Earthquake Risk Analysis of Structures
Earthquake Risk Analysis of Structures
ABSTRACT: This paper first discusses the effect of the methods used to account for ground motion direction and soil
amplification on the prediction of structural vulnerability of buildings, and the vulnerability of various structural systems based
on studies employing the FEMA P-695 methodology. The paper also examines the effect of the method used to calculate
collapse risk. It is recommended that the calculation of risk uses the derivative of the fragility curve. Using the derivative of the
seismic hazard curve to calculate risk is more computationally expensive, may be unstable, and, depending on the method used,
may lead to inaccurate estimates of risk.
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Pseudo-acceleration (g)
probability levels. These values are based on the ground 1.2 SRSS
shaking from potential earthquakes identified in workshops. Maximum Direction
The recommendations from workshops are then peer- 1
reviewed by several science organizations and two expert 0.8
panels. The USGS updates the ground motion values
periodically, with the latest version—the 2008 United States 0.6
National Seismic Hazard Maps—adopted by ASCE 7-10 and 0.4
the 2009 NEHRP provisions (next version of ground motion
values is planned for 2014). The maps provide 0.2-second 0.2
and 1.0-second spectral accelerations, respectively, that have a
0
2% probability of being exceeded in 50 years—corresponding 0.5 1 1.5 2 2.5 3 3.5 4
to the so-called Maximum Considered Earthquake (MCE) Period (s)
ground motion. Spectral accelerations for other periods and
Figure 1. Spectral acceleration using different definitions.
recurrence intervals are provided (but not mapped).
In Europe, the Swiss Seismological Service coordinates a compared to two-dimensional analyses, all other factors being
collaborative project—called Seismic Hazard Harmonization equal. To remove this unconservative bias in collapse
in Europe (SHARE)—that provides ground motion values capacity, the ASCE 7-10 ground motion map adjusts
similar to those provided by the USGS. The SHARE project (increases) the USGS geomean uniform-hazard spectral
involves a core team of over 50 scientists from institutions accelerations to approximate maximum-direction demand
across Europe, North Africa and Turkey, along with [19]. The ASCE 7-10 (NEHRP) approximation is based on
additional experts participating in workshops [13]. The the ratio of maximum-direction to geomean spectral demand
European map provides peak ground accelerations that have a for near-field ground motions in the western US [16].
2% probability of being exceeded in 50 years. Ground motion Table 1 gives the ratio of maximum-direction to geomean
values for other probability levels can be accessed through the spectral demand for sets of ground motions used in FEMA P-
European Facility for Earthquake Hazard and Risk (EFEHR) 695 and in the development of ASCE 7-10.
[14]. The ratios reflect the fact that the maximum-direction
spectral acceleration depends on the ground motions. The
2.1 Directional Effects
ratios for far-field ground motion sets and for ground motion
Ground motion is a three-dimensional phenomenon that can sets intended for the central and eastern US can be quite
be described in terms of three components: one component in different from each other. For far-field ground motions in the
the vertical direction and two orthogonal horizontal western US, the median ratio is 1.20 and 1.27, for 0.2-second
components. Relative to a structure, the direction of ground and 1.0-second spectral accelerations, respectively. In the
motion and spectral acceleration may be based on the central and eastern US, these ratios are 1.28 and 1.35.
geometric mean (“geomean”) of two horizontal components. Figure 2 compares the ratio of maximum direction to
The USGS ground motions are based on the geomean because geomean spectral acceleration for the FEMA P-695 Far-Field
that description is embedded in the ground motion attenuation ground motion set with the NEHRP approximation. Note that
models [4, 15]. Alternatively, the direction may be based on the ratios using the FEMA P-695 method will differ for these
the square root of the sum of the squares (SRSS) of the two periods compared to the NEHRP approximation.
horizontal components, or the “maximum-direction” of the Based on data from Huang et al. [17] for the US, maximum-
two components. Maximum-direction spectral acceleration is direction to geomean spectral acceleration ratios of 1.2 and
determined by calculating the maximum spectral acceleration 1.3 are appropriate in the western US, whereas ratios of 1.3
based on both horizontal components for an entire orbit and 1.4 may be more appropriate in the central and eastern
(orientations from 0° to 360°). The maximum direction is the US, for 0.2-second and 1.0-second spectral accelerations,
orientation with the maximum spectral demand (identified by respectively.
the point on the orbit farthest from the origin) [16, 17].
To illustrate, Figure 1 compares the geomean, SRSS, and Table 1. Ratio of Max. Demand to Geomean Demand.
maximum-direction spectra for the 1999 Kocaeli, Turkey P-695 Huang et al. (2010)
earthquake ground motion recorded at the Duzce station Near-Field Western US Central
and
(FEMA P-695 Far-Field No. 9 [18]). The maximum-direction Far- No Far- Near- Eastern
spectrum envelopes the component and geomean spectra, but T (s) Field Pulse Pulse Field Field US NEHRP
is less than the SRSS spectrum. 0 1.2 1.21 1.25 1.18 1.21 1.23 1.1
The direction of ground motion effects structural response. 0.2 1.29 1.24 1.31 1.2 1.22 1.28 1.1
Three-dimensional analyses of buildings, subjected to two 0.5 1.32 1.26 1.31 1.23 1.29 1.32 1.2
orthogonal components of ground motion simultaneously, 1 1.3 1.27 1.37 1.27 1.31 1.35 1.3
show that structural collapse is predominately in the direction 2 1.39 1.41 1.4 1.27 1.31 1.39 1.3
of the stronger component [4]. As a consequence, the overall 3 1.34 1.33 1.31 1.27 1.31 1.35 1.35
4 1.27 1.48 1.35 1.31 1.37 1.4 1.5
structural failure rate is higher for three-dimensional analyses
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Proceedings of the 9th International Conference on Structural Dynamics, EURODYN 2014
1.5
risk-targeted motions. Site amplification is dependent on the
1.4 spectral acceleration, however, so it varies for different values
1.3 of hazard. Clearly, a more accurate risk analysis requires a
1.2
geotechnical investigation (where possible), or an estimate of
site response using proxy data, to obtain the soil-amplified
1.1 NEHRP / ASCE 7-10
hazard curve before integrating hazard and vulnerability.
1
0 0.5 1 1.5 2 2.5 3 3.5 4
Spectral period, Tn (s) 3 STRUCTURAL VULNERABILITY
Figure 2. Ratio of maximum-direction to geomean Sa. Structural vulnerability can be assessed by using empirical
data (e.g. [34]) or by employing analytical models. The
2.2 Site Response uniform-risk ground motion maps for the US are based on the
The ASCE 7-10 (NEHRP) procedure to account for site latter, and incorporate two important assumptions regarding
response is founded on correlating shear wave velocity in the structural vulnerability:
top 30 meters, Vs30 with ground motion amplification. The • The fragility curve (mathematically, the probability of
correlation is based on ground motion records in the San collapse versus spectral acceleration) is described using a
Francisco bay area [20], and response resolution limited to cumulative distribution function (CDF). Prior analytical
two spectral period bands—short periods (near 0.2 seconds) studies suggest that this distribution is appropriate [35,
and medium range periods (near 1.0 seconds)—because the 36, 37, 38]. It follows therefore that the fragility curve
design spectrum is defined by two periods. Although a may be defined by two points on the curve, or a point on
procedure using a broader range of spectral periods and Next the curve and the slope of the curve (the logarithmic
Generation Attenuation (NGA) relationships for the western standard deviation, or dispersion, β).
US [21] and similar refinements [22] have been proposed, the • The fragility curve is defined by assuming that the
method appears to work well in the western US [23]. structure is designed using ASCE 7-10, and that this
The Eurocode 8 procedure is similar to the NEHRP implies two conditions [39]: first, there is a 10%
procedure, except that site response factors are applied to the probability of collapse under the MCE-level spectral
entire spectrum (instead of period bands), and that there are demand for risk categories I and II; second, the
some differences in defining soil classifications. dispersion, β is estimated to be 0.8 including all
Improvements have been suggested for both the classifications uncertainties. Analytical studies performed during the
and the amplification factors [24], and for incorporating some development of FEMA P-695 and “other past research”
knowledge of the type and depth of the soil column [25]. [19, 39] form the basis for these conditions.
Nevertheless, site response is complex. Ground motion The application of the latter assumption to the risk analysis
amplification depends on the shear wave velocity profile and of new structures in the US is examined in this section by
thickness of the soil column, bedrock characteristics, the reviewing FEMA P-695 evaluations reported to-date in the
magnitude and depth of the soil-to-bedrock impedance literature. Included are steel moment frame and braced-frame,
contrast, and topographic effects, among other factors [26]. reinforced concrete moment-frame and shear wall, reinforced
As a consequence, various alternative site response masonry shear wall, and light-frame wood shear wall
procedures have been proposed [27, 25, 28]. structures.
The USGS uniform-hazard ground motions reference a
shear wave velocity, Vs = 760 m/s. This corresponds to the
boundary of the ASCE 7-10 soil classification of “rock” (site
class B) and “very dense soil and soft rock” (site class C).
Although the actual bedrock shear wave velocity in the central
and eastern US is much higher (three times or more) [29], site
class B was selected because it represented an average of the
rock sites used in the western US attenuation relationships
[30].
Where it is not possible to know site conditions with
certainty (such as when generating a ground motion map for
code adoption), a coarse estimate of ground motion
amplification can be correlated using geological data [28],
topographic data as a proxy for Vs30 [31, 32], or a combination
thereof [33]. Ground motion maps along these lines are Figure 3. Vs30 map of US based on topographic data.
proposed for Italy [11]. Vs30 values range from 180 m/s (blue) to 760 m/s (red).
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Table 5. Reinforced concrete shear-wall results. margins of wood buildings in the western US are significantly
Accept. lower than those in the central and eastern US due to regional
LFRS β PG No. Ω ACMR
10%
1 1.98 1.5
construction practices [48]. In this manner, it is possible that
2 1.54 3.18 wood structures may not necessarily have the performance
3 2.41 1.5 implied by conformance with ASCE 7-10.
Reinforced
concrete 4 3.88 5.71
1.96
Special SW 0.525 5 2.08 1.75 Table 7. Wood (light-framed) shear-wall results.
(R=5, 6 1.7 3.2 Accept.
Ω=2.5) LFRS β PG No. Ω ACMR
7 2.41 1.5 10%
0.5 1 2.2 1.89 1.9
8 3.52 4.65 Wood light-
frame wood 0.675 2 3.4 2.48 2.38
Ave 3.88 3.05
panels 0.675 3 4.1 2.91 2.38
1 2.85 1.77
(R=2, 0.675 4 3.6 3.18 2.38
2 3.43 5.8 Ω=2.5)
Ave 4.1 2.62
3 3.25 2.28
Reinforced
concrete 4 5.2 8.23
1.96 3.7 Discussion
Ordinary 0.525 5 2.85 1.77
SW (R=4, 6 2.37 6.42 To summarize this section, the available P-695 evaluations
Ω=2.5)
7 3.25 2.28 indicate that, on average, the assumed ASCE 7-10 fragility
8 3.37 9.38 curve is conservative in terms of the variability in response, at
Ave 5.2 5.06 least for structures that have been detailed for seismic
resistance. Yet, the conditional probability of collapse may
3.5 Reinforced Masonry Shear Walls
exceed 10%, even for structures designed using ASCE 7-10.
The vulnerability of reinforced masonry shear wall structures
is summarized in Table 6. Again, two types of shear walls are 4 COLLAPSE RISK
considered: special and ordinary [40]. Calculation of risk requires the integration of seismic hazard
The results indicate that many reinforced masonry curves and structural vulnerability (fragility) curves. The
structures do not pass the FEMA P-695 criteria. 1-, 2-, and 4- mean hazard exceedence frequency corresponding to an
story OMF shear wall buildings with low gravity loads pass, intensity measure (demand parameter) is shown in Equation 1.
but high gravity loads do not. Part of the poor performance is This equation means that hazard may be expressed as a
attributed to the low ductility capacity of short shear walls. probability that the intensity of an earthquake, A will exceed
Regardless of the reason for performance, the results again some level, a in a given year:
demonstrate that structures designed using ASCE 7-10 do not = | 1 (1)
necessarily meet the 10% probability of collapse assumption. For seismic hazard analysis, a commonly used intensity
measure is spectral acceleration. As noted earlier, one
Table 6. Reinforced masonry shear-wall results. example of a fragility curve is simply the probability of
Accept.
LFRS β PG No. Ω ACMR
10% collapse or failure, F conditioned on the occurrence of a
1 2 1.41 ground motion hazard value. The vulnerability of the
2 1.75 2.3 structure to the hazard (conditional probability of failure) is
Reinforced
3 2.12 1.69 calculated using Equation 2, where f(t) is the probability
masonry 4 1.75 2.25 density function of spectral acceleration:
1.96
Special SW 0.525 5 1.8 1.71
(R=5, 6 1.53 2.33
| (2)
Ω=2.5) Integrating hazard and fragility depends on the overall
7 1.71 1.95
8 1.5 2.28 approach. In a “deterministic” analysis, each fragility
Ave 2.12 1.99 ordinate is multiplied by the corresponding hazard probability
1 1.89 1.51 2.23 [49]. In probabilistic seismic hazard analysis (PSHA), there
2 2.08 1.54 2.38 are three analytically equivalent methods to integrate hazard
3 1.41 1.46 2.16
Reinforced and fragility.
masonry 4 1.99 1.96 2.38
Ordinary 0.525 5 1.91 1.98 2.23 4.1 Method 1: Numerical Derivative of Hazard Curve
SW (R=2, 6 1.67 2.69 2.38
Ω=2.5)
7 1.37 1.94 2.16
The integration of hazard and fragility is shown in the
8 1.64 3.19 2.38
following equation and is the so-called “risk integral” which
Ave 1.99 2.20 calculates an annual rate of failure, λF:
| (3)
3.6 Wood (Light-Framed) Shear Walls The failure rate usually refers to the collapse rate, λc which
can also be used to calculate the risk of collapse in an
The vulnerability of light-frame wood shear wall structures
exposure time (such as calculating the probability of collapse
(i.e. residential and small commercial buildings) is
in 50 years).
summarized in Table 7. The table is based on the results from
The minus sign accounts for the negative slope of the
the P-695 supporting study [18]. All performance groups
hazard curve (in PSHA the hazard curve is the probability of
pass, except the short-period low-aspect-ratio performance
exceeding a value so it decreases as the demand parameter
group. However a recent study shows that the collapse
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Proceedings of the 9th International Conference on Structural Dynamics, EURODYN 2014
data points is to fit the hazard curve with a function (usually a MCE
polynomial) and then take the derivative of that function when 10
−4
6
ground motion maps [53]. The alternate form is derived as
follows. Numerical Derivative
Given the risk integral: 5 of Hazard Curve
|
4
Let Derivative
Failure rate
| b) 3
of Fitted
| Hazard
Curves
which is the same as 2
and let 1
0
0 0.5 1 1.5 2
Spectral acceleration (g)
Invoking definite integration by parts:
0.02
| 0.018
0.016
|
0.014
|
Probability of failure
0.012
c)
1 0 0 1 0.01
0.008
(4) 0.006
Note that this form of the risk integral (Equation 4) requires 0.004
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For Method 2, various degree polynomials are fit to the Besides, using a curve-fit (Method 2) is not necessarily
hazard curve. The effect of the methods to determine the slope more accurate, because the derivative of the curve is unstable.
of the hazard curve is shown in Figure 4a. For the hazard The deaggregation of the risk is also different in each
curve, the black line is linearly interpolated in log-log space. method because the numerical integration of incremental
For the risk deaggregation curves (Figure 4b) the gray line is hazard (da) differs for each method. Thus, Method 1 and
based on the incremental slope, and colors represent a 3- Method 3 produce the same value of risk, but differ in terms
degree (cyan), 4-degree (blue), 5-degree (magenta), and 6- of hazard contributions, which is easily visualized using
degree (green) polynomial curve fit for the hazard curve. deaggregation. Deaggregation of collapse risk is analogous to
A 4-degree or more polynomial curve fit converges to the using deaggregation of ground motion to ascertain magnitude
same cumulative risk (Figure 4c). For very small spectral and distance pairs that are primary contributors to hazard [54].
accelerations (spectral acceleration less than 0.1g), a 5-degree Using Method 2, risk may be over- or under-estimated,
polynomial is a very bad fit (this effect is not visible in Figure depending on the shape of the hazard curve relative to the
4a). Using the derivative of the fitted polynomial hazard fragility curve. Hazard curve points are derived from
curve gives λc = 3.51×10-4 and risk = 1.74% (green line). interpolated data, so the validity of using a fitted curve is
Using the incremental derivative of hazard curve gives λc = questionable. Furthermore, fitted curves are sensitive at low
3.97×10-4 and risk = 1.97%. values of spectral accelerations. This may be an additional
Figure 5 shows a comparison between Method 1, Method 2 concern for ascertaining non-performance at lower hazard
using a 4-degree polynomial fit, and Method 3 (integration by levels (i.e. serviceability and immediate occupancy levels).
parts and the derivative of the fragility curve). Using Method
3 gives λc = 3.97×10-4 and risk = 1.97% (red line). 5 EXAMPLE APPLICATIONS
The method used to calculate risk may significantly affect Two example applications of earthquake risk are provided.
results. Both the contribution of different hazards to this risk First, the collapse risk of buildings that use partial restraint
(the deaggregation shown in the Figure 5a) and the cumulative composite connection (PR-CC) moment frames is assessed.
value of risk calculated (Figure 5b) may vary. The derivative Second, a collapse risk map of the US for a building using
of the fragility curve (Method 3) is a more stable approach non-ductile steel moment frames is produced.
compared to using the other methods, because the derivative
5.1 Example: Risk analysis of PR-CC buildings
of the hazard curve is avoided.
This example contrasts risk in a location with frequent
x 10
−3 seismicity, in the San Francisco bay area (38.0° N, 121.7° W),
1.2 and a location with infrequent seismicity, in the Memphis
MCE metropolitan area (35.2°, N, 89.9° W).
Collapse rate, P(C|Sa)*|dλ/dSa| (1/g/year)
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0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1
5.2 Example: Risk map for a non-ductile SMF building 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%
This example shows cumulative risk maps (risk of collapse in Figure 6. 50-year collapse risk for 4-story non-ductile building
50 years) for a 4-story non-ductile building in the US. The Assessment of collapse risk via the integration of hazard
risk maps (Figure 6) are based on the 2008 USGS hazard data and fragility is more stable when calculated using the
and structural vulnerability [55], considering only the moment derivative of the fragility curve. Using the derivative of the
frame (ignoring the gravity frame contribution). Risk is hazard curve to calculate risk is more computationally
calculated for every 0.5-degree latitude and longitude. Figure expensive, unstable, inaccurately determines the contribution
6a is based on assuming the B/C site class boundary (Vs30 = of hazard, and, depending on the method used, may lead to
760 m/s). Site response is included in Figure 6b based on grossly inaccurate values of risk.
NGA relationships and topographic data (shown in Figure 3). Of course, earthquake risk analysis should be viewed in
The comparison demonstrates the critical effect of site proper perspective. Interaction of hazards and vulnerability
response in earthquake risk analysis. Without incorporating and the corresponding calculated risk may be amplified or
site response, the map would infer that non-ductile structures attenuated by public response. In other words, in addition to
are only prone to collapse in high-seismic zones. calculating risk, an overall assessment should include
political, psychological, sociological, and cultural factors [56].
6 CONCLUSIONS
Political factors especially amplify risk [57]. Additionally,
Ground motions for risk analysis should reflect regional and risk may be compounded in “megacities,” where there is a
local differences in seismic hazard. For example, in the concentration of populations and infrastructure [58, 59, 60].
western US, the ratio of maximum-direction to geomean Society’s acceptance of risk is also complex and changing.
spectral acceleration is approximately 1.2 and 1.3, for 0.2- Voluntary risks, such as driving automobiles and air travel,
second and 1.0-seconds, respectively, whereas in the central are tolerated more compared to involuntary risks associated
and eastern US ratios of 1.3 and 1.4 are more appropriate. with earthquakes [61]. Yet even with that distinction, the
Risk targeted motions can benefit from topographic data in degree of risk tolerated by society is a moving target.
order to predict soil amplification for design when site Earthquake risk analysis is limited by poor resolution of site
investigations have not been performed a priori. Adjusting for response, aleatoric uncertainty (although this is partially
soil site conditions later in the design process may accounted for), epistemic uncertainty [62], and rare-event
substantially under- or over-estimate risk. dispersion (uncertainty tends to dominate for extremely rare
Risk analysis is improved through fragility curves that events). Instead of “predicting” collapse, earthquake risk
recognize system-dependent vulnerability. Structures, short- analysis is more appropriately used as a tool to help allocate
period structures in particular, may not provide a 10% or less resources and determine policies that reduce loss of life,
conditional collapse probability. downtime, and monetary damages in the community [2].
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ACKNOWLEDGMENTS [22] E. Seyhan, J. P. Stewart. Site response in NEHRP provisions and NGA
models. Geotechnical Engineering State of the Art and Practice,
This research was supported by the U.S. National Institute of Proceedings, Geo-Congress, March 25-29, Oakland, California, 2010.
Standards and Technology grant No. 60ANB10D107. The [23] R. D. Borcherdt. Empirical evidence for site coefficients in building
views presented in this paper are solely those of the authors. code provisions. Earthquake Spectra 2002, 18(2): 189–217.
[24] K. Pitilakis, E. Riga, A. Anastasiadis. Design spectra and amplification
factors for Eurocode 8. Bulletin of Earthquake Engineering 2012, 10(5):
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