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Performance-based design in earthquake


engineering: State of development

Article in Engineering Structures August 2001


DOI: 10.1016/S0141-0296(01)00036-0

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Engineering Structures 23 (2001) 878884
www.elsevier.com/locate/engstruct

Review Article
Performance-based design in earthquake engineering: state of
development
*
Ahmed Ghobarah
Department of Civil Engineering, McMaster University, Hamilton, Ontario, Canada L8S 4L7

Received 28 February 2001; received in revised form 17 March 2001; accepted 17 March 2001

Abstract

The design objectives in current building codes address life safety, control damage in minor and moderate earthquakes, and
prevent collapse in a major earthquake. However, the actual reliability of the design in achieving the objectives is not known. There
is a general agreement among researchers and professionals that future seismic design needs to be based on achieving stated multiple
performance objectives. Future seismic design practice will be based on explicit performance criteria that can be quantified, consider-
ing multiple performance and hazard levels.
There are several challenges to be addressed before procedures for performance-based design can be widely accepted. The
development in performance-based design in seismic engineering will be directed towards the definition of performance objectives,
a general design methodology, issues of ground motion modeling, and demand and capacity evaluations. 2001 Elsevier Science
Ltd. All rights reserved.

Keywords: Performance based-design; Performance objectives; Earthquake hazard; Design criteria; Design procedures; Evaluation; Challenges;
Future trends

1. Introduction formance-based design is a more general design philo-


sophy in which the design criteria are expressed in terms
In several countries, seismic design is in the process of achieving stated performance objectives when the
of fundamental change. One important reason for the structure is subjected to stated levels of seismic hazard.
need for change is that although buildings designed to The performance targets may be a level of stress not to
current codes performed well during recent earthquakes be exceeded, a load, a displacement, a limit state or a
such as the 1994 M6.7 Northridge and 1995 M7.2 Han- target damage state.
shinAwaji (Kobe) earthquakes from a life safety per- The idea of designing the structure based on perform-
spective, the level of damage to structures, economic ance objective is not new. A limit state is a form of
loss due to loss of use, and cost of repair were unexpec- performance objective. Target displacement was first
tedly high. applied as the response parameter of a substitute single-
Conventional methods of seismic design have the degree-of-freedom (SDOF) system [1]. The structural
objectives to provide for life safety (strength and response in terms of displacement can be related to
ductility) and damage control (serviceability drift limits). strain-based limit state, which in turn is assumed to be
The design criteria are defined by limits on stresses and related to the level of damage. For a defined performance
member forces calculated from prescribed levels of of a structure in terms of a state of damage, strain and
applied lateral shear force. In the current code design deformation give better indicators of damage than
procedures, there are uncertainties concerning the seis- stresses [2]. The use of serviceability limit strains
mic demand and seismic capacity of the structure. Per- enables a consistent level of assessment to be achieved.
To reduce the high costs associated with loss of use and
repair of heavily damaged structures, different levels of
* Tel.: +1-905-525-9140 ext. 24913; fax: +1-905-529-9688. performance objectives need to be considered. In effect,
E-mail address: ghobara@mcmaster.ca (A. Ghobarah). performance based-design is a powerful new approach

0141-0296/01/$ - see front matter 2001 Elsevier Science Ltd. All rights reserved.
PII: S 0 1 4 1 - 0 2 9 6 ( 0 1 ) 0 0 0 3 6 - 0
A. Ghobarah / Engineering Structures 23 (2001) 878884 879

that includes traditional methods of seismic design with summary of trends and challenges, and review the most
significant upgrades. important contributions in the field.
There have been different interpretations of what is
meant by performance-based design [35]. The most
appropriate definition is that performance-based design 2. State of development
refers to the methodology in which structural design cri-
teria are expressed in terms of achieving a set of per- There is increasing agreement among researchers and
formance objectives. The state of practice and trends in professionals that future seismic design needs to be
performance-based design and performance evaluations based on achieving multiple performance objectives.
were discussed in several recent articles [612]. However, there are divergent viewpoints on the meaning
Performance-based design and displacement-based of performance-based design and its methods of
design have been used interchangeably. This is based on implementation. Three documents are credited with lay-
the idea that performance objectives can be related to ing the foundation for performance-based design con-
the level of damage to the structure, which in turn can cepts: SEAOC Vision 2000 [3]; ATC 40 [4]; and FEMA
be related to displacements and drift. However, this 273 and 274 [5]. The documents attempted to develop
assumption is an oversimplification since the level of procedures that can be used as seismic provisions in
damage is influenced by several other parameters such as building codes.
the accumulation and distribution of structural damage, The goal of SEAOC Vision 2000 [3] is to develop the
failure mode of elements and components, the number framework for procedures that lead to design of struc-
of cycles and duration of the earthquake, and the acceler- tures of predictable seismic performance and is able to
ation levels as in the case of secondary systems. An accommodate multiple performance objectives. The
attempt to develop a procedure to correlate damage of document presents the concepts and addresses the per-
various structural systems to drift, taking into account formance levels for structural and nonstructural systems.
various ground motion characteristics, was made through Five performance levels are described with specified
the use of a damage index [13]. For effective design limits of transient and permanent drift. It is suggested
criteria, the correlation between damage and drift must that capacity design principles should be applied to guide
be calibrated against the performance of structures in the inelastic response analysis of the structure and to
actual earthquakes. In fact, displacement-based design designate the ductile links or forces in the lateral-force-
may be thought of as a subset of performance-based resisting system. Possible design approaches include
design. The performance target can be any response various elastic and inelastic analysis procedures such as:
parameter attached to a certain threshold. A single (1) conventional force and strength methods; (2) dis-
design parameter such as displacement or drift may not placement-based design; (3) energy approaches; and (4)
adequately control all performance objectives for struc- prescriptive design approaches.
tural and nonstructural systems [14]. For example, force- In the Applied Technology Council ATC 40 document
or stress-based criteria are more appropriate for short [4], performance-based design refers to the methodology
period structures, when trying to achieve pre-yield limit in which structural criteria are expressed in terms of
state, than displacement-based criteria. achieving a performance objective. The document is lim-
Performance-based earthquake engineering (PBEE) is ited to concrete buildings and emphasizes the use of the
a more encompassing concept that includes design, capacity spectrum method. The procedure involves
evaluation and construction engineering [15]. The determining the capacity and demand spectra. To con-
Pacific Earthquake Engineering Research (PEER) Center struct the capacity spectrum, the forcedisplacement
has PBEE as its principal focus for research and devel- curve of a point on the structure is determined using
opment. Some progress has been made over the past nonlinear static (pushover) analysis. The forces and dis-
three years in the development of a global framework placements are converted to spectral accelerations and
and in various research aspects. spectral displacements using an equivalent SDOF sys-
The general methodology for performance-based tem. The demands of the earthquake are defined by
design may include various approaches. In one approach, highly damped elastic spectra. At the performance point,
traditional force-based analysis is conducted and, after the seismic capacity is assumed equal to the demand,
the design is completed, the deformation and damage which provides an estimate of acceleration (strength) and
may be estimated and checked against established dis- displacement (demand). The probability of occurrence of
placement limits. Other approaches may start by estab- the earthquake may be related to the risk of occurrence
lishing the displacement or drift associated with a certain of the associated damage state. Not all the components
performance, proportion the structure and then conduct of the procedure are well established. For example, an
the response analysis [16,17]. attempt was made to develop relationships between duc-
The objective of this study is to evaluate the state of tility and damping using perfect, hardening and softening
development of performance-based design, present a models [18]; however, further research and development
880 A. Ghobarah / Engineering Structures 23 (2001) 878884

are required. Although the capacity spectrum is simple, Table 1


the theoretical basis and physical interpretations are Performance levels, corresponding damage state and drift limits
questionable [3,6]. Performance level [35] Damage state Drift [3]
The Federal Emergency Management Agency FEMA
273 document [5] presents a variety of performance Fully operational, Immediate
No damage 0.2%
objectives with associated probabilistic ground motions. occupancy
Analysis and design methods for the multi-level per- Operational, Damage control,
Repairable 0.5%
Moderate
formance range from linear static to inelastic time his- Life safe Damage state Irreparable 1.5%
tory analysis. The document defines performance levels Near collapse, Limited safety,
Severe 2.5%
for nonstructural elements and systems and proposes Hazard reduced
drift limits for various lateral-load-resisting structural Collapse 2.5%
systems at different performance levels.
An action plan for the development of new design
procedures and guidelines, directed towards the estab- quantitative estimates of driftdamage relationships. In
lishment of performance-based seismic design for new addition, design criteria that apply to various parameters
buildings and the upgrading of existing buildings, was may be required by different performance objectives. To
proposed [19]. The action plan outlines studies needed implement performance-based design, there is a need for
to define performance goals; development of design consensus on the number and definition of performance
guidelines and commentary; and conduct of cost/benefit levels, associated damage states, and design criteria.
case studies. Structural system performance can also be quantified
A workshop on performance-based design for the using a reliable damage index such as that based on dis-
future generation of codes produced a valuable collec- placement ductility and hysteretic energy [13,28]. The
tion of 36 focused research articles [20]. The articles in performance of the contents of the structure and second-
this important document address concepts, philosophy, ary systems may be quantified using damage indices
design methodologies and various applications of per- based on different parameters such as floor acceler-
formance-based design. ation levels.
Recent studies investigated the application of per- Performance levels are associated with earthquake
formance-based design to specific structural systems hazard and design levels. Some of the proposed earth-
such as concrete [16,21] and steel [22] moment-resisting quake hazard levels are listed in Table 2.
frames; structural walls [16,23,24]; bridge columns [25]; There are unresolved issues concerning the need to
flat slab systems [26]; and lifeline electric utility build- improve our quantitative understanding of site-specific
ings [27]. An interesting comparison was made between ground motion characteristics, their likely effects on
force-based and displacement-based assessments with structures, and some aspects of near-field effects. This
the application of displacement-based seismic assess- research will lead to reduced uncertainties and the devel-
ment methodology to reinforced concrete structures [16]. opment of improved procedures for prediction of seis-
mic demands.

3. Performance objectives
4. Design evaluation
Performance objectives are statements of acceptable
performance of the structure. The performance target can Acceptable procedures for design evaluation include:
be specified limits on any response parameter such as (1) elastic analysis; (2) component-based elastic analysis
stresses, strains, displacements, accelerations, etc. It is procedure; (3) simplified nonlinear analysis methods;
appealing to express the performance objective in terms
of a specific damage state or the probability of failure Table 2
against a prescribed probability demand level [3,13]. Proposed earthquake hazard levels
Various documents [35] promote the same concepts but
differ in detail and specify different performance levels. Return
Earthquake frequency period in Probability of exceedance
Some of the suggested performance levels can be years
grouped in equivalent categories as listed in Table 1.
It is recognized that drift levels associated with spe- Frequent 43 50% in 30 years
cific damage categories may vary considerably with the Occasional 72 50% in 50 years
structural system and construction material. An attempt Rare 475 10% in 50 years
5% in 50 years or 10% in
was made to define drift levels for different structural Very rare 970
100 years
systems and materials [3]. However, more research is Extremely rare 2475 2% in 50 years
needed, particularly in the development of realistic and
A. Ghobarah / Engineering Structures 23 (2001) 878884 881

and (4) dynamic nonlinear time history analysis. Simpli- [35] attempted to provide procedures that can be used
fied nonlinear analysis methods are based on pushover as seismic provisions of building codes, these develop-
analysis to determine capacity and on design spectrum ments require much supporting research in several areas
to represent demand. Some of the recent developments [20,36]. Some of the cited reasons are the current limited
include inelastic spectra [29], yield point spectra [30] ability to accurately predict deformation demands and to
and the N2 method [31]. At each design step, design accurately predict the inelastic building behavior [37].
evaluations may involve response parameters such as the There are several sources of uncertainties inherent in
stresses, drift and deformation, structural accelerations, the performance-based design process. The expectation
ductility demand ratios, and energy dissipation in terms that the approach will produce structures with predict-
of demand versus capacity. Typical limiting values for able performance may be only achieved in probabilis-
these response parameters need to be established for tic terms.
each performance level through research including lab-
oratory testing of specific components. The limiting 5.1. Design criteria
values may be calibrated by analyzing buildings that
have experienced measurable damage in seismic events A fundamental question in performance-based design
for which strong motion records are available. is to validate the appropriateness of the selected per-
The most realistic verification process is the prediction formance levels, the specific parameters used to define
of deformation and forces from inelastic time history their minimum performance, and the seismic hazard
analysis. For the analysis to be reliable and credible, it definitions. For the case of three performance levels
is necessary to ensure that: (serviceability, damage control and life safety or collapse
prevention), three corresponding structural character-
appropriate site-specific ground motion with specified istics (stiffness, strength and deformation capacity)
hazard level can be generated with confidence; dominate the performance as illustrated in Fig. 1. If more
the structural model is realistic; intermediate performance levels are selected, then it
the cyclic loaddeformation model for each element becomes difficult to define which structural character-
is representative of the behavior; istics dominate the performance. It can be argued that
analysis procedures and interpretation tools are different performance objectives may impose conflicting
reliable; and demands on strength and stiffness [13]. Much research
identification of modes and sequence of element and is needed to associate the displacement or drift limits
component failure are also realistic. with the damage states and the stated general perform-
ance objectives. The displacements or drift limits are
The static nonlinear pushover analysis may provide also functions of the structural system and its ability to
much of the needed information. In the pushover analy- deform (ductility). Design criteria may be established on
sis, the structure is loaded with a predetermined or adapt- the basis of observation and experimental data of defor-
ive lateral load pattern and is pushed statically to target mation capacity. For example, near the collapse point,
displacement at which performance of the structure is the drift limits of structural walls are different from a
evaluated [32,33]. The target displacements are esti- moment-resisting frame, which suggest that different
mates of global displacement expected due to the design structural systems will undergo unequal displacements.
earthquake corresponding to the selected performance Other issues related to the damage evaluation are the
level. Recent studies addressed limitations of the pro-
cedure [34] and the selection of lateral load distribution
including adaptive techniques to account for the contri-
bution of higher modes in long period structures [35].

5. Challenges and future trends

There are several challenges to be addressed before


procedures for performance-based design can be agreed
upon and generally accepted. These challenges are in the
areas of design criteria; probabilistic characterization of
capacity and performance; development of general
design procedures for multi-performance and hazard lev-
els; and analysis and modeling of the inelastic behavior
of structures for the realistic determination of transient
and residual deformations. Although several documents Fig. 1. Typical performance curve for the structure.
882 A. Ghobarah / Engineering Structures 23 (2001) 878884

quantification of the relationship between building resto- of element damage. Nonlinear static pushover analysis
ration time/costs and earthquake hazard level. It is of coupled with new methods (other than SDOF-based
interest to identify the damage level at which building spectra) to determine demand, or nonlinear inelastic
restoration becomes impractical, which represents the dynamic analysis, may provide a more reliable predic-
state of irreparable damage. tion of the performance.

5.2. Design methodology

A major challenge to performance-based design is to 6. Conclusions


develop an efficient and effective general methodology
for the design of structures at multiple performance and
There is general agreement that future seismic design
hazard levels. Improved procedures are needed for the
needs to be based on defined multiple performance
assessment of strength and deformation capacities of
objectives and associated earthquake hazard levels. The
structural elements, components and systems at all per-
advantage of performance-based design is the possibility
formance levels. Addressing multiple performance
of achieving predictable seismic performance with uni-
objectives will require more complex and time-consum-
form risk. However, the reliability of the approach may
ing analytical techniques to evaluate the building per-
ultimately depend on the development of explicit and
formance to more than one earthquake demand level.
quantifiable performance criteria that can be related to
This is expected to increase building development and
the response parameters (which can be calculated) such
design cost. These analysis procedures need to be cali-
as stresses, strains, displacements, accelerations and
brated and their adequacy verified [38]. Eventually, con-
their derivatives.
sideration needs to be given to the complete soilfoun-
The developments in performance-based design in
dationstructure system, all nonstructural systems and
seismic engineering will be directed towards a general
components and the building contents. Appropriate
design methodology that permits performance-based
acceptance criteria for site performance in terms of per-
design at multiple performance and hazard levels, and
missible foundation settlements, lateral spreading,
with due consideration given to the complete soilfoun-
liquefaction and faulting will need to be established for
dationstructure system, nonstructural systems and
each performance objective.
components and the building contents.
The framework for a unified seismic design approach
5.3. Deformation-controlled design
could be based on performance-based design concepts
for multiple performance levels. However, much
The most suitable approach to achieve the objectives
research and development remain to be done before such
of performance-based seismic design with displacement-
a design methodology can be implemented.
based performance objectives appears to be the defor-
mation-controlled design approach. It is anticipated that
deformation-controlled design will be implemented in
future codes, both by enhancing force-based design
7. Introduction to references
through verification of deformation targets and by the
development of direct deformation-based design pro-
cedures [16,17]. The following references are of outstanding interest:
Computer tools are needed to predict the inelastic
dynamic response of complex structures. Extensive
A comprehensive framework for performance-based
efforts are believed to be necessary to develop versatile
design procedures to achieve multi-performance
and robust, yet efficient, numerical standard programs to
objectives is detailed in Ref. [3].
simulate seismic response of three-dimensional struc-
Ref. [5] deals with multi-level performance with asso-
tures taking into account various nonlinearities. It is
ciated probabilistic earthquake ground motion and a
necessary that these tools be design-oriented rather than
variety of performance objectives. Analysis method-
research-oriented.
ologies range from linear static to inelastic time his-
The general design methodology may have to go
tory.
beyond the methods that assume a single-degree-of-free-
A workshop on performance-based design and the
dom representation of the structure. This assumption
future code developments produced a valuable collec-
results in severe restrictions on the reliability of the esti-
tion of 36 focused research articles, and this is listed
mated performance. At the risk of sacrificing simplicity,
as Ref. [20].
it is important to obtain a good estimate of the local
displacements within the structure, take higher-mode
effects into consideration, and account for the sequence Refs. [4,14,16] are also of special interest.
A. Ghobarah / Engineering Structures 23 (2001) 878884 883

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