 13. Stress - Strain Under Varying Principal Steel

470
Axial Force

Bridge Pier

Footing

O

O

Loading Point

(Horizontal Displacement)

O

CO

CO

o

o

00

o

o

00

2, 700

Figure 14. Alternate Loading Testing: Outlines of the Specimens

471
100

-100 "

• • • —• ' -200 -150 -100 -50 0 50 100 150 200

Horizontal Displacement (mm)

Figure 15. Alternate Loading Testing: Conventional Method

100 I

-200 -150 -100 -50 0 50 100 150 200

Horizontal Displacement (mm)

Figure 16. Alternate Loading Testing: H-shaped Steel Model

100 I

1 1

-100 '

' ' -200 -150 -100 -50 0 50 100 150 200

Horizontal Displacement (mm)

Figure 17. Alternate Loading Testing: Steel Tube Model

472
Photograph 1. Fracturing of H-shaped Steel

Photograph 2. Fracturing of Steel Pipe

473
Photograph 3. Alternate Loading Testing

Photograph 4. Case2 H-shaped Steel 10 6 y

474
MANUSCRIPTS AUTHORED for

PANEL MEETING but NOT

PRESENTED ORALLY
I

I

\

I
SHAKING TABLE TEST ONBASE ISOLATED HOUSE MODEL

by

Hiroyuki Yamanouchi ' Mitsumasa Midorikawa^' and Masanori

ABSTRACT

Base isolation is very eflfective on keeping

safely during earthquakes(reduction of acceleration reqxmse at floors and inte-story drifts ofstmcture, etc.).

In case of houses, it is diflBcult to elongate a period of

building by laminated mbber bearing isolators because

of tile light weight of building. In addition to rubb^

bearing devices, sliding and rolling type devices are needed to be developed or applied. In this paper, the

effects of base isolation on response of houses and

mechanical characteristics of various kinds of seismic

isolators will be discussed. Shaking table tests of base

isolated house models were carried out. Various kinds

of isolators, such as mbber , sliding , and rolling

bearings were tested. The effect ofthese isolators on the regxMise of a superstmcture during earthquakes has

been demonstrated, through the comparison with

response for a non-isolated house. It is shown that the reqxsnse of houses is remaikably depaident on

diaractaistics ofisolators. Key words : Base Isolation, House,

Shaking Table Test, Earthquake Response,

Effect ofIsolation

1. INTRODUCTION

Many stmctures suffered from tiie 1995

Hyogoken-Nanbu Earthquake. Some at buildings have

collapse of 1st or intermediate stories". Engineers and

researchers recognized the necessity for countermeasures against earthquakes. Since the earthquake occurred in the gray dawn (5.45am) , there were many persons v^di were dead and injured at

their houses. Two buildings with base isolation were

constructed in Kobe City. The observed earthquake

motion in the buildings showed the effect of base

isolation on reduction ofacceleration response After

the earthquake, many low- and medium-rise buildings

with isolators have been designed and constmcted. But

base isolation of individual houses has not become

popular.

Base isolation is very effective on keeping safety

during earthquake(reduction ofacceleration response, at

floors and inter-story drift response, and protection from

overturning of fijmiture, etc.). In order to promote

constmction ofbase isolated houses and development of

isolator devices for houses, required performance for base isolated houses has to be clarified. Building

Research Institute has a project on this theme in

collaboration with house builders and isolator device

conpanies ^\

Base isolated buildings in Japan and current

issues for spreading base isolated houses are summarized, and shaking table test results of base

isolated house models are discussed. Various kinds of

isolators, such as mbber, sliding , and rolling bearings were tested.

2. RECENT TENDENCY OF BASE

ISOLATED BUILDINGS IN JAPAN

Figure 1 illustrates the number of base isolated

1) Director, Codes and Evaluation Research Center,

Building Research Institute, Ministry of Constmction,

1, Tatehara, Tsukuba-shi, Ibaraki-Ken, 305-0802,

J^jan

2)Associate Director for International Codes and

Standards, Codes and Evaluation Research Center,

ditto

3)Head, Geotechnical Division, Department of Stmctural Engineering , ditto

477
building? in Japan by fiscal year. The number of

buildings is classified by building use. The number fi^om 1985 to 1994 (before 1995Jan.l7 Hyogoken-Nanbu

Earthquake, JMA M7.2) is summed up. Table 1 shows

kinds of isolators by year. As isolators, lead mbber, high

damping mbber, and natural mbber bearings with lead and steel dampers have been much used.

Table 1 Kind and Number of Isolators Utilized for

Buildings in Japan

year

Typeof Dafloe 1985-1994 1995 1996 1997 total hCB 13 26 79 36 154 LRB 18 20 49 27 114 2 14 37 24 77 LFB+^FB 4 2 21 10 37 NFBt^ 17 0 2 0 19 LRB+SL 9 0 1 2 12 NRB+LD 4 1 2 5 12 NFB+SL 3 3 0 2 8

MRB+-VD 5 1 0 0 6

Others 7 19 34 27 87

total 82 86 225 133 526 LRBl^ad RlDter Bearing SLSidng Bearing LDLead C3afTper hDBHgh Dannping Rtber Bearing Sl-DSteel Hysteresis Damper

NRBNatLral Riber Bearing VDViscxxB Danrper

The number of base isolated buildings in 1995 is almost equal to the sum of that in the past The number

increased in 1996. Before the Hyogoken-Nanbu

Earthquake there are ofiBces and reseaidi centers for building use. On the other hand, residential buildings,

offices and hospitals have been designed after the earthquake.

The reason why base isolated buildings have been

constmcted after the earthquake seems that the effects of

base isolation were demonstrated through the 1994

Northridge Earthquake in USA and the 1995

Hyogoken-Nanbu Earthquake. The earthquake motions

of base isolated building (6-stoiy, steel-rcinforced concrete stmcture) constmcted in the mountainous area were observed as shown in Fig. 2. Hie ratio of the maximum response acceleration of 1st and 6th floors to

that of foundation in the east-west directicHi are 035,

034, respectively ^'

. As the building is constmcted on very stiff soil ground, the ground motion contains much high frequency component Unfortunately there was no base isolated building in the area of much

damaged on building;s, road and rail ways, and the

y u Iti- u n it housing 0 ffic. Don ilo ry building F.clory

,„,„,„„

y usoui

S to ri g e C 0 p u to r C e n te r

1 095

1 985-1 994

^ '° " I 1 Ifi ro H 0 u I 0 HolBl School 0 th • ri

Fig.1 Number of Base-isolated Building and Building Use

478
reclaimed ground along the sea coast

3. ISSUES OF SAFETYAND SPREAD OF

BASE ISOLATED HOUSE

In order to promote the developmoTt of isolator

devices and spread base isolated houses, the required

performance for base isolated houses shall be made

clear. Many issues shall be necessary to be discussed.

Following itans are taken into consideration for the

performance ofbase isolated houses.

1)Weight ofbuilding is relatively small.

In addition to laminated mbber bearing devices,

sliding and rolling type devices are needed to be

developed.

2)Countameasures afflinst wind is important.

Evai if the bdiavior ofbuilding during earthquakes

is sufficient, itisnotaccqjtablethatthehabitability

in daily life and during strong wind will be

insufficient.

3)Reinforcement of 1st floor and foundation is

added.

In case of houses without base isolation, wei^ of

buildings is transferred to foundations through siUs. As the siUs are put on the foundation, the sills are not

necessary to support the weight of floors. In case of

base isolated houses , girders are necessary to

siqjpat tiie weight of 1st floor. The dimensions of

Section of Foundation for

Normal House (2x4 System)

+380

0

6th Floor (I03gal)

-380

1st Floor (I06gal)

+380

OAe^ 0

-380

+380

Foundation (300gal)

Fig.2 Earthquake Motion Records(EWdirection)in Base-isolated Building in 1995

Hyogoken-Nanbu Earthquake(Ref.2)

Re i nforcement

(H-shape Steel 200x200)

'1 <-! so 1 ator

1 D16@125

• V

*

\ • •

•

D13@200 Foundat i on Section of Foundation for

Base Isolated House

Fig. 3 Section ofIsolated Story and Foundation

479
girders are large with increasing distance between

concentrated load acts on the foundation, use of

isolators. The weight ofbuilding is transferred to the

foundation through the isolators. Since the

individual and mat foundations, or reinforcement of

continuous foundation shall be considered. Figure 3 illustrates a section of 1st floor and

foundation for ordinary and base isolated houses. 4)Cost performance is important. Cost for isolation is considerably large. The effort

shall be made to reduce the cost for isolation.

Standardisation of isolator devices and simplification

ofbuilding confirmation system are necessary.

In Article 3 8 ofthe Building Standard Law ofJapan

there is a descrqrtion of speaai material or methods

of construction as follows ; the provisions of this

chapter ofthose oforder or ordinances based thereon

shall not apply to building using spedai building

materials and methods ofCOTStmcticm unanticipated thereunder , in cases where the Minister of

Constmction determines that the said building

materials or methods of ccHistmction are equivalent or siqjerior to the specified in the said provision ^. As it is judged that the building with base isolation have special materials , the pamission of the Minister of Constmction is necessary for stmctural

P I an

Elevation

Flame for Measuring

D I sp I acement

Note s Acce I e r ©meter Servo-type

Strain-gage-type

Displacement Transducer O No contact-Type

Inductance Type

Shaking Direction (

Fig.4 Test Specimen and Arrangement ofTransducers

480
safety oftiie buildings.

4. SHAKING TABLE TEST ON BASE

ISOLATED HOUSE MODELS

4.1 Test Specimens

To solve the issue that houses are relatively light,

the shaking table test on base isolated model with

isolators of different medianical properties was carried

out Effects of isolation on response of houses will be

discussed.A specimen for house model is a wood fiame(2

X 4 inches stmcture) with 2 stories (story height 2.7m

and 2.73 X 2.73m in plan), as shown in Fig. 4. The house model has two plywood plates with 60cm in

width and 9mm in tiiickness to keep stiflfiiess in the

vibrating direction. The natural period and damping

ratio ofthe house model with fixed base are 4.2 Hz and

about 3%, respectively.

The e?q)eriment was conducted on tiie base isolated

specimais with various kinds of isolators. Typical

isolators used in the test are shown in Fig. 5. One is the mbber bearing device with muM layers(E)evice A). The

second is the sliding bearing device which is called the

Friction Pendulum System(Device E). The third is the

rolling bearing devices (Device G).

The isolators were installed at each comer ofthe

house and betweoi two steel flames. In the case ofthe

mbber bearing isolators, an additional weight (about 8

tons) was attached in the steel flame to elongate a

natural period of isolated models. In order to measure

relative displacement ofthe specimens, there was a tall

flame in neighboihood ofthe specimen.

4.2 Excitation and Measurement

Methods of excitation to the specimen are as

follows.

1)Free vibration

Characteristics of the model (natural fluency and

danping ratio) will be obtained by free vibration

with initial displacement at rooffloor.

2)Shaking table excitation

a) White noise random vibration To clarify fiindamental characteristics of the model

(resonant property), the wave form with white noise

in fiiequaicy domain were used as input motion.

b)Earlhquake excitation To evaluate seismic behavior of the base isolated

models and situation in the house, several

earthquake motions were used. As earthquake

motion records, suchas. El Centro(1940, NS

component), Taft (1952,EW), Hachinohe

Harbor<1968,NS) and Meteorological Marine

Observatory at Kobe(1995, NS, JMA Kobe), were

selected. Maximum anplitude of the earfliquake

excitation was adjusted by maximum velocity of

Device A J Rubber Bearing

400.

280-

Overburden Load : 2500kgf

' Allowable Displacement : 18cm

• Period : I.Ssecond (Shear Dernrmation 100%)

• Damiiing : 15%

Device E Sliding Bearing

' Overburdon Load : 2500kgf

' Allowable Displacement : 200mm

• Period : 3.0sec

' spring Constant : 11.2Kgf/cm

• Coefficient of Friction : O.I(V=20cm/scc)

Device G Rolling Bearing

Overburdon Load : 100 ~ 10000 kg

Allowable Displacement : 25cm

Period : Non-liner (Ssecond at 25 cm Displacement) Damping : Trnvclling Resistance

Fig. 5 Representatives for each kind ofIsolators

481
displacement of isolated layer with sliding system(E) is

smaller than those with another systems(A and G). The

sliding system is effective to reduce the displacement of

isolator.

Inter-story drifts of superstmcture are shown in

Fig. 11. The story drifts of 1st and 2nd story without

base isolation subject to the Kobe Earthquake of 50cm/s

are 1/128 and 1/196, respectively. In case of isolated houses v^th devices A, E and G, they are 1/410 and

1/443, 1/385 and 1/500, and 1/1220 and 1/1282,

respectively. As the inter-story drifts of isolated house

are 0.1 to 0.4 times of those of non-isolated house, the base isolation will be sure to protect from not only

severe damage on stmctural elements but that on nonstmctural elements.

5. CONCLUSIONS

Required performance for base isolated house

are discussed in the researdi activities in collaboration with house builders and isolator corrq)ames. There are a

lot of issues to be solved to ^Tread base isolation of

houses, compared with those of low-and medium-rise

buildings.

To solve the issue that houses are relatively light,

the shaking table test on base isolated model with

isolators of different medianical properties was carried

out. The effect of these isolators on the response of

superstmcture during earthquakes has been

demonstrated. It is shown that the response of houses is remarkably dependent on diaractmstics ofisolators.

Mluti-Layer Rubber Bearing System, A Sliding System, E

# •

m t

1

1

1

;

-

•

1

1

1

1

1

1 - -• — Skine —lOkine • --25kine K- SOkine

6Skine

^

1 _

1

1 —

1

1 50 100 150

Displacement(mm)

200i

Rolling System, G

o

u.

50 100 L Displacement(mm)

--•--25kino - -K - SOkine ^^^"65kine 20 40

Non-isolated

i i /

!/' ^ ^^^^^^

^

Skine —•—lOkine

- - • - -2Skine SOkine

eSkine

Displacement(mm)

.60 80

Fig. 10 Distribution of Maximum Displacement Response(JMA Kobe N!S)

482
ACKNOWLEGDEMENT

The shaking table test and date analysis were

conducted under the committee on cooperative

researdi "Development of seismic isolated

house(diaired by Mr. Shoichi Yamagudii, president of

Tokyo-Kendiiku stmctural Bigineers). The authors

express our sincere thanks to the members of the committee.

REFERENCES

1. Building Researdi Institute : A Survey Report for Building Damages due to the 1995 Hyo^-ken Nanbu

Earthquake, 1996 Mardi

2. The Building Center of Japan : Base isolated Buildings -Technical development and Earthquake

Motion Observation Records Part 2-, 1995 June (in Japanese)

3. Yamanoudii H., M. Midorikawa and M. liba

(Editor) : Researdi and Development on Base Isolation Technology for House -Survey of Knowledge and

Shaking Table Test on House Model, for Evaluation of

Performance on Base isolated House-, Kenchiku

Kenl^ Siryo No. 89, 1997 March (in J^anese)

4. Date by the courtesy of Building Center ofJapan

5. Building Guidance Division & Urban Building

Division , Housing Bureau, The Ministry of

Conslruction(Editor) : The Building Standard Law of

Japan, The Building Center ofJapan , 1990 Sep.

i2

(Mluti-Layer Rubber Bearing,A)

¥ I JMA Kobe NS — -• — lOkine

- - • -

- 25kine

A 40kine — -X- - SOkine

0.001 0.002 0.003

Drift Angle

0.004

(Rolling System.G)

JMA Kobe NS

• Skine — -— lOkine

— - • - - 25kine — -X- - SOkine — -O — 65kine

0.001 0.002 0.003

Drift Angle

0.004

1^C/3

2 2

C/3

(Sliding System,E)

JMA Kobe NS

I

I

I ' — Skine

i^f^-^- -•- lOkine I

- - • - - 25kine — -X- - SOkine ^ ^1 — O — 6Skine

0.001 0.002 0.003

Drift Angle

0.004

(Non-isolated)

>t-4»|(

i H—'

JMA Kobe NS

9

I

-iSkine • — lOkine

25kine — -X- - SOkine — -o — 6Skine

0.01 0.02 Drift Angle0.03

Pig. 11 Inter-stoiy Drifts ofHouse (JMA Kobe NS)

483
Dense Strong Motion Instrument Array in Sendai

by

Izuru Okawa'\ Toshihide Kashima^^ and Shin Koyama^^

ABSTRACT

This paper describes an on-going earthquake

observation project in Sendai, Japan. The

observation system includes 1 1 observation sites and a control center. A number of records with

intermediate amplitudes have been obtained to

this date.

In this report, the earthquake observation

system is introduced at first. The description

includes the outline of the geological condition of

the Sendai area, the objective area of the

observation, the surface geology of the 1

observation sites from the investigation in sites,

and the recorded data until the project started. During the period, the seismic activity of the area was not so high. Therefore, the amplitudes of

acceleration records are not large enough to be

called "strong motion". However, these data are

essential for the purpose to examine the dynamic

amplification property of the surface soils.

Key words: Instrument Array, Local Site Effect,

Strong Earthquake Motion,

Surface Geology

1. INTRODUCTION

It has often been said that the damage to

structures during earthquake is more or less associated with the subsoil conditions on which

they stood. It means that characteristics of

earthquake ground motions at ground surface

greatly reflect the dynamic properties of

underlying soils. However, the dynamic property

varies with surficial geology such as irregularity

and inhomogeneity of soil deposits.

The Building Research Institute (BRI) started the earthquake observation program 40 years ago, when the development of the recording system

and analysis programs was underway.

In 1983, BRI started to install instruments in Sendai City area to accumulate earthquake

records focusing on the effect of surface geology on seismic motion with a long-term vision of re- establishing the methodology to specify design

input motions for buildings'^ Private companies

(16 general contractors and a group of design

firms) cooperatively meiged this project from

1987. At the end of the fiscal year of 1989, the

recording system was completed, consisting of 1

sites including outcrop rock, reclaimed land, soft

soil ground around which considerable damage

was found during the 1978 Miyagi-ken-oki

earthquake^^

This report introduces the earthquake

recording system and results of analyses of the

recorded motions. In addition, other observation

projects operated by BRI are introduced.

2. ARRAY CONFIGURATION

The Sendai area is assigned as one of sites with the highest priority in Japan for the

deployment of strong motion instrument arrays. The array system of our project consists of eleven

sites as shown in Fig. 1, with spacing of 3 to 4

kilometers on the E-W line passing through the center of the city, and the N-S line passing

through Nigatake and Oroshimachi. These areas,

i.e., around Nigatake and Oroshimachi, also

suffered severe structural damage during the

1978 Miyagi-ken-oki earthquake.

Four of the sites, SHIR, OKIN, TRMA and

NAKA, are located where the thickness of

alluvium is 60 to 80 meters. A fault, RifuNagamachi tectonic line, is also the line of

separation of the two zones. Most of the damage

occurred on the eastern side during the 1978

Miyagi-ken-oki earthquake. Table I shows the

installation depths of accelerometers, and the

shear wave velocity of the layer in which the

lowermost accelerometer is placed. Also shown

in Table 1 is the soil classification, specified in the Building Standard Law of Japan, for each of

the observation sites.

1 ) Head, International Institute of Seismology and

Earthquake Engineering (USEE), Building Research

Institute (BRI), Ministry of Construction, Tsukuba

Science City, 305-0802, Japan

2) Senior Research Engineer, ditto

484
3. OBSERVATION SYSTEM ground divided by one at the lowermost point.

Each site has three accelerometers arranged

vertically. One on the surface, one at 20 to 30 m

underground with a shear wave velocity of 300 to 400 m/s, and one on the base layer having a shear wave velocity of 700 to 800 m/s and underlying

at depth of 50 to 80m in the area. A controlling

and monitoring center is located at BRI in Tsukuba and is connected to a sub-controlling- center in Sendai via public telephone line. The

sub-controlling-center is facilitated in the

building of the Local Headquarters of Ministry of

Construction for the Tohoku (northeastern)

district of Japan in Sendai. The sub-controlling- center is further connected to all observation sites via exclusive telephone lines. Figure 2 shows a block diagram of the entire system.

The array observation system consists

essentially of three accelerometers, an amplifier, an A-D converter, a pre-event memory, a digital

magnetic tape recorder, and a clock. In order to obtain both a large dynamic range and a high

resolution in recording, a digital system is used.

Specifications of the array observation system are shown in Table 2.

4. OBSERVED EARTHQUAKES

Table 3 lists acceleration records are used in this report. The JMA (Japan Meteorological

Agency) Seismic Intensities for those

earthquakes were 3 or above at Sendai. The JMA

magnitudes of earthquakes ranged from 4.1 to 8.1 and epicentral distances extended to 800 km. The

maximum acceleration was 106 cm/s^ on the

ground surface at NAGA site.

5. CHARACTERISTICS OF

EARTHQUAKE MOTIONS

In this chapter, the geological condition and

configuration of accelerometers are outlined for

each site. And then amplification effect of subsoil

is discussed through the comparison of spectral

ratios between observational results and

analytical ones. Fourier spectral ratios in the E-W

direction and theoretical transfer functions of SH- wave with damping ratios of 5 % and 10 % for each site is shown in Figs. 3 to 13. All Fourier

spectra are smoothed using the Parzen window

with a width of 0.2 Hz. Fourier spectral ratio is obtained from a spectrum of the record on the

(1) MIYA site (Miyagino)

This site is classified as lowland, close to the

border between the hill. The Tertiary Pliocene

layer is found at 26 meters below the surface. The degree of compaction of the Tertiary layer is lower at the upper layer, which changes to sand.

. The compaction for the lower layers is high. The

sand-gravel layer, found at the upper part of the

Tertiary, contains clay, and is firm.

Fourier spectral ratios in the E-W direction are shown in Fig. 3. The broken line and the dotted

line indicate transfer functions of SH-wave with

damping ratios of 5 % and 10 %, respectively.

Large amplification can be observed in the

frequency rage near 2.4 Hz on both of observed

and theoretical results.

(2) NAKA site (Nakano)

This site lies on the basin of Nanakita-gawa

River. The Tertiary layer is found approximately

58 meters below the surface. Thick alluvia layer

lies above the layer. This site belongs to the soft

soil category. The Tertiary pelite or tuff deposit is fairly firm but fragile against a light hammer

blow. The upper layer is rather loose, but the

lower is fairly firm.

Fourier spectral ratios of observed records and

theoretical transfer function are drawn in Fig. 4. Shapes of both results are in full accord with each

other and peak at a frequency of 1 .3 Hz.

(3) TAMA site (Tamagawa)

This site is on the Tertiary rock formation

except for the thin fill layer on the surface. The

rock consists mainly of tuff and sand. The upper

portion of the rock is loose, the lower is extremely firm. TAMA site can be the reference

site to discuss amplification effect of surface

geology at other sites. Figure 5 shows spectral ratios and theoretical

transfer functions. Peaks of spectral ratios appear

at a frequency of 7.5 Hz. However, these are not so high as theoretical peaks.

(4) ORID site (Oridate)

This site consists mainly of relatively soft

pelite or tuff. The lower part of the layer is andesite with upper part of andesite being

weathered and fragile. The layer at more than 70

meters below the surface is fairy firm.

Through the comparison between observed

485
and theoretical results in Fig. 6, good agreement

can be recognized

(5) TSUT site (Tsutsujigaoka)

Up to 5 meters below the surface is a loose

layer consisting of diluvial sand-gravel, clay, and

fill. The Tertiary deposits are below the layer.

The upper part of the layer consists of a firm

sandstone layer, and a mostly firm sand-gravellike layer. The deeper we go, the firmer the soil becomes, but it is very fragile.

Figure 7 points out remarkable amplification

at the higher frequency range of 5 to 7 Hz. The

agreement between Fourier spectral ratios and

transfer functions is also good.

(6) TRMA site (Tsurumaki)

This site is on the basin of Nanakita-gawa

River. Due to the erosion of the riverbed, the

Tertiary layer lies at the depth of valley-shaped

soil structure. Consequently, the depth of the

Tertiary layer extends as much as 80 meters. The

layer is sandstone. The consolidation is low and

the layer is fragile. The alluvial deposit contains

surface layers, partly thin sand or clay layers.

Most of the layers of the deposit are sand gravel,

which are fairly firm.

The first predominant frequency of the

transfer function is 1 .26 Hz, but peaks of Fourier

spectral ratios appear at the higher frequencies

and are lower than the peaks of transfer functions,

as shown if Fig. 8.

(7) OKIN site (Okino)

This site is on the basin of Natori-gawa River.

The Tertiary layer is found at approximately 50

meters below the surface. It consists mainly of

sandstone, relatively firm but fragile. The upper

alluvial part has layers of clay and sand at the

uppermost, the remaining part is mostly sand

gravel. The sand gravel layer contains clay and is fairly firm.

Figure 9 indicates theoretical transfer function

and Fourier spectral ratios of observed

acceleration records. The spectral ratios generally

accord with the theoretical results, although vary

widely.

(8) SHIR site (Shiromaru)

This site, along with Okino site, is on the

basin of Natori-gawa River. The Tertiary layer is found at approximately 50 meters below the

surface. The upper part of the layer is getting

weathered, and has a non-consolidated portion.

On the other hand, the lower part is fairly firm

and a sand- gravel layer is found as well. The

alluvial layers consist mostly of sand-gravel

layers, except for the surface layer of

approximately a 3-meter thickness, which also

contains clay fines, and is a fairly consolidated

layer. The diameters of some of the gravels are

large.

Spectral ratios and transfer functions in Fig.

10 show similar trend to results of OKIN site. The deviation of spectral ratios is relatively large.

(9) TRGA site (Tsurugaya)

A Tertiary layer is found below the surface fill. The layer contains sand and tuff sandstone. The

consolidation is fairly high near the surface. Figure 1 1 shows quite low agreement between

Fourier spectral ratios and theoretical transfer functions. Physical parameters of soil layers must

be reevaluated.

(10) NAGA site (Nagamachi)

This site is on the basin of Natori-gawa River,

and also close to the Rifu-Nagamachi tectonic

line. The Tertiary layer is found at the depth of

approximately 57 meters below the surface. The

layer consists mainly of sandstone. The

consolidation of the upper part of the layer is low.

The upper part of the alluvial deposit contains

loose composite layers of clay, sand, and gravel,

up to the depth of approximately 30 meters from

the surface. The lower part of the deposit consists

of sand gravel containing clay and is fairly firm.

Transfer functions of SH-wave, in Fig. 12,

have agreement with observed spectral ratios up

to the second predominant period. In the higher

frequency range, differences of both become

lager.

(11) ARAH site (Arahama)

This site is between Nanakita-gawa and

Natori-gawa Rivers. Although this site is classified as a hill, the Tertiary layer is found at a

relatively shallow depth. The depth of the layer is approximately 35 meters below the surface, and

consists of sandstone and pelite. The

consolidation is relatively low. The upper alluvial deposit consists of layers of sand and silt, and

makes a formation of a loose soil deposit. A sand

gravel layer is found, with a thickness of 4 meters,

at the interface above the Tertiary layer.

The first predominant period of transfer

486
functions is 1.22 Hz as shown in Fig. 13. This is the softest ground condition in our observation

sites. Although number of records is few, a degree of accordance is satisfactory.

6. OTHER PROJECTS OF BRI

BRI is carrying out earthquake motion

observation projects not only in Sendai but also

all over Japan. We are briefly introducing other

project in this chapter.

(1) Nationwide Strong Motion Observation

BRI has installed strong-motion instruments

in major cities throughout Japan. There are now

47 observation sites in operation using the digital

strong-motion instrument. The objects of

observation are mainly buildings, and the

measuring point is usually placed both on the top

and in the foundations of the building. Every

observation site is connected to BRI via

telephone line in order to mitigate maintenance

work and to collect data immediately.

The obser\'ation network has obtained many

noteworthy records. For example, in the 1993

Kushiro-oki (Off Kushiro) Earthquake, 711 gal was recorded as the peak acceleration on the

ground surface at Kushiro Local Meteorological

Observatory. Also, in the 1994 Sanriku-harukaoki (Far off Sanriku) Earthquake, an enormous

acceleration record was obtained in the building next to the severely damaged old Hachinohe

municipal office building.

(2) Strong-Motion Instrument Network in the

Metropolitan Area

The 1995 Hyogo-ken-nanbu Earthquake

(Kobe Earthquake) awakened us again to the

importance of disaster prevention measures for

large-scale urban areas. It is important to predict

the probability of a future earthquake and its impact, and make as many preparations as possible in anticipation of such an event. It is also

very essential to grasp the damage situation

immediately to put in effect the necessary

countermeasures. BRI has established twenty

new observation sites placed radially in the

Tokyo metropolitan area. This project aims to investigate the characteristics of the seismic

motion affecting the whole Kanto Plain through

observation records. The system immediately

collects information on the seismic intensity at the time of an earthquake occurrence.

(3) Strong-motion observation at Annex, BRI

The project to observe the complicated

behavior of the building and the effect of the soil- structure interaction during earthquakes has been

started with the construction of the Urban

Disaster Mitigation Research Center (Annex)

building in BRI recently. The amplification

process by the ground surface layers and the

three-dimensional behavior of the buildings are recorded using twenty-two accelerometers placed

in and around the annex and main buildings.

7. CONCLUSIONS

The earthquake observation project with

dense accelerometer array configuration is now

under way. High quality records are being

accumulated year by year. We are ready to make

these data open to the public via the Internet, hoping the research of ground motion prediction

becomes more active and the seismic design

methodology for buildings is more upgraded in the future. The earthquake records used in this study

have been obtained in the Dense Strong Motion

Earthquake Seismometer Array Observation

Project which has been implemented as a cooperative research project between Building

Research Institute (BRI), Ministry of

Construction and the Association for Promotion

of Building Research (KKSK). For the

implementation of the project, the steering

committee for Dense Strong Motion Earthquake

Seismometer Array Observation, which consists

of 18 organizations (i.e., BRI, 16 general

contractors and a union of design office firms), is organized by KKSK.

REFERENCES

1) Kitagawa Y., et al., "Dense Array Observation

and Analysis of Strong Ground Motions at Sites with Different Geological Conditions in Sendai", BRI Research Paper No. 139,

Building Research Institute, July 1994

2) Building Research Institute, "Report on the

Damage by 1978 Ofif-Miyagi Prefecture

Earthquake" (in Japanese), Research Report

ofBRI,No.86, pp.75-81, 1978.

487
Table 1 Location and geology of observation sites and depths of accelerometers

Site name Abr. I atitude 1—' V1 1 g1 1 UUV Soil type* Year Vs

(m/s)

Depth (m)

Miyagino MIYA 38°15'24"N 140°55'16"E 2 2.40 1984 680 1 22 54

Nakano NAKA 38°15'14"N 14I°00'26"E 3 1.28 1985 720 30 61 Tamagawa TAMA 38°19'03"N 141°00'34"E 1 7.50 1986 1400 11 33

Oridate GRID 38°15'26"'N 140°48'39"E \" 2.06 1987 1050 57 76

Tsutsujigaoka TSUT 38°15'30"N 140°53'36"E 2 2.08 1988 950 36 59

Tsurumaki TRMA 38°15'38"N 140°58'15"E 3 1.26 1988 660 25 79

Okino OKIN 38°13'26"N 140°55'05"E 3 2.14 1988 820 17 62

Shiromaru SHIR 38°11'29"N 140°54'53"E 2 2.70 1988 830 20 76

Tsurugaya TRGA 38°17'16""N 140°54'53"E 2 1.78 1988 1000 37 62

Nagamachi NAGA 38°13'45"N ]40°53'01"E 2 1.44 1989 700 29 81 Arahama ARAH 38°13'11"N 140°59'00"E 3 1.22 1989 750 31 76

f{. Theoretical first predominant frequency, Vg: Shear wave velocity of lowermost layer.

* Soil types according to Japan Building Standard. 1 ; hard, 2:medium, 3: soft. ** Although the soil condition for GRID site was presumed hard soil, it was confirmed by the soil survey

that the surface soils were so heavily weathered that the soil condition type might be assigned to be the second classification.

Table 2 Specifications of the array observation

Instrument Specification

Acceierometer

Type: Tri-axial velocity- feedback type

Frequency range: 0.05 to 30 Hz for IG

Amplifier and

AD Converter

Resolution: 16 bit Dynamic range: 96dB

Sampling rate: 1/100 or 1/200 sec. Pre-event Memory

Delay device: IC memory

Delay time: 5 sec.

Clock

Oscillator: Quartz with accuracy of W\ 10-' Precision: ±0.01 sec. Calibration by: NHK(JBC)

Digital Data

Recorder

Medium: Digital magnetic tape with 9 track, half-inch

in width and 1600 BPI

in recording density

Table 3 List of observed earthquakes

uw Date Time MA4 h

(km) (km) Max. Acc.

8608 1986/10/14 06:11 5.0 53 135 26.2 (NAKA) 3 8615 1986/12/01 5:15 6.0 51 108 29.6 (TAMA) 3 8701 1987/1/9 15:14 6.6 72 191 43.5 (NAKA) 4 8702 1987/1/14 20:04 7.0 119 505 11.1 (NAKA) 3 8704 1987/1/21 8:36 5.5 50 112 48.8 (NAKA) 3 8708 1987/2/06 21:24 6.4 30 178 47.4 (NAKA) 3 8709 1987/2/6 22:16 6.7 35 167 94.1 (NAKA) 4 8717 1987/3/10 12:24 5.6 29 166 15.7 (NAKA) 3 8719 1987/4/7 9:41 6.6 37 136 74.5 (NAKA) 4 8721 1987/4/17 4:23 6.1 45 151 45.3 (NAKA) 3 8724 1987/4/23 5:13 6.5 49 145 75.0 (NAKA)

8739 1987/9/4 13:55 5.8 42 185 25.4 (NAKA) 3 8740 1987/10/4 19:27 5.8 51 125 60.1 (NAKA) 3 8911 1989/4/28 0:27 4.9 53 98 29.0 (OKIN) 3 8915 1989/6/24 4:59 4.1 14 11 35.0 (TRMA) 3 8926 1989/11/02 3:26 7.1 0 256 22.8 (TRMA) 3 9217 1992/7/18 17:37 6.9 0 269 1 1 .2 (TRMA) 3 9234 1992/12/18 1:21 5.9 34 160 41.0 (TRMA) 3 9305 1993/1/15 20:07 7.8 101 594 36.3 (TRMA) 3 9325 1993/11/11 9:06 5.5 36 154 18.5 (TRMA) 3 9327 1993/11/27 15:11 5.9 112 51 104.2 (NAKA) 4 9409 1994/8/14 18:06 6.0 42 136 45.3 (NAKA) 3 9410 1994/8/16 19:09 6.0 22 154 22.0 (ARAH) 3 9413 1994/10/4 22:24 8.1 23 806 59.7 (OKIN) 3 9414 1994/12/10 18:26 5.1 51 111 28.4 (NAKA) 3 9417 1994/12/28 21:20 7.5 0 343 35.3 (NAGA) 3 9502 1995/1/7 7:37 6.9 30 261 28.0 (OKIN) 3 9602 1996/2/17 0:23 6.5 6 178 1 06.4 (NAGA) 4 9604 1996/4/23 13:08 5.2 76 117 75.0 (OKIN) 3 9701 1997/2/20 5:22 5.3 88 99 46.7 (SHIR) 3 M: JMA (Japan Meteorological Agency) magnitude, h: focal depth. A: averaged epicentral distance, /: JMA seismic

intensity at Sendai

488
3S°20'N

10 km

Fig. 1 Location of observation sites in Sendai. Contour lines indicate thickness of alluvium.

V Antenna T/r. Transmitter / Receiver

I MT; 1/2" Magnrtic Tape Driver

Clock -

Analog

Unit

T/R

I NTT Exclusive

Line

D

Amplifier

MT

T/R

Q.

0

0

Accelerometers

Sub-controlling

center

MODEM MODEM

BRI

Observation Sites

Fig. 2 Block diagram of observation system. Observation sites a the sub-controlling-center are located in Sendai.

489
MIYA E-W

0.2-1— ^ . . , 1 0.5 1 5 10 Frequency (Hz)

Fig. 3 Fourier spectral ratio at MIYA site

0.5

0.2-^ — . . _l 0.5 1 5 10 Frequency (Hz)

Fig. 4 Fourier spectral ratio at NAKA site TAMA E-W

0.2-1 . I 0.5 1 5 10 Frequency (Hz)

Fig. 5 Fourier spectral ratio at TAMA site

490

ORID E-W

0.5 1 5 10 Frequency (Hz)

Fig. 6 Fourier spectral ratio at ORID site

0.5-

0.2 I < 1 0.5 i 5 10 Frequency (Hz)

Fig. 7 Fourier spectral ratio at TSUT site TRMA E-W

0.5 I 5 10 Frequency (Hz)

Fig. 8 Fourier spectral ratio at TRMA site
OKIN E-W NAGA E-W

Frequency (Hz)

Fig. 9 Fourier spectral ratio at OKIN site

SHIR E-W

Frequency (Hz)

Fig. \0 Fourier spectral ratio at SHIR site TRGA E-W

Frequency (Hz)

Fig. 1 1 Fourier spectral ratio at TRGA site

Frequency (Hz)

Fig. 12 Fourier spectral ratio at NAGA site ARAH E-W

20

10

5

c

1-

0.5

0.2

A

/i i ft

m i i\ W/ .1 Wr^ / 1

0.5 1 5 Frequency (Hz)

Fig. 13 Fourier spectral ratio at ARAH site

10

491
Deposition of Oil spilled from A Russian Tanker on Coasts

by

Fuminori Kato" and Shinji Sato^'

ABSTRACT

Heavy oil spilled from a Russian tanker

deposited on coasts facing the Japan Sea in

January 1997. Especially, coasts in Fukui

Prefecture and Ishikawa Prefecture were

attacked by disastrous oil deposition. On the

basis of detailed field reconnaissance, the

behavior of deposited oil was described for

sandy beaches, pebble beaches and rocky coasts. Impacts of oil deposition on coastal

environment were also estimated.

Key Words :Coastal Environment,

Oil Deposition, Oil Spill,

Winter Storm

1 . INTRODUCTION

The Russian tanker "Nakhodka" sank in

the Japan Sea off Oki Islands on January 2,

1997. Huge amount of 6,240 kl heavy oil was

spilled from the tanker. The amount ranks with

the worst oil spill accident in Japan, that is, the

accident at Mizushima oil plant of Mitsubishi

Petroleum Corporation in 1971 in which 7,500

- 9,500 kl of C heavy oil was spilled. The spilled

oil from the Russian tanker polluted the coasts facing the Japan Sea from Yamagata Prefecture

to Shimane Prefecture. Deposited oil on coasts was removed with the help of many volunteers.

Oil removal activities were performed under severe weather conditions and greatly

influenced by winter storms. Since the longterm impacts of oil deposition on coastal

environments were anticipated, field

observation was conducted on the behavior of

the deposited oil on coasts and its impact on

coastal environments.

2. MOVEMENT OF SPILLED OIL AND

EFFORTS FOR RECOVERY

The oil spill accident occurred when the

Russian tanker "Nakhodka" was traveling in the Japan Sea from Shanghai to Petropavlovsk

in the Kamchatka Peninsula, Russia. The tanker was carrying 19,000 kl of C heavy oil. On

January 2, 1997, the tanker was accidentally

broken into two pieces by storm off Oki Islands.

The bow drifted in Japan Sea and the rest of the

body sank onto the sea bottom of 2,500 m depth.

A total amount of 6,240 kl of oil was spilled

from the two pieces of the tanker. Part of the

oil deposited the coasts facing the Japan Sea

from Yamagata Prefecture to Shimane

Prefecture.

After drifting on the sea surface, the bow

stranded on the coast of Mikuni Town, Ishiwaka

Prefecture, on January 7. Photo 1 illustrates the

stranded bow and deposited sludge-like oil on

the coast. In the town, oil deposited on the beach

intermittently for about two months from the

accident. Sludge-like oil drifted toward the

coast in the beginning of the time. About one month after the first oil deposition, only oil grain deposited on the beach. Oil in the stranded

bow was completely removed on February 25,

but oil grain occasionally deposited on the coast even after that. Figure 1 shows the date of the first oil arrival on the coast and the total amount of

removed oil. From Kaga Coast in Ishikawa

Prefecture to Tottori Coast, the first arrival date

was January 7-9. As the spilled oil was

transported by the strong Tsushima currents and

wind-driven currents, the arrival of oil delayed

1) Research Engineer, Coast Division, River

Department, Public Works Research Institute,

Ministry of Construction, Tsuktiba, 305-0804 Japan

2) Head, Coast Division, ditto

492
on the northern coasts. The amount of oil deposited on the coasts was not estimated, however, it can be inferred

from the amount of oil removed by March 28

which includes not only oil but also sand, gravel

and sea water. The total amount of removed oil was 38,000 kl. The removed oil in Fukui

Prefecture was about 18,000 kl, and that in

Ishikawa Prefecture was about 13,000 kl. The

total amount of oil removal was especially large

in the area around Mikuni Town, eastern part

of Wakasa Bay, and northern part of outer side

of Noto Peninsula.

Figure 2 shows the temporal variation of

significant wave height and average wind

velocity recorded at Tokumitsu oceanographic

observation station in Mattou City, Ishikawa

Prefecture (see Fig.l). A ultrasonic-type wave

gage is fixed on the sea bottom at the point of

15 m depth, 1,500 m off the coast. A wind meter

is installed at about 15 m above the ground.

Significant wave height in January and February

1997 was mostly over 1 m, sometimes exceeded

the highest significant wave height 4.93 m

between 1988 and 1996. Wind speed in the

period was frequently over 10 m/s. Prevailing

wind direction was from northwest. Such winter

storm made oil removal quite difficult. Oil removal works on the beach was

started immediately after the first oil arrival.

The total amount of oil removal in Mikuni Town

reached 2,170 kl by January 20 and 2,520 kl by

March 28. It included sand, gravel and sea water

which were collected with oil. At a gravel beach

in Mikuni Town, pebbles were wiped out with

a piece of cloth steeped by kerosene in March.

In Hamaji Coast, a sandy beach in the town,

thorough oil removal was conducted even after

oil removal on the surface. The removal of oil from the sand layer was conducted by two ways; one was sand sieving by hand and the other was pushing out oil-mixed sand into the sea

expecting for the stir by waves.

3. FIELD RECONNAISSANCE ON

REMAINED OIL

Field reconnaissances on remained oil

were conducted several times on coasts in

Fukui, Ishikawa and Kyoto Prefectures. The

result shows sediments in the coast influenced

oil deposition.

On sandy beach. Sand accretion after the

011 deposition resulted in the confinement of oil in sand. Photo 2 illustrates typical oil deposition on sandy beach. Lumps of oil were scattered on the surface. In order to investigate the

presence of oil underground, sand in an area of

12 m by 1.5 m was excavated to the depth of

1.5 m. Figure 3 and Photo 3 illustrate an oil layer

in the ground of Hamaji Coast, Mikuni Town,

Fukui Prefecture, observed on February 6, 1997.

Depth of the layer was over 1 m. Oil

concentration in the layer was 20,000 mg/kg (oil

weight per 1 kg of sand). Since there were no

traces of oil penetration above the underground

oil layer, it was considered that the oil was

remained underground owing to the rapid

accretion of sand.

On gravel beach, oil penetrated into the

void space among the gravels. Photo 4 shows

oil in the space among gravels near the stranded

bow. The gravels were coated thickly by oil. Photo 5 illustrates a gravel beach adjacent to Hamaji Coast on the other side of Imazu River,

observed on June 11, 1997. There were gravels

covered with oil on the surface. Figure 4 shows

oil concentration in sediments was 72.7-415 mg/

kg in 50-70 cm depth, 15 mg/kg in 90-100 cm,

0 mg/kg in 130-150cm on March 6. The

thickness of the gravel layer was up to Im. The

deeper part is consisted of only sand. This means that oil has penetrated into the border of

the sand layer.

On rocky coast, oil has filled rock cracks.

Photo 5 and 6 illustrates oil deposition on rocky

coast in Shiga Town, Ishikawa Prefecture.

Deposited oil was seen in rock cracks even in splash zone.

4. IMPACT OF REMAINED OIL ON

COASTAL ENVIRONMENTS

(1) Remained Oil on Coasts

Oil deposition on coasts have a serious

impact on coastal environments. Field

493
observation of the impact was conducted in

Mikuni Town.

Figure 5 shows oil concentration in

seawater taken at Hamaji Coast. Line 1 is across

the zone in which detached breakwaters is built. Line 2 is out of the zone. Onshore point is 50 m

off the coastal line. Offshore point is 150 m off

the coastal line. Oil was detected on February

2, February 25, June 11 and November 21, 1997.

It shows oil was detected intermittently.

Leveling on the beach for sea bathing may push

sand into sea on June 11. Oil in sand on the

beach can be washed away by big waves.

Figure 6 shows oil concentration in sand on the beach of Hamaji Coast. Although sand

on the surface has contained oil by March, it has rarely contained oil since May. On the other

hand, oil was detected in the ground even in November. It indicates that oil is scattered in

the ground of the sandy beach although oil on

the surface has been removed by removal

activities. Figure 7 shows oil concentration in

marine sediments on Hamaji Coast. Oil in

marine sediments was detected only on

February 25. It indicates oil-mixed sand may

deposit on the sea bottom.

(2) Impact on Coastal Organisms

Observation of macrobenthos on the

beach was conducted at Hamaji Coast. Species

and number of macrobenthos in 30 cm square,

30cm in depth, was measured. Table 1 shows

the result. Macrobenthos were found to be rare before the end of February. Species and the

number of macrobenthos increased after March.

It is considered that macrobenthos will not be

present in surface sediments during winter since

vigorous sediment movement will occur under

winter storms. It is still uncertain whether the

variation of macrobenthos was due to seasonal

change or due to the impact of oil deposition.

Observation of macrobenthos in marine

sediments was conducted at Hamaji Coast.

Table 2 shows species and number of the

macrobenthos. There were few macrobenthos

on the sea bottom in the beginning of February

as well as on the beach. The same reason can

be considered. Impact of oil deposition is also

unknown.

Observation of sessile creatures was

conducted on a gravel coast and a rocky coast

in Mikuni Town. Species and number of sessile creatures in 30 cm square was measured. Table

3 shows the result. No significant changes in their species and number are recognized.

Creatures of low activity have never been

observed between 1 month and 1 1 months after the first oil arrival. To conclude, impact of oil deposition on sessile creatures was not

recognized.

Observation of seaweeds was conducted on the same coasts as sessile creatures

observation. Species and weight of seaweeds

in 30 cm square was measured. Table 4 shows

the result. Extreme changes in their species is not recognized. It indicates seaweeds was not

influenced by oil deposition so much.

Totally speaking, impacts of oil

deposition on coastal environments have not

been clearly detected yet. Further monitoring

survey will be necessary for a few years.

(3) Impact on Beach Utilization

Inquiry from the sea bathing people on

the beaches in Fukui Prefecture and Ishikawa

Prefecture was conducted on August 8-9. The

result shows that they had no reluctancy for past

oil deposition.

Laboratory experiments on remained oil recognition were conducted. The result suggests

the guideline for recreational beaches, that is, there should be no visible oil on the surface and

oil concentration in sand should be less than 20

mg/kg.

5. Conclusion

Field surveys were conducted in order to understand the effects of vast deposition of

spilled oil on coastal environments. Main

conclusions are summarized as follows:

(1) The behavior of deposited oil on

coasts varied among sandy beach, pebble beach

and rocky coast.

(2) Further long-time monitoring will be

necessary to understand the impacts on

ecological system.

494
Table 1 Species and number of macrobenthos on Hamaji Coast

Unit: /0.09in^

January' 28 February 25 March 18 June 11 November 6

Line

Distance from

the coastal Line

Species Number Species Number Species Number Species Number Species Number

1 35m 0 0 1 1 3 49 20m 0 0 1 1 3 13 5 27 6 421

2 25m 0 0 0 0 3 5 20m 0 0 0 0 1 2 6 89 2 11

Table 2 Species and number of macrobenthos in marine sediments of Hamaji Coast

Unit: /0.1m' February 6 February 25 March 18 June 1

November 21

Line

Distance off the Coastal Line Species Number Species Number Species Number Species Number Species Number

1 50m 2 4 4 48 6 48 7 185 8 118 150m 0 0 6 124 4 22 6 173 13 29

2 50m 2 10 5 69 7 50 7 46 13 347 150m 2 9 6 34 11 127 9 179 15 167

Table 3 Species, number and weight of sessile creatures on the coasts in Mikuni Town

Unit: /0.09m'

Point Item Jan.28, Feb.5 Feb.25 Mar. 18 Jun.ll Dec.6

Gravel Coast Species 22 37 40 64 63

Number 61 101 287 368 346

Weight(g) 3.29 9.6 9.26 56.01 16.5 Rocky Coast Species 61 74 44 61 30

Number 247 299 125 206 242

Weightfg) 27.41 28.61 8.61 40.62 18.7

Table 4 Species and weight of seaweeds on the coasts in Mikuni Town

Unit: /0.09m^

Point Item Jan.28, Feb.5 Feb.25 Mar. 18 Jun.ll Dec.6

Gravel Coast Species 32 24 36 20 25

Weight(g) 43.51 214.66 133.31 398.36 221

Rocky Coast Species 34 31 29 22 26

Weight(g) 82 92.01 165.09 86 198

495
Fukui Prefecture 17,864kl

Li_j I 0 25 50 100km

Fig.l The first oil arrival date and the total amount of removed oil by March 28, 1997.

496
497
1.00 0.00 _-1.00

E-2.00 ^-3.00

13-4.00 g-5.00

-1-6.00

-7.00

-8.00 -9.00 -10.00

-10 10 20

Distamce from Seawall (m)

Fig. 3 Oil layer in the ground of Hamaji Coast

30

a.

— Point 1

—• — • Point 2 A Point 3

1.5 a

E

5 0.5 U

100 200 300 400

Oil Concentration (mg/kg)

500

'/-I

//•'

—t—

\

• Line 1 :oiishoie(surface) Line 1 :onshore(bottom)

- -—- Line 1 ;offshore{surface)

• —Line 1 :offshore(bottom) Line2:onshore(suiface)

Line2:onshore(bottoni) ------ Line2:offshore(surface)

- -—Line2:offshore(bottom)

50 100 150 200 250 300 350

Feb 25 Days from First Oil Arrival Feb 5 Maris May 10 Jun 11 Jul 10 Nov 21

Fig.4 Oil concentration in gravels Fig.5 Oil concentration in seawater of Hamaji

Coast

45

40 _ 35

"I 30

1 15 u

6 10

5

0

—•—Lmel;?5ni fmm Coaslal Line (Surtatc) —•—Line! :2()m from Coastal Line (Surface) — —Line 1 ;20m from Coastal Line (Deplh:50L-m) --•0-- Unci :20m from Coastal Line (Depth: UKtem) —A—ljne2:25m from Coastal Line (Surface) —•—Une2:20m from Coastal Line (Surface) — -«—Une2:20m from Coastal Line (Deplh SOcm) -0-- Line2:20m from Coastal Line (Depth: lOOcm)

P

/ //—

/ — /

//

/

> /

/

/ • /

/ -. 4—,

/ *. /

• m

1D

50 100 150 2(X1

I Mar 18 pa^^ jfler First Oil Arrival Feb 25 May HI Jun II Jul 9

Fig.6 Oil concentration in sand on the beach of

Hamaji Coast

4540

§> 35 E

"c 30 o

25 c 20

(Uu

co

15 O

10 6

5

50 100 150 200 250 Days after First Oil Arrival

300

>—Line 1 :50m off the Coastal Line 1— - Line 1 ; 1 50m off the Coastal Line i" Line2:50m off the Coastal Line —

«---Line2:150m otlihe Coastal Line

!

(i

Si

*>! n\

m-^ 1 350

Fig. 7 Oil concentration in marine sediments on Hamaji Coast

498
I

Photo 1 The stranded bow near the coast (January 11, 1997)

Photo 2 Oil deposition on sandy beach (Sunset Beach in Mikuni Town, January 11, 1997)

499
Photo 3 Oil layer in the ground of Hamaji Coast, Mikuni Town (February 6, 1 997)

Photo 5 Gravel beach adjacent to Hamaji Coast, Mikuni Town (June 1 1 , 1997)

500
Photo 6 Rocky coast in Shiga Town, Ishikawa Prefecture (February 10, 1997)

Photo 7 Oil deposition around a tide pool (February 10, 1997)

501
GIS With Mobile Communication

For Countermeasure against Natural Disaster

by

Naoki TAKAYAMA "

Field GIS Central GIS

ABSTRACT

The Geographical Sun/ey Institute(GSI).

Ministry of Constmction has made effort to fiilly

produce of the Digital Maps on Japan and to enforce utilization of the Geographical

Information S>'stem (GIS). It was recognized

again that importance of utilizing the GIS

through experiences with the H} ogo-ken-nanbu

Earthquake.

This paper reports the mobile communication

GIS developed for rescue operation and

reconstructing activity by transmitting real-time

information obtained on field investigations.

On the field, this s\stem can be easil\' operated

to input obtained data by adopting menuoriented interface. In the headquarters, this system can displa> same information as on the

field, so that it is possible to carr> out countcrmeasures certainh against with linking

the other related information.

1. Introduction

The Hyogo-ken-nanbu Earthquake which

occurred at 5:46 AM on 17 Januap> \995. was a

terribly large epicentral earthquake which

magnitude of 7.2. The earthquake killed more

than 5,500 people and destroyed housings over

100,000. and it seemed that sufferers were over

320.000. Thus it was the worst miserable

disaster in recent Japan

In respect to the infomiation systems for

social works and private enterprises activities, a

lot of computers and telecommunication systems were destnicted exliaustively. Also the

region's economic infrastmctures. including

water and gas networks, telephone lines, power

cables were crippled. Such destaiction

paralyzed business and social operations in Japan. As a result, it v\as recognized that importance for risk management, so that the Government, the local municipalities and

researchers started to reexamine plans for

countcrmeasures against natural disasters such

as rescue operation and repair of social

infrastructures.

Especialh it is indispensable to realize the measures for obtaining and transmitting

information, just after the outbreak of disaster.

I) Pliolo iind Map liironiiation l)i\'i,sion. Clcograjihical

Sur\'c\ Insliliitc. Mini.slrx DrCoiislriiction

502
2. The outline of the study

For rescue operations and reconstructing

activities just after the disaster, it was

recognized that GIS played key roles in assembling information on real time, in linking

the information with other related information

such as public facilities, equipment for ant>

disaster, geographic characteristics, social

conditions, and realizing enforcement for prompt anti-disaster actions.

In this stud}. GSI developed the mobile GIS

for smooth rescue and repair activities Also

GSI in\estigated the methods for efficient assembling and communicating information of

damage, and providing information through

computer networks such as Internet.

3. The outline of the system

3.1. Functions of the system

Tliis system was integrated by customizing

GIS software on the market. Main fijiictions are as follows.

Basic functions

Call out a map

Magnification. Reduction. Scroll Display each layer, overlay of layers

Overla}' raster image data and vector data

Input

Input figures according to damage item

(i.e. housing, public civil facility)

Input attributes according to damage

item

Update damage information

Input by pen-operation

Measure (Distance between two points,

Area of a polygon)

Communication

Data transmission by portable phone

(TCP/IP)

Auto dial

Image management

Capture photo data, image data. Correction, Management

Retrieve and display

3.2 Damage Items

The damage items and their attributes which

are able to assemble in this system are housing,

public civil facility for road, river, railway and

so on. and extent of liquefaction. Also figures

such as point, line, polygon, v/hich express

location of damaged position, can be registered on the map viewed on the display, according to the damage item.

Table 1 shows the list of damage items.

3.3 Communication method

For rescue operation and reconstructing

activity, it is necessar}' to grasp real and accurate

situation in the damaged area. In this sense, we

have to input the real-time information obtained

by the field investigation, and put the information into the GIS in the headquarters by

using mobile telecommunication media such as the portable phone.

However the telecommunication media or the

public telephone lines may lose their function by

the disaster, for example, overflow of the capacity or destruction of the local telephone

exchange system.

There are some communications media, such

as the public telephone, the portable phone, the

personal handy-phone system, the satellite telephone system and the wireless phone system

for anti-disaster, it is hardly to look out the system which is completely able to overcome

the troubles stated above.

In this study, we adopted the digital portable

phone as communication media because of its

stability for data transmitting.

3.4 System components

Headquarters

- Desktop PC
Modem

Software

WindowsNT

GIS software

Field system

Pen computer

Portable phone

Digital Camera

Modem

Software

Wmdows for PenComputing

FieldNotes

3.5 Effect for systematization

Tlius far. when a disaster occurred, officials in charge of anti-disaster assembled information on

the damaged area, and they brought it to the

headquarters themselves, or reported it b\ using

the public telephone or the wireless phone

system for anti-disaster. In this case, so that the subjectivity of the officials could influence

the quality of information, the reliability of

information might be sometimes doubtftil

slightly.

If the mobile communication GIS for rescue operation and reconstmcting activity is used, it

is possible to transmit pictures of the damaged

situation from the field promptly. The facts such as pictures are effective to grasp the

damaged situation and to take countermeasures

against the disaster. On the other hand, to be shared common

information by the headquarters and the field, is also effective for managing real time

information and providing information to the

related organizations.

3.6 Applicable fields of this system

In this study, it is considered the feasibility of

the mobile communication GIS with a portable

phone. As an application for the other field, it seems to be used for the support system on the

field research.

The major applicable businesses are as follows.

Update topographic map data

Basic investigation for the City Planning

(land use survey, research of housings)

Confirmation of building houses (Field

investigation for comparison)

Investigation of fixed property', building site Investigation of possessions on the roads

Welfare

Marketing

4. Conclusion

In this study, the mobile communication GIS

was developed in order to enforce smooth rescue

operation and reconstmcting activity at the

disaster, through the experience from the

Hyogo-ken-nanbu earthquake. This system was just developed as a prototype system,

improvement of the ftinctions will be needed for

practical use. Also it is necessary to establish

organizations and liaisons for utilizing the

system.

On the other hand, it is prerequisite to settle the main computer at the headquarters. Hence

it is also needed the risk management such as aseismatic staicturing of the building of the

headquarters. countermeasures for fire, prevention for falling down of the computers,

and backup of the data. Concerning to the risk management for computer systems, there are some manuals, for example, the security management guideline for the computer system, or the guideline for system

inspection, and based on such guidelines many

kinds of countermeasures have been taken. In

spite of these measures, the unexpected damages

of the computer system were recognized at the

Hyogo-ken-nanbu earthquake. Thus the

reexamine of the risk management is quite

necessar}'. To avoid ftinctional disorder of the

computer aided anti-disaster system b}'

hazardous earthquake, it is strongly expected

that ftirther strengthen the countermeasure for

security, through researching, analyzing and

investigating of the computer system in damaged situation.
ITEM

Symbol CONTENT OF ATTRIBUTES

type image color (selecting on menu window)

House

point

polygon

red

Situation : completely destroyed, partial destroyed, slightly

M Restoring condition : pulled down, rebuilding, repairing,

other

Comment

Road

point

line

polygon

gray

Place : roadway, vsidewalk, median, slope, side ditch,

bridge, tunnel, other institutions, other

Situation : depression, upheaval, clack, collapse, other

Quantities : meter, square meters

Comment

River

point

line

polygon

blue

Plripp levpp rivpr pour^p wntpr ^Mtp lirirrMfP nonrl

other

Damage : collapse, flooding, ravage of institution, other

Quantities : meter, square meters

( ^om TTipn t

RciilroHcl

line

olive

green

PIhpp ' TMil ovpyhpMfl wirp station hiiilrlin*^'" ^^'ava^^p

railroad bridge, other

Situation : depression, upheaval, collapse, cul off, other

Quantities : meter, square meters

Comment

Water pipe

point

line

light

blue

(/omment

Sewer

point

1line

Ixf brown Comment

Gas pipe

point

line

purple Comment

rjiecii ic power

point

line

green

Place : electric light pole, overhead wire, underground

interconnection system, other

Comment

Telephone

point

line ' NTT^ yellow

Damage : telephone pole, overhead wire, underground, other

Comment

Liquefaction polygon

navyblue

Comment

Other

point

line

P'JJ^yg'jn

black Comment

Place of

r> i" fry o 1"^ r\\T ]JllUl.UgI dLlJliy

point

line

image

pink

Number oi photograph (input by lUkey)

Comment

Note image black

Table 1 The Item List of Collecting Damage Information

505
Aerodynamic databases and electronic standards for wind loads:

A pilot application

by

Timothy Whalen' ^ Emil Simiu', Gilliam Hams^ Jason Lin'*, and David Surry"*

ABSTRACT

As part of ongoing National Institute of Standards

and Technology research on the development of a new generation of standard provisions for wind

loads, we present results of a pilot project on the use of large aerodynamic databases for the

improved estimation of wind-induced bending

moments and shear forces in low-rise building

frames. We use records of wind pressure time

histories measured at a large number of taps on the

building surface in the Boundary Layer Wind

Tunnel of the University of Western Ontario. Time

histories of moments and shear forces in a frame

are obtained by adding pressures at all taps

tributary to that frame multiplied by the respective

tributary areas and influence coefficients. The

latter were obtained from frame designs provided

by CECO Building Systems. We compare results obtained by using the pressure time history records

with results based on ASCE 7 standard provisions.

The comparison shows clearly that provisons

which use aerodynamic databases containing the

type of data described in this work can result in designs that are significantly more risk-consistent

as well as both safer and more economical than

designs based on conventional standard provisions.

We oudine future research on improved design

methodologies made possible by our proposed

approach to wind loading standardization. Finally, the proposed methodologies may be used for damage assessment for insurance purposes.

KEYWORDS: Building technology;

aerodynamics; codes and standards; databases;

risk; structural engineering; wind engineering.

1. INTRODUCTION

Conventional standard provisions for wind loads

reflect two conflicting needs: (1) to asssure that they are risk-consistent, the provisions should

reflect the information on which they are based as completely and realistically as possible; and (2)

conventional standards have limitations that impose reductive formats and simplifications, with

consequent loss of information and risk- consistency.

Owing to current information storage and

computational capabilities standard provisions

need no longer be based on reductive ~ and

distorting — tables and plots. It is now practical to develop user-friendly standard provisions that incorporate large amounts of useful information

[1,2]. In this paper we present results that illustrate aspects of the development and advantages of such

provisions in the specific case of low-rise building

frames.

In Section 2 we describe (1) the geometry of the buildings chosen as our test cases, (2) the design

criteria for the frames, and (3) basic information on

the frames, which were designed by CECO

Building Systems. In Section 3 we briefly describe

the wind tunnel tests performed at the Boundary

Layer Wind Tunnel Laboratory of the University

of Western Ontario (BLWTL) [3]. In Section 4 we

describe the procedure used to calculate windinduced internal forces (i.e., bending moments,

shear forces and axial forces).

'Building and Fire Research Laboratory, National

Institute of Standards and Technology,

Gaithersburg, MD 20899

^Present address: School of Civil Engineering,

Purdue University, West Lafayette, IN 47907

^CECO Building Systems, Columbus, MS 39703

"Boundary Layer Wind Tunnel Laboratory,

University of Western Ontario, London, Ont.,

Canada N6A 5B9

506
using: (1) the ASCE 7-93 Standard provisions on wind loads [4], and (2) time-dependent loads

based on the wind tunnel measurements. In Section 5 we present and discuss our results. In Section 6 we discuss the vast potential for improving both the safety and economy of

structural designs offered by the approach

described in this paper, and future research

aimed at realizing that potential.

2. BUILDING GEOMETRIES, DESIGN

CRITERIA, AND FRAMES

The buildings studied in this pilot project are rectangular in plan with dimensions 61 m (200

ft)x 30.5 m (100 ft), and have gable roofs with

1/24 slopes and ridge parallel to the long

dimension. For the fu:st set the eave height is H=

6.1 m (20 ft); for the second set it is H=9.75 m

(32 ft). Each set consists of four buildings with

identical geometry. Two of the four buildings are located near Miami, Florida. The other two are located near Charleston, S.C. For each of these

locations one building is in open terrain and one

is in suburban terrain. All buildings are located at 13 km (8 miles) inland from the coastiine and are assumed to be Category 1 [4].

The frames were designed by CECO Building

Systems in accordance with Metal Buildings

Manufacturers Association (MBMA) current

practices, which are based on the the ASCE 7-93

Standard and the 1989 AISC Design Manual

(Allowable Stress Design). The configuration of

the frames is shown in Fig. 1. For the direction

normal to the ridge, the main wind load resisting

systems consist of 2 end frames and 7 interior

frames. The distance between interior frames is 7.62 m (25 ft) center to center. The end frames

are equally spaced from the respective

neighboring interior frame. The frame

dimensions and the cross-sectional dimensions of

the webs and flanges are identical for all frames

of a given building. We refer to the Miami (M)

building with H= 6.1 m (20 ft) in suburban (S)

terrain as MS20. The other buildings are designated MS32, CS20, CS32, and MO20,

M032, CO20, C032 (C designates Charleston;

O designates open terrain).

3. WIND TUNNEL TESTS

Building models were tested at 1:200 and 1:100

scales for suburban terrain and 1:200 scale for open terrain. Pressure taps were installed at about 500 locations for the buildings with

H=9.75 m and 440 locations for the buildings

with H=6.1 m. The tap locations are shown in Fig. 2. Pressure time histories were measured

for each of 37 wind directions between 0° and

180° at 5° intervals. Pressure coefficients Cp

obtained from the pressure measurements were

referenced to the experimental dynamic pressures

at the eave height H. The approximate wind

tunnel mean flow speeds Vh(H) at the model eave

height H correspond to the full-scale hourly

speeds listed in Table 1

In this paper we consider only the 1:200 model

tests. The characteristics of the wind tunnel flows

conform to standard representations of

atmospheric boundary-layer flows over open and

suburban terrain - see [3] for details.

The time series were sampled at 400 Hz for 60

s. The processed time series were corrected for

residual non-simultaneity, and digitally low-pass

filtered at 150 Hz. The resolution for the

pressure coefficients is about 0.01. The data were

archived onto 8 mm cassette tapes. Each tape

contains two directories. Each directory contains

all the data for one building with specified eave

height in one type of terrain. The size of a

directory is about 2 GigaBytes when

uncompressed and about 600 MegaBytes when

compressed. For details on the data file structure and on restoring data from tapes see [3].

4. WIND-INDUCED INTERNAL FORCES

Wind-induced internal forces were obtained for

two types of wmd loadings: (1) the wind loading

specified by the ASCE 7-93 Standard and (2) the

wind loading obtained from the wind tunnel data. The ASCE loading is based on wind speeds

estimated without regard for direction. For

507
consistency our estimates of the wind loading

obtained from wind tunnel tests are based on

similar estimates of the wind speeds. The

pressures are

p(t)=0.613Cp(t) V„2(H) (N/n?) (1)

Vh(H) = 1.046(K,)"2Vc, (2)

where Cp is the pressure coefficient as determined from the wind tunnel tests, 1.046 is the importance factor for Category 1 buildings

located at 13 km (8 miles) from the coastline

(Table 5 of [4]), H is the eave height in meters,

Vj/H) is the mean hourly speed at elevation H, V

is the basic wind speed in m/s (V=42.5 m/s (95

mph) for Charleston and 49.6 m/s (ill mph) for Miami -- see Fig. 1 of [4]), is an exposure

coefficient whose square root transforms the

fastest-mile wind speed at 10 m elevation over open terrain into the fastest-mile wind speed at elevation H over the specified type of terrain (for

H=6.1 m (20 ft), K,=0.87 for open terrain and

K2 = 0.42 for suburban terrain; for H = 9.75 m

(32 ft), K,=0.996 for open terrain and K,=0.514

for suburban terrain - see Table 6 of [4]), and c

is a coefficient that transforms fastest-mile wind

speeds to mean hourly speeds (c~ 1/1.30 for

Charleston and c~ 1/1.31 for Miami ~ see Sect. 6.5.2.2 and Fig. C5 of the Commentary in [4]).

The internal forces were obtained by summing up

the pressures at all taps contributing to the

loading of a frame times the respective tributary area and influence coefficient. The influence

coefficients were calculated using standard linear

analysis techniques, and accounted for the position of the tap with respect to the frame. It was assumed that the load associated with any

given tap is transmitted to the frame by simply

supported girts or purlins, and that there is no

load redistribution among the frames. For the

loading based on wind-tunnel results this procedure yielded time histories of the internal

forces being sought, from which r.m.s. values of

the internal forces were obtained. The internal

force corresponding to a nominal one-hour

loading is defined as the mean value plus the

r.m.s. value times the peak factor

kpk = (2 In 3600vp)>'2 -h 0.577/(2 In 3600v p) "\3)

[5], where Vp is the mean zero upcrossing rate of

the fluctuating part (excluding the mean) of the

internal force for the prototype. The rate Vp is obtained from its model counterpart by equating

reduced frequencies for the model and prototype.

This yields v,/Vp ={[Vh(H)]J[Vh(H)]p}(Dp/DJ,

where the subscripts p and m indicate model and

prototype, respectively, and D^/D^ is the

reciprocal of the model scale. The speed (H)

for the model is taken from Table 1. It is assumed that the wind speed specified by the

ASCE 7-93 Standard can blow from any

direction.

5. RESULTS

For 6 cross-sections shown in Fig. 1, Table 2

lists the ratio between the worst case bending

moments induced by the time-dependent load

modeled on the basis of the wmd tunnel tests (for

brevity, we will refer to this load as the actual

loading) and their counterpart worst case bending

moments induced by ASCE Standard 7-93 loads. In both cases the respective most unfavorable

wind loading conditions were assumed. If the

loading specified by the Standard were "on

target", i.e., if it reflected consistently the actual

loading, then all entries in Table 2 would be

unity. Such consistency is impossible owing to the constraints imposed on the volume of

information that can be conveyed in conventional standard provisions. Given those

constraints the ASCE 7-93 Standard writers

attempted to specify information as consistently

as possible. However, we note that for any given

frame the ratios of Table 2, instead of being

unity, differ significantly and nonuniformly from

unity in most cases. For example, for the frames

of building CS20, the ratios vary from a minimum of 0.5 to a maximum of 0.82. This means that some cross-sections will be more

over-designed than others. The sections that are

the most over-designed contribute litfle to the

overall safety of the frame. The statement can

508
therefore be made ~ conditional on the strength

having a given value — that the least over- designed cross-section would fail if a sufficiently

powerful storm occurred, with the additional

strength reserve of the more over-designed cross- sections being wasted. The ratio between the

maximum and the minimum entry for a given

type of frame is denoted by rf , and is a measure

of the inconsistency of the design over the cross- sections listed in Table 2 for that type of frame.

We also list in Table 2 the ratio, denoted by ri^f between the maximum to the minimum entry

across types of frames for cross-sections #2, #4,

and # 6 (these sections are the section at the

frame knee, girder pinch, and ridge line, where

comparisons between frame types are meaningful). The ratio r,^ is a measure of the extent to which the influence lines of the frames

affect the capability of the conventional standard

provisions to reflect the actual moments

occurring in the frames. This capability is affected by the fact that the standard provisons were based on one specific type of influence

lines. Inconsistencies between effects of loads in conventional standard provisions and effects of

actual loads inevitably arise should the design of

the frames deviate from the design assumed in development of the conventional standard

provisions. It can be seen in Table 2 that i^^ can

be as large as 1.52. (We also note that the ASCE

standard does not differentiate betwen loads on

two-hinged and three-hinged frames, even though

the respective influence lines are significantly

different. Nor does the ASCE 7 standard make

allowance for the distance between frames, even

though owing to the fluctuating nature of the

loads this distance can affect significantly the

magnimde of the internal forces.)

The adoption of standard provisions that use

large aerodynamic databases would result in moment and shear diagrams allowing the designs

would be risk-consistent both within a frame and

across different frames. The waste inherent in non-uniformities within a frame would therefore

be eliminated. For example, for frame CS32, the

design would be safer if instead of the ratio 1.00

(for cross-section #6), the ratio 0.9 were used.

and it would also be more economical if the

ratios 0.65, 0.67, 0.74, 0.58, and 0.87 were to be changed to the ratio 0.9.

Design technology has progressed to the point

where designers can achieve designs with stresses that are within a few percentage points of the

stresses induced by the standard loads. However,

this close match provides only the illusion of

good design, since the designer is deprived by

conventional standard provisions of the knowledge of the actual loads and the associated

actual stresses. A standard using large

aerodynamic databases would allow the designer

to design for the best available loading

information that can be produced in the present

state of the art, without the significant artificial distortions due to the conventional standards'

antiquated way of conveying loading information.

Since the present investigation is exploratory, we

considered only wind directions 0°, 30°, 60°,

90°, and 120°. In a forthcoming report all 37

wind directions will be considered. Preliminary

searches have indicated that consideration of the

results for all 37 directions will leave Table 2

essentially unchanged.

6. FUTURE RESEARCH

As already indicated, the aim of this paper is to present a pilot study. An exhaustive investigation

along the lines presented in this paper is planned,

however, which will include consideration of all wind directions. It will also consider the effects of wind directionality, which we assumed here to be characterized by a circular extreme wind

rosette. This assumption is used in the ASCE 7- 93 Standard, but it is fact not necessarily

warranted, as shown by the example of the wind

rosette of Fig. 3 (milepost 1950, near Charleston,

see [6]). We plan to investigate the effect of

modeling scale using the results obtained in the

wind tunnel for 1:100 models. Instead of

estimating moments for a few selected sections,

we plan to produce full moment and shear force

diagrams for the entire frames. It is conceivable

that automated production will render desirable in

509
the future designs that may be somewhat different

for the various frames of a given building.

Moment and shear force diagrams corresponding

to various mean recurrence intervals can be

produced for each of those individual frames,

giving the designer the option of considering the

possibility of reducing the amount of material for some frames, if this is warranted by the moment

and shear force diagrams.

We also plan to study the possibility of automated

iterative designs, starting with a design based, for example, on conventional standard provisions,

refining the design on the basis of moment and

shear diagrams based on acuial wind loads,

recalculating the moments and shears based on

the influence lines of the new frame, until a

satisfactory convergence is achieved. Only then

will designs accommodating calculated stresses to within a few percentage points make sense, that

is, offer the substance rather than the illusion of

good engineering design. We note that anticipated progress in Computational Fluid

Dynamics might allow the entire load definition

process to be computerized in the future, at least for certain applications. Finally, we note that the

power of the computer and the availability of

databases for time histories of wind pressures

make it possible for researchers and designers to study the plastic behavior of frames in the time

domain on the basis of realistic fluctuating wind

loads. Plastic designs are currently viewed by the industry as uneconomical, and allowable stress designs are used instead, but further research

made possible by the availability of appropriate

databases containing aerodynamic pressure time

histories will enable research to be conducted that might lead to a change of current design

philosophy.

7. REFERENCES

1. Simiu, E. and Stathopoulos, T. (1997),

"Codification of wind loads on buildings using

bluff body aerodynamics and climatological data

bases," J. Wind Eng. Ind. Aerodyn. (in press).

2. Simiu, E., Garrett, J.H., and Reed, K.A.

(1993), "Development of Computer-based

Models of Standards and Attendant Knowledgebase and Procedural Systems," in Struct. Eng. In Natural Hazards Mitigation, Structures Congress,

Irvine, Calif., American Society of Civil

Engineers, New York.

3. Lin, J. and Surry, D. (1997), Simultaneous

Time Series of Pressures on the Envelope of Two

Large Low-rise Buildings, BLWT-SS7-1997,

Boundary-Layer Wind Tunnel Laboratory, The

Univ. of Western Ontario, London, Ontario,

Canada.

4. ASCE Standard 7-93 (1993), American

Society of Civil Engineers, New York.

5. Davenport, A.G. (1964), "Note on the

Distribution of the Largest Values of a Random

Function with Application to Gust Loading,

J. Inst. Civ. Eng. 24, 187-196.

6. Simiu, E. and Scanlan, R.H. (1996), Wind

Effects on Structures: Fundamentals and

Applications to Design,3Td Ed., WileyInterscience, New York.

510
Table 1. Wind tunnel mean flow speeds Vh(H)

1:200 model, open terrain, H=6. 10 m: 10. 15 m/s

1:200 model, open terrain, H=9.75 ra: 10.95 m/s

1:200 model, suburban terrain, H=6. 10 m: 8.30 m/s

1:200 model, suburban terrain, H=9.75 m: 8.95 m/s

1: 100 model, suburban terrain, H=6. 10 m: 9.35 m/s

1:100 model, suburban terrain, H=9.75 m: 10.05 m/s

Table 2. Ratios of maximum moments due to loads modeled by wind tunnel data to moments induced

by ASCE 7-93 Standard provisions, for six frame cross-sections

Frame for building type CS20 CO20 CS32 C032 MS20MO20 MS32 M032 r^

Cross-section (see Fig. 1) #1 0.60 0.61 0.75 0.65 0.60 0.61 0.74 0.62

#2 0.66 0.66 0.78 0.66 0.65 0.66 0.78 0.67 1.20

#3 0.75 0.76 0.89 0.74 0.75 0.75 0.87 0.73

#4 0.50 0.46 0.68 0.58 0.51 0.52 0.70 0.67 1.52

#5 0.79 0.76 0.90 0.87 0.78 0.75 0.89 0.86

#6 0.82 0.79 1.00 0.96 0.81 0.78 0.98 0.85 1.28

rf=r^/r^ 1.64 1.72 1.47 1.66 1.59 1.50 1.40 1.39

511
Cross-section #2

]i Cross-section #3 Cross-section #4 Cross-section #5^

Cross-section # 6

Cross-section #1

SYM ABOUT ^ RIOCE

Fig. 1. Schematic of typical frame taken from construction drawing.

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513
NORTH

514
GPS MONITORING OF STRUCTURES: RECENT ADVANCES

by

Mehmet gelebi', WiU Prescott^ Ross Stein', Ken Hudnut^ Jeff Behr' and Steve Wilson^

ABSTRACT

Relative displacements used to assess stress and drift conditions of structures are difficult to measure directly. Accelerometers are the

most common instruments used to monitor

structural systems during earthquakes or

strong winds, but to arrive at displacements

requires processing including double

integration. In most cases, such processing

does not take place in real-time or near real- time because of requisite steps including

choice of filters for signal processing. These

choices could introduce errors at periods

relevant to structural response. However,

recent advances in Global Positioning

System (GPS) technology recording at 10

samples per second (sps) allows reliable

monitoring of long-period structures such as suspension or cable-stayed bridges and taU

buildings. GPS units with a capability of

resolving motion at the centimeter level (± 1 cm for horizontal, ± 2 cm for vertical

accuracy) with sampling rates of 10 sps are now available from several manufacturers.

The majority of tall buUdings (20-40 stories or more) are flexible steel framed structures whose fundamental period (T, in seconds) can be estimated with the empirical formula

T = 0. 1 N, where N is the number of stories

of a building. Thus, the frequencies

corresponding to the fundamental periods of

most buildings over 20 stories are 10-20

times the Nyquist frequency of the sampling,

which is sufficient to assess accurately its

average drift ratio^. With this method,

displacement is measured directly in real- time.

In this paper, we discuss the scientific

justification and feasibility of using GPS

technology to monitor long-period

structures. We describe an experiment

simulating the response of a tall building.

The results indicate that sampling at 10 sps

provides a clear and accurate response

history from which drift ratios and dynamic

characteristics of the specimen can be

derived. The paper discusses in detail how

data recorded from tall buildings monitored

with GPS units can be used by engineers and

building owners or managers to assess the

building performance during extreme

' U.S. Geological Survey, MS977, 345

Middlefield Rd., Menlo Park, Ca. 94025

2 U.S. Geological Survey, 525 S. WUson

Ave., Pasadena, CA 91106

^SCIGN, 525 S. Wilson Ave., Pasadena, Ca.

91106

^ Leica GPS, 23868 Hawthorne Blvd.,

Torrence, CA., 90505

^ Drift ratio is the relative displacement of

two consecutive floors divided by the height

of the floor. In this case, we are defining

average drift ratio between the roof level and

the ground level as the relative displacement

between those two levels divided by the

height between the two levels.

515
motions caused by earthquakes and strong

winds, by establishing threshold

displacements or drift ratios and identifying

changing dynamic characteristics. Such

information can then be used to secure public

safety and/or take steps to improve the

performance of the building.

KEYWORDS: global positioning system,

building, bridge, monitoring, long-period,

structural response, frequency

1. INTRODUCTION

Seismic monitoring of structural systems

constitutes an integral part of National

Earthquake Hazard Reduction Program. In

general, until recently, monitoring the

response of structural systems for the

purpose of assessment and mitigation of

earthquakes (and also severe winds) has

relied on measuring shaking response by

deploying accelerometers throughout a

particular structure of interest to the

scientific and engineering community. In

contrast, there are no efficient or feasible

methods to measure displacements during an

earthquake or severe wind. Recordings of

the acceleration response of structures have

served us well. Studies conducted on such

records have been useful in assessing

design/analyses procedures, improving code

provisions and in correlating the response

with damage.

Since the Ms=6.7 Northridge (17 January

1994) and Ms=6.8 Kobe (17 January 1995)

earthquakes, drift studies and assessment of

susceptibility to damage of tail buUdings

have become important issues - particularly

because so many steel framed buildings were

damaged, some severely and some lightly. In

the Los Angeles area, for example, following

the Northridge event, several hundred steelframed buildings had to be examined,

assessed, repaired and/or retrofitted. Only

three of these buildings were mstrumented

prior to the event, providing some limited

acceleration response data to be used for

interpretation of the widespread damage.

Additional data, if available in real-time or

near real-time could have been very usefiil

for studies and design of repair and

retrofitting projects that followed. Therefore

there is a great need for better monitoring of

tali buildings.

Relative displacements, which are key to assessing drift and stress conditions of

structures, are difficult to measure directly.

On the other hand, measuring acceleration

response requires a double integration

process to arrive at displacements. The

integration process is not readily automated

because of the nature of signal processing ~

which (a) requires selection of filters and

baseUne correction (the constants of

integration), and (b) often requires

substantial judgement when anomalies exist

in the records. Consequently, this process can lead to errors in the calculation of

velocities and displacements. This problem is more acute for permanent displacements.

Accelerometer measurements cannot be used

to recover the permanent displacements at the centimeter level; and even if they were, it

is questionable if it can be done so in real- time. To the authors' best knowledge, such

comparisons have not been made. That is, the level of accuracy of displacements

calculated from accelerations has not been

widely verified by observations (e.g. some

shake table tests performed to compare the

performances of accelerometers and

accelerographs have not been directed to check displacements).

516
As an alternative method of measuring

relative displacements while monitoring

structural systems, we introduce GPS

technology. In general, GPS monitoring

systems are used for other purposes because

of the sampling rates used (e.g.. 1 sample per

hour, day etc). A few such applications

including those for structural systems are summarized in Appendix A. However, the

technology has advanced to such a stage that

it is now possible to record at 10 sps. This

provides a great opportunity to monitor

long-period structures reliably (e.g. tall buildings that are 20-40 stories or more).

The majority of the tail buildings are flexible

steel framed structures. The fundamental

period of such a flexible framed building can

be estimated with the empirical formula^: T =

0.1 N, where N is the number of stories of

the buUding. This means that at least 20 - 40

data points will be recorded for one cycle of

motion of a 20 - 40 story building vibrating

at the fundamental period. This provides

sufficient accuracy to assess the average drift ratio of a building. Such information can be

very useful in assessing the damage to a

building. In addition, the main value in using

GPS technology to assess the condition of a

building is that the displacement

measurements can be made directly in real- time and with sufficient precision. As

discussed later, we have made preliminary

tests to prove the technical feasibility of the

application of GPS to monitoring structures.

There is great potential for the development

of the application of GPS technology to

* For most flexible buildings, the fundamental period

(T) is approximated by O.IN, where N is the number

of floors of a building (even though the fimdamental

period can vary between [0.05-0. 15]N depending on

the flexibility of the building). Therefore, to simulate a 40-story building, we set the period (frequency)

equal to 4 s (0.25 Hz) and proportioned the length,

width and thickness of the cantilever.

monitor long-period structures during

earthquakes. The application can also be

extended to monitoring wind-induced

deformation of tall buUdings, long-span

suspension and cable-stayed bridges and tall chimneys. Furthermore, with future advances

in GPS technology and improvements in

sampling capability (e.g. higher than 10 sps),

it will be possible to monitor short-period

structures as well. The current technologies

do not readily lend themselves to automated,

real-time applications. Additionally, direct

measurements of displacements wiU enable us to reliably detect structural movement

caused by failure of the ground under the

structure (e.g. liquefaction).

2. TECHNICAL JUSTIHCATION

2, 1 Model Tests Simulating A Tall Building

To investigate the feasibility of using GPS

technology to monitor tall buildings (and

other long-period structures), we conducted

2 experiments. Figure 1 depicts a photo and

the overall set-up for a simple experiment

designed by selecting a standard stock steel

bar to simulate a 30-40 story flexible

building. We selected the length, thickness

and width of the two bar specimens to yield a fundamental period of approximately 4

seconds in the weak direction. To make

things simple, we purposefully selected the

width and thickness of each of two bars

with an extremely weaker axis in one

direction. The width was varied to show the

sensitivity of measurements during vibration

and at 10 Hz sampling rate. Each bar was

fixed at the base and the GPS unit was

attached at its tip. By providing an initial displacement, each bar was set into free

vibration and its motion was recorded.

Results are summarized in Table 1. Figure 2

shows the particle motion and time-history

517
of one of the tests performed. The axes of

the bar were at an angle to the NS (and EW)

direction. Therefore, the NS and EW

components of displacements are identical in phase and proportional in amphtude. Also,

since the GPS unit is not symmetrically and

concentrically mounted in the weak direction

(Photo in Figure 1), the amplitudes of

positive and negative displacements

measured are not the same. The detection of

the effect of the eccentric mass adds to the assurance that the measurements are accurate and sensitive.

Figure 3 is a plot of NS components of

measured relative displacements and

corresponding amplitude spectra of Bars A

and B. The figure shows the accuracy and

sensitivity of the GPS monitoring technology

at 10 samples/second. The measurements

differentiate between the frequency of the

free-vibration response of the two bars with

different dynamic characteristics. From the

data, the fundamental frequency (period) of

the two bars are identified to be 0.245 Hz

(4.08 s) and 0.296 Hz (3.38 s) respectively.

Also, a damping percentage of

approximately 2% is extracted. This simple

test shows that sampling at 10 Hz with GPS

units provides a clear and accurate

displacement response history from which

drift ratios and dynamic characteristics of the

specimen can be derived (^elebi et al,

1997a). The implications of this go beyond

just the measurements. It can be shown that

identification of variation of dynamic

characteristics can be used to identify not

only different structural systems, but also the

possible non-Unearities that occurs during

vibration (e.g. due to damage and plastic

behavior of the structural members,

components and/or joints or soil-structure

interaction under varying amplitudes of input

motions).

2.2 GPS Ambient Test of a 44-story

Building and Strong-motion Acceleration

Records

In a second test, we measured ambient

vibration (due to winds and traffic noise) of a 44-story building with a GPS unit

temporarily deployed on its roof. A reference

GPS unit was located within 500 m of the

building. The signals were very noisy and

amplitudes very small; therefore, most

common methods to identify structural

characteristics did not work. Only the cross- spectrum of the two orthogonal, horizontal,

low-amplitude ambient displacement

recordings (when the signals are coherent

and approximately 180° degree out of phase)

was used to identify the fundamental

frequency of the building at 0.23 Hz (Figure

4), with another frequency at ~ 0.3 Hz.

Despite the very small signal, these

frequencies appear to be reliable when

compared with the 0.23 Hz frequency

calculated from accelerations recorded with

a triaxial accelerograph on the 38 th floor

(accepted here as the roof response) during a

small earthquake (Figure 5). A comparison

of these frequencies is provided in Figure 6.

Despite the small displacements (<1 cm) and

large noise to signal ratio of this experiment,

the fact that dynamic frequencies could be

identified indicates that during larger

displacements, better identification of the

dynamic characteristics as well as drift ratios can be made with higher confidence.

518
3. LOOKING TO THE FUTURE:

REAL TIME MONITORING

We are developing a real-time structural

monitoring technique using GPS. Our

approach in developing this application is as follows:

• We are planning to deploy GPS units on

one or more tall buildings that are already instrumented with

accelerometers. This will facilitate

comparison of absolute and relative

displacements. The GPS units will be

configured to provide data to indicate the

real-time average drift ratio and changes

in the dynamic characteristics of the tall building. This information can be made

available to building managers (or

interested parties) in real-time or whenever a predetermined displacement

threshold is reached. The building

managers can assess the response of the

buildings according to (a) different

threshold displacements (e.g. A, B and C

as shown in Figure 7), (b) drift ratios, or

(c) changing dynamic characteristics. If a situation is serious, the management

can make decisions to evacuate the

building for additional inspection.

Therefore, one by-product of the effort

would be to secure the safety of the

occupants and significant contents of the

building. Thus, a real-time structural

health monitoring environment will be

created. At least 3 GPS units per building are required to monitor a tall building.

Two of the units should be deployed on

the roof to detect translational and

torsional response of the building. The

third unit will serve as a reference ground

station to evaluate relative displacement.

This also needs a site with excellent sky

visibility.

• Similar deployments are being planned

for other types of long-period structures. One project in development at this time

is for deploying GPS units on one of the

long-period suspension bridges such as the Golden Gate Bridge and Bay Bridge

(San Francisco) or Vincent-Thomas

Bridge (Los Angeles). As in the case of

tall buildings, changes in dynamic

characteristics after the displacements at

critical locations of a bridge have

exceeded predetermined thresholds can

be calculated in near real-time (Figure 8).

When warranted, the management can make decisions to inspect the bridge (e.g.

decisions can be made to stop the traffic,

thus securing the bridge safety, which is one of the objectives of lifeline earthquake engineering). With the GPS

technology, we can furnish timedependent displacements for the relative

movements of critical locations of

structures. For example, for the bridges,

GPS units placed at pre-selected

locations of bridge elements can indicate,

in real-time, the amplitude of the

displacements of the decks and towers,

as well as movements of key bridge

elements relative to local bedrock

reference points. Thus, movements of the

piers relative to the abutments, the top of

a tower with respect to its base, or the

span with respect to the ground, can be

made at a centimeter-level of precision,

in real-time. We will recover both the

dynamic motions that accompany the

earthquake, as well as the static or permanent displacements experienced by

the bridge once the shaking has stopped.

Such permanent displacements affect the

state of stress of a bridge, and provide

evidence for distortion or failure of

bridge elements or subsidence of piers

519
due to ground compaction induced by

earthquake shaking.

• Requisite software is being developed to assess and mitigate the two natural

hazards (earthquake and severe wind)

affecting the structures by using the

displacements measured by the GPS

units.

• The collected information on the

response of the structure during strong

motion events (or strong winds) can be

used to make decisions for fijrther

evaluation of the susceptibility to damage

of the structure and future repair/retrofit

schemes may be developed.

• The recorded data can be used to analyze

the performance of the structure and

such results can be used to improve

future analyses/design procedures.

• The data collected will also be used to assess long-term displacements of critical locations of structural systems (e.g.

permanent displacements, settlement of

foundations, long-term deformations due

to change of temperature and the plate

tectonic deformation spanning the San

Francisco Bay and parts of the Los

Angeles Basin) and to develop

methodologies on how the findings can be incorporated into useful practical

design procedures.

4. CONCLUSIONS:

It is shown in this paper that recent advances

in sampling rates of GPS technology allows

real-time monitoring of long-period

structures such as tall buUdings and longspan bridges. The advantage is that relative

displacements can be measured in real-time

and with sufficient accuracy. The technical

feasibility is illustrated through two tests conducted on two vertically cantilevered bars

that simulated tall buildings and ambient test of a 44-story building. Both approaches

show that GPS monitoring of long-period

structures provide sufficiently accurate

measurements of relative displacements and

that dynamic characteristics of the vibrating

systems can be accurately identified. This

capability can be very useful to be used for

structural health monitoring purposes.

Procedures and software are being

developed to permanently deploy GPS units on tall buildings and suspension bridges.

5. REFERENCES:

^elebi, M., Presscott, W., Stein, R., Hudnut,

K., and Wilson, S., 1997, Application of GPS

in Monitoring TaU Buildings in Seismic Areas,

Abstract, AGU Meeting, San Francisco, Ca.

Dec. 1997

gelebi, M, 1998, GPS and/or strong and

weak motion structural response

measurements - Case studies. Structural

Engineers World Congress (SEWC), San

Francisco, Ca., July 1998 (paper submitted).

Hodgkinson, K. M., R. S. Stein, K. W.

Hudnut, J. Satalich, and J. H. Richards,

Damage and restoration of geodetic

infrastructure caused by the 1994

Northridge, California, earthquake, U.S.

Geol. Surv. Open File Rep., 96-517, 1-70,

1996.

Hudnut, K. W., Z. Shen, M. Murray, S. McClusky, R. King, T. Herring, B. Hager,

Y. Feng, P. Fang, A. Donnellan, and Y.

Bock, Coseismic displacements of the 1994

520
Northridge, California, earthquake. Bull.

Seis. Soc. Amer., 86, S19-S36, 1996.

Hudnut, K., 1996, Continuous GPS

monitoring of dam deformation, EOS, no. 46, pp. F139 (abstract).

Hudnut, K.W., and Behr, J., 1998,

Continuous GPS monitoring of deformation

of Pacoima Dam, Ca., (paper in preparation).

King, N. E., H. Johnson, W. H. Prescott, M.

H. Murray, J. L. Svarc, R. Clymer, and B.

Romanowicz, 1996, Estimates of GPS and

monument noise from the Bay Area Regional

Deformation (BARD) permanent array:

EOS, Transactions, American Geophysical

Union, v. 77, p. 153.

King, N. E., M. H. Murray, and W. H.

Prescott, 1994, The Bay Area Regional

Deformation (BARD) permanent GPS array

(Abs.): EOS, Transactions, American

Geophysical Union, v. 75, p. 470.

King, N. E., J. L. Svarc, E. B. Fogehnan, W.

K. Gross, K. W. Clark, G. D. Hamilton, C.

H. Stiffler, and J. M. Sutton, 1995,

Continuous GPS observations across the

Hayward fault, California, 1991-1994: J. . Geophys. Res., v. 100, p. 20,271-20,284.

Prescott, W. H., 1996, Will a continuous

GPS array for L.A. help earthquake hazard

assessment?: EOS, Transactions, American

Geophysical Union, v. 77, p. 417.

Stein, R. S., K. W. Hudnut, J. Satalich, and

K. M. Hodgkinson, Monitoring seismic

damage to bridges and highways with GPS:

Insights from the 1994 Northridge

earthquake, in Natl. Seismic Confr. on

Bridges and Highways, (pp. 347-360),

Sacramento, Fed. Highway Admin, and

Calif. Dept. of Transportation, 1997.

Stein, R. S., G. A. Marshall, and M. H.

Murray, Permanent ground movement

associated with the 1992 M=7 Cape

Mendocino, California, earthquake:

Implications for damage to infrastructure and

hazards to navigation, U.S. Geol. Surv.

Open-FUe Rep., 93-383, 36 p., 1993.

521
APPENDIX A: OTHER

APPLICATIONS

A.l. Post-Earthquake GPS surveys on

Bridges

The Federal Emergency Management

Agency funded two USGS studies, in consort with the National Geodetic Survey

and Caltrans, in which the permanent (or

static) displacements of bridges and other

engineered structures were measured

following large earthquakes. These studies

revealed that large permanent displacements

of bridge abutments are easily measured

from GPS and leveling surveys. After the

M=7.0 Cape Mendocino, California,

earthquake, displacement of geodetic

monuments on bridge abutments relative to the ground revealed damage to a major

bridge crossing the Eel River, as well as road

and rail embankment failures caused by

landslides and liquefaction. One abutment

settled 70 mm, and the abutment on the

opposite bank settled 130 mm [Stein, et al., 1993]. After the 1994 M=6J Northridge

earthquake, the USGS resurveyed the 1045

leveling and GPS monuments, and added

128 new GPS monuments spaced 5 km apart

along the 1-405 Freeway for rapid damage

assessment after future earthquakes. The

Northridge analysis revealed four

monuments in bridge abutments with

subsidence of up to 116 mm, and uplift of up

to 58 mm [Hodgkinson, et al., 1996,

Hudnut, et al., 1996]. Because few bridge or other highway structures were assessed for

earthquake effects except by visual

inspection, subtle or hidden damage

suggested by the settlement or uplift of the structures merits re-inspection. This study is accessible via www-socal. wr.usgs.gov/fema.

A.2. Pacoima Dam Pilot Project

An experimental pilot project with Los

Angeles County to monitor Pacoima Dam

(Figure Al) has demonstrated the feasibility

of a precise telemetered GPS monitoring

system. The USGS began monitoring the

double-arch dam wall in 1995, and initiated near real-time production of results in

January 1996 [Hudnut, 1996, Stein, et al., 1997]. Daily plots are posted on the internet

(wwwsocal. wr.usgs.gov/hudnut/hudnut/dam.html).

Horizontal repeatability of the data between

daily estimates is <4 mm, and vertical

repeatability is <12 mm. The experiment

demonstrates the field reliability of

continuous GPS units on an engineered

structure, and the results (Figure 4) reveal

heretofore-unmeasured thermal expansion

and contraction of 20 mm seasonally

(Hudnut and Behr, 1998).

A. 3. Bay Area Regional Deformation

(BARD) and Southern California Integrated

GPS Network (SCIGN)

Continuous GPS nets in Southern and

Northern California, SCIGN (50 stations

growing to 250 within two years) and BARD

(20 stations within the San Francisco Bay

Area), provide continuously updated

information about the regional strain pattern

to which the bridges are subjected. The

bridge and building monitoring stations

discussed herein wiU be located within a few

kilometers of existing BARD or SCIGN

sites. Long-term deformation associated with

plate tectonics for the SCIGN and BARD

sites is well established, thus, there wiU be a good background against which to examine

both the static and dynamic deformation

indicated by the bridge units.

522
Table 1. Results of Tests with GPS Unit

Specimen Length

[H]

ft (m)

Width

[B]

in. (cm)

Thickness

[t]

in. (cm)

Measured

Frequency

mm

Measured

Period

[T](s)

Damping

m%)

BAR A 6 (1.82) 1.5(3.8) 1/8 (0.32) 0.245 4.08 -2.0

BARB 6 2.0(5.0) 1/8

• 0.296 3.38 ~ 2.0

Figure la. Photo of Test Set-up for using GPS for monitoring tall buildings

GPS

SIMULATED

BUILDING

2 SATELLITE

H

X

B

REFERENCE

GPS UNIT

Figure lb. Schematic of Test Set-up for using GPS for monitoring tall buildings

523
(a) PARTICLE MOTION (b) TIME-HISTORY FROM GPS

-40 -20 0 20

NS-DISPL. [CM]

100

20 40

TIME (S)

Figure 2. Particle motion and time-history of relative displacements (NS and EW components) of

simulated test specimen.

(a) REL. DISPL OF A & B

O

40

20

CLCOQ 0

LU

CC -20

-40

[NS] .

'/

ft

y, / \

^

\ ^

( ''V

/

]

B I V

a. 0 10 15

TIME (S)

20

(b) SPECTRA

8000

_ 6000

O

LLI § 4000

_l^ 2000

0

A 0.245 [NS]

0.296

/I

II \|>B

0.5

FREQ (HZ)

Figure 3. Relative displacements of two test specimens (NS components only) in free-vibration

and corresponding amplitude spectra identifying the fundamental frequencies of the test specimens

524
(b) 44-STORY BLDG

UJQ

d

<

150

100

50

0 ^ -50

X -100

-150

0.5 FREQ (HZ)

V

1

1 vj V0.5 FREQ (HZ)

150

100

50

0

-50

-100

-150

1

Figure 4. Ambient test of a 44-story building with GPS technology: Cross-spectrum (left-solid),

coherence (left-dashed) and phase-angle (right) of two orthogonal horizontal motions.

(a) ROOF: RECORDED (b) ROOF: SPECTRUM

10 20 TIME (S)

(c) ROOF: RECORDED

0.5 1 1.5 FREQ (HZ)

(d) ROOF: SPECTRUM

1000 o

LUG3 500

Q.<

0.23

10 20 TIME (S)

0.5 1 1.5 FREQ (HZ)

Figure 5. Recorded roof (38'*' floor accepted in lieu of roof) accelerations of a 44-story building

and displacements (derived by double integration) and amplitude spectrum.

525
Figure 6. Comparison of normalized frequencies for ambient GPS recording (from cross- spectrum) and strong-motion recording (from amplitude spectrum).

HYPOTHETICAL THRESHOLDS OF BUILDING DISPLACEMENT

O

O

20

1

' THRESHOLD C

THRESHOLD B

1

10 _ THRESHOLD A a .

_

0

10

20

1 1 1 1 1 0 5 10 15 20 25 30 35

TIME (S)

Figure 7. Hypothetical thresholds of displacements. The time-history of displacements shown is actually integrated from accelerations recorded at the 38"" floor (accepted in lieu of roof ) of a 44-

story building. The actual record (in Figure 5) is amplified by 20 times for illustration purposes.

526
HYPOTHETICAL THRESHOLDS OF BRIDGE DISPLACEMENT DURING NORTHRIDGE EQ.

TIME (S)

Figure 8. Hypothetical thresholds for displacement (from double-integration of recorded

acceleration) of channel 21 (vertical at mid side-span) of Vincent Thomas Bridge (1994 [M=6.7]

Northridge earthquake).

527
Figure Al. Structural displacement history of Pacoima Dam, Los Angeles, from continuous GPS measurements of

a remotely operated, telemetered 3-station network run by Kenneth Hudnut (USGS) since 1995. Pacoima Dam was damaged by ~lg accelerations during both the 1971 San Fernando and 1994 Northridge earthquakes. Two GPS

stations are visible in the photograph; a third station is located several km away on bedrock. Thermal contraction

of the 120 m high double-arch structure is evident, as well as an apparent long-term expansion of the arch of

several millimeters per year. Note that horizontal precision is ±2 mm. The experiment demonstrates field reliability

of telemetered, autonomous GPS installations on large engineered structures; the results reveal previously

unmeasured thermal processes (adopted from Hudnut & Behr, 1998).

528
APPENDIX

TASK COMMITTEE A-K REPORTS

AND NEW T/C ON SEISMIC INFORMATION SYSTEMS

REPORT OF TASK COMMITTEE A

STRONG MOTION DATA AND APPLICATIONS

Date: 12 May 1998

Place: National Institute of Standards and Technology, Gaithersburg, Maryland

Attendees: Japan side Susumu lai (Chairman)

Kazushige Endo

PHRI

PWRI

U. S. side Roger D. Borcherdt (Chairman)

Jon Ake

Michael Blackford

William B. Joyner

USGS

USBR

NOAA

USGS

1. Objective and Scope of Work

To coordinate and promote sharing of strong motion earthquake data among researchers

and practicing engineers, and to develop techniques and exchange information for

evaluating the destructive effects of earthquake motion.

The scope of work includes:

1. instrumentation,

2. recording, processing, and analyzing strong motion data,

3 . engineering characterization of ground motion,

4. design applications, and

5 . seismic zonation.

The activities of the Task Committee include:

1 . regular exchange of data and publications,

2. creating procedures for disseminating significant strong motion digital data with regard

for the rights and expectations of (a) owner(s), (b) data users and (c) the earthquake

engineering community,

3. planning and conducting T/C workshops and meetings, and

4. coordinating relevant research activities.

531
2. Accomplishments

The 1994 Northridge and the 1995 Hanshin-Awaji earthquakes had a tremendous impact

on various aspects of strong motion studies, including characterization of near field

motion and site response. Research developments since these earthquakes have been very

rapid, including proposals for new seismic guidelines, recommendations and codes in both

the U.S. and Japan as well as a new proposal of a worldwide seismic hazard map for use

in specifying seismic guidelines for offshore structures by the International Standards

Organization (ISO). All these developments happened since 1995 and more are coming in

1998. In view of these developments. Task Committee A accomplished:

1. Closely monitored and contributed to seismic guidelines and codes in both countries,

including UBC97 and NEHRP97 in the U.S. and ISOAVG67 in Japan,

2. At the suggestion of the Task Committee A members, a call for cooperation between

U. S. and Japan in strong motion studies was included in the Earthquake PoUcy

Symposium of the Common Agenda,

3. K-Net was completed with the effort of Task Committee A members. Rapidly

accessible data standards established by K-Net are a model that should be followed by

other U. S and Japan strong motion programs during future development. Recently,

the second CD-ROM with K-Net strong-motion data has been released in both

Japanese and English,

4. Chairmen and members of Task Committee A contributed in January 1998 to a widely

attended workshop sponsored by the Southern California Earthquake Center on the

important subject of "Nonlinear Soil Response".

Tragic losses fi^om the 1994 Northridge earthquake and the 1995 Hanshin-Awaji

earthquake have emphasized the urgent need to mitigate the effects of future earthquakes

during the next millennium. Recent efforts in the United States emphasize that inadequate

sets of strong-motion recordings are presently a major obstacle to earthquake hazard

mitigation. Towards developing a vision for strong-motion recording in the next

millennium. Task Committee A members have contributed to several recent

accomplishments. These include:

1 . Participating on the Committee for the Advancement of Strong Motion Programs

(CASMP) by US members,

2. Contributing to the organization and proceedings of the international workshop

entitled "Vision 2005: An Action Plan for Strong-Motion Programs to Mitigate

Earthquake Losses in Urbanized Areas", Monterey, CA, April 1997,

3. Contributing to the development and organization of the Consortium of Organizations

for Strong-Motion Observation Systems (COSMOS),

4. Developing an initiative in the U.S. to instrument Federally owned and leased buildings

with endorsement provided by CASMP and appropriate committees of the Interagency

Committee for Seismic Safety in Construction (ICSSC).

532
3. Future Plans

Future plans include:

1. Planning a Task Committee workshop on Soil-structure Interaction (Chairmen: Celebi

and Okawa, September 1998 in U. S.). 2. Hosting a new workshop in December 1998 on strong motion studies, which could be

held in conjunction with ESG 98 (Effect of Surface Geology), to review and integrate,

where possible, the most recent developments since the 1996 workshop.

3. Coordinating, where appropriate, ongoing U.S. and Japan developments in strongmotion-recording and data-dissemination programs, in conjunction with activities of

recently established committees such as CASMP and organizations such as COSMOS.

4. Develop recommendations for Common Agenda, possibly in a workshop, regarding

U.S. and Japan needs for strong-motion measurement in densely urbanized areas to

significantly improve public earthquake safety.

5. Coordinating, where appropriate, ongoing developments in seismic hazard mapping

and seismic codes for generalization and worldwide use.

6. Recognizing the developing emphasis in the engineering and emergency response

communities on near-real time data availability, TC/A will continue to promote and

exchange new developments in real-time data acquisition, processing, and notification.

This activity will be in conjunction with the proposed TC on Seismic Information

Systems.

7. Pursuing the idea of establishing a WWW page, which provides links to home pages of

participating strong-motion organizations in conjunction with other UJNR WWW

activities.

533
REPORT OF TASK COMMITTEE B

TESTING AND EVALUATION PROCEDURES FOR BUILDING SYSTEMS

Date: 12 May 1998

Place: National Institute of Standards and Technology, Gaithersburg, MD, U.S. A

Attendees: U. S. Side H. S. Lew (Chairman) NISI

Daniel Abrams MAE Center

Japan Side — Keiichi Ohtani (Chairman) NIED

Makoto Watabe Keio University

1. Objective and Scope of Work

The objective of the Task Committee is to develop and recommend rational test procedures and to collect performance data of dynamic response of structures through

both laboratory testing of prototype structures and field testing of structures in-situ.

The scope of work includes:

1 Plans and conducts workshops and joint meetings to identify research topics and

develops joint research programs.

2. Coordinates research projects carried out by various laboratories in the U. S. and

Japan. Facilitates publication of research results and implementation of findings in

codes and standards.

3. Facilitates exchange of research personnel, technical information and available testing

facilities.

4. Develops uniform testing procedures including test loading history for case of

comparison of results of tests carried out by various researchers, and for establishment

of data base.

5. Develops guidelines for interpretation of test results in consideration for design of

structures.

6. Develops methodology for evaluation and interpretation of physical test results.

2. Accomplishments

1. The third phase of the U. S. Precast Seismic Structural Systems Program (PRESSS)

was initiated in 1 995 Studies, including the testing of a full scale, five story frame

534
structure are in progress. Large-scale frame testing will be carried out at the

University of California - San Diego.

2. In Japan, a 3 -year program on the development of design guidelines for

precast/prestressed buildings has been underway for the past two years and will be

completed in 1998.

3. The research program on Composite and Hybrid Structures (CHS) in Japan was

completed in early 1998. Experimental and analytical work was carried out jointly. The

Building Research Institute, several universities and construction companies, and the

Japan Structural Consultant Association undertook an applications study for

implementing research results into practice.

4. The research program on CHS in the U.S. was initiated in 1995 under the sponsorship

of the National Science Foundation. Over 16 research projects are in progress.

Additional projects on composite wall systems are being initiated.

5. The Fourth U.S. -Japan Joint Technical Coordinating Committee (JTCC) meeting on CHS was held in October 1997 in Monterey, CA. Both sides agreed to continue to coordinate efforts in the development of design guidelines and to transfer technology

to the design profession.

6. The 6* U.S. -Japan Cooperative Research on "Smart Structural Systems" (AutoAdoptive Media) was initiated in 1998.

3. Future Plans

1 . The Fifth U. S. -Japan Joint Technical Coordinating Committee Meeting on CHS will

be held in October 1998 in Japan, in conjunction with an International Symposium to commemorate the 20'*' Anniversary ofU.S. -Japan Cooperative Research.

2. Several TCC meetings will be scheduled in respective countries in the coming year.

3 . In support of the International Decade for Natural Disaster Reduction (IDNDR)

Program, techniques will be explored to disseminate findings of completed joint

research projects to countries with high seismic risks.

4. Ajoint workshop on Test Procedure, Documentation, Retrieval of Test Data, and

Experimental Facilities will be held to maximize the usefulness of research data. The

date and location will be established prior to the 3 Joint Panel Meeting.

5. Future plans for U.S. -Japan cooperative programs shall consider existing and planned

experimental research programs of the three new NSF earthquake engineering research

centers.

535
REPORT OF TASK COMMITTEE C

DESIGN, EVALUATION AND IMPROVEMENT OF STRUCTURES

Date: 12 May 1998

Place: National Institute of Standards and Technology, Gaithersburg, MD, USA

Attendees: U.S.-side-- Shi-Chi Liu (Acting Chairman)

Noel Raufaste

Lawrence Hultengren

NSF

NISI

DOS

Japan-side- Hisahiro Hiraishi (Chairman)

Jun-ichi Hoshikuma

Michio Okahara

Takao Masui

Akiyoshi Mukai

BRI

PWRI

PWRI

NLA

BRI

1. Objective and Scope of Work

The objective of Task Committee (C) is to develop disaster mitigation guidelines and

programs that will improve the performance of new structures and the capacity of existing structures in resisting wind and seismic forces. To establish adequate evaluation of

performance, each country will coordinate the development of condition assessment,

screening, structural analysis, and design methodologies. Enhance performance can be

obtained by the intelligent renewal, repair, and retrofit of existing buildings and other

structures. Certain structures will be analyzed and instrumented and then evaluated after

disasters. Also, effective use of new advanced materials, smart materials, and structural

systems associated with appropriate design methods, will provide structural performance

in the life cycle.

The scope of work includes:

1. Exchanging information, planning and hosting workshops on new design technologies,

evaluation technologies, and repair and retrofit techniques.

2. Studying new materials and methods for repairing and retrofitting existing structures and for new construction.

3 . Developing a uniform system for screening and analyzing wind and seismic resistance

capacity of structures in each country.

4. Evaluating, composite/hybrid building structures and smart structural systems and

providing documentation for post-disaster evaluation of performance.

5. Developing reliable condition assessment systems for new and existing structures.

536
6. Coordinating research projects in the U.S. and Japan to minimize duplication and

maximize benefits.

2. Accomplishments

1. Conducted the fourth U.S. -Japan Technical Coordinating Committee Meeting on

Composite and Hybrid Structural Systenis, Monterey, CA, USA, during 12-14

October 1997.

2. In the field of hybrid structural systems. Dr. H. Kuramoto, BRI, completed a one-year

(October 1996- September 1997) research assignment at Cornell University, and Prof

R. Frosh, Purdue University, visited BRI in March 1998 to discuss the 6'^ U.S. -Japan

Cooperative Research Program on Smart Structural Systems.

3. Initiated Phase 6 of the U.S. -Japan Cooperative Research Program on "Auto-Adaptive

Media (Smart Structural Systems).

3. Future Plans

The following activities are planned for T/C (C):

1. Conduct the 5*^ U.S. -Japan Technical Coordinating Committee Meeting on Composite

and Hybrid Structural Systems, October 1998, Japan.

2. Conduct Workshops on Auto-Adaptive Media (Smart Structural Systems), in May at Sonoma, CA, and Fall (to be determined), USA, 1998.

3 . Conduct a 20-year commemoration symposium on Cooperative Earthquake

Engineering Research, October 1998, Tokyo.

4. Continue the 6th U.S. -Japan Cooperative Research Project on Auto-Adaptive Media

(Smart Structural Systems).

5. Develop a reliable methodology for screening and analyzing wind and seismic resistant

capacity, and advanced instrumentation technology and expert systems to provide

condition assessment of existing structures.

6. Compile a database of advance materials/systems that have potential for improving

structural performance of new construction, and for use in rehabilitating and

strengthening existing buildings.

7. Investigate new design methodologies based on required structural performance using

advanced materials and systems.

537
8. Continue to encourage participants by private industry, consulting engineers,

universities, national and local government agencies involved in instrumentation,

evaluation, condition assessment, and retrofit and strengthening of existing buildings,

for seismic and wind resistance.

4. Other Activities

The following activities support the work of T/C (C):

1 . U.S. research sponsored by NSF, Corps of Engineers, NIST and FWHA have

developed reports on seismic rehabilitation and retrofit strategies, including innovative

techniques for strengthening existing buildings and bridges.

2. Continue development of NSF's Civil Infrastructure Systems Research Program,

including strong emphasis on evaluation and improvement of structures.

3 . Continue to encourage conduct of research in the area of retrofit and repair of

buildings and structures.

5. Develop and Harmonize T/Cs C & G

The consolidation of the T/Cs (C&G) was proposed at the U.S. -side Domestic Panel

Meeting of September 1997 and was approved by both sides at their respective Domestic

Panel Meetings, December 1997. T/C (C) requests approval from the flill Panel at the 30*^

Joint Panel Meeting of May 1998 to consolidate T/Cs (C&G) into a new T/C (C). The

revised name and proposed mission will be proposed by the respective T/C Chairs at both

sides Fall 1998 Domestic Meetings. Suggested new T/C titles were:

1 . High Performance Structural Systems and Auto-Adaptive Media.

2. High Performance Systems: Design, Repair, Evaluation, and Auto-Adaptive Media.

Suggested objective and scope of work and the future plans of the renewal Task

Committee (C) are as follows:

1 . Exchange information, and plan and conduct workshops on new design technologies,

evaluation technologies, repair and retrofit techniques.

2. Study advanced materials and methods for new construction and for repairing and

retrofitting existing structures.

3. Develop reliable condition assessment systems for new, existing and damaged

structures.

4. Develop and Harmonize performance based structural design developed in each

country.

538
Coordinate research projects on design, evaluation and improvement of structures the U.S. and Japan to minimize duplication and maximize benefits.

539
REPORT OF TASK COMMITTEE D

EARTHQUAKE ENGINEERING FOR DAMS

Date: 12 May 1998

Place: National Institute of Standards and Technology, Gaithersburg, MD, USA

Attendees: U.S. -side- Robert Hall (Chairman) USAE

USAE

USAE

USER

USSR

Joseph Koester

William Roper

Larry Nuss

Frank McLean

Japan-side- Takashi Sasaki (Acting-Chairman)

Mitsu Okamura

Hideki Sugita

PWRI

PWRI

PWRI

1. Objective and Scope of Work

To develop technical insights into better understanding of the response of dams to seismic

effects, the T/C will plan, promote, and develop research initiatives to assist in assuring

seismic safety and economical protective countermeasure against earthquake loading for

these structures.

The scope of work includes:

1. Methods of analysis for seismic design of dams including outlet works. Comparison of

design methods and criteria between U.S. and Japan. Development of "Design

Earthquake Ground Motions" for analysis and evaluation of dams. Assessment of

investigation and dynamic analysis methods as tools (modeling, calculation codes).

2. Dynamic characteristics of dam construction materials and site conditions. Strength

and deformation characteristics during earthquakes (concrete, soil and rock).

3. Analysis of observed behavior of dams and outlet works during earthquakes.

Investigation of the mechanism of damages due to earthquake loading. Application of

the analysis of the observed behavior during earthquake to the earthquake-resistant

design.

2. Accomplishments

540
1 . T/C (D) conducted the First U. S.-Japan Workshop on Advanced Research on

Earthquake Engineering for Dams at the Waterways Experiment Station in Vicksburg,

Mississippi, USA, on 12-14 November, 1996.

2. Articles related to the first Workshop were printed in the Panel's Technical Bulletin

Winds and Seismic Effects, Issue 4, and in the PWRI Newsletter, No. 68.

3. In the field of seismic design for concrete dams, Mr. Takashi Sasaki, PWRI, started a one-year (December 1997-December 1998) research at University of California,

Berkeley.

4. Some members of T/C (D) of U.S. and Japan sides participated in the 4* International

Conference on Case Histories in Geomechanical Engineering in St. Louis, Missouri,

USA on 9-12 March 1998, and exchanged the latest results of research/investigation

and the newest technical information about dam earthquake engineering.

3. Future Plans

1 . Exchange of the results of research/investigation and technical information about dam

earthquake engineering is encouraged, and feasibility ofjoint research and

investigation is in continuous consideration.

2. Exchange visits to the institutes concerned, of scientists and engineers between U.S.

and Japan, is to be extended for the effective communications.

3. The proceedings of the first Workshop will be published and distributed to the T/C

members and Panel Secretariats.

4. In the field of seismic design for embankment dams, Mr. Tomoya Iwashita, PWRI, will

start a one-year (August 1998-August 1999) research at University of California,

Berkeley.

5. T/C (D) will hold the Second Workshop at the Public Works Research Institute,

Tsukuba, Japan, or at another location in Japan that would enhance field observation

opportunities in conjunction with the 3 T' Joint Panel Meeting in 1999.

6. Update the Task Committee membership.

541
REPORT OF TASK COMMITTEE E

DESIGN FOR WIND AND WIND HAZARD MITIGATION

Date: 12 May 1998

Place: National Institute of Standards and Technology, Gaithersburg, MD, USA

Attendees: U.S. -side-- Joseph Golden (Chairman) NCAA

Bogusz Bienkiewicz CSU/FHWA

Art Chiu University of Hawaii at Manoa

Harold Bosch FHWA

Japan-side — Hiroshi Sato (Co-Chairman) PWRI

Shigetoshi Kobayashi PWRC

1, Objective and Scope of Work

To exchange technical information and to jointly plan, promote and foster research and

dissemination, to improve understanding of wind and its effects on structures, establish

more rational wind resistant design methods for structures, and to contribute to wind

hazard mitigation.

The scope of work includes:

1 . Characterization of strong wind, especially boundary layer extreme winds.

2. Wind effects (wind loading on and wind-induced response of structures).

3 . Experimental and analytical methods to predict wind and its effects.

4. Damage and risk assessment.

5 . Wind hazard assessments and wind hazard mitigation.

2. Accomplishments

Held the first joint Workshop on Design for Wind and Wind hazard Mitigation at the EastWest Center at the University of Hawaii on October 7-9, 1997. Seven Japan-side

members and ten U.S. -side members participated in the Workshop. After presenting

recent research results, the participants discussed potential research topics that could be

pursued in a collaborative program. Many of the participants visited the NOAA Tsunami

Warning Center and the National Weather Service Office on Oahu; and some also visited

the NOAA Mauna Loa Observatory on Hawaii following the Workshop. The proceedings

of the Workshop will be published by the U.S. -side, and distributed to all the Task

Committee members.

542
3. Future Plans

1. Hold the second joint workshop in Japan in the autumn of 1998, possibly November.

2. Pursue the possibility of collaborative research on the topics recommended at the first workshop. PWRI and the University of Washington are discussing possible

collaborative research on "Development o^Prediction Methods for Wind Response of

Long Span Bridges."

3. Exchange technical information on the following subjects:

a) Topographical effects on wind and the use of field measurements, numerical

models and geographic information systems (GIS) to study these effects.

b) Control of wind-induced response of structures.

c) Computational fluid dynamics and wind tunnel tests.

d) Prediction of wind-induced response of full-scale structures.

e) Investigation of wind hazards, including post-storm damage assessment

methodologies.

f) Wind resistant design codes, standards and recommendations.

543
REPORT OF TASK COMMITTEE F

DISASTER PREVENTION METHODS FOR LIFELINE SYSTEMS

Date : 12 May 1998

Place : National Institute of Standards and Technology, Gaithersburg, MD, USA

Attendees : U.S. -sideRiley Chung (Chairman)

Ronald Andrus

Josephine Malilay

PhilHp Yen

NIST

NIST

CDC

FHWA

Japan-side Keiichi Tamura (Acting-Chairman)

Takaharu Kiriyama

Keiko Ogawa

PWRI

NLA

Tohoku University

1. Objectives and Scope of Work

To improve the performance oflifeline systems during earthquakes and extreme winds, and to promote the

development and implementation oftechnical and non-technical countermeasures, including the capability in damage estimation techniques and inspection procedures, through:

1 . Planning and conducting workshops.

2. Facilitating exchange oftechnical information and personnel.

3 . Promoting development of design guidelines and standards.

2. Accomplishments

1 . Members ofthis T/C participated in the planning ofthe second earthquake policy symposium held in Kobe, Japan in September 1997. The symposium was led by the US. Federal Emergency Management

Agency and the National Land Agency ofJapan, under the U. S. -Japan Natural Disaster Reduction

Initiative ofthe U.S. -Japan Framework for New Economic Partnership (Common Agenda).

2. Task Committee (F) held the Seventh Joint Workshop on Disaster Prevention for Lifeline Systems on November 4 through 7, 1997, in Seattle, Washington. The workshop was co-sponsored by the Public

Works Research Institute ofJapan and the National Science Foundation and the National Institute of

Standards and Technology ofthe United States. Forty-five experts, representing government, academia,

industry and private practice, participated in the workshop. Thirty papers were presented, many ofthem

focused on the results ofthe studies ofthe two most recent devastating earthquakes; the 1994 Northridge

earthquake in California and the 1995 Kobe earthquake in Japan.

3 . Under the auspices ofTask Committees (F&H), Dr. Ronald D. Andrus, an NIST researcher in geotechnical earthquake engineering, had a successfiil visit in December 1997 to PWRI, PHRI, and other

544
universities and private companies. The purpose ofhis visit was to collect additional information on shear

wave velocities at sites where liquefaction has happened or not happened during past earthquakes in Japan

and to explore the use ofshear wave velocities for evaluating liquefaction potential for lifeline systems.

3. Future Plans

1 . Encourage collaborative research and development in areas such as: performance prediction and postearthquake damage assessment oflifeline systems; systems approach to lifeline performance; soil-structure

interaction; and cost-effective ground improvement techniques and other countermeasures for lifeline

facilities.

2. Encourage and strengthen current efforts in both countries for developing seismic design guidelines and

standards for lifeline systems. Existing UJNR channels should be My utilized to facilitate the exchange of

relevant information concerning the development ofguidelines and standards. Possible collaboration of

developing guidelines and standards for lifeline systems should be pursued.

3 . Initiate cooperative efforts, including development ofa database, between lifeline engineering and public

health to assess consequences due to the disruption oflifeline systems.

4. Hold the Eighth Joint Workshop on Disaster Prevention for Lifeline Systems in the Fall of 1 999 in Japan.

Specific location, time, and theme ofthe workshop will be determined through correspondence between

the co-chairs ofthis task committee.

545
REPORT OF TASK COMMITTEE G

STRUCTURAL CONTROL AND INTELLIGENT MATERIAL SYSTEMS

Date: 12 May 1998

Place: National Institute of Standards and Technology, Gaithersburg, MD, USA

Attendees: U.S. -side - Shi-Chi Liu (Chairman)

Noel Raufaste

Lawrence Hultengren

NSF

NIST

DOS

Japan-side Jun-ichi Hoshikuma (Acting-Chairman) PWRI

BRI

PWRI

NLA

BRI

Hisahiro Hiraishi

Michio Okahara

Takao Masui

Akiyoshi Mukai

1. Objective and Scope of Work

1 . Develop research plans in control of equipment and structures and in high performance

structural and material systems;

2. Implement control techniques for motion reduction and modification;

3. Implement use of advanced materials in actual design and construction of buildings

and other infrastructure systems under seismic or wind environments;

4. Promote U.S. -Japan cooperation in structural control and intelligent material systems

research;

5. Bring together governmental, academic, and industrial participants in joint pursuit of

these efforts; and

6. Contribute to IDNDR by organizing joint research and other technical activities in

stmctural and intelligent material systems research based on international cooperation.

T/C (G) works closely with other organizations to provide the leadership in this emerging

research by facilitating the exchange of data and information through UJNR mechanisms.

The scope of work includes:

1. Providing technical assistance, consultation and coordination of UJNR affiliated

research organization in the initiation, development, and execute their programs in

research areas.

2. Promoting joint government-university-industry collaborative efforts to facilitate

technology transfer and practical implementation.

546
3. Sponsoring and conducting interdisciplinary workshops and meetings to identify key

area of research and opportunities for cooperation, and to stimulate public awareness and interest in this field of research.

4. Developing promotional and demonstrative activities to stimulate public awareness and interest in this field of research.

5. Providing information usefiil for the establishment of performance standards, design

and also retrofit/rehabilitation of existing structures.

6. Promoting research in intelligent material systems, sensors, actuators, optional control

system design, and encourage laboratory and field experiments of prototype and fiall- scale structures.

2. Accomplishments

1 . In 1998, a five-year U.S. -Japan Cooperative Research Program on Urban Earthquake

Disaster Mitigation between NSF and Monbusho (Ministry of Education) was initiated

under U.S. -Japan Common Agenda.

2. Phase 6 of the U.S. -Japan Cooperative Research Program on "Auto-Adaptive Media"

(Smart Structural Systems) was initiated in 1998.

3. Future Plans

1 . To implement Phase 6 of the above U. S. -Japan Cooperative Research Program on

Auto-Adaptive Media.

2. Task Committee (G) confirmed its agreement to consolidate with T/C (C) into a new

T/C (C). The activities of T/C (G) will be continued in the new T/C (C) and in T/C

(J)-

4. Develop and Harmonize T/Cs C&G

The consolidation of the T/Cs (C&G) was proposed at the U.S. -side Domestic Panel

Meeting of September 1997, and was approved by both sides at their respective Domestic

Panel Meetings, December 1997. T/C (G) requests approval, from the fijU Panel at the

30"^ Joint Panel Meeting of May 1998, to consolidate T/Cs (C&G) into a new T/C (C).

The revised name and proposed mission will be proposed by the respective T/C Chairs at both sides' Fall 1998 Domestic Meetings. Suggested new T/C titles were:

1 . High Performance Structural Systems and Auto-Adaptive Media

2. High Performance Systems: Design, Repair, Evaluation, and Adaptive Media.

Suggested objective and scope of work and the fiiture plans of the consolidated T/C (C)

are as follows:

1 . Exchange information, and plan and conduct workshops on new design technologies,

evaluation technologies, repair and retrofit techniques.

547
2. Study advanced materials and methods for new construction and for repairing and

retrofitting existing structures.

3 . Develop reliable condition assessment systems for new, existing and damaged

structures.

4. Develop and Harmonize performance based structural design developed in each

country.

5. Coordinate research projects on design, evaluation, and improvement of structures in

the U.S. and Japan to minimize duplication and maximize benefits.

548
REPORT OF TASK COMMITTEE H

SOIL BEHAVIOR AND STABILITY DURING EARTHQUAKES

Date: 13 May 1998

Place: National Institute of Standards and Technology, Gaithersburg, MD, USA

Attendees: U.S. -side - Joseph P. Koester (Acting-Chairman) WES

Jon Ake

Larry Nuss

Ronald Andrus

Frank McLean

William Joyner

USER

USER

NISI

USER

USGS

Japan-side Mitsu Okamura (Acting-Chairman)

Takashi Sasaki

PWRI

PWRI

1. Objective and Scope of Work

Government agencies responsible for public works must assure seismic safety and provide

economical protection against earthquake hazards.

The objective of the Task Committee (H) is to assist in meeting these needs by enhancing

the availability of technology for predicting the dynamic behavior of soils, foundations and

earth structures, and analyzing dynamic soil/structure interaction to assure their safe

performance during earthquakes.

In accordance with the objective, the scope of work includes:

1 . Exchange information on technological developments, state-of-the-art and practice

related to soil behavior and stability during earthquakes.

2. Exchange information and technical data relating to field performance, research, and

methods of practice.

3 . Plan and conduct programs of cooperative research and/or workshops in coordination

with the proposed or on-going programs.

4. Make other efforts needed including exchange of researchers between U.S. and

Japanese research institutions, and publication of research results and recommended

practice.

2. Accomplishments

549
1 . The National Research Institute for Earth Science and Disaster Prevention (NIED),

the Building Research Institute (BRI), and Wayne State University (WSU), have

continued to work in their cooperative research program "Physical and Numerical

Simulation of Structural Damages Due to Liquefaction and Development of

Countermeasure Techniques," 1994-1998.

2. Port and Harbor Research Institute (PHRI), Colorado School of Mines and the

Lovelace Institutes (Albuquerque, NM) have continued joint research on application

of the Nuclear Magnetic Resonance Imaging (NMRI) method to the study of soil behavior and stability during earthquakes.

3. Under the auspices of Task Committees (F&H), Dr. Ronald R. Andrus, a NIST

researcher in geotechnical engineering, had a successful visit to PWRI, PHRI, several

universities, and private companies in December 1997. The purpose of his visit was to

collect data on shear wave velocities at sites where liquefaction was observed and not

observed, and to explore the use of shear wave velocities at sites for use in evaluating

liquefaction potential for lifeline systems.

3. Future Plans

1 . Task Committee (H) plans to hold a workshop on the Use of Centrifuge Modeling for

Research into Soil Behavior and Stability During Earthquakes 28-29 September 1998,

Tsukuba, Japan. It will be held just after the International Conference CENTRIFUGE

'98 in Tokyo, organized by Japanese Geotechnical Society and International Society

for Soil Mechanics and Geotechnical Engineering (ISSMGE).

2. Continue collaborations on liquefaction prediction based on field performance data and

shear wave velocity measurements.

4. Other Activities

The Japanese Geotechnical Society has published a Handbook on Liquefaction

remediation. English translation and editing of the draft was completed with the assistance

of Panel members.

550
REPORT OF TASK COMMITTEE I STORM SURGE AND TSUNAMIS

Date: 13 May 1998

Place: National Institute of Standards and Technology, Gaithersburg, MD, USA

Attendees: U.S. -side - Michael Blackford (Chairman) NCAA

Japan-side Shigetoshi Kobayashi (Acting-Chairman) PWRC

Keiichi Tamura PWRI

1. Objective and Scope of Work

The objective of this Task Committee is to mitigate damage from storm surge and tsunami

through cooperative research and shared technology and information. The primary cause of storm surge is considered to be tropical cyclones (hurricane, typhoons). The primary

cause of tsunamis is considered to be sudden sea floor deformation due to earthquakes,

volcanic activity and landslides. Both hazards may cause disasters along coastal regions.

The scope of this T/C is as follows:

1 . Exchange resuhs of research on storm surge and tsunami occurrence, generation,

. propagation, and coastal effects. This includes observations on historical, current, and

theoretical tsunamis. Of particular interest is the eflFort by U.S. and Japan to acquire

deep ocean tsunami measurements.

2. Exchange results and status of storm surge and tsunami mitigation activities including

analysis of the problem, planning, warning and engineering approaches.

3 . Exchange information on development of technologies such as computer programs to predict travel times, land-fall locations, inundation and run-up heights, and wave

characteristics, improved instrumentation, and use of satellite communication for

detection and warning.

4. Facilitate dissemination through exchanges of literature, technical reports at joint

meetings, special workshops, joint projects, and direct interaction among participants.

The storm surge research community which fiinctions through many related societies

and international organizations, defines and stimulates work in the field. The Task

Committee, through its meetings and workshops, encourages exchanges of ideas and

joint study by U.S. and Japanese investigators oftsunami events throughout the world.

551
2. Accomplishments

1 . The Task Committee agreed to support the improvement of the gridded bathymetry

and coastal-topography data initiated by International Tsunami Commission.

2. The Task Committee exchanged ideas on large-scale laboratory experiments on

tsunami run-up.

3 . Deep ocean tsunami detection systems were deployed off the coasts of Alaska and

Washington by the U.S. NOAA's Pacific Marine Environmental Laboratory (PMEL)

during the summer of 1997. These instruments initially functioned well, however

winter storms proved it will be necessary to modify the communication system.

3. Future Plans

1. The 5* Storm Surge and Tsunami Workshop will be held in Sapporo, Japan, in July

1998.

2. Modified deep ocean detection systems will be redeployed during the summer of 1998

by PMEL.

552
REPORT OF TASK COMMITTEE J

WIND AND EARTHQUAKE ENGINEERING

FOR TRANSPORTATION SYSTEMS

Date: 13 May 1998

Place: National Institute of Standards and Technology, Gaithersburg, MD, USA

Attendees: U.S.-side- Dr. Phillip Yen (Acting-Chair) FHWA

Dr. Daniel Abrams MAEC

Dr. Bogusz Bienkiewicz CSU

Dr. Arthur Chiu University of Hawaii at Manoa

Dr. Joseph Golden NOAA

Japan-side ~ Dr. Michio Okahara (Acting-Chair) PWRI

Dr. Hiroshi Sato PWRI

Dr. Jun-ichi Hoshikuma PWRI

Dr. Hisahiro Hiraishi BRI

1. Objectives and Scope of Work

1. Plan, promote, and foster research on the behavior of highway bridges when subjected

to wind and seismic forces, and

2. Disseminate research results and provide specifications and guidelines based on the

Task Committee's findings. Surface transportation systems play a vital role in the

movement of goods and people. Highway bridges are especially influenced by the

forces of wind and earthquakes because of their open exposure to those forces.

The scope of work includes:

1 . Researches on highway bridges without limitation on their size and function.

2. Investigations existing and new bridge designs.

3. The behavior of whole bridge systems and/or single components of a bridge.

2. Accomplishments

The 13th U.S. -Japan Bridge Engineering Workshop was held during 2-3 October 1997, in

Tsukuba, Japan. The workshop was attended by 19 U.S. and 58 Japanese participants.

The proceedings of the workshop has been published and will be distributed.

3. Future Plans

553
1. The 14th U.S. -Japan Bridge Engineering Workshop will be held during the Fall of

1998, in Pittsburgh, Pennsylvania, USA.

2. Continue to investigate and exchange technical information on improved seismic

retrofit and strengthening procedures for highway bridges based on experimental,

analytical, and field studies. This exchange should include information on maintenance

of existing bridges.

3. Continue to conduct cooperative research on the seismic performance of bridge piers

and columns experimentally and analytically, and encourage research on seismic

isolation and hybrid control of bridges.

4. Continue the coordinated research study to compare the seismic design criteria for

bridges in Japan and the U. S. and discuss the method and analysis procedures for

bridge column design. Continue to exchange information on the application of the limit state design method.

5. Encourage a research study on seismic, aeroelastic, and aerodynamic response of long

span bridges such as cable-supported bridges with emphasis on behavior of composite

materials, cable inspection, vibration control, and corrosion protection.

6. Encourage a coordinated research study on seismic response and control, system

identification techniques, nondestructive evaluation of bridge structures, use and

performance of structural materials including new materials, and performance of

jointless bridges.

7. Dr. Jun-ichi Hoshikuma, Research Engineer of Earthquake Engineering Division,

PWRI started his one-year guest research assignment on seismic design of bridges at UCSD from March, 1998.

554
REPORT OF TASK COMMITTEE K

WIND AND EARTHQUAKE ENGINEERING FOR OFFSHORE

AND COASTAL FACILITIES

Date: 13 May 1998

Place: National Institute of Standards and Technology, Gaithersburg, MD, USA

Attendees: U.S. -side - Charles Smith (Chairman)

Martin Eskijian

MMS

CSLC

Japan-side Susumu lai (Acting-Chairman)

Akiyoshi Mukai

PHRI

BRI

1. Objective and Scope of Work

To develop technical insights necessary to mitigate damage to offshore and coastal

facilities due to extreme wind and seismic effects. The Task Committee will plan, promote

and develop research initiatives to meet this objective and will disseminate the results of

their research for incorporation into future specification or design guidelines. Criteria for

the design of offshore and coastal facilities may differ greatly fi^om their onshore

counterparts. These differences can arise due to their unique design or mass distribution,

to the fluid/structure or wind/structure interaction, to the placement of foundation

elements in or on soft, fiiUy saturated soils that can be subject to large hydrodynamic

pressures, and to the lack of specific environmental data or engineering experience that

has been developed for most onshore sites.

The scope of work includes:

1 . Sponsoring and conducting workshops and meetings to identify key areas of research,

opportunities for cooperation, and the exchange of knowledge.

2. Predicting strong ground motions for offshore and coastal sites including assessing the

effects of basin geometry, linear, and nonlinear local geological effects using actual

seafloor response measurements.

3. Determining the dynamic response and the interaction of structure/foundation/soil

systems to seabed motions and/or extreme wind forces.

4. Assessing the dynamic response and behavior of various operational facilities mounted

on offshore and coastal structures.

5. Developing assessment methodologies for earthquakes and other characteristics of

potential seismic sources (e.g. faults) for offshore and coastal sites in regards to how

these conditions relate to structural design criteria.

555
6. Promoting the implementation of new research results into current design and

construction processes.

7. Developing research efforts to include laboratory and field programs to obtain data on

the response of offshore and coastal facilities to extreme wind and seismic forces.

8. Creating performance standards, design specifications, guidelines, and code

recommendations for applications to new construction as well as remedial action for

existing facilities.

2. Accomplishments

1. Members of Task Committee (K) helped to organize and participated in the workshop,

"Earthquake Criteria Workshop- Recent Development in Seismic Hazard and Risk

Assessment for Port, Harbor, and Offshore Structures," held concurrently with the

International Offshore Mechanics and Arctic Engineering (OMAE 1 997) Conference

in Yokohama, Japan on April 17, 1997.

2. Task Committee (K) held initial planning phase to conduct a third international

workshop. The theme of this workshop will focus on seismic, wind, and hazard

mitigation techniques for offshore and coastal facilities. It is to be held in Japan in late 1999 or early 2000.

3. Future Plans

1 . Develop workshop agenda of the third U.S. -Japan Workshop on Wind and

Earthquake Engineering for Offshore and Coastal Facilities.

2. Coordinate, where possible, on-going research on wind and earthquake engineering

for offshore and coastal facilities of interest to the members of the Task Committee.

This includes sharing of research reports and publications where possible.

3. Since tsunamis have been less severe in the U.S. than in Japan, the U.S. has fewer

researchers in this specialty. The Task Committee, through its meetings and

workshops, encourages exchanges of ideas and joint study by U.S. and Japanese

investigators of tsunami events throughout the world.

4. Task Committee (K) will work within the framework of the U.S. -Japan Common

Agenda Program focusing on the issue of acceptable seismic risk guidelines for ports

and harbors.

5. Task Committee (K) will coordinate activities with the Pacific Earthquake Engineering

Research (PEER) Program on ports and harbors centered at the University of

Southern California.

556
REPORT OF NEW TASK COMMITTEE

SEISMIC INFORMATION SYSTEMS

Date: 13 May 1998

Place: National Institute of Standards and Technology, Gaithersburg, MD, USA

Attendees: U.S. -side- Dr. Stuart Nishenkb (Co-chairman) FEMA

Dr. William Roper (Co-chairman) USACE

Dr. Roger Borcherdt USGS

Dr. Mehmet Celebi USGS

Dr. Josephine Malilay CDC

Mr. Noel Raufaste NISI

Japan-side ~ Mr. Takaharu Kiriyama (Co-chairman) NLA

Dr. Hideki Sugita (Co-chairman) PWRI

Mr. Takao Masui NLA

Dr. Makoto Watabe Keio University

Mr. Keiichi Ohtani NIED

Dr. Keiko Ogawa Tohoku University

1. Objective and Scope of Work

The objective of this Task Committee is to improve understanding of earthquakes and

their societal impacts using seismic information systems (SIS), loss estimation

methodologies and computational models that describe the effects of seismic loading on

the built environment. The Task Committee will foster cooperation between the US and

II Japan policy and research community. It will be a principal Panel technical resource to the

Earthquake PoUcy Cooperation under the US-Japan Common Agenda.

The Task Committee will serve as a forum for exchanging information between the two

nations on identifying, developing, and reviewing data, systems, and methodologies

involved in SIS, earthquake loss estimation, geospatial and topographic information

systems, real-time seismic warning systems, and their application to earthquake disaster

mitigation, preparedness, emergency response, and recovery. The Task Committee also

will review various disaster information networks like the Global Disaster Information

Network (GDIN) and assess their applicability.

The scope of work for this Task Committee is as follows:

A. Plan and conduct T/C workshops and joint meetings to identify research topics and develop

joint research programs.

B. Review the principles, objectives, structure and uses of existing SIS systems, loss estimation

methodologies and real-time earthquake warning systems.

557
C. Review existing Geographic Information Systems (GIS), identify data structures and

operations required for successful integration into SIS. Results of this review may identify

applications to other natural disaster phenomena such as wind, storm surge, tsunami, and

flooding. If applicable, additional modules will be addressed in the future to be incorporated

into the system.

D. Facilitate the exchange of policy and research persormel, technical information, and data.

E. Assist in the coordination of policy initiatives and research projects in the US and Japan to minimize duplication and maximize the benefits of bringing together government, academic,

and private sector participants in these efforts.

F. Facilitate the publication and distribution of earthquake policy and research results related to SIS and the implementation of these findings in guidelines, codes, and standards

G. Provide technical assistance, consultation, and coordination of the Panel's affiliated research

organizations to support related work identified by the Common Agenda's Earthquake Policy

High Level Forum.

H. Facilitate the exchange of information between U S and Japan policy makers to promote the

application of SIS.

I. Develop promotional and demonstrative activities to stimulate public awareness and interest in these emerging technologies.

J. Disseminate the knowledge gained from this US-Japan cooperation to other nations.

K. This Task Committee will cooperate with the UJNR Panels on Earthquake Research and on

Fire Research and Safety to identify specific tasks of mutual interest.

L. L. This Task Committee will promote and exchange new developments in real-time data

acquisition, processing, and notification in conjunction with T/C (A).

2. Meeting Accomplishments

A. Tasks concerned with the establishment of this Task Committee have been completed,

including definition of the committee objectives and scope of work, establishment of

the initial membership, and development of fliture plans.

B. Committee Membership is proposed for government participants and candidate non- government participants are indicated.

Government Membership

U.S. -side- Dr. Stuart Nishenko (Co-chairman) FEMA

Dr. William Roper (Co-chairman) CORPS

Dr. Harley Benz USGS

Dr. Roger Borcherdt USGS

558
Dr. Mehmet Celebi USGS

Dr. William Ellsworth USGS

Mr. Richard Eisner State of California, OES

Dr. Walter Hays USGS

Dr. H. S. Lew NIST

Dr. Peter Ward USGS

Japan-side -- Mr. Kazuo Okayama (Co-chairman) NLA

Dr. Hideki Sugita (Co-chairman) PWRI

Mr. Akira Kinoshita GSI

Mr. Hiroshi Masaharu GSI

Mr. Akira Nagai JMA

Mr. A. Ito MRI

Dr. Hiroyuki Yamanouchi BRI

Mr. Tomofiimi Nozaki PWRI

Mr. Toshiaki Yokoi BRI

Dr. Izuru Okawa BRI

Mr. Atsushi Nozu PHRI

Dr. Keiichi Ohtani NIED

Proposed Non-Government Membership

U.S.-side ~ Dr. Scott Lawson

Dr. James Goltz

Mr. Ron Eguchi

Dr. David Simpson

Dr. Tim Ahern

Japan-side ~ Mr. Yoshiyuki Murayama Tohoku University

Dr. Keiko Ogawa Tohoku University

3. Future Plans

Plan and hold a joint workshop. The proposed time of the workshop is summer to autumn

of 1999. Further discussions on the time, theme, location of the workshop will take place over the next several months. This workshop would review national policies and

programs on earthquakes, use of real-time warning and notification systems, use of remote

sensing and geospatial sensors and analysis technology applications, use of real-time and

near-real time strong motion measurement, damage assessment and emergency response

systems, use of earthquake loss-estimation methodologies and emergency response

models.

A. Review current real-time and near real-time earthquake warning/notification

systems in the US and Japan, e.g. CUBE/TriNet in Southern California (USGS, CDMG, Caltech)

RMS

Caltech

EQE

IRIS

IRIS

559
REDI in Northern California (UC, Berkeley)

SCIGN (USGS, SCEC)

ODIN (US govt.)

MOC-Net (MOC)

JMA net (JMA)

B. Review real time and near real-time earthquake strong motion measurement,

damage assessment and emergency response systems in the US and Japan, e.g. Health Impact Surveillance System for Natural Disasters (ARC-CDC)

California Strong Motion Instrumentation Program (CDMG)

US National Strong Motion Program (USGS)

- GPS-LPS (USGS)

Kyoshin net (NED)

SIGNAL (Tokyo Gas)

SATURN (PWRI)

UrEDAS(JR)

C. Review earthquake loss estimation methodologies and emergency response

models, e.g. HAZUS (FEMA)

EPEDAT (EQE)

Early Estimation System (NLA)

Loss Estimation Model

Fire and Disaster Management Agency model (FDMA)

Local government models

560 "i^V.S. GOVERMENT PRINTING OFFICE: 1998 -433-235/93227
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