SeismicEvaluationOfExistingBuildingsUsingASCE41 13tier2 ARCHIVED

Seismic Evaluation of Existing
Buildings Using ASCE 41-13 Tier 2

and Tier 3 Procedures
Mohammad Aliaari, Ph.D., S.E., P.E.

Mohammad.Aliaari@imegcorp.com
IMEG (Formerly TTG)
Distribution of the webinar materials outside of your site is prohibited. Reproduction of the materials and pictures without a written permission of the
copyright holder is a violation of the U.S. law.
Meet Your Instructor
Mohammad Aliaari, Ph.D., S.E., P.E.
 Senior Associates with IMEG (Formerly TTG), Pasadena, CA

 Over 16 years experiences in structural engineering and seismic research
 Technical expertise: new design, seismic evaluation and upgrade of
existing buildings, PML study, nonlinear analysis, IPD, BIM, Lean.
 Author of several papers and articles about IPD and seismic upgrade
 Member of ASCE 41 national committee
Email: mohammad.aliaari@imegcorp.com
Disclaimer & Acknowledgement: Unless otherwise notes, photos and figures shown and some
contents are from ASCE 41-13, CSI Perform Software, and an IMEG project in California.
2
1
Webinar Outline
Part 1: Overview of ASCE 41-13
Part 2: General Requirements
Part 3: Tier 2 Deficiency Based
Part 4: Tier 3 Systematic
Part 5: Analysis Procedure & Acceptance Criteria

(Tier 2 and Tier 3)
3
Webinar Objectives/Outcomes
Participant will be able to:
 be familiar with ASCE 41-13 standard and its development
 understand purpose, scope, procedure and differences between 3 tiered

evaluation system
 understand how to select performance objectives & seismic hazards
 realize steps and procedure for a Tier 2 and Tier 3 evaluations
 be familiar with analysis procedure & acceptance criteria per ASCE 41-13
2
Part 1 – Overview of ASCE 41-13
Part 1: Overview of ASCE 41-13
1.1 History of Seismic Evaluation Standards
1.2 ASCE 41-13 Development
1.3 Three-Tired Procedure
3

 Older Standards
 ATC 3-06 (1978, Amended 1982) - Tentative Provisions for the Development
of Seismic Regulations for Buildings
 FEMA 178 (1993) - NEHRP Handbook for Seismic Evaluation of Existing
Buildings
 FEMA 273 (1997) - NEHRP Guidelines for the Seismic Rehabilitation of
Buildings
 FEMA 310 (1998) - Handbook for the Seismic Evaluation of Buildings
 FEMA 356 (2000) – Prestandard and Commentary for the Seismic
Rehabilitation of Buildings
 Last Standards
 ASCE 31-03 (2002) - Seismic Evaluation of Existing Buildings
 ASCE 41-06 (2007) - Seismic Rehabilitation of Existing Buildings
7

Evaluation
FEMA 178  FEMA 310  ASCE 31-03

(1993) (1998) (2002)
New Design
Retrofit &
ASCE 41-13
Evaluation
& Retrofit
FEMA 273  FEMA 356  ASCE 41-06

(1997) (2000) (2007) 8
4
1.2 ASCE 41-13 Development

 Combined ASCE 31-03 and ASCE 41-06
 Consistent “evaluation” and “retrofit” provisions
 Greater consistency with new design (ASCE 7-10)
 Differentiated seismic hazard for existing (E) and new (N)
 Explicit “new design code” equivalent performance objective
 Updated technical and analytical provisions
1.2 ASCE 41-13 Development Table of

Chapter 1 General Requirements Contents
Chapter 2 Performance Objectives and Seismic Hazards
Chapter 3 Evaluation and Retrofit Requirements
Chapter 4 Tier 1 Screening
Chapter 5 Tier 2 Deficiency-Based Evaluation and Retrofit
Chapter 6 Tier 3 Systematic Evaluation and Retrofit
Chapter 7 Analysis Procedures and Acceptance Criteria
Chapter 8 Foundation and Geologic Site Hazard
Chapter 9 Steel
Chapter 10 Concrete
Chapter 11 Masonry
Chapter 12 Wood and Cold-Formed Steel Light Frame
Chapter 13 Architectural, Mechanical, and Electrical Components
Chapter 14 Seismic Isolation and Energy Dissipation
Chapter 15 System-Specific Performance Procedures
Chapter 16 Tier 1 Checklists
Chapter 17 Reference Documents
Appendix A Guidelines for Deficiency-Based Procedures
Appendix B Applying ASCE 41-13 in Building Codes, Regulatory Policies, and Mitigation programs
Appendix C Summary Data Sheet 10
5
1.3 Three-Tiered Procedure

 Tier -1 Screening Procedure
 Evaluation only
 Quick screening tool utilizing checklists
 Outcome is list of “potential” deficiencies
 Tier-2 Deficiency-Based Procedure

 Evaluation and retrofit
 Examines Tier-1 deficiencies in detail
 May mitigate Tier-1 deficiencies by calculations or propose retrofit
 Tier-3 Systematic Procedure

 Evaluation and retrofit
 Full systematic analysis of entire building
11
1.3 Three-Tiered Procedure

Building Type
Tier Limitations
Performance Objective
Seismic Hazard
Tier 1 Tier 3
Tier 2
Fig. C1-1. Evaluation Process

(From ASCE 41-13)
12
6
Part 2 – General Requirements
Part 2: General Requirements
13
2.1 Performance Objectives
2.2 Seismic Hazard Level
2.3 Level of Seismicity
2.4 As-Built Information
2.5 Common Building Type
2.6 Limitation of Tier 1 & Tier 2
14
7

 Section 2.2 of ASCE 41-13
 Performance Objective:
 Limited/Reduced Performance Objective
 Basic Performance Objective
 Evaluation - Basic Performance Objective for Existing Buildings (BPOE)
 Retrofit/New - Basic Performance Objective for New Buildings (BPON)
 Enhanced Performance Objective
 Structural Performance Level:

 Immediate Occupancy (S-1)
 Damage Control (S-2)
 Life Safety (S-3)
 Limited Safety (S-4)
 Collapse Prevention (S-5) 15

 Non-Structural Performance Level:
 Operations (N-A)
 Position Retention (N-B)
 Life Safety (N-C)
 Selection of Performance Objective

 Beyond scope of ASCE 41-13
 Based on whether it is mandatory or voluntary
 Based on factors such as: level of safety needed, cost of repair, business
interruption, architectural/historical effects, community effects, etc.
 FEMA 274 discusses about selection of performance objective
 Appendix B and ASCE 41-13 discusses applying standard w/ good examples
16
8

 Usually, BPOE is used for evaluation of existing buildings
 Structural & non-structural performance levels per “Risk Category” (Table 2-1)
Table 2-1 (From ASCE 41-13) 17
2.2 Seismic Hazard Level

 Existing Building Hazard

 BSE-1E: 20% in 50-year (225-year return period)
 BSE-2E: 5% in 50-year (975-year return period)
 New Design Equivalent Hazard

 BSE-1N: is 2/3 of ASCE 7-10 MCER (close to 10% in 50-year, 475-year)
 BSE-2N: is the ASCE 7-10 MCER (close to 1% in 50-year, 4,975-year)
 Where to obtain:
 USGS website (http://earthquake.usgs.gov/hazards/designmaps)
 Geotechnical/Site-Specific Investigation
18
9
2.3 Level of Seismicity Table 2-5 (From ASCE 41-13)
 Level of Seismicity
 Very low
 Low
 Moderate
 High
 Depends on SDS and SD1 (Table 2-5)
 Equivalency to Seismic Design Category (SDC) in ASCE 7-10

 SDC A: very low
 SDC B: Low
 SDC C: Moderate
 SDC D-F-E: High 19
2.4 As-Built Information

 Obtain general information about the building

 Building configuration (Section 3.2.2)
 Building components (Section 3.2.3)
 Site and foundation (Section 3.2.4)
 Adjacent structures (Section 3.2.5)
 Sources
 Available drawings, specifications, prior reports or studies
 Verification by on-site investigation (typically non-destructive examinations)
 Interviews with building owners, maintenance staff, tenants, managers,
original Architect/Engineer/Contractor, if possible
 Testing of building materials/components per Chapters 4, 5, 6, as needed 20
10

 Section 3.2.1 of ASCE 41-13
 Classify “Common Building Types” per Table 3-1 based on:

 Seismic-force-resisting system
 Diaphragm type
 Common building types (25 types)

 Wood light frames (W1, W1a)
 Wood frames, commercial and industrial (W2)
 Steel moment frames (S1, S1a)
 Steel braced frames (S2, S2a)
 Steel light frames (S3)
 Dual frame systems with backup steel moment frames and stiff
diaphragms (S4) 21

 Common building types (‘continued)
 Steel frames with infill masonry shear walls (S5, S5a)
 Concrete moment frames (C1)
 Concrete shear walls (C2, C2a)
 Concrete frames with infill masonry shear walls (C3, C3a)
 Precast or tilt-up concrete shear walls (PC1, PC1a)
 Precast concrete frames (PC2, PC2a)
 Reinforced masonry bearing walls (RM1, RM2)
 Unreinforced masonry bearing walls (URM, URMa)
 Steel plate shear walls (S6)
22
11
2.6 Limitation of Tier 1 & Tier 2

 Section 3.3.1 of ASCE 41-13
 Limits with performance levels:

 Structural: Immediate Occupancy (S-1), Damage Control (S-2), Life Safety (S-3)
 Non-Structural: Position retention (N-B), Life safety (N-C)
 Limits with building type:

 Building type shall conform to one of the “Common Building Types”
 Limits with building height:

 Per Table 3-2 (Next Slide)
 Based on level of seismicity, common building type, performance level
23
Table 3-2
(From ASCE 41-13)
Example:
Building type: Concrete

shear wall (C2/C2a)
Level of seismicity: High
Structural performance
level: Life Safety (S-3)
Limit on No. of Stories = 8
24
12
Part 3 – Tier 2 Deficiency Based
Part 3: Tier 2 Deficiency Based
25
3.1 Brief Overview of Tier 1 Screening Procedure
3.2 Tier 2 Scope
3.3 Tier 2 Evaluation Flowchart
3.4 Tire 2 As-Built Information & Condition Assessment
3.5 Tier 2 Analysis Methods & Acceptance Criteria
3.6 Tier 2 Evaluation Procedure
3.7 Tier 2 Retrofit Requirements
26
13
3.1 Brief Overview of Tier 1 Screening Procedure

General evaluation
 Chapter 4 of ASCE 41-13
requirements discussed in
 Overall procedure: Part 2 of presentation
 Select performance level
 Determine seismic hazard level (BPOE per Section 4.1.2 for Tier 1)
 Determine level of seismicity
 As-built review & on-site investigation
 Classify building type
 Check limitation of Tier 1
 Check building benchmark (Section 4.3 of ASCE 41-13)
 Tier 1 analysis (Section 4.5 of ACSE 41-13)
 Select and complete applicable checklists (Section 4.4 of ASCE 41-13)
 Prepare report including list of Tier 1 deficiencies and recommendations
(Section 1.4.5 of ASCE 41-13) 27
3.2 Tier 2 Scope

 A prior Tier 1 Screening is needed. Tier 2 Scope is limited to additional

evaluation of Tier 1 “potential deficiencies”:
 NC = Noncompliant
 U = Unknown
 Outcome for each Tier 1 potential deficiency shall be:

 Mitigated by Tier 2 evaluation
 Confirmed deficiency by Tier 2 evaluation
 Propose Tier 3 Systematic , or
 Propose retrofit
 Tier 2 of ASCE 41-13 is nomenclature for “simplified rehabilitation

method” of ASCE 41-06 28
14
3.3 Tier 2 Evaluation Flowchart Fig 5-1 of

ASCE 41-13
29
30
15
31
32
16
33
34
17
35
36
18
37
38
19
39
40
20
41
3.4 Tire 2 As-Built Information & Condition Assessment

 Sections 5.2.2 & 5.2.3 of ASCE 41-13
 As-Built Information
 May need additional information than Tier 1
 Non-destructive, or if needed destructive, examination of conditions
associated with Tier 1 deficiencies
 Destructive testing required for Immediate Occupancy (IO)
 Default material properties from Chapters 8 through 12, 14 or from drawings
 Condition Assessment
 Review extend & consequence of deteriorations identified in Tier 1
 If damages identified to SFRS element, their impact including reduction on
capacities shall be reviewed and documented
 Refer to building codes for provisions for repairing damages to SFRS system
42
21
3.5 Tier 2 Analysis Methods & Acceptance Criteria

 Sections 5.2.4 and 5.2.5 of ASCE 41-13
 Analysis procedure:
 Linear static procedure (LSP) (check limitation of Section 7.3.1.2)
 Linear dynamic procedure (LDP)
 Extent of modeling shall be adequate to provide forces for elements

subject to Tier 2 evaluation (may or may not need full building modeling)
 Acceptance criteria in accordance to Section 7.5.2
 Component capacities per Chapters 8 through 12, and 14
 Knowledge factor = 0.75 (can be 1.0 if material testing is done)
43
3.6 Tier 2 Evaluation Procedure

 Sections 5.3 through 5.7 of ASCE 41-13
 Procedure are listed for each deficiency:

 Section 5.4: Basic configuration of building systems
 Section 5.5: Seismic force resisting system
 Section 5.6: Diaphragms
 Section 5.7: Connections Example
44
22

 Purpose:
 Performed Tier 2 evaluation did not mitigate Tier 1 deficiency
 Perform Tier 2 retrofit measure to mitigate Tier 1 deficiency
 Resulting retrofitted building shall comply with:

 Tier 1 Screening (conservative), or
 Tier 2 Deficiency Based
 ASCE 41-13 provides guidelines for ranking of retrofit measures:

 Refer to Tables C5-1 through C5-19 (based on building type)
 Ranking is in order of “most critical”, “intermediate”, “least critical”
45
Example
Table C5-10
46
23
Part 4 – Tier 3 Systematic
Part 4: Tier 3 Systematic
47
4.1 Tier 3 Scope
4.2 Tier 3 Data Collection Requirements
4.3 Tier 3 Evaluation & Retrofit Requirements
4.4 Tier 3 Analysis Procedure & Acceptance Criteria
48
24
4.1 Tier 3 Scope

 No prior Tier 1 or Tier 2 evaluation is needed.
 When to do Tier 3:
 Limitation of Tier 1 and Tier 2 not met
 As a follow up to Tier 1 or Tier 2 (per design professional recommendation)
 Desired or recommended by design professional
 Tier 3 involves an analysis of the entire building

 Not a quick check like Tier 1
 Not a limited check like Tier 2
 Full evaluation in current condition
 Full evaluation with proposed retrofit measure (as needed)
49

 Not required if at the time of construction there were adequate testing or

inspection processes to justify the properties specified in the drawings
 Three levels of data collection:

 Minimum (Section 6.2.1)
 Usual (Section 6.2.2)
 Comprehensive (Section 6.2.3)
 Level of data collection per Table 6-1, based on:

 Selected performance objective
 Analysis procedure
 Knowledge factor, based on level of data collection as per Table 6-1 50
25
Table 6-1 of ASCE 41-13

51
4.3 Tier 3 Evaluation & Retrofit Requirements

 Sections 6.3 and 6.4 of ASCE 41-13
 Analysis of entire building per Chapter 7

 Scope of structural analysis per Section 7.2
 Analysis requirements per Section 7.3
 Analysis procedure per Section 7.4
 Acceptance Criteria per Section 7.5 & following Chapters:
 Chapter 8: Foundation
 Chapter 9: Steel
 Chapter 10: Concrete
 Chapter 11: Masonry
 Chapter 12: Wood & Cold-Formed Steel Light Frame
 Chapter 14: Seismic Isolation & Energy Dissipation
52
26
Part 5 – Analysis Procedure &
Acceptance Criteria (T2 & T3)
Part 5: Analysis Procedure & Acceptance Criteria
(Tier 2 & Tier 3)
53

5.1 Scope
5.2 General Analysis Requirements
5.3 Analysis Procedures
5.4 Acceptance Criteria
54
27
5.1 Scope
 Can be used for both Tier 2 and Tier 3

 Tier 2: Analysis primarily used to obtain demands, capacities, acceptance
criteria for those deficiencies that need analysis
 Tier 3: Analysis of the entire building
 Covers both evaluation of existing building and design of retrofit

measures
 Addresses structural only (Chapter 13 covers non-structural)
55


 Gravity loads:
 Linear Procedure:
 Eq. (7-1) QG = 1.1(QD + QL + QS) – Gravity effects are additive to seismic
 Eq. (7-2) QG = 0.9QD – Gravity effects counteracting seismic
 Nonlinear Procedure:
 Eq. (7-3) QG = QD + QL + QS
 QL equal to 25% of unreduced live load (not less than actual live load)
56
28

 Component Types (As defined in Section 7.5.1.1)
 Primary (P) – Evaluate for seismic forces & deformations w/ gravity loads
 Secondary (S) – Evaluate for seismic deformations w/ gravity loads
 Linear analysis shall include only primary components

 If total initial stiffness of secondary components exceed 25% of primary
components, reclassify some of secondary components as primary, until 25%
threshold reached
 If inclusion of secondary components increases force/deformation in primary
components, they shall be reclassified as primary and included in model
 Nonlinear analysis shall include both primary & secondary components
57


 Component modeling per material Chapters 8 through 12 and 14
 Foundation modeling in superstructure model (Section 7.2.7)

 Rigid base
 Flexible base
 Damping
 LSP, LDP, NSP (all analysis except NDP) – Use 5%, with some exceptions
that can be from 2% to 10% (per Section 7.2.3.6)
 Nonlinear dynamic procedure (NDP) – Use 3% (use 1% with no cladding)
 Multidirectional Seismic Effects (Section 7.2.5)

 Buildings with plan irregularities
 Buildings with primary columns part of two lateral frames
58
29

 Other general analysis requirements:
 P-Delta effects (Section 7.2.6)
 Soil-structure interaction (SSI) (Section 7.2.7)
 Overturning (Section 7.2.8)
 Diaphragms (Section 7.2.9)
 Continuity for load path (Section 7.2.10)
 Structural walls & their anchorage (Section 7.2.11)
 Structural shared elements (Section 7.2.12)
 Building separation (Section 7.2.13)
59


 Sections 7.3 and 7.4 of ASCE 41-13
 Analysis Type Selection & Procedure:

 Linear static procedure (LSP) (Sections 7.3.1 & 7.4.1)
 Linear dynamic procedure (LDP) (Sections 7.3.1 & 7.4.2)
 Nonlinear static procedure (NSP) (Sections 7.3.2.1 & 7.4.3)
 Nonlinear dynamic procedure (NDP) (Sections 7.3.2.2 & 7.4.4)
 Alternative rational analysis (Section 7.3.3)
 May need approval from agency having jurisdiction
 May need independent peer review
 Linear procedure cannot be used if DCR exceed lesser of 3 or m, and

either weak story or torsional strength irregularity present
60
30

 Linear Static Procedure (LSP)
 Base shear determination, V = C1C2CmSaW (Equation 7-21)
Inelastic response
modification factor
(Equation 7-22)
Alternative C1C2 per Table 7-3
Response degradation
modification factor
(Equation 7-22)
61


 Base shear determination, V = C1C2CmSaW (Equation 7-21)
Effective mass modification factor Response spectrum Seismic

(Table 7-4) acceleration weight
62
31

 Period determination (Section 7.4.1.2)

 Method 1 – Analytical eigenvalue dynamic analysis
 Method 2 – Empirical equation
 Method 3 – Approximate (Rayleigh’s method, etc.)
 Vertical distribution of seismic forces
63


 Linear Dynamic Procedure (LDP)
 Obtain ground motions info:

 USGS website
 Project geotechnical report
 LDP Analysis Method:

 Response spectrum method
 Response history method
 Multiple analysis results by C1C2
64
32

 Nonlinear Static Procedure (NSP) (Pushover Analysis)
 Model nonlinear force-deformation characteristic of material and

individual components
 Apply gravity load first, then apply monotonically increasing lateral loads
until a target displacement reached
 Target displacement (Equation 7-28),
65


 Nonlinear Dynamic Procedure (NDP) (Time History)
 Model nonlinear force-deformation characteristic of material and

individual components
 Subject model to serious of earthquake shaking records/histories
 Actual action (force or deformation) histories are obtained (no need to

target displacement)
66
33

 Action Type (as defined in Section 7.5.1.2):

 Deformation Controlled
 Type 1 & 2
 Force Controlled
 Type 3
67

Example:
Table C7-1
ASCE 41-13
68
34

 Linear Procedure
 Deformation Controlled (QUD = QG + QE < mkQCE)
 Force Controlled (QUF = QG + QE/C1C2J < kQCL)
 m = Component capacity modification factor (Chapters 8 thru 12 & 14)
 J = Force-delivery reduction factor (Section 7.5.2.1.2)
 k = Knowledge factor defined in Section 6.2.4
 Nonlinear Procedure
 Deformation Controlled
 Deformation (or rotation) capacity > Analysis deformation (or rotation)
 Force Controlled
 Lower bound strength > Analysis forces
 Alternative Procedure, usually per experimental test 69
Questions
Questions
You can also email:
Mohammad.Aliaari@imegcorp.com
Related ASCE Webinars:
Webinar: Practical Seismic Evaluation with Tier 1

Procedure w/ Case Study
Webinar: Practical Nonlinear Modeling & Analysis

(Using ASCE 41-13)
70
35

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Seismic Evaluation of Existing

Buildings Using ASCE 41-13 Tier 2

Mohammad Aliaari, Ph.D., S.E., P.E.

IMEG (Formerly TTG)

Meet Your Instructor

Mohammad Aliaari, Ph.D., S.E., P.E.

 Senior Associates with IMEG (Formerly TTG), Pasadena, CA

Part 1: Overview of ASCE 41-13

Part 2: General Requirements

Part 3: Tier 2 Deficiency Based

Part 4: Tier 3 Systematic

Part 5: Analysis Procedure & Acceptance Criteria

Participant will be able to:

 be familiar with ASCE 41-13 standard and its development

 understand purpose, scope, procedure and differences between 3 tiered

 understand how to select performance objectives & seismic hazards

 realize steps and procedure for a Tier 2 and Tier 3 evaluations

Part 1: Overview of ASCE 41-13

Part 1 – Overview of ASCE 41-13

1.1 History of Seismic Evaluation Standards

1.2 ASCE 41-13 Development

1.3 Three-Tired Procedure

1.1 History of Seismic Evaluation Standards

Part 1 – Overview of ASCE 41-13

1.1 History of Seismic Evaluation Standards

FEMA 178  FEMA 310  ASCE 31-03

FEMA 273  FEMA 356  ASCE 41-06

1.2 ASCE 41-13 Development

 Consistent “evaluation” and “retrofit” provisions

 Greater consistency with new design (ASCE 7-10)

 Differentiated seismic hazard for existing (E) and new (N)

 Explicit “new design code” equivalent performance objective

 Updated technical and analytical provisions

Part 1 – Overview of ASCE 41-13

1.2 ASCE 41-13 Development Table of

1.3 Three-Tiered Procedure

 Tier-2 Deficiency-Based Procedure

 Tier-3 Systematic Procedure

Part 1 – Overview of ASCE 41-13

1.3 Three-Tiered Procedure

Fig. C1-1. Evaluation Process

Part 2: General Requirements

Part 2 – General Requirements

2.1 Performance Objectives

2.2 Seismic Hazard Level

2.3 Level of Seismicity

2.4 As-Built Information

2.5 Common Building Type

2.6 Limitation of Tier 1 & Tier 2

2.1 Performance Objectives

 Structural Performance Level:

Part 2 – General Requirements

2.1 Performance Objectives

 Selection of Performance Objective

2.1 Performance Objectives

Table 2-1 (From ASCE 41-13) 17

Part 2 – General Requirements

2.2 Seismic Hazard Level

 Existing Building Hazard

 New Design Equivalent Hazard

2.3 Level of Seismicity Table 2-5 (From ASCE 41-13)

 Section 2.5 of ASCE 41-13

 Depends on SDS and SD1 (Table 2-5)