Bulletin of the Seismological Society of America. VoL 53, No.2, pp. 403-417.

February, 1963

THE BEHAVIOR OF INVERTED PE�DULUM STRUCTCRES DURI:l';G

EARTHQUAKES
BY GEORGE W. HousNER

ABSTRACT
During the Chilean earthquakes of May, 1960, a number of tali, slender structures survived
the ground shaking whereas more stable appearing structures were severely damaged. An
analysis is made of the rocking motion of structures of inverted pendulum type. It is shown
that there is a scale effect which makes tall slender structures more stable against overturning
than might have been expected, and, therefore, the survival of such structures during earth­
quakes is not surprising.

lNTRODUCTION

During the Chilean earthquakes of May, 1960, several golf-ball-on-a-tee types of

elevated water tanks survived the ground shaking despite the appearance of in­
stability, as described in a companion paper by W. K. Cloud. On the other hand,
much more stable-appearing reinforced-concrete, elevated water tanks were se­
verely damaged as described in a companion paper by K. V. Steinbrugge and R.
Flores. It is clear that, in this case, the concept of representing the effect of an earth­
quake by a certain static lateral force (percent g design) may be quite misleading.
It is not uncommon for building codes to specify that elevated water tanks should
be designed for 10 per cent g and, judged from this point of view, the golf-hall tank
appears to be in danger from earthquakes whereas the strength and proportions of
the concrete tank would be reassuring as to its ability to survive earthquakes.
Other unstable types of structures have also survived strong earthquakes. During
the Arvin-Tehachapi earthquake in California (July 21, 1952) a number of tall,
slender, petroleum-cracking towers stretched their anchor bolts and rocked back
and forth on their foundations. 1 In some Indian cities, free-standing stone columns
that supported heavy statues remained standing although at the end of the earth­
quake they were surrounded by heaps of debris that had been more stable struc­
tures. Tall, slender stone pillars in graveyards have also survived strong ground
motions. On the other hand, it has sometimes happened that box-like electric power
transformers have rocked and overturned. Some light is thrown on this anomalous
behavior by an analysis of the dynamics of a rigid block that is resting upon a rigid,
horizontal base and is excited into rocking motion. It will be seen that the vibrational
characteristics of this type of structure are markedly different from those of a lin­
early elastic structure.
FREE VIBRATIONS

The rigid block shown in fig. 1 will oscillate about the centers of rotation O and
O' when it is set to rocking. It is assumed that the coefficient of friction is suffi­
ciently large so that there will be no sliding between the block and the base. The
significant properties of the block are its weight, W, its moment of inertia, 10 , about
1 Housner, G. W., "Limit Design of Structures to Resist Earthquakes," Proceedings of the
1956 World Conference on Earthquake Engineering, Earthquake Engineering Research Institute,
1956.
403
404 BULLETIN OF THE SEISMOLOGICAL SOCIETY OF AMERICA

the point 0, and the location of the center of gravity a distance h above the base
and a distance b from the side of the block. As shown in fig. 1, the radial distance
from the center of rotation 0 to the center of gravity is R = V ~ + b2. When
the block is at rest, the line R makes an angle a with the vertical. The tilting of the

b!b
block from the vertical is measured by the angle 0.

0' 0
FI~. 1. A r o c k i n g block.

When the block is rotated through an angle 0, the weight of the block will exert
a restoring moment WR sin (a - 0). The equation of motion is then

d20
Io - WR sin (a - 0) ( 1)
dt 2

For tall, slender blocks having the angle a less than about 20 ° the sine of the angle
m a y be approximated by the angle and equation (1) may be written
[o 0 - WRO = - WRoe

This equation describes the free vibration of the block. Setting W R / I o = p~, the
equation becomes
- p20 = - p 2 o e

This equation, subject to the conditions 0 = 00 and 0 = 0 at t = 0 which represent

the block released from rest with initial displacement 00, has the solution:
0 = a-(a -- 00) cosh p t (2)
Equation (2) describes the rotation of the block about the point 0 as it falls back
into the vertical position. The block will then tilt about the point 0', and if there is
negligible energy loss during impact, the block will rotate through an angle 0 =
- 0 0 . The block will then fall back again to the vertical position and will rise about
point 0 until 0 is again equal to 00. At this instant, one complete cycle will have been
completed. The time, T, required to complete this cycle is the period of free vibra-
 BEHAVIOR OF INVERTED PENDULUM STRUCTURES 405

tion. The block will fall from 0 = 00 to 0 = 0 in a time t = T / 4 and at this instant
equation (2) becomes
T
0 = c ~ - (c~-Oo) coshp~-
or

eosh p T _ 1
4 1 - 00/a

4
/
/
Tw_R
5
/
2 /
J
J
J
I jJ
.f
/
0o 0.2 0.4 0.6 0.8 ID
eo
o¢.
FIG. 2. Period T of block rocking with amplitude 00.

Equation (3) expresses the period T in terms of p and 00/a

T = 4 c) o s h - ~_( 1
p i ---04~ (3)
A graph of this equation is shown in fig. 2 where it is seen that the period is strongly
dependent upon the amplitude ratio 00/a. When 00/a is close to unity the period is
long, and when 00/a is close to zero the period is short.
During the rocking of a real block there would be, of course, a dissipation of energy
when the block impacted on the base. Thus, once during each half-cycle there would
be an increment decrease in the energy of vibration. Consequently, the period of
each half-cycle would be longer than that which preceded it. If the impact is as-
sumed to be inelastic (no bouncing), the rotation continues smoothly about the point
0' and the moment of momentum about 01 is conserved. The reduction in kinetic
energy during impact is
 406 B U L L E T I N OF T H E S E I S M O L O G I C A L S O C I E T Y OF A M E R I C A

Equating the m o m e n t of m o m e n t u m about 0 / immediately before impact to t h a t

immediately after impact gives

Io 61 - 2tuRbO1 sin a = I0 t~2 (4)

This gives for the reduction of energy b y the impact
[ m R 2 ;5
r = 1 - I-/0- (1 - cos 2a)

For slender blocks this relation m a y be written

2mR2a 2
X/r= 1
Io
(.;sing the notation ~ = 0/a; ~0 = 00/a, the displacement and velocity of the block
m a y be written

= 1 - ( 1 - ~0) c o s h p t

-- - ( 1 - ~o)p sinh pt

At the instant of the n-th impact (~ = 0, t = t~)

1
cosh pt~ -

1 - ~-1
and
sinh 2 ptn = (i 1 ~2 1

Using this relation, the impact velocity m a y be written:

*n = --p V~ --(1 -- ~_1) ~ (5)

where ~. is the amplitude following the n-th impact. The kinetic energy just after
impact is reduced to r times the energy just before impact. The velocity is therefore
reduced to x / r times the velocity before impact. This condition m a y be written

-px/1 - (1 - ~ ) 2 = _ p v / ~ - V/1 _ ( 1 -- (~n_l)2 (6)

This equation can be written

1 -- (1 -- ~)2 = r[1 -- (1 -- ~_~)2]

and, as this recurrence relation implies,

1 - (1 - = rr [1 -- (1 --

Solving this for ~ gives

~ = 1 -- %/1 --r,[1 -- (1 - - ~ 0 ) ~]
A graph of this equation for r = 0.7 is presented in fig. 3 where the decrease in
amplitude for successive n is shown for several values of the initial displacement.
 BEHAVIOR OF INVERTED PENDULUM STRUCTURES 407

It is seen that for large amplitudes the energy of vibration decreases rapidly but
for small oscillations the energy decreases slowly.
It follows from equations (3) and (6) that the successive half periods of vibra-
tion during the free rocking are given by

T-2~°Rtanh-1%/r~[l- (1-~o)2 ]
2
According to the foregoing analysis the free rocking of a block proceeds as follows.
At first there will be a few oscillations of large amplitude and slow rocking. The
amplitude decreases markedly with each impact and corresponding with this there
is an increase in frequency of oscillation to an infinite value. Actually, a freely
rocking block does not make a truly inelastic impact, but there is a slight bouncing
and sliding involved. This is another source of energy absorption and under favor-

I.O
r=OY
0.8

0.6
¢.
O.4

0.2

0 2 3 4 5 6 7 8
NUMBER OF IMPACTS
FIG. 3. Amplitude ~ subsequent to n - t h impact.

able conditions the block makes only some eight or ten impacts before being brought
to rest.

OVERTURNING B~ CONSTANT ACCELERATION

If the block is resting on a base which is suddenly given a constant acceleration
a lasting for a time tl the block may or may not overturn, depending upon the
magnitude of a and the duration of tl. For small angles of oscillation the effect of
the acceleration is the same as if a force Wa/g were acting horizontally through
the center of gravity of the block and thus the equation of motion is:
[o 0 - WRO = WRa/g -- WRa (7)

It is seen from this equation that a necessary condition for motion to be initiated is
that a/g > a, which specifies the fraction of g acceleration required to begin tilting
408 BULLETIN OF THE SEISMOLOGICAL SOCIETY OF AMERICA

the block. The solution of equation (7), subject to the conditions that at t = 0
both the velocity and displacement are zero is

O- (g -1) ( cosh pt - 1)
(x

It is seen that if a/g > ~ and if the acceleration acts for a sufficient length of time,
the block will overturn. It is not necessary, however, for the base acceleration to
act continuously in order to overturn the block. For each value of a there is a time
tl during which the acceleration can generate a velocity sufficient to overturn the
block.
The condition for overturning is that the total work done by the inertial force
Wa/g is just equal to the difference in potential energy between positions 0 =
and 0 = 0. This condition may be written

o t' RW(a/g)O dt = W R ( 1 - cos a) (8)

Carrying out the integration and approximating (1 - cos a) by a~/2, equation

(8) becomes
a a2
g --~ (coshptl- 1) - 2

If this equation is solved for cosh ptl, there is obtained

cosh h = 1 + (9)

Figure 4 is a graph of this equation giving the duration, t,, of ground acceleration a
required to overturn the block.
The foregoing analysis is not realistic for earthquake ground motions since it
assumes constant ground accelerations of finite duration followed by a constant
velocity of the ground. This type of ground motion does not occur during earth-
quakes and hence it is not meaningful to discuss the overturning of blocks in terms
of percent g acceleration.

OVERTURNING BY SINUSOIDAL ACCELERATION

The accelerograms recorded during earthquakes show certain maximum peaks
whose shapes can be approximated closely by one loop of a sine wave. The question
then arises as to the amplitude and period of a half sine-wave acceleration pulse
that will suffice to overturn the block.
If the base is given a sinusoidal acceleration, the equation of motion is

Io0 = - W R sin (~ -- O) + W R a_ sin (~t + ~b)

g
 BEHAVIOR OF INVERTED PENDULUM STRUCTURES ~i09

In this equation the ground acceleration has been expressed by

-a sin (~t + ~b)
where a is the amplitude of the acceleration and ¢ is defined by the condition
a sin ¢ = g sin a
This insures that at time t = 0 the base acceleration will have reached the value
required to initiate rocking of the block. For small angles, and setting W R / I o =
p2, the equation may be written:

Isin (~t -4- tP) 11

- P20 = aP~ sin

tW__R
'1 Io
2

\
01.0 1.2 1.4 1.6 1.8 2.0
_q.
go~
FIG. 4. C o n s t a n t a c c e l e r a t i o n a of d u r a t i o n tl r e q u i r e d for o v e r t u r n i n g .

The solution of this equation, subject to the conditions 0 = 0, 0 = 0 at t = 0, is

a 1-1-

where
sin ~ -- ga/a; cos ¢ = %/1 -- (ga/a) 2

The condition for overturning is that 0 = a at time t = (~ - ~)/~. This insures

that 8 will reach the value a at the instant that the ground acceleration has com-
pleted its first half-cycle and has the value zero.
410 BULLETIN OF THE SEISMOLOGICAL SOCIETY OF AMERICA

Substituting in equation (10) and rearranging terms gives:

tan = tanh - (11)

co L¢o d
and this equation specifies the amplitude and frequency of the sinusoidal accelera-
tion pulse required to iust overturn the block. Under the conditions of the problem
tanh p/~o(Tr - ~) may be approximated by unity and hence equation (11) may be
written
tan @ - p (ll)a

2.2

2.0
/;/
1.8 /
go~ 1.6
/
1.4
/
J
1.2 J
f

J
J
1.0
0 02. 0.4 0.6 0.8 i.O 1.2 1.4 1.6 1.8 2.0

P
FIG. 5. S i n u s o i d a l a c c e l e r a t i o n p u l s e a s i n cot r e q u i r e d for o v e r t u r n i n g .

Making use of equation (10) and rearranging terms, equation (11)a can be put in
the form
a _ 1 + (12)
ga
or
a _ ~//1 + I0 [27ry

where Tg is the period of the ground acceleration. This relation was first derived by
Kirkpatrick 2 and it expresses the conditions under which a single sine pulse will
overturn the block. As may be verified, this is a minimum condition as it insures
t h a t 0 = 0 w h e n 0 = a.
A graph of equation (12) is presented in fig. 5 for small values of ~o/p For large
values of w/p, say o~/p > 3, equation (12) can be represented by
a
- (12)b
ga p
2 Nirkpatrick, P., "Seismic Measurements by the Overthrow of Columns," Bull. of the
Seism. Soe. of Amer., Vol. 17, No. 2, 1927.
 BEHAVIOR OF INVERTED PENDULUM STRUCTURES 411

or
a Jr

ga 2-T°~WRIo

As an example, a rectangular block such as shown in fig. 1 has

and hence equation (12)b can be written

a _ A~-- Rc°~
ga ']/3 g
or

0.)
- a Rg
or

aTg-a'2jr~3Rg2

where T~ is the period of the pulse. If we consider all blocks that have a given length
of diagonal, 2R, the equation may be written

aT~ _ Ka
2
where K is a constant. It is thus seen that the product of the amplitude of the
acceleration pulse by its duration must be proportional to the slenderness angle
a for a given R.

OVERTURNING BY EARTHQUAKE M O T I O N

The preceding paragraphs dealt with the overturning of the block by a square
acceleration pulse and by a half sine-wave pulse and equations (9) and (12) give
the minimum accelerations required to overturn a block by such single pulses.
Smaller accelerations than are specified by these equations may set the block to
rocking but will not overturn it. It is, however, possible to overturn the block with
smaller accelerations if a number of pulses act successively. This would be the
case of strong-motion earthquake ground acceleration, which may be thought of
as a train of pulses which, in general, have periods that are short compared to the
rocking periods of structures. The resulting behavior of the block is indicated by
the following approximate analysis.
For purposes of illustration, consider ground acceleration composed of a sequence
of N discrete step changes ±Av in ground velocity, that are randomly distributed
over time 0 < t < tl, and have equal probability of being positive or negative in
sign. This represents an idealized earthquake ground motion whose average velocity
response spectrum (undamped) is a constant. The effect of such ground motion on
structures is the same as if the ground were at rest and impulsive inertial forces
F~At were acting through the center of mass, where
F~At = ±MAy (n = 1, 2 . . . N)
412 BULLETIN OF THE SEISMOLOGICAL SOCIETY OF AMERICA

The response of a linearly elastic structure, such as is shown in fig. 6, to the random
succession of forces F~ is to be excited into oscillations. The effect of the n-th im-
pulse, F,At, is to produce a change in velocity Av, and hence to produce a change in
kinetic energy of vibration
A K E . = ½ M(v~ + Av)2 -- ½ Mv~ 2

= M v . (Av) -t- ½ M(Av)2

where v~ is the velocity of the structure at the time that F~At acts. If a large num-
ber of such idealized earthquakes were to act upon the structure, the A K E ~ would,

~X

FIG. 6. Simple linear structure.

in general, be different for each of the earthquakes. However, the average incre-
ment change in energy, A K E , , averaged over all the earthquakes would be
A K E ~ = M v~(Av) + ½M(Av)~

and since v-~, the average velocity is zero and the average Av is also zero, it follows
that
AKE. = ½M(Av)~

On the average, then, the total energy of vibration of undamped structures is

E,~ = ½M(Av)2n (n = 1, 2 . . . N )

This represents an average building up of energy with the number of pulses and
hence the average rate of energy input, P, is

1 M(~v)2 N
P = 2 t~

This constant power input P will cause the average amplitude of vibration to in-
crease proportional to %/t-.
If the structure has viscous damping, the power input, P, will build up the
amplitude of vibration until the average rate of energy loss iust balances the input.
 BEHAVIOR OF INVERTED PENDULUM STRUCTURES 413

The energy loss per cycle for a linearly damped oscillator is 4~rkE, where ~ is the
fraction of critical damping, and E is the energy of vibration. The average time rate
of energy loss is then 4~r~ P,/T, where T is the period of vibration. An energy balance
for the system then is3
0E_ p _ 4 ~ (13)
Ot T
The solution of this equation is

= ~ 1 -- exp
(v))-- t

The average energy of vibration thus increases asymptotically to PT/47r~;

however, for each individual earthquake the energy may be larger or smaller de-
pending upon how the impulses happen to strike. For individual earthquakes there
will be a certain probability distribution of E about the mean E.
The behavior of a rocking block subjected to a series of random impulses is
similar to that of the linearly elastic structure in that the impulses tend to build
up the energy of vibration and hence the amplitude of the motion. However, as
was shown in the analysis of the free vibrations, the energy dissipation of the block
depends upon both the amplitude and frequency of rocking. In addition, if the
amplitude of the block exceeds a limiting value the block will overturn. The effect
of these differences are brought out by the following approximate anMysis.
If the rocking block is subjected to the series of random pulses, the increment
change in kinetic energy produced by F~At is
AKE. = ½Io (On + AO~)2 -- ½10t~~
For slender bodies, having I / I o ~ 1, we may write approximately
Io AOn "~- R F , At

AO,~ - RF~ At _ R M A v
Io Io
and hence

A K E ~ -- MR(Av)O~ + 1 ( M R ) ~ (Av)~
2 Io
and the ensemble average is

AKE,~ - 1 ( M R ) 2 (Av)2
2 Io
If there were no energy loss during the rocking, the buildup of energy would give
on the average

~,~ -- AKE~ - 1 ( M R ) 2 (Av)2n

2 Io
3 Hudson, D. E., "Response Spectrum Techniques in Engineering Seismology", Proceedings
of the First World Conference on Earthquake Engineering, Earthquake Engineering Research
Institute, 1956.
414 :BULLETIN OF THE SEISMOLOGICAL SOCIETY OF AMERICA

The total energy required to overturn the block is

WRo~ 2
PE = WR(1 - cos a) -

On the average the condition for overturning at the end of N pulses is

WRa 2 _ 1 (MR) 2 (Av)2N (14)

2 2 I0
or

o~ "V [o Rg

When the idealized earthquake motion satisfies equation (15) there is a 5 0 per cent
probability that the ground motion will overturn the block. If a is greater than the
quantity on the right side of equation (15) the probability of overturning is less
than 50 per cent, and if a is smaller than this quantity the probability of over-
turning is greater.
If there is an energy loss during the rocking of the block, with a fraction r E of
the energy of vibration being lost at each impact on the base as described by equa-
tion (5), an energy balance would require
0;g -- p --
2rE
Ot T

with T, as defined by equation (4), given by

T = 4 eosh_l 1
P 1 0o
og

The potential energy of the freely rocking block is

PE = WRa 2 --

and for the forced vibration of the block the average instantaneous amplitude of
rocking, O0, is defined by

= WRoe 2 --

or

0°- 1-- 4//7 2a2/~

a WR

The energy balance can then be written

aE _ p _ prfi-,

Ot 2 cosh-1
2oe2 _=
1 -- ~ / ~ (16)
 BEHAVIOR 0F INVERTED PENDULUM STRUCTURES 415

This may be compared with equation (13) for the elastic structure. For very small
E, the denominator of the right side approaches a value of 2 and equation (6) has
essentially the same form as equation (13) :
aE _ P _ prE
-- -
at 2
On the other hand, when the amplitude of vibration approaches the unstable point
(E = WR/2a:2) the denominator becomes extremely large and the last term in
equation (16) may be neglected and the equation written

In this case the block is effectively undamped. It is thus seen that, although the
equivalent fraction of critical damping remains constant, as the amplitude of
rocking increases, the rate of energy dissipation decreases strongly and this in tum
promotes an increased amplitude of vibration. It may, therefore, be expected that
the behavior of the rocking block could be quite variable in that relatively small
ground motion may fortuitously build up the amplitude at the beginning of the
ground motion and lead to overturning the block.

EFFECT oF SLENDERNESS ON OvERTURNING

The stability of a rocking type of structure may be estimated by comparing the

energy input with the energy required to overturn the structure. If the energy input
is computed from the velocity response spectrum, Sv , of the earthquake ground
motion the requirement for overturning, equation (14), is

! WRa:2 = ! W MR
2
2
Sv
2 2 g Io
or

(17)

It is seen that this has the same form as equation (15). For slender structures
MR2/Io has a value close to unity so that equation (17) can be approximated by
Sv
a: = -== (17 )a
-VgR
This equation may be interpreted as stating that for a given spectrum value Sv ,
a block having an angle a: given by equation (17)a will have approximately a 50 %
probability of being overturned. The dimensions of the structure enter only through
the length R and as equation (17)a shows, the larger the value of R the more stable
against overturning is the block. That is, comparing two blocks of the same propor­
tions, the larger block is more stable than the smaller. There is thus an unexpected
scale effect which is explained by the fact that the ground motion is not scaled
416 BULLETIN OF THE SEISMOLOGICAL SOCIETY OF AMERICA

with the block. If equations (17)a, (9), and (12)a are compared, setting MR2/I0 =
1 anda = b/h, there is obtained for smalla

Earthquake motion: b = S. �

Square pulse:

Sine pulse:

I
h

FIG. 7. Golf-hall-on-a-tee elevated water tank.

It is .seeu-from these equations that the semiwidth b required for stability does not
increase linearly with h as physical intuition indicates, but is affected less strongly,
or in other words, tall slender structures are more stable than might be supposed.
GoLF-BALL WATER TANK

Let h be the height of the center of gravity and D the diameter at the base as
shown in fig. 7, and suppose that the structure is rigid and is free to rock (no anchor
bolts). For a structure of such proportions h may be taken equal to R, and /0 may
be taken equal to MR2 • Equation (17) then becomes
D S.
a =
2h = Vgh
or
 BEHAVIOR OF INVERTED PENDULUM STRUCTURES 417

This value of Sv gives 50 per cent probability of overturning, and it is seen that the
result is independent of the mass; that is, the stability is not affected by whether
the tank is completely full or completely empty if h may be taken to be a constant.
Experience with earthquakes in the United States indicates that a value of Sv =
2 ft/sec represents strong ground motion. If the tank has h = 100 ft and D = 10 ft,
the required Sv to give a 50 per cent probability of overturning is

Sv = 5 ✓��� = 2.6 ft/sec

It may be concluded, therefore, that for an Sv = 2 ft/sec, it is more likely that the
tank would remain standing than that it would overturn. If the tank has anchor
bolts that stretch and absorb energy during the rocking, there will be even less
probability that the tank will overturn. It is, therefore, not so surprising that some
golf-ball tanks have remained standing during earthquakes. There is, of course, a
certain probability that a tank of these proportions will be overturned by a ground
motion having Sv = 2.0 or even less than 2.0.
For comparison, suppose that the tank is tightly anchored to the foundation so
that it cannot rock but can only bend and that the period of vibration is 3 seconds.
In this case the maximum shear force generated would be

and
!_ 271" Sv 271"
= = � = 0_13
W T g 3 32.2
Thus the tank should be designed for 13 per cent g. It might appear from this that
it would be advantageous to design tall slender structures to act as rocking blocks;
however, a 50 per cent probability of survival for a rocking structure is not a satis­
factory design. At present it is not known how to design a rocking structure to have
specified small probability of failure. It may also be noted that, if the tank is partly
full, the sloshing water introduces another mode of vibration which will affect the
behavior of the structure.
SuMMARY

The free oscillations of a rocking block are analyzed and the rocking period and
energy loss are set forth. The overturning of a block by a constant, horizontal
acceleration, by a single sine pulse, and by an earthquake type excitation are ex­
amined. It is shown that there is an unexpected scale effect which makes the larger
of two geometrically similar blocks more stable than the smaller block. It is also
shown that the stability of a tall slender block subjected to earthquake motion is
much greater than would be inferred from its stability against a constant horizontal
force. In the light of these facts, the occasiona! survival of a slender structure that
is apparently highly unstable is not surprising.
CALIFORNIA !NSTITUTE OF TECHNOLOGY
PASADENA, CALIFORNIA

Manuscript received Aprii 12, 1962.