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DESIGN of Page i

CONCRETE
STRUCTURES
Sixteenth
Edition

David
Darwin
Ph.D., P.E.,
Distinguished
Member of ASCE
Honorary Member
of ACI, Fellow of
SEI
Deane E. Ackers
Distinguished
Professor and
Chair
of Civil,
Environmental &
Architectural
Engineering
University of
Kansas
 Charle
s W.
Dolan
Ph.D., P.E.,
Honorary Member
of ACI
Fellow of PCI
H. T. Person
Professor of
Engineering,
Emeritus
University of
Wyoming
DESIGN OF CONCRETE STRUCTURES

Published by McGraw-Hill Education, 2 Penn Plaza, New York, NY

10121. Copyright ©2021 by McGraw-Hill Education. All rights
reserved. Printed in the United States of America. No part of this
publication may be reproduced or distributed in any form or by any
means, or stored in a database or retrieval system, without the prior
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to, in any network or other electronic storage or transmission, or
broadcast for distance learning.

Some ancillaries, including electronic and print components, may not

be available to customers outside the United States.

This book is printed on acid-free paper.

1 2 3 4 5 6 7 8 9 LWI 24 23 22 21 20

ISBN 978-1-260-57511-8
MHID 1-260-57511-X

Cover Image: Courtesy of Michael G. Walmsley

All credits appearing on page or at the end of the book are

considered to be an extension of the copyright page.
The Internet addresses listed in the text were accurate at the time of
publication. The inclusion of a website does not indicate an
endorsement by the authors or McGraw-Hill Education, and McGraw-
Hill Education does not guarantee the accuracy of the ­information
presented at these sites.

mheducation.com/highered
 Page v

About the Authors iii

Preface xiii

Chapter 1 Introduction 1
1.1 Concrete, Reinforced Concrete, and Prestressed
Concrete 1
1.2 Structural Forms 2
1.3 Loads 9
1.4 Serviceability, Strength, and Structural Safety 12
1.5 Design Basis 15
1.6 Design Codes and Specifications 16
1.7 Safety Provisions of the ACI Code 17
1.8 Developing Factored Gravity Loads 19
1.9 Contract Documents and Inspection 22
References 23
Problems 24

Chapter 2 Materials 26
2.1 Introduction 26
2.2 Cement 26
2.3 Aggregates 27
2.4 Proportioning and Mixing Concrete 29
 2.5 Conveying, Placing, Consolidating, and Curing
31
2.6 Quality Control 32
2.7 Admixtures 36
2.8 Properties in Compression 38
2.9 Properties in Tension 44
2.10 Strength under Combined Stress 47
2.11 Shrinkage and Temperature Effects 49
2.12 High-Strength Concrete 52
2.13 Reinforcing Steels for Concrete 54
2.14 Reinforcing Bars 55
2.15 Welded Wire Reinforcement 60
2.16 Prestressing Steels 61
2.17 Fiber Reinforcement 63
References 65
Problems 67
Page vi
Chapter 3 Design of Concrete
Structures and Fundamental
Assumptions 68
3.1 Introduction 68
3.2 Members and Sections 70
3.3 Theory, Codes, and Practice 70
3.4 Fundamental Assumptions for Reinforced
Concrete Behavior72
3.5 Behavior of Members Subject to Axial Loads 73
3.6 Bending of Homogeneous Beams 79
References 81
Problems 81
Chapter 4 Flexural Analysis and Design of
Beams 83
4.1 Introduction 83
4.2 Reinforced Concrete Beam Behavior 83
4.3 Design of Tension-Reinforced Rectangular
Beams 93
4.4 Design Aids 107
4.5 Practical Considerations in the Design of Beams
110
4.6 Rectangular Beams with Tension and
Compression Reinforcement 113
4.7 T Beams 120
References 128
Problems 128

Chapter 5 Shear and Diagonal Tension in

Beams 132
5.1 Introduction 132
5.2 Diagonal Tension in Homogeneous Elastic
Beams 133
5.3 Reinforced Concrete Beams without Shear
Reinforcement 136
5.4 Reinforced Concrete Beams with Web
Reinforcement 143
5.5 ACI Code Provisions for Shear Design 148
5.6 Effect of Axial Forces 157
5.7 Beams with Varying Depth 159
5.8 Alternative Models for Shear Analysis and
Design 160
5.9 Shear-Friction Design Method 169
References 173
 Problems 174

Chapter 6 Bond, Anchorage, and ­‐

Development Length 177
6.1 Fundamentals of Flexural Bond 177
6.2 Bond Strength and Development Length 181
6.3 ACI Code Provisions for Development
of Tension
Reinforcement 185
6.4 Anchorage of Tension Bars by Hooks 190
6.5 Anchorage in Tension Using Headed Bars 196
6.6 Anchorage Requirements for Web
Reinforcement 202
6.7 Welded Wire Reinforcement 203
6.8 Development of Bars in Compression 204
6.9 Bundled Bars 205
6.10 Bar Cutoff and Bend Points in Beams Page vii
205
6.11 Structural Integrity Provisions 212
6.12 Integrated Beam Design Example 213
6.13 Bar Splices 218
References 221
Problems 222

Chapter 7 Serviceability 227

7.1 Introduction 227
7.2 Cracking in Flexural Members 227
7.3 ACI Code Provisions for Crack Control 230
7.4 Control of Deflections 233
7.5 Immediate Deflections 234
7.6 Deflections Due to Long-Term Loads 237
 7.7 ACI Code Provisions for Control of Deflections
240
7.8 Deflections Due to Shrinkage and Temperature
Changes 246
7.9 Moment vs. Curvature for Reinforced Concrete
Sections 248
References 252
Problems 253

Chapter 8 Analysis and Design for Torsion

255
8.1 Introduction 255
8.2 Torsion in Plain Concrete Members 256
8.3 Torsion in Reinforced Concrete Members 259
8.4 Torsion Plus Shear 263
8.5 ACI Code Provisions for Torsion Design 264
References 274
Problems 274

Chapter 9 Short Columns 277

9.1 Introduction: Axial Compression 277
9.2 Transverse Ties and Spirals 280
9.3 Compression Plus Bending of Rectangular
Columns 284
9.4 Strain Compatibility Analysis and Interaction
Diagrams 285
9.5 Balanced Failure 288
9.6 Distributed Reinforcement 291
9.7 Unsymmetrical Reinforcement 293
9.8 Circular Columns 294
9.9 ACI Code Provisions for Column Design 296
 9.10 Design Aids 297
9.11 Biaxial Bending 300
9.12 Load Contour Method 302
9.13 Reciprocal Load Method 303
9.14 Computer Analysis for Biaxial Bending of
Columns 306
9.15 Bar Splicing in Columns and Ties Near B
­ eam-
Column Joints 307
9.16 Transmission of Column Loads through
Floor Systems 309
9.17 Shear in Columns 310
References 310
Problems 311
Page viii
Chapter 10 Slender Columns 315
10.1 Introduction 315
10.2 Concentrically Loaded Columns 316
10.3 Compression Plus Bending 319
10.4 ACI Criteria for Slenderness Effects in Columns
324
10.5 ACI Criteria for Nonsway vs. Sway Structures
326
10.6 ACI Moment Magnifier Method for Nonsway
Frames 327
10.7 ACI Moment Magnifier Method for Sway Frames
335
10.8 Second-Order Analysis for Slenderness Effects
341
References 343
Problems 344
Chapter 11 Analysis, Idealization, and
Preliminarily Design of Reinforced
Concrete Beams and Frames 348
11.1 Continuity 348
11.2 Loading 350
11.3 Simplifications in Frame Analysis 352
11.4 Methods for Elastic Analysis 354
11.5 Idealization of the Structure 355
11.6 Preliminary Design and Guidelines for
Proportioning Members 360
11.7 Approximate Analysis 362
11.8 ACI Moment Coefficients 367
11.9 Limit Analysis 370
11.10Conclusion 381
References 382
Problems 382

Chapter 12 Analysis and Design of One-Way

Slabs 385
12.1 Types of Slabs 385
12.2 Design of One-Way Slabs 387
12.3 Considerations for One-Way Slab Design 390
12.4 Internal Ductwork 394
Reference 395
Problems 395

Chapter 13 Analysis and Design of Two-Way

Slabs 397
13.1 Two-Way Edge-Supported Slabs 397
13.2 Two-Way Column-Supported Slabs 400
 13.3 Flexural Reinforcement for Column-Supported
Slabs 407
13.4 Depth Limitations of the ACI Code 409
13.5 Direct Design Method 411
13.6 Equivalent Frame Method 412
13.7 Shear Design in Flat Plates and Flat Slabs 419
13.8 Transfer of Moments at Columns 430
13.9 Transfer Column Loads through Slabs 433
13.10Openings in Slabs 434
13.11Deflection Calculations 435
13.12Analysis for Horizontal Loads 442
References 444
Problems 445
Page ix
Chapter 14 Walls 449
14.1 Introduction 449
14.2 General Design Considerations 450
14.3 Simplified Design Method for Axial Load and
Out-of-Plane Moment 452
14.4 Alternative Method for Out-of-Plane Slender
Wall Analysis 454
14.5 Shear Walls 454
References 458
Problems 458

Chapter 15 Footings and Foundations 459

15.1 Types and Functions 459
15.2 Spread Footings 459
15.3 Design Factors 460
15.4 Loads, Bearing Pressures, and Footing Size 461
15.5 Wall Footings 463
 15.6 Column Footings 465
15.7 Combined Footings 474
15.8 Two-Column Footings 475
15.9 Strip, Grid, and Mat Foundations 482
15.10Deep Foundations 484
References 490
Problems 490

Chapter 16 Retaining Walls 492

16.1 Function and Types of Retaining Walls 492
16.2 Earth Pressure 492
16.3 Earth Pressure for Common Conditions of
Loading 496
16.4 External Stability 497
16.5 Basis of Structural Design 500
16.6 Drainage and Other Details 501
16.7 Example: Design of a Gravity Retaining Wall 502
16.8 Example: Design of a Cantilever Retaining Wall
504
16.9 Counterfort Retaining Walls 512
16.10Precast Retaining Walls 514
References 515
Problems 515

Chapter 17 Strut-and-Tie Method 517

17.1 Introduction 517
17.2 Development of the Strut-and-Tie Method 517
17.3 Strut-and-Tie Design Methodology 522
17.4 ACI Provisions for the Strut-and-Tie Method 527
17.5 Applications 535
References 543
 Problems 543
Page x
Chapter 18 Design of Reinforcement at
Joints 545
18.1 Introduction 545
18.2 Beam-Column Joints 546
18.3 Strut-and-Tie Method for Joint Behavior 558
18.4 Beam-to-Girder Joints 559
18.5 Ledge Girders 561
18.6 Corners and T Joints 564
18.7 Brackets and Corbels 567
References 571
Problems 572

Chapter 19 Concrete Building Systems 574

19.1 Introduction 574
19.2 Floor and Roof Systems 575
19.3 Precast Concrete for Buildings 589
19.4 Diaphragms 604
19.5 Engineering Drawings for Buildings 608
References 608

Chapter 20 Seismic Design 610

20.1 Introduction 610
20.2 Structural Response 612
20.3 Seismic Loading Criteria 617
20.4 ACI Provisions for Earthquake-Resistant
Structures 622
20.5 ACI Provisions for Special Moment Frames 624
20.6 ACI Provisions for Special Structural Walls, ­‐
Coupling Beams, Diaphragms, and Trusses 637
 20.7 ACI Provisions for Shear Strength 644
20.8 ACI Provisions for Intermediate Moment Frames
651
References 653
Problems 654

Chapter 21 Anchoring to Concrete 656

21.1 Introduction 656
21.2 Behavior of Anchors 658
21.3 Concrete Breakout Capacity 660
21.4 Anchor Design 661
21.5 ACI Code Provisions for Concrete Breakout
Capacity 662
21.6 Steel Strength 663
21.7 Concrete Breakout Capacity of Single Cast-In
and Post-Installed, Undercut, and Screw
Anchors 665
21.8 Pullout Strength of Anchors 673
21.9 Side-Face Blowout 674
21.10Pryout of Anchors 675
21.11Combined Shear and Normal Force 676 Page xi
21.12Anchor Reinforcement 678
21.13Adhesive Anchors 679
21.14Screw Anchors 682
21.15Earthquake Design 683
21.16Shear Lug Attachments 684
References 689
Problems 690

Chapter 22 Prestressed Concrete 694

22.1 Introduction 694
 22.2 Effects of Prestressing 695
22.3 Sources of Prestress Force 699
22.4 Prestressing Steels 702
22.5 Concrete for Prestressed Construction 704
22.6 Elastic Flexural Analysis 705
22.7 Flexural Strength 711
22.8 Partial Prestressing 716
22.9 Flexural Design Based on Concrete Stress Limits
717
22.10Shape Selection 728
22.11Tendon Profiles 729
22.12Flexural Design Based on Load Balancing 731
22.13Loss of Prestress 736
22.14Shear, Diagonal Tension, and Web
Reinforcement 741
22.15Transfer Length and Development Length 747
22.16Anchorage Zone Design 749
22.17Deflection 753
22.18Crack Control for Class C Flexural Members 757
References 757
Problems 758

Chapter 23 Yield Line Analysis for Slabs760

23.1 Introduction760
23.2 Upper and Lower Bound Theorems763
23.3 Rules for Yield Lines763
23.4 Analysis by Segment Equilibrium767
23.5 Analysis by Virtual Work769
23.6 Orthotropic Reinforcement and Skewed Yield
Lines774
23.7 Special Conditions at Edges and Corners776
 23.8 Fan Patterns at Concentrated Loads778
23.9 Limitations of Yield Line Theory779
References780
Problems780

Chapter 24 Strip Method for Slabs785

24.1 Introduction785
24.2 Basic Principles786
24.3 Choice of Load Distribution787
24.4 Rectangular Slabs790 Page xii
24.5 Fixed Edges and Continuity792
24.6 Unsupported Edges797
24.7 Slabs with Holes804
24.8 Advanced Strip Method809
24.9 Comparisons of Yield Line and Strip Methods for
Slab Analysis and Design816
References817
Problems817

Appendix A Design Aids 821

Appendix B SI Conversion Factors: Inch-Pound

Units to SI Units 854

Author Index 855

Subject Index 858

 Page iii

David Darwin has been a member of the faculty at the University

of Kansas since 1974, where he has served as director of the
Structural Engineering and Materials ­Laboratory since 1982 and
currently chairs the Department of Civil, ­Environmental, and
Architectural Engineering. He was appointed the Deane E. Ackers
Distinguished Professor of Civil Engineering in 1990. Dr. Darwin
served as President of the ­American Concrete Institute (ACI) in
2007–2008 and is a member and past chair of ACI Committees 224
on Cracking and 408 on Bond and Development of Reinforcement.
He is also a member of ACI Committee 318 Building Code for
Concrete Structures and ACI-ASCE Committee 445 on Shear and
Torsion. Dr. ­Darwin is an acknowledged expert on concrete crack
control and bond between steel reinforcement and concrete. He
received the ACI Arthur R. Anderson Award for his research efforts in
plain and reinforced concrete, the ACI Structural Research Award,
the ACI Joe W. Kelly Award for his contributions to teaching and
design, the ACI Foundation—Concrete Research Council Arthur J.
Boase Award for his research on reinforcing steel and concrete
cracking, and the Concrete Research Council Robert E. Philleo Award
for concrete material research and bridge construction practices. He
has also received a number of awards from the American Society of
Civil Engineers, including the Walter L. Huber Civil Engineering
Research Prize, the Moisseiff Award, and the State-of-the-Art of Civil
Engineering Award twice, the Richard R. Torrens Award, and the
Dennis L. Tewksbury Award, and has been honored for his teaching
by both undergraduate and graduate ­students at the University of
Kansas. He is past editor of the ASCE Journal of Structural
Engineering. Professor Darwin is a Distinguished Member of ASCE,
an Honorary Member of ACI, and a Fellow of the Structural
Engineering Institute of ASCE. He is a licensed professional engineer
and serves as a consultant in the fields of concrete materials and
structures. He has been honored with the Distinguished Alumnus
Award from the University of Illinois Civil and Environmental
Engineering Alumni Association. Between his M.S. and Ph.D.
degrees, he served four years with the U.S. Army Corps of
Engineers. He received the B.S. and M.S. degrees from Cornell
University in 1967 and 1968 and the Ph.D. from the University of
Illinois at Urbana-Champaign in 1974.

Charles W. Dolan is a consulting engineer and emeritus faculty

member of the ­University of Wyoming. At the University of Wyoming
from 1991 to 2012, he served as Department Head from 1998 to
2001 and as the first H. T. Person Chair of Engineering from 2002 to
2012, for which he received the University of Wyoming’s John P.
Ellbogen lifetime teaching award. A member of American Concrete
Institute (ACI) Committee 318 Building Code for Concrete Structures
for 17 years, he has chaired the Building Code Page iv
Subcommittees on Prestressed Concrete and Code
Reorganization. He has served as chair of the ACI Technical Activities
Committee, ACI Committee 358 on Transit Guideways, and ACI-ASCE
Committee 423 on Prestressed Concrete. A practicing engineer for
over 40 years, including 20 years at Berger/ABAM, he was the
project engineer on the Walt Disney World Monorail, the Detroit
Downtown Peoplemover guideway, and the original Dallas–Fort
Worth Airport transit system guideway. He developed the conceptual
design of the Vancouver BC SkyTrain structure and the Dubai Palm
Island monorail. He received the ASCE T. Y. Lin Award for
outstanding contributions to the field of prestressed concrete, the
ACI Arthur R. ­Anderson award for advancements in the design of
reinforced and prestressed concrete structures, and the
Prestress/Precast Concrete Institute’s (PCI) Martin P. Korn award for
advances in design and research in prestressed concrete. An
Honorary Member of ACI and a Fellow of PCI, he is internationally
recognized as a leader in the design of specialty transit structures
and development of fiber-reinforced polymers for concrete
reinforcement. Dr. Dolan is a registered professional engineer and
lectures widely on the design and behavior of structural concrete. He
received his B.S. from the ­University of ­Massachusetts in 1965 and
his M.S. and Ph.D. from Cornell U
­ niversity in 1967 and 1989.
 Page xiii

The sixteenth edition of Design of Concrete Structures continues the

dual objectives of establishing a firm understanding of the behavior
of structural concrete and of developing proficiency in the methods
of design practice. It is generally recognized that mere training in
special design skills and codified procedures is inadequate for a
successful career in professional practice. As new research becomes
available and new design methods are introduced, these procedures
are subject to frequent changes. To understand and keep abreast of
these rapid developments and to engage safely in innovative design,
the engineer needs a thorough grounding in the fundamental
performance of concrete and steel as structural materials and in the
behavior of reinforced concrete members and structures. At the
same time, the main business of the structural engineer is to design
structures safely, economically, and efficiently. Consequently, with
this basic understanding as a firm foundation, familiarity with current
design procedures is essential. This edition, like the preceding ones,
addresses both needs.
The text presents the basic mechanics of structural concrete and
methods for the design of individual members subjected to bending,
shear, torsion, and axial forces. It additionally addresses in detail
applications of the various types of structural members and systems,
including an extensive presentation of slabs, beams, columns, walls,
footings, retaining walls, and the integration of building systems.
The 2019 ACI Building Code, which governs design practice in
most of the United States and serves as a model code in many other
countries, underwent a number of significant changes, many due to
increases in the specified strengths of reinforcing steels that can
used for building construction.
 Changes of note include the addition of Grade 100 steel for use
as principal reinforcement for gravity and lateral loads and the
recognition that changes were needed in the Code, even for Grade
80 reinforcement. The use of steels with grades above 60, long the
standard in U.S. practice, has led to changes in the approaches to
both strength and serviceability, including the limits on both
maximum and minimum reinforcement; development lengths of
straight, hooked, and headed reinforcement; and requirements for
the effective moment of inertia when calculating deflections. Shear
design has changed through the addition of a size effect term that
recognizes that shear stress at failure decreases as member depth
increases. Inclusion of the size effect affects foundation walls, as
well as beams and slabs—a point that is highlighted in this edition.
The techniques used for two-way slab design were deleted from the
2019 ACI Building Code with the understanding that those
techniques would be covered by textbooks. That information has
been retained in Chapters 13, 22, and 23. Finally, the requirements
for the strut-and-tie method have been updated.
In addition to changes in the ACI Code, the text also Page xiv
includes the modified compression field theory method of
shear design presented in the 2017 edition of the American
Association of State Highway and Transportation Officials (AASHTO)
LRFD Bridge Design Specifications. Chapters on yield line and strip
methods, on the McGraw-Hill Education website in the previous
edition, have been returned to the printed version of the text.
A strength of the text is the analysis chapter, which includes load
combinations for use in design, a description of envelope curves for
moment and shear, guidelines for proportioning members under both
gravity and lateral loads, and procedures for developing preliminary
designs of reinforced concrete structures. The chapter also includes
the ACI moment and shear coefficients.
Present-day design is performed using computer programs, either
general-­purpose commercially available software or individual
programs written for special needs. Procedures given throughout the
book guide the student and engineer through the increasingly
complex methodology of design, with the emphasis on
understanding the design process. Once mastered, these procedures
are easily converted into flow charts to aid in preparing design aids
or to validate commercial computer program output.
The text is suitable for either a one- or two-semester course in
the design of concrete structures. If the curriculum permits only a
single course, probably taught in the fourth undergraduate year, the
following will provide a good basis: the introduction and treatment of
materials found in Chapters 1 through 3; the material on flexure,
shear, and anchorage in Chapters 4, 5, and 6; Chapter 7 on
serviceability; Chapter 9 on short columns; the introduction to one-
way slabs found in Chapter 12; and footings, Chapter 15. Time may
or may not permit classroom coverage of frame analysis or building
systems, Chapters 11 and 19, but these could well be assigned as
independent reading, concurrent with the earlier work of the course.
In the authors’ experience, such complementary outside reading
tends to enhance student motivation.
The text is more than adequate for a second course, most likely
taught in the senior year or first year of graduate study. The authors
have found that this is an excellent opportunity to provide students
with a more general understanding of reinforced concrete structural
design, often beginning with analysis and building systems, Chapters
11 and 19, followed by the increasingly important behavioral topics
of torsion, Chapter 8; slender columns, Chapter 10; the strut-and-tie
method of Chapter 17; and the design and detailing of joints,
Chapter 18. It should also offer an opportunity for a much-expanded
study of slabs, including Chapter 13, plus the methods for slab
analysis and design based on plasticity theory found in ­ Chapters 23
and 24, yield line analysis, and the strip method of design. Other
topics appropriate to a second course include retaining walls,
Chapter 16, and the introduction to earthquake-resistant design in
the expanded Chapter 20. Prestressed concrete in Chapter 22 is
sufficiently important to justify a separate course in conjunction with
anchoring to concrete, Chapter 21, and strut-and-tie methods,
Chapter 17. If time constraints do not permit this, Chapter 22
provides an introduction and can be used as the text for a one-
credit-hour course.
 At the end of each chapter, the user will find extensive reference
lists, which provide an entry into the literature for those wishing to
increase their knowledge through individual study. For professors,
the Instructor’s Solution Manual is available online at the McGraw-
Hill Education website.
A word must be said about units. In the United States, customary
inch-pound units remain prominent. Accordingly, inch-pound units
are used throughout the text, although some graphs and basic data
in Chapter 2 are given in dual units. Appendix B gives the SI
equivalents of inch-pound units.
A brief historical note may be of interest. This book is Page xv
the sixteenth edition of a textbook originated in 1923 by
Leonard C. Urquhart and Charles E. O’Rourke, both professors of
structural engineering at Cornell University. Over its remarkable 97-
year history, new editions have kept pace with research, improved
materials, and new methods of analysis and design. The second,
third, and fourth editions firmly established the work as a leading
text for elementary courses in the subject area. Professor George
Winter, also of Cornell, collaborated with Urquhart in preparing the
fifth and sixth editions. Winter and Professor Arthur Nilson were
responsible for the seventh, eighth, and ninth editions, which
substantially expanded both the scope and the depth of the
presentation. The tenth, eleventh, and twelfth editions were
prepared by Professor Nilson subsequent to Professor Winter’s
passing in 1982.
Professor Nilson was joined by Professor David Darwin of the
University of Kansas and by Professor Charles Dolan of the University
of Wyoming for the thirteenth, fourteenth, and fifteenth editions,
although Professor Nilson passed away prior to completion of the
fifteenth. Like Professors Winter and Nilson, the current authors
have been deeply involved in research and teaching in the fields of
reinforced and prestressed concrete, as well as professional Code-
writing committees, and have spent significant time in professional
practice, invaluable in developing the perspective and structural
judgment that sets this book apart.
 Special thanks are due to the McGraw-Hill Education project
team, notably, Sarah Paratore, Sue Nodine, Carey Lange, and Jane
Mohr.
We gladly acknowledge our indebtedness to the original authors.
Although it is safe to say that neither Urquhart or O’Rourke would
recognize much of the detail and that Winter would be impressed by
the many changes, the approach to the subject and the educational
philosophy that did so much to account for the success of the early
editions would be familiar. The imprint of Arthur Nilson—our
longstanding mentor, colleague, and friend—remains clear in the
organization and approach taken to the material in this text.

David Darwin
Charles W. Dolan
1 Introduction Page 1

1.1 CONCRETE, REINFORCED CONCRETE, AND

PRESTRESSED CONCRETE
Concrete is a stonelike material obtained by permitting a carefully
proportioned ­mixture of cement, sand and gravel or other coarse
aggregate, and water to harden in forms of the shape and
dimensions of the desired structure. The bulk of the material
consists of fine and coarse aggregate. Cement and water interact
chemically to bind the aggregate particles into a solid mass.
Additional water, over and above that needed for this chemical
reaction, is necessary to give the mixture the workability that
enables it to fill the forms and surround the embedded reinforcing
steel prior to hardening. Concretes with a wide range of properties
can be obtained by appropriate adjustment of the proportions of the
constituent materials. Special cements (such as high early strength
cements), special aggregates (such as various lightweight or
heavyweight aggregates), admixtures (such as plasticizers, air-
entraining agents, silica fume, and fly ash), and special curing
methods (such as steam-curing) permit an even wider variety of
properties to be obtained.
These properties depend to a very substantial degree on the
proportions of the mixture, on the thoroughness with which the
various constituents are intermixed, and on the conditions of
humidity and temperature in which the mixture is maintained from
the moment it is placed in the forms until it is fully hardened. The
process of controlling conditions after placement is known as curing.
To protect against the unintentional production of substandard
concrete, a high degree of skillful control and supervision is
necessary throughout the process, from the proportioning by weight
of the individual components, through mixing and placing, until the
completion of curing.
 The factors that make concrete a universal building material are
so pronounced that it has been used, in more primitive kinds and
ways than at present, for ­thousands of years, starting with lime
mortars from 12,000 to 6000 BCE in Crete, Cyprus, Greece, and the
Middle East. The facility with which, while plastic, it can be deposited
and made to fill forms or molds of almost any practical shape is one
of these factors. Its high fire and weather resistance is an evident
advantage. Most of the constituent materials, with the exception of
cement and additives, are usually available at low cost locally or at
small distances from the construction site. Its compressive strength,
like that of natural stones, is high, which makes it suitable for
members primarily subject to compression, such as columns and
arches. On the other hand, again as in natural stones, it is a
relatively brittle material whose tensile strength is low compared
with its compressive strength. This prevents its economical use as
the sole building material in structural members that are subject to
tension either entirely (such as in tie-rods) or over part of their cross
sections (such as in beams or other flexural members).
To offset this limitation, it was found possible, in the Page 2
second half of the ­nineteenth century, to use steel with its
high tensile strength to reinforce concrete, chiefly in those places
where its low tensile strength would limit the carrying capacity of the
­member. The reinforcement, usually round steel rods with
appropriate ­surface deformations to provide interlocking, is placed in
the forms in advance of the concrete. When ­completely surrounded
by the hardened concrete mass, it forms an integral part of the
member. The resulting combination of two materials, known as
reinforced ­concrete, combines many of the advantages of each: the
relatively low cost, good weather and fire resistance, good
compressive strength, and excellent formability of concrete and the
high tensile strength and much greater ductility and toughness of
steel. It is this combination that allows the almost unlimited range of
uses and possibilities of reinforced concrete in the construction of
buildings, bridges, dams, tanks, reservoirs, and a host of other
structures.
 It is possible to produce steels, at relatively low cost, whose yield
strength is 3 to 4 times and more that of ordinary reinforcing steels.
Likewise, it is possible to produce concrete 4 to 5 times as strong in
compression as the more ordinary concretes. These high-strength
materials offer many advantages, including smaller member cross
sections, reduced dead load, and longer spans. However, there are
limits to the strengths of the constituent materials beyond which
certain problems arise. To be sure, the strength of such a member
would increase roughly in proportion to those of the materials.
However, the high strains that result from the high stresses that
would otherwise be permissible would lead to large deformations
and consequently large deflections of such members under ordinary
loading conditions. Equally important, the large strains in such high-
strength reinforcing steel would induce large cracks in the
surrounding low tensile strength concrete, cracks that not only
would be unsightly but also could significantly reduce the durability
of the structure. This limits the useful yield strength of high-strength
reinforcing steel to 100 ksi † according to many codes and
specifications; 60 and 80 ksi steel is most commonly used.
Construction known as prestressed concrete, however, does use
steels and concretes of very high strength in combination. The steel,
in the form of wires, strands, or bars, is embedded in the concrete
under high tension that is held in equilibrium by compressive
stresses in the concrete after hardening. Because of this
precompression, the concrete in a flexural member will crack on the
tension side at a much larger load than when not so precompressed.
Prestressing greatly reduces both the deflections and the tensile
cracks at ordinary loads in such structures and thereby enables
these high-strength materials to be used effectively. Prestressed
concrete has extended, to a very significant extent, the range of
spans of structural concrete and the types of structures for which it
is suited.

1.2 STRUCTURAL FORMS

The figures that follow show some of the principal structural forms
of reinforced concrete. Pertinent design methods for many of them
are discussed later in this volume.
Floor support systems for buildings include the monolithic slab-
and-beam floor shown in Fig. 1.1, the one-way joist system of Fig.
1.2, and the flat plate floor, without beams or girders, shown in Fig.
1.3. The flat slab floor of Fig. 1.4, frequently used for more heavily
loaded buildings, is similar to the flat plate floor, but makes use of
increased slab thickness in the vicinity of the columns, as well as
flared column tops, to reduce stresses and increase strength in the
support region. The choice among these and other systems for
floors and roofs depends upon functional requirements, loads,
spans, and permissible member depths, as well as on cost and
esthetic factors.
Page 3
FIGURE 1.1
One-way reinforced concrete floor slab with monolithic supporting
beams. (Courtesy of Portland Cement Association)

FIGURE 1.2
One-way joist floor system, with closely spaced ribs supported by
monolithic concrete beams; transverse ribs provide for lateral
distribution of localized loads. (Courtesy of Portland Cement
Association)
FIGURE 1.3
Flat plate floor slab, carried directly by columns without beams or
girders. (Courtesy of Portland Cement Association)

FIGURE 1.4
Flat slab floor, without beams but with slab thickness increased at the
columns and with flared column tops to provide for local concentration
 of forces. (Courtesy of Portland Cement Association)

Where long clear spans are required for roofs, concrete shells
permit use of extremely thin surfaces, often thinner, relatively, than
an eggshell. The folded plate roof of Fig. 1.5 is simple to form
because it is composed of flat surfaces; such roofs have been
employed for spans of 200 ft and more. The cylindrical shell of Fig.
1.6 is also relatively easy to form because it has only a single
curvature; it is similar to the folded plate in its structural behavior
and range of spans and loads. Shells of this type were once quite
popular in the United States and remain popular in other parts of the
world.

FIGURE 1.5
Folded plate roof of 125 ft span that, in addition to carrying ordinary
roof loads, carries the second floor as well using a system of cable
hangers; the ground floor is kept free of columns. (Photograph by
Arthur H. Nilson)

FIGURE 1.6
Cylindrical shell roof providing column-free interior space. (Photograph
by Arthur H. Nilson)
 Doubly curved shell surfaces may be generated by simple
mathematical curves such as circular arcs, parabolas, and
hyperbolas, or they may be composed of complex combinations of
shapes. Hemispherical concrete domes are commonly used for
storage of bulk materials. The dome shown in Fig. 1.7 is for storage
of dry cement, and the piping around the perimeter is for the Page 4
pneumatic movement of the cement. Domed structures are
commonly constructed using shotcrete, a form of concrete that is
sprayed onto a liner and requires formwork or backing on only one
side. The dome in Fig. 1.7 was constructed by inflating a membrane,
spraying insulation on the membrane, placing the reinforcement on
the insulation, then spraying the concrete on both sides of the
insulation to the prescribed thickness using the insulation as Page 5
a backing form, as shown in Fig. 1.8. Piers and wharf
facilities (shown in Fig. 1.7), silos, waters tanks, reservoirs, and
other industrial facilities are commonly constructed of reinforced or
prestressed concrete.

FIGURE 1.7
Hemispherical cement storage dome in New Zealand. (Photograph
courtesy of Michael Hunter, Domtec, Inc.)

FIGURE 1.8
Shotcrete being applied to the interior of a dome structure.
(Photograph courtesy of Michael Hunter, Domtec, Inc.)
 Bridge design has provided the opportunity for some of Page 6
the most challenging and creative applications of structural
engineering. The award-winning Napoleon Bonaparte Broward
Bridge, shown in Fig. 1.9, is a six-lane, cable-stayed structure that
spans St. John’s River at Dame Point, Jacksonville, Florida. It has a
1300 ft center span. Figure 1.10 shows the Bennett Bay Centennial
Bridge, a four-span continuous, ­segmentally cast-in-place box girder
structure. Special attention was given to ­esthetics in this award-
winning design. The spectacular Natchez Trace Parkway Bridge in
Fig. 1.11, a two-span arch structure using hollow precast concrete
elements, carries a two-lane highway 155 ft above the valley floor.
Page 7
FIGURE 1.9
Napoleon Bonaparte Broward Bridge, with a 1300 ft center span at
Dame Point, Jacksonville, Florida. (HNTB Corporation, Kansas City,
Missouri)

FIGURE 1.10
Bennett Bay Centennial Bridge, Coeur d’Alene, Idaho, a four-span
continuous concrete box girder structure of length 1730 ft. (HNTB
Corporation, Kansas City, Missouri)
FIGURE 1.11 Page 8
Natchez Trace Parkway Bridge near Franklin, Tennessee, an award-
winning two-span concrete arch structure rising 155 ft above the valley
floor. (Designed by Figg Bridge Group)
 Buildings clad in glass or other fascia materials do not Page 9
immediately indicate the underlying structural framing. The
Premiere on Pine building in downtown Seattle is a case in point.
The 42-story building contains condominiums, underground parking,
and a hotel-type sky lounge. The 450,000 square foot flat slab cast-
in-place concrete construction uses 15,000 psi concrete for columns
to increase available floor space and to resist gravity and earthquake
loads; see Fig. 1.12.

FIGURE 1.12
Premier on Pine under construction. The cover photo is the competed
building. (Photograph provided by Cary Kopczynski and Company,
Structural Engineers)
 The structural forms shown in Figs. 1.1 to 1.12 hardly constitute
a complete inventory but are illustrative of the shapes appropriate to
the properties of reinforced or prestressed concrete. They illustrate
the adaptability of the material to a great variety of one-dimensional
(beams, girders, columns), two-dimensional (slabs, arches, rigid
frames), and three-dimensional (shells, tanks) structures and
structural components. This variability allows the shape of the
structure to be adapted to its function in an economical manner, and
furnishes the architect and design engineer with a wide variety of
possibilities for esthetically satisfying structural solutions.
1.3 LOADS
Loads that act on structures can be divided into three broad
categories: dead loads, live loads, and environmental loads.
Dead loads are those that are constant in magnitude and fixed in
location throughout the lifetime of the structure. Usually the major
part of the dead load is the weight of the structure itself. This can be
calculated with good accuracy from the design configuration,
dimensions of the structure, and density of the material. For
buildings, floor fill, finish floors, and plastered ceilings are usually
included as dead loads, and an allowance is made for suspended
loads such as piping and lighting ­fixtures. For bridges, dead loads
may include wearing surfaces, sidewalks, and curbs, and an
allowance is made for piping and other suspended loads.
Live loads consist chiefly of occupancy loads in buildings and
traffic loads on bridges. They may be either fully or partially in place
or not present at all, and may also change in location. Their
magnitude and distribution at any given time are uncertain, and
even their maximum intensities throughout the lifetime of the
structure are not known with precision. The minimum live loads for
which the floors and roof of a building should be designed are
usually specified in the building code that governs at the site of
construction. Representative values of minimum live loads to be
used in a wide variety of buildings are found in Minimum Design
Loads and Other Associated Criteria for Buildings and Other
Structures (Ref. 1.1), a portion of which is reprinted in Table 1.1.
The table gives uniformly distributed live loads for various types of
occupancies; these include impact and concentrated load provisions
where necessary. These loads are expected maxima and
considerably exceed average values.
In addition to these uniformly distributed loads, it is
recommended that, as an alternative to the uniform load, floors be
designed to support safely certain concentrated loads if these
produce a greater stress. For example, according to Ref. 1.1, office
floors are to be designed to carry a load of 2000 lb distributed over
an area 2.5 ft square (6.25 ft2), to allow for heavy equipment, and
stair treads must safely support a 300 lb load applied on the center
of the tread. Certain reductions are often permitted in live loads for
members supporting large areas with the understanding that it is
unlikely that the entire area would be fully loaded at one time (Refs.
1.1 and 1.2).
Tabulated live loads cannot always be used. The type of Page 10
occupancy should be considered and the probable loads
computed as accurately as possible. Warehouses for heavy storage
may be designed for loads as high as 500 psf or more; unusually
heavy operations in manufacturing buildings may require an increase
in the 250 psf value specified in Table 1.1; special provisions must be
made for all definitely located heavy concentrated loads.

TABLE 1.1
Minimum uniformly distributed live loads in pounds
per square foot (psf)
 Live loads for highway bridges are specified by the American
Association of State Highway and Transportation Officials (AASHTO)
in its LRFD Bridge Design Specifications (Ref. 1.3). For railway
bridges, the American Railway Engineering and Maintenance-of-Way
Association (AREMA) has published the Manual of Railway
Engineering (Ref. 1.4), which specifies traffic loads.
Environmental loads consist mainly of snow loads, wind pressure
and suction, earthquake load effects (that is, inertia forces caused
by earthquake motions), soil and hydraulic pressures on subsurface
portions of structures, loads from possible ponding of rainwater on
flat surfaces, and forces caused by temperature differentials. Like
live loads, environmental loads at any given time are uncertain in
both magnitude and distribution. Reference 1.1 contains much
information on environmental loads, which is often modified locally
depending, for instance, on local climatic or seismic conditions.
Figure 1.13, from the 1972 edition of Ref. 1.1, gives Page 11
snow loads for the continental United States and is included
here for illustration only. The 2016 edition of Ref. 1.1 gives much
more detailed information. In either case, specified values represent
not average values, but expected upper limits. A minimum roof load
of 20 psf is often specified to provide for construction and repair
loads and to ensure reasonable stiffness.

FIGURE 1.13
Snow load in pounds per square foot (psf) on the ground, 50-year
mean recurrence interval. (Minimum Design Loads for Buildings and
Other Structures, ANSI A58.1–1972, American National Standards
Institute, New York, 1972.)
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 WOMAN SOWING RICE.

One of the surest signs of the trouble impending was the

increased military activity displayed at the court of every daimio. The
coming conflict cast its shadow before, not in boisterous speech or
loud-mouthed denunciation, but in the training of body and limb to be
duly prepared for action requiring physical strength and endurance.
Horses were made to learn their paces, swords and lances were
sharpened, buckler and shield were burnished, and every armorer’s
workshop echoed the sounds of toil from early morning until late at
night.
Kuwana, the capital of the province of Ise, could at this period
boast of one of the gayest and yet most martial courts in the land.
The character of the reigning Duke, who had ruled for more than
thirty-six years, was such that although courage, daring, and manly
accomplishments could well look for their due meed of reward at his
hands, deeds of unjustifiable violence and ill-will found no
opportunity to interfere with or check the progress and prosperity of
the land.
He was now fifty-five years old, and had become stout and fleshy
and—for he loved the wine-cup no less than the sword—gouty as
well, and he was frequently obliged to be carried to his pavilion on
the field to witness sports in which, not so very long before, he used
to participate and shine in a way that few could equal. Traces of his
former prowess were still evident in his face and bearing, despite his
corpulence and bodily helplessness. There was about him a self-
possession, or rather a self-assertion, of manner which appertains
only to those who have learned to maintain themselves and their
rights in positions of importance and difficulty; and to do this in those
times required physical strength as well as qualities of the mind
which go to make up leaders of men. His bright, fierce eye followed
closely and with evident enjoyment every motion of those among the
actors who showed more than ordinary skill; and when any unusually
daring feat was performed, his hands and arms worked convulsively,
and he swayed himself to and fro as if to assist with his body where
only his eyes could take part.
Ono ga Sawa, as the Duke was called, was feared and held in
awe by his neighbors, who in the desultory border warfare in which
they had sometimes been engaged, had found that his dare-devil
courage was equalled by his astuteness, his energy, and his
extraordinary tenacity. By the people of his province, and more
especially by his retainers, to whom he was a kind and considerate
master, he was honored and respected. He loved boldness and
valor, and even in speech he encouraged frankness and openness
to a degree rare with those in his position. Of a jovial and good-
natured disposition withal, he ever approved of mirth and frolic, and
often at the dinner-table bandied jokes with his attendants, and
would even bear from those he liked a return in kind.
 MYTHOLOGICAL GODS OF JAPAN.

There was only one point upon which it would have been
injudicious to speak with freedom in his presence. The old lord had a
great veneration for family and gentle birth, for blue blood and for the
superiority to which the possession of a long line of ancestors could
justly lay claim. He was fond of displaying his genealogical tree,
showing his descent from Nakatomi no Kamatari, the celebrated
minister of Tenchi Tenno in the seventh century, who himself was a
descendant of the royal house of Fujiwara. When excited by wine he
did not stop there, but would count back to Jimmu Tenno, the first
Emperor of Japan, two thousand years ago; and he was even known
at such times to refer to Isanami no Mikoto and Isanagi no Mikoto,
the primeval mythological gods of the country, in a way which
seemed to show plainly that he considered himself as standing in
some sort of relationship with them. Now there was not a scullion in
the kitchen, nor a sandal-bearer in the courtyard, who did not indulge
in jokes at this propensity; for they all knew that the old gentleman’s
grandfather was a common peasant, who in the wars which followed
the accession of the Minamoto family to the Shôgunate, when he
was pressed as a soldier, had by personal bravery and native force
of character raised himself to the position of a military general. His
son, the father of the present lord, had in his early youth been
apprentice to a dyer, and from thence had been called to the camp of
his parent when the latter began to acquire military glory. But the
bravest of the brave military retainers at the court would sooner have
faced unarmed a wild boar than breathe a word of doubt or even
show a look of incredulity when, as so often happened, the old
genealogical tree was taken down and explained to them. Etiquette
at that time was not what it became much later,—an element of such
importance in the education of every samurai as to curb temporarily
the fiercest temper and force the most headstrong passions to
subordinate themselves to time and place. The long reign of peace
had its softening influence; yet, although threatening talk and angry
looks were not as likely as before to lead to immediate violence, they
were strangers neither at the festive board nor in the council-hall. An
utter disregard, however, for all rules of society as they existed even
then, and a reckless fashion of indulging his passions when aroused,
made Ono ga Sawa a man to be carefully humored by his
attendants.
An incident which had happened ten years previously was still
fresh in the memory of every one. An embassy had arrived from the
province of Sendai to arrange a marriage between the son of the lord
of that province and a daughter of Ono ga Sawa. All the
preliminaries had been concluded, and a grand festival and banquet
were being given in honor of the occasion. Toward the end of the
carouse, when wine had loosened tongues and conversation had
become general, the chief ambassador, perhaps in ignorance or
inadvertence, but more probably from a desire to check the feeling of
pride with which he had so often been received, essayed a joke
about the silk which faced the dress of his host. “You must be a good
judge of dyeing, and perhaps have a special receipt handed down to
you, to give that ribbon such a rich, deep purple color,” he began; but
if he had intended to say more, the general silence which followed
this remark caused him to refrain. The sudden cessation of all mirth
and conversation struck those present as with a chill, and the
laughing faces of a moment before now showed only anxious looks
furtively directed toward their lord.
Ono ga Sawa’s face, though flushed with wine, became
overspread with a deadly pallor. The silence of his followers not only
prevented him from overlooking a remark which in cooler moments
he might perhaps have disregarded, but gave it undue prominence.
Before the assembled guests had twice drawn breath he had
unsheathed his small sword and aimed a desperate blow at the
ambassador. The excess of his fury, rather than a natural shrinking
away on the part of his intended victim, caused the weapon to
miscarry, only slightly grazing the other’s skin and drawing a few
drops of blood; but this was sufficient to enable him to regain his
self-control. Those composing the ambassador’s suite had risen with
muttered threats and placed themselves behind their chief; while the
Kuwana men, who formed the large majority, also rose and
surrounded their lord. The latter, however, now perfectly calm, with
one glance caused his retainers to resume their stations. Slowly
replacing his sword, to show he meant no further violence, but only
half sheathing it, and keeping it firmly grasped, he said: “The only
kind of dyeing I understand is dyeing with blood; those spots upon
your doublet now show the same color as my ribbon,—the color of
blood, the color I love to see whenever honor demands it.”
 THE DUKE’S ATTACK ON THE AMBASSADOR.

In saying this, his meaning was not to be misunderstood. He

showed himself ready to stand by the consequences of his act; yet
there was a certain half-conciliatory tone and manner about him of
which the other thought best to avail himself. He knew that if the
failure of the important mission with which he was intrusted could be
attributed to his own lack of discretion—to which in this instance it
might be ascribed, although the provocation he had given was
certainly a slight one—it would end in his own disgrace with his lord.
So, quickly collecting himself, with a laugh as natural as he could
simulate, he replied: “You have certainly given us a good practical
illustration of what you call your style of dyeing, and if you intended it
as a lesson, I will accept it as such from you; although there are very
few lords in this kingdom for whom it would be safe or advisable to
attempt a similar course of teaching with me.”
 STREET BOARD FOR GOVERNMENT EDICTS.

Physical courage in those days was a common virtue, and that of

the envoy was too well known to be doubted; his course in ignoring
the rash act prompted by the other’s ungovernable temper only
raised him in the opinion of every one present, including Ono ga
Sawa himself. It was probably the only period in the history of Japan
when such an occurrence could have taken place without entailing
more serious consequences. During the long civil wars which were
soon to follow, peaceful solutions of any difficulty were again out of
the question; and after that time the observance of etiquette was
made so imperative that such a breach of it as had been here
committed by Ono ga Sawa would have demanded redress by law,
and would have subjected its perpetrator to severe punishment by
the court of the Shôgun. On the other hand, up to a hundred years
previous, when fighting was the rule all over the land to the exclusion
of everything else, such a course as had been here taken by the
ambassador would certainly not have been appreciated; it would
have been utterly opposed to the spirit of an age which
acknowledged no other honorable means of redress than an appeal
to arms, and which did not permit any qualification as to time and
place, but demanded instant and unhesitating action, even if self-
destruction was the certain result.
 EMPEROR OF JAPAN.

But the last hundred years had wrought a considerable change.

Nominally the profession of arms was still the only one a gentleman
could engage in; but literature, art, and the polite accomplishments
had begun to claim a fair share of attention. The strong government
of the Hōjō at Kamakura had improved laws and regulations and
caused them to be respected, thus imbuing the rising generation with
a sense of order and obedience to which their forefathers had been
strangers. It was a salutary discipline, which naturally found its
counterpart in a certain self-restraint introduced into the social
relations of life, into the intercourse between man and man. Every
samurai was still ready and eager to serve actively as a soldier; but
in the absence of such opportunities he tried to show his aptitude for
other pursuits. Many descendants of the royal house of Fujiwara
more especially distinguished themselves in civil employment.
The centre of the whole movement—from whence, indeed, it
derived its principal support—was the Mikado’s court at Kiyoto. Soon
after the close of the great struggle which saw the Minamoto family
firmly established as Shôguns, the songs of the high priest Tiun, son
of the Kuwambaku Tadamichi, first officer in the above court, had
taken a powerful hold on the public mind. As early as the year 1232
the issuing and editing of a full and complete edition of all the
valuable lyric and heroic poetry then extant had been intrusted to
Fujiwara no Sada by the Mikado himself. In the succeeding reign the
brother of the governing Emperor, the high priest Yen Man In,—a
man equally noted for erudition, for courtly manners, and for the
charm of his conversation, who, although ordained for the church,
exercised, by his talent for government, supreme influence at the
court,—greatly quickened the advancement of learning, of letters,
and of the polite accomplishments.
By the middle of the century the intellectual current had filtered
into and permeated the purely military court at Kamakura, where the
reigning Shôgun had called upon Kiyowara, a celebrated sage, to
review and explain to him the well-known Chinese work Tei Wan (or
“Guide for the Conduct of Rulers and Sovereigns”), and Tokiyori, lord
of Sagami, his first minister,—a man of the type of Yen Man In, who
by mere force of character and capacity was the virtual ruler of the
Shôgun’s court, as much as the other was at the imperial court,—
himself copied and commented upon the work Tei Kuwan Sei Yo
(“Study of the Principles of Politics”), publishing it in his own name.
In the beginning of the fourteenth century the effects of this
regeneration had made themselves felt more or less in every part of
Japan, and although military prowess was held in as high esteem as
ever, its value was greatly enhanced if added to it was some degree
of polite learning, dignity, and courtliness of manner. Ono ga Sawa
himself attached great value to these latter qualities, and the action
of the lord of Sendai’s ambassador in ignoring and adroitly turning
into a sort of joke what would certainly not have tended to the other’s
credit if treated in earnest, caused him a feeling of satisfaction which
he was generous enough not to conceal. The mission was a
complete success, an early consummation of the marriage was
agreed upon, and the ambassador on his return was loaded with
presents.
 EMPRESS OF JAPAN.

It may well be imagined that those whose duty called them to the
court avoided, even in the lightest of humors engendered by the
wine-cup, a subject fraught with so much danger. It was not a great
hardship to do this where so much to pass the time pleasantly and
agreeably offered itself. Amusements and festivities were not
wanting, the province was well governed, the harvests for years had
been good, the hand of the tax-collector lay lightly upon peasant and
citizen alike; and a plentiful crop having again been garnered in the
year of which we write, the usual harvest festival, with its attendant
games and military exercises, was about to be celebrated on even a
grander scale than usual.

SWORD DAGGERS.
 CHAPTER II.
The evening before the appointed day all the inns were filled to
overflowing, and fresh visitors arrived far on into the night, only to be
followed, with the dawn, by still greater crowds. Most of them were
farmers from the surrounding country; but a goodly share of
strangers was not wanting, and all found plenty to interest them.
Theatres at that time were not known; but tight-rope performers,
jugglers, dancers, story-tellers, and ballad-singers were in
abundance, all doing a thriving trade.
 SINGING GIRLS.

Among the spectators was a party of three, who had come late in
the day and who stood on a little knoll close to one of the entrances,
looking at the feats of riding and of kisha (archery on horseback),
dakiu (polo), inu-o-mono (dog-hunting), and other sports. The group
consisted of a tall, sinewy man of about thirty-five years, although his
sad, furrowed face at first sight made him look much older, a boy not
more than ten by his side, and behind these two one who was
evidently an old retainer. The boy was the son of his companion, as
could be seen at a glance, in spite of the difference between the
fresh, bright, sunny countenance of the one, and the careworn,
anxious look of the other. The contour of the lad’s face was the same
as that of the man; the mouth, although smiling with the innocence of
childhood, had the same resolute cast, and the eyes, now flashing
with delight at the gay scene before them, shone with that look of
cool, determined daring so conspicuous in the father. In the man’s
case, indeed, this last feature was developed to an extent rarely
seen; yet it nevertheless seemed so utterly at variance with the
settled, gloomy dejection which overspread his face that even a
passer-by would have been disposed to step and wonder whether
such a character could bear to submit to even the most pitiless blows
of fortune, rather than battle with them and win victory or find rest in
death. In this melancholy aspect, the man offered a marked contrast
to the great throng of sight-seers, whose faces reflected only mirth
and enjoyment; and they looked at him from time to time with no little
awe, giving to him and his companions a wide berth, although the
grounds elsewhere were crowded. Perhaps the dresses of the party,
which showed them to be samurai, contributed to this feeling of
respect; for members of the military class did not generally, on such
occasions, mix with the common people, but remained on the
platforms and stands erected for them. Although, however, the three
travellers wore samurai dresses, these were of the poorest
description, stained by travel and weather, and the two swords which
each carried in his girdle showed no ornament whatever.
The games had been progressing for some time, and the horses—
often mercilessly punished—became excited and restive; when at
last one, whose youthful rider had treated him to too many kicks of
his heavy stirrups, became uncontrollable, and dashing madly by the
grand stand where Lord Ono ga Sawa was sitting, galloped
headlong toward the entrance. Two of the nimble-footed bettoes
(horse-boys) who tried to stop the runaway were thrown off without
difficulty, and a few steps more would have brought the horse in
contact with the frightened crowd of human beings congregated
beyond the barriers, when the older stranger, already mentioned,
stepped forward, and catching hold of the bridle, arrested the animal
without apparently any very great exertion. The rider, who had
managed to keep his seat upon his runaway steed, expressed his
warmest thanks; and shortly afterward a special messenger came
with Ono ga Sawa’s orders to offer places to the stranger and his
party, and to invite them to participate in the games, if they desired to
do so. A ready assent was given to this invitation, and after seeing
his companions seated, the stranger mounted a horse provided for
him and entered the lists. From the very outset he showed himself to
be more than a match for any one present, excelling in riding,
fencing, archery, and in every other manly accomplishment there
displayed. Yet his face never relaxed its severe, taciturn expression;
and although he was scrupulously polite and attentive to every detail
of knightly courtesy, he went through it all, not like an enthusiastic
votary, but rather as a man fulfilling a duty which involved no thought
of pleasurable excitement. A very flattering invitation to visit the
castle and partake of the feast spread there, and also to present
himself formally before the Duke, was at once extended to him.
 THE DUKE RECEIVING MUTTO.

When in the evening he repaired thither with his companions, it

was easy to see that the report of his exploits had preceded his
arrival. Every eye was upon him as he passed to the inner hall,
where Ono ga Sawa, surrounded by his principal vassals, received
him with more state and ceremony than an unknown and unheralded
stranger could well have expected. “I have been a pleased witness
of your feats of strength and skill to-day,” the Duke began, after the
new-comer had made the usual obeisance, “and I wish to ask you
whether, if not bound by other ties, you are willing to engage yourself
at my court.”
“I am now seeking where to tender my services, and I shall be
thankful to be able to do so here,” was the rather short, but
respectfully given, answer. When the Duke spoke again, his tone
was a shade less courteous and pleasant. The stranger had taken
his grace too much as a matter of course. He expected a little more
empressement. He was accustomed to see his favors received more
demonstratively; and being of a jovial disposition himself, this cold,
unbending reserve in place of the warm acknowledgments which he
expected somewhat displeased him.
“You know who I am,” he said, and as he continued, the shade of
hauteur which he had assumed deepened; “I am Ono ga Sawa, the
lord of this province, the descendant of Kamatari; and I require that
those who surround me shall be men of tried valor and attainments,
as well as of distinguished family and honorable name. The first of
these qualifications you have shown that you possess in an eminent
degree, and it only remains for me to ask who you are and where
you come from.”
The stranger bowed his head low; but his humility did not affect his
tone of speech, which was firm and decided. “If your highness
deigns to accept my services, although there may be many superior
to me in abilities, none will excel me in strict performance of my
offices and in readiness to fulfil a samurai’s duties, even to the
shedding of the last drop of my blood in your behalf. I come from a
family old and noble, and not very long ago standing high in the
country where we lived; and were it not that I had known that your
highness was a lord of great merit and high repute, I never would
have asked for or even accepted your offer of engagement. I am
now a ronin, and am called Mutto Nobuyuki; but my real name and
where I come from I cannot disclose.”
 There was a pause which appeared very long to the assembled
courtiers, during which the Duke scrutinized the stranger with a
searching glance. What he saw there probably satisfied him that the
other had spoken truly. In a tone which, although stern, showed
nothing of displeasure, he at last said,—
“You have given me abundant proof of your prowess of body and
skill of arm; and if the strength and depth of your devotion prove
equal to these, as well as to your boldness of speech, I can well
congratulate myself upon enlisting you in my service.”
“I have spoken as becomes a free, unfettered samurai,” replied the
stranger. “Once admitted among your liegemen, my speech will
seldom be heard except in due deferential response to your orders.”
“Be it so, then. You shall have your house within the castle, and I
will herewith make you an allowance of fifty koku of rice for your
maintenance.”
This was certainly a liberal allowance for those times, and Mutto
acknowledged it in fitting terms. He then asked permission to
introduce his son, and the boy’s bright, intelligent face and frank yet
respectful behavior found great favor. The Duke spoke to him in a
kind, almost fatherly, way, and on dismissing him ordered his
treasurer to give him a few gold ornaments to put on his sword. He
also directed that a seat at the banquet should be assigned to him by
the side of his father. This brought the audience to a close. Etiquette
required them to remain at the feast until after the Duke had left the
hall, and it was far into the night before they retired to the house
which in the mean time had been prepared for their reception. Their
servant, Yamagawa, had arranged everything in their new domicile;
and although their own luggage was meagre enough, nothing
necessary for comfort was lacking, the Duke having given special
orders that everything that was wanted should be supplied from the
ducal storehouses.