THE STRUCTURAL DESIGN OF TALL BUILDINGS

Struct. Design Tall Build. 9, 385390 (2000)

SOFT STORIESAN APPROPRIATE CHOICE FOR FAILURE

THEORY

ADRIAN S. SCARLAT
Scarlat, Satchi & Assoc. Eng., Ltd.; Faculty of Civil Engineering, Technion, Haifa, Israel

SUMMARY
A critical review of the of the present approach to the soft story effect during major earthquakes leads to the
conclusion that any method based on the usual first theory of failure (assuming that the failure occurs due to high
normal stresses) is not adequate and can not predict the failure of soft stories. It is shown that only a theory of
failure based on strain energy can lead to reasonable results. Since an accurate analysis based on such theory needs
the failure strain energy of the structure to be defined, and such a definition is not yet available, an approximate
procedure based on strain energy, is proposed. The proposed procedure is applied to rigid structures based on pile
foundations. Copyright 2000 John Wiley & Sons, Ltd.

1. INTRODUCTION
The problem of soft stories has been dealt with fairly recently. Up to 1971 the soft story concept was
unknown; it was defined and developed only after analysing the results of the San Fernando
earthquake. Moreover, prior to this earthquake specialists in seismic engineering were convinced that
designing soft stories was legitimate and beneficial for structures, leading to significant smaller
seismic forces due to the resulting enhanced deformability.
Inspection of the results of other major earthquakes leads to the inescapable conclusion that soft
stories sustain severe damage during earthquakes, often resulting in collapse.
A soft story is defined in the Californian seismic code SEAOC (1996) as one in which the lateral
stiffness is less than 70% of the lateral stiffness of the story immediately above. The penalty required
for designing structures with soft stories is very stiff: we have to design the soft story itself, and the
adjoining ones, to resist stresses yielded by the regular design multiplied by a factor depending upon
the ductility of the structure and varying approximately between 3 and 4. Similar requirements are
included in other seismic codes, including the Israeli Seismic Code 413/95. Several objections
regarding this penalty can be formulated: (a) that seismic codes do not clarify the concept of lateral
stiffness and how to determine itand this lacuna leads to several interpretations that yield different
results; (b) that the required penalty has, as far as we know, no theoretical, experimental or statistical
basis; (c) that the multiplying factor is the same for any given situation, e.g. either for differences in
lateral stiffness of 30 or for 70%and that this is unacceptable.

2. THEORETICAL APPROACH TO THE DESIGN OF SOFT STORIES

The problem of soft stories derives from a paradox. In order to define it, we shall refer to a shear wall

* Correspondence to: Adrian S. Scarlat, Israeli Association for Earthquakes Engineering, 5, Tfutzot Israel St., Givataym 53583,
Israel.

Copyright 2000 John Wiley & Sons, Ltd. Received March 2000
Accepted April 2000
386 A. S. SCARLAT

Figure 1. Shear wall with a soft story

belonging to a given structure (Figure 1(a)), subjected to a set of horizontal seismic forces. We assume
that these forces have been determined either by a static force procedure or by modal analysis. The
shear wall has a soft story.
Figure 1(b) shows the diagram M (bending moments).
We assume that all the sections of the considered shear wall (including the sections of the soft story)
have been correctly proportioned to resist the given seismic loads. In spite of this, during a major
earthquake the resisting elements of the soft story will display significant damages, leading sometimes
to collapse.
It is obvious that something is at fault either in the structural analysis or in the proportioning of the
resisting elements of the soft story. Since the resultant stresses acting in the cross sections of this story
derive from equilibrium equations they cannot be suspected; even if we assume a sudden increase in
seismic loads along the soft story, they will not significantly affect the resultant stresses existing in it. We
have to admit that the usual proportioning of the cross sections of the soft story (based on the first theory
of failure, referring to the normal stresses) is a model that is not adequate for designing soft stories.
We must therefore look for another model, which will be based on a function exhibiting a sudden
increase along the soft story. The strain energy
Z Z Z Z
U M 2 dx=2EI fV 2 dx=2GA N 2 dx=2EA  M 2 dx=2EI 1

answers this condition: along the soft story, the diagram U registers a sudden increase that fits exactly the
model we are looking for (Figure 1(c)). Consequently, we consider that the failure theory fit for soft stories
subjected to seismic loads must be an energetic one. The proportioning condition will take the form:
U < Uf 2
where U denotes the strain energy due to the given seismic loads and Uf denotes the strain energy at
failure.
We have to remind ourselves that the choice of an appropriate theory of failure must be decided by
taking into account exclusively the concordance of the formulas yielded by the chosen theory and the
experimental results. For instance, in the design of welded connections in steel structures we
frequently use the fourth theory of failure.
The author is not aware of any proposal to obtain the strain energy at failure (Uf). It is obviously a
difficult task to find such an expression: it has to take into account the cyclic character of the seismic
forces and the repeated incursions of the material into the inelastic range; the validity of the expression
of Uf has to be checked by tests, and these needs a long time to perform. Meanwhile we have to find an
approximate method that preserves the energetic approach to the problem, but provides a simple form,
so that it can be used in practical design as a temporary solution.

Copyright 2000 John Wiley & Sons, Ltd. Struct. Design Tall Build. 9, 385390 (2000)
 SOFT STORIES AND FAILURE THEORY 387

3. PROPOSAL FOR AN APPROXIMATE ENERGETIC APPROACH

We assume that the elastic strain energy can be used. In fact, all the usual seismic analyses are based on
the assumption that the material remains in the elastic range; the unavoidable incursions in the inelastic
range are taken into account by using correction coefficients depending mainly on the structural
ductility (e.g. the coefficient R w in the SEAOC code).
We propose a simplified procedure based on the following criteria.
. The approach has to be essentially energetic (Scarlat 1996, 1997); in fact we shall use the strain
energy as indicator.
. It has to define a factor c, intended to multiply the regular resultant stresses (yielded by the usual
analysis) in order to obtain the final resultant stresses for the proportioning of the resisting elements
of the soft stories.
. The factor c has to be progressivei.e. its value must be proportional to the degree of
irregularity of the soft story.
We choose as a measure of the soft story effect the parameter  = U0/Utop, where U0 denotes the
strain energy of the soft story and Utop represents the strain energy of the story immediately above. We
consider two extreme cases.
. The best case, Rin whichR the decrease in lateral stiffness of the considered story is nil
(I0 = Itop) : ymin = M02 dx= Mtop 2
dx; the corresponding multiplying factor c will be cmin = 1.
. The worst case, in which the decrease in lateral stiffness is maximum. A reasonable limit for this
decrease can be set forth as: Imax/Imin = 4 (we assume that a higher ratio would be a malpractice), so
that max = 4 min. The corresponding multiplying factor c can be admitted, for the time being, as
equal to the present one recommended in the seismic codes. In the Californian code SEAOC (1996):
cmax = 3R w/8; in the Israeli code: cmax = 0
6K, where R w and K denote factors depending mainly on
the degree of ductility of the structure. As shown before, in most cases cmax = 34. Between cmin and
cmax we admit a linear interpolation (Figure 2).

Numerical example
Lets consider the shear wall shown in Figure 3(a), subjected to a horizontal, inverted triangular
seismic load. I0 = 1
6 m4; Itop = 5
4 m4.
Z Z
 U0 =Utop M02 dx= Mtop
2
dxItop =I0 3

Figure 2. Determining the multiplying factor c

Copyright 2000 John Wiley & Sons, Ltd. Struct. Design Tall Build. 9, 385390 (2000)
388 A. S. SCARLAT

Figure 3. Numerical example

R 2
R 2 M (Figure 3(b)): M dx l=3M1 M2 M1 M2 . For the best case:
2 2
For a linear
R 2 diagram
min M0 dx= Mtop dx


10800000=6324750 1
71. For the worst case: max = 4min =
6
84.
 10800000=1
6=6324750=5
4 5
76: 4
By interpolation: c = 3
37.

4. A SPECIAL CASE: STRUCTURES ON PILE FOUNDATIONS

At first glance, pile foundations and especially those sustaining shear walls and cores, seem to be an
ideal illustration of soft stories and, consequently, represent a weak point in seismic structures: a group
of deformable piles beneath a very rigid structure. In fact, the problem is more intricate and we have to
consider the pilesoil complex and their relative rigidities in order to quantify correctly the effect of
the soft story at the superstructure/pile foundation interface. We have also to take into account the fact
that the soft story effect in the case of the piles is significantly less dangerous than the same effect
occurring in the superstructure: in the first case, the presence of the surrounding soil limits the
deformations of the damaged piles, while in the second case the onset of plastic articulations at the
extremities of the vertical resisting elements leads to the collapse of the soft story.
Moreover, in the Japanese technical literature is cited a case where the collapse of piles during a
major earthquake was not noticed for more than 20 years, although other earthquakes have since been
registered (this case was presented by Professor Hamada at the National Conference on Earthquake
Engineering, Istanbul 1992). We assume that the collapse of the piles acted as a natural damper for
the building, by limiting the seismic forces transmitted to the superstructure Scarlat (1998).
We have performed a parametric study of foundation piles in order to check the main factors affect
the distribution of the strain energy, stored as a result of seismic forces. The main results are as follows.
(a) Most of the strain energy is stored in the surrounding soil and only a small fraction is stored in
the piles themselves.
(b) The fraction of the energy stored in the soil as a result of vertical displacements of the piles is
greater than the fraction resulting from the horizontal displacements.
(c) The strain energy stored in the piles increases when: (a) the soil is soft; (b) the soil in the upper
layers is not compacted; and (c) the pile diameters are small.

Copyright 2000 John Wiley & Sons, Ltd. Struct. Design Tall Build. 9, 385390 (2000)
 SOFT STORIES AND FAILURE THEORY 389

When all these factors are present, the onset of a strong soft story effect will probably occur; when
the soil is stiff, the upper layers well compacted, and the pile diameters large, then the effect of a soft
story is practically negligible.
In order to quantify the soft story effect (i.e. the magnitude of the multiplying factor) we shall
again apply a procedure based on determining two extreme situations.

. The best case, when we assume a very stiff soil (e.g. a subgrade modulus ks = 100 000 kN m3,
including the top layers, and large diameter piles, e.g. 1
50 m). For this case, we determine the ratio
 = Up/Usw, where Usw denotes
R 2 the strain energy stored in the shear wall/core along the height h0 of
the ground floor: Usw R Msw dx=2EIsw , and Up denotes the strain energy stored in the piles, at the
same height h0 : Up Mp2 dx=2EIp ; for this case we can admit cmin = 1.
. The worst case, when we assume a very soft soil (e.g. ks = 10 000 kN m3), uncompacted top layer
(ks  0) and small diameter piles (e.g. 0
40 m), and we determine for it the ratio  = Up/Usw; here we
can admit cmax = 2
5. Regarding this value, we have to refer to previous remarkthat the onset of
the soft story effect in the piles is less dangerous than the same effect occurring in the superstructure,
and consequently it seems reasonable to choose a maximum multiplying factor cmax smaller than the
maximum factor chosen for the superstructure (34). For a given case, we have to determine the
ratio  and consequently the factor c, by interpolation (Figure 4).

Numerical example
Let us consider the structure shown in Figure 5(a), subjected to a horizontal, inverted triangular
seismic load.
Shear wall: EIsw = = 32 000 000 kN m2. The static analysis yields the bending moments shown in
Figure 5(b) along the height h0 of the ground floor, leading to the strain energy Usw = = 121 kN m.

Figure 4. Structure on pile foundation

Copyright 2000 John Wiley & Sons, Ltd. Struct. Design Tall Build. 9, 385390 (2000)
390 A. S. SCARLAT

Figure 5. Structure on pile foundationNumerical example

The best case: ks = 100 000 kN m3, including the top layers; pile diameters: 1
50 m. The distance
between springs: 1
0 m; the spring forces: kv  kh = 100 000  1
0  1
50 = 150 000 kN m1. Two
piles: EIp = = 2  3450 000 kN m2 = 6900 000 kN m2. The static analysis yields the bending
moments along the height h0 = 3
0 m shown in Figure 5(e), leading to the strain energy: Up = = 1
25
kN m. min = 1
25/121 = 0
01.
The worst case: ks = 10 000 kN m2. The top layers (along 2
0 m) are uncompacted: ks  0; pile
diameters: 0
40 m. The static analysis leads to the bending moments shown in Figure 5(d) and,
consequently, the strain energy Up = 221 kN m. max = 221/121 = 1
81.
The given structure: ks = 20 000 kN m3 along the whole length of the piles; pile diameters: 0
60 m.
The static analysis yields the bending moments shown in Figure 5(e) and, consequently, the strain
energy Up = = 61
7 kN m.  = 61
7/121 = 0
51.
By interpolation (Figure 5(f)): c = 1
41.

5. CONCLUSION
Analysis of soft stories (SEAOC, 1996) based on energetic theory of failure is recommended.
However, since it needs preliminary determination of the strain energy at failure, an alternative
approximate procedure is set forth, also based on energy.
Special attention is focused on the case of rigid structures based on pile foundations; a parametric
study allows one to identify cases when the soft story effect occurs.

REFERENCES

Scarlat A. 1996. Approximate Methods in Structural Seismic Design. Chapman & Hall.
Scarlat A. 1997. Design of soft stories. Earthquake Spectra 13(2).
Scarlat A. 1998. Pile foundation used as a natural seismic damper. Proceedings of the 6th SECED Conference on
Seismic Design Practice, Balkema.
SEAOC. 1996. Recommended lateral forces requirements and commentaries.

Copyright 2000 John Wiley & Sons, Ltd. Struct. Design Tall Build. 9, 385390 (2000)