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Received 28 October 2002; received in revised form 12 May 2003; accepted 16 May 2003
Abstract
An overview of the structural performance of a transfer structure in Hong Kong under potential seismic actions is presented. A
hypothetical but realistic low-rise building model has been developed comprising a seven-storey reinforced concrete frame structure
with reinforced concrete transfer beams at first floor level. Structural design has been based on the British Standard BS8110 and
local practices. Parametric analyses of the momentcurvature relationship of each component have been conducted. By adopting
the displacement-based (DB) approach, various seismic assessment methodologies, including response spectrum analysis (RSA),
manual calculation, pushover analysis (POA) and equivalent static analysis (ESA) have been implemented. The deformations induced
by the predicted seismic actions in Hong Kong are compared with those arising from POA in terms of average lateral drift ratios
and maximum interstorey drift ratios arising in the building. Factors influencing the performance of this form of transfer structure
are highlighted and discussed. This paper also provides a general indication of seismic vulnerability of common low-rise transfer
structures in regions of low to moderate seismicity.
2003 Elsevier Ltd. All rights reserved.
Keywords: Earthquakes; Wind; Transfer structure; Low-rise buildings; Spectral displacement; Drift
1. Introduction design codes, have not been designed for seismic resist-
ance. The safety of those buildings is therefore as a mat-
Hong Kong, like other mega-cities including Singa- ter of concern under a potential earthquake with moder-
pore, Shanghai, Bangkok, London and New York, is not ate levels of design ground shaking. Seismic engineers
located at the high seismicity region. Transfer structures and researchers [13] pointed out that under cyclic earth-
are widely used, for both low-rise and high-rise build- quake loads, concentrated stresses and large lateral dis-
ings, to provide flexibility in different architectural placement demands may occur at locations in a structure
arrangements above and below the transfer structures. where there is significant change in lateral stiffness. For
Transfer structure can be defined as either flexural or this situation, seismic codes often require the use of
shear structures which transmit heavy loads from col- more elaborate methods of dynamic analysis together
umns or walls acting on its top and redistribute them to with more stringent detailing requirements for the trans-
the supporting columns or walls. Various forms of trans- fer structures, to ensure that the high levels of drift and
fer structures are introduced in high and low-rise build- ductility demands are sustainable without major damage
ings, examples being transfer plates (TP) or transfer gir- or collapse.
ders (TG) employed for high-rise residential and The China Academy of Building Research Institute,
commercial buildings, whilst transfer beams (TB) are CABRI [4] presented detailed design and construction
commonly used for low or medium-rise buildings. Exist- practices for transfer structures in high-rise commercial
ing buildings in Hong Kong, following the traditional and residential buildings in Hong Kong and the neigh-
bouring cities of Shenzhen, Guangzhou, along with Beij-
ing. More than 20 transfer structure buildings with dif-
Corresponding author. Fax: +852-2559-5337. ferent forms such as plates, beams, boxes and trusses
E-mail address: klsu@hkucc.hku.hk (R.K.L. Su). were reviewed. Various design procedures for transfer
0141-0296/03/$ - see front matter 2003 Elsevier Ltd. All rights reserved.
doi:10.1016/S0141-0296(03)00121-4
1538 J.H. Li et al. / Engineering Structures 25 (2003) 15371549
structures under seismic loads were suggested. Ng and 2. Structural details of the seven-storey TB
Liu [5] presented the seismic design procedure using building
both response spectrum and time-history analyses for the
design of a medium-rise building with TP in Beijing. 2.1. Overall structural layout
Tsang [6] conducted a comprehensive survey of TP
high-rise buildings in Hong Kong, which found that the A hypothetical but realistic two-dimensional seven-
thickness of those TP is ranging from 2 to 4 m. Further- storey reinforced concrete structure model (as shown in
more, the superstructure constructed above the TP level Fig. 1a) has been developed with reference to a local
was found to be typically 3050 storeys high, with an school building (Fig. 1b). This model consists of a low-
average of 40 storeys. The structural forms above and rise framed structure 28.9 m high and 23.7 m wide with
below the TP often consist of either shear walls or core a TB at its first floor. Base columns are assumed to be
wall plus mega-columns. Su et al. [3,7] have conducted fully fixed at ground level, with vertical span of 8.05
seismic assessment of a high-rise residential building m. Detailed arrangements of the columns and beams are
with transfer structure using various methods comprising shown in Fig. 1a. The design wind load is derived in
equivalent static analysis (ESA), response spectrum accordance with the Hong Kong Wind Design Code [10]
analysis (RSA) and pushover analysis (POA). Their for a 50 year return period. Static load analysis has been
results indicated that RSA provides the most reliable and conducted using the commercial program ETABS Ver-
accurate of all the seismic assessment methods. Based sion 7.22 [11]. It was found that the design is controlled
by the load combination of dead plus live loads and not
on the above-mentioned studies, it is found that most of
by wind load as would be the case of high-rise buildings
the seismic assessments of transfer structures in Hong
[3]. The distributions of bending moment and axial force
Kong and China have focused on high-rise buildings
for the building under such load combination are shown
with TP. No studies have been conducted to date on low-
in Fig. 2.
rise buildings with TB. Such structures are also a very
common arrangement in Hong Kong for schools and 2.2. RC details of columns and beams
shopping complexes in multi-storey podiums.
The aims of this paper are (i) to determine the most Based on the British Standard BS8110 [12], all col-
appropriate seismic assessment methodology for low- umns and beams have been designed and the results for
rise buildings with TB amongst various different typical members are given in Table 1. The reinforcement
approaches which can be undertaken within the concrete (RC) details of a typical base column in accord-
resources generally available in a design office, (ii) to ance with Hong Kong construction practice (which does
highlight and discuss factors influencing the response not require explicit consideration of seismic actions) are
behaviour of such transfer structures, and (iii) to provide shown in Fig. 3a. Each 6751600 mm rectangular col-
a general indication of their seismic vulnerability under umn is reinforced along the section by totally 28 num-
moderate levels of ground shaking. bers 40 mm diameter high tensile steel reinforcement
In the present study, particular emphasis has been (with yield strength of 460 MPa), which gives a longi-
placed on the potential development of the soft storey tudinal reinforcement ratio of approximately 3.3%. Note
effect. In conducting this displacement-based (DB) that the lateral concrete confinement of columns in Hong
assessment, the corresponding seismic displacement Kong, based on current design practice, is generally very
demands for the structure (built either on rock or deep low, as there is no provision for seismic detailing. A
soil sites) were determined based on the design response typical base column is confined by 10 mm diameter rec-
spectra of Lam et al. [8] and Chandler et al. [9]. The tangular links at a uniform spacing of 300 mm centres,
deformations induced by the predicted seismic actions which is equivalent to only 0.07% transverse reinforce-
in Hong Kong are compared with those arising from ment volumetric ratio. The external frame columns
POA in terms of the average lateral drift ratios and above the TB are 600900 mm rectangular columns
maximum interstorey drift ratios of the building. The reinforced by totally 12 numbers 32 mm diameter high
critical failure mechanism and most vulnerable regions tensile steel reinforcement, and confined by 10 mm
of the structure are thereby identified. Different load pat- diameter rectangular links at a uniform spacing of 300
terns for POA have been considered, and it is found that mm centres (as shown in Fig. 3b), which gives approxi-
the POA procedure is sufficient to assess the displace- mately 1.8% longitudinal reinforcement ratio and 0.04%
ment capacity of a low-rise building when more than one transverse reinforcement volumetric ratio. The RC
load pattern has been introduced for the analysis. details of columns are symmetric about their principal
geometric axes. Beams, however, have asymmetric RC
details about their principal geometric axes. The RC
details of the typical TB with label B2 at mid-span (see
Fig. 1a) is shown in Fig. 3c. TB B2 is reinforced by four
J.H. Li et al. / Engineering Structures 25 (2003) 15371549 1539
Fig. 1. Example transfer buildings: (a) idealized model, (b) local school building.
Fig. 2. Force distributions under the critical load combination: (a) moment distribution, (b) axial force distribution.
layers of totally 50 numbers high tensile steel reinforce- and ultimate moment capacities of the momentcurva-
ment with one additional layer of hanger bars at the top ture relationships under ultimate vertical (axial) loading
of beam with 5 numbers 20 mm diameter high tensile conditions. Fig. 3 shows example results for the base
steel. The total longitudinal reinforcement ratio of the column, typical external column and the TB at mid-span.
TB is approximately 1.6%. The idealized momentcurvature relationships (adopting
the procedure recommended by ATC-40, [14]) for the
columns and TB at ultimate axial loading, are shown in
3. Ductility capacity of columns and beams Fig. 3 and will be used for the subsequent POA. Five
points labelled A, B, C, D, and E are used to define the
3.1. Momentcurvature analyses momentcurvature response of the critical section of a
plastic hinge. The response begins from the unloaded
Extensive momentcurvature analyses for columns condition A, and is linear to an effective yield, B, fol-
and beams have been conducted using the computer pro- lowed by yielding (possibly with strain hardening) to
gram RESPONSE [13] under ultimate and working load- point C, followed by strength degradation to point D,
ing conditions. Table 2 summarizes the yield curvatures and then final collapse and loss of gravity load capacity
1540
Table 1
Result of RC design for typical members
RC columns
Member Section B D Area (mm2) Ultimate axial force (MN) Ultimate Shear (MN) Reinf. req. Reinf. prov. % Link
moment (mm2) (mm2)
(MNm)
Base column 6751600 1,080,000 17 7.9 2 34,560 35,280 28(T40) 3.27 T10300
External typical column 600900 540,000 7 1.6 1 7200 9646 12(T32) 1.79 T10300
Internal typical column 600900 540,000 6 1.3 0.6 9000 8038 10(T32) 1.49 T10300
RC beams
Member Section B D Area (mm2) Ultimatea moment (MNm) Shear (MN) Reinf. req. (mm2) Reinf. prov. % Link
(mm2)
Note: D.S., double stirrup; S.S., Single stirrup. Material properties: concrete grade 40D (fcu = 40 MPa); modulus of elasticity EC = 24 GPa; highly deformed bar (fy = 460 MPa) is adopted for
all steels including longitudinal and transverse reinforcement.
a
The produced moment under ultimate load combination.
J.H. Li et al. / Engineering Structures 25 (2003) 15371549 1541
Table 2
Summary of the momentcurvature analyses
Columns
Member (see Fig. 1) Load condition Effective (notional) yield Ultimate yield curvature fu Curvature ductility ratio fu /fy Ultimate moment capacity
curvature fy (radian/1000 m) (radian/1000 m) (MNm)
Base Ultimate axial load (=17 MN) 2.2 5.7 2.6 8.0
Exterior Ultimate axial load (=7 MN) 4.2 9.8 2.3 2.0
Interior Ultimate axial load (=7 MN) 3.8 9.1 2.4 1.7
Beams
Axial force Positive Negative Positive Negative Positive Negative Positive Negative
Note: The RC details of columns and beams are symmetric and asymmetric, respectively, about their principal geometric axes.
J.H. Li et al. / Engineering Structures 25 (2003) 15371549 1543
according to Eq. (3). In particular, for rectangular cross- by the lateral drift capacities of the base columns. Thus
sections, the initial yielding of the reinforcement (located the assessment of the ductility capacity of the low-rise
furthest away from the neutral axis) occurs at a curvature building has found to be more complicated whilst and
well below that of overall yielding of the entire cross- the simplified method derived in Ref. [3] for the TP
section, the latter indicating the formation of the plastic high-rise buildings cannot be adopted for the analysis of
hinge mechanism. It is estimated that the notional yield a low-rise transfer structure.
curvature (fy) is in the order of twice the incipient yield
curvature (fy) [19]. Thus, fy is taken to be approxi-
mately 2.1 radian/1000 m. 4. Seismic demands imposed on building
Note that the above assessment implies an extremely
low curvature ductility capacity of ~2.5 (i.e. 5.0 / 2.1). 4.1. Modified lateral stiffness of building
An alternative procedure to determine curvature ductility
based on research in New Zealand can be found in Wat- Determining the actual stiffness of reinforced concrete
son et al. [20] which was based on the original work of is not straightforward, as it depends on a number of fac-
Mander et al. [18]. However, a much higher curvature tors including the strain rate, aging, steel ratio and extent
ductility ratio of 8 was obtained. The discrepancies high- of cracks in concrete under tensile loads. Typical elastic
light the need to exercise caution when applying empiri- modulus of concrete can be determined either from
cal relationships, which can be based on very different codes of practice or from a uni-axial compressive test.
parameter ranges and assumptions. The effects of transient load application and aging may
The result from hand calculation is in good agreement increase the modulus by approximately 40% and 10%,
with the notional yield curvature fy (~2.56 radian/1000 respectively [12,21]. In addition, the elastic modulus of
m) obtained from the RESPONSE [13] analysis. This reinforced concrete may be slightly increased by 10
indicates that using RESPONSE to evaluate the curva- 20% due to the presence of reinforcement. It was pointed
ture ductility capacity of structural members is reason- out by Priestley [22] and Priestley and Kowalsky [19]
able. However, the approach for evaluating the ductility that section stiffness may not be considered as a funda-
capacity of the entire structural system of the low-rise mental section property. The stiffness of the section
building is different from a high-rise building [3]. It is would be altered by changes in axial load ratio or flex-
shown in the failure collapse mechanism (Fig. 4) that ural reinforcement content, due to the non-linear behav-
plastic hinges are formed not only at the base columns iour of the reinforced concrete and the reduction of the
but also at those columns which abut upon the TB. Fur- effective sectional area for cracked sections. The stiff-
thermore, the internal frame column abutting onto the ness of vertical members have therefore been modified
TB (labelled 1 in Fig. 4) is the first to reach its ultimate herein, under ultimate conditions, with the factors
capacity. In contrast, the base columns of the high-rise applied to the stiffness of columns and beams being 0.8
building [3,7] were found to yield and then reach their and 0.5, respectively. After the modifications, the stiff-
ultimate capacities, but the structural walls above the ness can be regarded as effective flexural rigidity (EFR).
transfer structure remained elastic and no plastic hinges These factors were derived according to design values
formed. For such kind of high-rise buildings [3], their presented in the above references, modified appropri-
ductility capacities are associated with the soft storey ately to allow for the relatively low levels of seismic
effect occurring at the base of the buildings. Hence, the displacement demand, as discussed in the following
ductility capacity of the whole system can be determined paragraphs. To take into account all the above contri-
butions, the elastic modulus of the RC structural mem-
bers has been increased by 3040% when compared with
the values stipulated in the design code [23].
By using the structural model with modified section
stiffness, free vibration dynamic analysis was carried
out. The vibration periods and cumulative effective mass
factors in the X-direction (see Fig. 2), for the first five
modes, are given in Table 3. It is noted that the funda-
mental vibration period of the building is 1.40 s. The
effective mass factors for the first and second modes are
equal to 75% and 17%, respectively. The accumulative
effective masses for the first and second modes contrib-
ute 93% of the total cumulative effective mass. Although
the second mode possesses around 20% of the accumu-
lative effective mass, it contributes only 5% of the forces
Fig. 4. Failure (collapse) mechanism by POA. by the square-root-of-the-sum-of-the-squares (SRSS) to
1544 J.H. Li et al. / Engineering Structures 25 (2003) 15371549
Table 3
Modal parameters from dynamic analysis
3rd and 4th storeys rather than at TB level, roof level, case, equal to 0.07V), n is the total number of storeys,
or at effective height. The maximum lateral displacement wi is the weight at a particular level and hi is the height
demand at TB level as determined by RSA with 5% of a particular level above the base. At each floor, the
damping ratio is 16 mm (Fig. 6a) corresponding to a force Fi is located at the mass centre.
2500-year return period, far-field earthquake at the soil The lateral displacement demand profile by the ESA
site. The corresponding ultimate displacement capacity has been superimposed shown in Fig. 6a, and the corre-
from POA is 23 mm (Fig. 7b), which agrees well with sponding demand on interstorey drift ratio is shown in
the value of 22 mm estimated by using manual calcu- Fig. 6b. It is observed that both the displacement and
lation. When comparing the maximum expected seismic drift ratio profiles match reasonably closely those by
displacement demand with capacity, a safety margin of RSA. It is, however, found that the displacement value
1.4 can be found. Also the same safety margin of 1.4 is determined by ESA is significantly overestimated by
attained when comparing the lateral displacement 161% at the roof level when compared with those by
demands with the ultimate displacement capacities at RSA with damping ratio of 5%. Furthermore, the drift
both roof level and effective height. Hence, the building ratio predicted by the ESA overestimates by 158% the
has a relative low probability of collapse in the form of values given by RSA with damping ratio of 5%. The
a soft storey failure under seismic action in Hong Kong. results reveal that the ESA, although matching the over-
It is found that all the displacement shapes from POA all displacement patterns from dynamic RSA, tends to
are similar to those predicted by RSA. This result overestimate the deformations and internal forces when
matches the finding of Krawinkler and Seneviratna [31] analysing low-rise buildings.
who highlighted the fact that the deflection profiles
obtained by POA and by dynamic analysis are closely
correlated for low-rise structures. The results clearly
8. Conclusions
reveal that the POA described above can produce
reliable results for situations where higher mode effects
are minor and the soft storey effects are slight. This paper has provided, for the first time in Hong
Kong, a rigorous and comprehensive structural seismic
assessment of a typical low-rise transfer structure
7. Equivalent static lateral load analysis (ESA) designed to local codes and practices.
The major conclusions of this study are as follows:
Following the procedure described in the United
States building code UBC [34], ESA for the building 1. Design of a low-rise building in Hong Kong is con-
has been carried out. To take into account the stiffness trolled by dead and live loads rather than wind force,
contributions of the non-structural components, the fun- which is different from high-rise buildings. Therefore
damental period of structure is decreased by 30% [35] it is not appropriate when assessing the capacity of
and gives Tn = 0.98 s. The period is found to be consist- low-rise buildings to simply compare the seismic dis-
ent with that estimated from the empirical formula of placement demand with that from the design wind
frame structures given in the UBC code (Tn = load.
0.0731h 3 / 4, h = 28.9 m) which predicts Tn = 0.91 s. The 2. Caution should be exercised when assessing the cur-
modal mass Me (=2074 tonnes) of the building is vature ductility capacity of member sections used in
assumed to be 85% of the actual mass of the building. HK buildings. Empirical-based equations or computer
Referring to Fig. 5a, the spectral acceleration RSA for programs (e.g., RESPONSE adopted in the present
soil site at period Tn is found to be 2.78 m/s2. The base paper) for calculating those capacities should be care-
shear determined by the formula V = M e RSA is equal fully checked before their application. Also, it is com-
to 5.8 MN. The distribution of the equivalent static lat- plicated to evaluate the ductility capacity of low-rise
eral shear at each floor can be accomplished by the codi- buildings by hand calculation, but the simplified
fied expressions: method derived by Su et al. [3] for high-rise TP build-
n ings is not suitable for low-rise buildings.
V Ft Fi (6) 3. Structural seismic assessment for Transfer Structures
i1 in Hong Kong requires specific account to be taken
Ft 0.07TnV0.25V (7) of the acute lack of ductility arising in columns sup-
porting the TB as well as the frame columns above
wihi TB level. The failure mechanism (see Fig. 4) shows
Fi (VFt) (8)
n
that the short spanned beams, which are not controlled
wihi by gravity load, connecting between columns are
i1
prone to form plastic hinges, and may therefore reach
where Ft is the lateral force applied at the roof (in this their ultimate capacity or even collapse under lateral
1548 J.H. Li et al. / Engineering Structures 25 (2003) 15371549
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