Seismic Evaluation and Retrofit of Existing

Concrete Buildings using ACI 369.1M-17

HAKI 2019 Seminar
27 August, 2019, Jakarta
Andrew W. Taylor, PhD, SE, FACI
ACI Ambassador Speaker
KPFF Consulting Engineers, Seattle, USA

August 27, 2019 1

Part 1: Summary of the
ACI 369.1M-17 Standard and ASCE 41-17

August 27, 2019 2

• Overview of ACI 369
• ASCE 41 Concepts
• Performance-Based Seismic Design (PBSD)
• Benchmark Buildings
• Tier 1 Checklist Procedure
• Tier 2 Evaluation of Tier 1 Deficiencies
• Force-controlled Actions
• Deformation-controlled Actions

August 27, 2019 3

Overview of ACI 369

August 27, 2019 4

Overview of ACI 369

Standard Requirements for

Seismic Evaluation and Retrofit of
Existing Concrete Buildings (ACI
369.1M-17) and Commentary

August 27, 2019 5

Overview of ACI 369

• ACI 369 forms a part (Chapter

10) of ASCE 41-17, “Seismic
Evaluation and Retrofit of
Existing Buildings”
• ASCE 41-17 presents a general
system for seismic evaluation
and retrofit of all types of
buildings, not just concrete
buildings.

August 27, 2019 6

Overview of ACI 369

ACI 369 must be used in

combination with ASCE 41.
Therefore in this seminar we will
also be reviewing key concepts
from ASCE 41

August 27, 2019 7

Overview of ACI 369

The key information that ACI 369 provides is

modeling criteria and acceptance criteria for
members in concrete structures (beams, columns,
walls, etc.)

August 27, 2019 8

ASCE 41 Concepts

August 27, 2019 9

Overview of ASCE 41

ASCE 41 is a standard that provides a series of

three methods for the seismic evaluation of
reinforced concrete structures:
• Tier 1: Simplified checklist procedure
• Tier 2: Further evaluation based on Tier 1
deficiencies
• Tier 3: Advanced analytical evaluation

August 27, 2019 10

ASCE 41 Concepts

• Performance-Based Seismic Design (PBSD)

• Benchmark Buildings
• Tier 1 Checklist Procedure
• Tier 2 Evaluation of Tier 1 Deficiencies
• Force-controlled Actions
• Deformation-controlled Actions

August 27, 2019 11

ASCE 41 Concepts

• Performance-Based Seismic Design (PBSD)

• Benchmark Buildings
• Tier 1 Checklist Procedure
• Tier 2 Evaluation of Tier 1 Deficiencies
• Force-controlled Actions
• Deformation-controlled Actions

August 27, 2019 12

Performance-Based Seismic Design
(PBSD)

August 27, 2019 13

Performance-Based Seismic Design

• PBSD is an approach to seismic design that

may go beyond the minimum requirements of
the building codes.
• Current building codes are generally calibrated
to provide life-safety seismic performance in the
code-specified design earthquake
• Other combinations of seismic performance
and seismic hazard are possible.

August 27, 2019 14

Performance Based Seismic Design
Seismic Performance Levels

Illustration by Ronald Hamburger

August 27, 2019 15

Performance-Based Seismic Design
Seismic Performance Levels

II. Non-structural
damage III. Structural Damage

I. Elastic
Collapse
Limit

Displacement

Slide courtesy Jose Pincheira

August 27, 2019

 Performance-Based Seismic Design
Collapse Prevention Level
Overall Damage Severe
Personnel Safety Major injuries or deaths
Structural Frame Structural frame is near collapse.
Cladding Extensive loss of cladding.
Windows Extensive broken windows.
Doors Extensive jamming of doors and
blocking of exits.
Walls Extensive damage to walls, many not
repairable.
Mechanical and Electrical Systems Extensive damage of mechanical and
electrical systems, not repairable.
Elevators Extensive damage of elevators, not
repairable.
Computers and Data Storage Extensive damage, not repairable.
Sensitive Equipment Extensive damage, not repairable.
Life Safety Level
Moderate
Minor injuries
Structural frame is permanently
damaged and may not be repairable.
Damage to cladding, but cladding
remains on building.
Cladding may have to be replaced.
A few windows may be broken.
Some doors jammed.
No exits blocked.
Extensive damage to walls, many not
repairable.
Moderate damage of mechanical and
electrical systems.
May not be repairable.
Extensive damage of elevators, may be Moderate damage of elevators.
repairable.
Extensive damage, may not be
repairable.
Extensive damage, not repairable.
Immediate Occupancy Level Operational Level
Light Very Light
Minor injuries No injuries
Minor, repairable damage to Minor or no damage to structural
structural frame. frame.
Does not interfere with immediate Since repair is not required, operations
use, but may interfere with long-term are not interrupted.
use.
Minor cladding damage. Little or no cladding damage.
Does not interfere with immediate Operations not interrupted for repair.
operations, but may require future
repair or replacement.
Minor or no window damage. No window damage.
Some doors jammed. No jamming of doors.
Requires immediate repair.
Minor damage to walls. Little or no damage to walls.
Requires repair in future. Operations not interrupted for repair.
Minor damage of mechanical and No damage to mechanical and
electrical systems. electrical systems.
Repairable in 24 hours or less if repair Operations continue uninterrupted.
services are available. Power and utilities available from
Power and utilities may be auxiliary sources.
unavailable.
Elevators functional.
May not be functional for several
days, if repair services are not
available.
Minor damage, requiring repairs. Fully functional.
Data may be lost. No loss of data.
Down time depends on availability of
repair services.
Moderate damage, requiring repairs. No damage to sensitive equipment.
Experiments lost.
Down time depends on availability of August 27, 2019 17
parts and repair services.
 Performance-Based Seismic Design
Collapse Prevention Level Life Safety Level Immediate Occupancy Level Operational Level
Overall Damage Severe Moderate Light Very Light
Personnel Safety Major injuries or deaths Minor injuries Minor injuries No injuries
Structural Frame Structural frame is near collapse. Structural frame is permanently Minor, repairable damage to Minor or no damage to structural
damaged and may not be repairable. structural frame. frame.
Does not interfere with immediate Since repair is not required, operations
use, but may interfere with long-term are not interrupted.
use.
Cladding Extensive loss of cladding. Damage to cladding, but cladding Minor cladding damage. Little or no cladding damage.
remains on building. Does not interfere with immediate Operations not interrupted for repair.
Cladding may have to be replaced. operations, but may require future
repair or replacement.
Windows Extensive broken windows. A few windows may be broken. Minor or no window damage. No window damage.
Doors Extensive jamming of doors and Some doors jammed. Some doors jammed. No jamming of doors.
blocking of exits. No exits blocked. Requires immediate repair.
Walls
•
repairable. Collapse Prevention Level
Extensive damage to walls, many not Extensive damage to walls, many not
repairable.
Minor damage to walls.
Requires repair in future.
Little or no damage to walls.
Operations not interrupted for repair.

•
Mechanical and Electrical Systems Extensive damage of mechanical and Moderate damage of mechanical and Minor damage of mechanical and No damage to mechanical and

Life Safety Level

electrical systems, not repairable.
electrical systems.
May not be repairable.
electrical systems. electrical systems.
Repairable in 24 hours or less if repair Operations continue uninterrupted.
services are available.

•
Power and utilities available from

Immediate Occupancy Level Power and utilities may be

unavailable.
auxiliary sources.

Elevators
Computers and Data Storage
Sensitive Equipment
•
Extensive damage of elevators, not
repairable.
Operational Level
Extensive damage, not repairable.
Extensive damage, not repairable.
Extensive damage of elevators, may be Moderate damage of elevators.
repairable.
Extensive damage, may not be
repairable.
Extensive damage, not repairable.
Elevators functional.
May not be functional for several
days, if repair services are not
available.
Minor damage, requiring repairs. Fully functional.
Data may be lost. No loss of data.
Down time depends on availability of
repair services.
Moderate damage, requiring repairs. No damage to sensitive equipment.
Experiments lost.
Down time depends on availability of August 27, 2019 18
parts and repair services.
 Performance-Based Seismic Design
Collapse Prevention Level Life Safety Level Immediate Occupancy Level Operational Level
Overall Damage Severe Moderate Light Very Light
Personnel Safety Major injuries or deaths Minor injuries Minor injuries No injuries

•
Structural Frame Structural frame is near collapse. Structural frame is permanently Minor, repairable damage to Minor or no damage to structural

Overall Damage
damaged and may not be repairable.
structural frame.
Does not interfere with immediate
frame.
Since repair is not required, operations

•
use, but may interfere with long-term are not interrupted.

Cladding Extensive loss of cladding.

Personnel Safety
Damage to cladding, but cladding
use.
Minor cladding damage. Little or no cladding damage.

•
remains on building. Does not interfere with immediate Operations not interrupted for repair.

Cladding
Cladding may have to be replaced. operations, but may require future
repair or replacement.

•
Windows Extensive broken windows. A few windows may be broken. Minor or no window damage. No window damage.
Doors Extensive jamming of doors and
blocking of exits.
Windows
Some doors jammed.
No exits blocked.
Some doors jammed.
Requires immediate repair.
No jamming of doors.

Walls
repairable. •
Extensive damage to walls, many not
Doors
Extensive damage to walls, many not
repairable.
Minor damage to walls.
Requires repair in future.
Little or no damage to walls.
Operations not interrupted for repair.

•
Mechanical and Electrical Systems Extensive damage of mechanical and
electrical systems, not repairable.
Moderate damage of mechanical and Minor damage of mechanical and No damage to mechanical and
Walls
electrical systems.
May not be repairable.
electrical systems. electrical systems.
Repairable in 24 hours or less if repair Operations continue uninterrupted.
services are available.

•
Power and utilities available from

Mechanical and Electrical Power and utilities may be

unavailable.
auxiliary sources.

Elevators
Computers and Data Storage
•
Extensive damage of elevators, not
repairable.
Extensive damage, not repairable.
• Computers and Data Storage
Extensive damage of elevators, may be Moderate damage of elevators. Elevators functional.
Elevators
repairable. May not be functional for several
days, if repair services are not
available.
Extensive damage, may not be
repairable.
Minor damage, requiring repairs.
Data may be lost.
Down time depends on availability of
Fully functional.
No loss of data.

Sensitive Equipment Extensive damage, not repairable.• Sensitive Equipment

Extensive damage, not repairable.
repair services.
Moderate damage, requiring repairs. No damage to sensitive equipment.
Experiments lost.
Down time depends on availability of August 27, 2019 19
parts and repair services.
Performance-Based Seismic Design

Collapse Prevention Level Life Safety Level Immediate Occupancy Level Operational Level
Overall Damage Severe Moderate Light Very Light
Personnel Safety Major injuries or deaths Minor injuries Minor injuries No injuries
Structural Frame Structural frame is near collapse. Structural frame is permanently Minor, repairable damage to Minor or no damage to structural
damaged and may not be repairable. structural frame. frame.
Does not interfere with immediate Since repair is not required, operations
use, but may interfere with long-term are not interrupted.
use.
Cladding Extensive loss of cladding. Damage to cladding, but cladding Minor cladding damage. Little or no cladding damage.
remains on building. Does not interfere with immediate Operations not interrupted for repair.
Cladding may have to be replaced. operations, but may require future
repair or replacement.
Windows Extensive broken windows. A few windows may be broken. Minor or no window damage. No window damage.
Doors Extensive jamming of doors and Some doors jammed. Some doors jammed. No jamming of doors.
blocking of exits. No exits blocked. Requires immediate repair.
Walls Extensive damage to walls, many not Extensive damage to walls, many not Minor damage to walls. Little or no damage to walls.
repairable. repairable. Requires repair in future. Operations not interrupted for repair.
Mechanical and Electrical Systems Extensive damage of mechanical and Moderate damage of mechanical and Minor damage of mechanical and No damage to mechanical and
electrical systems, not repairable. electrical systems. electrical systems. electrical systems.
May not be repairable. Repairable in 24 hours or less if repair Operations continue uninterrupted.
services are available. Power and utilities available from
Power and utilities may be auxiliary sources.
unavailable. August 27, 2019 20
Performance Based Seismic Design
Example of Seismic Hazard Levels:
Earthquake Description Return Period
Frequent 43 Years
Occasional 72 Years
Rare 475 Years
Very Rare 950 Years

August 27, 2019 21

Performance-Based Seismic Design

August 27, 2019 22

Performance-Based Seismic Design

August 27, 2019 23

Performance-Based Seismic Design

August 27, 2019 24

Performance-Based Seismic Design
For the highest levels of seismic performance,
special systems may be required:

Seismic Supplemental
Isolation Damping

August 27, 2019 25

Performance-Based Seismic Design

ASCE 41-17 allows the engineer to define any

level of seismic hazard of interest
However, ASCE 41 defines four specific seismic
hazard levels that are usually considered:

Slide courtesy Jose Pincheira

August 27, 2019 26

Performance-Based Seismic Design

Basic Safety Earthquake-1E (BSE-1E)

•Basic Protection Earthquake-1E (Existing Buildings)
•20%/50 year hazard ≤ BSE-1N

Basic Safety Earthquake-2E (BSE-2E)

•Basic Protection Earthquake-2E (Existing Buildings)
•5%/50 year hazard ≤ BSE-2N

Slide courtesy Jose Pincheira

August 27, 2019 27

Performance-Based Seismic Design

Basic Safety Earthquake-1N (BSE-1N)

•Basic Protection Earthquake-1N (New Buildings)
•2/3 the value of BSE-2N

Basic Safety Earthquake-2N (BSE-2N)

•Basic Protection Earthquake-2N (New Buildings)
•“Risk-Targeted Maximum Considered Earthquake
(MCER)” in accordance with ASCE 7-16

Slide courtesy Jose Pincheira

August 27, 2019 28

Performance Objective
In theory, any combination of seismic
performance level and seismic hazard level
could be chosen to define the performance
objective. Clearly, however, only some
combinations will be possible from the point of
view of $$ and practicality.

Slide courtesy Jose Pincheira

August 27, 2019 29

Performance Objective

ASCE 41-17  Defines Three Types of

Performance Objectives:
Basic Performance Objective for Existing Buildings
(BPOE)
Enhanced Performance Objective (> BPOE)
Limited Performance Objective (< BPOE)

Slide courtesy Jose Pincheira

August 27, 2019 30

August 27, 2019 31
Performance Objective

The Performance Objective depends on the

function or use of the building…
Essential buildings, for example, should meet
more restrictive performance objectives

Slide courtesy Jose Pincheira

August 27, 2019 32

Tier 1 Seismic Evaluation

Define the levels of building performance

Define the levels of seismic hazard

Classify the building (e.g. non-essential, essential)

Complete the Tier 1 checklists

Slide courtesy Jose Pincheira

August 27, 2019 33

ASCE 41 Concepts

• Performance-Based Seismic Design (PBSD)

• Benchmark Buildings
• Tier 1 Checklist Procedure
• Tier 2 Evaluation of Tier 1 Deficiencies
• Force-controlled Actions
• Deformation-controlled Actions

August 27, 2019 34

Benchmark Buildings

• A “benchmark building” is one that has been

designed using a recent structural design code
• Since the building complies with most or all of
the current seismic design rules, it does not
require further seismic evaluation or
rehabilitation.
• Always check the “benchmark building” status
of the building you are evaluating, especially if it
is a newer building.

August 27, 2019 35

Benchmark Buildings
Example: If this building was designed using the 2000
International Building Code (IBC), according to Table 3-
2 of ASCE 41-17, it will meet “Life Safety Structural
Performance” (LS) at the BSE-1E seismic hazard level.

August 27, 2019 36

Benchmark Buildings

August 27, 2019 37

ASCE 41 Concepts

• Performance-Based Seismic Design (PBSD)

• Benchmark Buildings
• Tier 1 Checklist Procedure
• Tier 2 Evaluation of Tier 1 Deficiencies
• Force-controlled Actions
• Deformation-controlled Actions

August 27, 2019 38

Tier 1 Checklist Procedure

The ASCE 41 Tier 1 checklist procedure provides

a quick method for initial seismic evaluation of
buildings, and for identification of possible
seismic deficiencies.

August 27, 2019 39

Tier 1 Checklist Procedure

ASCE 41 contains
many different Tier 1
checklists for a range
of different structure
types

August 27, 2019 40

Basic Configuration Checklist

First, the “Basic Configuration Checklist” must

be completed.
This checklist provides information on possible
problems related to the basic configuration of
the building.
e.g. load path, adjacent buildings, weak stories,
soft stories, vertical irregularities, etc.

August 27, 2019 41

August 27, 2019 42
August 27, 2019 43
Basic Configuration Checklist

August 27, 2019 44

Basic Configuration Checklist

August 27, 2019 45

Structure-Specific Checklist

Second, the “structure-specific checklist” must

be completed.
Choose the checklist that corresponds to the
type of structure being evaluated
e.g. wood frame with shear wall panels; steel
concentrically braced frame; RC moment
resisting frame; precast concrete frame; etc.

August 27, 2019 46

Tilt-Up Concrete Building

August 27, 2019 47

Structure-Specific Checklist

Some checklist items may require simple

calculations, for example, checking the average
shear stress on the cross-section area of all
shear walls

August 27, 2019 48

Structure-Specific Checklist

August 27, 2019 49

Summarize Tier 1 Deficiencies

When checklists are complete, summarize the

Tier 1 deficiencies that were identified
e.g. Incomplete load path
Potential for soil liquefaction
Insufficient connections of floors to walls
Insufficient column shear reinforcement

August 27, 2019 50

ASCE 41 Concepts

• Performance-Based Seismic Design (PBSD)

• Benchmark Buildings
• Tier 1 Checklist Procedure
• Tier 2 Evaluation of Tier 1 Deficiencies
• Force-controlled Actions
• Deformation-controlled Actions

August 27, 2019 51

Tier 2 Evaluation

If deficiencies are identified in Tier 1, those

deficiencies should be further evaluated in Tier 2

Tier 1 Tier 2

August 27, 2019 52

Tier 2 Evaluation

• Tier 2 evaluation may require slightly more

advanced analyses than Tier 1
• If a Tier 1 deficiency is found to pass the Tier
2 check, then that deficiency is considered
satisfied. No mitigation is required for that
deficiency.
• If a Tier 1 deficiency does not pass the Tier 2
check, then that deficiency should be
mitigated

August 27, 2019 53

Tier 2 Evaluation

The Tier 2 evaluation requirements are found in

parentheses at the end of each Tier 1 checklist
item:

August 27, 2019 54

ASCE 41 Concepts

• Performance-Based Seismic Design (PBSD)

• Benchmark Buildings
• Tier 1 Checklist Procedure
• Tier 2 Evaluation of Tier 1 Deficiencies
• Force-controlled Actions
• Deformation-controlled Actions

August 27, 2019 55

Force-Controlled Actions
ASCE 41 & ACI 369 define two types of behavior:
force-controlled actions

displacement-controlled actions.

This classification is necessary to distinguish

between behavior that is subject to sudden
failure (brittle), and behavior that is subject to
gradual failure (ductile).

August 27, 2019 56

Force-Controlled Actions

All actions shall be classified as deformation-

controlled or force-controlled…
• Force-controlled actions: brittle limit state
• Deformation-controlled actions: ductile limit state

August 27, 2019 57

Force-Controlled Actions

In ASCE 41, the acceptability of a force-controlled

action is determined by

κ = a factor for the quality of knowledge about

existing material properties, κ ≤ 1.0
QCL = Strength, computed using lower-bound
material properties
QUF = Moment, shear, torque, etc. (“action”)
computed using expected strength of components
August 27, 2019 58
ASCE 41 Concepts

• Performance-Based Seismic Design (PBSD)

• Benchmark Buildings
• Tier 1 Checklist Procedure
• Tier 2 Evaluation of Tier 1 Deficiencies
• Force-controlled Actions
• Deformation-controlled Actions

August 27, 2019 59

Deformation-Controlled Actions

All actions shall be classified as deformation-

controlled or force-controlled…
• Force-controlled actions: brittle limit state
• Deformation-controlled actions: ductile limit state

August 27, 2019 60

Deformation-Controlled Actions
In ASCE 41, the acceptability of a deformation-
controlled action is determined by

m = Component capacity modification factor

κ = a factor for the quality of knowledge about
existing material properties, κ ≤ 1.0
QCE = Expected strength of component
QUD = Deformation-controlled moment, shear,
torque, etc. (“action”) caused by gravity loads and
earthquake forces
August 27, 2019 61
Deformation-Controlled Actions
m factors are specified in tables that appear in
material-specific chapters 8 through 12, 14, and 15
(Chapter 10 is “concrete”, refers to ACI 369).

August 27, 2019 62

• Overview of ACI 369
• ASCE 41 Concepts
• Performance-Based Seismic Design (PBSD)
• Benchmark Buildings
• Tier 1 Checklist Procedure
• Tier 2 Evaluation of Tier 1 Deficiencies
• Force-controlled Actions
• Deformation-controlled Actions

August 27, 2019 63